<<

9–22–00 Friday Vol. 65 No. 185 Sept. 22, 2000 Pages 57277–57536

VerDate 11-MAY-2000 19:36 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4710 Sfmt 4710 E:\FR\FM\22SEWS.LOC pfrm11 PsN: 22SEWS

1 II Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000

The FEDERAL REGISTER is published daily, Monday through SUBSCRIPTIONS AND COPIES Friday, except official holidays, by the Office of the Federal Register, National Archives and Records Administration, PUBLIC Washington, DC 20408, under the Federal Register Act (44 U.S.C. Subscriptions: Ch. 15) and the regulations of the Administrative Committee of Paper or fiche 202–512–1800 the Federal Register (1 CFR Ch. I). The Superintendent of Assistance with public subscriptions 512–1806 Documents, U.S. Government Printing Office, Washington, DC 20402 is the exclusive distributor of the official edition. General online information 202–512–1530; 1–888–293–6498 Single copies/back copies: The Federal Register provides a uniform system for making available to the public regulations and legal notices issued by Paper or fiche 512–1800 Federal agencies. These include Presidential proclamations and Assistance with public single copies 512–1803 Executive Orders, Federal agency documents having general FEDERAL AGENCIES applicability and legal effect, documents required to be published Subscriptions: by act of Congress, and other Federal agency documents of public interest. Paper or fiche 523–5243 Assistance with Federal agency subscriptions 523–5243 Documents are on file for public inspection in the Office of the Federal Register the day before they are published, unless the issuing agency requests earlier filing. For a list of documents currently on file for public inspection, see http://www.nara.gov/ fedreg. The seal of the National Archives and Records Administration authenticates the Federal Register as the official serial publication established under the Federal Register Act. Under 44 U.S.C. 1507, the contents of the Federal Register shall be judicially noticed. The Federal Register is published in paper and on 24x microfiche. It is also available online at no charge as one of the databases on GPO Access, a service of the U.S. Government Printing Office. The online edition of the Federal Register is issued under the authority of the Administrative Committee of the Federal Register as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6 a.m. each day the Federal Register is published and it includes both text and graphics from Volume 59, Number 1 (January 2, 1994) forward. GPO Access users can choose to retrieve online Federal Register documents as TEXT (ASCII text, graphics omitted), PDF (Adobe Portable Document Format, including full text and all graphics), or SUMMARY (abbreviated text) files. Users should carefully check retrieved material to ensure that documents were properly downloaded. On the World Wide Web, connect to the Federal Register at http:/ /www.access.gpo.gov/nara. Those without World Wide Web access can also connect with a local WAIS client, by Telnet to swais.access.gpo.gov, or by dialing (202) 512-1661 with a computer and modem. When using Telnet or modem, type swais, then log in as guest with no password. For more information about GPO Access, contact the GPO Access User Support Team by E-mail at [email protected]; by fax at (202) 512–1262; or call (202) 512–1530 or 1–888–293–6498 (toll free) between 7 a.m. and 5 p.m. Eastern time, Monday–Friday, except Federal holidays. The annual subscription price for the Federal Register paper edition is $638, or $697 for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $253. Six month subscriptions are available for one-half the annual rate. The charge for individual copies in paper form is $9.00 for each issue, or $9.00 for each group of pages as actually bound; or $2.00 for each issue in microfiche form. All prices include regular domestic postage and handling. International customers please add 25% for foreign handling. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard or Discover. Mail to: New Orders, Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250–7954. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 65 FR 12345.

.

VerDate 11-MAY-2000 19:36 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4710 Sfmt 4710 E:\FR\FM\22SEWS.LOC pfrm11 PsN: 22SEWS

2 III

Contents Federal Register Vol. 65, No. 185

Friday, September 22, 2000

Agency for International Development Education Department NOTICES RULES Meetings: Official seal and national security information procedures, International Food and Agricultural Development Board, 57286–57287 57309 NOTICES Agency information collection activities: Agriculture Department Submission for OMB review; comment request, 57321– See Food Safety and Inspection Service 57322 See Forest Service Grants and cooperative agreements; availability, etc.: Distance Education Demonstration Program, 57322–57326 Blind or Severely Disabled, Committee for Purchase From Educational research and improvement— People Who Are Field-Initiated Studies Education Research Program, See Committee for Purchase From People Who Are Blind 57326–57327 or Severely Disabled Employment and Training Administration Children and Families Administration NOTICES NOTICES Adjustment assistance: Grant and cooperative agreement awards: Alcatel Telecommunications Cable, 57384–57385 Community Economic Development and Information Murray, Inc., 57385 Technology, 57355 Adjustment assistance and NAFTA transitional adjustment National Association of Farmers’ Market Nutrition assistance: Programs, 57355 Cloverland Manufacturing, Inc., et al., 57385–57387

Coast Guard Employment Standards Administration NOTICES NOTICES Agency information collection activities: Minimum wages for Federal and federally-assisted Proposed collection; comment request, 57421–57422 construction; general wage determination decisions, 57387–57388 Commerce Department See Export Administration Bureau Energy Department See National Institute of Standards and Technology See Federal Energy Regulatory Commission See National Oceanic and Atmospheric Administration NOTICES Meetings: Committee for Purchase From People Who Are Blind or Environmental Management Site-Specific Advisory Severely Disabled Board— NOTICES Nevada Test Site, NV, 57327 Procurement list; additions and deletions, 57312–57313 Oak Ridge Reservation, TN, 57327–57328

Comptroller of the Currency Environmental Protection Agency PROPOSED RULES RULES Community bank-focused regulation review; lending limits Hazardous waste program authorizations: pilot program, 57292–57296 Tennessee, 57287–57291 NOTICES PROPOSED RULES Preemption opinion requests: Hazardous waste program authorizations: Rhode Island; Financial Institutions Insurance Sales Act, Tennesssee, 57307–57308 57427–57429 NOTICES Agency information collection activities: Consumer Product Safety Commission Proposed collection; comment request, 57335–57336 NOTICES Environmental statements; availability, etc.: Settlement agreements: Agency statements— Riello Corp. of America, 57319–57321 Comment availability, 57336–57337 Weekly receipts, 57336 Defense Department Meetings: NOTICES Acute Exposure Guideline Levels for Hazardous Committees; establishment, renewal, termination, etc.: Substances National Advisory Committee, 57337– Defense Intelligence Agency Science and Technology 57338 Advisory Board, 57321 Pesticide, food, and feed additive petitions: Nuclear Weapons Surety Joint Advisory Committee, BASF Corp. Agricultural Products, 57338–57344 57321 Toxic and hazardous substances control: Meetings: New chemicals— Dependents’ Education Advisory Council, 57321 Receipt and status information, 57344–57353

VerDate 112000 19:48 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4748 Sfmt 4748 E:\FR\FM\22SECN.SGM pfrm11 PsN: 22SECN IV Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Contents

Executive Office of the President Food and Drug Administration See Presidential Documents PROPOSED RULES Medical devices: Export Administration Bureau Anesthesiology devices— NOTICES Apnea monitor; special controls, 57301–57303 Export privileges, actions affecting: Infant apnea monitor performance standard; withdrawn, Montgomery, Yuri I., 57313–57314 57303–57307 Osman, Oscar, 57314–57315 NOTICES Meetings: Federal Aviation Administration Medical Devices Advisory Committee, 57355 RULES Reports and guidance documents; availability, etc.: Airworthiness directives: Infant/child apnea monitor; 510(k) submissions, 57355– Agusta S.p.A., 57280–57282 57356 Boeing, 57282–57285 Class E4 airspace, 57285–57286 Food Safety and Inspection Service PROPOSED RULES NOTICES Airworthiness directives: Meetings: Agusta S.p.A., 57298–57300 Codex Alimentarius Commission— Vulcanair S.p.A., 57296–57298 Food Hygiene Codex Committee, 57309–57310 Class D and Class E4 airspace, 57300–57301 Forest Service Federal Communications Commission NOTICES RULES Environmental statements; notice of intent: Common carrier services: Custer National Forest, MT, 57310–57312 Interconnection— Deployment of wireless services offering advanced Health and Human Services Department telecommunications capability; effective date, See Children and Families Administration 57291 See Food and Drug Administration See Health Care Financing Administration Federal Energy Regulatory Commission See Indian Health Service NOTICES See Inspector General Office, Health and Human Services Electric rate and corporate regulation filings: Department Mesquite Investors, L.L.C., et al., 57330–57334 See Substance Abuse and Mental Health Services Environmental statements; notice of intent: Administration Central New York Oil & Gas Co., LLC, et al., 57334– 57335 Health Care Financing Administration Eastern Hydroelectric Corp., 57335 See Inspector General Office, Health and Human Services Applications, hearings, determinations, etc.: Department Anaheim et al., CA, 57328 NOTICES El Paso Natural Gas Co., 57328–57329 Agency information collection activities: EOTT Energy Operating L.P., 57329 Submission for OMB review; comment request, 57356– Nicole Energy Marketing of Illinois, Inc., 57329–57330 57357 PG&E Energy Trading-Power, L.P., 57330 Housing and Urban Development Department Federal Reserve System NOTICES NOTICES Grants and cooperative agreements; availability, etc.: Banks and bank holding companies: Facilities to assist homeless— Change in bank control, 57353 Excess and surplus Federal property, 57362 Formations, acquisitions, and mergers, 57353–57354 Low income housing: Permissible nonbanking activities, 57354 Difficult development areas and qualified census tracts; Meetings; Sunshine Act, 57354 statutorily mandated and supplemental designations for tax credit, 57525–57535 Fish and Wildlife Service NOTICES Indian Affairs Bureau Boundary establishment, descriptions, etc.: NOTICES Chickasaw and Lower Hatchie National Wildlife Refuges, Tribal-State Compacts approval; Class III (casino) gambling: TN, 57363 Sauk Suiattle Indian Tribe, WA, 57368–57369 Endangered and threatened species: Foreign listed psittacine species (parrots, parakeets, Indian Health Service macaws, cockatoos, etc.); 5-year review, 57363–57365 NOTICES Environmental statements; availability, etc.: Grant and cooperative agreement awards: Clark County, NV; multiple species habitat conservation Center for Native American Health, College of Public plan, 57366–57367 Health, University of Arizona, 57357–57358 Environmental statements; notice of intent: Leelanau County, MI; exchange of lands on South Fox Inspector General Office, Health and Human Services Island, 57367–57368 Department Meetings: NOTICES Klamath River Basin Fisheries Task Force, 57368 Program exclusions; list, 57358–57361

VerDate 112000 19:48 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4748 Sfmt 4748 E:\FR\FM\22SECN.SGM pfrm11 PsN: 22SECN Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Contents V

Interior Department National Park Service See Fish and Wildlife Service NOTICES See Indian Affairs Bureau Native American human remains and associated funerary See Land Management Bureau objects: See National Park Service State Archaeologist Office, University of Iowa, IA— See Reclamation Bureau Inventory from Mills County, IA, 57369–57370 See Surface Mining Reclamation and Enforcement Office NOTICES National Science Foundation Committees; establishment, renewal, termination, etc.: NOTICES Minerals Management Advisory Board, 57362–57363 Meetings: Internal Revenue Service Civil and Mechanical Systems Special Emphasis Panel, NOTICES 57402 Agency information collection activities: Earth Sciences Proposal Review Panel, 57402 Proposed collection; comment request, 57429–57434 Mathematical Sciences Special Emphasis Panel, 57402– 57403 Labor Department Neuroscience Advisory Panel, 57403 See Employment and Training Administration Physiology and Ethology Advisory Panel, 57403–57404 See Employment Standards Administration Small Business Industrial Innovation Advisory See Occupational Safety and Health Administration Committee, 57404 See Pension and Welfare Benefits Administration Nuclear Regulatory Commission Land Management Bureau NOTICES NOTICES Environmental statements; availability, etc.: Environmental statements; availability, etc.: Virginia Electric & Power Co., 57407–57408 El Malpais National Conservation Area et al., NM, 57369 Applications, hearings, determinations, etc.: Mesquite Gold Mine, CA; correction, 57369 AmerGen Energy Co., LLC, 57404–57407 Maritime Administration NOTICES Occupational Safety and Health Administration Agency information collection activities: NOTICES Proposed collection; comment request, 57422 Agency information collection activities: Coastwise trade laws; administrative waivers: Proposed collection; comment request, 57388–57389 ABORIGINAL, 57422–57423 LUCKY DOG, 57423–57424 Pension and Welfare Benefits Administration NOTICES National Aeronautics and Space Administration Employee benefit plans; prohibited transaction exemptions: NOTICES Masters, Mates and Pilots et al., 57389–57400 Meetings: Salomon Smith Barney Inc.; correction, 57401 Advisory Council Life and Microgravity Sciences and Applications Postal Rate Commission Advisory Committee, 57401 NOTICES Space Science Advisory Committee, 57401–57402 Meetings; Sunshine Act, 57408 National Credit Union Administration RULES Postal Service Credit unions: NOTICES Federal claims collection; civil monetary penalty Meetings; Sunshine Act, 57408–57409 inflation adjustment, 57277–57280 Presidential Documents National Institute of Standards and Technology EXECUTIVE ORDERS NOTICES Committees; establishment, renewal, termination, etc.: Voluntary product standards: Medicine Policy, White House Commission on American Petroleum Institute— Complementary and Alternative; membership (EO Standards development; comment request, 57315– 13167) 57317 Correction, 57436 National Oceanic and Atmospheric Administration PROPOSED RULES Public Health Service Fishery conservation and management: See Food and Drug Administration West Coast States and Western Pacific fisheries— See Indian Health Service Pacific Coast groundfish, 57308 See Substance Abuse and Mental Health Services NOTICES Administration Meetings: Caribbean Fishery Management Council, 57317 Reclamation Bureau Gulf of Mexico Fishery Management Council, 57317 NOTICES Western Pacific Fishery Management Council, 57318 Environmental statements; availability, etc.: Permits: Coachella Canal Lining Project, CA, 57370–57371 Marine mammals, 57318–57319 Colorado River interim surplus criteria; correction, 57371

VerDate 112000 19:48 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4748 Sfmt 4748 E:\FR\FM\22SECN.SGM pfrm11 PsN: 22SECN VI Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Contents

Research and Special Programs Administration Sheridan Slope Stability Project, 57375–57377 NOTICES Wright Junior/Senior High School Improvements Meetings: Project, 57372–57374 Integrity Management Communication Team, 57424 Surface Transportation Board Securities and Exchange Commission NOTICES RULES Railroad operation, acquisition, construction, etc.: Investment advisers: Buffalo Ridge Regional Railroad Authority, 57424–57425 Electronic filing system and Form ADV update, 57437– SMS Rail Service, Inc., 57425 57524 NOTICES Transportation Department Meetings; Sunshine Act, 57410 See Coast Guard Self-regulatory organizations; proposed rule changes: See Federal Aviation Administration American Stock Exchange, LLC, 57410–57412 See Maritime Administration International Securities Exchange LLC, 57412 National Association of Securities Dealers, Inc., 57413– See Research and Special Programs Administration 57416 See Surface Transportation Board Pacific Exchange, Inc., 57416–57419 See Transportation Statistics Bureau Philadelphia Stock Exchange, Inc., 57419–57420 Applications, hearings, determinations, etc.: Transportation Statistics Bureau Public utility holding company filings, 57409–57410 NOTICES Agency information collection activities: Social Security Administration Proposed collection; comment request, 57425–57427 NOTICES Meetings: Treasury Department Ticket to Work and Work Incentives Advisory Panel, See Comptroller of the Currency 57420–57421 See Internal Revenue Service

Substance Abuse and Mental Health Services Veterans Affairs Department Administration NOTICES NOTICES Agency information collection activities: Agency information collection activities: Proposed collection; comment request, 57434 Proposed collection; comment request, 57362 Submission for OMB review; comment request, 57434– 57435 Surface Mining Reclamation and Enforcement Office NOTICES Agency information collection activities: Proposed collection; comment request, 57371–57372 Separate Parts In This Issue Submission for OMB review; comment request, 57372 Grants and cooperative agreements; availability, etc.: Part II Wyoming— Securities and Exchange Commission, 57437–57524 Frannie Sewer Line Replacement Project, 57381–57383 Greybull Sewer Improvements Project, 57383–57384 Part III Hudson Elementary School Improvements Project, Department of Housing and Urban Development, 57525– 57378–57380 57535 Kemmerer Medical Center Access Improvements Project, 57377–57378 Medicine Bow Water Treatment Plant Improvements Reader Aids Project, 57380–57381 Consult the Reader Aids section at the end of this issue for Rock Springs Stormwater Channel Improvements phone numbers, online resources, finding aids, reminders, Project, 57374–57375 and notice of recently enacted public laws.

VerDate 112000 19:48 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4748 Sfmt 4748 E:\FR\FM\22SECN.SGM pfrm11 PsN: 22SECN Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Contents VII

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.

12 CFR 747...... 57277 Proposed Rules: 32...... 57292 14 CFR 39 (2 documents) ...... 57280, 57282 71...... 57285 Proposed Rules: 39 (2 documents) ...... 57296, 57298 71...... 57300 17 CFR 200...... 57438 275...... 57438 279...... 57438 21 CFR Proposed Rules: 868...... 57301 896...... 57303 34 CFR 3...... 57286 19...... 57286 40 CFR 271...... 57287 Proposed Rules: 271...... 57307 47 CFR 51...... 57291 50 CFR Proposed Rules: 660...... 57308

VerDate 11-MAY-2000 19:38 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4711 Sfmt 4711 E:\FR\FM\22SELS.LOC pfrm11 PsN: 22SELS 57277

Rules and Regulations Federal Register Vol. 65, No. 185

Friday, September 22, 2000

This section of the FEDERAL REGISTER Background: CMPs Previously Adjusted contains regulatory documents having general The Debt Collection Improvement Act Calculation of the Adjustment applicability and legal effect, most of which 1 are keyed to and codified in the Code of of 1996 (DCIA) amended the Federal Federal Regulations, which is published under Civil Penalties Inflation Adjustment Act With respect to the CMPs authorized 50 titles pursuant to 44 U.S.C. 1510. of 1990 2 (FCPIA Act) to require every by 12 U.S.C. 1786(k)(2), the last Federal agency to enact regulations that adjustment for inflation occurred in The Code of Federal Regulations is sold by adjust each civil monetary penalty 1996. Therefore, the current adjustment the Superintendent of Documents. Prices of (CMP) 3 provided by law under its will be the percentage by which the CPI new books are listed in the first FEDERAL jurisdiction by the rate of inflation for the month of June 1999 exceeds the REGISTER issue of each week. pursuant to the inflation adjustment CPI for the month of June 1996. formula in section 5(b) of the FCPIA According to the Bureau of Labor Act. Each Federal agency was required NATIONAL CREDIT UNION Statistics, the CPI for the month of June to issue these implementing regulations ADMINISTRATION 1999 was 166.2 and the CPI for the by October 23, 1996, and at least once month of June 1996 was 156.7. When 12 CFR Part 747 every 4 years thereafter. Section 6 of the 166.2 is divided by 156.7, the result is amended FCPIA Act specifies that 1.06. Thus, the CMPs authorized by 12 Civil Monetary Penalty Inflation inflation-adjusted CMPs will only apply U.S.C. 1786(k)(2) should be multiplied Adjustment to violations that occur after the by a factor of 1.06 to arrive at the new effective date of the adjustment. The adjusted amounts (before required AGENCY: National Credit Union inflation adjustment is based on the rounding). percentage increase in the Consumer Administration. Section 206(k)(2) of the Federal Credit Price Index (CPI).4 Specifically, section Union Act, 12 U.S.C. 1786(k)(2), ACTION: Final rule. 5(b) of the FCPIA Act defines ‘‘the term authorizes NCUA to impose three levels ‘cost-of-living adjustment’ [to] mean the or tiers of CMPs upon insured credit SUMMARY: Congress, in the Federal Civil percentage (if any) for each civil unions or institution-affiliated parties. Penalties Inflation Adjustment Act of monetary penalty by which—(1) the 1990, as amended by the Debt Consumer Price Index for the month of First Tier CMPs Collection Improvement Act of 1996, June of the calendar year preceding the required all federal agencies with the adjustment, exceeds (2) the Consumer First tier CMPs, 12 U.S.C. authority to impose civil monetary Price Index for the month of June of the 1786(k)(2)(A), may be imposed for the penalties (CMPs) to regularly evaluate calendar year in which the amount of violation of any law or regulation, the those CMPs to ensure that they continue such civil monetary penalty was last set violation of certain final orders or to maintain their deterrent value. As a or adjusted pursuant to law.’’ temporary orders, the violation of result of these acts, the head of each Furthermore, each CMP that has been conditions imposed in writing by the NCUA Board, or the violation of any agency was required, by October 23, adjusted for inflation must be rounded written agreement between the credit 1996, and at least once every four years to a number prescribed by section 5(a) 5 union and NCUA. The statute provides thereafter, to adjust its CMPs for of the FCPIA Act. that first tier CMPs shall not be more inflation. In 1996, the National Credit 1 Pub. L. 104–134, § 31001(s), 110 Stat. 1321–373, than $5,000 for each day the violation Union Administration (NCUA) issued a (Apr. 26, 1996). The provision is codified at 28 continues. After the required adjustment final rule to implement the required U.S.C. 2461 note. for inflation in 1996, the maximum 2 Pub. L. 101–410, 104 Stat. 890, (Oct. 5, 1990), adjustments to certain CMPs authorized penalty was increased to $5,500 for each by the Federal Credit Union Act. Since also codified at 28 U.S.C. 2461 note. 3 Section 3(2) of the amended FCPIA Act defines day.6 Multiplying the current penalty of that time, NCUA has discovered several a CMP as any penalty, fine, or other sanction that: $5,500 by the factor of 1.06 results in more CMPs that should also be adjusted (1) either is for a specific monetary amount as $5,830, an increase of $330. When that for inflation. In order to comply with provided by Federal law or has a maximum amount provided for by Federal law; (2) is assessed or number is rounded as required by the Congress’ mandate to adjust CMPs for enforced by an agency pursuant to Federal law; and FCPIA Act,7 the inflation-adjusted inflation at least every four years, NCUA (3) is assessed or enforced pursuant to an maximum for a first tier CMP remains is issuing this final rule to implement administrative proceeding or a civil action in the $5,500. the required adjustments to those CMPs. Federal courts. 4 The CPI is published by the Department of amount of the adjustment was more than $1,000 but EFFECTIVE DATE: October 23, 2000. Labor, Bureau of Statistics, and is available at its less than $10,000. NCUA has chosen to follow the website: www.bls.gov/top20.html. language in the statute and therefore has adopted FOR FURTHER INFORMATION CONTACT: 5 NCUA recognizes that the rounding provision of an interpretation that selects the appropriate Allan Meltzer, Associate General the FCPIA Act is capable of differing rounding rule based upon the amount of the interpretations. As an example, the provision states, penalty. Counsel, or Jon Canerday, Trial in part, that an increase ‘‘shall be rounded to the 6 The FCPIA Act limited the first adjustment of Attorney, Office of General Counsel, nearest * * * multiple of $1,000 in the case of a CMP to a maximum of 10%. NCUA, 1775 Duke Street, Alexandria, penalties greater than $1,000 but less than or equal to $10,000.’’ Section 5(a)(3), FCPIA Act. NCUA 7 ‘‘Any increase determined under this subsection Virginia 22314, or telephone (703) 518– understands that some agencies have chosen to shall be rounded to the nearest— * * * (3) multiple 6540. determine which rounding rule to follow based of $1,000 in the case of penalties greater than upon the amount of the increase, rather than the $1,000 but less than or equal to $10,000.’’ Section SUPPLEMENTARY INFORMATION: amount of the penalty. In other words, the forgoing 5(a), FCPIA Act. Therefore, $330 is rounded to the rounding provision would only be applied if the nearest multiple of $1,000 or to $0.

VerDate 112000 15:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm02 PsN: 22SER1 57278 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

Second Tier CMPs inflation-adjusted third tier CMP penalty.10 The amount of increase to Second tier CMPs, 12 U.S.C. becomes $1,175,000. these CMPs in the final regulation 1786(k)(2)(B), are authorized for would have been more if this limit did CMPs Not Previously Adjusted For not exist. violations described in first tier CMPs, Inflation the reckless engaging in an unsafe or The maximum CMP authorized by 12 U.S.C. 1782(a)(3) for an inadvertent unsound practice in conducting the NCUA has determined that several failure to submit a report or the affairs of a credit union, or the breach additional provisions authorize inadvertent submission of a false or of any fiduciary duty, when the penalties that meet the definition of misleading report is currently $2,000 for violation, practice or breach is part of a CMPs. These provisions were not pattern of misconduct, or causes or is each day the failure continues or such previously adjusted for inflation in false or misleading information is not likely to cause more than a minimal loss 1996. to the credit union, or results in corrected. After the required adjustment pecuniary gain or other benefit. The 12 U.S.C. 1782(a)(3) for inflation, the maximum penalty is statute provides a maximum second tier increased by 10%, or $200, to $2,200 NCUA is authorized to require credit CMP of $25,000 for each day the per day. The maximum CMP authorized by 12 violation, practice or breach continues. unions to provide reports of condition. U.S.C. 1782(a)(3) for a non-inadvertent After the required 1996 adjustment for The failure to submit a required report failure to submit a report or the non- inflation, the maximum penalty was or the submission of a false or inadvertent submission of a false or increased to $27,500 per day. misleading report subjects a credit misleading report is currently $20,000 Multiplying the current penalty of union to three levels of CMPs, for each day the failure continues or $27,500 by the factor of 1.06 results in depending upon the reasons for such false or misleading information is $29,150, an increase of $1,650. When noncompliance. For an inadvertent not corrected. After the required that number is rounded as required by failure to submit a report or the adjustment for inflation, the maximum the FCPIA Act,8 the inflation-adjusted inadvertent submission of a false or penalty is increased by 10%, or $2,000, maximum for a second tier CMP misleading report, the credit union is to $22,000 per day. remains $27,500. subject to a penalty of not more than $2,000 for each day the failure The maximum CMP authorized by 12 U.S.C. 1782(a)(3) for a failure to submit Third Tier CMPs continues or such false or misleading a report or the submission of a false or Third tier CMPs, 12 U.S.C. information is not corrected. For a non- misleading report done knowingly or 1786(k)(2)(C), may be imposed for any inadvertent failure to submit a report or with reckless disregard is currently of the acts described in second tier for the non-inadvertent submission of a CMPs that cause a substantial loss to the $1,000,000 or 1 percent of the total false or misleading report, the credit assets of the credit union, whichever is credit union or a substantial pecuniary union is subject to a penalty of not more gain or other benefit. The amount of less, for each day the failure continues than $20,000 for each day the failure or such false or misleading information third tier CMPs depends upon the status continues or such false or misleading of the respondent required to pay the is not corrected. After the required information is not corrected. Lastly, for adjustment for inflation, the maximum CMP, 12 U.S.C. 1786(k)(2)(D). For a a failure to submit a report or the person other than an insured credit penalty is increased by 10%, or submission of a false or misleading $100,000, to $1,100,000 or 1 percent of union, under the statute the current report done knowingly or with reckless maximum third tier CMP is $1,000,000 the total assets of the credit union, disregard, the credit union is subject to for each day the violation, practice or whichever is less, per day. a penalty of not more than $1,000,000 breach continues. For an insured credit or 1 percent of the total assets of the 12 U.S.C. 1782(d)(2) union, the statute provides a current In a provision similar to the authority daily maximum CMP of the lesser of credit union, whichever is less, for each day the failure continues or such false discussed above, NCUA is authorized to $1,000,000 or 1 percent of the total require each credit union to provide assets of the credit union. In 1996, the or misleading information is not corrected. periodic certified statements of the maximum CMP for a person other than amount of insured shares in the credit an insured credit union was increased Calculation of the Adjustment union, as well as to pay required for inflation to $1,100,000 per day. At deposits into the National Credit Union The CMPs authorized by 12 U.S.C. the same time, the maximum CMP for Share Insurance Fund (NCUSIF). The an insured credit union was increased 1782(a)(3) were created by Congress in failure to submit a required certified to the lesser of $1,100,000 or 1 percent 1989. Therefore, the current adjustment statement or the submission of a false or of the total assets of the credit union. will be the percentage by which the CPI misleading statement subjects a credit Multiplying the current penalty of for the month of June 1999 exceeds the union to three tiers of CMPs, depending $1,100,000 by the factor of 1.06 results CPI for the month of June 1989. upon the reasons for noncompliance. in $1,166,000, an increase of $66,000. According to the Bureau of Labor When that number is rounded as Statistics, the CPI for the month of June Calculation of the Adjustment required by the FCPIA Act,9 the new 1999 was 166.2 and the CPI for the The CMPs authorized by 12 U.S.C. month of June 1989 was 124.1. When 1782(d)(2) were created by Congress in 8 ‘‘Any increase determined under this subsection 166.2 is divided by 124.1, the result is 1991. Therefore, the current adjustment shall be rounded to the nearest— * * * (4) multiple of $5,000 in the case of penalties greater than 1.34. Thus, the CMPs authorized by 12 will be the percentage by which the CPI $10,000 but less than or equal to $100,000.’’ Section U.S.C. 1782(a)(3) should be multiplied for the month of June 1999 exceeds the 5(a), FCPIA Act. Therefore, $1,650 is rounded to the by a factor of 1.34 to arrive at the new CPI for the month of June 1991. nearest multiple of $5,000 or to $0. According to the Bureau of Labor 9 ‘‘Any increase determined under this subsection adjusted amounts (before required shall be rounded to the nearest— * * * (6) multiple rounding). However, another provision of $25,000 in the case of penalties greater than of the FCPIA Act limits the first 10 ‘‘The first adjustment of a civil monetary $200,000.’’ Section 5(a), FCPIA Act. Therefore, adjustment of a CMP to an amount not penalty made pursuant to [the FCPIA Act] may not $66,000 is rounded to the nearest multiple of exceed 10 percent of such penalty.’’ Section 6, $25,000 or to $75,000. to exceed 10 percent of the original FCPIA Act (originally designated as Section 7).

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57279

Statistics, the CPI for the month of June regulations to provide minimum June 1994. According to the Bureau of 1999 was 166.2 and the CPI for the standards with which each insured Labor Statistics, the CPI for the month month of June 1991 was 136. When credit union must comply with respect of June 1999 was 166.2 and the CPI for 166.2 is divided by 136, the result is to security devices and procedures to the month of June 1994 was 148.0. 1.22. Thus, the CMPs authorized by 12 discourage robberies, burglaries and When 166.2 is divided by 148.0, the U.S.C. 1782(d)(2) should be multiplied larcenies and to assist in the result is 1.12. Thus, the CMP authorized by a factor of 1.22 to arrive at the new identification and apprehension of by 42 U.S.C. 4012a(f) should be adjusted amounts (before required persons who commit such acts. A credit multiplied by a factor of 1.12 to arrive rounding). However, as noted union that violates such a regulation is at the new adjusted amounts (before previously, another provision of the subject to a CMP of up to $100 for each required rounding). However, as FCPIA Act limits the first adjustment of day the violation continues. 12 U.S.C. discussed previously, the FCPIA Act a CMP to an amount not to exceed 10 1785(e)(3). limits the first adjustment of a CMP to percent of the original penalty. The Calculation of the Adjustment an amount not to exceed 10 percent of amount of increase to these CMPs in the the original penalty. The amount of final regulation would have been more The CMP authorized by 12 U.S.C. increase to this CMP in the final if this limit did not exist. 1785(e)(3), originally passed by regulation would have been more if this Congress in 1970, was not adjusted for limit did not exist. First Tier CMPs inflation in 1996. Therefore, the current The maximum CMP authorized by 42 The maximum CMP authorized by 12 adjustment will be the percentage by U.S.C. 4012a(f) for certain violations of U.S.C. 1782(d)(2)(A) for an inadvertent which the CPI for the month of June the National Flood Insurance Program is failure to timely submit a certified 1999 exceeds the CPI for the month of currently $350 for each violation, up to statement or an inadvertent submission June 1970. According to the Bureau of a maximum of $100,000 per calendar of a false or misleading certified Labor Statistics, the CPI for the month year. After the required adjustment for statement, is currently $2,000 for each of June 1999 was 166.2 and the CPI for inflation, the maximum penalty is day the failure continues or such false the month of June 1970 was 38.8. When increased by 10%, or $35, to $385 per or misleading information is not 166.2 is divided by 38.8, the result is violation. The annual maximum penalty corrected. After the required adjustment 4.28. Thus, the CMP authorized by 12 is also increased by 10%, or $10,000, to for inflation, the maximum penalty is U.S.C. 1785(e)(3) should be multiplied $110,000 per calendar year. increased by 10%, or $200, to $2,200 by a factor of 4.28 to arrive at the new The NCUA Board now adopts this per day. adjusted amounts (before required final rule to adjust the forgoing CMPs rounding). However, as discussed Second Tier CMPs for the rate of inflation, as required by previously, the FCPIA Act limits the the FCPIA Act. The FCPIA Act provides The maximum CMP authorized by 12 first adjustment of a CMP to an amount federal agencies with no discretion in U.S.C. 1782(d)(2)(B) for a non- not to exceed 10 percent of the original the adjustment of CMPs for inflation, inadvertent failure to timely submit a penalty. The amount of increase to this and it also requires such adjustments for certified statement, or a non-inadvertent CMP in the final regulation would have inflation to occur at least every four submission of a false or misleading been more if this limit did not exist. years. Further, the regulation is certified statement, or the failure or The maximum CMP authorized by 12 ministerial and technical and, for these refusal to pay any required deposit or U.S.C. 1785(e)(3) for non-compliance reasons, the NCUA Board finds good premium for insurance is currently with NCUA security regulations is cause to determine that public notice $20,000 for each day the failure currently $100 for each day the and comment for this new regulation is continues, such false or misleading violation continues. After the required unnecessary, impractical and contrary information is not corrected, or the adjustment for inflation, the maximum to the public interest, pursuant to the deposit or premium is not paid. After penalty is increased by 10%, or $10, to Administrative Procedure Act (APA), 5 the required adjustment for inflation, $110 per day. U.S.C. 553(a)(3)(B). the maximum penalty is increased by 42 U.S.C. 4012a(f) 10%, or $2,000, to $22,000 per day. Regulatory Procedures Pursuant to 42 U.S.C. 4012a(f), NCUA Regulatory Flexibility Act Third Tier CMPs is authorized to impose CMPs against a The maximum CMP authorized by 12 credit union that is found to have a The NCUA Board certifies that the U.S.C. 1782(d)(2)(C) for a failure to pattern or practice of committing certain proposed regulation will not have a submit a report or the submission of a specified actions in violation of the significant economic impact on a false or misleading report done National Flood Insurance Program. A substantial number of small credit knowingly or with reckless disregard is credit union that engages in such unions. Small credit unions are defined currently $1,000,000 or 1 percent of the violations is subject to a CMP of up to by NCUA, pursuant to its authority to total assets of the credit union, $350 for each violation. The total define ‘‘small organizations,’’ as those whichever is less, for each day the amount of penalties assessed against credit unions with assets of $1 million failure continues or such false or any credit union during any calendar or less. 5 U.S.C. 601(4), (6); NCUA IRPS misleading information is not corrected. year may not exceed $100,000. 42 U.S.C. 81–4, 46 FR 29248 (1981); NCUA IRPS After the required adjustment for 4012a(f)(5). 87–2, 12 CFR 791.8(a). Accordingly, a inflation, the maximum penalty is regulatory flexibility analysis is not Calculation of the Adjustment increased by 10%, or $100,000, to required. The CMP authorized by 42 U.S.C. $1,100,000 or 1 percent of the total Paperwork Reduction Act assets of the credit union, whichever is 4012a(f), originally passed by Congress less, per day. in 1994, was not adjusted for inflation No collections of information in 1996. Therefore, the current pursuant to the Paperwork Reduction 12 U.S.C. 1785(e)(3) adjustment will be the percentage by Act (44 U.S.C. 3501 et seq.) are Pursuant to 12 U.S.C. 1785(e)(1), which the CPI for the month of June contained in the rule. Consequently, no NCUA is authorized to promulgate 1999 exceeds the CPI for the month of information has been submitted to the

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 57280 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

Office of Management and Budget for Treasury and General Government PART 747ÐADMINISTRATIVE review. Appropriations Act, 1999, Pub. L. No. ACTIONS, ADJUDICATIVE HEARINGS, 105–277, 112 Stat. 2681 (1998). Executive Order 13132 RULES OF PRACTICE AND PROCEDURE, AND INVESTIGATIONS Executive Order 13132 encourages Small Business Regulatory Enforcement Fairness Act independent regulatory agencies to 1. The authority citation for part 747 consider the impact of their regulatory The Small Business Regulatory is revised to read as follows: actions on state and local interests. In Enforcement Fairness Act of 1996 (Pub. adherence to fundamental federalism L. No. 104–21) provides generally for Authority: 12 U.S.C. 1766, 1782, 1784, principles, NCUA, an independent congressional review of agency rules. A 1785, 1786, 1787; 42 U.S.C. 4012a; Pub. L. regulatory agency as defined in 44 reporting requirement is triggered in 101–410; Pub.L. 104–134. U.S.C. 3502(5), voluntarily complies instances where NCUA issues a final with the Executive Order. This final rule rule as defined by Section 551 of the 2. Part 747, Subpart K is revised to will apply to all federally-insured credit Administrative Procedures Act. 5 U.S.C. read as follows: unions, but it will not have substantial 551. The Office of Management and Subpart KÐInflation Adjustment of direct effects on the states, on the Budget has reviewed this rule and has Civil Monetary Penalties relationship between the national determined that for purposes of the government and the states, or on the Small Business Regulatory Enforcement § 747.1001 Adjustment of civil money distribution of power and Fairness Act of 1996 it is not a major penalties by the rate of inflation. responsibilities among the various rule. levels of government. NCUA has (a) NCUA is required by the Federal determined the final rule does not List of Subjects in 12 CFR Part 747 Civil Penalties Inflation Adjustment Act constitute a policy that has federalism Credit unions, Civil monetary of 1990 (Public Law 101–410, 104 Stat. implications for purposes of the penalties. 890, as amended (28 U.S.C. 2461 note)) Executive Order. By the National Credit Union to adjust the maximum amount of each Assessment of Federal Regulations and Administration Board on September 6, 2000. civil money penalty within its Policies on Families Becky Baker, jurisdiction by the rate of inflation. The following chart displays those NCUA has determined that this rule Secretary to the Board. adjustments, as calculated pursuant to will not affect family well-being within Accordingly, the NCUA amends 12 the statute: the meaning of section 654 of the CFR part 747 as follows:

U.S. Code citation CMP description New maximum amount

(1) 12 U.S.C. 1782(a)(3) ...... Inadvertent failure to submit a report or the inadvertent $2,200 submission of a false or misleading report. (2) 12 U.S.C. 1782(a)(3) ...... Non-inadvertent failure to submit a report or the non-in- $22,000 advertent submission of a false or misleading report. (3) 12 U.S.C. 1782(a)(3) ...... Failure to submit a report or the submission of a false $1,100,000 or 1 percent of the total assets of the credit or misleading report done knowingly or with reckless union, whichever is less disregard. (4) 12 U.S.C. 1782(d)(2)(A) First tier ...... $2,200 (5) 12 U.S.C. 1782(d)(2)(B) Second tier ...... $22,000 (6) 12 U.S.C. 1782(d)(2)(C) Third tier ...... $1,100,000 or 1 percent of the total assets of the credit union, whichever is less (7) 12 U.S.C. 1785(e)(3) ...... Non-compliance with NCUA security regulations ...... $110 (8) 12 U.S.C. 1786(k)(2)(A) First tier ...... $5,500 (9) 12 U.S.C. 1786(k)(2)(B) Second tier ...... $27,500 (10) 12 U.S.C. 1786(k)(2)(C) Third tier ...... For a person other than an insured credit union: $1,175,000; For an insured credit union: $1,175,000 or 1 percent of the total assets of the credit union, whichever is less (11) 42 U.S.C. 4012a(f) ...... Per violation ...... $385 Per calendar year ...... $110,000

(b) The adjustments displayed in DEPARTMENT OF TRANSPORTATION ACTION: Final rule; request for paragraph (a) of this section apply to comments. acts occurring beginning on October 23, Federal Aviation Administration 2000. SUMMARY: This document publishes in 14 CFR Part 39 the Federal Register an amendment [FR Doc. 00–24431 Filed 9–21–00; 8:45 am] adopting Airworthiness Directive (AD) BILLING CODE 7535±01±P [Docket No. 2000±SW±41±AD; Amendment 2000–17–52, which was sent previously 39±11898; AD 2000±17±52] to all known U.S. owners and operators of Agusta S.p.A. (Agusta) Model A109E RIN 2120±AA64 helicopters by individual letters. This Airworthiness Directives; Agusta AD requires, before further flight, S.p.A. Model A109E Helicopters visually inspecting any main rotor rotating scissors assembly for correct AGENCY: Federal Aviation installation and replacing any Administration, DOT. unairworthy part with an airworthy

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57281 part. If the rotating scissors attachment removing the rotating scissors assembly will neither increase the economic bolt (attachment bolt) is not replaced to inspect the attachment bolt for a burden on any operator nor increase the with a new part at the initial inspection, crack and replacing any cracked scope of the AD. this AD also requires removing the attachment bolt with a new attachment Since it was found that immediate rotating scissors assembly to inspect the bolt before further flight. That action corrective action was required, notice attachment bolt for a crack and was prompted by two incidents of flight and opportunity for prior public replacing any cracked attachment bolt control malfunctions. Investigations of comment thereon were impracticable with a new attachment bolt before each incident revealed incorrect and contrary to the public interest, and further flight. This amendment is installation of the main rotor rotating good cause existed to make the AD prompted by two incidents of flight scissors assembly resulted in fatigue effective immediately by individual control malfunctions. The actions failure of the attachment bolt. This letters issued on August 23, 2000 to all specified by this AD are intended to condition, if not corrected, could result known U.S. owners and operators of prevent failure of the rotating scissors in failure of the rotating scissors Agusta Model A109E helicopters. These assembly and subsequent loss of control assembly and subsequent loss of control conditions still exist, and the AD is of the helicopter. of the helicopter. hereby published in the Federal DATES: Effective October 10, 2000, to all The FAA has reviewed Agusta Alert Register as an amendment to section persons except those persons to whom Bollettino Tecnico No. 109EP–12, dated 39.13 of the Federal Aviation it was made immediately effective by July 24, 2000 (ABT), which describes Regulations (14 CFR 39.13) to make it Emergency AD 2000–17–52, issued on procedures for visually inspecting, effective to all persons. August 23, 2000, which contained the before further flight, the rotating scissors The FAA estimates that 20 helicopters requirements of this amendment. assembly, part number (P/N) 109–0134– of U.S. registry will be affected by this The incorporation by reference of 09, for correct installation. This ABT AD. It will take approximately 1.5 work certain publications listed in the also specifies, within the next 50 hours hours per helicopter to inspect the regulations is approved by the Director time-in-service (TIS), removing the rotating scissors assembly and 1.5 work of the Federal Register as of October 10, rotating scissors assembly to inspect the hours to inspect the attachment bolt for 2000. attachment bolt for a crack or damage a crack. If necessary, it will take Comments for inclusion in the Rules unless the attachment bolt was replaced approximately 15 work hours per Docket must be received on or before with a new attachment bolt as a result helicopter to replace any unairworthy November 21, 2000. of the initial inspection. The ABT part on the rotating scissors assembly or the attachment bolt. The average labor ADDRESSES: Submit comments in specifies replacing any unairworthy part rate is $60 per work hour. The triplicate to the Federal Aviation with an airworthy part. Since the unsafe condition described manufacturer has stated, in writing, that Administration (FAA), Office of the is likely to exist or develop on other replacement parts will be provided at no Regional Counsel, Southwest Region, Agusta Model A109E helicopters of the cost. Based on these figures, the total Attention: Rules Docket No. 2000–SW– same type design, the FAA issued cost impact of the AD on U.S. operators 41–AD, 2601 Meacham Blvd., Room Emergency AD 2000–17–52 to prevent is estimated to be $21,600, assuming 2 663, Fort Worth, Texas 76137. You may failure of the rotating scissors assembly inspections and 1 replacement per also send comments electronically to and subsequent loss of control of the helicopter. the Rules Docket at the following helicopter. The AD requires, before Comments Invited address: [email protected]. further flight, visually inspecting any The applicable service information rotating scissors assembly, P/N 109– Although this action is in the form of may be obtained from Agusta, 21017 0134–09, for correct installation and a final rule that involves requirements Cascina Costa di Samarate (VA) Italy, replacing any unairworthy part with an affecting flight safety and, thus, was not Via Giovanni Agusta 520, telephone 39 airworthy part. If the attachment bolt is preceded by notice and an opportunity (0331) 229111, fax 39 (0331) 229605– not replaced with a new attachment bolt for public comment, comments are 222595. This information may be at the initial inspection, this AD also invited on this rule. Interested persons examined at the FAA, Office of the requires, within 50 hours TIS, removing are invited to comment on this rule by Regional Counsel, Southwest Region, the rotating scissors assembly to inspect submitting such written data, views, or 2601 Meacham Blvd., Room 663, Fort the attachment bolt for a crack and arguments as they may desire. Worth, Texas; or at the Office of the replacing any cracked attachment bolt Communications should identify the Federal Register, 800 North Capitol with a new attachment bolt before Rules Docket number and be submitted Street, NW., suite 700, Washington, DC. further flight. A ‘‘new’’ attachment bold in triplicate to the address specified FOR FURTHER INFORMATION CONTACT: is one with zero hours TIS. The actions under the caption ADDRESSES. All Richard Monschke, Aviation Safety must be accomplished in accordance communications received on or before Engineer, FAA, Rotorcraft Directorate, with the ABT described previously. The the closing date for comments will be Rotorcraft Standards Staff, Fort Worth, short compliance time involved is considered, and this rule may be Texas 76193–0110, telephone (817) required because the previously amended in light of the comments 222–5116, fax (817) 222–5961. described critical unsafe condition can received. Factual information that SUPPLEMENTARY INFORMATION: On August adversely affect the controllability of the supports the commenter’s ideas and 23, 2000 the FAA issued Emergency AD helicopter. Therefore, the actions suggestions is extremely helpful in 2000–17–52 for Agusta Model A109E discussed previously are required before evaluating the effectiveness of the AD helicopters, which requires before further flight, and this AD must be action and determining whether further flight, visually inspecting any issued immediately. However, the FAA additional rulemaking action would be rotating scissors assembly for correct has made one nonsubstantive change to needed. installation and replacing any a word that was incorrectly spelled in Comments are specifically invited on unairworthy part with an airworthy the emergency AD. The word ‘‘Tecnico’’ the overall regulatory, economic, part. If the attachment bolt is not is misspelled in the Emergency AD and environmental, and energy aspects of replaced with a new part at the initial that correction is made in this AD. The the rule that might suggest a need to inspection, the AD also requires FAA has determined that this change modify the rule. All comments

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 57282 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations submitted will be available, both before § 39.13 [Amended] Register in accordance with 5 U.S.C. 552(a) and after the closing date for comments, and 1 CFR part 51. Copies may be obtained 2. Section 39.13 is amended by from Agusta, 21017 Cascina Costa di in the Rules Docket for examination by adding a new airworthiness directive to interested persons. A report that Samarate (VA) Italy, Via Giovanni Agusta read as follows: 520, telephone 39 (0331) 229111, fax 39 summarizes each FAA-public contact (0331) 229605–222595. Copies may be concerned with the substance of this AD 2000–17–52 Agusta S.p.A.: Amendment 39– inspected at the FAA, Office of the Regional will be filed in the Rules Docket. 11898. Docket No. 2000–SW–41–AD. Counsel, Southwest Region, 2601 Meacham Commenters wishing the FAA to Applicability: Model A109E helicopters, Blvd., Room 663, Fort Worth, Texas; or at the acknowledge receipt of their mailed up to and including serial number (S/N) Office of the Federal Register, 800 North comments submitted in response to this 11082, with main rotor rotating scissors Capitol Street, NW., suite 700, Washington, assembly, part number (P/N) 109–0134–09, DC. rule must submit a self-addressed, installed, certificated in any category. (f) This amendment becomes effective on stamped postcard on which the Note 1: This AD applies to each helicopter October 10, 2000, to all persons except those following statement is made: identified in the preceding applicability persons to whom it was made immediately ‘‘Comments to Docket No. 2000–SW– provision, regardless of whether it has been effective by Emergency AD 2000–17–52, 41–AD.’’ The postcard will be date otherwise modified, altered, or repaired in issued August 23, 2000, which contained the stamped and returned to the the area subject to the requirements of this requirements of this amendment. commenter. AD. For helicopters that have been modified, Note 3: The subject of this AD is addressed The regulations adopted herein will altered, or repaired so that the performance in RegistroAeronautico Italiano (Italy) AD of the requirements of this AD is affected, the 2000–371, dated July 24, 2000. not have a substantial direct effect on owner/operator must request approval for an the States, on the relationship between alternative method of compliance in Issued in Fort Worth, Texas, on September the national Government and the States, accordance with paragraph (c) of this AD. 13, 2000. or on the distribution of power and The request should include an assessment of Eric Bries, responsibilities among the various the effect of the modification, alteration, or Acting Manager, Rotorcraft Directorate, levels of government. Therefore, it is repair on the unsafe condition addressed by Aircraft Certification Service. determined that this final rule does not this AD; and if the unsafe condition has not [FR Doc. 00–24109 Filed 9–21–00; 8:45 am] been eliminated, the request should include have federalism implications under BILLING CODE 4910±13±P Executive Order 13132. specific proposed actions to address it. Compliance: Required as indicated, unless The FAA has determined that this accomplished previously. DEPARTMENT OF TRANSPORTATION regulation is an emergency regulation To prevent failure of the rotating scissors that must be issued immediately to assembly and subsequent loss of control of Federal Aviation Administration correct an unsafe condition in aircraft, the helicopter, accomplish the following: and that it is not a ‘‘significant (a) Before further flight, visually inspect 14 CFR Part 39 regulatory action’’ under Executive the rotating scissors assembly for correct Order 12866. It has been determined installation in accordance with Part I of [Docket No. 2000±NM±259±AD; Amendment further that this action involves an Agusta Bollettino Tecnico No. 109EP–12, 39±11909; AD 2000±19±08] emergency regulation under DOT dated July 24, 2000 (ABT). Replace any unairworthy part with an airworthy part RIN 2120±AA64 Regulatory Policies and Procedures (44 before further flight. FR 11034, February 26, 1979). If it is (b) If a new rotating scissors attachment Airworthiness Directives; Boeing determined that this emergency bolt (attachment bolt), P/N NAS6606D28 or Model 777 Series Airplanes regulation otherwise would be NAS1306–28D, was not installed during significant under DOT Regulatory compliance with paragraph (a) of this AD, AGENCY: Federal Aviation Policies and Procedures, a final within the next 50 hours time-in-service Administration, DOT. regulatory evaluation will be prepared (TIS), in accordance with Part II of the ABT, ACTION: Final rule; request for and placed in the Rules Docket. A copy visually inspect the attachment bolt, P/N comments. of it, if filed, may be obtained from the NAS6606D28 or NAS1306–28D, for a crack. Replace any cracked attachment bolt with a SUMMARY: This amendment supersedes Rules Docket at the location provided new attachment bolt before further flight. an existing airworthiness directive (AD), under the caption ADDRESSES. (c) An alternative method of compliance or applicable to all Boeing Model 777 List of Subjects in 14 CFR Part 39 adjustment of the compliance time that series airplanes. The existing AD provides an acceptable level of safety may be requires repetitive detailed visual Air transportation, Aircraft, Aviation used if approved by the Manager, Regulations Group, Rotorcraft Directorate, FAA. inspections to detect cracking of the safety, Incorporation by reference, coveskin on the outboard leading edge Safety. Operators shall submit their requests through an FAA, Principal Maintenance Inspector, slats; a slat adjustment check; and Adoption of the Amendment who may concur or comment and then send corrective actions, if necessary. This it to the Manager, Regulations Group. amendment reduces the repetitive Accordingly, pursuant to the Note 2: Information concerning the inspection interval, but also provides for authority delegated to me by the existence of approved alternative methods of an optional modification that would Administrator, the Federal Aviation compliance with this AD, if any, may be significantly increase the repetitive Administration amends part 39 of the obtained from the Regulations Group. inspection interval. This amendment Federal Aviation Regulations (14 CFR (d) Special flight permits may be issued in also revises the applicability of the part 39) as follows: accordance with 14 CFR 21.197 and 21.199 existing AD to remove certain airplanes. to operate the helicopter to a location where This amendment is prompted by PART 39ÐAIRWORTHINESS the requirements paragraph (b) of this AD can findings of increased vibration of the DIRECTIVES be accomplished. (e) The inspections shall be done in coveskins due to air leaking and resonating within the cavity between 1. The authority citation for part 39 accordance with Parts I and II of Agusta Bollettino Tecnico No. 109EP–12, dated July the fixed leading edge and the coveskin; continues to read as follows: 24, 2000. This incorporation by reference was the vibration can result in fatigue Authority: 49 U.S.C. 106(g), 40113, 44701. approved by the Director of the Federal cracking and high fatigue loads. The

VerDate 112000 15:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00006 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm02 PsN: 22SER1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57283 actions specified in this AD are 99–04–19, amendment 39–11044 (64 FR the installation would significantly intended to detect and correct cracking 8230, February 19, 1999), applicable to increase the repetitive inspection and/or missing pieces of the coveskin all Boeing Model 777 series airplanes, to interval. Certain airplanes have received on the outboard leading edge slats on require repetitive detailed visual the seal inserts in production. the wings, which could result in skin inspections to detect cracking of the Revision 4 of the alert service bulletin separation or structural damage to the coveskin on the outboard leading edge was issued to recommend a compliance leading edge slats and consequent slats; a slat adjustment check; and time(s) in terms of flight hours as well reduced controllability of the airplane. corrective actions, if necessary. That as flight cycles because the subject DATES: Effective October 10, 2000. action was prompted by reports of vibration occurs mainly during cruise, The incorporation by reference of fatigue cracking and/or missing pieces which is related to flight hours. Boeing Alert Service Bulletin 777– of the coveskin on the outboard leading Revision 4 also clarifies certain 57A0034, Revision 3, dated May 4, edge slats. The actions required by that instructions for the slat adjustment 2000, and Boeing Alert Service Bulletin AD are intended to detect and correct check and internal inspection. such discrepancies, which could result 777–57A0034, Revision 4, dated July 20, Explanation of Requirements of Rule 2000, as listed in the regulations, is in skin separation or structural damage approved by the Director of the Federal to the leading edge slats and consequent Since an unsafe condition has been Register as of October 10, 2000. reduced controllability of the airplane. identified that is likely to exist or develop on other airplanes of this same The incorporation by reference of Actions Since Issuance of Previous Rule Boeing Alert Service Bulletin 777– type design, this AD supersedes AD 99– 57A0034, Revision 2, dated November Since the issuance of that AD, Boeing 04–19 to continue to require repetitive 19, 1998, as listed in the regulations, has conducted flight tests with detailed visual inspections to detect was approved previously by the Director instrumented slats. The testing revealed cracking of the coveskin on the outboard of the Federal Register as of 8, that the spanwise bulb seals of the slats leading edge slats; a slat adjustment 1999 (64 FR 8230, February 19, 1999). can allow air to leak and resonate in the check; and corrective actions, if Comments for inclusion in the Rules cavity between the fixed leading edge necessary. This AD reduces the Docket must be received on or before and the coveskin, which can cause the repetitive inspection interval, but also November 21, 2000. coveskin to vibrate. Testing also showed provides for an optional modification that this vibration resulted in fatigue ADDRESSES: Submit comments in that would significantly increase the loads much higher than expected. The triplicate to the Federal Aviation repetitive inspection interval. In vibration of the coveskin can also result Administration (FAA), Transport addition, this AD removes certain in fatigue cracking of the slats. Airplane Directorate, ANM–114, airplanes from the applicability. The Undetected cracking of the slats could Attention: Rules Docket No. 2000–NM– actions are required to be accomplished eventually lead to damage or skin 259–AD, 1601 Lind Avenue, SW., in accordance with the alert service separation on the slat trailing edge Renton, Washington 98055–4056. bulletin described previously, except as wedge of an outboard slat, and Comments may be inspected at this discussed below. consequent loss of pieces of the trailing location between 9 a.m. and 3 p.m., edge wedge. In addition, the maneuver Differences Between AD and Relevant Monday through Friday, except Federal margins and the speed margins to Service Information holidays. Comments may be submitted airplane stall will be decreased if a via fax to (425) 227–1232. Comments The alert service bulletin specifies trailing edge wedge is lost or sufficiently may also be sent via the Internet using that the manufacturer may be contacted damaged. A lost or sufficiently damaged the following address: 9-anm- for disposition of certain repair wedge can cause the airplane to roll, [email protected]. Comments sent conditions. However, this AD requires with no warning, before the stall system via fax or the Internet must contain the repair of those conditions to be operates. ‘‘Docket No. 2000–NM–259–AD’’ in the accomplished in accordance with a Testing further revealed that the method approved by the FAA. subject line and need not be submitted installation of foam inserts in the in triplicate. Comments sent via the spanwise bulb seal resulted in increased Interim Action Internet as attached electronic files must compression and significantly reduced This is considered to be interim be formatted in Microsoft Word 97 for vibration of the coveskin. action. The FAA is currently Windows or ASCII text. considering further rulemaking action to The service information referenced in Explanation of Relevant Service revise the applicability of this AD to this AD may be obtained from Boeing Information include additional airplanes; however, Commercial Airplane Group, P.O. Box The FAA has reviewed and approved the planned compliance time for the 3707, Seattle, Washington 98124–2207. Boeing Alert Service Bulletin 777– additional airplanes is sufficiently long This information may be examined at 57A0034, Revision 3, dated May 4, so that notice and opportunity for prior the FAA, Transport Airplane 2000; and Revision 4, dated July 20, public comment will be practicable. Directorate, 1601 Lind Avenue, SW., 2000. Revision 2 of this alert service Renton, Washington; or at the Office of bulletin was cited in AD 99–04–19 as Determination of Rule’s Effective Date the Federal Register, 800 North Capitol the appropriate source of service Since a situation exists that requires Street, NW., suite 700, Washington, DC. information for the coveskin inspection the immediate adoption of this FOR FURTHER INFORMATION CONTACT: Stan and certain corrective actions. regulation, it is found that notice and Wood, Aerospace Engineer, Airframe Revision 3 of the alert service bulletin opportunity for prior public comment Branch, ANM–120S, FAA, Seattle was issued to, among other things, hereon are impracticable, and that good Aircraft Certification Office, 1601 Lind recommend that an internal inspection cause exists for making this amendment Avenue, SW., Renton, Washington and slat adjustment check be done only effective in less than 30 days. 98055–4056; telephone (425) 227–2772; if a cracked slat is found. In addition, fax (425) 227–1181. Revision 3 describes procedures for Comments Invited SUPPLEMENTARY INFORMATION: On installing seal inserts into the spanwise Although this action is in the form of February 9, 1999, the FAA issued AD bulb seals for the slats; if accomplished, a final rule that involves requirements

VerDate 112000 15:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00007 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm02 PsN: 22SER1 57284 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations affecting flight safety and, thus, was not correct an unsafe condition in aircraft, To detect and correct cracking and/or preceded by notice and an opportunity and that it is not a ‘‘significant missing pieces of the coveskin on the for public comment, comments are regulatory action’’ under Executive outboard leading edge slats on the wings, invited on this rule. Interested persons Order 12866. It has been determined which could result in skin separation or structural damage to the leading edge slats are invited to comment on this rule by further that this action involves an and consequent reduced controllability of the submitting such written data, views, or emergency regulation under DOT airplane, accomplish the following: arguments as they may desire. Regulatory Policies and Procedures (44 Communications shall identify the FR 11034, February 26, 1979). If it is Inspection Rules Docket number and be submitted determined that this emergency (a) At the applicable time specified by in triplicate to the address specified regulation otherwise would be paragraph (a)(1) or (a)(2) of this AD: Perform under the caption ADDRESSES. All significant under DOT Regulatory detailed visual inspections to detect cracking of the coveskin on the outboard leading edge communications received on or before Policies and Procedures, a final slats of the left and right wings at slat the closing date for comments will be regulatory evaluation will be prepared numbers 1 through 6 inclusive, and 9 considered, and this rule may be and placed in the Rules Docket. A copy through 14 inclusive; in accordance with amended in light of the comments of it, if filed, may be obtained from the Boeing Alert Service Bulletin 777–57A0034, received. Factual information that Rules Docket at the location provided Revision 2, dated November 19, 1998; supports the commenter’s ideas and under the caption ADDRESSES. Revision 3, dated May 4, 2000; or Revision suggestions is extremely helpful in 4, dated July 20, 2000. Repeat the inspections List of Subjects in 14 CFR Part 39 evaluating the effectiveness of the AD thereafter at intervals not to exceed 100 flight action and determining whether Air transportation, Aircraft, Aviation cycles or 400 flight hours, whichever occurs first. additional rulemaking action would be safety, Incorporation by reference, (1) For airplanes on which the repetitive needed. Safety. inspections required by paragraph (a) of AD Submit comments using the following Adoption of the Amendment 99–04–19 HAVE been initiated prior to the format: effective date of this AD: Inspect at the earlier • Organize comments issue-by-issue. Accordingly, pursuant to the of the times specified by paragraphs (a)(1)(i) For example, discuss a request to authority delegated to me by the and (a)(1)(ii) of this AD. change the compliance time and a Administrator, the Federal Aviation (i) Within 350 flight cycles after the most request to change the service bulletin recent inspection. Administration amends part 39 of the (ii) At the later of the times specified by reference as two separate issues. Federal Aviation Regulations (14 CFR • For each issue, state what specific paragraphs (a)(1)(ii)(A) and (a)(1)(ii)(B) of this part 39) as follows: AD. change to the AD is being requested. • (A) Within 100 flight cycles or 400 flight Include justification (e.g., reasons or PART 39ÐAIRWORTHINESS hours, whichever occurs first, after the most data) for each request. DIRECTIVES recent inspection. Comments are specifically invited on (B) Within 30 days after the effective date the overall regulatory, economic, 1. The authority citation for part 39 of this AD. environmental, and energy aspects of continues to read as follows: (2) For airplanes on which the repetitive the rule that might suggest a need to Authority: 49 U.S.C. 106(g), 40113, 44701. inspections required by paragraph (a) of AD modify the rule. All comments 99–04–19 have NOT been initiated prior to submitted will be available, both before § 39.13 [Amended] the effective date of this AD: Inspect at the and after the closing date for comments, earlier of the times specified by paragraphs 2. Section 39.13 is amended by (a)(2)(i) and (a)(2)(ii) of this AD. in the Rules Docket for examination by removing amendment 39–11044 (64 FR (i) Prior to the accumulation of 500 total interested persons. A report that 8230, February 19, 1999), and by adding flight cycles. summarizes each FAA-public contact a new airworthiness directive (AD), (ii) Prior to the accumulation of 2,000 total concerned with the substance of this AD amendment 39–11909, to read as flight hours, or within 30 days after the will be filed in the Rules Docket. follows: effective date of this AD, whichever occurs Commenters wishing the FAA to later. 2000–19–08 Boeing: Amendment 39–11909. Note 2: For the purposes of this AD, a acknowledge receipt of their comments Docket 2000–NM–259–AD. Supersedes detailed visual inspection is defined as: ‘‘An submitted in response to this rule must AD 99–04–19, Amendment 39–11044. submit a self-addressed, stamped intensive visual examination of a specific Applicability: Model 777 series airplanes, structural area, system, installation, or postcard on which the following certificated in any category; having line statement is made: ‘‘Comments to assembly to detect damage, failure, or numbers 1 through 265 inclusive. irregularity. Available lighting is normally Docket Number 2000–NM–259–AD.’’ Note 1: This AD applies to each airplane supplemented with a direct source of good The postcard will be date stamped and identified in the preceding applicability lighting at intensity deemed appropriate by returned to the commenter. provision, regardless of whether it has been the inspector. Inspection aids such as mirror, Regulatory Impact modified, altered, or repaired in the area magnifying lenses, etc., may be used. Surface subject to the requirements of this AD. For cleaning and elaborate access procedures The regulations adopted herein will airplanes that have been modified, altered, or may be required.’’ not have a substantial direct effect on repaired so that the performance of the the States, on the relationship between requirements of this AD is affected, the Corrective Action the national Government and the States, owner/operator must request approval for an (b) If any cracking is detected during any or on the distribution of power and alternative method of compliance in inspection required by paragraph (a) of this accordance with paragraph (d) of this AD. AD, prior to further flight, accomplish all responsibilities among the various The request should include an assessment of levels of government. Therefore, it is applicable corrective actions specified by and the effect of the modification, alteration, or in accordance with Boeing Alert Service determined that this final rule does not repair on the unsafe condition addressed by Bulletin 777–57A0034, Revision 2, dated have federalism implications under this AD; and, if the unsafe condition has not November 19, 1998; Revision 3, dated April Executive Order 13132. been eliminated, the request should include 4, 2000; or Revision 4, dated July 20, 2000. The FAA has determined that this specific proposed actions to address it. The corrective actions include stop drilling regulation is an emergency regulation Compliance: Required as indicated, unless the crack and performing detailed visual that must be issued immediately to accomplished previously. inspections, slat adjustment checks, and

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57285 replacement of the slats. Where the alert Revision 4, dated July 20, 2000, is approved changed from Melbourne Regional to service bulletin specifies to contact Boeing by the Director of the Federal Register, in Melbourne International Airport. This for appropriate action: Prior to further flight, accordance with 5 U.S.C. 552(a) and 1 CFR rule will become effective on the date repair in accordance with a method approved part 51. specified in the DATES section. Since by the Manager, Seattle Aircraft Certification (2) The incorporation by reference of Office, FAA. For a repair method to be Boeing Alert Service Bulletin 777–57A0034, this action eliminates the impact of approved by the Manager, Seattle ACO, as Revision 2, dated November 19, 1998, was controlled airspace on users of the required by this paragraph, the Manager’s approved previously by the Director of the airspace in the vicinity of the approval letter must specifically reference Federal Register as of March 8, 1999 (64 FR Melbourne International Airport during this AD. After the effective date of this AD, 8230, February 19, 1999). the hours the control towers are closed, only Revision 4 of the alert service bulletin (3) Copies may be obtained from Boeing notice and public procedure under 5 may be used. Commercial Airplane Group, P.O. Box 3707, U.S.C. 553(b) are unnecessary. Optional Modification Seattle, Washington 98124–2207. Copies may be inspected at the FAA, Transport Airplane The Rule (c) Accomplishment of the actions Directorate, 1601 Lind Avenue, SW., Renton, specified by paragraphs (c)(1) and (c)(2) of Washington; or at the Office of the Federal This amendment to Part 71 of the this AD extends the repetitive inspection Register, 800 North Capitol Street, NW., suite Federal Aviation Regulations (14 CFR interval specified by paragraph (a) of this AD 700, Washington, DC. part 71) amends Class E4 airspace at to 8,000 flight cycles. Melbourne, FL. Class E4 airspace areas (1) Install a seal insert into the spanwise Effective Date designated as an extension to a Class D bulb seals for the slats in accordance with (g) This amendment becomes effective on airspace area are published in Paragraph Part 4 of Boeing Alert Service Bulletin 777– October 10, 2000. 57A0034, Revision 3, dated May 4, 2000; or 6004 of FAA Order 7400.9H, dated Revision 4, dated July 20, 2000. Issued in Renton, Washington, on September 1, 2000, and effective (2) Within 750 days or 4,000 flight cycles, September 14, 2000. September 16, 2000, which is whichever occurs first, after installing the Donald L. Riggin, incorporated by reference in 14 CFR seal insert as specified by paragraph (c)(1) of Acting Manager, Transport Airplane 71.1. The Class E4 airspace designation this AD: Perform a detailed visual inspection Directorate, Aircraft Certification Service. listed in this document will be of the interior structure of the coveskin at slat [FR Doc. 00–24110 Filed 9–21–00; 8:45 am] published subsequently in the Order. numbers 1 through 6 inclusive, and 9 through 14 inclusive, in accordance with Part BILLING CODE 4910±13±P The FAA has determined that this 2 of the Accomplishment Instructions of the regulation only involves an established alert service bulletin. body of technical regulations for which DEPARTMENT OF TRANSPORTATION frequent and routine amendments are Alternative Methods of Compliance necessary to keep them operationally (d)(1) An alternative method of compliance Federal Aviation Administration current. It, therefore, (1) is not a or adjustment of the compliance time that ‘‘significant regulatory action’’ under provides an acceptable level of safety may be 14 CFR Part 71 Executive Order 12866; (2) is not a used if approved by the Manager, Seattle ACO. Operators shall submit their requests [Airspace Docket No. 00±ASO±34] ‘‘significant rule’’ under DOT through an appropriate FAA Principal Regulatory Policies and Procedures (44 Maintenance Inspector, who may add Amendment of Class E4 Airspace; FR 11034; February 26, 1979); and (3) comments and then send it to the Manager, Melbourne, FL does not warrant preparation of a Seattle ACO. regulatory evaluation as the anticipated AGENCY: Federal Aviation (2) Alternative methods of compliance, Administration (FAA), DOT. impact is so minimal. Since this is a approved previously in accordance with AD routine matter that will only affect air 99–04–19, amendment 39–11044, are ACTION: Final rule. traffic procedures and air navigation, it approved as alternative methods of is certified that this rule will not have compliance with paragraph (b) of this AD. SUMMARY: This action amends the Class E4 Airspace at Melbourne, FL, from a significant economic impact on a Note 3: Information concerning the substantial number of small entities existence of approved alternative methods of continuous to part time, as the air traffic compliance with this AD, if any, may be control towers at these locations are under the criteria of the Regulatory obtained from the Seattle ACO. now part time. This action also changes Flexibility Act. the name of the airport from Melbourne List of Subjects in 14 CFR Part 71 Special Flight Permits Regional to Melbourne International (e) Special flight permits may be issued in Airport. Airspace, Incorporation by reference, accordance with sections 21.197 and 21.199 Navigation (air). of the Federal Aviation Regulations (14 CFR DATES: Effective Date: 0901 UTC, 21.197 and 21.199) to operate the airplane to November 30, 2000. Adoption of the Amendment a location where the requirements of this AD FOR FURTHER INFORMATION CONTACT: can be accomplished. In consideration of the foregoing, the Nancy B. Shelton, Manager, Airspace Federal Aviation Administration Incorporation by Reference Branch, Air Traffic Division, Federal amends 14 CFR Part 71 as follows: (f) Except as provided by paragraph (b) of Aviation Administration, P.O. Box this AD: The actions shall be done in 20636, Atlanta, GA 30320; telephone PART 71ÐDESIGNATION OF CLASS A, accordance with Boeing Alert Service (404) 305–5586. CLASS B, CLASS C, CLASS D AND Bulletin 777–57A0034, Revision 2, dated SUPPLEMENTARY INFORMATION: CLASS E AIRSPACE AREAS; November 19, 1998; Boeing Alert Service AIRWAYS; ROUTES; AND REPORTING History Bulletin 777–57A0034, Revision 3, dated POINTS May 4, 2000; and Boeing Alert Service The air traffic control tower at Bulletin 777–57A0034, Revision 4, dated July 1. The authority citation for 14 CFR 20, 2000; as applicable. Melbourne, FL, no longer operates (1) The incorporation by reference of continuously. Therefore, the Class E4 Part 71 continues to read as follows: Boeing Alert Service Bulletin 777–57A0034, airspace at Melbourne, FL, must be Authority: 49 U.S.C. 106(g); 40103, 40113, Revision 3, dated May 4, 2000, and Boeing amended from continuous to part time. 40120; EO 10854, 24 FR 9565, 3 CFR, 1959– Alert Service Bulletin 777–57A0034, Further, the name of the airport has 1963 Comp., p. 389; 14 CFR 11.69.

VerDate 112000 15:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm02 PsN: 22SER1 57286 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

§ 71.1 [Amended] FOR FURTHER INFORMATION CONTACT: Document Format (PDF) on the Internet 2. The incorporation by reference in Kenneth C. Depew, Division of at either of the following sites: 14 CFR 71.1 of Federal Aviation Regulatory Services, Office of the http://ocfo.ed.gov/fedreg.htm Administration Order 7400.9H, General Counsel, Department of http://www.ed.gov/news.html Airspace Designations and Reporting Education, 400 Maryland Avenue, SW., To use PDF you must have Adobe Points, dated September 1, 2000, and Room 6E109, FB–6, Washington, DC Acrobat Reader, which is available free effective September 16, 2000, is 20202–2241. Telephone: (202) 401– at either of the previous sites. If you amended as follows: 8300. If you use a telecommunications have questions about using PDF, call the device for the deaf (TDD), you may call U.S. Government Printing Office (GPO), Paragraph 6004 Class E4 Airspace Areas the Federal Information Relay Service Designated as an extension to a Class D toll free at 1–888–293–6498; or in the Airspace Area. (FIRS) at 1–800–877–8339. Washington, DC, area at (202) 512–1530. Individuals with disabilities may * * * * * Note: The official version of this document obtain this document in an alternative is the document published in the Federal ASO FL E4 Melbourne, FL [Revised] format (e.g., Braille, large print, Register. Free Internet access to the official Melbourne International Airport, FL audiotape, or computer diskette) on edition of the Federal Register and the Code (Lat. 28°06′10″N, long. 80°38′45″W) request to the contact person listed in of Federal Regulations is available on GPO Melbourne VOR/DME the preceding paragraph. Access at: http://www.access.gpo.gov/nara/ index.html (Lat. 28°06′19″N, long. 80°38′07″W) SUPPLEMENTARY INFORMATION: These (Catalog of Federal Domestic Assistance Satellite NDB regulations amend the regulations in 34 ° ′ ″ ° ′ ″ Numbers do not apply.) (Lat. 28 05 58 N, long. 80 42 03 W) CFR part 3 (Official Seal) to reflect the That airspace extending upward from the current organizational structure of the List of Subjects surface within 3 miles each side of the ° Department. Melbourne VOR 100 radial, extending from The regulations in 34 CFR part 19 34 CFR Part 3 the 4.3-mile radius of the Melbourne Seals and insignia. International Airport to 7 miles east of the (National Security Information VOR and within 2.5 miles north and 3 miles Procedures) are removed because the 34 CFR Part 19 south of the 267° bearing from the Satellite Department’s security classification NDB, extending from the 4.3-mile radius of regulation does not affect members of Classified information. the airport to 7 miles west of the NDB. This the public. Therefore, as confirmed by Dated: September 19, 2000. Class E airspace area is effective during the the Information Security Oversight Lorraine Lewis, specific dates and times established in Office, National Archives and Records Inspector General. advance by a Notice to Airmen. The effective Administration, publication of these Willie Gilmore, date and time will thereafter be continuously regulations is unnecessary. published in the Airport/Facility Directory. Director, Office of Management. * * * * * Waiver of Proposed Rulemaking For the reasons discussed in the preamble, the Secretary amends title 34 Issued in College Park, Georgia, on Under the Administrative Procedure September 7, 2000. Act (5 U.S.C. 553) we generally offer of the Code of Federal Regulations by amending part 3 and removing part 19 Marvin A. Burnette, interested parties the opportunity to as follows: Acting Manager, Air Traffic Division, comment on proposed regulations. Southern Region. However, these amendments PART 3ÐOFFICIAL SEAL [FR Doc. 00–24145 Filed 9–21–00; 8:45 am] incorporate changes in internal agency BILLING CODE 4910±13±M organization and management and do 1. The authority citation for part 3 not establish new substantive policy. continues to read as follows: Therefore, under 5 U.S.C. 553(b)(A), Authority: 20 U.S.C. 3472 and 3485, unless DEPARTMENT OF EDUCATION proposed rulemaking does not apply to otherwise noted. the extent these regulations concern § 3.4 [Amended] 34 CFR Parts 3 and 19 agency organization and procedure, and under 5 U.S.C. 553(b)(B), the Secretary 2. Section 3.4 is amended by: Official Seal; National Security has determined that proposed A. Removing ‘‘Assistant Secretary for Information Procedures rulemaking is unnecessary. Management and Budget/Chief Financial Officer’’ and adding, in its AGENCY: Department of Education. Regulatory Flexibility Act Certification place, ‘‘Director of Public Affairs’’ in ACTION: Final regulations. The Secretary certifies that these paragraph (b). regulations would not have a significant B. Removing ‘‘Replicas’’ and adding, SUMMARY: The Secretary amends the economic impact on a substantial in its place, ‘‘In regard to internal use, regulations governing the use of the number of small entities. The replicas’’ in paragraph (c) introductory Official Seal of the Department of regulations reflect internal departmental text. Education (ED) and removes the changes and would not affect any small C. Adding ‘‘electronic media’’ before regulations governing National Security entities under the Regulatory Flexibility ‘‘motion’’ in paragraph (c)(4). Information Procedures. These final Act. D. Adding ‘‘internal’’ after ‘‘other’’; regulations amend obsolete references and removing ‘‘of the Office of in the provisions governing use of the Paperwork Reduction Act of 1995 Administrative Resources Official Seal and remove unnecessary These regulations do not contain any Management;’’, and adding, in its place, requirements relating to National information collection requirements. ‘‘for Management.’’ in paragraph (c)(7). Security Information Procedures. The E. Removing ‘‘Reproductions’’ and Secretary takes this action to update Electronic Access to This Document adding, in its place, ‘‘In regard to existing regulations and to eliminate You may view this document, as well internal use, reproductions’’ in unnecessary regulations. as all other Department of Education paragraph (d) introductory text. DATES: These regulations are effective documents published in the Federal F. Adding ‘‘electronic media’’ before September 22, 2000. Register, in text or Adobe Portable ‘‘motion’’ in paragraph (d)(7).

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00010 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57287

G. Adding ‘‘internal’’ after ‘‘other’’; ADDRESSES: Send written comments to before they are authorized for the and removing ‘‘of the Office of Narindar Kumar at the address listed requirements. Thus, EPA will Administrative Resources’’, and adding, below for contact. You can view and implement those requirements and in its place, ‘‘for’’ in paragraph (d)(8). copy Tennessee’s application from 8 prohibitions in Tennessee, including H. Adding ‘‘internally’’ after ‘‘only’’ in a.m. to 4:30 p.m. at the following issuing permits, until the State is paragraph (e) introductory text. addresses: Tennessee Department of granted authorization to do so. I. Removing ‘‘Assistant Secretary for Environment and Conservation, C. What Is the Effect of Today’s Human Resources and Administration’’ Division of Solid Waste Management, Authorization Decision? and adding, in its place, ‘‘the Director 5th Floor, L & C Tower, 401 Church for Management’’ in paragraph (e)(3). Street, Nashville, Tennessee 37243– The effect of this decision is that a 1535; and EPA Region 4, Library, The facility in Tennessee subject to RCRA PART 19 [REMOVED] Sam Nunn Atlanta Federal Center, 61 will now have to comply with the 3. Part 19 is removed. Forsyth Street, SW, Atlanta, Georgia authorized State requirements instead of 30303–3104; (404) 562–8190. the equivalent Federal requirements in [FR Doc. 00–24390 Filed 9–21–00; 8:45 am] FOR FURTHER INFORMATION CONTACT: order to comply with RCRA. Tennessee BILLING CODE 4000±01±P Narindar Kumar, Chief, RCRA Programs has enforcement responsibilities under Branch, Waste Management Division, its state hazardous waste program for U.S. Environmental Protection Agency, violations of such program, but EPA ENVIRONMENTAL PROTECTION The Sam Nunn Atlanta Federal Center, retains its authority under RCRA AGENCY 61 Forsyth Street, SW, Atlanta, Georgia sections 3007, 3008, 3013, and 7003, 30303–3104; (404) 562–8440. which include, among others, authority 40 CFR Part 271 to: SUPPLEMENTARY INFORMATION: • [FRL±6874±6] Do inspections, and require A. Why Are Revisions to State monitoring, tests, analyses or reports Tennessee: Final Authorization of Programs Necessary? • Enforce RCRA requirements and State Hazardous Waste Management suspend or revoke permits States which have received final Program Revision • Take enforcement actions regardless authorization from EPA under RCRA of whether the State has taken its own AGENCY: Environmental Protection section 3006(b), 42 U.S.C. 6926(b), must actions Agency (EPA). maintain a hazardous waste program This action does not impose ACTION: Immediate final rule. that is equivalent to, consistent with, additional requirements on the and no less stringent than the Federal regulated community because the SUMMARY: Tennessee has applied to EPA program. As the Federal program regulations for which Tennessee is for Final authorization of the changes to changes, States must change their being authorized by today’s action are its hazardous waste program under the programs and ask EPA to authorize the already effective, and are not changed Resource Conservation and Recovery changes. Changes to State programs may by today’s action. Act (RCRA). Tennessee’s revision be necessary when Federal or State consists of the provisions contained in statutory or regulatory authority is D. Why Wasn’t There a Proposed Rule RCRA Cluster VII. EPA has determined modified or when certain other changes Before Today’s Rule? that these changes satisfy all occur. Most commonly, States must EPA did not publish a proposal before requirements needed to qualify for Final change their programs because of today’s rule because we view this as a authorization, and is authorizing the changes to EPA’s regulations in 40 Code routine program change and do not State’s changes through this immediate of Federal Regulations (CFR) parts 124, expect comments that oppose this final action. EPA is publishing this rule 260 through 266, 268, 270, 273 and 279. approval. We are providing an to authorize the changes without a prior opportunity for public comment now. In proposal because we believe this action B. What Decisions Have We Made in This Rule? addition to this rule, in the proposed is not controversial and do not expect rules section of today’s Federal Register comments that oppose it. Unless we get We conclude that Tennessee’s we are publishing a separate document written comments which oppose this application to revise its authorized that proposes to authorize the state authorization during the comment program meets all of the statutory and program changes. period, the decision to authorize regulatory requirements established by Tennessee’s changes to their hazardous RCRA. Therefore, we grant Tennessee E. What Happens if EPA Receives waste program will take effect. If we get Final authorization to operate its Comments That Oppose This Action? comments that oppose this action, we hazardous waste program with the If EPA receives comments that oppose will publish a document in the Federal changes described in the authorization this authorization, we will withdraw Register withdrawing this rule before it application. Tennessee has this rule by publishing a document in takes effect and a separate document in responsibility for permitting Treatment, the Federal Register before the rule the proposed rules section of this Storage, and Disposal Facilities (TSDFs) becomes effective. EPA will base any Federal Register will serve as a proposal within its borders (except in Indian further decision on the authorization of to authorize the changes. Country) and for carrying out the the state program changes on the DATES: This Final authorization will aspects of the RCRA program described proposal mentioned in the previous become effective on November 21, 2000 in its revised program application, paragraph. We will then address all unless EPA receives adverse written subject to the limitations of the public comments in a later final rule. comment by October 23, 2000. If EPA Hazardous and Solid Waste You may not have another opportunity receives such comment, it will publish Amendments of 1984 (HSWA). New to comment. If you want to comment on a timely withdrawal of this immediate Federal requirements and prohibitions this authorization, you must do so at final rule in the Federal Register and imposed by Federal regulations that this time. inform the public that this authorization EPA promulgates under the authority of If we receive comments that oppose will not take effect. HSWA take effect in authorized States only the authorization of a particular

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 57288 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations change to the State hazardous waste to implement the RCRA hazardous G. What Changes Are we Authorizing program, we will withdraw that part of waste management program. We granted With Today’s Action? this rule but the authorization of the authorization for changes to their On January 27, 2000, Tennessee program changes that the comments do program on September 15, 1999, submitted a final complete program not oppose will become effective on the effective November 15, 1999 (64 FR revision application, seeking date specified above. The Federal 49998), January 30, 1998, effective authorization of their changes in Register withdrawal document will March 31, 1998 (63 FR 45870), on May accordance with 40 CFR 271.21. We specify which part of the authorization 23, 1996, effective July 22, 1996 (61 FR now make an immediate final decision, will become effective, and which part is 25796), on August 24, 1995, effective subject to receipt of written comments being withdrawn. October 23, 1995 (60 FR 43979), on May that oppose this action, that Tennessee’s F. What Has Tennessee Previously Been 8, 1995, effective July 7, 1995 (60 FR hazardous waste program revision Authorized for? 22524), on June 1, 1992, effective July satisfies all of the requirements 31, 1992 (57 FR 23063), and on June 12, necessary to qualify for Final Tennessee initially received Final 1987, effective August 11, 1987 (52 FR authorization. Therefore, we grant authorization on January 22, 1985, 22443). Tennessee Final authorization for the effective February 5, 1985 (50 FR 2820) following program changes:

Description of federal requirement Federal Register date and page Analogous state authority 1

153ÐConditionally Exempt Small Quan- 07/01/96 Tennessee Code Annotated (TCA) 68±212±104(7), 68±212±107(a) & (d)(3); tity Generator Disposal Options under 61 FR 34252 Tennessee Revised Code (TRC) 1200±1±11±.02(1)(e)6(iii) introl., Subtitle D. .02(1)(e)6(iii)(I)±(VI), .02(1)(e)6(iii)(VI)I & II, .02(1)(e)6(iii)(VII), .02(1)(e)7(iii) introl, .02(1)(e)7(iii)(I)±(VI), .02(1)(e)7(iii)(VI) & II, .02(1)(e)7(iii)(VII). 154ÐConsolidated Organic Air Emission 12/06/94, 59 FR 62896; 05/19/95, 60 Tennessee Code Annotated (TCA) 68±212±104(6) & (7), 68±212±106(a)(1), Standards for Tanks, Surface Im- FR 26828; 09/29/95, 60 FR 50426; 68±212±107(a), (d)(3), (4) & (9), 68±212±108(a)(1); Tennessee Revised Code poundments, and Containers. 11/13/95, 60 FR 56952; 02/09/96, 61 (TRC) 1200±1±11±.01(2)(b)1±2, .02(1)(f)3(i), .03(4)(e)2(i)(I)±(II), .03(4)(e)6(ii), FR 4903; 06/05/96, 61 FR 28508; 11/ .06(2)(d)2(vi)&(viii), .06(2)(d)2(viii)(I)±(II), .06(2)(f)2(iv), .06(5)(d)2(iii) & (vi), 25/96, 61 FR 59932 .06(5)(h)3, .06(9)(j), .06(10)(k), .06(11)(m), .06(27)(b), .06(30)(a)2, .06(30)(a)2(i)±(iii), .06(30)(c) (Note), .06(30)(d)1(ii), .06(30)(d)6(ii)(VI)II, .06(30)(d)11, .06(30)(d)11(i)±(ii), .06(30)(d)12, .06(30)(d)12(i), .06(30)(d)12(i)(I)±(II), .06(30)(d)12(i)(II)I±II, .06(30)(d)12(i)(III)±(IV), .06(30)(d)12(ii), .06(30)(d)12(ii)(I)±(IV), .06(30)(d)12(iii), .06(30)(d)12(iii)(II)± (IV), .06(30)(d)13 & 14, .06(30)(d)14(i), .06(30)(d)14(i)(I)±(III), .06(30)(d)14(ii), .06(3)(d)14(ii)(I)±(II), .06(30)(d)14(iii), .06(30)(d)14(iii)(I)±(II), .06(30)(d)15, .06(30)(d)15(i)±(ii), .06(30)(e)2, .06(30)(f)3(ix)±(x), .06(30)(d)12(i)(I)±(II), .06(30)(d)12(i)(II)I±II, .06(30)(d)12(i)(III)±(IV), .06(30)(d)12(ii), .06(30)(d)12(ii)(I)±(IV), .06(30)(d)12(iii), .06(30)(d)12(iii)(II)±(IV), .06(30)(d)13 & 14, .06(30)(d)14(i), .06(30)(d)14(i)(I)±(III), .06(30)(d)14(ii), .06(3)(d)14(ii)(I)± (II), .06(30)(d)14(iii), .06(30)(d)14(iii)(I)±(II), .06(30)(d)15, .06(30)(d)15(i)±(ii), .06(30)(e)2, .06(30)(f)3(ix)±(x),.06(30)(f)3(x)(I)±(V), .06(30)(f)3(x)(V)I±II, .06(30)(f)4, .06(31)(a)2, .06(31)(a)2(i)±(iii), .06(31)(a)6, .06(31)(a)6 Note:, .06(31)(f)1±2, .06(31)(f)2(i)±(iii), .06(31)(f)3, .06(31)(i)5, .06(31)(o)7(vi), .06(32)(a)1±2, .06(32)(a)2(i)±(viii), .06(32)(a)3±4, .06(32)(a)4(i)±(iii), .06(32)(b), .06(32)(c)1±3, .06(32)(c)3(i)±(ii), .06(32)(c)3(ii)(I)±(IV), .06(32)(c)3(ii)(IV)I, .06(32)(c)3(ii)(IV)(iv)(B), .06(32)(c)3(ii)(V), .06(32)(c)3(ii)(V)I±III, .06(32)(c)3(ii)(VI)±(VII), .06(32)(c)3(ii)(VII)I±II, .06(32)(c)3(ii)(VIII), .06(32)(c)3(ii)(VIII)I±II, .06(32)(c)3(IX), .06(32)(c)3(IX)I±II, .06(32)(c)3(iii)±(iv), .06(32)(c)3(iv)(I)±(II), .06(32)(c)3(v), .06(32)(c)(v)(I)±(III), .06(32)(c)4, .06(32)(c)4(i)±(ii), .06(32)(c)4(ii)(I)±(II), .06(32)(c)4(iii)±(v), .06(32)(c)4(v)(I)±(III), .06(32)(d)1, .06(32)(d)1(i)±(ii), .06(32)(d)2, .06(32)(d)2(i)±(ii), .06(32)(d)3, .06(32)(d)3(i)±(ii), .06(32)(d)4, .06(32)(e)1±2, .06(32)(e)2(i), .06(32)(e)2(i)(I), .06(32)(e)2(i)(I)I±III, .06(32)(e)2(i)(II)±(III), .06(32)(e)2(ii), .06(32)(e)3, .06(32)(e)3(i)±(ii), .06(32)(e)3(ii)(I)±(III), .06(32)(e)3(ii)(III)I±II, .06(32)(e)3(ii)(IV), .06(32)(e)3(iii), .06(32)(e)3(iii)(I), .06(32)(e)3(iii)(I)I±III, .06(32)(e)3(iv), .06(32)(e)3(iv)(I)±(IV), .06(32)(e)4, .06(32)(e)4(i)±(v), .06(32)(e)5, .06(32)(e)5(i), .06(32)(e)5(i)(I)±(II), .06(32)(e)5(i)(II)I±II, .06(32)(e)5(i)(III), .06(32)(e)5(i)(III)I±VI, .06(32)(e)5(ii), .06(32)(e)5(ii)(I)±(III), .06(32)(e)5(iii), .06(32)(e)5(iii)(I)±(II), .06(32)(e)5(iii)(II)I± IV, .06(32)(e)5(iii)(IV)I±II, .06(32)(e)5(iii)(V)±(VI), .06(32)(e)6, .06(32)(e)6(i), .06(32)(e)6(i)(I)±(II), .06(32)(e)6(i)(II)I±II, .06(32)(e)6(i)(III), .06(32)(e)6(i)(III)I± IX, .06(32)(e)6(ii), .06(32)(e)6(ii)(I)±(VIII), .06(32)(e)6(iii), .06(32)(e)6(iii)(I), .06(32)(e)6(iii)(I)IV.A±D, .06(32)(e)6(iii)(I)V±VI, .06(32)(e)6(iii)(II), .06(32)(e)6(iii)(II)I±IV, .06(32)(e)6(iii)(III) .06(32)(e)6(iii)(III)I±III, .06(32)(e)7, .06(32)(e)7(i), .06(32)(e)7(i)(I)±(IV), .06(32)(e)7(ii), .06(32)(e)7(ii)(I), .06(32)(e)7(ii)(I)I±II, .06(32)(e)7(ii)(II), .06(32)(e)7(iii), .06(32)(e)7(iii)(I)±(V), .06(32)(e)8, .06(32)(e)8(i)±(iii), .06(32)(e)9, .06(32)(e)9(i)±(iv), .06(32)(e)10, .06(32)(e)10(I), .06(32)(e)10(ii), .06(32)(e)10(ii)(I)±(II), .06(32)(e)11, .06(32)(e)11(I), .06(32)(e)11(ii), .06(32)(e)12, .06(32)(e)12(I), .06(32)(e)12(I)(I)±(II), .06(32)(e)12(ii), .06(32)(f)1±2, .06(32)(f)2(i)±(ii), .06(32)(f)3, .06(32)(f)3(i), .06(32)(f)3(i)(I)±(II), .06(32)(f)3(i)(II)I±II, .06(32)(f)3(i)(III)±(VI), .06(32)(f)3(ii), .06(32)(f)3(ii)(I), .06(32)(f)3(ii)(I)I±II, .06(32)(f)3(ii)(II), .06(32)(f)3(iii), .06(32)(f)3(iii)(I)±(IV), .06(32)(f)4, .06(32)(f)4(i), .06(32)(f)4(i)(I)±(IV), .06(32)(f)4(ii), .06(32)(f)4(ii)(I), .06(32)(f)4(ii)(I)I±II, .06(32)(f)4(ii)(II), .06(32)(e)12(I), .06(32)(e)12(I)(I)±(II), .06(32)(f)1±2, .06(32)(f)2(i)±(ii), .06(32)(f)3, .06(32)(f)3(i), .06(32)(f)3(i)(I)±(II), .06(32)(f)3(i)(II)I±II, .06(32)(f)3(i)(III)±(VI), .06(32)(f)3(ii), .06(32)(f)3(ii)(I), .06(32)(f)3(ii)(I)I±II, .06(32)(f)3(ii)(II), .06(32)(f)3(iii), .06(32)(f)3(iii)(I)±(IV), .06(32)(f)4, .06(32)(f)4(i), .06(32)(f)4(i)(I)±(IV), .06(32)(f)4(ii), .06(32)(f)4(ii)(I), .06(32)(f)4(ii)(I)I±II, .06(32)(f)4(ii)(II), .06(32)(f)4(iii), .06(32)(f)4(iii)(I)±(V),

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57289

Description of federal requirement Federal Register date and page Analogous state authority 1

.06(32)(f)5(i)±(ii), .06(32)(f)5, .06(32)(f)5(ii)(I)±(II), .06(32)(f)6, .06(32)(f)6(i)±(ii), .06(32)(f)7, .06(32)(f)7(i)±(ii), .06(32)(g)1±2, .06(32)(g)2(i), .06(32)(g)2(i)(I)± (III), .06(32)(g)2(ii), .06(32)(g)3, .06(32)(g)3(i), .06(32)(g)3(i)(I)±(III), .06(32)(g)3(ii)±(iii), .06(32)(g)3(iii)(I), .06(32)(g)3(iii)(I)I±II, .06(32)(g)3(iii)(II), .06(32)(g)3(iii)(II)I±II, .06(32)(g)3(iii)(III)±(V), .06(32)(g)3(iv), .06(32)(g)3(iv)(I)± (III) & (V), .06(32)(g)4, .06(32)(g)4(i), .06(32)(g)4(i)(I)±(III), .06(32)(g)4(ii)±(iii), .06(32)(g)4(iii)(I), .06(32)(g)4(iii)(I)I±II, .06(32)(g)7, .06(32)(g)7(i)±(ii), .06(32)(g)8, .06(32)(g)8(i)±(iii), .06(32)(h)1±2, .06(32)(h)2(i)±(iii), .06(32)(h)2(iii)(I)±(II), .06(32)(h)2(iv), .06(32)(h)3, .06(32)(h)3(i), .06(32)(h)3(i)(I)±(III), .06(32)(h)3(ii), .06(32)(h)3(ii)(I)±(VI), .06(32)(h)3(iii), .06(32)(h)3(iii)(I)±(II), .06(32)(h)3(iv)±(v), .06(32)(h)3(v)(I), .06(32)(h)3(v)(I)I±V, .06(32)(h)3(v)(II)±(V), .06(32)(h)3(vi)±(vii), .06(32)(i)1±2, .06(32)(j)1±2, .06(32)(j)2(i), .06(32)(j)2(i)(I)±(II), .06(32)(j)2(i)(II)I±II, .06(32)(j)2(ii), .06(32)(j)2(ii)(I)±(III), .06(32)(j)2(ii)(III)±III, .06(32)(j)2(ii)(IV), .06(32)(j)2(ii)(IV)I± II, .06(32)(j)3, .06(32)(j)3(i)±(iii), .06(32)(j)3(iii)(I)±(II), .06(32)(j)3(iv), .06(32)(j)4, .06(32)(j)4(i)±(ii), .06(32)(j)5, .06(32)(j)5(i), .06(32)(j)5(i)(I)±(V), .06(32)(j)5(i)(V)±III, .05(27)(d)13(ii)(I)±(II), .05(27)(d)13(iii), .05(27)(d)13(iii)(I)± (II), .05(27)(d)14, .05(27)(d)14(i)±(ii), .05(27)(e)2, .05(27)(f)3(iii), (ix), & (x), .05(27)(f)3(x)(I)±(V), .05(27)(f)3(x)(V)I±II, .05(27)(f)4, .05(28)(a)2, .05(28)(a)2(i)±(iii), .05(28)(a)5, .05(28)(a) Note, .05(28)(f)1±2, .05(28)(f)2(i)± (iii), .05(28)(f)3, .05(28)(i)5, .05(28)(o)7(vi), .05(29)(a)1±2(i)±(viii), .05(29)(a)2(i)±(viii), .05(29)(a)3, .05(29)(a)3(i)±(ii), .05(29)(a)4, .05(29)(a)4(i)± (iii), .05(29)(b), .05(29)(c)1, .05(29)(c)1(i)±(ii), .05(29)(c)1(ii)(I)±(IV), .05(29)(c)2, .05(29)(c)2(i)±(ii), .05(29)(c)2(ii)(I)±(III), .05(29)(c)3, .05(29)(d)1±3, 05(29)(d)3 .05(29)(d)3(i)±(ii), .05(29)(d)3(ii)(I)±(IV), .(ii)(IV)I±II, .05(29)(d)3(ii)(V), .05(29)(d)3(ii)(V)I±III, .05(29)(d)3(ii)(VI)±(VII), .05(29)(d)3(ii)(VII)I±II, .05(29)(d)3(ii)(VIII), .05(29)(d)3(ii)(VIII)I±II, .05(29)(d)3(ii)(IX), .05(29)(d)3(ii)(IX)I±II, .05(29)(d)3(iii)±(iv), .05(29)(d)3(iv)(I)± (II), .05(29)(e)1(iii)(II)I±III, .05(29)(e)1(iii)(III), .05(29)(e)1(iii)(III)I±VI, .05(29)(e)1(iii)VIA±B, .05(29)(e)1(iii)VII, .05(29)(e)1(iii)VIIA±B, .05(29)(e)1(iii)VIII±IX, .05(29)(e)1(iii)(IV), .05(29)(e)1(iv), .05(29)(e)1(iv)(1)± (IV), .05(29)(e)2, .05(29)(e)2(i)±(iii), .05(29)(e)2(iii)(I)±(II), .05(29)(e)2(iii)(II)I± III, .05(29)(e)2(iii)(III), .05(29)(e)2(iii)(III)I±VI, .05(29)(e)2(iii)(III)VIA±B, .05(29)(e)2(iii)(III)VII, .05(29)(e)2(iii)(III)VII A±B, .05(29)(e)2(iii)(III)VIII±IX, .05(29)(e)2(iii)(IV), .05(29)(e)2(iv), .05(29)(e)2(iv)(I)±(III), .05(29)(e)2(v), .05(29)(e)2(v)(I)±(III), .05(29)(e)2(v)(III)I±II, .05(29)(e)2(v)(IV)±(V), .05(29)(e)2(vi), .05(29)(e)2(vi)(I)±(II), .05(29)(e)2(vii), .05(29)(e)2(vii)(I)±(IV), .05(29)(e)2(viii), .05(29)(e)2(viii)(I)±(III), .05(29)(e)2(ix), .05(29)(e)2(ix)(I)±(IV), .05(29)(e)3, .05(29)(e)3(i)±(iii), .05(29)(e)3(iii)(I)±(II), .05(29)(e)3(iii)(II)I±V, .05(29)(e)3(iv), .05(29)(e)4, .05(29)(e)4(i)±(v), .05(29)(e)4(v)(I)±(II), .05(29)(e)4(vi)±(ix), .05(29)(f)1±2, .05(29)(f)2(i), .05(29)(f)2(i)±(I), .05(29)(f)2(i)(I)I±III, .05(29)(f)2(i)(II)±(III), .05(29)(f)2(ii), .05(29)(f)3, .05(29)(f)3(i)±(ii), .05(29)(f)3(ii)(I)±(III), .05(29)(f)3(ii)(III)I±II .05(29)(f)3(ii)(IV), .05(29)(f)3(iii), .05(29)(f)3(iii)(I), .05(29)(f)3(iii)(I)I±II, .05(29)(f)3(iii)(II)±(III), .05(29)(f)3(iv), .05(29)(f)3(iv)(I)±(IV), .05(29)(f)4, .05(29)(f)4(i)±(v), .05(29)(f)5, .05(29)(f)5(i), .05(29)(f)5(i)(I)±(II), .05(29)(f)5(i)(II)I±II, .05(29)(f)5(i)(III), .05(29)(f)5(i)(III)I±VI, .05(29)(f)5(ii), .05(29)(f)5(ii)(I)±(III), .05(29)(f)5(iii), .05(29)(f)5(iii)(I)±(II), .05(29)(f)5(iii)(II)I±II, .05(29)(f)5(iii)(III)±(IV), .05(29)(f)5(iii)(IV)I±II, .05(29)(f)5(iii)(V)±(VI), .05(29)(f)6, .05(29)(f)6(i), .05(29)(f)6(i)(I)±(II), .05(29)(f)6(i)(II)I±II, .05(29)(f)6(i)(III), .05(29)(f)6(i)(III)I±IX, .05(29)(f)6(ii), .05(29)(f)6(ii)(I)±(VIII), .05(29)(f)6(iii), .05(29)(f)6(iii)(I), .05(29)(f)6(iii)(I)I±IV, .05(29)(f)6(iii)(I)I±IV A±D, .05(29)(f)6(iii)(I)V±VI, .05(29)(f)6(iii)(II), .05(29)(f)6(iii)(II)I±IV, .05(29)(f)6(iii)(III), .05(29)(f)6(iii)(III)I±III, .05(29)(f)7, .05(29)(f)7(i), .05(29)(f)7(i)(I), .05(29)(f)7(i)(I)±(IV), .05(29)(f)7(ii), .05(29)(f)7(ii)(I), .05(29)(f)7(ii)(I)I±II, .05(29)(f)7(ii)(II), .05(29)(f)7(iii), .05(29)(f)7(iii)(I)±(V), .05(29)(f)8, .05(29)(f)8(i)±(iii), .05(29)(f)9, .05(29)(f)9(i)± (iv), .05(29)(f)10, .05(29)(f)10(i)±(ii), .05(29)(f)10(ii)(I)±(II), .05(29)(f)11, .05(29)(f)11(i)±(ii), .05(29)(f)12, .05(29)(f)12(i), .05(29)(f)12(i)(I)±(II), .05(29)(f)12(ii), .05(29)(g)1±2, .05(29)(g)2(i)±(ii), .05(29)(g)3, .05(29)(g)3(i), .05(29)(g)3(i)(I)±(II), .05(29)(g)3(i)(II)I±VI, .05(29)(g)3(ii), .05(29)(g)3(ii)(I), .05(29)(g)3(ii)(I)I±II, .05(29)(g)3(ii)(II), .05(29)(g)3(iii), .05(29)(g)3(iii)(I)±(IV), .05(29)(g)4, .05(29)(g)4(i), .05(29)(g)4(i)(I)±(IV), .05(29)(g)4(ii), .05(29)(g)4(ii)(I), .05(29)(g)4(ii)(I)I±II, .05(29)(g)4(ii)(II), .05(29)(g)4(iii), .05(29)(g)4(iii)(I)±(V), .05(29)(g)5, .05(29)(g)5(i)±(ii), .05(29)(g)5(ii)(I)±(II), .05(29)(g)6, .05(29)(g)6(i)±(ii), .05(29)(g)7, .05(29)(g)7(i)±(ii), .05(29)(h)1±2, .05(29)(h)2(i), .05(29)(h)2(i)(I)±(III), .05(29)(h)2(ii), .05(29)(h)3, .05(29)(h)3(i), .05(29)(h)3(i)(I)±(III), .05(29)(h)3(ii)±(iii), .05(29)(h)3(iii)(I), .05(29)(h)3(iii)(I)I±II, .05(29)(h)3(iii)(II), .05(29)(h)3(iii)(II)I±II, .05(29)(h)3(iii)(III)±(V), .05(29)(h)3(iv), .05(29)(h)3(iv)(I)±(III), .05(29)(h)3(v), .05(29)(h)4, .05(29)(h)4(i), .05(29)(h)4(i)(I)±(III), .05(29)(h)4(ii)±(iii), .05(29)(h)4(iii)(I), .05(29)(h)4(iii)(I)I±II, .05(29)(h)4(iii)(II), .05(29)(h)4(iii)(II)I±II, .05(29)(h)4(iii)(III)±(V), .05(29)(h)4(iv), .05(29)(h)4(iv)(I)±(III), .05(29)(h)5, .05(29)(h)5(i), .05(29)(h)5(i)(I)±(II), .05(29)(h)5(i)(II), .05(29)(h)5(ii), .05(29)(h)5(ii)(I)±(II), .05(29)(h)5(iii)±(v), .05(29)(h)6, .05(29)(h)6(i)±(iv), .05(29)(h)7, .05(29)(h)7(i)±(ii), .05(29)(h)7(ii),

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 57290 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

Description of federal requirement Federal Register date and page Analogous state authority 1

.05(29)(h)8, .05(29)(h)8(i)±(iii), .05(29)(i)1±2, .05(29)(i)2(i)±(iii), .05(29)(i)2(iii)(I)(II), .05(29)(i)2(iv), .05(29)(i)3, .05(29)(i)3(i), .05(29)(i)3(i)(I)± (III), .05(29)(i)3(ii), .05(29)(i)3(ii)(I)±(VI), .05(29)(i)3(iii), .05(29)(i)3(iii)(I)±(II), .05(29)(i)3(iv)±(v), .05(29)(i)3(v)(I), .05(29)(i)3(v)(II±IV, .05(29)(i)3(v)(II)±(V), .05(29)(i)3(vi)±(vii), .05(29)(j)1±2, .05(29)(k)1±2, .05(29)(k)2(i), .05(29)(k)2(i)(I)±(II), .05(29)(k)2(i)(II)I±II, .05(29)(k)2(ii), .05(29)(k)2(ii)(I)±(III), .05(29)(k)2(ii)(III)I±II, .05(29)(k)2(ii)(IV), .05(29)(k)2(ii)(IV)I±II, .05(29)(k)3, .05(29)(k)3(i)±(iii), .05(29)(k)3(iii)(I)±(II), .05(29)(k)3(iv), .05(29)(k)4, .05(29)(k)4(i)±(ii), .05(29)(k)5, .05(29)(k)5(i), .05(29)(k)5(i)(I)±(V), .05(29)(k)5(i)(V)I±II, .05(29)(k)5(i)(VI), .05(29)(k)5(i)(VI)I±III, .05(29)(k)5(i)(VII), .05(29)(k)5(i)(VII), .05(29)(k)6, .05(29)(k)6(i)±(ii), .05(29)(k)7±9, .05(29)(k)9(i)± (ii), .05(29)(k)9(ii)(I)±(II), .05(29)(k)4(i)±(ii), .05(29)(k)5, .05(29)(k)5(i), .05(29)(k)5(i)(I)±(V), .05(29)(k)5(i)(V)I±II, .05(29)(k)5(i)(VI), .05(29)(k)5(i)(VI)I± III, .05(29)(k)5(i)(VII), .05(29)(k)5(i)(VII), .05(29)(k)6, .05(29)(k)6(i)±(ii), .05(29)(k)7±9, .05(29)(k)9(i)±(ii), .05(29)(k)9(ii)(I)±(II), .05(29)(k)9(iii), .05(29)(k)9(iii)(I)±(II), .05(29)(l), .05(53) Appendix VI, .07(8)(g)1(ii)±(iv), .07(5)(a)1(v), .07(5)(b)1(v), .07(5)(b)2(xi), .07(5)(b)3(x), .07(5)(b)13(i), .07(5)(b)13(i)(I)±(VII) 155ÐLand Disposal Restrictions Phase 01/14/97 Tennessee Code Annotated (TCA) 68±212±104(7) & (16), 68±212±106(a)(1), IIIÐEmergency Extension of the K088 62 FR 1992 68±212±107(a), (d)(1), (3), & (9); Tennessee Revised Code (TRC) 1200±1± Capacity Variance. 11±.10(2)(j)3 156ÐMilitary Munitions Rule: Hazardous 02/12/97 Tennessee Code Annotated (TCA) 68±212±104(6)±(8), (14) & (15), 68±212± Waste Identification and Management; 62 FR 6622 106(a)(1) & (3), 68±212±107(a) & (d)(1)±(3), (5), & (9), 68±212±108(a)(1); Explosives Emergencies, Manifest Ex- Tennessee Revised Code (TRC) 1200±1±11±.01±(2)(a), .02(1)(b)1(ii)(III)±(IV), emption for Transport of Hazardous .03(1)(a)10, .03(3)(a)6, .04(1)(a)6±7, .06(1)(b)2(vii)(I)IV, .06(1)(b)2(vii)(IV), Waste on Right of Ways on Contig- .06(1)(b)8, .06(5)(a), .06(34)(a)±(b), .06(34)(b)1(i)±(v), .06(34)(b)2, uous Properties. .06(34)(b)2(i), .06(34)(b)2(i)(I)±(II), .06(34)(b)2(i)(II)I±III, .06(34)(b)2(i)(III), .06(34)(b)2(ii)±(iii), .06(34)(b)3±6, .06(34)(c)1±2, .05(1)(b)2(vii)(I)IV, .05(1)(b)2(vii)(IV), .05(1)(d), .05(5)(a), .05(31)(a), .05(31)(b)1, .05(31)(b)1(i)± (v), .05(31)(b)2, .05(31)(b)2(i), .05(31)(b)2(i)(I)±(II), .05(31)(b)2(i)(II)I±III, .05(31)(b)2(i)(III), .05(31)(b)2(ii)±(iii), .05(31)(b)3±6, .05(31)(c)1±2, .09(13)(a)1±2, .09(13)(b), .01(2)a, .09(13)(c)1, .09(13)(c)1(i), .09(13)(c)1(i)(I)± (III), .09(13)(c)1(ii), .09(13)(c)2, .09(13)(c)2(i)±(iv), .09(13)(c)3, .09(13)(c)3(i)± (ii), .09(13)(c)4, .09(13)(d)1, .09(13)(d)1(i), .09(13)(d)1(i)(I)±(III), .09(13)(d)1(ii)±(iv), .09(13)(d)2±3, .09(13)(e), .09(13)(f)1, .09(13)(f)1(i), .09(13)(f)1(i)(I)±(VII), .09(13)(f)1(ii)±(iii), .09(13)(f)2±4, .09(13)(f)4(i)±(ii), .09(13)(f)5, .09(13)(g), .07(1)(b)5(i)(IV), .07(1)(b)5(iii), .07(9)(c)5(viii), .07(9)(c)5(viii)(I)±(III), .07(9)(c)6(ix) 157ÐLand Disposal Restriction Phase 05/12/97 Tennessee Code Annotated (TCA) 68±212±104(7) & (16), 68±212±106(a)(1), IVÐTreatment Standards for Wood 62 FR 25998 68±212±107(a), (d)(1), (3) & (9); Tennessee Revised Code (TRC) 1200±1± Preserving Wastes, Paperwork Re- 11± .02(1)(a)3(ix)±(xii), .02(1)(b)3 Table 1, .02(1)(d)1(xv)±(xvi), duction and Streamlining, Exemptions .02(1)(d)1(xvi)(I)±(II), .02(1)(f)1(iii)(II), .10(1)(a)5±5(iii), .10(1)(a)5(iv), from RCRA for Certain Processed .10(1)(d)1(ii)(IV), .10(1)(d)1(iv), .10(1)(g)1, .10(1)(g)1(i)±(iii), .10(1)(g)1(iii)(I)± Materials; and Miscellaneous Haz- (II), .10(1)(g)1(iv), .10(1)(g)1(iv) table, .10(1)(g)1(v), .10(1)(g)1(v)(I)±(III), ardous Waste. .10(1)(g)1(vi)±(ix), .10(1)(g)1(ix)(I)±(IV), .10(1)(g)1(x), .10(1)(g)2, .10(1)(g)2(i)± (iii), .10(1)(g)2(iii)(I)±(II), .10(1)(g)2(iii)(II) table, .10(1)(g)2(iv), .10(1)(g)2(iv)(I)± (V), .10(1)(g)2(v)±(vi), .10(1)(g)3(i)±(ii), .10(1)(i)1, .10(1)(i)4(i)(II), .10(2)(a)1±4, .10(2)(a)4(i)±(iv), .10(2)(a)5, .10(2)(c)±(g), .10(3)(a) Table of Treatment Stand- ards for Hazardous Waste, .10(3)(c) Table 1, .10(3)(e) (Reserved), .10(5), .10(5) Appendix VI±VIII, .10(5) 158ÐTesting and Monitoring Activities 06/13/97 Tennessee Code Annotated (TCA) 68±212±104(7); 68±212±106(a)(1), 68±212± Amendment III. 62 FR 32452 107(d)(1); Tennessee Revised Code (TRC) 1200±1±11± .01(2)(b)1, .01(2)(b)1(i)±(xv), .06(30)(e)4(i)(III), .06(30)(e)6, .06(31)(n)4(ii), .06(57) Appen- dix IX Footnote 5, .05(27)(e)4(i)(III), .05(27)(e)6, .05(28)(n)4(ii), .09(8)(e)5(i), .09(8)(g)7(i)±(ii), .09(8)(h)6, .09(30) Appendix IX 159ÐConformance With the Carbamate 06/17/97 Tennessee Code Annotated (TCA) 68±212±104(7) & (16), 68±212±106(a)(1); Vacatur. 62 FR 32974 68±212±107(a), (d)(1), (3), & (9); Tennessee Revised Code (TRC) 1200±1± 11± .0(4)(c) Table, .02(4)(d)6, .02(5) Appendix VII & VIII, .10(2)(j)1 & 4, .10(3)(a) Table 1 The Tennessee provisions are from the Tennessee Hazardous Waste Management Regulations adopted February 3, 1998.

H. Where Are the Revised State Rules program is approved, EPA will suspend J. How Does Today’s Action Affect Different From the Federal Rules? issuance of Federal permits in the State. Indian Country (18 U.S.C. 115) in There are no State requirements that EPA will transfer any pending permit Tennessee? are more stringent or broader in scope applications, completed permits or The State of Tennessee’s Hazardous than the Federal requirements. pertinent file information to the State Waste Program is not being authorized within thirty days of the approval of the to operate in Indian Country. I. Who Handles Permits After the State program. We will not issue any Authorization Takes Effect? more new permits or new portions of K. What Is Codification and Is EPA Codifying Tennessee’s Hazardous Tennessee will issue permits for all permits for the provisions listed in the Waste Program as Authorized in This the provisions for which it is authorized Table above after the effective date of Rule? and will administer the permits it this authorization. EPA will continue to issues. EPA will continue to administer implement and issue permits for HSWA Codification is the process of placing any RCRA hazardous waste permits or requirements for which Tennessee is not the State’s statutes and regulations that portions of permits which we issued yet authorized. comprise the State’s authorized prior to the effective date of this hazardous waste program into the Code authorization. At the time the State of Federal Regulations. We do this by

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57291 referencing the authorized State rules in requirements of section 12(d) of the FEDERAL COMMUNICATIONS 40 CFR part 272. We reserve the National Technology Transfer and COMMISSION amendment of 40 CFR part 272, subpart Advancement Act of 1995 (15 U.S.C. RR for this authorization of Tennessee’s 272 note) do not apply. As required by 47 CFR Part 51 program changes until a later date. section 3 of Executive Order 12988 (61 FR 4729, February 7, 1996), in issuing L. Administrative Requirements [CC Docket No. 98±147; FCC 00±297] this rule, EPA has taken the necessary The Office of Management and Budget steps to eliminate drafting errors and Deployment of Wireline Services has exempted this action from the ambiguity, minimize potential litigation, Offering Advanced requirements of Executive Order 12866 and provide a clear legal standard for Telecommunications Capability (58 FR 51735, October 4, 1993), and affected conduct. EPA has complied therefore this action is not subject to with Executive Order 12630 (53 FR AGENCY: Federal Communications review by OMB. This action authorizes 8859, March 15, 1988) by examining the Commission. state requirements for the purpose of takings implications of the rule in ACTION: Final rule; announcement of RCRA 3006 and imposes no additional accordance with the ‘‘Attorney effective date. requirements beyond those imposed by General’s Supplemental Guidelines for state law. Accordingly, I certify that this the Evaluation of Risk and Avoidance of action will not have a significant Unanticipated Takings’’ issued under SUMMARY: On August 10, 2000, the economic impact on a substantial the executive order. This rule does not Federal Communications Commission number of small entities under the impose an information collection released an Order on Reconsideration Regulatory Flexibility Act (5 U.S.C. 601 burden under the provisions of the strengthening the collocation et seq.). Because this action authorizes Paperwork Reduction Act of 1995 (44 requirements placed upon incumbent pre-existing requirements under state U.S.C. 3501 et seq.). local exchange carriers pursuant to law and does not impose any additional The Congressional Review Act, 5 section 251(c)(6) of the Communications enforceable duty beyond that required U.S.C. 801 et seq., as added by the Small Act of 1934, as amended. This notice by state law, it does not contain any Business Regulatory Enforcement announces an effective date of October unfunded mandate or significantly or Fairness Act of 1996, generally provides 10, 2000 for rules adopted in that Order uniquely affect small governments, as that before a rule may take effect, the that contained modified or new described in the Unfunded Mandates agency promulgating the rule must information collection requirements. Reform Act of 1995 (Public Law 104–4). submit a rule report, which includes a DATES: Sections 51.321(f), 51.323(b), and For the same reason, this action also copy of the rule, to each House of the 51.323(l)(1) published at 65 FR 54433 does not significantly or uniquely affect Congress and to the Comptroller General the communities of tribal governments, (September 8, 2000) are effective on of the United States. EPA will submit a October 10, 2000. as specified by Executive Order 13084 report containing this document and (63 FR 27655, May 10, 1998). This other required information to the U.S. FOR FURTHER INFORMATION CONTACT: action will not have substantial direct Senate, the U.S. House of William Kehoe, Special Counsel, effects on the States, on the relationship Representatives, and the Comptroller Common Carrier Bureau, Policy and between the national government and General of the United States prior to Program Planning Division, 202–418– the States, or on the distribution of publication in the Federal Register. A 1580. Further information also may be power and responsibilities among the major rule cannot take effect until 60 obtained by calling the Common Carrier various levels of government, as days after it is published in the Federal Bureau’s TTY number: 202–418–0484. specified in Executive Order 13132 (64 Register. This action is not a ‘‘major FR 43255, August 10, 1999), because it SUPPLEMENTARY INFORMATION: On rule’’ as defined by 5 U.S.C. 804(2). This merely authorizes state requirements as September 1, 2000, the Office of action will be effective November 21, part of the State RCRA hazardous waste Management and Budget approved the 2000. program without altering the information collections adopted in the relationship or the distribution of power List of Subjects in 40 CFR Part 271 Order on Reconsideration pursuant to and responsibilities established by OMB Control No. 3060–0848. Environmental protection, Accordingly, the modified or new RCRA. This action also is not subject to Administrative practice and procedure, Executive Order 13045 (62 FR 19885, information collection requirements in Confidential business information, sections 51.321(f), 51.323(b), and April 23, 1997), because it is not Hazardous waste, Hazardous waste economically significant and it does not section 51.323(l)(1) will take effect on transportation, Indian lands, October 10, 2000, the same date as the make decisions based on environmental Intergovernmental relations, Penalties, health or safety risks. other rules adopted in the Order on Reporting and recordkeeping Reconsideration. Under RCRA 3006(b), EPA grants a requirements. State’s application for authorization as List of Subjects in 47 CFR Part 51 long as the State meets the criteria Authority: This action is issued under the required by RCRA. It would thus be authority of sections 2002(a), 3006 and 7004(b) of the Solid Waste Disposal Act as Communications, Common carriers, inconsistent with applicable law for amended 42 U.S.C. 6912(a), 6926, 6974(b). Telecommunications, Collocation. EPA, when it reviews a State Federal Communications Commission. authorization application, to require the Dated: September 12, 2000. use of any particular voluntary A. Stanley Meiburg, Magalie Roman Salas, consensus standard in place of another Acting Regional Administrator, Region 4. Secretary. standard that otherwise satisfies the [FR Doc. 00–24432 Filed 9–21–00; 8:45 am] [FR Doc. 00–24327 Filed 9–21–00; 8:45 am] requirements of RCRA. Thus, the BILLING CODE 6560±50±P BILLING CODE 6712±01±P

VerDate 112000 13:05 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 E:\FR\FM\22SER1.SGM pfrm04 PsN: 22SER1 57292

Proposed Rules Federal Register Vol. 65, No. 185

Friday, September 22, 2000

This section of the FEDERAL REGISTER Floor, Washington, DC 20219, national bank lending limit, governs the contains notices to the public of the proposed Attention: Docket No. 00–19; Fax percentage of capital and surplus that a issuance of rules and regulations. The number (202) 874–5274 or Internet bank may loan to any one borrower. purpose of these notices is to give interested address: [email protected]. OCC regulations implementing section persons an opportunity to participate in the Comments may be inspected and rule making prior to the adoption of the final 84 are set forth at 12 CFR part 32. Under rules. photocopied at the OCC’s Public section 84 and part 32, a national bank Reference Room, 250 E Street, SW., can make unsecured loans of up to 15 Washington, DC, between 9 a.m. and 5 percent of its unimpaired capital and DEPARTMENT OF THE TREASURY p.m. on business days. You can make an surplus to a single borrower, and extend appointment to inspect the comments an additional 10 percent of unimpaired Office of the Comptroller of the by calling (202) 874–5043. capital and surplus to the same Currency FOR FURTHER INFORMATION CONTACT: borrower, if the loan is secured by Stuart Feldstein, Assistant Director, ‘‘readily marketable collateral.’’ Part 32 12 CFR Part 32 Legislative and Regulatory Activities refers to these lending limits as ‘‘the [Docket No. 00±19] Division, (202) 874–5090; Deborah Katz, combined general limit.’’ The statute Senior Attorney, Legislative and and regulation also expressly provide RIN 1557±AB82 Regulatory Activities Division, (202) other exceptions to and exemptions Community Bank-Focused Regulation 874–5090; or Heidi Thomas, Senior from the combined general limit for Review: Lending Limits Pilot Program Attorney, Legislative and Regulatory various types of loans and extensions of Activities Division, (202) 874–5090. credit. Finally, the statute authorizes the AGENCY: Office of the Comptroller of the SUPPLEMENTARY INFORMATION: OCC to establish lending limits ‘‘for Currency, Treasury particular classes or categories of loans’’ Background ACTION: Notice of proposed rulemaking. that are different from those expressly On May 12, 1999, the OCC issued an provided by its terms.’’ 12 U.S.C. SUMMARY: The Office of the Comptroller advance notice of proposed rulemaking 84(d)(1). of the Currency (OCC) is proposing to (ANPR) inviting comment on possible A majority of commenters stated that amend part 32, its regulation governing regulatory changes relating to lending the lending limits in section 84, as the percentage of capital and surplus limits, corporate activities and interpreted in part 32, are especially that a national bank may loan to any one transactions, corporate governance, and problematic for community banks borrower. This proposal would capital requirements that could benefit because they do not provide enough implement a pilot program that would community banks. 64 FR 25469. In flexibility for them to adequately serve create new exceptions to the lending issuing the ANPR, we recognized that their customers. Because of their small limit for 1–4 family residential real community banks operate with more estate loans and loans to small limited resources than larger size, community banks can quickly businesses. The proposal also would institutions and may present a different reach their lending limits. Many modify the lending limit exemption for risk profile. For example, many commenters noted that the current loans to or guaranteed by obligations of community banks have more direct lending limits have prevented them state and local governments. Only ‘‘hands-on’’ oversight by senior from continuing to lend to creditworthy eligible banks will be permitted to make management and a smaller range of customers, and that this has caused a use of the new exceptions and use of the operations such that less complex risk- loss in potential income, especially from exceptions also will be subject to an management or compliance systems valued customers whose credit needs application process. The proposal is may be appropriate. In addition, have increased with the growth of their being issued in response to the advance differences between community banks businesses. These commenters indicated notice of proposed rulemaking that the and larger banks in operational structure that, as a result of the lending limits, OCC published to initiate its community and focus may have resulted in they often must participate out larger bank-focused regulation review. The inefficient or uneven application of loans to other banks, which can be very proposal is intended to remove regulatory requirements. The purpose of burdensome and time consuming for unnecessary regulatory burden on our community bank-focused regulation both the bank and the borrower. In community banks without impairing review was to eliminate or modify addition, the commenters noted that their safety and soundness. If the regulatory requirements that impose when a community bank participates its proposed pilot program is adopted as a unnecessary burden. In addition, we loans, the bank risks losing its customer final rule, the OCC will review national sought to identify regulations for which to the participant. banks’ experience with the new it may be appropriate to develop Many commenters also noted that exceptions over the three year pilot alternative, differential regulatory States provide higher lending limits period and determine whether to retain, approaches that will minimize burden than those set forth in section 84 and modify or rescind the exceptions. on community banks without part 32. Many of these commenters DATES: Comments must be received on jeopardizing their safety and soundness. suggested that Federal lending limits be or before November 21, 2000. We received forty-one comment the same as those available for State ADDRESSES: Please direct your letters in response to the ANPR. Thirty- banks so that national banks can comments to: Communications five of these letters commented on compete on equal footing with other Division, Office of the Comptroller of various aspects of the national bank financial service providers in the the Currency, 250 E Street, SW., Third lending limit. Twelve U.S.C. 84, the markets where they compete.

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57293

A minority of commenters found the the other lending limit exceptions apply 3. Applicable Safeguards current lending limits appropriate and to secured loans only, either when there The proposal incorporates a number opposed any lending limit increase. is specific collateral pledged or a of safeguards designed to ensure that a Some of these commenters advocated guarantee offered, we invite comment national bank’s use of the additional the use of loan participations to support on whether the exception for small authority provided by the new spreading risk. business loans should require specific exceptions is consistent with safety and collateral. Description of the Proposal soundness. The first is the per borrower The NPRM also requests comment on dollar limitation described in the This notice of proposed rulemaking whether the definition of ‘‘small preceding paragraph. The second is an (NPRM) addresses suggestions by the business loan’’ in the proposed aggregate lending cap on any loans, or commenters. Specifically, we are regulation is appropriate. This portions thereof, to all of a bank’s proposing to amend 12 CFR part 32 to definition is identical to that found in borrowers made in reliance upon the create new lending limit exceptions for our CRA regulation, 12 CFR 25.12(u), real estate and small business real estate and small business loans for which incorporates the definition of exceptions. The total amount of these national banks with main offices located ‘‘loans to small businesses’’ from the loans, or portions of loans, together, in States where a limit higher than the instructions for preparation of the cannot equal more than 100 percent of current Federal limit applies, and to Consolidated Reports of Condition and a bank’s capital and surplus. This cap is modify the lending limit exemption in Income. These include loans with similar to the statutory aggregate limit § 32.3(c) for loans to or guaranteed by original amounts of $1 million or less, on loans to all bank insiders. See 12 general obligations of State and local secured by nonfarm nonresidential U.S.C. 375b(5). governments. To ensure that national properties, and certain commercial and Third, only ‘‘eligible banks’’ can make banks use this additional lending industrial loans. use of these exceptions. To be an authority in a way that is consistent ‘‘eligible bank’’ for purposes of this part, with safe and sound banking practices, 2. Additional Lending Authority the bank must be well capitalized, as the new exceptions will be available defined in 12 CFR 6.4(b)(1),1 and must Under this proposal, a bank may only to ‘‘eligible banks,’’ and will be have a rating of 1 or 2 under the subject to an application process. extend another ten percent of its capital Uniform Financial Institutions Rating Furthermore, an aggregate limit will and surplus, in addition to the amounts System, with at least a rating of 2 for the restrict a bank’s ability to make use of permissible under the currently management component of this rating this new lending authority. applicable lending limits, to a single system. These criteria will ensure that borrower for certain real estate and New Exceptions for 1–4 Family only banks with sufficient capital and small business loans, respectively, if a good managerial oversight will be Residential Real Estate and Small bank’s main office is located in a State Business Loans permitted to use the increased limits. with a higher limit that applies to these In addition, the proposed rule 1. Categories of Loans Subject to categories of loans. The commenters requires a bank to apply to its Exceptions strongly urged the OCC to provide supervisory office and receive approval lending limit parity between a national before using either of the new In reviewing part 32, we considered a bank and a State bank in the State where number of different categories of loans exceptions. To be deemed complete, the the national bank is located. Some application must contain the following for which alternative lending limits may commenters specifically advocated that be appropriate. One-to-four family information. First, the bank must certify the OCC adopt the lending limit of their that it is an ‘‘eligible bank.’’ Second, the residential real estate and small State. business lending are lines of business bank must cite to relevant State laws or regulations showing that its main office common for community banks. Thus, A regulation that would provide exact is located in a State where the State providing additional lending authority parity between national banks and bank lending limit that applies to 1–4 in these areas is likely to be responsive banks located in all fifty States would be family residential real estate or small to the concerns described by the very complicated, however, because business loans is higher than the limit majority of commenters who responded State lending limits may involve higher for national banks. The citation may to the ANPR. Moreover, national banks general limits, a different method of reference a higher general, specific or have substantial and longstanding calculating the percentage of bank other limit that applies to 1–4 family experience with lending in these areas. capital and surplus that can be loaned residential real estate or small business The safety and soundness issues to a single borrower, or different rules for combining loans to separate loans. This requirement will limit use of presented by these types of loans are the exceptions to national banks with already issues that banks routinely borrowers. We believe that providing exceptions in the two categories main offices located in States where address, so that banks can rely on their they are operating at a competitive existing expertise to use this additional described to national banks with main offices located in States that apply a disadvantage as compared to State lending authority. banks. Third, the bank must provide the The exception for real estate applies higher limit to these categories of loans only when a loan is secured by a addresses the parity concern without requiring an unduly complex 1 Under 12 CFR 6.4(b), ‘‘well capitalized’’ means perfected first-lien security interest in that the bank: (1) has a total risk-based capital ratio 1–4 family residential real estate in an calculation. of 10.0 percent or greater; (2) has a Tier 1 risk-based amount that may not exceed 80 percent Moreover, in addition to the capital ration of 6.0 percent or greater; (3) has a leverage ratio of 5.0 percent or greater; and (4) is of the appraised value of the collateral percentage limit, each of the exceptions not subject to any written agreement, order or at the time the loan is made. The contains a $10 million dollar cap. The capital directive, or prompt corrective action exception for small business loans, as dollar cap will ensure that banks over directive issued by the OCC pursuant to section 8 proposed, extends additional lending $1 billion receive no greater benefit, and of the Federal Deposit Insurance Act (FDI Act), the International Lending Supervision Act of 1983 or authority for loans that could be cannot make larger loans in reliance section 38 of the FDI Act, or any regulation unsecured, or secured in a manner that upon these exceptions, than banks that thereunder, to meet and maintain a specific capital is not specified by regulation. As all of are smaller in size. level of any capital measure.

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57294 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules

OCC with a written resolution by the of counsel that the loan or extension of Regulatory Analysis majority of its board of directors credit or guarantee is a valid and A. Paperwork Reduction Act approving the use of these exceptions enforceable general obligation of the and confirming the terms and State or political subdivision. For purposes of compliance with the conditions for use of this lending However, the requirement for an Paperwork Reduction Act of 1995, 44 authority. In this way, the board will be opinion of counsel is not statutorily U.S.C. 3501 et seq., the OCC invites required to identify the policies and required. The OCC understands that comment on: procedures that will govern the use of requiring an opinion of counsel can be (1) Whether the proposed collection the exceptions. Last, the bank will have expensive and time consuming for of information contained in this notice to provide a description of how the community banks, particularly for those of proposed rulemaking is necessary for board intends to exercise its continuing banks that make a substantial number of the proper performance of the OCC’s responsibility to oversee the use of this agricultural loans under the loan functions, including whether the lending authority, for example, guarantee programs. Therefore, the information has practical utility; requiring quarterly reports of all loans proposed rule revises § 32.3(c)(5) to (2) The accuracy of the OCC’s made under these exceptions. This allow a bank to either obtain an opinion estimate of the burden of the proposed provision emphasizes the continuing of counsel or rely on the opinion of a information collection; responsibility of the board to monitor State attorney general (or other State (3) Ways to enhance the quality, use of the exceptions if the bank’s legal official with authority to opine on utility, and clarity of the information to application is granted. Finally, the the obligation in question) on the be collected; supervisory office will still have the validity and enforceability of the (4) Ways to minimize the burden of discretion to deny the bank’s obligation, extension of credit, or the information collection on the application based upon safety and guarantee in question. respondents, including the use of soundness considerations. Comment is invited on this automated collection techniques or OCC approval is effective for three modification as well as all aspects of other forms of information technology; years and may be renewed. Provided the this NPRM. and bank remains eligible during the three (5) Estimates of capital or start-up Solicitation of Comments on Use of year period, any loan made during the costs and costs of operation, Plain Language three year period will remain legal, even maintenance, and purchase of services if the bank thereafter becomes ineligible. Section 722 of the Gramm-Leach- to provide information. If this proposal is adopted as a final Bliley Act, Pub. L. 106–102, sec. 722, Respondents are not required to rule, the OCC will evaluate national 113 Stat. 1338, 1471 (Nov. 12, 1999), respond to this collection of information banks’ experience with these new requires the Federal banking agencies to unless the final regulation displays a exceptions over the three year pilot use plain language in all proposed and currently valid Office of Management period following the effective date of the final rules published after January 1, and Budget (OMB) control number. rule and determine at that time whether 2000. We invite your comments on how The collection of information to retain, modify or rescind the to make this proposal easier to requirements contained in this notice of exceptions. understand. For example: proposed rulemaking have been • 4. Comments Have we organized the material to submitted to the OMB for review in suit your needs? If not, how could this accordance with the Paperwork In addition to requesting comments material be better organized? Reduction of 1995 (44 U.S.C. 3507(d)). generally on all aspects of this proposal, • Are the requirements in the Comments on the collection of we ask for comments on whether: proposed regulation clearly stated? If information should be sent to the Office • The categories of loans identified not, how could the regulation be more of Management and Budget, Paperwork will alleviate the burden and mitigate clearly stated? Reduction Project Number 1557-to be some of the competitive disparity for • assigned, Washington, DC 20503, with a community banks; Does the proposed regulation • Loans to small business should be contain language or jargon that is not copy to Jessie Dunaway, Legislative and secured by specific collateral in order to clear? If so, which language requires Regulatory Activities Division, Office of clarification? the Comptroller of the Currency, 250 E qualify for the exception; • • The per borrower percentage limit Would a different format (grouping Street, SW, Mailstop 8–4, Washington, and dollar caps for the exceptions are and order of sections, use of headings, DC 20219. appropriate; paragraphing) make the regulation The information collection • The aggregate limit is appropriate; easier to understand? If so, what requirements contained in 12 CFR part and changes to the format would make the 32 are contained in section • Additional safeguards are regulation easier to understand? 32.3(b)(6)(iv). Under this section, the warranted. • What else could we do to make the proposed regulation would require regulation easier to understand? national banks to provide the OCC with Exemptions for Loans Secured by State certain information in connection with and Local Governments. Solicitation of Comments on Impact on an application to receive approval from Part 32 provides that a loan or Community Banks its supervisory office before using the extension of credit made by a national The OCC also seeks comments on the exceptions to the lending limit for 1–4 bank to, or guaranteed by general impact of this proposal on community family residential real estate loans and obligations of a State or political banks. The OCC recognizes that loans to small businesses for national subdivision is exempt from any lending community banks may present a banks. The likely respondents are limit. See 12 CFR part 32.3(c)(5). The different risk profile than larger banks, national banks. phrase ‘‘general obligation,’’ is defined and we intend this proposal to address Estimated number of respondents: in 12 CFR part 1. In addition, to obtain that difference in risk. We invite 2,140. this exemption, this section currently comment specifically on whether the Estimated number of responses: requires the bank to obtain an opinion proposal achieves that objective. 2,140.

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57295

Estimated burden hours per response: has not prepared a budgetary impact national bank may extend residential 26. statement or specifically addressed the real estate loans to a borrower in an Estimated total burden: 55,640. regulatory alternatives considered. amount that does not exceed 10 percent of its capital and surplus or $ 10 B. Regulatory Flexibility Act Analysis List of Subjects in 12 CFR Part 32 million, whichever is less, in addition to The Regulatory Flexibility Act (RFA) National banks, Reporting and the amount allowed under the bank’s requires federal agencies either to certify recordkeeping requirements. combined general limit, if the main that a proposed rule would not, if Authority and Issuance office of the bank is located in a state adopted in final form, have a significant where the state bank lending limit that impact on a substantial number of small For the reasons set forth in the applies to residential real estate loans is entities or to prepare an initial preamble, part 32 of chapter I of title 12 higher than the limit for national banks. regulatory flexibility analysis (IRFA) of of the Code of Federal Regulations is (ii) An eligible national bank may the proposal and publish the analysis proposed to be amended as follows: extend small business loans to a for comment. See 5 U.S.C. 603, 605. On PART 32ÐLENDING LIMITS borrower in an amount that does not the basis of the information currently exceed 10 percent of its capital and available, the OCC is of the opinion that 1. The authority citation for part 32 surplus or $10 million, whichever is this proposal, if it is adopted in final continues to read as follows: less, in addition to the amount allowed form, is unlikely to have a significant Authority: 12 U.S.C. 1 et seq., 84, and 93a. under the bank’s combined general impact on a substantial number of small limit, if the main office of the bank is entities, within the meaning of those 2. In § 32.2: located in a state where the state bank terms as used in the RFA. Commenters A. Paragraph (p) is redesignated as lending limit that applies to small are invited to provide the OCC with any paragraph (s); business loans is higher than the limit B. Paragraph (o) is redesignated as information they may have about the for national banks. paragraph (q); likely quantitative effects of the (iii) The total of all portions of a C. Paragraphs (i) through (n) are proposal. national bank’s loans and extensions of redesignated as paragraphs (j) through credit made pursuant to the exceptions C. Executive Order 12866 Determination (o); and provided in paragraphs (b)(6)(i) and (ii) The Comptroller of the Currency has D. New paragraphs (i), (p) and (r) are of this section may not exceed 100 determined that this proposed rule, if added to read as follows: percent of the bank’s capital and adopted as a final rule, would not § 32.2 Definitions. surplus. constitute a ‘‘significant regulatory (iv) A national bank must submit an action’’ for the purposes of Executive * * * * * application to, and receive approval Order 12866. Under the most (i) Eligible bank means a national from its supervisory office before using conservative cost scenarios that the OCC bank that: the exceptions in paragraphs (b)(6)(i) can develop on the basis of available (1) Is well capitalized as defined in 12 and (ii) of this section. The supervisory information, the impact of the proposal CFR 6.4(b)(1); and office may approve a completed falls well short of the thresholds (2) Has a composite rating of 1 or 2 application if it finds that approval is established by the Executive Order. under the Uniform Financial Institutions Rating System in consistent with safety and soundness. D. Unfunded Mandates Reform Act of connection with the bank’s most recent To be deemed complete, the application 1995 Determinations examination or subsequent review, with must include: Section 202 of the Unfunded at least a rating of 2 for management, if (A) Certification that the bank is an Mandates Reform Act of 1995, 2 U.S.C. that rating is given. ‘‘eligible bank’’ as defined in § 32.2(i); 1532 (Unfunded Mandates Act), * * * * * (B) Citations to relevant state laws or requires that an agency prepare a (p) Residential real estate loan means regulations; budgetary impact statement before any loan or extension of credit that is (C) A copy of a written resolution by promulgating any rule likely to result in secured by a perfected first-lien security a majority of the bank’s board of a Federal mandate that may result in the interest in 1–4 family residential real directors approving the use of the limits expenditure by State, local, and tribal estate in an amount that does not exceed provided in paragraphs (b)(6)(i) and (ii) governments, in the aggregate, or by the 80 percent of the appraised value of the of this section, and confirming the terms private sector, of $100 million or more collateral at the time the loan or and conditions for use of this lending in any one year. If a budgetary impact extension of credit is made. authority; and statement is required, section 205 of the * * * * * (D) A description of how the board Unfunded Mandates Act also requires (r) Small business loan means any intends to exercise its continuing the agency to identify and consider a loan or extension of credit included in responsibility to oversee the use of this reasonable number of regulatory ‘‘loans to small businesses’’ as defined lending authority. alternatives before promulgating the in the instructions for preparation of the (v) Provided that a bank remains an rule. However, an agency is not required Consolidated Report of Condition and ‘‘eligible bank,’’ OCC approval of the to assess the effects of its regulatory Income. bank’s authority to use the exceptions in actions on the private sector to the paragraphs (b)(6)(i) and (ii) of this * * * * * section is effective for three years and extent that such regulations incorporate 3. In § 32.3, a new paragraph (b)(6) is may be renewed. requirements specifically set forth in added and paragraph (c)(5) is revised to law. 2 U.S.C. 1531. read as follows: * * * * * The OCC has determined that this (c) * * * proposed regulation will not result in § 32.3 Lending limits. (5) Loans to or guaranteed by general expenditures by State, local, and tribal * * * * * obligations of a State or political governments, in the aggregate, or by the (b) * * * subdivision. (i) A loan or extension of private sector, of $100 million or more (6) Loans for residential real estate credit to a State or political subdivision in any one year. Accordingly, the OCC and small businesses. (i) An eligible that constitutes a general obligation of

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57296 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules the State or political subdivision, as retaining ring groove, which could 1998. That memorandum requires defined in part 1 of this chapter, and for result in loss of control of the airplane. federal agencies to communicate more which the lending bank has an opinion DATES: The Federal Aviation clearly with the public. We are of counsel or the opinion of that State Administration (FAA) must receive any interested in your comments on whether Attorney General, or other State legal comments on this proposed rule on or the style of this document is clearer, and official with authority to opine on the before October 25, 2000. any other suggestions you might have to obligation in question, that the loan or ADDRESSES: Submit comments in improve the clarity of FAA extension of credit is a valid and triplicate to FAA, Central Region, Office communications that affect you. You enforceable general obligation of the of the Regional Counsel, Attention: can get more information about the borrower; and Rules Docket No. 2000–CE–16–AD, 901 Presidential memorandum and the plain (ii) A loan or extension of credit, Locust, Room 506, Kansas City, language initiative at http:// including portions thereof, to the extent Missouri 64106. Comments may be www.plainlanguage.gov. guaranteed or secured by a general inspected at this location between 8 How can I be sure FAA receives my obligation of a State or political a.m. and 4 p.m., Monday through comment? If you want us to subdivision and for which the lending Friday, holidays excepted. acknowledge the receipt of your bank has an opinion of counsel or the Service information that applies to the comments, you must include a self- opinion of that State Attorney General, proposed AD may be obtained from addressed, stamped postcard. On the or other State legal official with Vulcanair S.p.A., Via G. Poscoli, 7, postcard, write ‘‘Comments to Docket authority to opine on the guarantee or 80026 Casoria (Naples), Italy; telephone: No. 2000–CE–16–AD.’’ We will date collateral in question, that the guarantee +39–081–5918111; facsimile: +39–081– stamp and mail the postcard back to or collateral is a valid and enforceable 5918172. This information also may be you. general obligation of that public body. examined at the Rules Docket at the Discussion * * * * * address above. What events have caused this Dated: September 15, 2000. FOR FURTHER INFORMATION CONTACT: proposed AD? The Ente Nazionale per John D. Hawke, Jr., Roman Gabrys, Aerospace Engineer, l’Aviazione Civile (ENAC), which is the Comptroller of the Currency. FAA, Small Airplane Directorate, 901 airworthiness authority for Italy, Locust, Room 301, Kansas City, [FR Doc. 00–24280 Filed 9–21–00; 8:45 am] recently notified FAA that an unsafe Missouri 64106; telephone: (816) 329– BILLING CODE 4810±33±P condition may exist on certain 4141; facsimile: (816) 329–4090. Vulcanair Models P 68 ‘‘OBSERVER’’, SUPPLEMENTARY INFORMATION: P68 ‘‘OBSERVER 2’’, and P68TC DEPARTMENT OF TRANSPORTATION Comments Invited ‘‘OBSERVER’’ airplanes. The ENAC reports three instances of cracking of the How do I comment on the proposed Federal Aviation Administration nose landing gear (NLG) upper strut, AD? The FAA invites comments on this part number 4.4173–1, in the area of the proposed rule. You may submit 14 CFR Part 39 seeger retaining ring groove. whatever written data, views, or Investigation of these instances reveals [Docket No. 2000±CE±16±AD] arguments you choose. You need to a work defect found during surface include the rule’s docket number and RIN 2120±AA64 finishing within the groove. The groove submit your comments in triplicate to is then susceptible to cracks after a hard Airworthiness Directives; Vulcanair the address specified under the caption landing. S.p.A. Models P 68 ``OBSERVER'', P68 ADDRESSES. The FAA will consider all What are the consequences if the ``OBSERVER 2'', and P68TC comments received on or before the condition is not corrected? Such ``OBSERVER'' Airplanes closing date. We may amend the cracking, if not detected and corrected, proposed rule in light of comments could result in failure of the NLG upper AGENCY: Federal Aviation received. Factual information that strut, which could result in loss of Administration, DOT. supports your ideas and suggestions is control of the airplane. ACTION: Notice of proposed rulemaking extremely helpful in evaluating the Is there service information that (NPRM). effectiveness of the proposed AD action applies to this subject? Vulcanair has and determining whether we need to issued Service Bulletin No. 98, dated SUMMARY: This document proposes to take additional rulemaking action. July 31, 1999. adopt a new airworthiness directive Are there any specific portions of the What are the provisions of this service (AD) that would apply to certain proposed AD I should pay attention to? bulletin? The service bulletin: Vulcanair S.p.A. (Vulcanair) Models P The FAA specifically invites comments • Includes procedures for inspecting 68 ‘‘OBSERVER’’, P68 ‘‘OBSERVER 2’’, on the overall regulatory, economic, the NLG upper strut in the area of the and P68TC ‘‘OBSERVER’’ airplanes. The environmental, and energy aspects of seeger retaining ring groove for evidence proposed AD would require you to the proposed rule that might suggest a of cracking (cracks or crack beginnings); inspect the nose landing gear (NLG) need to modify the rule. You may and upper strut for evidence of cracking examine all comments we receive before • Specifies replacing the upper strut (cracks or crack beginnings), and replace and after the closing date of the rule in if evidence of cracking is found. the NLG upper strut if you find the Rules Docket. We will file a report What action did the ENAC take? The evidence of cracking. The proposed AD in the Rules Docket that summarizes ENAC classified this service bulletin as is the result of mandatory continuing each FAA contact with the public that mandatory and issued Italian AD No. airworthiness information (MCAI) concerns the substantive parts of the 2000–004, dated January 10, 2000, in issued by the airworthiness authority for proposed AD. order to assure the continued Italy. The actions specified by the We are re-examining the writing style airworthiness of these airplanes in Italy. proposed AD are intended to prevent we currently use in regulatory Was this in accordance with the failure of the NLG upper strut caused by documents, in response to the bilateral airworthiness agreement? cracking in the area of the seeger Presidential memorandum of June 1, These airplane models are

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57297 manufactured in Italy and are type including the service information evidence of cracking (cracks or crack certificated for operation in the United referenced above; and determined that: beginnings), and replace the NLG upper States under the provisions of section • The unsafe condition referenced in strut if you find evidence of cracking. 21.29 of the Federal Aviation this document exists or could develop You would accomplish the proposed Regulations (14 CFR 21.29) and the on other Vulcanair Models P 68 action in accordance with the applicable bilateral airworthiness ‘‘OBSERVER’’, P68 ‘‘OBSERVER 2’’, and previously referenced service bulletin. agreement. Pursuant to this bilateral P68TC ‘‘OBSERVER’’ airplanes of the Cost Impact airworthiness agreement, the ENAC has same type design; kept FAA informed of the situation • The actions specified in the How many airplanes does the described above. previously-referenced service proposed AD impact? We estimate that information should be accomplished on the proposed AD affects 15 airplanes in The FAA’s Determination and an the affected airplanes; and the U.S. registry. Explanation of the Provisions of the • AD action should be taken in order What is the cost impact of the Proposed AD to correct this unsafe condition. proposed AD on owners/operators of the What has FAA decided? The FAA has What does the proposed AD require? affected airplanes? We estimate the examined the findings of the ENAC; This proposed AD would require you to following costs to accomplish the reviewed all available information, inspect the NLG upper strut for proposed inspection:

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

10 workhours × $60 per hour = $600 ...... No parts required for inspection ...... $600 $9,000

We estimate the following costs to results of the proposed inspection. We of airplanes that may need such accomplish any necessary replacements have no way of determining the number replacement: that would be required based on the

Total cost Labor cost Parts cost per airplane

10 workhours × $60 per hour = $600 ...... $600 $1,200

Regulatory Impact Flexibility Act. A copy of the draft § 39.13 [Amended] Does this proposed AD impact various regulatory evaluation prepared for this 2. Section 39.13 is amended by entities? The regulations proposed action has been placed in the Rules adding a new airworthiness directive herein would not have a substantial Docket. A copy of it may be obtained by (AD) to read as follows: contacting the Rules Docket at the direct effect on the States, on the Vulcanair S.P.A. (Partenavia Costruzioni relationship between the national location provided under the caption Aeronauticas S.p.A previously held Type government and the States, or on the ADDRESSES. Certificate A31EU): Docket No. 2000–CE– distribution of power and List of Subjects in 14 CFR Part 39 16–AD responsibilities among the various (a) What airplanes are affected by this AD? levels of government. Therefore, it is Air transportation, Aircraft, Aviation This AD affects Models P 68 ‘‘OBSERVER’’, determined that this proposed rule safety, Safety. P68 ‘‘OBSERVER 2’’, and P68TC would not have federalism implications ‘‘OBSERVER’’ airplanes, all serial numbers The Proposed Amendment up to and including 400, that are certificated under Executive Order 13132. in any category. Does this proposed AD involve a Accordingly, pursuant to the (b) Who must comply with this AD? significant rule or regulatory action? For authority delegated to me by the Anyone who wishes to operate any of the the reasons discussed above, I certify Administrator, the Federal Aviation above airplanes on the U.S. Register must that this proposed action (1) is not a Administration proposes to amend part comply with this AD. ‘‘significant regulatory action’’ under 39 of the Federal Aviation Regulations (c) What problem does this AD address? Executive Order 12866; (2) is not a (14 CFR part 39) as follows: The actions specified by this AD are intended ‘‘significant rule’’ under DOT to prevent failure of the nose landing gear Regulatory Policies and Procedures (44 PART 39ÐAIRWORTHINESS (NLG) upper strut caused by cracking in the DIRECTIVES area of the seeger retaining ring groove, FR 11034, February 26, 1979); and (3) if which could result in loss of control of the promulgated, will not have a significant 1. The authority citation for part 39 airplane. economic impact, positive or negative, (d) What actions must I accomplish to on a substantial number of small entities continues to read as follows: address this problem? To address this under the criteria of the Regulatory Authority: 49 U.S.C. 106(g), 40113, 44701. problem, you must accomplish the following:

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57298 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules

Action Compliance time Procedures

(1) Inspect, using magnetic particle Within the next 200 hours time-in-service (TIS) after Do this inspection in accordance with the ACCOM- methods, the NLG upper strut, the effective date of this AD. PLISHMENT INSTRUCTIONS section of part number 4.4173±1 (or FAA- Vulcanair Service Bulletin No. 98, dated July 31, approved equivalent part num- 1999. ber), for evidence of cracking (cracks or crack beginnings). . (2) If there is evidence of cracking, Prior to further flight after the inspection where evi- Use the procedures in the maintenance manual. replace the NLG upper strut with dence of cracking is found. a new NLG upper strut, part number 4.4173±1 (or FAA-ap- proved equivalent part number). . (3) Do not install any NLG upper As of the effective date of this AD ...... Not Applicable. strut, part number 4.4173±1, un- less it is new from the factory, or has been inspected as required in paragraph (d)(1) of this AD and is found to not have any evi- dence of cracking.

(e) Can I comply with this AD in any other Note 2: The subject of this AD is addressed requirements of the current AD. The way? You may use an alternative method of in Italian AD 2000–004, dated January 10, actions specified by the proposed AD compliance or adjust the compliance time if: 2000. are intended to prevent loss of the (1) Your alternative method of compliance Issued in Kansas City, Missouri, on metallic clamp or the engine exhaust provides an equivalent level of safety; and September 13, 2000. ejector, damage to the main or tail rotor (2) The Manager, Small Airplane system and subsequent loss of control of Directorate, approves your alternative. Larry E. Werth, Submit your request through an FAA Acting Manager, Small Airplane Directorate, the helicopter. Principal Maintenance Inspector, who may Aircraft Certification Service. DATES: Comments must be received on add comments and then send it to the [FR Doc. 00–24370 Filed 9–21–00; 8:45 am] or before November 6, 2000. Manager, Small Airplane Directorate. BILLING CODE 4910±13±U ADDRESSES: Submit mailed comments in Note 1: This AD applies to each airplane triplicate to the Federal Aviation identified in paragraph (a) of this AD, Administration (FAA), Office of the regardless of whether it has been modified, DEPARTMENT OF TRANSPORTATION Regional Counsel, Southwest Region, altered, or repaired in the area subject to the requirements of this AD. For airplanes that Federal Aviation Administration Attention: Rules Docket No. 2000–SW– have been modified, altered, or repaired so 07–AD, 2601 Meacham Blvd., Room that the performance of the requirements of 14 CFR Part 39 663, Fort Worth, Texas 76137. You may this AD is affected, the owner/operator must also send comments electronically to request approval for an alternative method of [Docket No. 2000±SW±07±AD] the Rules Docket at the following compliance in accordance with paragraph (e) Airworthiness Directives; Agusta address: [email protected]. of this AD. The request should include an You may inspect comments at the Office assessment of the effect of the modification, S.p.A. (Agusta) Model A109E Helicopters of the Regional Attorney between 9:00 alteration, or repair on the unsafe condition a.m. and 3:00 p.m., Monday through addressed by this AD; and, if you have not AGENCY: Federal Aviation Friday, except Federal holidays. eliminated the unsafe condition, specific Administration, DOT. actions you propose to address it. FOR FURTHER INFORMATION CONTACT: Paul ACTION: (f) Where can I get information about any Notice of proposed rulemaking Madej, Aviation Safety Engineer, FAA, already-approved alternative methods of (NPRM). Rotorcraft Directorate, Rotorcraft Standards Staff, Fort Worth, Texas compliance? Contact Roman Gabrys, SUMMARY: This document proposes the 76193–0110, telephone (817) 222–5125, Aerospace Engineer, FAA, Small Airplane supersedure of an existing airworthiness Directorate, 901 Locust, Room 301, Kansas fax (817) 222–5961. City, Missouri 64106; telephone: (816) 329– directive (AD), applicable to Agusta 4141; facsimile: (816) 329–4090. Model A109E helicopters, that currently SUPPLEMENTARY INFORMATION: requires inspections of the exhaust (g) What if I need to fly the airplane to Comments Invited another location to comply with this AD? ejector locking system, clamp, and The FAA can issue a special flight permit dampers for each engine. The existing Interested persons are invited to under sections 21.197 and 21.199 of the AD also requires verifying the torque of participate in the making of the Federal Aviation Regulations (14 CFR 21.197 the metallic clamps and installing safety proposed rule by submitting such and 21.199) to operate your airplane to a wire on the metallic clamps; inspecting written data, views, or arguments as location where you can accomplish the and modifying the ejector saddles and they may desire. Communications requirements of this AD. the locking metallic clamps; and should identify the Rules Docket (h) How do I get copies of the documents inspecting the metallic clamps, locking number and be submitted in triplicate to referenced in this AD? You may obtain copies of the documents referenced in this AD from mechanisms, and dampers. This action the address specified above. All Vulcanair S.p.A., Via G. Poscoli, 7, 80026 would require modifying the engine communications received on or before Casoria (Naples), Italy. You may examine exhaust ejectors. This proposal is the closing date for comments, specified these documents at FAA, Central Region, prompted by the development of a kit to above, will be considered before taking Office of the Regional Counsel, 901 Locust, modify the engine exhaust ejectors to action on the proposed rule. The Room 506, Kansas City, Missouri 64106. provide terminating action from the proposals contained in this notice may

VerDate 112000 18:03 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00007 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm08 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57299 be changed in light of the comments metallic clamp or the engine exhaust The regulations proposed herein received. ejector, damage to the main or tail rotor would not have a substantial direct Comments are specifically invited on system, and subsequent loss of control effect on the States, on the relationship the overall regulatory, economic, of the helicopter. between the national Government and environmental, and energy aspects of Since the issuance of that AD, the the States, or on the distribution of the proposed rule. All comments manufacturer has issued a technical power and responsibilities among the submitted will be available, both before bulletin that specifies installing new various levels of government. Therefore, and after the closing date for comments, saddle assemblies and new damper it is determined that this proposal in the Rules Docket for examination by supports with improved shock would not have federalism implications interested persons. A report characteristics. Additionally, the under Executive Order 13132. summarizing each FAA-public contact technical bulletin specifies installing a For the reasons discussed above, I concerned with the substance of this redesigned ejector saddle locking certify that this proposed regulation (1) proposal will be filed in the Rules system using mounting bolts instead of is not a ‘‘significant regulatory action’’ Docket. a metallic clamp. under Executive Order 12866; (2) is not Commenters wishing the FAA to Agusta has issued Agusta Technical a ‘‘significant rule’’ under the DOT acknowledge receipt of their mailed Bulletin No. 109EP–5, dated December Regulatory Policies and Procedures (44 comments submitted in response to this 22, 1999, which specifies modifying the FR 11034, February 26, 1979); and (3) if notice must submit a self-addressed, engine exhaust ejectors, P/N 109–0601– promulgated, will not have a significant stamped postcard on which the 51, by installing a kit, P/N 109–0822–94. economic impact, positive or negative, following statement is made: The ENAC classified this service on a substantial number of small entities ‘‘Comments to Docket No. 2000–SW– bulletin as mandatory and issued AD under the criteria of the Regulatory 07–AD.’’ The postcard will be date No. 2000–001, dated January 4, 2000, in Flexibility Act. A copy of the draft stamped and returned to the order to assure the continued regulatory evaluation prepared for this commenter. airworthiness of these helicopters in action is contained in the Rules Docket. Availability of NPRMs Italy. A copy of it may be obtained by contacting the Rules Docket at the You may obtain a copy of this NPRM This helicopter model is location provided under the caption by submitting a request to the FAA, manufactured in Italy and is type ADDRESSES. Office of the Regional Counsel, certificated for operation in the United Southwest Region, Attention: Rules States under the provisions of section List of Subjects in 14 CFR Part 39 Docket No. 2000–SW–07–AD, 2601 21.29 of the Federal Aviation Regulations (14 CFR 21.29) and the Air transportation, Aircraft, Aviation Meacham Blvd., Room 663, Fort Worth, safety, Safety. Texas 76137. applicable bilateral airworthiness agreement. Pursuant to this bilateral The Proposed Amendment Discussion airworthiness agreement, ENAC has Accordingly, pursuant to the kept the FAA informed of the situation The Ente Nazionale per L’Aviazione authority delegated to me by the described above. The FAA has Civile (ENAC), which is the Administrator, the Federal Aviation examined the findings of the ENAC, airworthiness authority for Italy, has Administration proposes to amend part reviewed all available information, and notified the FAA that an unsafe 39 of the Federal Aviation Regulations determined that AD action is necessary condition may exist on Agusta Model (14 CFR part 39) as follows: A109E helicopters. The ENAC advises for products of this type design that are that modifying the engine exhaust certificated for operation in the United PART 39ÐAIRWORTHINESS ejectors, part number (P/N) 109–0601– States. DIRECTIVES 51, is necessary. Since an unsafe condition has been On March 10, 1999, the FAA issued identified that is likely to exist or 1. The authority citation for part 39 AD 99–03–10, Amendment 39–11080 develop on other Agusta Model A109E continues to read as follows: (64 FR 13502, March 19, 1999), to model helicopters of the same type Authority: 49 U.S.C. 106(g), 40113, 44701. require, before further flight, inspections design, the proposed AD would of the exhaust ejector to ejector saddle supersede AD 99–03–10 to require § 39.13 [Amended] locking system, the torque of the modifying the engine exhaust ejectors, 2. Section 39.13 is amended by metallic clamps, and the dampers at the P/N 109–0601–51, by installing a kit, P/ removing Amendment 39–11080 (64 FR bottom of the ejector saddle. Installing N 109–0822–94. 13502, March 19, 1999), and by adding safety wire on the metallic clamp for The FAA estimates that 13 helicopters a new airworthiness directive (AD), to each engine is also required. Within the of U.S. registry would be affected by this read as follows: next 10 hours time-in-service (TIS), that proposed AD, that it would take Agusta S.p.A.: Docket No. 2000–SW–07–AD. AD required inspecting the dampers and approximately 12 work hours per Supersedes AD 99–03–10, Amendment 39– metallic clamps, and repositioning and helicopter to accomplish the proposed 11080, Docket No. 99–SW–10–AD. modifying the ejector saddles and the actions, and that the average labor rate Applicability: Model A109E helicopters, locking metallic clamps. Thereafter, at is $60 per work hour. The manufacturer up to and including serial numbers 11057, intervals not to exceed 25 hours TIS, has stated that 12 work hours labor costs excluding serial numbers 11001, 11005, inspecting the metallic clamps, locking at $40 per hour and kit will be provided 11047, 11049, 11055 and 11056, with engine mechanisms, and dampers is required. under warranty if requested prior to exhaust ejectors, part number 109–0601–51, installed, certificated in any category. That action was prompted by an inflight December 31, 2000. Based on these incident in which a metallic clamp that figures, the total cost impact of the Note 1: This AD applies to each helicopter identified in the preceding applicability secured the left-hand engine exhaust proposed AD on U.S. operators is provision, regardless of whether it has been ejector to the ejector saddle became estimated to be $3,120, assuming that all otherwise modified, altered, or repaired in detached and separated from the operators take full advantage of all the the area subject to the requirements of this helicopter. The requirements of that AD warranty coverage stated by the AD. For helicopters that have been modified, are intended to prevent loss of the manufacturer. altered, or repaired so that the performance

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57300 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules of the requirements of this AD is affected, the Issued in Fort Worth, Texas, on September are specifically invited on the overall owner/operator must request approval for an 15, 2000. regulatory, aeronautical, economic, alternative method of compliance in Eric Bries, environmental, and energy-related accordance with paragraph (f) of this AD. The Acting Manager, Rotorcraft Directorate, request should include an assessment of the aspects of the proposal. Communi- Aircraft Certification Service. effect of the modification, alteration, or repair cations should identify the airspace on the unsafe condition addressed by this [FR Doc. 00–24372 Filed 9–21–00; 8:45 am] docket number and be submitted in AD; and if the unsafe condition has not been BILLING CODE 4910±13±U triplicate to the address listed above. eliminated, the request should include Comments wishing the FAA to specific proposed actions to address it. acknowledge receipt of their comments Compliance: Required as indicated, unless DEPARTMENT OF TRANSPORTATION on this action must submit with those accomplished previously. comments a self-addressed, stamped To prevent loss of the metallic clamp or the Federal Aviation Administration postcard on which the following engine exhaust ejector, damage to the main statement is made: ‘‘Comments to or tail rotor system, and subsequent loss of 14 CFR Part 71 control of the helicopter, accomplish the Airspace Docket No. 00–ASO–35.’’ The following: [Airspace Docket No. 00±ASO±35] postcard will be date/time stamped and (a) Prior to further flight, in accordance returned to the commenter. All with Part I of the Compliance Instructions in Proposed Amendment of Class D and communications received before the Agusta Bollettino Tecnico No. 109EP–3, Class E4 Airspace; Gainesville, FL specified closing date for comments will dated December 22, 1998 (Technical be considered before taking action on AGENCY: Federal Aviation Bulletin), inspect the exhaust ejector to the proposed rule. The proposal ejector saddle locking system, the dampers at Administration (FAA), DOT. contained in this action may be changed the bottom of the ejector saddle, and the ACTION: Notice of proposed rulemaking. torque of the metallic clamp, and install in light of the comments received. All comments submitted will be available safety wire on the metallic clamp. If any SUMMARY: This action proposes to damage is found as a result of the inspection, amend Class D and Class E4 airspace at for examination in the Office of the accomplish Part II of the Compliance Gainesville, FL. The Gainesville Regional Counsel for Southern Region, Instructions in the Technical Bulletin prior to Room 50, 1701 Columbia Avenue, further flight. VORTAC has been relocated and renamed. As a result the VHF Omni- College Park, Georgia 30337, both before (b) Within the next 10 hours time-in- and after the closing date for comments. service (TIS), inspect the dampers and directional Range (VOR) Standard metallic clamps, and reposition and modify Instrument Approach Procedure (SIAP) A report summarizing each substantive the ejector saddle and the locking metallic is amended. Therefore, the Class E4 public contact with FAA personnel clamp in accordance with Part II of the extension to the Class D surface area concerned with this rulemaking will be Compliance Instructions in the Technical will be rotated clockwise seven degrees. filed in the docket. Bulletin. (c) Thereafter, at intervals not to exceed 25 This proposed action will also remove Availability of NPRMs the reference to the Gainesville hours TIS, inspect the metallic clamp, Any person may obtain a copy of this locking mechanism, and dampers in VORTAC from the Class D airspace accordance with Part III of the Compliance description. Notice of Proposed Rulemaking (NPRM) Instructions in the Technical Bulletin. by submitting a request to the Federal DATES: Comments must be received on (d) Before further flight after December 31, Aviation Administration, Manager, 2000, modify the engine exhaust ejectors, or before October 23, 2000. Airspace Branch, ASO–520, Air Traffic part number (P/N) 109–0601–51, by ADDRESSES: Send comments on the Division, P.O. Box 20636, Atlanta, installing a kit, P/N 109–0822–94, in proposal in triplicate to: Federal Georgia 30320. Communications must accordance with the Compliance Instructions Aviation Administration, Docket No. identify the docket number of this in Agusta Technical Bulletin No. 109EP–5, 00–ASO–35, Manager, Airspace Branch, NPRM. Persons interested in being dated December 22, 1999. ASDO–520, P.O. Box 20636, Atlanta, (e) Installing a kit, P/N 109–0822–94, is placed on a mailing list for future terminating action for the requirements of Georgia 30320. NPRMs should also request a copy of this AD. The official docket may be examined in Advisory Circular No. 11–2A, which (f) An alternative method of compliance or the Office of the Regional Counsel for describes the application procedure. adjustment of the compliance time that Southern Region, Room 550, 1701 provides an acceptable level of safety may be Columbia Avenue, College Park, Georgia The Proposal used if approved by the Manager, Regulations 30337, telephone (404) 305–5586. The FAA is considering an Group, Rotorcraft Directorate, FAA. FOR FURTHER INFORMATION CONTACT: Operators shall submit their requests through amendment to part 71 of the Federal a FAA Principal Maintenance Inspector, who Nancy B. Shelton, Manager, Airspace Aviation Regulations (14 CFR Part 71) to may concur or comment and then send it to Branch, Air Traffic Division, Federal amend Class D airspace and Class E4 the Manager, Regulations Group. Aviation Administration, P.O. Box airspace at Gainesville, FL. Class D Note 2: Information concerning the 20636, Atlanta, Georgia 30320; airspace designations for airspace areas existence of approved alternative methods of telephone (404) 305–5586. extending upward from the surface and compliance with this AD, if any, may be SUPPLEMENTARY INFORMATION: Class E4 airspace designations for obtained from the Regulations Group. airspace areas designated as an (g) Special flight permits may be issued in Comments Invited extension to a Class D airspace area are accordance with sections 21.197 and 21.199 Interested parties are invited to published in Paragraphs 5000 and 6004 of the Federal Aviation Regulations (14 CFR participate in this proposed rulemaking respectively, of FAA Order 7400.9H, 21.197 and 21.199) to operate the helicopter by submitting such written data, views dated September 1, 2000 and effective to a location where the requirements of this AD can be accomplished. or arguments as they may desire. September 16, 2000, which is Comments that provide the factual basis incorporated by reference in 14 CFR Note 3: The subject of this AD is addressed in Ente Nazionale per l’Aviazione Civile supporting the views and suggestions 71.1. The Class D and Class E4 airspace (Italy) AD No. 2000–001, dated January 4, presented are particularly helpful in designations listed in this document 2000, and 2000–088, dated February 10, developing reasoned regulatory would be published subsequently in the 2000. decisions on the proposal. Comments Order.

VerDate 112000 18:03 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm08 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57301

The FAA has determined that this Paragraph 6004 Class E4 Airspace Areas ADDRESSES: Submit written comments proposed regulation only involves an Designated as an Extension to a Class D to the Dockets Management Branch established body of technical Airspace Area (HFA–305), Food and Drug regulations for which frequent and * * * * * Administration, 5630 Fishers Lane, rm. routine amendments are necessary to ASO FL E4 Gainesville, FL [Revised] 1061, Rockville, MD 20852. keep them operationally current. It, Gainesville Regional Airport, FL FOR FURTHER INFORMATION CONTACT: therefore, (1) is not a ‘‘significant (Lat. 29°41′24″N, long. 82°16′18″W) Joanna H. Weitershausen, Center for regulatory action’’ under Executive Gators VORTAC Devices and Radiological Health (HFZ– Order 12866; (2) is not a ‘‘significant (Lat. 29°34′20″N, long. 82°21′45″W) 450), Food and Drug Administration, rule’’ under DOT Regulatory Policies That airspace extending upward from the 9200 Corporate Blvd., Rockville, MD and Procedures (44 FR 11034; February surface within 2.4 miles each side of the 20850, 301–443–8609, ext. 164. Gators VORTAC 041° radial, extending from 26, 1979); and (3) does not warrant SUPPLEMENTARY INFORMATION: preparation of a Regulatory Evaluation the 4.3-mile radius of Gainesville Regional as the anticipated impact is so minimal. Airport to 7 miles northeast of the VORTAC. I. Background Since this is a routine matter that will This Class E4 airspace area is effective during the specific dates and times established in In the Federal Register of September only affect air traffic procedures and air advance by a Notice to Airmen. The effective 10, 1982 (47 FR 39816), FDA classified navigation, it is certified that this rule, date and time will thereafter be continuously devices intended to measure or monitor when promulgated, will not have a published in the Airport/Facility Directory. a patient’s respiratory rate into class II significant economic impact on a * * * * * (performance standards) as part of the substantial number of small entities generic group of devices known as under the criteria of the Regulatory Issued in College Park, Georgia, on September 11, 2000. breathing (ventilatory) frequency Flexibility Act. Wade T. Carpenter, monitors (§ 868.2375 (21 CFR List of Subjects in 14 CFR Part 71 Acting Manager, Air Traffic Division, 868.2375)). Under the classification scheme set forth in section 513 of the Airspace, Incorporation by reference, Southern Region. [FR Doc. 00–24294 Filed 9–21–00; 8:45 am] Federal Food, Drug, and Cosmetic Act Navigation (air). (the act) (21 U.S.C. 360c), as amended BILLING CODE 4910±13±M The Proposed Amendment by the Medical Device Amendments of 1976 (the 1976 amendments) (Public In consideration of the foregoing, the Law 94–295), the agency determined DEPARTMENT OF HEALTH AND Federal Aviation Administration that performance standards were HUMAN SERVICES proposes to amend 14 CFR part 71 as necessary to provide reasonable follows: Food and Drug Administration assurance of the safety and effectiveness PART 71ÐDESIGNATION OF CLASS A, of these devices. CLASS B, CLASS C, CLASS D, AND 21 CFR Part 868 After several initial steps, described in the notice published elsewhere in CLASS E AIRSPACE AREAS; [Docket No. 00N±1457] AIRWAYS; ROUTES; AND REPORTING this issue of the Federal Register announcing the withdrawal of the POINTS Medical Devices; Apnea Monitor; proposed rule to establish a Special Controls 1. The authority citation for Part 71 performance standard for the infant continues to read as follows: AGENCY: Food and Drug Administration, apnea monitor (withdrawal), FDA Authority: 49 U.S.C. 106(g); 40103, 40113, HHS. issued a proposed rule setting forth 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– ACTION: Proposed rule. requirements for a performance 1963 Comp., p. 389. standard for the infant apnea monitor SUMMARY: The Food and Drug (60 FR 9762, February 21, 1995). For the § 71.1 [Amended] Administration (FDA) is publishing a reasons discussed in the withdrawal, 2. The incorporation by reference in proposed rule to create a separate FDA determined that it is not necessary 14 CFR 71.1 of Federal Aviation classification for the apnea monitor. The to establish a mandatory performance Administration Order 7400.9H, device currently is included in the standard for the device. Airspace Designations and Reporting generic type of device called breathing In its place, FDA has developed a Points, dated September 1, 2000, and frequency monitors. The apnea monitor draft industry guidance document effective September 16, 2000, is will remain in class II, but will be setting forth the agency’s current amended as follows: subject to a special control. The special position regarding minimum control is an FDA guidance document performance characteristics, test Paragraph 500 Class D Airspace. that identifies minimum performance, procedures and criteria, labeling, and, as * * * * * testing, and labeling recommendations appropriate, clinical testing for certain for the device. Elsewhere in this issue ASO FL D Gainesville, FL [Revised] apnea monitors, i.e., the infant/child of the Federal Register, FDA is apnea monitor. The current draft Gainesville Regional Airport, FL withdrawing a proposed mandatory guidance identifies the monitor used on (Lat. 29°41′24″N, long. 82°16′18″W) standard for infant apnea monitors and this population because infants and That airspace extending upward from the is announcing the availability of a draft children under 3 years old are surface to and including 2,700 feet MSL guidance document that will serve as within a 4.3-mile radius of the Gainesville particularly subject to the Regional Airport. This Class D airspace area the special control. FDA is taking these pathophysiological consequences of is effective during the specific dates and actions because it believes that they are prolonged apneas lasting over 20 times established in advance by a Notice to necessary to provide reasonable seconds in duration. The current draft Airmen. The effective date and time will assurance of the safety and effectiveness guidance includes basic concepts set out thereafter be continuously published in the of the apnea monitor. in the proposed standard for the infant Airport/Facility Directory. DATES: Submit written comments by apnea monitor, but updates, * * * * * December 21, 2000. consolidates, or eliminates certain

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57302 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules elements of the proposed standard on includes, but is not limited to, the by FDA for the devices. Subsequent to the basis of comments received on the infant/child apnea monitor intended for FDA issuance of the final classification proposal and the continuing use on infants under 1 year old and rule and the final industry guidance development and FDA’s recognition of children under 3 years old. document, a firm submitting a 510(k) appropriate consensus standards. FDA will issue the final guidance premarket notification for a ‘‘new’’ FDA is announcing the public document identified as the special apnea monitor will need to address availability of this draft guidance control in proposed § 868.2377(b) upon guidance recommendations. However, document in a notice published considering comments received on the the firm need only show that its device elsewhere in this issue of the Federal draft guidance currently entitled is as safe and effective as a device that Register. Though the draft guidance ‘‘Guidance for Infant/Child Apnea meets guidance recommendations. The currently represents the agency’s Monitor 510(k) Submissions.’’ As noted firm may use alternative approaches if position with regard to the infant/child above, FDA believes the those approaches meet the performance, apnea monitor, the agency believes the recommendations it makes in this testing, labeling, and clinical study performance, testing, labeling, and, as guidance regarding apnea monitors used parameters described in the guidance. appropriate, clinical criteria in the for infants and children are applicable The Regulatory Flexibility Act guidance are applicable as well to the as well to apnea monitors used for requires agencies to analyze regulatory apnea monitor used on patients of other patients in other age groups. Thus, FDA options that would minimize any ages. In the Federal Register notice will modify the final guidance significant impact of a rule on small announcing the public availability of document so that it represents the entities. In the past 10 years, the agency this draft guidance, the agency invites agency’s current thinking regarding the estimates that it has received, on comment on these specific issues. performance characteristics, test average, approximately four 510(k) FDA intends to modify the current procedures and criteria, labeling submissions per year for breathing guidance in the next draft, including the recommendations, and clinical study frequency monitor devices. FDA development of minimum clinical study parameters that are needed, in estimates that only one or two of these parameters, so that it represents the conjunction with general controls, to submissions per year pertained to apnea agency’s current thinking with regard to reasonably assure the safety and monitor devices. In addition, in the apnea monitor used on any age effectiveness of the apnea monitor. November 1993, the agency issued a group. The final industry guidance III. Environmental Impact guidance document,1 made available to document will describe the minimum industry, which described evaluation The agency has determined under 21 performance, testing, labeling, and criteria used by reviewers in FDA’s clinical testing criteria that the agency CFR 25.34(b) that this action is of a type that does not individually or Center for Devices and Radiological believes will provide, in conjunction Health to review 510(k) submissions for with the general controls of the act, cumulatively have a significant effect on the human environment. Therefore, apnea monitors. Many criteria in the reasonable assurance of the safety and November 1993 document correspond effectiveness of the apnea monitor. neither an environmental assessment nor an environmental impact statement to performance, testing, and labeling II. Proposed Rule is required. recommendations in the draft industry In this rule, FDA is proposing to guidance for infant/child apnea IV. Analysis of Impacts revise current § 868.2375(a) to state that monitors. The latter guidance, as noted the section does not apply to the apnea FDA has examined the impacts of the previously, will be modified and monitor. This proposed change is stated proposed rule under Executive Order become the special control guidance in the last sentence. 12866 and the Regulatory Flexibility Act referenced in this apnea monitor To identify operational parameters in (5 U.S.C. 601–612) (as amended by classification proposal. conformance with technology, FDA subtitle D of the Small Business Based on the above, FDA believes proposes revising the second sentence Regulatory Fairness Act of 1996 (Public that, on average, no more than two of § 868.2375(a) from ‘‘when the Law 104–121)), and the Unfunded 510(k)’s per year will be submitted for respiratory rate is outside Mandates Reform Act of 1995 (Public ‘‘new’’ apnea monitors by firms that predetermined limits’’ to ‘‘when the Law 104–4). Executive Order 12866 must address performance, testing, and respiratory rate, averaged over time, is directs agencies to assess all costs and labeling parameters recommended in outside operator settable limits.’’ benefits of available regulatory the special control guidance document Including ‘‘averaged over time’’ alternatives and, when regulation is issued by the agency as final guidance distinguishes the differences between a necessary, to select regulatory after considering comments on the draft breathing frequency monitor and an approaches that maximize net benefits guidance. The agency believes that the apnea monitor. The breathing frequency (including potential economic, final guidance document constituting monitor averages the breath rate over a environmental, public health and safety the special control will not set out given time (i.e., 30 seconds, 1 minute) and other advantages; distributive performance, testing, or labeling criteria and, then, alarms at the settings the impacts; and equity). The agency of a type not previously recommended operator has made. The limits are set by believes that this proposed rule is for apnea monitor devices. FDA also the operator and, therefore, are not consistent with the regulatory believes that, under normal business predetermined. In contrast, the apnea philosophy and principles identified in practices in response to competitive monitor alarms when the next breath is the Executive Order. This proposal to market forces over the past 10 years, the not detected in a set time. classify the apnea monitor in class II as manufacturer of an apnea monitor will FDA also proposes adding § 868.2377 a type of device that is separate from the have in place designs and procedures to classify the apnea monitor in class II breathing frequency monitor, and that meet any updated and designate the guidance document subject to the special control of industry entitled ‘‘Guidance for Apnea Monitor guidance issued by FDA, will not 1 ‘‘Reviewer Guidance for Premarket Notification Submissions November 1993, Anesthesiology and 510(k) Submissions’’ as a special control require any firm that currently is legally Respiratory Devices Branch, Division of for the device. The apnea monitor distributing an apnea monitor to comply Cardiovascular, Respiratory, and Neurological identified in proposed § 868.2377(a) with guidance recommendations issued Devices.’’

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00011 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57303 recommendations in FDA’s final federalism summary impact statement is Dated: September 1, 2000. guidance document. not required. Linda S. Kahan, Because of the above factors, FDA Deputy Director for Regulations Policy, Center believes apnea monitor manufacturers VII. Submission of Comments for Devices and Radiological Health. will incur no costs other than those Interested persons may submit to the [FR Doc. 00–24334 Filed 9–21–00; 8:45 am] associated with the submission of 510(k) Dockets Management Branch (address BILLING CODE 4160±01±F premarket notifications for ‘‘new’’ above) written comments regarding this monitors. FDA has estimated this cost to proposal by December 21, 2000. Two be $6,000 per submission on the basis DEPARTMENT OF HEALTH AND that it takes device firms approximately copies of any comments are to be HUMAN SERVICES 80 hours to complete a 510(k) package submitted, except that individuals may (exclusive of preparing clinical data, submit one copy. Comments are to be Food and Drug Administration research, etc.) and costs an average of identified with the docket number $75.00 per hour to perform this type of found in brackets in the heading of this 21 CFR Part 896 document. Received comments may be work. Thus, FDA estimates the cost to [Docket No. 83N±0193] industry of this classification proposal seen in the Dockets Management Branch to be approximately $12,000 per year between 9 a.m. and 4 p.m., Monday Medical Devices; Performance ($6,000 per 510(k) submission x 2 through Friday. Standard for the Infant Apnea Monitor; submissions per year). Therefore, the List of Subjects in 21 CFR Part 868 Withdrawal Notice agency certifies that this proposal, if AGENCY: Food and Drug Administration, finalized, will not have a significant Medical devices. economic impact on a substantial HHS. number of small businesses. Therefore, under the Federal Food, ACTION: Proposed rule; withdrawal. Section 202(a) of the Unfunded Drug, and Cosmetic Act and under SUMMARY: The Food and Drug Mandates Reform Act of 1995 (Public authority delegated to the Commissioner Law 104–4) requires that agencies of Food and Drugs, it is proposed that Administration (FDA) is withdrawing prepare a written statement of 21 CFR part 868 be amended as follows: the proposed rule it issued on February anticipated costs and benefits before 21, 1995 (60 FR 9762). The document proposing any rule that may result in an PART 868ÐANESTHESIOLOGY set out proposed requirements for a expenditure by State, local, and tribal DEVICES mandatory performance standard for the governments, in the aggregate, or by the infant apnea monitor. In light of private sector, of $100 million in any 1. The authority citation for 21 CFR declining births and reduced mortality one year (adjusted annually for part 868 continues to read as follows: rates for infants at risk for death due to apparent life-threatening events inflation). The Unfunded Mandates Authority: 21 U.S.C. 351, 360, 360c, 360e, (ALTE’s), including certain apneas, and Reform Act of 1995 does not require 360j, 371. FDA to prepare a statement of costs and after considering other factors, FDA no benefits for the proposed rule, because 2. Section 868.2375(a) is revised to longer believes that a mandatory the proposed rule is not expected to read as follows: performance standard is needed for this result in any 1-year expenditure that class II device. The agency believes that § 868.2375 Breathing frequency monitor. would exceed $100 million adjusted for FDA guidance to industry that identifies inflation. (a) Identification. A breathing minimum performance, testing, and labeling recommendations will provide (ventilatory) frequency monitor is a V. Paperwork Reduction Act of 1995 reasonable assurance of the safety and device intended to measure or monitor effectiveness of the apnea monitor, This proposed rule contains a patient’s respiratory rate. The device including infant/child monitors. FDA is information collection provisions that may provide an audible or visible alarm are subject to review by the Office of making this draft guidance available for when the respiratory rate, averaged over comment through a notice published Management and Budget (OMB) under time, is outside operator settable limits. the Paperwork Reduction Act of 1995 elsewhere in this issue of the Federal This device does not include the apnea Register. Also, elsewhere in this issue of (44 U.S.C. 3501–3520). The burden monitor classified in § 868.2377. hours required for proposed § 868.2377 the Federal Register, FDA is proposing are reported and approved under OMB * * * * * to create a separate classification for the Control No. 0910–0120. 3. Section 868.2377 is added to apnea monitor, with the FDA guidance subpart C to read as follows: document as the special control. VI. Federalism FOR FURTHER INFORMATION CONTACT: FDA has analyzed this proposed rule § 868.2377 Apnea monitor. James J. McCue, Center for Devices and in accordance with the principles set (a) Identification. An apnea monitor is Radiological Health (HFZ–84), Food and forth in Executive Order 13132. FDA a complete system intended to alarm Drug Administration, 2094 Gaither Rd., has determined that the rule does not primarily upon the cessation of Rockville, MD 20850, 301–594–4766, contain policies that have substantial breathing timed from the last detected ext. 101. direct effects on the States, on the breath. The apnea monitor includes a SUPPLEMENTARY INFORMATION: relationship between the National Government and the States, or on the secondary modality, such as heart rate I. Background distribution of power and monitoring, that will alarm in response On September 10, 1982 (47 FR 39816), responsibilities among the various to the physiological consequences of FDA classified devices intended to levels of government. Accordingly, the apnea. measure or monitor a patient’s agency has concluded that the rule does (b) Classification. Class II (special respiratory rate into class II not contain policies that have controls) (Guidance document: (performance standards) as part of the federalism implications as defined in ‘‘Guidance for Apnea Monitor 510(k) generic group of devices known as the order and, consequently, a Submissions’’). breathing (ventilatory) frequency

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57304 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules monitors (21 CFR 868.2375). Under the II. Summary of Requirements in the Some comments questioned the classification scheme set forth in section Proposed Standard adequacy of requirements for visual and 513 of the Federal Food, Drug, and The mandatory performance standard audible warning indicators. Others Cosmetic Act (the act) (21 U.S.C. 360c), proposed by FDA on February 21, 1995, objected to requirements for resetting as amended by the Medical Device specified requirements for infant apnea silenced alarms, low battery warning Amendments of 1976 (the 1976 monitors in four areas: Patient indicators, and minimum battery amendments) (Public Law 94–295), the monitoring, electrical characteristics, capacity. Comments on proposed agency determined that performance mechanical and environmental electromagnetic compatibility requirements included objections to standards were necessary to provide characteristics, and labeling. Certain three levels of radiated electromagnetic reasonable assurance of the safety and provisions required conformance, to the testing and three voltage levels of fast effectiveness of these devices. extent specified, with identified transient burst testing. Comments also In subsequent years, FDA initiated a international standards. suggested that alarming or degradation Proposed patient monitoring series of actions to provide for the of the monitor during immunity testing provisions included: Requirements for development of a mandatory should be considered an acceptable primary and secondary monitoring performance standard for the subset of response and testing endpoint. breathing frequency monitors, modalities, visual and audible alarms Some comments wanted temperature commonly called neonatal apnea (status indicators), a remote alarm unit ranges raised for monitor operations and monitors, that are intended to be used for monitors intended for home use, and surfaces contacting patients. Comments on infants to detect the cessation of a self-test mechanism. Proposed about labeling objected generally that respiratory air flow. Early actions electrical requirements included: some of the proposed requirements were included the initiation of a proceeding Provisions for battery backup, operation duplicative, or unnecessary, or were not under section 514(b) of the act (21 from ungrounded power sources, a manufacturer responsibility. U.S.C. 360d(b)) (48 FR 31392, July 8, limitation of leakage current, and 1983), and the issuance of an invitation operational specifications and test IV. Withdrawal of the Proposed for interested persons to submit an procedures ensuring electromagnetic Standard existing standard as a proposed compatibility. Proposed mechanical and FDA is withdrawing the proposed standard or to submit an offer to environmental requirements mandated: rule issued on February 21, 1995 (60 FR develop a proposed standard (51 FR Tamper proof controls, protection 9762), and terminating the proceeding 6886, February 26, 1986). against misconnections, and resistance for the development of a mandatory to normal shock, vibration, temperature Thereafter, FDA issued a grant award performance standard for the infant extremes, and fluid spills. Proposed to the Emergency Care Research apnea monitor, in accordance with labeling provisions specified: Institute (ECRI) to develop a proposed section 514(b)(3)(A) of the act. FDA no Information that manufacturers would longer believes that the special control standard for the neonatal apnea monitor be required to provide to operators and of a mandatory standard is necessary, at (53 FR 13296, April 22, 1988). However, health care practitioners, including this time, to provide reasonable the proposed standard ECRI developed specific product labels. assurance of the safety and effectiveness did not cover certain performance of this device (i.e., an apnea monitor requirements for the device. As a III. Summary of Comments Received on used on an infant/child under 3 years consequence, FDA initiated notice and the Proposed Standard old). The agency considered the comment rulemaking to develop a FDA received more than 100 following factors in reaching this performance standard for the infant comments from manufacturers, conclusion: (1) Reductions in at-risk apnea monitor, which would include hospitals, physicians, medical societies, infant populations, (2) few deaths and the neonatal apnea monitor. FDA and national trade associations. A serious injuries reported to FDA for intended that the standard would number of comments objected to the 1- infant/child apnea monitors attributed encompass monitors used in hospitals year effective date of the standard. One to monitor design problems or and in patients’ homes to detect and comment claimed that the cost of malfunctions, (3) improved technology, alarm upon the cessation of respiratory compliance would exceed $100 million. (4) alternative development of air flow (i.e., apnea) in children under Another maintained that the need for consensus standards, and (5) 3 years old. the standard was based on outdated data compliance costs versus risks and In the Federal Register of January 4, and that FDA had not established that benefits. 1989 (54 FR 187), FDA made available the standard was necessary to provide for public comment its ‘‘First Draft reasonable assurance of the device’s A. Declining Death Rates Within At-Risk Proposed Standard for the Infant Apnea safety and effectiveness. Infant Populations Monitor, October 1988.’’ In the Federal Most comments addressed terms, Current U.S. medical opinion Register of December 6, 1989 (54 FR definitions, specifications, and/or continues to support the consensus 50437), FDA announced the public technical requirements proposed in the statement and report issued on the availability of its ‘‘Second Draft standard. Many commented on the subject of infantile apnea and home Proposed Standard for the Infant Apnea terms ‘‘breath,’’ ‘‘breathing,’’ ‘‘cessation monitoring, in accordance with the Monitor October, 1989.’’ After of breathing,’’ and ‘‘breathing effort;’’ National Institutes of Health (NIH) considering comments received on these others on the definitions of infant apnea Consensus Development Conference, drafts, and comments made at public monitor, operator, primary monitoring held on September 29 to October 1, meetings, including the Seventh and modality, and secondary monitoring 1986. There was consensus agreement, Eighth Conference(s) on Apnea of modality. Comments concerning at that conference, with respect to the Infancy, FDA issued a proposed rule primary and secondary monitoring relationship of neonatal and infant setting forth requirements for a modalities focused on proposed apnea to each other and to infant mandatory performance standard for the requirements for apnea duration morbidity, especially from sudden infant apnea monitor (60 FR 9762, settings, activation times for warning infant death syndrome (SIDS). The February 21, 1995). indicators, and sensor fault alarms. conferees agreed that apnea of

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57305 prematurity is not a risk factor for SIDS. infant mortality rates. The infant (under seizure of a 3-month-old infant who The conferees also agreed that an ALTE 1 year) mortality rate has dropped from subsequently could not be resuscitated. would encompass any episode 8.5 infant deaths per 1,000 live births in In an August 1993 incident (User Report experienced by infants characterized by 19926 to a 7.2 rate in 1998.7 FDA No. 1402080000–1993–0002), the some combination of apnea (central or believes that these reductions in infant electrical power source of an apnea occasionally obstructive), color change, mortality rates, in conjunction with monitor allegedly changed from the marked change in muscle tone, choking, reduced numbers of SIDS deaths, serve battery mode to the alternating current or gagging. The conferees agreed that to reduce the population, and attendant mode, resulting in the electrocution of such an episode is considered a risk risks, of infants subject to apnea of the infant. factor for sudden death (including infancy (i.e., ‘‘pathological’’ apnea of 20 Similarly, in three of the serious SIDS).1 Thus, while the conferees seconds or longer associated with injury events reported after July 1992 generally agreed that there was no bradycardia, cyanosis, pallor, and/or were monitor problems thought to be evidence of a direct relationship marked hypotonia), and infants subject causal factors. In 1992 (User Report No. between apnea experienced by infants to ALTE’s, including prone sleeping, 3300270000–1992–002) and 1998 and SIDS deaths, certain and other risk factors for SIDS. (Voluntary Report No. MW1014260) pathophysiological consequences of incidents, electrode connections B. Deaths, and Serious Injuries apnea were not excluded as possible reportedly caused red skin irritations, Attributable to Infant/Child Apnea contributors to sudden infant death. with skin breakdowns or . Regarding home monitoring, the Monitors Multiple false bradycardia alarming consensus conference concluded that Under the Medical Device Reporting resulted in unnecessary hospitalization there were no reports of scientifically (21 CFR part 803) and Medical Device of an infant in one October 1997 designed studies of the effectiveness of Distributor Reporting (21 CFR part 804) incident (Voluntary Report No. electronic home monitoring of regulations, FDA has received MW1012327). premature infants for ALTE’s, or for manufacturer MDR reports, user facility FDA considers the continuing low other pathologic conditions. However, reports, distributor MDR reports (until number of reported deaths and serious there was agreement that February 1998), and voluntary reports injuries in which a monitor problem is cardiorespiratory monitoring was and complaints of alleged adverse the possible cause of the adverse event effective in preventing death due to events associated with the use of apnea to be a factor that lessens the need for apnea for certain infants, such as those detectors, breathing frequency monitors, a mandatory performance standard for with a history of recurrent or severe respiratory monitors, and related the infant/child apnea monitor at this apnea. It was also agreed that devices. From 1986 through 1991, FDA time. Moreover, as discussed below, the cardiorespiratory monitoring, or an received approximately 150 reports of agency believes that newer technologies alternative therapy, was medically deaths, and 31 reports of serious injuries will reduce these small numbers even indicated for certain groups of infants at allegedly associated with these devices. further. In MDR reports received by FDA high risk for sudden death, such as C. Improved Technology infants with one or more ALTE’s, during the past 8 years, few deaths or symptomatic preterm infants, siblings of serious injuries of children have been Monitors to detect apnea in infants multiple SIDS victims, and others.2 reported for apnea monitor usage that have been used in hospitals and FDA also notes the dramatic drop that could be attributed to monitor problems patients’ homes since the early 1970’s. has occurred in SIDS deaths as as the cause of the adverse events. From Methods to detect respiration have increased numbers of healthy infants July 1992 to October 1997, the MDR included mattress motion sensors, have been placed on their backs to data base lists receipt of reports alleging capnometry, impedance pneumography, sleep, as a method of reducing the risk 20 deaths and 16 serious injuries that inductive plethysmography, and others. of SIDS, under the 19923 and 1996 might be associated with apnea Impedance pneumography, utilizing recommendations of the American monitors. Sixteen deaths and 5 serious electrodes, leads, and patient cables, Academy of Pediatrics and the national injury incidents could be identified as remains the most prevalent method, but ‘‘Back to Sleep’’ campaign launched in involving infants and children under 3 other methods have been developed, 1994 under the coordination of the years old. For 1998 and 1999, data base including those that utilize National Institute of Child Health and reports identify six of six alleged deaths nonelectrical or pneumatic sensors and Human Development. The number of and three of four serious injuries as telemetric respiratory detection. SIDS deaths has declined by over 48 involving patients under 3 years of age. Various detection modalities and percent from 4,891 deaths in 19924 to Since 1992, 22 deaths and 8 serious features have been added to improve 2,529 deaths in 1998.5 injuries have allegedly occurred during apnea monitor designs, including: Heart FDA is also aware of the general the use of infant/child apnea monitors. rate; oxygen saturation and airway reductions over the past 7 years in In two of those deaths reported since carbon dioxide monitoring; noise July 1992 were device problems suppression; automatic sensitivity 1 ‘‘Infantile Apnea and Home Monitoring,’’ NIH considered to have caused or adjustments; signal processing Consensus Statement Online 1986, September 29 to contributed directly to the reported algorithms; and the capacity to record, October 1; 6(6): 1–10, pp. 1–3. 2 ID. at pp. 6–7. event. In a February 1993 incident (User display, print, and retain in memory, 3 American Academy of Pediatrics, Task Force on Report No. 3200010000–1993–0008), the both patient and equipment data. The Infant Positioning and SIDS, ‘‘Positioning and audible alarm of a respiration rate use of heart rate monitoring modalities SIDS,’’ Pediatrics 89 (6): 1120–1126, June 1992. monitor reportedly did not sound at the in impedance pneumography units and 4 U.S. Department of Health and Human Services, decrease in respiration during the the inclusion of recording and memory ‘‘Reduction in SIDS Deaths Helps Bring Low Infant Mortality,’’ Washington, DC, Press Release, October capabilities have improved the general 9, 1996. 6 National Center for Health Statistics, ‘‘Deaths: performance of home-use infant/child 5 National Center for Health Statistics, ‘‘Births Final Data for 1997,’’ National Vital Statistics apnea monitors. For example, the Reports; vol. 47, No. 19, table 27, p. 86. Hyattsville, and Deaths: Preliminary Data for 1998,’’ National introduction in the late 1980’s of home- Vital Statistics Reports; vol. 47, No. 25, table 15, p. MD, National Center for Health Statistics, 1999. 32. Hyattsville, MD, National Center for Health 7 See National Center for Health Statistics, note 5, use monitors with internal memory has Statistics, 1999. supra. aided in determining monitor activity

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00014 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57306 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules during adverse events. These newer FDA believes global harmonization did not meet the requirements of the technologies are in most hospital units, and domestic standardization are standard. CDRH made the assessment in configurable modules that include producing widely accepted consensus that certain home-use infant apnea programmable apnea detection standards embodying the latest monitors marketed before November modalities. Approximately 90 percent of scientific developments. In a draft 1993 would not meet some hospital monitoring systems in current guidance to industry, providing recommendations set forth in the use already comply with the February recommended criteria for infant/child guidance made available on that date. 21, 1995, proposed standard for infant/ apnea monitors, FDA will identify the CDRH also believed that some of these child apnea monitors (now withdrawn). latest versions of 17 international and monitors would not meet certain Moreover, apnea monitors for home domestic consensus standards that have requirements of the February 21, 1995, use that were introduced into some applicability to performance and proposed standard. After a final commercial distribution after November testing criteria, particularly standard based on the proposed one 1993 were cleared for marketing under electromagnetic compatibility test went into effect, noncompliant monitors evaluation criteria described in a methods, which the agency considers would have to be removed from the guidance document8 used by reviewers appropriate for these devices. The market and corrected, for example, to in the Center for Devices and agency believes these consensus provide visual indication of a change in Radiological Health’s (CDRH’s) Office of standards are applicable as well to apnea duration from a setting of 20 Device Evaluation (ODE). This apnea monitors used on patients of any seconds, to change the color of some ‘‘Reviewer Guidance’’ was made age. After considering comments on the visual indicators, to change the volume available to industry through the draft guidance and further evaluating level for audible alarms, and/or to add Center’s Division of Small clinical study criteria, FDA will modify shielding and/or filtering to provide Manufacturers’ Assistance and is still the draft document and issue final additional electromagnetic used by ODE reviewers in evaluating guidance setting out minimum compatibility. 510(k) submissions for home-use performance, testing, labeling, and In light of reductions in at-risk infant respiratory devices. Many performance, clinical criteria that it considers populations, few recent deaths or labeling, and testing recommendations necessary to assure the safety and serious injuries attributable to included in the guidance document effectiveness of any apnea monitor type malfunctions, improvements in post- correspond to requirements in the of device. 1993 monitor technology, and proposed standard. Thus, CDRH Manufacturers will have the standardization developments, FDA has believes that most home-use apnea flexibility to follow the consensus concluded that a mandatory monitors that received 510(k) clearance standards, and other recommendations, performance standard is not necessary after November 1993 already meet most set out in the agency’s apnea monitor to provide reasonable assurance of the of the provisions of the proposed guidance or to use alternative safety and effectiveness of the infant(/ standard. Some apnea monitors approaches of equal or better merit (e.g., child) apnea monitor, and that the distributed before this time, however, in the use of test procedures). As benefit to the public health would not may not conform to certain standards referenced in the agency’s justify the costs to industry to comply requirements of the proposed standard. guidance become FDA-recognized with the standard. consensus standards, industry will be D. Alternative Development of able to obtain expedited marketing V. Alternative Actions—Classification, Consensus Standards clearance by certifying conformance to Industry Guidance, and Education In 1995 (60 FR 9762), FDA proposed them. FDA believes this process will Program to make compliance with certain provide reasonable assurance of the A. Classification requirements of the infant apnea safety and effectiveness of the apnea monitor type of device used on patient Elsewhere in this issue of the Federal monitor standard contingent upon Register, FDA is proposing to create a meeting specified provisions of 13 populations of any age, including the infant/child apnea monitor. separate classification for the generic standards developed by other type of device known as the apnea organizations. Since then, global efforts E. Compliance Costs versus Risks and monitor. The generic apnea monitor to harmonize standards and domestic Benefits would include the infant/child apnea efforts to develop consensus standards Following its review of comments on monitor intended for use on infants less have increased. FDA’s historical support the proposed standard, FDA assessed than 12 months old and children less of these efforts has also been the cost and analyzed the economic than 3 years old to detect and alarm strengthened by the FDA Modernization impact of various modified versions of upon apnea and its pathophysiological Act of 1997, which added new section the proposed standard. FDA concluded consequences. The apnea monitor 514(c) to the act, allowing FDA to that, if the standard were issued as a device will remain classified in class II, recognize consensus standards that may final regulation with a 1-year effective but will be subject to a special control. be used to satisfy device review date, the one-time cost of complying The special control is a FDA guidance requirements identified by the agency. with the modified standard would be to industry. FDA believes that this In the Federal Register of February 25, approximately $146.8 million. Annual special control will provide reasonable 1998 (63 FR 9561), FDA provided public compliance costs would be about $2.7 assurance of the safety and effectiveness notice of its policy on this use of million. Extending the effective date to of the apnea monitor device, including standards and published its first list of 3 years would reduce the one-time the infant/child apnea monitor. FDA-recognized consensus standards compliance cost to an estimated $89.7 B. FDA Guidance to Industry (Special related to medical devices. million, while annual costs would Controls) remain at $2.7 million. 8 ‘‘Reviewer Guidance For Premarket Notification The largest portion of estimated one- Elsewhere in this issue of the Federal Submissions November 1993, Anesthesiology and Respiratory Devices Branch, Division of time costs were costs that would be Register, FDA is announcing the Cardiovascular, Respiratory, and Neurological associated with the market removal and availability for comment of a draft Devices.’’ correction of infant apnea monitors that guidance document for industry

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules 57307 concerning infant/child apnea monitors. FDA is participating with the ENVIRONMENTAL PROTECTION This draft guidance sets forth the Association for the Advancement of AGENCY agency’s current position regarding Medical Instrumentation in a separate minimum performance characteristics, effort to develop clinically-based test 40 CFR Part 271 test procedures and criteria, labeling, methods and clinically-derived bench [FRL±6874±5] and, as appropriate, clinical testing that tests for measuring the effectiveness of will provide reasonable assurance of the monitoring modalities in detecting Tennessee: Final Authorization of safety and effectiveness of this kind of apnea. At the conclusion of this effort, State Hazardous Waste Management apnea monitor device. This guidance the agency may consider these tests to Program Revisions includes basic concepts that were be referee test methods. included in the proposed standard for AGENCY: Environmental Protection infant apnea monitors, but updates, C. Education Program Agency (EPA). consolidates, or eliminates certain ACTION: Proposed rule. elements of the proposed standard on FDA intends to develop an education the basis of comments received in program targeted to reach manufacturers SUMMARY: Tennessee has applied to EPA response to the proposal and the of the infant/child apnea monitor, for Final authorization of the changes to continuing development and FDA manufacturers of accessories marketed its hazardous waste program under the recognition of appropriate consensus for use with this device, distributors and Resource Conservation and Recovery standards. Although the proposed rental companies handling the devices, Act (RCRA). EPA proposes to grant final standard did not require clinical testing, users, including hospitals and other authorization to Tennessee. In the the guidance document addresses this health care services, and other ‘‘Rules and Regulations’’ section of this subject. consumers. This particular audience is Federal Register, EPA is authorizing the changes by an immediate final rule. EPA As noted above, FDA believes the targeted initially because infants and did not make a proposal prior to the performance, testing, labeling, and children under 3 years of age are immediate final rule because we believe clinical parameters in the draft industry particularly subject to the this action is not controversial and do guidance for infant/child apnea pathophysiological consequences of not expect comments that oppose it. We monitors are applicable as well to apnea prolonged apneas lasting over 20 have explained the reasons for this monitors used on patients in every age seconds in duration. authorization in the preamble to the group. After considering comments on The purpose of this program will be immediate final rule. Unless we get this guidance and further evaluating to inform the target audience of FDA’s written comments which oppose this clinical criteria, FDA will issue final current position regarding performance authorization during the comment industry guidance identifying minimum period, the immediate final rule will performance, testing, labeling, and characteristics and specifications, test become effective on the date it clinical criteria as the special control for methods and results, and labeling establishes, and we will not take further the entire apnea monitor group of information the agency believes are action on this proposal. If we get devices. Once this special control is appropriate for the infant/child apnea comments that oppose this action, we established, new products seeking to monitor. The program also will advise will withdraw the immediate final rule enter the market will be required to the target audience that some monitors and it will not take effect. We will then conform with the special control. The previously cleared for marketing prior to respond to public comments in a later final guidance document will describe a November 1993 may not meet the final rule based on this proposal. You means by which an apnea monitor agency’s current recommendations and, may not have another opportunity for device may comply with the although they may adequately detect comment. If you want to comment on requirements of special controls for and alarm upon prolonged episodes of this action, you must do so at this time. class II devices. central apnea, they may not be adequate Designation of the agency’s guidance for detection of episodes of obstructive DATES: Send your written comments by document as a special control means apnea or mixed apnea. October 23, 2000. ADDRESSES: Send written comments to that manufacturers attempting to As circumstances warrant, FDA may Narindar Kumar, Chief, RCRA Programs establish that their device is direct additional educational efforts at substantially equivalent to a predicate Branch, Waste Management Division, parties involved with apnea monitors U.S. Environmental Protection Agency, apnea monitor, including one used to used on patient populations of other monitor apnea in children under 3 years The Sam Nunn Atlanta Federal Center, ages. of age, should demonstrate that the 61 Forsyth Street, SW, Atlanta, Georgia proposed device complies with either Dated: September 12, 2000. 30303–3104. You can examine copies of the specific recommendations of this William K. Hubbard, the materials submitted by Tennessee guidance or some alternative control Senior Associate Commissioner for Policy, during normal business hours at the that provides equivalent assurances of Planning, and Legislation. following locations: EPA Region 4 Library, The Sam Nunn Atlanta Federal safety and effectiveness. FDA recognizes [FR Doc. 00–24335 Filed 9–21–00; 8:45 am] that older products already on the Center, 61 Forsyth Street, SW, Atlanta, BILLING CODE 4160±01±F market will not be required to meet this Georgia 30303–3104, Phone number: special control. The agency expects, (404)562–8190; or Tennessee however, that labeling on the newer Department of Environment and devices and other market forces will Conservation, Division of Solid Waste encourage manufacturers of these older Management, 5th Floor, L & C Tower, devices to comply with the guidance. 401 Church Street, Nashville, Tennessee FDA also expects the education 37243–1535, Phone number: (615) 532– program, described below, to accelerate 0850. the improvement of these older FOR FURTHER INFORMATION CONTACT: products. Narindar Kumar, Chief, RCRA Programs

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00016 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57308 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Proposed Rules

Branch, Waste Management Division, ADDRESSES: Comments on Amendment development include: shorter fishing U.S. Environmental Protection Agency 13 or supporting documents should be seasons and higher cumulative landing at the above address and phone number. sent to Donna Darm, Acting limits; permit stacking in the limited SUPPLEMENTARY INFORMATION: For Administrator, Northwest Region, entry fleet; gear modification additional information, please see the NMFS, Sand Point Way NE., BIN requirements; catch allocation to, or immediate final rule published in the C15700, Seattle, WA 98115-0070; or to gear flexibility for, gear types with lower ‘‘Rules and Regulations’’ section of this Rebecca Lent, Administrator, Southwest bycatch rates; improvements in the Federal Register. Region, NMFS, 501 West Ocean species-to-species landings limit ratio; Boulevard, Suite 4200, Long Beach, CA and time/area closures to protect Dated: September 12, 2000. 90802-4213. incidentally caught species. A. Stanley Meiburg, Copies of Amendment 13 and the In addition to addressing bycatch, Acting Regional Administrator, Region 4. Environmental Assessment/ Regulatory Amendment 13 would increase [FR Doc. 00–24433 Filed 9–21–00; 8:45 am] Impact Review (RIR) are available from flexibility in the groundfish annual BILLING CODE 6560±50±P Donald McIsaac, Executive Director, specifications and management Pacific Fishery Management Council, measures process to allow the Council 2130 SW Fifth Ave., Suite 224, Portland, to more easily develop measures that OR 97201. DEPARTMENT OF COMMERCE protect overfished and depleted species. FOR FURTHER INFORMATION CONTACT: This increased flexibility would National Oceanic and Atmospheric Yvonne deReynier at 206-526-6140, include: achieving the overfished Administration Svein Fougner at 562-980-4000; or the species rebuilding plans, reducing Pacific Fishery Management Council at bycatch, preventing overfishing, 50 CFR Part 660 503-326-6352. allowing the harvest of healthy stocks as SUPPLEMENTARY INFORMATION: The [I.D. 091800E] much as possible while protecting and Magnuson-Stevens Act requires that rebuilding overfished and depleted RIN 0648-AO41 each regional fishery management stocks, and equitably distributing the council submit any new FMP or plan burdens of rebuilding among the various Fisheries off West Coast States and in amendment it prepares to NMFS for fishing sectors. the Western Pacific; Pacific Coast review and approval, disapproval, or Groundfish Fishery; Amendment 13 partial approval. The Magnuson-Stevens Finally, Amendment 13 would amend Act also requires that NMFS, upon the limited entry permit provisions to AGENCY: National Marine Fisheries receiving an FMP or amendment, remove unused and outdated limited Service (NMFS), National Oceanic and immediately publish a notification in entry permit endorsements. This last Atmospheric Administration (NOAA), the Federal Register that the FMP or revision is essentially a housekeeping Commerce. amendment is available for public measure to address changes in the ACTION: Notice of availability of an review and comment. NMFS will character of the groundfish fisheries, amendment to a fishery management consider the public comments received particularly the fully utilized status of plan; request for comments. during the comment period described all FMP-managed Pacific coast here in determining whether to approve groundfish stocks. SUMMARY: NMFS announces that the the FMP or amendment. Public comments on Amendment 13 Pacific Fishery Management Council Amendment 13 would address the must be received by November 21, 2000 (Council) has submitted Amendment 13 Magnuson-Stevens Act National to be considered by NMFS in the to the Pacific Coast Groundfish Fishery Standard 9 bycatch provisions by: decision whether to approve Management Plan (FMP) for Secretarial revising the FMP definition of the term Amendment 13. A proposed rule to review. Amendment 13 is intended to ‘‘bycatch’’, changing the standardized implement Amendment 13 has been make the FMP consistent with reporting methodologies, and submitted for Secretarial review and Magnuson-Stevens Fishery recommending new bycatch reduction approval. NMFS expects to publish and Conservation and Management Act measures. Amendment 13 would request public comment on the (Magnuson-Stevens Act) bycatch establish an increased utilization proposed regulations to implement provisions,to increase flexibility in the program in the at-sea whiting fisheries. Amendment 13 in the near future. annual management measures This program would allow at-sea Authority: 16 U.S.C. 1801 et seq. framework to manage for protection of whiting processing vessels that carry overfished and depleted stocks, and to more than one observer to retain all of Dated: September 19, 2000. remove outdated and unused limited their non-whiting groundfish bycatch Bruce C. Morehead, entry permit endorsements. for processing into fish meal or for Acting Director, Office of Sustainable DATES: Comments on Amendment 13 donating to food banks. Measures that Fisheries, National Marine Fisheries Service. must be received on or before November would be authorized and may be [FR Doc. 00–24458 Filed 9–21–00; 8:45 am] 21, 2000. considered for future Council BILLING CODE 3510±22±S

VerDate 112000 14:44 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00017 Fmt 4702 Sfmt 4702 E:\FR\FM\22SEP1.SGM pfrm02 PsN: 22SEP1 57309

Notices Federal Register Vol. 65, No. 185

Friday, September 22, 2000

This section of the FEDERAL REGISTER AGENCY FOR INTERNATIONAL ACTION: Notice of public meeting and contains documents other than rules or DEVELOPMENT request for comments. proposed rules that are applicable to the public. Notices of hearings and investigations, Food Security Advisory Committee SUMMARY: The Office of the Under committee meetings, agency decisions and Board of International Food and Secretary for Food Safety, U.S. rulings, delegations of authority, filing of Agricultural Development First Department of Agriculture (USDA), and petitions and applications and agency Meeting; Notice of Meeting the Food and Drug Administration statements of organization and functions are (FDA), are sponsoring a public meeting examples of documents appearing in this Pursuant to the Federal Advisory on October 6, 2000, to present and section. Committee Act, notice is hereby given of receive comments on draft United States the first meeting of the Food Security positions on all issues coming before the Advisory Committee (FSAC), an Thirty-third Session of the Codex AGENCY FOR INTERNATIONAL independent subcommittee of the Board Committee on Food Hygiene (CCFH), DEVELOPMENT for International Food and Agricultural which will be held in Washington, DC, Development (BIFAD). The meeting will Board for International Food and October 23–28, 2000. The Under be held from 8:30 a.m. to 4:30 p.m. on Agricultural Development One Secretary and FDA recognize the September 27, 2000 in the first floor Hundred and Thirty Second Meeting; conference room at the National importance of providing interested Notice of Meeting Association of State Universities and parties the opportunity to obtain Land Grant Colleges (NASULGC), background information on the Thirty- Pursuant to the Federal Advisory located at 1307 New York Avenue, NW., third Session of the CCFH and to Committee Act, notice is hereby given of Washington, DC. address items on the agenda. the one hundred and thirty-third As part of the agenda, FSAC will DATES: The public meeting is scheduled meeting of the Board for International review progress made towards for Friday, October 6, 2000, from 1 p.m. Food and Agricultural Development implementing the U.S. Food Security to 5 p.m. (BIFAD). The meeting will be held from Plan of Action and meeting World Food 8:30 a.m. to 4 p.m. on September 28th, ADDRESSES: The public meeting will be Summit commitments, examine held in Conference Room 1409, Federal 2000, and from 8:30 a.m. to 1:30 p.m. on emerging issues that have a direct September 29th, 2000, in the NASULGC Office Building 8, 200 C Street, SW., bearing on food security, and address Washington, DC 20204. To receive Meeting Room, 1307 New York Avenue, the need to forge and strengthen the NW., Washington, DC. copies of the documents referenced in U.S. constituency for food security. this notice, contact the FSIS Docket As part of its agenda, BIFAD will tie Those wishing to attend the meeting Room, U.S. Department of Agriculture, together agricultural and environmental or to obtain additional information Food Safety and Inspection Service, perspectives around carbon about BIFAD should contact Ms. Room 102, Cotton Annex, 300 12th sequestration issues, and trade & food Jennifer J. Douglas, the Designated Street, SW., Washington, DC 20250– security perspectives. The next part will Federal Officer for FSAC. Write her in 3700. The documents will also be return to the theme of constituency- care of the U.S. Agency for International accessible via the World Wide Web at building for foreign assistance. The Development, Ronald Reagan Building, the following address: http:// second day’s agenda begins with a Office of Agriculture and Food Security, www.fao.org/waicent/faoinfo/economic/ response to the livestock revolution, 1300 Pennsylvania Avenue, NW., Room esn/codex. Submit one original and two followed by a session on crafting a 2.11–061, Washington, DC 20523–2110 copies of written comments to the FSIS common message regarding agriculture, or telephone her at (202)–712–1687 or Docket Room (address above) Docket universities and USAID. fax (202–216–3060). #00–039N and include the Codex Those wishing to attend the meeting Jennifer Douglas, document number. All comments or obtain additional information about USAID Designated Federal Officer for FSAC, received in response to this notice will BIFAD should contact Mr. Lawrence Office of Agriculture and Food Security, be considered part of the public record Paulson, the Designated Federal Officer Economic Growth Center, Bureau for Global and will be available for viewing in the for BIFAD. Write him in care of the U.S. Programs. FSIS Docket Room between 8:30 a.m. Agency for International Development, [FR Doc. 00–24347 Filed 9–21–00; 8:45 am] and 4:30 p.m., Monday through Friday. Ronald Reagan Building, Office of BILLING CODE 6116±01±M FOR FURTHER INFORMATION CONTACT: Agriculture and Food Security, 1300 Patrick J. Clerkin, Associate U.S. Pennsylvania Avenue, NW., Room 2.11– Manager for Codex, U.S. Codex Office, 044, Washington, DC, 20523–2110 or DEPARTMENT OF AGRICULTURE Food Safety and Inspection Service, telephone him at (202) 712–1436 or fax Room 4861, South Building, 1400 Food Safety and Inspection Service (202) 216–3010. Independence Avenue SW., Lawrence Paulson, [Docket No. 00±039N] Washington, DC 20250–3700, USAID Designated Federal Officer for BIFAD, Telephone (202) 205–7760, Fax (202) Codex Alimentarius Commission: 720–3157. Persons requiring a sign Office of Agriculture and Food Security, Thirty-third Session of the Codex Economic Growth Center, Bureau for Global language interpreter or other special Programs. Committee on Food Hygiene accommodations should notify Mr. [FR Doc. 00–24346 Filed 9–21–00; 8:45 am] AGENCY: Office of the Under Secretary Clerkin at the above number. BILLING CODE 6116±01±M for Food Safety, USDA. SUPPLEMENTARY INFORMATION:

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57310 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Background 9. Discussion Paper on the DEPARTMENT OF AGRICULTURE Codex was established in 1962 by two Implementation of HACCP in Small Forest Service United Nations organizations, the Food and/or Less Developed Businesses, Documents CX/FH 00/10 and Agriculture Organization (FAO) and Ashland Post-Fire Project, Custer the World Health Organization (WHO). 10. Discussion Paper on the National Forest, Rosebud and Power Codex is the major international Antimicrobial Resistant Bacteria in River Counties, MT organization for encouraging fair Food, Document CX/FH 00/11 AGENCY: Forest Service, USDA. international trade in food and 11. Discussion Paper on the Proposed protecting the health and economic Draft Guidelines for the Validation of ACTION: Notice of intent to prepare an interests of consumers. Through Food Hygiene Control Measures, environmental impact statement. adoption of food standards, codes of practice, and other guidelines Document CX/FH 00/12 SUMMARY: The USDA, Forest Service, developed by its committees, and by 12. Discussion Paper on the Proposed will prepare an environmental impact promoting their adoption and Draft Guidelines for Evaluating statement (EIS) for a proposal to move implementation by governments, Codex Objectionable Matter in Food, toward Forest Plan goals and objectives seeks to ensure that the world’s food Document CX/FH 00/13 by supporting restoration practices and rehabilitation efforts within the Tobin supply is sound, wholesome, free from 13. Priorities for the Revision of Codes adulteration, and correctly labeled. and Stag Fires on the Ashland Post-Fire of Hygienic Practice, Document CX/FH Project Area. The Forest Plan goals and The Codex Committee on Food 00/14 Hygiene was established to draft basic objectives that will be met include provisions on food hygiene to all foods. Additional Public Notification minimizing public safety hazards The United States hosts this Committee through hazard tree removal, and representatives of the United States Public awareness of all segments of maintaining soil productivity and Government will chair the Committee rulemaking and policy development is minimizing soil erosion by managing meeting. important. Consequently, in an effort to fuel loading and arrangement, and better ensure that minorities, women, capturing economic values associated Issues To Be Discussed at the Public and persons with disabilities are aware with restoration activities as a result of Meeting of this notice, FSIS will announce it and timely harvest of fire-damaged trees The provisional agenda items and the provide copies of this Federal Register (dead or where mortality is imminent). relevant documents to be discussed publication in the FSIS Constituent We are not proposing to remove any live during the public meeting are: Update. FSIS provides a weekly FSIS trees. The proposed action will be 1. Report by the Secretariat on Matters Constituent Update, which is accomplished through restoration Referred by the Codex Alimentarius communicated via fax to over 300 activities stipulated as part of harvest Commission and/or Other Codex organizations and individuals. In operations and through restoration Committees to the Food Hygiene addition, the update is available on-line activities funded by Knutsen- Committee, Document CX/FH 00/2 through the FSIS web page located at Vandenberg collection from post-fire harvest. The EIS will tier to the 1987 2. Preliminary Report of the ad hoc http://www.fsis.usda.gov. The update is Expert Consultation on Risk Assessment Custer National Forest and Grasslands used to provide information regarding of Microbiological Hazards in Food and Land and Resource Management Plan FSIS policies, procedures, regulations, Related Matters, Document CX/FH 00/3 (Forest Plan) which provide the overall Federal Register notices, FSIS public 3. Proposed Draft Code of Hygienic management direction for the area. The Practice for Primary Production, meetings, recalls, and any other types of proposed action is consistent with the Harvesting and Packaging of Fresh information that could affect or would Forest Plan. Fruits and Vegetables, Documents CX/ be of interest to our constituents/ The proposed activities are located FH 00/4—Comments at Step 3 CX/FH stakeholders. The constituent fax list within the Tobin and Stag Fire 00/4–Add.1 consists of industry, trade, and farm perimeters that include the Three-Mile, 4. Proposed Draft Code of Hygienic groups, consumer interest groups, allied King, Odell, Cow, Brian, and Padget Practice for Pre-Cut Fruits and health professionals, scientific drainages on the Ashland Ranger Vegetables, Documents CX/FH 00/5— professionals, and other individuals that District, in Eastern Montana. The Comments at Step 3 CX/FH 00/5–Add.1 have requested to be included. Through analysis area consists of approximately 5. Proposed Draft Principles and these various channels, FSIS is able to 71,200 acres with proposed activities Guidelines for the Conduct of provide information to a much broader, within approximately 4,500 acres. The Microbiological Risk Management, more diverse audience. For more following activities are proposed: (1) Documents CX/FH 00/6—Comments at information and to be added to the Minimize the potential for public safety Step 3 CX/FH 00/6–Add. 1 constituent fax list, fax your request to hazards by harvesting fire-damaged 6. Proposed Draft Code of Hygienic the Congressional and Public Affairs trees within one and a half tree lengths Practice for Milk and Milk Products, Office, at (202) 720–5704. from the edge of Forest Service Documents CX/FH 00/7—Comments at Transportation System roads; (2) Step 3 CX/FH 00/7–Add. 1 Done at Washington, DC on: September 18, maintain soil productivity and 7. Proposed Draft Guidelines for 2000. minimize accelerated erosion; (3) limit Hygienic Reuse of Processing Water in F. Edward Scarbrough, fuel loads and their spatial arrangement Food Plants, Documents CX/FH 00/8— U.S. Manager for Codex. through treatment of dead and dying Comments at Step 3 CX/FH 00/8–Add. [FR Doc. 00–24418 Filed 9–21–00; 8:45 am] trees through various activities from 1 BILLING CODE 3410±DM±P harvest operations; and (4) capture 8. Proposed Draft Guidelines for the economic values associated with Control of Listeria monocytogenes in restoration activities as a result of Foods, Documents CX/FH 00/9— harvesting fire-damaged trees within a Comments at Step 3 CX/FH 00/9–Add.1 timely manner. The projects would be

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57311 implemented from fiscal year 2001 into • Timeliness and economic feasibility the public for their review and the year 2002. The agency invites of harvest in order to recuperate comments. It is important that those written comments and suggestions on economic value, interested in the proposal on the the scope of this project. In addition, the • Loss of soil productivity due to Ashland Ranger District, of the Custer agency gives notice of this analysis so potential accelerated runoff events, National Forest, participate at that time. that interested and affected people are • Impacts on soil properties, The Forest Service believes it is aware of how they may participate and infiltration, and surface overland flow, important to give reviewers notice, at contribute to the planning process and • Public safety, and, • final decision. Wildlife habitat and other species this early stage, of several court rulings considerations. related to public participation in the DATES: Comments concerning the scope A range of reasonable alternatives will environmental review process. First, of the analysis should be received in be considered, including a no action reviewers of a draft EIS must structure writing by October 2, 2000. alternative. Based on the issues gathered their participation in the environmental ADDRESSES: Send written concerns and through scoping, the action alternatives review of the proposal so that it is comments to Elizabeth A. McFarland, will vary in (1) the amount and location meaningful and alerts the agency to the District Ranger, Ashland Ranger District, of acres considered for treatment, (2) the reviewer’s position and contentions. P.O. Box 168, Ashland, Montana 59003. number, type, and location of activity, Vermont Yankee Nuclear Power Corp. v. FOR FURTHER INFORMATION CONTACT: (3) the silvicultural and post-harvest NRDC, 435 U.S. 519, 553 (1978). Also, Direct questions about the proposed practices prescribed, (4) the amount of environmental objections that could be action and EIS to Kim Reid, Project temporary road constructed for access, raised at the draft EIS stage but that are Coordinator, 1310 Main St., Billings, and (5) the amount of time needed to not raised until after completion of the Montana 59105, phone (406) 657–6200 move the area toward a desired final EIS may be waived or dismissed by condition. ext. 233 or (406) 784–2344. the courts. City of Angoon v. Hodel, 803 Public participation will be especially SUPPLEMENTARY INFORMATION: The F.2d 1016, 1022 (9th Cir. 1986) and purpose of the Forest Service proposal important at several points during the analysis, beginning with the scoping Wisconsin Heritages, Inc, v. Harris, 490 is to further movement towards desired F. Supp. 1334, 1338 (E.D. Wis. 1980). conditions outlined in the Forest Plan, process (40 CFR 1501.7). The Forest Service will be seeking information, Because of these court rulings, it is very by: important that those interested in this • comments, and assistance from Federal, Manipulating fuel loading in order proposed action participate by the close to reduce the potential for high intensity State, local agencies, tribes and other individuals or organizations who may of the 45-day comment period so that fire effects to resources and to reduce substantive comments and objections difficulty in future suppression be interested in or affected by the are made available to the Forest Service activities with the treatment areas. proposed project. This input will be used in preparation of the draft EIS. at a time when it can meaningfully • Capture economic values associated Continued scoping and public consider and respond to them in the with restoration activities as a result of participation efforts will be used by the harvesting fire-damaged trees (dead or final EIS. To assist the Forest Service in interdisciplinary team to identify new where mortality is imminent) within a identifying and considering issues and issues, determine alternatives in timely manner. concerns on the proposed actions, response to the issues, and determine • Reduce public safety hazards comments on the draft EIS should be as the level of analysis needed to disclose caused by fire-damaged trees within one specific as possible. It is also helpful if potential biological, physical, economic, and a half tree lengths from edge of comments refer to specific pages or and social impacts associated with this Forest transportation system roads. chapters of the draft EIS. Comments project. The scoping process includes: The proposed action will be • may also address the adequacy of the Identification of potential issues. draft EIS or merits of the alternatives consistent with the Forest Plan, which • Identification of issues to be formulated and discussed in the provides goals, objectives, standards analyzed in depth. and guidelines of the various activities • Elimination of insignificant issues statement. (Reviewers may wish to refer and land allocations on the forest. The that have been covered by a relevant to the Council on Environmental Forest Plan allocates the project area previous environmental process. Quality Regulations for implementing into six management areas (MAs): MA • Exploration of additional the procedural provisions of the B—Rangeland Emphasis; MAD— alternatives based on the issues National Environmental Policy Act at 40 Wildlife/Timber/Rangeland; MAG— identified during the scoping process. CFR 1503.3 in addressing these points.) Timber emphasis; MAJ—Riding and • Identification of potential The final EIS is schedules for Hiking emphasis; MAN—Riparian environmental effects of the proposed completion by December 2000. In the emphasis; and MAM—Hardwood Draw action and alternatives (i.e. direct, final EIS, the Forest Service is required emphasis. Private lands (about 1000 indirect, and cumulative effects and to respond to substantive comments acres in the Stag Fire and a little over connected actions). received during the comment period for 40 acres in the Tobin Fire areas) are also The draft EIS is expected to be filed the draft EIS. Nancy T. Curriden, Forest included within the project area with the Environmental Protection Supervisor of the Custer National boundary. Although excluded from Agency (EPA) and to be available for Forest, is the responsible official. She Forest Service activities, project access public review by mid October 2000. The will decide which, if any, of the and the condition of private lands will EPA will publish a notice of availability proposed project alternatives will be be considered during alternative of the draft EIS in the Federal Register. implemented. Her decision and reason development and when analyzing The comment period on the draft EIS for the decisions will be documented in potential cumulative effects. will be 45 days from the date the EPA the Record of Decision. That decision The key issue topics identified to date notice appears in the Federal Register. include: At that time, copies of the draft EIS will will be subject to Forest Service appeal • Long-term fuel loading and spatial be distributed to interested and affected regulations (36 CFR part 215). arrangement, agencies, organizations, and members of

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57312 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Dated: September 18, 2000. 2. The action will not have a severe under 41 U.S.C. 46–48c and 41 CFR 51– Nancy T. Curriden, economic impact on current contractors 2.4. Forest Supervisor. for the commodity and services. Accordingly, the following [FR Doc. 00–24366 Filed 9–21–00; 8:45 am] 3. The action will result in commodities are hereby deleted from BILLING CODE 3410±11±M authorizing small entities to furnish the the Procurement List: commodity and services to the Knife, Paring; Steak/Utility; Slicer Government. M.R. 870 (Paring) COMMITTEE FOR PURCHASE FROM 4. There are no known regulatory M.R. 871 (Steak Utility) PEOPLE WHO ARE BLIND OR alternatives which would accomplish M.R. 874 (Slicer) SEVERELY DISABLED the objectives of the Javits-Wagner- O’Day Act (41 U.S.C. 46–48c) in Louis R. Bartalot, Procurement List; Additions and connection with the commodity and Deputy Director (Operations). Deletions services proposed for addition to the [FR Doc. 00–24412 Filed 9–21–00; 8:45 am] Procurement List. BILLING CODE 6353±01±P AGENCY: Committee for Purchase From Accordingly, the following People Who Are Blind or Severely commodity and services are hereby Disabled. added to the Procurement List: COMMITTEE FOR PURCHASE FROM ACTION: Additions to and deletions from PEOPLE WHO ARE BLIND OR the Procurement List. Commodity SEVERELY DISABLED Carrier, Entrenching Tool SUMMARY: This action adds to the 8465–00–NSH–2000 Procurement List; Proposed Additions Procurement List a commodity and services to be furnished by nonprofit Services AGENCY: Committee for Purchase From agencies employing persons who are Grounds Maintenance, Department of People Who Are Blind or Severely blind or have other severe disabilities, Veterans Affairs, Puget Sound Health Disabled. and deletes from the Procurement List Care System, 1660 South Columbian ACTION: Proposed Additions to commodities previously furnished by Way, Seattle, Washington Procurement List. such agencies. Janitorial/Custodial, Basewide, Naval Submarine Base New London, Groton, SUMMARY: The Committee has received EFFECTIVE DATE: October 23, 2000. Connecticut proposals to add to the Procurement List ADDRESSES: Committee for Purchase (49% of the total requirement) commodities and a service to be From People Who Are Blind or Severely Switchboard Operation, Defense Supply furnished by nonprofit agencies Disabled, Jefferson Plaza 2, Suite 10800, Center—Richmond, Richmond, Virginia employing persons who are blind or 1421 Jefferson Davis Highway, Virtual Warehouse Operation, Department of have other severe disabilities. Arlington, Virginia 22202–3259. Transportation, Ardmore East Business COMMENTS MUST BE RECEIVED ON OR FOR FURTHER INFORMATION CONTACT: Center, 3341 Q 75th Avenue, Landover, Maryland BEFORE: October 23, 2000. Louis R. Bartalot, (703) 603–7740. ADDRESSES: Committee for Purchase SUPPLEMENTARY INFORMATION: On June This action does not affect current contracts awarded prior to the effective From People Who Are Blind or Severely 16, July 28 and August 11, 2000, the Disabled, Jefferson Plaza 2, Suite 10800, Committee for Purchase From People date of this addition or options that may be exercised under those contracts. 1421 Jefferson Davis Highway, Who Are Blind or Severely Disabled Arlington, Virginia 22202–3259. published notices (65 FR 37757, 46425 Deletion and 49218) of proposed additions to and FOR FURTHER INFORMATION CONTACT: deletion from the Procurement List: I certify that the following action will Louis R. Bartalot (703) 603–7740. not have a significant impact on a SUPPLEMENTARY INFORMATION: This Additions substantial number of small entities. notice is published pursuant to 41 After consideration of the material The major factors considered for this U.S.C. 47(a)(2) and 41 CFR 51–2.3. Its presented to it concerning capability of certification were: purpose is to provide interested persons qualified nonprofit agencies to provide 1. The action may not result in any an opportunity to submit comments on the commodity and services and impact additional reporting, recordkeeping or the possible impact of the proposed of the additions on the current or most other compliance requirements for small actions. recent contractors, the Committee has entities. If the Committee approves the determined that the commodity and 2. The action will not have a severe proposed additions, all entities of the services listed below are suitable for economic impact on future contractors Federal Government (except as procurement by the Federal Government for the commodities. otherwise indicated) will be required to under 41 U.S.C. 46–48c and 41 CFR 51– 3. The action may result in procure the commodities and service 2.4. authorizing small entities to furnish the listed below from nonprofit agencies I certify that the following action will commodities to the Government. employing persons who are blind or not have a significant impact on a 4. There are no known regulatory have other severe disabilities. substantial number of small entities. alternatives which would accomplish I certify that the following action will The major factors considered for this the objectives of the Javits-Wagner- not have a significant impact on a certification were: O’Day Act (41 U.S.C. 46–48c) in substantial number of small entities. 1. The action will not result in any connection with the commodities The major factors considered for this additional reporting, recordkeeping or deleted from the Procurement List. certification were: other compliance requirements for small After consideration of the relevant 1. The action will not result in any entities other than the small matter presented, the Committee has additional reporting, recordkeeping or organizations that will furnish the determined that the commodities listed other compliance requirements for small commodity and services to the below is no longer suitable for entities other than the small Government. procurement by the Federal Government organizations that will furnish the

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57313 commodities and service to the (IEEPA) and the Export Administration denying his export privileges, as Government. Act of 1979, as amended (currently provided in Section 766.25 of the 2. The action will result in codified at 50 U.S.C.A. app. 2401–2420 Regulations, I, following consultations authorizing small entities to furnish the (1991 & Supp. 2000)) (the Act).1 with the Director, Office of Export commodities and service to the Specifically, Montgomery was convicted Enforcement, have decided to deny Government. to knowingly and willfully exporting Montgomery’s export privileges for a 3. There are no known regulatory and causing the export of U.S.-origin period of 10 years from the date of his alternatives which would accomplish stun guns to Macedonia and U.S.-origin conviction. The 10-year period ends on the objectives of the Javits-Wagner- laser gun sights to Slovenia without January 22, 2009. I have also decided to O’Day Act (41 U.S.C. 46–48c) in applying for an obtaining the required revoke all licenses issued to the Act in connection with the commodities and export licenses from the Department of which Montgomery had an interest at service proposed for addition to the Commerce, and of knowingly and the time of his conviction. Procurement List. Comments on this willfully exporting and causing the Accordingly, it is hereby Ordered certification are invited. Commenters export of U.S.-origin PAGST military I. Until January 22, 2009, Yuri I. should identify the statement(s) helmets to Slovenia and U.S.-origin Montgomery, also known as Yuri I. underlying the certification on which handcuffs, laser gun sights, and laser Malinkovski 518 Howard Avenue, NE., they are providing additional mountings to Macedonia without Olympia, Washington 98506, may not, information. applying for an obtaining the required directly or indirectly, participate in any The following commodities and export licenses from the Department of way in any transaction involving any service have been proposed for addition Commerce. commodity, software or technology to Procurement List for production by Section 11(h) of the Act provides that, (hereinafter collectively referred to as the nonprofit agencies listed: at the discretion of the Secretary of ‘‘item’’) exported or to be exported from Commerce,2 no person convicted of Commodities the United States, that is subject to the violating the IEEPA or the Act, or Regulations, or in any other activity Tire Inflator Gage certain other provisions of the United subject to the Regulations, including, 4910–00–441–8685 States Code, shall be eligible to apply NPA: Beaufort County Developmental Center, but not limited to: for or use any export license issued A. Applying for, obtaining, or using Inc., Washington, North Carolina pursuant to, or provided by, the Act or EMM Tray, Plastic & EMM Sleeve, any license, License Exception, or Fiberboard the Export Administration Regulations export control document; 7240–00–NSH–0001 (Tray) (currently codified at 15 CFR parts 730– B. Carrying on negotiations 7240–00–NSH–0002 (Sleeve) 774 (2000), as amended (65 FR 14862, concerning, or ordering, buying, (Remaining Government Requirement) March 20, 2000)) (the Regulations), for receiving, using, selling, delivering, NPA: MDI Government Services, Inc., St. a period of up to 10 years from the date storing, disposing of, forwarding, Paul, Minnesota of the conviction. In addition, any transporting, financing, or otherwise Cloth, Cleaning license issued pursuant to the Act in servicing in any way, any transaction 7920–01–004–7847 which such a person had any interest at involving any item exported or to be NPA: Lions Services, Inc., Charlotte, North the time of conviction may be revoked. exported from the United States that is Carolina Pursuant to Sections 766.25 and subject to the Regulations, or in any 750.8(a) of the Regulations, upon Service other activity subject to the Regulations; notification that a person has been or Operation of Individual Equipment Element convicted of violating the IEEPA or the Store, C. Benefiting in any way from any Act, the Director, Office of Exporter Department of the Air Force, 125 Bennett transaction involving any item exported Services, in consultation with the Avenue, Hurlburt Field, Florida or to be exported from the United States Director, Office of Export Enforcement, NPA: L.C. Industries For The Blind, Inc., that is subject to the Regulations, or in shall determine whether to deny that Durham, North Carolina any other activity subject to the person’s export privileges for a period of Regulations. Louis R. Bartalot, up to 10 years from the date of II. No person may, directly or conviction and shall also determine Deputy Director (Operations). indirectly, do any of the following: whether revoke any license previously [FR Doc. 00–24413 Filed 9–21–00; 8:45 am] A. Export or reexport to or on behalf BILLING CODE 6353±01±P issued to such person. Having received notice of of the denied person any item subject to Montgomery’s conviction for violating the Regulations; B. Take any action that facilitates the DEPARTMENT OF COMMERCE the IEEPA and the Act, and after providing notice and an opportunity for acquisition or attempted acquisition by the denied person of the ownership, Bureau of Export Administration Montgomery to make a written submission to the Bureau of Export possession, or control of any item Action Affecting Export Privileges; Administration before issuing an Order subject to the Regulations that has been Yuri Montgomery, also known as Yuri or will be exported from the United I. Malinkovski; Order Denying Export 1 The Act expired on August 20, 1994. Executive States, including financing or other Privileges Order 12924 (3 CFR, 1994 Comp. 917 (1995)), support activities related to a which has been extended by successive Presidential transaction whereby the denied person On January 22, 1999, Yuri I. Notices, the most recent being that of August 3, acquires or attempts to acquire such 2000 (65 Fed. Reg. 48347, August 8, 2000), Montgomery, also knows as Yuri I. continued the Regulations in effect under the ownership, possession or control; Malinkovski (Montgomery) was IEEPA. C. Take any action to acquire from or convicted in the United States District 2 Pursuant to appropriate delegations of authority to facilitate the acquisition or attempted Court for the District of Columbia of that are reflected in the Regulations, the Director, acquisition from the denied person of Office of Exporter Services, in consultation with the violating the International Emergency Director, Office of Export Enforcement, exercises any item subject to the Regulations that Economic Powers Act (50 U.S.C.A. the authority granted to the Secretary by Section has been exported from the United 1701–1706 (1991 & Supp. 2000)) 11(h) of the Act. States;

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57314 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

D. Obtain from the denied person in States District Court for the Southern decided to revoke all licenses issued the United States any item subject to the District of Florida of violating the pursuant to the Act in which Osman Regulations with knowledge or reason Export Administration Act of 1979, as had an interest at the time of his to know that the item will be, or is amended (currently codified at 50 conviction. intended to be, exported from the U.S.C.A. app. 2401–2420 (1991 & Supp. Accordingly, it is hereby Ordered United States; or 2000)) (the Act).1 Specifically, Osman I. Until September 23, 2006, Oscar E. Engage in any transaction to service was convicted of knowingly, willfully Osman, currently incarcerated at: any item subject to the Regulations that and unlawfully exporting and causing to Spectrum Program CCC, #61204–004, has been or will be exported from the be exported a container of goods to Rio 101 N.W. 59th Street, Miami, Florida United States and which is owned, Haina, Dominican Republic under a 33127, and with an address at: 2655 possessed or controlled by the denied false bill of lading, container of goods Collins Avenue, Apt. 1811, Miami person, or service any item, of whatever was then transshipped to Havana, Cuba. Beach, Florida 33140, may not, directly origin, that is owned, possessed or Section 11(h) of the Act provides that, or indirectly, participate in any way in controlled by the denied person if such at the discretion of the Secretary of any transaction involving any service involves the use of any item Commerce,2 no person convicted of commodity, software or technology subject to the Regulations that has been violating the Act, or certain other (hereinafter collectively referred to as or will be exported from the United provisions of the United States Code, ‘‘item’’) exported or to be exported from States. For purposes of this paragraph, shall be eligible to apply for or use any the United States, that is subject to the servicing means installation, export license issued pursuant to, or Regulations, or in any other activity maintenance, repair, modification or provided by, the Act or the Export subject to the Regulations, or in any testing. Administration Regulations (currently other activity subject to the Regulations, III. After notice and opportunity for codified at 15 CFR parts 730–774 (2000), including, but not limited to: comment as provided in Section 766.23 as amended (65 FR 14862, March 20, A. Applying for, obtaining, or using of the Regulations, any person, firm, 2000)) (the Regulations), for a period of any license, License Exception, or corporation, or business organization up to 10 years from the date of the export control document; related to Montgomery by affiliation, conviction. In addition, any license B. Carrying on negotiations ownership, control, or position of issued pursuant to the Act in which concerning, or ordering, buying, responsibility in the conduct of trade or such a person had any interest at the receiving, using, selling, delivering, related services may also be subject to time of conviction may be revoked. storing, disposing of, forwarding, the provisions of this Order. Pursuant to sections 766.25 and transporting, financing, or otherwise IV. This Order does not prohibit any 750.8(a) of the Regulations, upon servicing in any way, any transaction export, reexport, or other transaction notification that a person has been involving any item exported or to be subject to the Regulations where the convicted of violating the Act, the exported from the United States that is only items involved that are subject to Director, Office of Exporter Services, in subject to the Regulations, or in any the Regulations are the foreign- consultation with the Director, Office of other activity subject to the Regulations; produced direct product of U.S.-origin Export Enforcement, shall determine or technology. whether to deny that person’s export C. Benefiting in any way from any V. This Order is effective immediately privileges for a period of up to 10 years transaction involving any item exported and shall remain in effect until January from the date of conviction and shall or to be exported from the United States 22, 2009. also determine whether to revoke any that is subject to the Regulations, or in VI. In accordance with Part 756 of the license previously issued to such a any other activity subject to the Regulations, Montgomery may file an person. Regulations. appeal from this Order with the Under Having received notice of Osman’s II. No person may, directly or Secretary for Export Administration. conviction for violating the Act, and indirectly, do any of the following: The appeal must be filed within 45 days after providing notice and opportunity A. Export or reexport to or on behalf from the date of this Order and must for Osman to make a written submission of the denied person any item subject to comply with the provisions of Part 756 to the Bureau of Export Administration the Regulations; of the Regulations. before issuing an Order denying his B. Take any action that facilitates the VII. A copy of this Order shall be export privileges, as provided in section delivered to Montgomery. This Order acquisition or attempted acquisition by 766.25 of the Regulations, I, following the denied person of the ownership, shall be published in the Federal consultations with the Director, Office Register. possession, or control of any item of Export Enforcement, have decided to subject to the Regulations that has been Dated: September 11, 2000. deny Osman’s export privileges for a or will be exported from the United Eileen M. Albanese, period of seven years from the date of States, including financing or other Director, Office of Exporter Services. his conviction. The seven-year period support activities related to a [FR Doc. 00–24343 Filed 9–21–00; 8:45 am] ends on September 23, 2006. I have also transaction whereby the denied person BILLING CODE 3510±PT±M acquires or attempts to acquire such 1 The Act expired on August 20, 1994, Executive Order 12924 (3 CFR, 1994 Comp. 917 (1995)), ownership, possession or control; which has been extended by successive Presidential C. Take any action to acquire from or DEPARTMENT OF COMMERCE Notices, the most recent being that of August 3, to facilitate the acquisition or attempted 2000 (65 FR 48347, August 8, 2000), continued the acquisition from the denied person of Bureau of Export Administration Regulations in effect under the International Emergency Economic Powers Act (50 U.S.C.A. any item subject to the Regulations that has been exported from the United Action Affecting Export Privileges; 1701–1706 (1991 & Supp. 2000)). 2 Pursuant to appropriate delegations of authority States; Oscar Osman; Order Denying Export that are reflected in the Regulations, the Director, D. Obtain from the denied person in Privileges Office of Exporter Services, in consultation with the Director, Office of Export Enforcement, exercises the United States any item subject to the On September 23, 1999, Oscar Osman the authority granted to the Secretary by section Regulations with knowledge or reason (Osman) was convicted in the United 11(h) of the Act. to know that the item will be, or is

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00006 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57315 intended to be, exported from the SUMMARY: The American Petroleum 2510 Design and Construction of United States; or Institute (API), with the assistance of Liquefied Petroleum Gas E. Engage in any transaction to service other interested parties, continues to Installations any item subject to the Regulations that develop standards, both national and 1501 Recommended Practice for Retail has been or will be exported from the international, in several areas. This or Consumer Aviation Fueling United States and which is owned, notice lists the standardization efforts Facilities possessed or controlled by the denied currently being conducted by API 1560 Lubricant Service Designations person, or service any item, of whatever committees. The publication of this for Automotive Manual origin, that is owned, possessed or notice by the National Institute of Transmissions, Manual Transaxles, controlled by the denied person if such Standards and Technology (NIST) on and Axles service involves the use of any item behalf of API is being undertaken as a 1631 Interior Lining of Underground subject to the Regulations that has been public service. NIST does not Storage Tanks or will be exported from the United necessarily endorse, approve, or FOR FURTHER INFORMATION CONTACT: States. For purposes of this paragraph, recommend the standards referenced. David Soffrin, Standards and Training servicing means installation, ADDRESSES: American Petroleum Resource Group, email: maintenance, repair, modification or Institute, 1220 L Street, NW., [email protected]. testing. III. After notice and opportunity for Washington, DC 20005; telephone (202) Committee on Refining 862–8000. comment as provided in Section 766.23 New (577) Welding Inspection and of the Regulations, any person, firm, FOR FURTHER INFORMATION CONTACT: All Metallurgy corporation, or business organization contact individuals listed in the New (580) Risk Based Inspection related to Osman by affiliation, supplementary information section of New (621) Reconditioning of Metallic ownership, control, or position of this notice may be reached at the Gate, Globe, and Check Valves responsibility in the conduct of trade or American Petroleum Institute. New (687) Repair of Special Purpose related services may also be subject to SUPPLEMENTARY INFORMATION: Rotors the provisions of this Order. New (934) Materials and Fabrication Background IV. This Order does not prohibit any Requirements for 21⁄4 CR & 3Cr export, reexport, or other transaction The American Petroleum Institute Steel Heavy Wall Pressure Vessels subject to the Regulations where the develops and publishes voluntary for High Temperature, High only items involved that are subject to standards for equipment, operations, Pressure Hydrogen Service the Regulations are the foreign- and processes. These standards are used New Standard on Lightning Protection produced direct product of U.S.-origin by both private industry and by for Storage Tanks technology. governmental agencies. All interested 510 Pressure Vessel Inspection Code V. This Order is effective immediately persons should contact the appropriate 570 Piping Inspection Code and shall remain in effect until source as listed for further information. 575 Inspection of Atmospheric & Low September 23, 2006. Pressure Storage Tanks VI. In accordance with Part 756 of the Pipeline Committee 530 Calculation of Heater Tube Regulations, Osman may file an appeal New (1160) Pipe Integrity in High Thickness in Petroleum Refineries from this Order with the Under Consequence Areas (HCAs) 560 Fired Heaters for General Refinery Secretary for Export Administration. New (1133) Guidelines for Onshore Service The appeal must be filed within 45 days Hydrocarbon Pipelines Crossing 662 Plate Heat Exchanger from the date of this Order and must Floodplains Specification Sheets for General comply with the provisions of Part 756 1109 Marking Liquid Petroleum Refinery Service of the Regulations. Pipeline Facilities 534 Heat Recovery Steam Generator VII. A copy of this Order shall be Burners for Fired heaters in General delivered to Osman. This Order shall be 1129 Assurance of Hazardous Liquid Pipeline System Integrity Refinery Service published in the Federal Register. 599 Metal Plug Valves-Flanged and FOR FURTHER INFORMATION CONTACT: Dated: September 11, 2000. Welding Ends Andrea Johnson, Standards and Eileen M. Albanese, 603 Class 150, Cast, Corrosion- Training Resource Group, email: Director, Office of Exporter Services. Resistant, Flanged-End Gate Valves [email protected]. [FR Doc. 00–24342 Filed 9–21–00; 8:45 am] 598 Valve Inspection and Testing BILLING CODE 3510±DT±M Committee on Marketing 602 Compact Steel Gate Valves- Flanged, Threaded, Welding and New Recommended Practice on Extended Body Ends Loading and Unloading of MC 306/ DEPARTMENT OF COMMERCE 608 Metal Ball Valves-Flanged, DOT 406 Tank Motor Vehicles Threaded, and Butt-Welding Ends National Institute of Standards and New (1582) Similarity Calculations 620 Design and Construction of Large, Technology and Software for Aviation Jet Fuel Welded, Low-Pressure Storage Filter/Separators Tanks Announcement of the American 2610 Design, Construction, Operation, 650 Welded Steel Ranks for Oil Petroleum Institute's Standards Maintenance, and Inspection of Storage Activities Terminal and Tank Facilities 653 Tank Inspection, Repair, 1621 Bulk Liquid Stock Control at AGENCY: National Institute of Standards Alteration, and Reconstruction Retail Outlets and Technology, Commerce. 610 Centrifugal Pumps for Petroleum, 1584 Four-inch Aviation Hydrant Chemical, and Heavy Duty ACTION: Notice of intent to develop or System Chemical and Gas Industry Services revise standards and request for public 1004 Bottom Loading and Vapor 617 Centrifugal Compressors for comment and participation in standards Recovery for MC–306 Tank Motor petroleum, Chemical and Gas development. Vehicles Industry Services

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00007 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57316 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

682 Shaft Sealing Systems for 8.4 Manual Sampling and Handling of Committee on Exploration and Centrifugal and Rotary Pumps Fuels for Volatility Measurement Production 612 Special Purpose Steam Turbines 10.1 Determination of Sediment in New (2FPS) Recommended Practice on for Petroleum, Chemical and Gas Crude Oils and Fuel Oils by the Floating Production Systems Industry Services Extraction Method 2C Specification for Offshore Cranes 673 Fans 10.3 Determination of Water and 2MT1 Specification for As-Rolled 674 Positive Displacement Pumps- Sediment in Crude Oil by the Carbon Manganese Steel Plate with Reciprocating Centrifuge Method (Laboratory Improved Toughness for Offshore 541 Form-Wound Squirrel-Cage Procedure) Structures Induction Motors–250 Horsepower 10.7 Standard Test Method for Water 2N Recommended Practice for and larger in Crude Oil by Karl Fischer Planning, Designing and 554 Process Instrument and Control Titration (Potentiometric) Constructing Structures and 526 Flanges Steel Pressure Relief New Draft Standard, On Line Water Pipelines in Arctic Conditions Valves Monitoring Automatic Sampling 2S Design of Windlass Wildcats for 520 Sizing, Selection and Installation 11.1 ‘‘C’’ Language and VCF Software Floating Offshore Structure of Pressure-Relieving Devices in 12.1 Calculation of Static Petroleum New (2SM) Synthetic Fiber Ropes for Refineries, Part II-Installation Quantities, Part 1, Upright Offshore Mooring Meetings/Conferences: The Storage Cylindrical Tanks and Marine Tank Management and Technology Vessels 5B Threading, Gaging, and Thread Inspection of Casing, Tubing, and Conference will be held in Austin, 14.1 Collecting and Handling Natural Line Pipe Threads Texas at the Austin Marriott Hotel from Gas Samples for Custody Transfer September 19 through September 21, 14.3 Part 1 General Equations and 5CT Specification on Casing and 2000. The Fall Refining Meeting will be Uncertainty Guidelines Tubing held October 30 through November 1, 14.3 Part 2 Specifications and General 7 Specification for Rotary Drill Stern 2000, at the Wyndham Palace Hotel, Installation Requirements Elements Lake Buena Vista, Florida. Fitness for 14.3 Part 3 Natural Gas Applications 7K Specification for Drilling Service Training will be offered 14.3 Part 4 Natural Gas Applications— Equipment November 14–16, in San Antonio, Software Program 7L Recommended Practice for Texas, at the Doubletree Hotel. 14.3 Part 4 Background, Development, Inspection, Maintenance, Repair Interested parties may visit the API Implementation Procedures and and Remanufacture of Drilling Events calendar at http://www.api.org/ Subroutine Documentation Equipment events for more information regarding 14.7 Mass Measurement of Natural Gas 9A Specification for Wire Rope participation in these meetings. Liquid 10D Specification for Bow-Spring FOR FURTHER INFORMATION CONTACT: 16.2 Mass Measurement of Liquid Casing Centralizers David Miller, Standards and Training Hydrocarbons in Vertical 10F Recommended Practice for Resource Group, e-mail: [email protected]. Cylindrical Storage Tanks by Performance of Cementing Float Equipment Committee on Safety and Fire Hydrostatic Tank Gaging 11AR Recommended Practice for Care Protection 17.1 Guidelines for Marine Cargo Inspection (Spanish Version) and Use of Subsurface Pumps 2015 Safe Entry and Cleaning of 17.2 Measurement of Cargoes on Board New (11IW) Independent Wellhead Petroleum Storage Tanks Tank Vessel (Spanish Version) New Specification for Packers 2021 Fire Fighting In and Around 17.5 Guidelines for Cargo Analysis and 13A Specification for Drilling Fluid Flammable and Combustible Liquid Reconciliation Materials Atmosphere Storage Tank 17.7 Recommended Practices for 14A Subsurface Safety Valve 2028 Flame Arrestors in Piping Developing Barge Control Factors Equipment Systems (Volume Ratio) 16C Specification for Choke and Kill FOR FURTHER INFORMATION CONTACT: 19.1D Documentation File for API Systems David Soffrin, Standards and Training Manual of Petroleum Measurement 16D Specification for Control Systems Resource Group, email: Standards Chapter 19.1— for Drilling Well Control Equipment [email protected]. Evaporative Loss from Fixed Roof 17C Recommended Practice for TFL Committee on Petroleum Measurement Tanks (Through Flowline) Systems 20.1 Allocation Measurement New 17K Bonded Flexible Pipe 1.0 Vocabulary New 17L Flexible Pipe Ancillary 2.2A Measurement and Calibration of New Multi-Phase Meters Equipment Upright Cylindrical Tanks by the New Ultrasonic Meters Manual Strapping Method New Alternative Meters New Specification for Well Perforators 2.8A Calibration of Tanks on Ships Meetings/Conferences: The 14J Recommended Practice for Design and Oceangoing Barges Committee on Petroleum Measurement and Hazard Analysis for Offshore 4.5 Master-Meter Provers Fall Meeting will be held September 25– Production Facilities 6.2 Loading Rack and Tank Truck 29, 2000, at the Wyndham Palace Hotel, 14G Recommended Practice for Fire Metering for Non-LPG Products Lake Buena Vista, Florida. Interested Prevention and Control on Open 8.1 Manual Sampling of Petroleum parties may visit the API Events Type Offshore Production Platforms and Petroleum Products calendar at http://www.api.org/events 49 Recommended Practice for 8.2 Automatic Sampling of Petroleum for more information regarding Analysis of Oilfield Waters and Petroleum Products attending this meeting. FOR FURTHER INFORMATION CONTACT: 8.3 Mixing and Handling of Liquid FOR FURTHER INFORMATION CONTACT: Jon Mike Spanhel, Standards and Training Samples of Petroleum and Noxon, Standards and Training Resource Group, email: Petroleum Products Resource Group, email: [email protected]. [email protected].

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00008 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57317

Dated: September 15, 2000. These meetings are open to the 901 Airline Highway, Kenner, Karen Brown, public, and will be conducted in Louisiana; telephone 504-469-5000. Deputy Director. English. Fishers and other interested Council address: Gulf of Mexico [FR Doc. 00–24459 Filed 9–21–00; 8:45 am] persons are invited to attend and Fishery Management Council, 3018 U.S. BILLING CODE 3510±13±M participate with oral or written Highway 301 North, Suite 1000, Tampa, statements regarding agenda issues. Florida, 33619. Although non-emergency issues not FOR FURTHER INFORMATION CONTACT: Dr. DEPARTMENT OF COMMERCE contained in this agenda may come Richard Leard, Senior Fishery Biologist, before this Council for discussion, in at the Gulf of Mexico Fishery National Oceanic and Atmospheric accordance with the Magnuson-Stevens Management Council, 3018 U.S. Administration Fishery Conservation and Management Highway 301 North, Suite 1000, Tampa, [I.D. 091800D] Act, those issues may not be the subject Florida, 33619; telephone 813-228-2815. of formal Council action during this SUPPLEMENTARY INFORMATION: The meeting. Action will be restricted to Caribbean Fishery Management Shrimp AP and the Standing and those issues specifically listed in this Council; Public Meetings Special Shrimp SSCs will convene to notice and any issues arising after review Draft Amendment 11 to the AGENCY: National Marine Fisheries publication of this notice that require Shrimp Fishery Management Plan. This Service (NMFS), National Oceanic and emergency action under section 305(c) amendment contains alternatives for Atmospheric Administration (NOAA), of the Magnuson-Stevens Fishery requiring shrimp vessel permits and/or Commerce. Conservation and Management Act, shrimp vessel registration, operator ACTION: Notice of public meetings. provided the public has been notified of permits, and prohibiting trap gear in the the Council’s intent to take final action royal red shrimp fishery of the exclusive SUMMARY: The Caribbean Fishery to address the emergency. Management Council’s Scientific and economic zone (EEZ). The Shrimp AP Statistical Committee (SSC), Advisory Special Accommodations may develop recommendations to the Panel (AP), and Habitat Advisory Panel This meeting is physically accessible Council regarding these alternatives. (HAP), will hold meetings. to people with disabilities. Requests for The Shrimp AP also will discuss, and DATES: The first meeting will be held sign language interpretation or other possibly make recommendations to October 10, 2000; the second, October auxiliary aids should be directed to Mr. define, ‘‘to the extent practicable’’ under 11, 2000; and, the third, October 13, Miguel A. Rolon, 787-766-5926 at least the Magnuson-Stevens Fishery 2000; all three will last from l0 a.m. to 5 days prior to the meeting date. Conservation and Management Act, that 4 p.m. requires the Regional Fishery Dated: September 19, 2000. Management Councils to reduce bycatch ADDRESSES: All three meetings will be Richard W. Surdi, ‘‘to the extent practicable.’’ held at the Travelodge Hotel, Isla Verde Acting Director, Office of Sustainable The Shrimp AP consists principally of Avenue, Isla Verde, Carolina, Puerto Fisheries, National Marine Fisheries Service. commercial shrimp fishermen, dealers, Rico. [FR Doc. 00–24456 Filed 9–21–00; 8:45 am] and association representatives. Council address: Caribbean Fishery BILLING CODE 3510±22±S Although other non-emergency issues Management Council, 268 Munoz not on the agenda may come before Avenue, Suite 1108, San Juan, PR these groups for discussion, in 009l8-2577. DEPARTMENT OF COMMERCE accordance with the Magnuson-Stevens FOR FURTHER INFORMATION CONTACT: Fishery Conservation and Management National Oceanic and Atmospheric Telephone: 787-766-5926. Act, those issues may not be the subject Administration SUPPLEMENTARY INFORMATION: The of formal action during these meetings. agenda items discussed by the SSC, AP, [I.D. 091500A] Actions of these groups will be and HAP will be as follows: restricted to those issues specifically Gulf of Mexico Fishery Management identified in the agendas and any issues SSC—Tuesday, October 10, 2000, from Council; Public Meetings 10-4 p.m. arising after publication of this notice AGENCY: National Marine Fisheries that require emergency action under -Dolphin/Wahoo Fishery Management Service (NMFS), National Oceanic and Section 305(c) of the Magnuson-Stevens Plan (FMP) Atmospheric Administration (NOAA), Act, provided the public has been -Queen Conch Amendment Update Commerce. notified of the Gulf of Mexico Fishery -Sustainable Fisheries Act Management Council’s intent to take ACTION: Notice of public meetings. -Other Business action to address the emergency. AP—Wednesday, October 11, 2000, SUMMARY: The Gulf of Mexico Fishery Copies of the agenda can be obtained from l0-4 p.m. Management Council will convene by calling 813-228-2815. This meeting is separate public meetings of its Shrimp physically accessible to people with -Dolphin/Wahoo FMP Advisory Panel(AP) and its Standing disabilities. Requests for sign language -Conch FMP Amendment and Special Shrimp Scientific and interpretation or other auxiliary aids -Other Business Statistical Committees (SSCs). should be directed to Anne Alford at the -Simultaneous interpretation Council (see ADDRESSES) by October 2, DATES: The Shrimp AP meeting will be (Spanish-English) will be available 2000. during the AP meeting. held on Monday, October 9, 2000, beginning at 9 a.m. The Standing and Dated: September 18, 2000. HAP—Friday, October 13, 2000, from Special Shrimp SSCs’ meeting will be Richard W. Surdi, 10-4 p.m. held on Tuesday, October 10, 2000, Acting Director, Office of Sustainable -Essential Fish Habitat beginning at 10 a.m. Fisheries, National Marine Fisheries Service. -Coral FMP ADDRESSES: The meetings will be held at [FR Doc. 00–24457 Filed 9–21–00; 8:45 am] -Task Force Report the New Orleans Airport Hilton Hotel, BILLING CODE 3510-22-S

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00009 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57318 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

DEPARTMENT OF COMMERCE 3. Bottomfish FMP issues E. Status of bioprospecting operations A. Status of litigation/observer Although non-emergency issues not National Oceanic and Atmospheric program contained in this agenda may come Administration B. Review of Bottomfish EIS before this Council for discussion, in accordance with the Magnuson-Stevens [I.D. 091800B] Wednesday, October 11, 2000, from Fishery Conservation and Management 8:30 to 5 p.m. Western Pacific Fishery Management Act, those issues may not be the subject Council; Public Meeting 1. Pelagic FMP issues of formal Council action during this A. 2nd quarter 2000 Hawaii and meeting. Action will be restricted to AGENCY: National Marine Fisheries American Samoa longline fishery report those issues specifically listed in this Service (NMFS), National Oceanic and B. American Samoan framework notice and any issues arising after Atmospheric Administration (NOAA), measure publication of this notice that require Commerce. C. Recreational fisheries emergency action under section 305(c) ACTION: Notice of public meeting. (i) Marine Recreational Fishing of the Magnuson-Stevens Fishery Statistical Survey Conservation and Management Act, SUMMARY: The Western Pacific Fishery D. Shark management provided the public has been notified of Management Council will convene its (i) Blue shark stock assessment the Council’s intent to take final action 75th meeting of the Scientific and (ii) Status of amendment 9 to address the emergency. Statistical Committee (SSC). E. Seabird management DATES: The meeting will be held (i) Status of framework measures/ Special Accommodations October 10-12, 2000. See biological opinion on Short-tail This meeting is physically accessible SUPPLEMENTARY INFORMATION for specific albatross to people with disabilities. Requests for dates and times. F. Turtle management sign language interpretation or other ADDRESSES: The meeting will be held at (i) Ongoing litigation auxiliary aids should be directed to the Council office conference room, (ii) Draft EIS Kitty M. Simonds, 808-522-8220 (voice) 1164 Bishop St., Suite 1400, Honolulu, (iii) Turtle Mitigation Working Group or 808-522-8226 (fax), at least 5 days Hawaii; telephone: (808-522-8220). G. NMFS overfishing/Maximum prior to the meeting date. Council Address: Western Pacific Sustainable Yield workshop H. Transition Zone Chlorophyl Front Dated: September 18, 2000. Fishery Management Council, 1164 Richard W. Surdi, Bishop St., Suite 1400, Honolulu, HI, I. Pelagics research/ecological Acting Director, Office of Sustainable 96813. simulation model J. Pelagics FMP 5-year review: Terms- Fisheries, National Marine Fisheries Service. FOR FURTHER INFORMATION CONTACT: of-reference [FR Doc. 00–24453 Filed 9–21–00; 8:45 am] Kitty M. Simonds, Executive Director; K. Palmyra Atoll- recreational/ BILLING CODE: 3510±22 ±S telephone 808-522-8220. longline/handline area closures SUPPLEMENTARY INFORMATION: The SSC L. International: will discuss and may make (i) Outcome of Multilateral High Level DEPARTMENT OF COMMERCE recommendations to the Council on the Conference 7 agenda items here. The order in which (ii) Standing Committee on Tuna and National Oceanic and Atmospheric agenda items will be addressed can Billfish 13 Administration change. (iii) Food & Agricultural Organization [I.D. 091100H] consultation on illegal, unreported and Tuesday, October 10, 2000, from 9 to 5 unregulated fishing Marine Mammals p.m. M. Other issues 1. Precious corals fishery AGENCY: National Marine Fisheries Thursday, October 12, 2000, from 8:30 A. Status of 1999 framework Service (NMFS), National Oceanic and to 5 p.m. adjustment regarding new harvesting Atmospheric Administration (NOAA), requirements 1. Ecosystem and Habitat Commerce. B. Status of 2000 framework A. Draft Coral Reef Ecosystem FMP ACTION: Receipt of application for adjustment regarding Hawaiian Islands draft EIS amendment and request for emergency exploratory area quota increase (i) Summary relocation of Hawaiian monk seals. C. Process of defining new beds (ii) Review of (initial) public D. September Northwestern Hawaiian comments SUMMARY: Notice is hereby given that Islands (NWHI) research surveys B. President’s vision for NWHI coral the Southwest Fisheries Science Center, E. Precious Corals Plan Team/ reefs Honolulu Laboratory, NMFS, 2570 Dole Advisory Panel recommendations (i) Department of Commerce/ Street, Honolulu, Hawaii 96822-2396, F. Review of Precious Corals Department of the Interior has requested an amendment to Environmental Impact Statement(EIS) recommendations scientific research Permit No. 848-1335 2. Crustaceans Fishery Management (ii) President’s action to allow for the emergency relocation of Plan (FMP) issues C. Other issues two Hawaiian monk seal (Monachus A. Status of research and stock 2. Other business schauinslandi) pups. assessment activities and plans A. Status of Congressional legislation ADDRESSES: The amendment request B. Plans for experimental fishery in B. Magnuson-Stevens Act legislation and related documents are available for NWHI C. Draft amendments to add fisheries review upon written request or by C. 5-Year review of Amendment 9 off the Commonwealth of the Northern appointment in the following offices: D. Status of litigation Mariana Islands and the Pacific Remote Permits Division, Office of Protected E. Overcapitalization of the NWHI Island Areas (PRIA) to FMPs Resources, NMFS, 1315 East-West fishery D. Sustainable Fisheries Act Highway, Room 13705, Silver Spring, F. Review of the Crustaceans EIS overfishing amendments to FMPs MD 20910 (301/713-2289);

VerDate 112000 14:54 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm07 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57319

Regional Administrator, Southwest DEPARTMENT OF COMMERCE Dated: August 31, 2000. Region, NMFS, 501 West Ocean Eugene Nitta, Boulevard, Suite 4200, Long Beach, CA National Oceanic and Atmospheric Acting Chief, Permits and Documentation 90802-4213 (562/980-4001); and Administration Division, Office of Protected Resources, Protected Species Program Manager, National Marine Fisheries Service. Pacific Islands Area Office, Southwest [I.D. 083100A] [FR Doc. 00–24455 Filed 9–21–00; 8:45 am] Region, NMFS, 1601 Kapiolani BILLING CODE 3510-22-S Boulevard, Suite 1110, Honolulu, HI Marine Mammals; Scientific Research (808/973-2937). Permit (PHF# 981-1578-00) CONSUMER PRODUCT SAFETY SUPPLEMENTARY INFORMATION: The AGENCY: National Marine Fisheries COMMISSION subject amendment to permit No. 848- Service (NMFS), National Oceanic and [CPSC Docket No. 00±C0015] 1335, issued on June 10, 1997 (62 FR Atmospheric Administration (NOAA), 32586) is requested under the authority Commerce. Riello Corporation of America, a of the Marine Mammal Protection Act of Corporation, Provisional Acceptance ACTION: Issuance of permit. 1972, as amended (16 U.S.C. 1361 et of a Settlement Agreement and Order seq.), the Regulations Governing the Taking and Importing of Marine SUMMARY: Notice is hereby given that Dr. AGENCY: Consumer Product Safety Mammals (50 CFR part 216), the Peter L. Tyack, Ph.D., Woods Hole Commission. Endangered Species Act (ESA) of 1973, Oceanographic Institution, Biology ACTION: Notice. as amended (16 U.S.C. 1531 et seq.), and Department, 46 Water Street, Woods the Regulations Governing the Taking, Hole, MA 02543, has been issued a SUMMARY: It is the policy of the Importing, and Exporting of Endangered permit to take several species of Commission to publish settlements which it provisionally accepts under the Fish and Wildlife (50 CFR part 222). cetaceans for scientific research. Consumer Product Safety Act in the The permit holder is currently ADDRESSES: The permit and related Federal Register in accordance with the authorized to conduct population documents are available for review terms of 16 CFR 1118.20. Published assessment, disease assessment, upon written request or by appointment below is a provisionally-accepted recovery actions, and pelagic ecology (see SUPPLEMENTARY INFORMATION). Settlement Agreement with Riello studies of Hawaiian monk seals Corporation of America, a corporation, (Monachus schauinslandi) at all FOR FURTHER INFORMATION CONTACT: containing a civil penalty of $125,000. locations within the Hawaiian Jeannie Drevenak, 301/713-2289. DATES: Any interested person may ask Archipelago and at Johnston Atoll, SUPPLEMENTARY INFORMATION: On June the Commission not to accept this through May 31, 2002. The permit 30, 2000, notice was published in the agreement or otherwise comment on its holder is now requesting that the permit contents by filing a written request with be amended to authorize the emergency Federal Register (65 FR 40613) that a the Office of the Secretary by October relocation of two weaned Hawaiian request for a scientific research permit 10, 2000. monk seal pups in order to protect their to take several species of cetaceans had health and well-being. The permit has been submitted by the above-named ADDRESSES: Persons wishing to been amended to authorize the individual. The requested permit has comment on this Settlement Agreement relocation of the two animals, pursuant been issued under the authority of the should send written comments to the to § 216.33(e)(6) of the Regulations Marine Mammal Protection Act of 1972, Comment 00–C0015, Office of the Governing the Taking and Importing of as amended (16 U.S.C. 1361 et seq.), the Secretary, Consumer Product Safety Marine Mammals (50 CFR part 216) Regulations Governing the Taking and Commission, Washington, DC 20207. which allows waiver of the 30-day Importing of Marine Mammals (50 CFR FOR FURTHER INFORMATION CONTACT: public comment period. The remainder part 216), the Endangered Species Act of Jimmie L. Williams, Jr., Trial Attorney, of the pending amendment application 1973, as amended (16 U.S.C. 1531 et Office of Compliance and Enforcement, for this action is being processed seq.), and the regulations governing the Consumer Product Safety Commission, according to 50 CFR 216.39. taking, importing, and exporting of Washington, DC 20207; telephone (301) endangered fish and wildlife (50 CFR 504–0626, 1376. In compliance with the National SUPPLEMENTARY INFORMATION: Environmental Policy Act of 1969 (42 parts 222—226). The text of U.S.C. 4321 et seq.), an initial Issuance of this permit, as required by the Agreement and Order appears determination has been made that the the ESA, was based on a finding that below. activity proposed is categorically such permit (1) was applied for in good Dated: September 18, 2000. excluded from the requirement to faith, (2) will not operate to the Sadye E. Dunn, prepare an environmental assessment or disadvantage of the endangered species Secretary. environmental impact statement. which is the subject of this permit, and Settlement Agreement and Order NMFS has forwarded copies of this (3) is consistent with the purposes and 1. Riello Corporation of America amendment request to the Marine policies set forth in section 2 of the (‘‘RCA’’), a corporation, enters into this Mammal Commission and its ESA. Settlement Agreement and Order with Committee of Scientific Advisors. Addresses: The permit and related the staff (‘‘the staff’’) of the U.S. Dated: September18, 2000. documents are available for review Consumer Product Safety Commission Ann D. Terbush, upon written request or by appointment (‘‘the Commission’’) in accordance with Chief, Permits and Documentation Division, in the following offices: 16 CFR part 1118 Section 20 of the Office of Protected Resources, National Permits Division, Office of Protected Commission’s Procedures for Marine Fisheries Service. Resources, NMFS, 1315 East-West Investigations, Inspections, and [FR Doc. 00–24454– Filed 9–21–00; 8:45 am] Highway, Room 13130, Silver Spring, Inquiries under the Consumer Product BILLING CODE 3510-22-S MD 20910 (301/713-2289). Safety Act (‘‘CPSA’’).

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00011 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57320 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

I. The Parties 1998. RCA initiated a similar plan ($125,000.00), the Commission 2. The Commission is an independent beginning on January 13, 1999. specifically waives its right to initiate, federal regulatory agency responsible for 10. On March 4, 1999, RCA notified either by referral to the Department of the enforcement of the Consumer the Commission about the Burners. Justice or bringing in its own name, any Product Safety Act, 15 U.S.C. 2051– RCA, therefore, failed to report to the action for civil penalties relating to any 2084. Commission in a timely manner as of the events that gave rise to the staff’s 3. RCA is a corporation organized and required by Section 15(b) of the CPSA, allegations in paragraphs four through existing under the laws of the State of 15 U.S.C. 2064(b). RCA, in cooperation ten, supra, against (a) RCA and Riello Massachusetts. Its principal offices are with the CPSC, voluntarily completed Canada, and (b) any and all of RCA’s located at 35 Pond Park Road, Hingham, the recall of the Burners soon thereafter. and Riello Canada’s successors, assigns, employees, representatives and agents. Massachusetts. III. Response of RCA 17. RCA shall pay the Consumer II. Staff Allegations 11. RCA denies all of the allegations Product Safety Commission a civil of staff and in particular denies that it 4. Between February 1997 and penalty in the amount of $125,000.00 violated the reporting requirements of December 1998, RCA imported, within 30 calendar days of such service section 15(b) of the CPSA, 15 U.S.C. distributed and sold in the United States of the Final Order. 2064(b) or 16 CFR Part 1115. The approximately 842 balanced flue oil 18. RCA agrees to entry of the payment made hereunder is made in burners models BF 40 F5 and BF 40 F3 attached Order, which is incorporated settlement of the staff’s allegations. (‘‘the Burners’’) equipped with a herein by reference, and to be bound by Neither the payment nor the fact of component known as the ET–25 post its terms. entering into this Settlement Agreement purge module (‘‘ET–25’’). The Burners 19. This settlement Agreement and constitute evidence of or an admission were designed for installation on Order are entered into for settlement of, any fault, liability or statutory or residential boilers for home heating. purposes only and shall not constitute regulatory violation by RCA, or of the RCA is, therefore, a distributor and evidence of, an admission of, or a truth of any of the allegations made by retailer of a consumer product in U.S. determination of, any fault, liability or the staff. commerce pursuant to 15 U.S.C. 2052 statutory or regulatory violation. (a)(1), (5) and (6). IV. Agreement of the Parties 20. The Commission’s Order in this matter is issued under the provisions of 5. The Burners were manufactured by 12. The Commission has jurisdiction Riello Canada, Inc., a corporation the CPSA, 15 U.S.C. 2051, et seq., and over this matter under the Consumer a violation of this Order may subject organized and existing under the laws of Product Safety Act (CPSA), 15 U.S.C. the Province of Ontario, Canada (‘‘Riello RCA to appropriate legal action. 2051 et seq. 21. This Settlement Agreement and Canada’’). The ET–25 was manufactured 13. RCA knowingly, voluntarily and by Enertel Controls, Inc., a corporation Order is binding upon and shall inure completely waives any rights it may to the benefit of RCA and Riello Canada organized and existing under the laws of have to: the federal government of Canada. and their assigns or successors. a. the issuance of a complaint in this 22. Agreements, understandings, 6. RCA sold the Burners to matter; manufacturers of boilers. The Burners representations, or interpretations made b. an administrative or judicial outside of this Settlement Agreement were installed in those boilers either by hearing with respect to the staff the boiler manufacturers or by installers. and Order may not be used to vary or allegations discussed in paragraphs 4 to contradict its terms. 7. The ET–25 is intended to blow through 10 above; combustion gases out of the Burner c. judicial review or other challenge Riello Corporation of America. chamber after the call for heat to the or contest of the validity of the Dated: August 22, 2000. Burner is exhausted. A defect in the ET– Commission’s Order; Nick Gareri, 25 causes the Burner to ‘‘run on,’’ which d. a determination by the Commission President. can cause the boiler to overheat. Steam as to whether a violation of section 15(b) U.S. Consumer Product Safety relieved through a pressure relief valve of the CPSA, 15 U.S.C. 2064(b) has Commission. presents a burn hazard to anyone occurred; and Alan H. Schoem, located near the valve. The continuous e. a statement of findings of fact and Assistant Executive Director, Office of buildup of pressure within the boiler conclusion of law with regard to the Compliance. could cause a fire or explosion. staff allegations. Eric L. Stone, 8. RCA recommended the installation 14. Upon provisional acceptance of of a secondary high-end limit with the Director, Legal Division, Office of this Settlement Agreement and Order by Compliance. Burner, which would shut down the the Commission, this Settlement Dated: August 16, 2000. Burner once a pre-set temperature level Agreement and Order shall be placed on in the boiler was reached. In the the public record and shall be published Jimmie L. Williams, Jr., summer or early fall of 1998, both RCA in the Federal Register in accordance Trial Attorney, Legal Division, Office of and Riello Canada obtained reports from with 16 CFR part 1118 section 20. Compliance. their customers that the Burners were 15. The Settlement Agreement and failing to shut down after the call for Order becomes effective upon final Order heat had been exhausted, and that some acceptance by the Commission and Upon consideration of the Settlement boilers in which the Burners were service of the Final Order upon RCA. Agreement entered into between Riello installed were not equipped with a high 16. Upon final acceptance of this Corporation of America, a end limit. This information reasonably Settlement Agreement by the Massachusetts Corporation, and the staff supported the conclusion that the Commission, the issuance of the Order, of the U.S. Consumer Product Safety product contained a defect, which could and the full and timely payment by RCA Commission; and the Commission create a substantial product hazard. to the United States Treasury of a civil having jurisdiction over the subject 9. Riello Canada initiated a corrective penalty in the amount of One Hundred matter and Riello Corporation of action plan beginning December 22, and Twenty Five Thousand Dollars America, and it appearing that the

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00012 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57321

Settlement Agreement and Order is in Dated: September 15, 2000. scheduled to be held from 8 a.m. to 5 the public interest, it is. Patricia L. Toppings, p.m. on Saturday, October 7, 2000. The Ordered, that the Settlement Alternate OSD Federal Register Liaison meeting will be open to the public and Agreement be, and hereby is, accepted, Officer, Department of Defense. will be held in the Constellation Room and it is [FR Doc. 00–24332 Filed 9–21–00; 8:45 am] at U.S. Navy Europe’s headquarters on BILLING CODE 5001±10±M North Audley Street in London, Further Ordered, that upon final England. The meeting will be preceded acceptance of the Settlement Agreement by visits by ACDE members and DoDEA and Final Order, Riello Corporation of DEPARTMENT OF DEFENSE representatives to DoD overseas schools America shall pay the Commission a in Iceland, the United Kingdom, civil penalty in the amount of One Office of the Secretary Belgium, and Netherlands from October Hundred and Twenty Five Thousand 2–4. The purpose of the Council is to Renewal of the Joint Advisory Dollars ($125,000.00) within 30 recommend to the Director, Department Committee on Nuclear Weapons calendar days after service of this Final of Defense Dependents Schools Surety Order upon Riello Corporation of (DoDDS), general policies for the America. ACTION: Notice. operation of the DoDDS; to provide the Provisionally accepted and Provisional Director with information about Order issued on the 18th day of September, SUMMARY: The Joint Advisory effective educational programs and 2000. Committee on Nuclear Weapons Surety practices that should be considered by By Order of the Commission. (JACNWS) has been renewed in DoDDS; and to perform other tasks as Sadye E. Dunn, consonance with the public interest, may be required by the Secretary of and in accordance with the provisions Defense. The focus of this meeting will Secretary, U.S. Consumer Product Safety of Public Law 92–463, the ‘‘Federal be on student achievement and progress Commission. Advisory Committee Act.’’ towards organizational strategic goals. [FR Doc. 00–24339 Filed 9–21–00; 8:45 am] The JACNWS provides advice and For further information contact Ms. BILLING CODE 6355±01±M recommendations to the Secretary of Polly Purser, at 703–696–4235, Defense and the Secretary of Energy on extension 1911. nuclear weapons systems surety Dated: September 18, 2000. matters. The Committee undertakes L.M. Bynum, DEPARTMENT OF DEFENSE studies and prepares reports on national policies and procedures to ensure the Alternate OSD Federal Register Liaison Officer, Department of Defense. Office of the Secretary safe handling, stockpiling, maintenance, disposition and risk reduction of [FR Doc. 00–24330 Filed 9–21–00; 8:45 am] Renewal of the Defense Intelligence nuclear weapons. BILLING CODE 5001±10±M Agency Science and Technology The Committee will continue to be Advisory Board composed of four to seven members, both government and non-government DEPARTMENT OF EDUCATION ACTION: Notice. individuals, who are acclaimed experts in nuclear weapons surety measures. Submission for OMB Review; Comment Request SUMMARY: The Defense Intelligence Efforts will be made to ensure that there is a fairly balanced membership in Agency Science and Technology AGENCY: Department of Education. Advisory Board (DIA/STAB) has been terms of the functions to be performed and the interest groups represented. SUMMARY: The Leader, Regulatory renewed in consonance with the public Information Management Group, Office FOR FURTHER INFORMATION CONTACT: interest, and in accordance with the of the Chief Information Officer invites Please contact Mr. Bill Daitch, Defense provisions of Public Law 92–463, the comments on the submission for OMB Threat Reduction Agency, telephone: ‘‘Federal Advisory Committee Act.’’ review as required by the Paperwork 703–325–0581. The DIA/STAB provides scientific Reduction Act of 1995. and technical expertise and advice to Patricia L. Toppings, DATES: Interested persons are invited to the Secretary of Defense and the Alternate OSD Federal Register Liaison submit comments on or before October Director Defense Intelligence Agency on Officer, Department of Defense. 23, 2000. current and long-term operational and [FR Doc. 00–24331 Filed 9–21–00; 8:45 am] ADDRESSES: Written comments should intelligence matters conferring Defense BILLING CODE 5001±10±M be addressed to the Office of Intelligence Agency’s mission. Information and Regulatory Affairs, The Committee will continue to be Attention: Lauren Wittenberg, Acting DEPARTMENT OF DEFENSE composed of 30 to 36 members from Desk Officer, Department of Education, government agencies, and senior Office of the Secretary Office of Management and Budget, 725 officials from large and small 17th Street, NW., Room 10235, New corporations, private consultants, and Meeting of the Advisory Council on Executive Office Building, Washington, the academic community. Efforts will be Dependents' Education DC 20503 or should be electronically made to ensure that there is a fairly mailed to the internet address balanced membership in terms of the AGENCY: Department of Defense [email protected]. functions to be performed and the Education Activity (DoDEA). SUPPLEMENTARY INFORMATION: Section interest groups represented. ACTION: Notice of meeting. 3506 of the Paperwork Reduction Act of FOR FURTHER INFORMATION CONTACT: SUMMARY: Pursuant to Public Law 92– 1995 (44 U.S.C. Chapter 35) requires Please contact Victoria Prescott, Defense 463, notice is hereby given that a that the Office of Management and Intelligence Agency, telephone: 202– meeting of the Advisory Council on Budget (OMB) provide interested 231–4930. Dependents’ Education (ACDE) is Federal agencies and the public an early

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00013 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57322 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices opportunity to comment on information be directed to Sheila Carey at (202) 708– applicants for participation in the collection requests. OMB may amend or 6287 or via her internet address Distance Education Demonstration waive the requirement for public [email protected]. Individuals who Program. Further information consultation to the extent that public use a telecommunications device for the concerning these meetings may be participation in the approval process deaf (TDD) may call the Federal found at the end of this Notice and at would defeat the purpose of the Information Relay Service (FIRS) at 1– the Distance Education Demonstration information collection, violate State or 800–877–8339. Program web site: Federal law, or substantially interfere [FR Doc. 00–24392 Filed 9–21–00; 8:45 am] http://www.ed.gov/offices/OPE/PPI/DistEd/ with any agency’s ability to perform its BILLING CODE 4000±01±P statutory obligations. The Leader, DATES: Applications must be Regulatory Information Management postmarked or submitted electronically on or before February 16, 2001. Group, Office of the Chief Information DEPARTMENT OF EDUCATION Officer, publishes that notice containing ADDRESSES: Applications submitted proposed information collection Federal Student Financial Assistance electronically. Institutions must submit requests prior to submission of these Programs; Distance Education applications by e-mail by 5:00 p.m. requests to OMB. Each proposed Demonstration Program Eastern time on February 16, 2001 to the information collection, grouped by following address: office, contains the following: (1) Type AGENCY: Department of Education. [email protected] of review requested, e.g. new, revision, ACTION: Notice inviting applications for Applications submitted by mail: Hard extension, existing or reinstatement; (2) participation in the Distance Education copy applications must be sent to Title; (3) Summary of the collection; (4) Demonstration Program and notice of Marianne R. Phelps, U.S. Department of Description of the need for, and regional meetings to provide technical Education, 1990 K Street NW., Room proposed use of, the information; (5) assistance to parties interested in 7112, Washington, DC 20006. Respondents and frequency of participating in the Distance Education An institution must show proof of collection; and (6) Reporting and/or Demonstration Program. mailing these documents by February Recordkeeping burden. OMB invites 16, 2001. Proof of mailing consists of SUMMARY: The Secretary of Education public comment. one of the following: (1) A legible mail invites institutions of higher education receipt with the date of mailing stamped Dated: September 19, 2000. (institutions), systems of institutions, by the U.S. Postal Service, (2) a legibly John Tressler, and consortia of institutions to submit dated U.S. Postal Service postmark, (3) Leader, Regulatory Information Management, applications to participate in the a dated shipping label, invoice, or Office of the Chief Information Officer. Distance Education Demonstration receipt from a commercial carrier, or (4) Program authorized under section 486 Office of Vocational and Adult any other proof of mailing acceptable to of title IV of the Higher Education Act Education the U.S. Secretary of Education. of 1965, as amended (HEA). Under the If these documents are sent through Type of Review: New. Distance Education Demonstration the U.S. Postal Service, the Secretary Title: Indian Vocational Education Program, selected institutions providing does not accept either of the following Program Technology Survey. distance education programs may as proof of mailing: (1) A private Frequency: Annually. receive waivers of specific statutory and metered postmark, or (2) a mail receipt Affected Public: State, Local, or Tribal regulatory provisions governing the that is not dated by the U.S. Postal Gov’t, SEAs or LEAs. student financial assistance programs Service. Institutions should note that Reporting and Recordkeeping Hour authorized under Title IV of the HEA. the U.S. Postal Service does not Burden: Instructions for Submitting an uniformly provide a dated postmark. Responses: 38 Application: Elements to be included in Before relying on this method, an Burden Hours: 95 an application are described in this institution should check with its local Abstract: This collection will assess notice. There is no application form per post office. You are encouraged to use the technology and technical assistance se for the program. Applications should certified or at least first-class mail. needs of current Indian Vocational be submitted by electronic mail or in Applications delivered by hand. Education Program grantees. Program hard copy to the addresses below. Hand-delivered applications must be staff will use the results of this Applicants are urged to submit taken to Marianne R. Phelps, U.S. collection to promote greater and more applications only by electronic mail, to Department of Education, 1990 K Street effective use of technology by vocational the e-mail address below. Applications NW., Room 7112, Washington, DC and technical education programs that should clearly designate a contact 20006. serve Native Americans. person, and the telephone number and Applications that are hand-delivered Requests for copies of the proposed the e-mail and street address of the will be accepted between 9:00 a.m. and information collection request may be contact person. 5:00 p.m. daily (Eastern time), except accessed from http://edicsweb.ed.gov, or Applications submitted by electronic Saturdays, Sundays, and Federal should be addressed to Vivian Reese, mail should be submitted in Microsoft holidays. Applications must be received Department of Education, 400 Maryland Word version 7 or lower or WordPerfect by 5:00 p.m. on February 16, 2001. Avenue, SW, Room 4050, Regional version 7, 8, or 9. FOR FURTHER INFORMATION CONTACT: Office Building 3, Washington, DC To facilitate the application process, Marianne R. Phelps at (202) 502–7713 or 20202–4651. Requests may also be the Secretary of Education will conduct at [email protected] by e-mail. electronically mailed to the internet regional meetings in the District of _ _ Information concerning the program can address OCIO IMG [email protected] or Columbia (October 18, 2000); also be found on the Distance Education faxed to 202–708–9346. Please specify Albuquerque, New Mexico (November Demonstration Program web site: the complete title of the information 1, 2000); Chicago, Illinois (November 9, collection when making your request. 2000) and Seattle, Washington http://www.ed.gov/offices/OPE/PPI/DistEd/ Comments regarding burden and/or the (November 29, 2000) to provide advice Individuals who use a collection activity requirements should and technical assistance to potential telecommunications device for the deaf

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57323

(TDD) may call the Federal Information Currently, some statutory provisions (3) Help determine the— Relay Service (FIRS) at 1–800–877– defining institutional eligibility for the (A) Most effective means of delivering 8339. Title IV, HEA programs may limit the quality education via distance education Individuals with disabilities may circumstances in which Title IV, HEA course offerings; obtain this document in an alternate program funds can be provided to (B) Specific statutory and regulatory format (e.g., Braille, large print, students enrolled in distance education. requirements which should be altered to audiotape, or computer diskette) on For example, institutions that offer more provide greater access to high quality request to the contact person listed in than 50 percent of their courses via distance education programs; and the preceding paragraph. distance education or enroll more than (C) Appropriate level of Federal SUPPLEMENTARY INFORMATION: 50 percent of their students in distance assistance for students enrolled in education programs (hereafter referred distance education programs. Background and Purpose of the to as ‘‘the 50 percent rules’’) are not Under the Distance Demonstration Distance Education Demonstration eligible to participate in the Title IV, Program, participants may offer Title IV, Program HEA programs. HEA program funds to students enrolled Over the past few years, there has Other statutory provisions, such as in educational programs utilizing been rapid growth in the number of those dealing with the length of an distance education delivery methods for institutions providing courses and academic year and the minimum length all or a portion of their classes without degree programs in various modes of of an eligible vocational program, are being subject to certain statutory and ‘‘distance education.’’ For purposes of based on the patterns and structure of regulatory provisions, which the the Distance Education Demonstration ‘‘traditional’’ on-campus education. As Secretary may waive, upon their Program and this notice, ‘‘distance such, they can be burdensome and request. The purpose of these waivers is education’’ is defined as an educational difficult to apply to distance education to test new ways of administering the process that is characterized by the programs. They may also limit Federal student assistance programs and separation, in time or place, between institutions from structuring programs to consider how the law and regulations instructor and student. This process that may best meet the needs of distance might be altered to allow for expansion may include courses offered principally education students, institutions, and of aid to distance students and still through the use of television, audio, or systems and consortia of such ensure program integrity. computer transmission, such as open institutions. Similar problems may arise The legislation creating the program broadcast, closed circuit, cable, with regard to regulatory provisions authorized the Secretary to select, from microwave, or satellite transmission; implementing part G of Title IV of the among eligible applicants, up to a total audio or computer conferencing; video HEA. of 15 institutions, systems of cassettes or discs; or correspondence. Many of these requirements were put institutions, or consortia of institutions This growth in distance education has in place to address abuses in the Title to begin participation in the first year of occurred in response to increasing IV, HEA programs and until recently did the program. (For these purposes, a demand from students who are not have much effect on institutions system of institutions could be a group restricted in their ability to enroll in offering distance education programs or of institutions with a common more traditional programs, including courses or their students’ eligibility for governing board. An example would be working adults, parents, people who aid. However, at this point in the a community college system or a group live in rural communities, and students evolution of distance education of private institutions owned by the with disabilities. Another reason for this programs, changes to student aid same corporation. A consortium of growth is the potential for cost control. requirements may be necessary to allow institutions could be two or more Distance education is attractive to students to take full advantage of the institutions that have agreed to institutions that seek to avoid large opportunities distance education collaborate on a common effort such as investments in new facilities to meet provides and to make it possible for sharing distance education courses or a student demand and to students who institutions to fully utilize the potential two-year and four-year institution can complete their educational technology now offers to enhance cooperating to offer a bachelor’s degree programs more economically using distance education courses and completion program.) The 15 distance education for all or part of their programs. On the other hand, participants for the first year of the studies. Additionally, through consortia restructuring aid to fit these new program were selected in May of 1999 and other agreements among patterns presents some risks as well as and began participation on July 1, 1999. institutions that provide distance opportunities, and care in designing The Secretary is authorized to select, education, many students are able to alternatives to the current student aid from among eligible applicants, up to a take advantage of a richer selection of requirements is necessary to assure total of 35 additional institutions, course offerings tailored to their continued integrity in the Title IV, HEA systems of institutions, or consortia of individual needs than are available at programs. institutions to begin participation in the the institutions where they are enrolled. In response to these dual concerns, in third year of the program, which will Distance education has been available 1998 Congress enacted the Distance commence on July 1, 2001. The to postsecondary education students for Education Demonstration Program. As Secretary anticipates that these many years. More recently, described in section 486(a) of the HEA, additional institutions, systems or advancements in technology have the purpose of the program is to— consortia selected will continue to provided additional instructional (1) Allow demonstration programs participate for three years. Participation, opportunities through the use of two that are strictly monitored by the of course, will be conditioned upon way video and the Internet to delivery Department of Education to test the their meeting the requirements of the instruction. The richness of the quality and viability of expanded Distance Education Demonstration available technology has made the distance education programs currently Program and continued participation in delivery of high quality distance restricted under this Act; Title IV, HEA programs. Institutions education possible and desirable for (2) Provide for increased student desiring to withdraw from the Distance many more postsecondary education access to higher education through Education Demonstration Program may programs and students. distance education programs; and do so without jeopardy to their

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57324 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices participation in Title IV HEA programs. is accomplished principally through the institution’s courses are offered by Also, the scope of the participation, close monitoring of participants’ correspondence or telecommunication. such as the specific distance education administration of Title IV, HEA • The required minimum number of programs included and waivers programs. weeks of instruction contained in provided, may be modified as agreed section 481(a). This section provides Eligible Applicants upon by the Secretary and the that an academic year must require at participant, to allow for changes in the The following institutions are eligible least 30 weeks of instructional time. programs offered, the modes of delivery to apply to participate in the Distance • The required minimum number of used, the size of participants’ distance Education Demonstration Program: weeks of instruction contained in programs, or other changes desired by (1) Institutions located in the United section 481(b). This section provides the Secretary or the participant as States that participate in the Title IV, that an eligible vocational program must experience is gained in the program. HEA programs; and be provided during a minimum of 15 The Department administers this (2) Institutions located in the United weeks, or in limited circumstances, 10 program through an implementation States that provide a two-year program weeks. team consisting of staff from various that leads to an associate degree or a Regulatory Provisions offices within the Department. The four-year program that leads to a Department recognizes the importance baccalaureate or higher degree and In addition to the aforementioned of identifying and addressing any would be eligible to participate in the statutory provisions, the Secretary may problems that arise during the course of Title IV, HEA programs but for the fact waive the regulatory provisions the demonstrations. It facilitates that they do not meet one or both of the implementing part G of the HEA which communication among participants and 50 percent rules. inhibit the operation of quality distance education programs. Part G consists of works with institutions to provide In addition, systems and consortia of sections 481 through 493B of the HEA. technical assistance throughout the these institutions are eligible to These sections contain numerous demonstrations, beginning with the participate in the program. application process. Departmental staff provisions dealing with the Title IV, with responsibility for monitoring Statutory and Regulatory Provisions HEA programs. In general, the compliance with Title IV program That May Be Waived regulations implementing these requirements are represented on the The Secretary may waive statutory provisions are contained in 34 CFR part implementation team and monitor and regulatory provisions. To obtain a 668. (Under the Distance Education compliance with the requirements of the waiver, an institution must request the Demonstration Program, the Secretary is Distance Education Demonstration waiver in its application to participate authorized to waive any regulations Program. in the program and must provide governing part F of Title IV, which deals The Department also works closely with need analysis and costs of with accrediting agencies and States to reasons for the waiver. Where possible, the applicant should suggest an attendance. However, the Secretary is determine how their respective roles not authorized to issue regulations contribute to assuring quality and alternative that is designed to meet the same objectives as those achieved by the implementing part F; therefore, there are integrity. Accrediting agencies play an no regulations to waive.) important role in monitoring the waived statutory or regulatory demonstration programs, consistent provision. For example, if an applicant Application Requirements with their responsibilities. Where State seeks to waive the requirement that Each application to participate in this requirements are relevant to distance students must achieve satisfactory program shall include— education programs, the Department academic progress as defined in the 1. The name, address, and Web site works with States to determine how regulations, the applicant should address, if any, of the institution, their monitoring role assists in insuring suggest an alternative means to ensure system, or members of the consortium program integrity. that Federal student aid funds are seeking to participate, and the name, The participants must agree to provided only to students who are title, mailing and e-mail addresses, and provide data and information that will making progress towards a degree or telephone number of a contact person assist the Secretary in evaluating the certificate. An applicant need not for the institution, system, or Distance Education Demonstration include an alternative approach with consortium; Program and in reporting to Congress as regard to a request to waive one or both 2. A description of the distance required by the statute. The data and of the 50 percent rules. education programs offered or to be information provided by participants Statutory Provisions offered for which the institution is will assist the Secretary in determining seeking a waiver or waivers. An whether statutory and regulatory The Secretary may waive the institution may request a waiver or changes might be needed to support the following HEA statutory provisions: waivers for one, several, or all of its • growth of quality distance education Section 102(a)(3)(A). This section distance education courses or programs. courses and programs and the makes an otherwise eligible institution The description should include the appropriate level of Federal assistance ineligible if more than 50 percent of its types of programs, degrees or certificates for students enrolled in distance courses are offered by correspondence offered, program goals, and the methods education programs, two of the and telecommunication. used or proposed to be used to deliver purposes of the program that are • Section 102(a)(3)(B). This section distance education; specified in the statute. A copy of the makes an otherwise eligible institution 3. A description of the applicant’s form containing the data collection ineligible if 50 percent or more of its consultation with a recognized requirements can be found on the students are enrolled in correspondence accrediting agency or agencies with program Web site. or telecommunications courses. respect to quality assurances for the The program is also designed to • Section 484(l)(1). This section distance education programs to be examine ways to assure the integrity of defines a telecommunications student at offered; Title IV, HEA programs in the context an institution as a correspondence 4. A description of the types of of distance education. This examination student if 50 percent or more of the students that the distance education

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57325 programs are intended to serve, (e.g., As part of the selection process, the 1. Applicants should consider adult learners, rural populations, Department of Education will screen the describing the ways that they think their individuals with disabilities); applications to ensure that applicants proposals will assist the Department in 5. The Title IV, HEA programs under are eligible. Then, outside reviewers determining new ways of administering which distance education students will will recommend the best applications Federal student assistance programs that receive funds; given the statutory criteria. The better meet the needs of distance 6. The specific statutory and Secretary will make final selections, students. regulatory provisions to be waived, the based on the recommendations of the 2. It is important that the accrediting scope of each waiver, and the reason for outside reviewers and the criteria listed and State authorizing agencies of the each waiver. The applicant should in statute. institution, or institutions that comprise a consortium or system, are willing to propose an alternative to the provision Evaluations or explain why no alternative is collaborate with the Department to necessary; The HEA requires the Secretary to determine how their complementary 7. An assurance that the institution, submit reports to Congress evaluating roles can best be structured to assure system, or a consortium will fully the Distance Education Demonstration quality and integrity in institutions’ cooperate with the ongoing evaluations Program annually and eighteen months distance education programs. To this of the program; and after the initiation of the program. As end, applicants for the program should 8. A statement of the goals of the specified in the Act, the evaluations are provide documentation that their institution, system, or consortium for to include the following: accrediting agencies and States are participation along with the method the 1. The extent to which the institution, willing to work with the Department to institution will use to evaluate system or consortium has met the goals examine the respective roles of the achievement of the goals. set forth in its application to the agencies as they relate to institutions’ In addition to the information Secretary, including the measures of distance education programs. In that described above, systems and consortia program quality assurance. documentation, accrediting agencies should certify that the individual must provide the following additional 2. The number and types of students distance programs that the institution information— participating in the programs offered, includes in its application are within 1. A description of the system or including the progress of participating the scope of the institution’s consortium and the relationship among students toward recognized certificates accreditation, and that the agency will the members of the system or or degrees and the extent to which review the program at an appropriate consortium, a copy of any agreement participation in such programs time. Consortiums and systems should governing the relationship of increased. also provide evidence that the agency or 3. Issues related to student financial institutions that are members of the agencies which accredit the schools assistance for distance education. system or consortium, and a list of the comprising the consortium or system institutions which are members; 4. Effective technologies for delivering are willing to work with the Department 2. A description of the manner in distance education course offerings. in evaluating issues relating to the which the distance education programs 5. The extent to which statutory or quality of distance education offered by are or will be conducted among the regulatory requirements not waived the institutions as a result of their system and consortium members under the program present difficulties membership in the consortium or particularly as that manner is related to for students or institutions. system. the waiver request; and To assist the Secretary in conducting 3. While the Department will evaluate 3. The manner in which Title IV, HEA such evaluations, participants in the applications using the statutory criteria, program funds will be administered for distance education demonstration to the extent possible, the Department the students in the distance education programs will be required to provide will view those criteria in the context of programs. (This would include such information to the Secretary, such as: the delivery of student aid to distance matters as the disbursement procedures course level detail regarding their students and any changes that are that would be followed, the definition of offerings, the degrees or certificates needed to facilitate that process. an academic year that would be used, awarded for successful completion, data Because the delivery of student aid is so how attendance would be monitored, on persistence and completion, data critical to improving access to distance and the satisfactory academic progress regarding student demographics, education, a good application would rules that would be followed.) information regarding tuition and fees fully describe the applicant’s ability to charged by the participant, program Selection of Participants fully execute its plans and specify design and use of technology, waivers requested and substitutions and In selecting applicants to participate information regarding the educational address fully the need for the waivers in the program, the Secretary will take environment and student support, and and substitutions. into account the— student satisfaction surveys. 4. Applicants should consider 1. Number and quality of applications establishing both quantitative and Guidance received; qualitative objectives for their 2. Department of Education’s capacity The guidance provided below is participation and include in the to oversee and monitor the applicant’s intended to assist applicants in application a description of how they participation; determining what information they may intend to measure goal attainment, 3. Applicant’s financial responsibility, wish to include in their applications. including measures of program quality. administrative capability, and the This guidance is non-binding and does The Department notes that quantitative program or programs being offered via not constitute criteria for selection. measures are essential for distance education; and Applications which do not include the understanding goal attainment. 4. Necessity of including a diverse information suggested in the guidance 5. A major concern of the Department group of participating institutions vis-a- will be considered on the same basis as is to insure that Federal funds in the vis size, mission, and geographic applications which include all or part of Distance Education Demonstration distribution. that information. Program are used appropriately. A good

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00017 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57326 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices application will address how the disabilities. The Department will documents published in the Federal applicant plans to document student provide a sign language interpreter at Register, in text or Adobe Portable eligibility, including documentation of each of the scheduled hearings. An Document Format (PDF) on the Internet attendance. individual with a disability who will at either of the following sites: 6. Another major concern of the need an auxiliary aid or service other http://ocfo.ed.gov/fedreg.htm Department is that an applicant be than an interpreter to participate in the http://www.ed.gov/news.html committed as an institution to the meeting (e.g., assistive listening device, To use the PDF version you must have success of its proposed activities. One or materials in an alternative format) Adobe Acrobat Reader, which is way for an institution to demonstrate its should notify the contact person listed available free at either of the previous commitment would be for the in this notice at least two weeks before sites. If you have questions about using institution to include with its the scheduled meeting date. Although the PDF version, call the U.S. application a letter from its chief the Department will attempt to meet a Government Printing Office (GPO), toll executive officer (or comparable official) request received after that date, the free at 1–888–293–6498 or in the expressing support for the application requested auxiliary aid or service may Washington, DC area at (202) 512–1530. and acknowledgement of the not be available because of insufficient responsibilities that the institution time to arrange it. Note: The official version of this document is the document published in the Federal would assume if it were approved. Register. Free internet access to the official Correspondingly, in the case of a Dates, Times, and Locations of Regional Meetings edition of the Federal Register and the code consortium applicant, the submission of of Federal Regulations is available on GPO such a letter from the chief executive 1. October 18, 2000, 9 a.m. to 1 p.m., Access at: http://www.access.gpo.gov/nara/ officer (or comparable official) of each of Office of Postsecondary Education index.html the participating institutions would Conference Center, 1990 K Street, NW., Program Authority: 20 U.S.C. 1093. demonstrate such commitment. 8th floor, Washington, DC 20006. Rooms available for October 17 at Embassy A. Lee Fritschler, Regional Meetings Square, 2000 N Street, NW., Assistant Secretary for Postsecondary Interested parties are invited to attend Washington, DC, 20036. Call (202) 659– Education. one of four regional meetings where 9000 for reservations. Sleeping room [FR Doc. 00–24341 Filed 9–21–00; 8:45 am] information, advice, and technical rate $118.00 plus taxes. Reservations BILLING CODE 4000±01±P assistance will be provided about must be made by October 1. Identify applying to participate in the Distance yourself as a participant in the Education Demonstration Program and Department of Education regional DEPARTMENT OF EDUCATION providing Federal financial aid to meeting. students enrolled in distance education 2. November 1, 2000, 9 a.m. to 1 p.m., [CFDA No. 84.305T] programs. The regional meetings will Albuquerque, New Mexico prior to the Office of Educational Research and begin with a brief description of annual meeting of the Western Improvement (OERI); Field-Initiated eligibility requirements for the Distance Cooperative for Educational Studies (FIS) Education Research Education Demonstration Program and Telecommunications. Hyatt Regency Grant Program; Notice of Application the application and selection processes Hotel, 330 Tijeras NW, Albuquerque, Review Procedures for New Awards for for this program. Individuals will then NM 87102, 800–233–1234 or reserve Fiscal Year (FY) 2001 be provided an opportunity to ask online: http://www.hyatt.com/albuq/g- questions regarding the application wich/index.html Reference Western SUMMARY: On July 14, 2000 we process and other matters relating to the Cooperative for Educational published in the Federal Register (64 Distance Education Demonstration Telecommunications in making FR 43957) a notice inviting applications Program. Department of Education staff reservation. Sleeping room rates, single for new awards for FY 2001 for the FIS with expertise on various issues relating $118 plus taxes; double $128 plus taxes. Education Research Grant Program. The to the Distance Education Reservations must be made by procedures governing the review of Demonstration Program will be September 30. applications are contained in 34 CFR available to answer these questions. 3. November 9, 2000, 9 a.m. to 1 p.m., part 700. This notice explains Questions regarding eligibility and Chicago, Illinois, Congress Plaza Hotel, modifications to those procedures that administration of Title IV, HEA student 520 S. Michigan Avenue, Chicago, IL OERI will use to review applications for financial assistance programs may be 60605, 800–635–1666, (312) 427–3800. this competition. relevant to institutions’ interest in Sleeping room rate, $130 plus taxes. Application Review Procedure applying for the Distance Education Reservations must be made by October Demonstration Program. Accordingly, 8, 2000. Identify yourself as a OERI will use a one-tier review during the course of the meeting, participant in the Department of process for the FIS program competition Department staff will also address Education regional meeting. for FY 2001. Applications will be questions that relate generally to the 4. November 29, 2000, 9 a.m. to 1 assigned to review panels where the administration of aid in distance p.m., Seattle, Washington, Claremont expertise of the panel matches the topic education programs. Hotel, 2000 Fourth Avenue, Seattle, WA of the application. Within each panel, For each of the meetings the 98121, 877–448–8601, (206) 448–8600. each application will be reviewed by at Department of Education has reserved a Sleeping room rate $104 plus taxes. least three reviewers. Three selection limited number of hotel rooms at a Reservations must be made by criteria were included in the application special per diem room rate. To reserve November 13. Identify yourself as a package—National Significance, Quality these rates (see the exception for the participant in the Department of of the Project Design, and Quality and November meeting) be certain to inform Education regional meeting. Potential Contributions of Personnel. the hotel that you are attending the Reviewers will weigh the three selection regional meetings with the Department Electronic Access to This Document criteria equally to rate each application of Education. The meeting sites are You may view this document, as well as either— accessible to individuals with as all other Department of Education (1) Exceptionally high quality,

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57327

(2) High quality, listed under FOR FURTHER INFORMATION recommendations to DOE and its (3) Moderate quality, or CONTACT. regulators in the areas of environmental (4) Low quality. restoration, waste management, and Electronic Access to This Document To construct the funding slate, an related activities. average numerical score will be You may view this document, as well Tentative Agenda: determined for each application through as all other Department of Education 1. Stewardship. the following procedure. For each documents published in the Federal 2. Groundwater. application, a numerical value of 3 will Register, in text or Adobe Portable Copies of the final agenda will be be assigned for each rating of Document Format (PDF) on the Internet available at the meeting. exceptionally high quality that the at either of the following sites: Public Participation: The meeting is open to the public. Written statements application receives, a numerical value http://ocfo.ed.gov/fedreg.htm may be filed with the Committee either of 2 will be assigned for each rating of http://www.ed.gov/news.html before or after the meeting. Individuals high quality that the application To use PDF you must have Adobe receives, a numerical value of 1 will be who wish to make oral statements Acrobat Reader, which is available free pertaining to agenda items should assigned for each rating of moderate at either of the previous sites. If you quality that the application receives, contact Kevin Rohrer, at the telephone have questions about using PDF, call the number listed above. Requests must be and a numerical value of 0 will be U.S. Government Printing Office (GPO), assigned for each rating of low quality received 5 days prior to the meeting and toll free, at 1–888–293–6498; or in the reasonable provision will be made to that the application receives. Then, for Washington, DC area at (202) 512–1530. each application, the total of the include the presentation in the agenda. Note: The official version of this document The Deputy Designated Federal Officer numeric scores the application receives is the document published in the Federal will be divided by the number of is empowered to conduct the meeting in Register. Free Internet access to the official a fashion that will facilitate the orderly reviewers who rated that application to edition of the Federal Register and the Code conduct of business. This notice is being determine the average score for that of Federal Regulations is available on GPO application. Access at: http://www.access.gpo.gov/nara/ published less than 15 days before the date of the meeting due to programmatic For this competition, potential index.html issues that needed to be resolved. applicants were invited to submit letters Program Authority: 20 U.S.C. Minutes: The minutes of this meeting of intent. In the letter of intent, 6031(c)(2)(B). will be available for public review and applicants identified the panel they copying at the Freedom of Information thought was best suited to review their Dated: September 19, 2000. Public Reading Room, 1E–190, Forrestal application. Applicants are hereby C. Kent McGuire, Building, 1000 Independence Avenue, notified that the data in the letters of Assistant Secretary for Educational Research SW, Washington, DC 20585 between intent were collected for administrative and Improvement. 9:00 a.m. and 4 p.m., Monday–Friday, purposes only. OERI reserves the right [FR Doc. 00–24391 Filed 9–21–00; 8:45 am] except Federal holidays. Minutes will to assign any application to any panel BILLING CODE 4000±01±P also be available by writing to Kevin where the agency believes the reviewers Rohrer at the address listed above. are best qualified to review that application. DEPARTMENT OF ENERGY Issued at Washington, DC on September 19, 2000. Waiver of Proposed Rulemaking Environmental Management Site- Rachel M. Samuel, In accordance with the Specific Advisory Board, Nevada Deputy Advisory Committee Management Administrative Procedure Act (5 U.S.C. Officer. AGENCY: Department of Energy. 553), it is the practice of the Secretary [FR Doc. 00–24398 Filed 9–21–00; 8:45 am] ACTION to offer interested parties the : Notice of open meeting. BILLING CODE 6450±01±P opportunity to comment on proposed SUMMARY: This notice announces a regulations. However, because this meeting of the Environmental DEPARTMENT OF ENERGY notice merely establishes procedural Management Site-Specific Advisory requirements for review of applications Board (EM SSAB), Nevada Test Site. Environmental Management Site- and does not create substantive policy, The Federal Advisory Committee Act Specific Advisory Board, Oak Ridge proposed rulemaking is not required (Pub. L. No. 92–463, 86 Stat. 770) Reservation under 5 U.S.C. 553(b)(A). requires that public notice of these FOR FURTHER INFORMATION CONTACT: meetings be announced in the Federal AGENCY: Department of Energy. Elizabeth Payer, Office of Educational Register. ACTION: Notice of open meeting. Research and Improvement, U.S. DATES: Wednesday, October 4, 2000, SUMMARY: This notice announces a Department of Education, 555 New 6:30 p.m.–9:00 p.m. Jersey Avenue, NW., room 502e, meeting of the Environmental Washington, DC 20208–5645. ADDRESSES: Conference Center, 1750 Management Site-Specific Advisory Telephone: (202) 219–1310 or via South Pahrump Valley Blvd., Pahrump, Board (EM SSAB) Oak Ridge. The Internet: [email protected]. Nevada. Federal Advisory Committee Act (Pub. If you use a telecommunications FOR FURTHER INFORMATION CONTACT: L. No. 92–463, 86 Stat. 770) requires device for the deaf (TDD), you may call Kevin Rohrer, U.S. Department of that public notice of these meetings be the Federal Information Relay Service Energy, Office of Environmental announced in the Federal Register. (FIRS) at 1–800–877–8339. Management, P.O. Box 98518, Las DATES: Wednesday, October 11, 2000, 6 Individuals with disabilities may Vegas, Nevada 89193–8513, phone: p.m.–9:30 p.m. obtain this document in an alternative 702–295–0197, fax: 702–295–5300. ADDRESSES: Garden Plaza Hotel, 215 S. format (e.g., Braille, large print, SUPPLEMENTARY INFORMATION: Illinois Avenue, Oak Ridge, TN. audiotape, or computer diskette) on Purpose of the Board: The purpose of FOR FURTHER INFORMATION CONTACT: request to the program contact person the Advisory Board is to make Dave Adler, Federal Coordinator,

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57328 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Department of Energy Oak Ridge DEPARTMENT OF ENERGY to the complaint shall also be due on or Operations Office, P.O. Box 2001, EM– before September 25, 2000. Federal Energy Regulatory 90, Oak Ridge, TN 37831. Phone (865) David P. Boergers, 576–4094; Fax (865) 576–9121 or e-mail: Commission Secretary. [email protected]. [Docket No. EL00±111±000] [FR Doc. 00–24394 Filed 9–21–00; 8:45 am] SUPPLEMENTARY INFORMATION: BILLING CODE 6717±01±M Cities of Anaheim, Azusa, Banning, Purpose of the Board: The purpose of Colton, and Riverside, California v. the Board is to make recommendations California Independent System DEPARTMENT OF ENERGY to DOE and its regulators in the areas of Operator Corporation; Notice of Filing environmental restoration, waste Federal Energy Regulatory management, and related activities. September 18, 2000. Commission Tentative Agenda: Take notice that on September 15, 2000, the Cities of Anaheim, Azusa, [Docket No. CP00±458±000] 1. Presentation on the Oak Ridge Banning, Colton, and Riverside, Environmental Management Waste El Paso Natural Gas Company; Notice California (Southern Cities), tendered of Application Disposal Facility by Mr. Bill Cahill, for filing a Complaint against the Department of Energy-Oak Ridge California Independent System Operator September 18, 2000. Operations. Corporation (ISO). The Southern Cities’ Take notice that on September 12, Public Participation: The meeting is Complaint asserts: (1) That the ISO’s 2000, El Paso Natural Gas Company (El open to the public. Written statements currently effective mechanism for Paso), whose mailing address is Post may be filed with the Committee either recovering costs it incurs for Out-of- Office Box 1492, El Paso, Texas, 79978, before or after the meeting. Individuals Market (OOM) dispatch calls is unjust filed an application at Docket No. CP00– who wish to make oral statements and unreasonable in violation of the 458–000, pursuant to Section 7(b) of the pertaining to agenda items should Federal Power Act, and (2) that the ISO Natural Gas Act (NGA), for permission contact Dave Adler at the address or has violated its Tariff by charging for and approval to abandon by transfer to telephone number listed above. Neutrality Adjustment Charges in excess its affiliate, El Paso Field Services Requests must be received 5 days prior of the limit on such charges in effect Company, certain compression facilities to the meeting and reasonable provision from June 1, 2000 through September in San Juan County, New Mexico, all as 15, 2000. The Southern Cities urges the will be made to include the presentation more fully set forth in the application Commission: (1) To issue an order in the agenda. The Deputy Designated which is on file with the Commission requiring the ISO to change § 11.2.4.2.1 and open to public inspection. This Federal Officer empowered to conduct of the ISO Tariff to provide that OOM filing may be viewed on the web at the meeting in a fashion that will costs incurred by the ISO to meet http://www.ferc.us/online/rims.htm (call facilitate the orderly conduct of underscheduled loads will be recovered 202–208–2222). business. Each individual wishing to from the Scheduling Coordinators that El Paso states that on August 18, 1999, make public comment will be provided have underscheduled, and (2) to issue Williams Field Services Group, Inc. a maximum of 5 minutes to present an order requiring the ISO to abide by (Williams) filed a complaint in Docket their comments at the end of the the cap on Neutrality Adjustment No. RP99–471–000 alleging that meeting. Charges in § 11.2.9.1 of the ISO Tariff, compression facilities at El Paso’s Minutes: Minutes of this meeting will which became effective on June 1, 2000, Blanco Compressor Station in San Juan be available for public review and and to refund Neutrality Adjustment County, New Mexico were providing a copying at the Department of Energy’s Charges in excess of that cap collected nonjurisdictional gathering service and Information Resource Center at 105 for trading intervals subsequent to that were improperly classified as Broadway, Oak Ridge, TN between 7:30 date. transmission facilities. El Paso states a.m. and 5:30 p.m. Monday through Any person desiring to be heard or to that the Blanco Station includes three Friday, or by writing to Dave Adler, protest such filing should file a motion distinct sets of compressors: the ‘‘A’’, Department of Energy Oak Ridge to intervene or protest with the Federal ‘‘C’’, and ‘‘D’’ plants totaling Energy Regulatory Commission, 888 Operations Office, P.O. Box 2001, EM– approximately 91,010 horsepower. It is First Street, N.E., Washington, D.C. indicated that by order issued on 90, Oak Ridge, TN 37831, or by calling 20426, in accordance with Rules 211 November 10, 1999, the Commission him at (865) 576–4094. and 214 of the Commission’s Rules of found that the ‘‘A’’ plant was properly Issued at Washington, DC on September Practice and Procedure (18 CFR 385.211 functionalized as transmission, but that 19, 2000. and 285.214). All such motions and the ‘‘C’’ and ‘‘D’’ plants should be Rachel M. Samuel, protests should be filed on or before functionalized as gathering. El Paso Deputy Advisory Committee Management September 25, 2000. Protests will be states that the Commission denied all Officer. considered by the Commission to requests by order issued April 25, 2000, [FR Doc. 00–24399 Filed 9–21–00; 8:45 am] determine the appropriate action to be and counseled El Paso to file for an taken, but will not serve to make application to abandon the two plants. BILLING CODE 6450±01±P protestants parties to the proceedings. El Paso is filing this application in Any person wishing to become a party recognition of the Commission’s must file a motion to intervene. Copies suggestion in the April 25, 2000, order. of this filing are on file with the In support of why this abandonment is Commission and are available for public in the public convenience and inspection. This filing may also be necessity, El Paso states that the viewed on the Internet at http:// abandonment of the Blanco ‘‘C’’ and www.ferc.fed.us/online/rims.htm (call ‘‘D’’ plants by transfer to its affiliate will 202–208–2222 for assistance). Answers provide for a smooth, seamless

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57329 transition of services without any unnecessary for El Paso to appear or be online/rims.htm (call 202–208–2222 for interruption of service or rate stacking, represented at the hearing. assistance). Answers to the complaint shall also be due on or before September which would occur if the facilities were David P. Boerers, transferred to a third party. El Paso 25, 2000. Secretary. further asserts that the abandonment is [FR Doc. 00–24354 Filed 9–21–00; 8:45 am] David P. Boergers, consistent with the previously-approved Secretary. El Paso spin-down of facilities to Field BILLING CODE 6717±01±M [FR Doc. 00–24395 Filed 9–21–00; 8:45 am] Services. Also, El Paso indicates that it BILLING CODE 6717±01±M is its understanding that, upon transfer DEPARTMENT OF ENERGY of the two compressor units, Field Services will continue to deliver, at a Federal Energy Regulatory DEPARTMENT OF ENERGY new custody meter transfer point Commission Federal Energy Regulatory downstream of the ‘‘C’’ and ‘‘D’’ plant [Docket No. OR00±11±000] facilities, the same volumes of natural Commission gas at the required mainline pressures as EOTT Energy Operating Limited [Docket No. ER00±3637±000] before the abandonment. Partnership, Complainant v. Conoco Any questions regarding this Pipe Line Company, Respondent; Nicole Energy Marketing of Illinois, application should be directed to Mr. Notice of Filing Inc.; Notice of Filing A.W. Clark at (915) 496–2600. September 18, 2000. September 18, 2000. Any person desiring to be heard or to Take notice that on September 14, Take notice that on September 12, make protest with reference to said 2000, EOTT Energy Operating Limited 2000, Nicole Energy Marketing of application should on or before October Partnership (EOTT), tendered for filing Illinois, Inc. (NEMI), tendered for filing 10, 2000, file with the Federal Energy a complaint, pursuant to Rule 385.206 a petition for authorization to sell Regulatory Commission, 888 First of the Commission’s Rules of Practice electricity at market-based rates Street, N.E., Washington, D.C. 20426, a and Procedure and Section 13 of the pursuant to FERC Electric Tariff, motion to intervene or a protest in Interstate Commerce Act, against Original Sheet No. 1, under which accordance with the requirements of the Conoco Pipe Line Company (CPL) NEMI will engage in wholesale electric Commission’s Rules of Practice and requesting that the Commission order power and energy transactions as a Procedure (18 CFR 385.211 or 385.214) CPL to publish a fair and non- marketer. and the regulations under the Natural discriminatory proration policy in its The Commission has granted open- Gas Act (18 CFR 157.10). All protests FERC tariffs number 117 and 306. ended market rate authority to power filed with the Commission will be Because CPL’s continuing course of marketers when it has determined that considered by it in determining the action is adversely affecting EOTT’s the market and its affiliates do not have, appropriate action to be taken but will ability to use CPL’s common carrier or have adequately mitigated, market not serve to make the protestants parties services, EOTT requests fast track power in generation and transmission; cannot engage in anti-competitive to the proceeding. The Commission’s processing of its complaint by the Commission pursuant to Section practices through preferential affiliate rules require that protestors provide 385.206(h) of the Commission’s Rules of transactions or reciprocal dealing; and copies of their protests to the party or Practice and Procedure. cannot otherwise erect barriers to parties directly involved. Any person Copies of the filing were served via market entry by competing suppliers. wishing to become a party to a facsimile and courier to CPL. Questions NEMI requests waiver from proceeding or to participate as a party concerning this Complaint may be Commission Regulations, which have in any hearing therein must file a directed to Complainant’s General been granted to other power marketers. motion to intervene in accordance with Counsel, P.O. Box 4666, Houston, Texas NEMI also requests blanket approval the Commission’s rules. 77210–4666, Phone (713) 993–5671, Fax under Part 34 of the Commission’s Take further notice that, pursuant to (713) 402–2875. Regulations of future issuances the authority contained in and subject to Any person desiring to be heard or to regarding securities and assumptions of jurisdiction conferred upon the protest such filing should file a motion liabilities, subject to objection by an Commission by Sections 7 and 15 of the to intervene or protest with the Federal interested party. NGA and the Commission’s Rules of Energy Regulatory Commission, 888 NEMI requests that the rate schedule Practice and Procedure, a hearing will First Street, NE., Washington, DC 20426, be effective 60 days after filing, or the be held without further notice before the in accordance with Rules 211 and 214 date the Commission issues an order Commission or its designee on this of the Commission’s Rules of Practice accepting the rate schedule, whichever application if no motion to intervene is and Procedure (18 CFR 385.211 and occurs first. filed within the time required herein, if 385.214). All such motions and protests Any person desiring to be heard or to the Commission on its own review of should be filed on or before September protest such filing should file a motion the matter finds that a grant of the 25, 2000. Protests will be considered by to intervene or protest with the Federal the Commission to determine the Energy Regulatory Commission, 888 certificate is required by the public appropriate action to be taken, but will First Street, NE., Washington, DC 20426, convenience and necessity. If a motion not serve to make protestants parties to in accordance with Rules 211 and for leave to intervene is timely filed, or the proceedings. Any person wishing to 385.214). All such motions and protests if the Commission on its own motion become a party must file a motion to should be filed on or before October 3, believes that a formal hearing is intervene. Copies of this filing are on 2000. Protests will be considered by the required, further notice of such hearing file with the Commission and are Commission to determine the will be duly given. available for public inspection. This appropriate action to be taken, but will Under the procedure herein provided filing may also be viewed on the not serve to make protestants parties to for, unless otherwise advised, it will be Internet at http://www.ferc.fed.us/ the proceedings. Any person wishing to

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57330 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices become a party must file a motion to filing may also be viewed on the Marketing, Inc., and Unicom Energy, intervene. Copies of this filing are on Internet at http://www.ferc.fed.us/ Inc., tendered for filing a Supplement to file with the Commission and are online/rims.htm (call 202–208–2222 for the Application of Exelon Generation available for public inspection. This assistance). Company For Market-based Rate filing may also be viewed on the Authority and Application of Exelon David P. Boergers, Internet at http://www.ferc.fed.us/ Corporation Subsidiaries and Affiliates online/rims.htm (call 202–208–2222 for Secretary. for Other Forms of Relief under section assistance). [FR Doc. 00–24356 Filed 9–21–00; 8:45 am] 205 of the Federal Power Act. BILLING CODE 6717±01±M Comment date: October 4, 2000, in David P. Boergers, accordance with Standard Paragraph E Secretary. at the end of this notice. [FR Doc. 00–24355 Filed 9–21–00; 8:45 am] DEPARTMENT OF ENERGY 3. Sithe Energies, Inc. and the Sithe BILLING CODE 6717±01±M Federal Energy Regulatory Stockholders; Exelon (Fossil) Holdings, Commission Inc.; PECO Energy Company; Exelon Generation Company, L.L.C. DEPARTMENT OF ENERGY [Docket No. EC00±134±000, et al.] [Docket No. EC00–138–000] Federal Energy Regulatory Mesquite Investors, L.L.C., et al. Take notice that on September 13, Commission Electric Rate and Corporate Regulation 2000, Sithe Energies, Inc., and its [Docket No. ER00±3676±000] Filings stockholders, Exelon (Fossil) Holdings, Inc., PECO Energy Company and Exelon PG&E Energy Trading-Power, L.P.; September 15, 2000. Generation Company, L.L.C. (together, Notice of Filing Take notice that the following filings the Applicants) submitted for filing, have been made with the Commission: pursuant to section 203 of the Federal September 18, 2000. 1. Mesquite Investors, L.L.C.; Juniper Power Act (FPA), and part 33 of the Take notice tht on September 14, Generation, L.L.C.; Sandy Creek Power, Commission’s Regulations, an 2000, PG&E Energy Trading—Power, L.L.C.; SJC Cogen, L.L.C.; WCAC Cogen application seeking authorization from L.P. (PGET), tendered for filing pursuant California, L.L.C.; San Joaquin Cogen, the Commission to transfer an indirect to Section 205 of the Federal Power Act, L.L.C.; SJC/CNGE San Joaquin interest in certain facilities subject to 16 U.S.C. § 824d, an application seeking Investors, Ltd.; and San Joaquin Cogen the Commission’s jurisdiction under authorization for sale of electric energy Limited section 203 of the FPA from Sithe and ancillary services to Pacific Gas & Energies, Inc. and its stockholders, to Electric Company (PG&E), an affiliate of [Docket No. EC00–134–000] Exelon (Fossil) Holdings, Inc. These PGET. Take notice that on September 7, facilities are generator leads, generator PGET states that it currently effective 2000, pursuant to section 203 of the step-up transformers, market-based rate rate schedules do not provide for sales Federal Power Act, 16 U.S.C. 824b schedules and wholesale power sales to PG&E. The purpose of the instant (1998) and Part 33 of the Regulations of agreements now held by certain direct filing PGET states, is to enable PGET to the Federal Energy Regulatory and indirect subsidiaries of Sithe make sales of energy and ancillary Commission (Commission), 18 CFR 33 Energies, Inc. services to PG&E. In order to respond to et seq., Mesquite Investors, L.L.C. Comment date: October 12, 2000, in a request for offers issued by PG&E on Juniper Generation, L.L.C., San Joaquin accordance with Standard Paragraph E September 11, 2000, PGET asks for Cogen, L.L.C., SJC/CNGE San Joaquin at the end of this notice. Commission action on its filing by no Investors, Ltd., San Joaquin Cogen 4. North American Electric Reliability later than October 10, 2000, and Limited (collectively, Applicants) filed Council and North American Electric proposes an effective date as the date of an Application for Commission Reliability Council filing, but no later than October 10, approval for a proposed internal 2000. corporate reorganization. [Docket Nos. ER00–2077–000 ER00–2077– PGET states that it has served a copy Comment date: September 28, 2000, 001; ER00–1666–000] of its filing on the California Public in accordance with Standard Paragraph Take notice that on September 12, Utilities Commission. E at the end of this notice. 2000, the North American Electric Any person desiring to be heard or to Reliability Council (NERC) filed a protest such filing should file a motion 2. Exelon Generation Company, L.L.C.; motion for an extension of its Market to intervene or protest with the Federal PECO Energy Company; ReDispatch Pilot Program from Energy Regulatory Commission, 888 Commonwealth Edison Company; December 31, 2000 to December 31, First Street, NE., Washington, DC 20426, Horizon Energy Company; AmerGen 2001. NERC also notified the in accordance with Rules 211 and 214 Energy Company, L.L.C.; AmerGen Commission that, effective October 17, of the Commission’s Rules of Practice Vermont, LLC; Unicom Power 2000, it expects to implement new and Procedure (18 CFR 385.211 and Marketing, Inc.; Unicom Energy, Inc. definitions, previously approved by the 385.214). All such motions and protests [Docket No. ER00–3251–001; ER99–1872– Commission, to its Transmission should be filed on or before October 2, 003; ER98–1734–003; ER98–380–013; ER99– Loading Relief levels. 2000. Protests will be considered by the 754–005; ER00–1030–002; ER97–3954–013; Comment date: October 3, 2000, in Commission to determine the and ER00–2429–002] accordance with Standard Paragraph E appropriate action to be taken, but will Take notice that on September 13, at the end of this notice. not serve to make protestants parties to 2000, Exelon Generation Company, 5. New York State Electric & Gas the proceedings. Any person wishing to L.L.C., PECO Energy Company, Corporation become a party must file a motion to Commonwealth Edison Company, intervene. Copies of this filing are on Horizon Energy Company, AmerGen [Docket No. OA97–571–002] file with the Commission and are Energy Company, L.L.C., AmerGen Take notice that on September 12, available for public inspection. This Vermont, LLC, Unicom Power 2000, New York State Electric & Gas

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57331

Corporation filed a compliance filing in 8. Indianapolis Power & Light Company 12. Cinergy Services, Inc. response to the Commission’s orders [Docket No. ER00–3642–000] [Docket No. ER00–3646–000] dated February 29, 2000 and July 14, 2000 issued in Docket No. OA97–571– Take notice that on September 13, Take notice that on September 13, 000. 2000, Indianapolis Power & Light 2000, Cinergy Services, Inc. (Cinergy) and EnerZ Corporation tendered for Comment date: October 16, 2000, in Company (IPL), tendered for filing service agreements executed under IPL’s filing Notice of Cancellation effective accordance with Standard Paragraph E May 1, 2000, of Service Agreement No. at the end of this notice. Open Access Transmission Tariff and an index of customers. 188, under Cinergy Operating 6. New York State Electric & Gas Companies, Cost-Based Power Sales Corporation Comment date: October 4, 2000, in Tariff—CB, FERC Electric Tariff Original accordance with Standard Paragraph E Volume No. 6. [Docket No. ER00–3640–000] at the end of this notice. Cinergy requests an effective date of Take notice that on September 13, 9. Cinergy Services, Inc. May 1, 2000. 2000, New York State Electric & Gas Comment date: October 4, 2000, in Corporation (NYSEG), tendered for [Docket No. ER00–3643–000] accordance with Standard Paragraph E filing pursuant to Part 35 of the Federal Take notice that on September 13, at the end of this notice. Energy Regulatory Commission’s 2000, Cinergy Services, Inc. (Cinergy), 13. Cinergy Services, Inc. Regulations, 18 CFR 35, service tendered for filing a Service Agreement agreements (the Service Agreements) under Cinergy’s Resale, Assignment or [Docket No. ER00–3647–000] under which NYSEG may provide Transfer of Transmission Rights and Take notice that on September 13, capacity and/or energy to Merrill Lynch Ancillary Service Rights Tariff (the 2000, Cinergy Services, Inc. (Cinergy), Capital Services, Inc. (Merrill Lynch) Tariff) entered into between Cinergy and tendered for filing a Service Agreement and AES Eastern Energy, L.P. (AES Public Service Electric and Gas under Cinergy’s Resale, Assignment or Eastern) in accordance with NYSEG’s Company (Public). This Service Transfer of Transmission Rights and FERC Electric Tariff, Original Volume Agreement has been executed by both Ancillary Service Rights Tariff (the No. 3. parties and is to replace the existing Tariff) entered into between Cinergy and NYSEG has requested waiver of the unexecuted Service Agreement. Ameren Services Company (Ameren). notice requirements so that the Service This Service Agreement has been Comment date: October 4, 2000, in Agreements become effective as of executed by both parties and is to accordance with Standard Paragraph E September 14, 2000. NYSEG has served replace the existing unexecuted Service at the end of this notice. copies of the filing upon the New York Agreement. State Public Service Commission, 10. Cinergy Services, Inc. Comment date: October 4, 2000, in Merrill Lynch, and AES Eastern. accordance with Standard Paragraph E [Docket No. ER00–3644–000] Comment date: October 4, 2000, in at the end of this notice. accordance with Standard Paragraph E Take notice that on September 12, 14. Cinergy Services, Inc. at the end of this notice. 2000, Cinergy Services, Inc. (Cinergy), tendered for filing a Service Agreement [Docket No. ER00–3648–000] 7. The Dayton Power and Light under Cinergy’s Resale, Assignment or Take notice that on September 13, Company Transfer of Transmission Rights and 2000, Cinergy Services, Inc. (Cinergy) [Docket No. ER00–3641–000] Ancillary Service Rights Tariff (the and El Paso Power Services Company, a Take notice that on September 13, Tariff) entered into between Cinergy and predecessor Company of El Paso 2000, The Dayton Power and Light MIECO Inc., (MIECO). This Service Merchant Energy, L.P., tendered for Company (DP&L), tendered for filing a Agreement has been executed by both filing Notice of Cancellation effective Wholesale Market Based Rate Tariff and parties and is to replace the existing September 5, 2000, of Service a pro forma Service Agreement. unexecuted Service Agreement. Agreement No. 181, under Cinergy Operating Companies, Cost-Based DP&L seeks an effective date of Comment date: October 4, 2000, in Power Sales Tariff—CB, FERC Electric September 15, 2000 for all of the tariff accordance with Standard Paragraph E Tariff Original Volume No. 6. sheets submitted with this filing. at the end of this notice. Cinergy requests an effective date of DP&L states that its Wholesale Market 11. Cinergy Services, Inc. September 5, 2000. Based Rate Tariff, and pro forma Service [Docket No. ER00–3645–000] Comment date: October 4, 2000, in Agreement, are being filed in order to accordance with Standard Paragraph E conform to a pro forma tariff prepared Take notice that on September 13, at the end of this notice. by a group of representatives from 2000, Cinergy Services, Inc. (Cinergy), various segments of the electric industry tendered for filing a Service Agreement 15. Cinergy Services, Inc. and to facilitate a standardized master under Cinergy’s Resale, Assignment or [Docket No. ER00–3649–000] power purchase and sale agreement. Transfer of Transmission Rights and Take notice that on September 12, DP&L states that it does not propose to Ancillary Service Rights Tariff (the 2000, Cinergy Services, Inc. (Cinergy) eliminate either its currently effective Tariff) entered into between Cinergy and and Eastex Power Marketing, Inc., a market-based Power Sales Tariff The Dayton Power and Light Company predecessor Company of El Paso accepted for filing in Docket No. ER96– (Dayton). This Service Agreement has Merchant Energy, L.P., tendered for 2602–000. been executed by both parties and is to filing Notice of Cancellation effective Copies of this filing have been sent to replace the existing unexecuted Service September 5, 2000 of Service Agreement the Public Utilities Commission of Ohio. Agreement. No. 109, under Cinergy Operating Comment date: October 4, 2000, in Comment date: October 4, 2000, in Companies, Cost-Based Power Sales accordance with Standard Paragraph E accordance with Standard Paragraph E Tariff—CB, FERC Electric Tariff Original at the end of this notice. at the end of this notice. Volume No. 6.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57332 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Cinergy requests an effective date of Agreement No. 109, under Cinergy 23. Cinergy Services, Inc. September 5, 2000. Operating Companies, Market-Based [Docket No. ER00–3657–000] Comment date: October 4, 2000, in Power Sales Tariff—MB, FERC Electric Take notice that on September 13, accordance with Standard Paragraph E Tariff Original Volume No. 7. at the end of this notice. 2000, Cinergy Services, Inc. (Cinergy) Cinergy requests an effective date of and Sonat Power Marketing, Inc., a 16. Cinergy Services, Inc. September 5, 2000. predecessor Company of El Paso Comment date: October 4, 2000, in [Docket No. ER00–3650–000] Merchant Energy, L.P., tendered for accordance with Standard Paragraph E filing Notice of Cancellation effective Take notice that on September 13, at the end of this notice. September 5, 2000 of Service Agreement 2000, Cinergy Services, Inc. (Cinergy), No. 93, under Cinergy Operating tendered for filing a Service Agreement 20. Cinergy Services, Inc. Companies, Cost-Based Power Sales under Cinergy’s Resale, Assignment or [Docket No. ER00–3654–000] Tariff—CB, FERC Electric Tariff Original Transfer of Transmission Rights and Take notice that on September 13, Volume No. 6. Ancillary Service Rights Tariff (the Cinergy requests an effective date of Tariff) entered into between Cinergy and 2000, Cinergy Services, Inc. (Cinergy) and Sonat Power Marketing L.P., a September 5, 2000. Alpena Power Company (Alpena). This Comment date: October 4, 2000, in Service Agreement has been executed predecessor Company of El Paso Merchant Energy, L.P., tendered for accordance with Standard Paragraph E by both parties and is to replace the at the end of this notice. existing unexecuted Service Agreement. filing Notice of Cancellation effective Comment date: October 4, 2000, in September 5, 2000, of Service 24. Cinergy Services, Inc. Agreements No. 126, under Cinergy accordance with Standard Paragraph E [Docket No. ER00–3658–000] at the end of this notice. Operating Companies, Cost-Based Power Sales Tariff—CB, FERC Electric Take notice that on September 13, 17. Cinergy Services, Inc. Tariff Original Volume No. 6. 2000, Cinergy Services, Inc. (Cinergy) and EnerZ Corporation tendered for [Docket No. ER00–3651–000] Cinergy requests an effective date of September 5, 2000. filing Notice of Cancellation effective Take notice that on September 13, May 1, 2000 of Service Agreement No. 2000, Cinergy Services, Inc. (Cinergy), Comment date: October 4, 2000, in 191, under Cinergy Operating tendered for filing a Service Agreement accordance with Standard Paragraph E Companies, Market-Based Power Sales under Cinergy’s Resale, Assignment or at the end of this notice. Tariff—MB, FERC Electric Tariff Transfer of Transmission Rights and 21. Cinergy Services, Inc. Original Volume No. 7. Ancillary Service Rights Tariff (the Cinergy requests an effective date of Tariff) entered into between Cinergy and [Docket No. ER00–3655–000] May 1, 2000. Tennessee Power Company (TPC). This Take notice that on September 13, Comment date: October 4, 2000, in Service Agreement has been executed 2000, Cinergy Services, Inc. (Cinergy) accordance with Standard Paragraph E by both parties and is to replace the and El Paso Power Services Company, a at the end of this notice. existing unexecuted Service Agreement. predecessor Company of El Paso 25. Cinergy Services, Inc. Comment date: October 4, 2000, in Merchant Energy, L.P. tendered for accordance with Standard Paragraph E filing Notice of Cancellation effective [Docket No. ER00–3659–000] at the end of this notice. September 5, 2000, of Service Take notice that on September 13, 18. Cinergy Services, Inc. Agreement No. 184, under Cinergy 2000, Cinergy Services, Inc. (Cinergy), Operating Companies, Market-Based tendered for filing a Service Agreement [Docket No. ER00–3652–000] Power Sales Tariff—MB, FERC Electric under Cinergy’s Resale, Assignment or Take notice that on September 13, Tariff Original Volume No. 7. Transfer of Transmission Rights and 2000, Cinergy Services, Inc. (Cinergy) Cinergy requests an effective date of Ancillary Service Rights Tariff (the and Sonat Power Marketing L.P., a September 5, 2000. Tariff) entered into between Cinergy and predecessor Company of El Paso Comment date: October 4, 2000, in Morgan Stanley Capital Group Inc. Merchant Energy, L.P., tendered for accordance with Standard Paragraph E (Morgan). This Service Agreement has filing Notice of Cancellation effective at the end of this notice. been executed by both parties and is to September 5, 2000, of Service replace the existing unexecuted Service Agreements No. 126, under Cinergy 22. Cinergy Services, Inc. Agreement. Operating Companies, Market-Based [Docket No. ER00–3656–000] Comment date: October 4, 2000, in Power Sales Tariff—MB, FERC Electric accordance with Standard Paragraph E Tariff Original Volume No. 7. Take notice that on September 13, at the end of this notice. Cinergy requests an effective date of 2000, Cinergy Services, Inc. (Cinergy) September 5, 2000. and Sonat Power Marketing, Inc., a 26. Avista Corporation Comment date: October 4, 2000, in predecessor Company of El Paso [Docket No. ER00–3660–000] accordance with Standard Paragraph E Merchant Energy, L.P., tendered for Take notice that on September 13, at the end of this notice. filing Notice of Cancellation effective 2000, Avista Corporation, tendered for September 5, 2000, of Service 19. Cinergy Services, Inc. filing with the Federal Energy Agreements No. 93, under Cinergy Regulatory Commission pursuant to [Docket No. ER00–3653–000] Operating Companies, Market-Based Section 35.12 of the Commissions Take notice that on September 13, Power Sales Tariff —MB, FERC Electric regulations, 18 CFR Part 35.12, an 2000, Cinergy Services, Inc. (Cinergy) Tariff Original Volume No. 7. executed Mutual Netting Agreement to and Eastex Power Marketing, Inc., a Cinergy requests an effective date of be assigned Rate Schedule FERC No. predecessor Company of El Paso September 5, 2000. 284, Original Sheet Nos. 1–4, with PPL Merchant Energy L.P., tendered for Comment date: October 4, 2000, in Montana, LLC effective July 11, 2000. filing Notice of Cancellation effective accordance with Standard Paragraph E Notice of the filing has been served September 5, 2000, of Service at the end of this notice. upon PPL Montana, LLC.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00024 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57333

Comment date: October 4, 2000, in WTU seeks an effective date of June Central, approved a June 28, 2000 accordance with Standard Paragraph E 15, 2000 and, accordingly, seeks waiver effective date for the First Amended and at the end of this notice. of the Commission’s notice Restated Interchange Agreement, as requirements. amended, subject to MidAmerican 27. Consumers Energy Company Copies of the filing have been served making a compliance filing to conform [Docket No. ER00–3662–000] on Brazos and on the Public Utility MidAmerican’s previous filing in this Take notice that on September 13, Commission of Texas. matter dated June 27, 2000 to be 2000, Consumers Energy Company Comment date: October 4, 2000, in consistent with the necessary filing rate (Consumers), tendered for filing a accordance with Standard Paragraph E schedule designations as required by Service Agreement with Split Rock at the end of this notice. Order 614, FERC Stats. & Regs. ¶ 31,096 Energy L.L.C., (Customer) under (2000) and Southwest Power Pool, Inc., Consumers FERC Electric Tariff No. 9 30. Midwest Generation, LLC 92 FERC ¶ 61,109 (2000). for Market Based Sales. Consumers [Docket No. ER00–3666–000] MidAmerican has served a copy of the requested that the Agreement be Take notice that on September 13, compliance filing on the City of allowed to become effective September 2000, Midwest Generation, LLC. Geneseo, Illinois, the Iowa Utilities 13, 2000. (Midwest), tendered for filing a Second Board, the Illinois Commerce Copies of the filing were served upon Revised Service Agreement No. 1 under Commission and the South Dakota the Customer and the Michigan Public Midwest’s FERC Electric Tariff, Original Public Utilities Commission. Service Commission. Volume No. 1 (the Collins Generating Comment date: October 4, 2000, in Comment date: October 4, 2000, in Station Power Purchase Agreement accordance with Standard Paragraph E accordance with standard Paragraph E between Commonwealth Edison at the end of this notice. at the end of this notice. Company and Midwest). 33. Commonwealth Edison Company 28. Consumers Energy Company Comment date: October 4, 2000, in accordance with Standard Paragraph E [Docket No. ER00–3670–000] [Docket No. ER00–3664–000] at the end of this notice. Take notice that on September 12, Take notice that on September 13, 2000, Commonwealth Edison Company 2000, Consumers Energy Company 31. Commonwealth Edison Company (ComEd), tendered for filing an (Consumers), tendered for filing a [Docket No. ER00–3668–000] Interconnection Agreement with Reliant revised Service Agreement with the City Take notice that on September 12, Energy Aurora LP (Reliant). of St. Louis (Customer) for Network ComEd requests an effective date of 2000, Commonwealth Edison Company Integration Transmission Service September 13, 2000 and accordingly (ComEd), tendered for filing an (designated First Revised Service seeks waiver of the Commission’s notice unexecuted Interconnection Agreement Agreement No. 8 under Consumers requirements. Energy Company FERC Electric Tariff with University Park Energy, LLC Copies of the filing were served on No. 6). The Revised Service Agreement (University Park) and an executed Letter Reliant and the Illinois Commerce reflects the terms of Amendment No. 1 Agreement with University Park. Commission. to the original Service Agreement which ComEd requests an effective date of Comment date: October 4, 2000, in deals with the replacement of direct September 13, 2000 for the accordance with Standard Paragraph E assignment facilities and the resulting Interconnection Agreement and the at the end of this notice. adjustment in the Facilities Usage Fee Letter Agreement and accordingly seeks 34. Midwest Generation, LLC from $1, 859 to $4,512 per month. waiver of the Commission’s notice Consumers requests a September 1, requirements. [Docket No. ER00–3230–001] 1999 effective date. Copies of the filing were served on Take notice that on September 13, Copies of the filing were served upon University Park and on the Illinois 2000, Midwest Generation, LLC the Customer and the Michigan Public Commerce Commission. tendered for filing in compliance with Service Commission. Comment date: October 4, 2000, in Order No. 614, a revised amendment to Comment date: October 4, 2000, in accordance with Standard Paragraph E the Collins Generating Station Power accordance with Standard Paragraph E at the end of this notice. Purchase Agreement with at the end of this notice. 32. MidAmerican Energy Company Commonwealth Edison Company dated 29. West Texas Utilities Company December 15, 1999. [Docket No. ER00–3669–000] Comment date: October 4, 2000, in [Docket No. ER00–3665–000] Take notice that on September 12, accordance with Standard Paragraph E Take notice that on September 13, 2000, MidAmerican Energy Company at the end of this notice. 2000, West Texas Utilities Company (MidAmerican), 666 Grand Avenue, Des (WTU), tendered for filing the First Moines, Iowa 50309, tendered for filing Standard Paragraphs Revised Agreement for Sale and with the Commission a First Amended E. Any person desiring to be heard or Purchase of Power and Associated and Restated Interchange Agreement to protest such filing should file a Energy and Responsive Reserves (First dated February 26, 1997, modified by motion to intervene or protest with the Revised Agreement) between WTU and way of a Second Amendment to First Federal Energy Regulatory Commission, Brazos Electric Cooperative, Inc., Amended and Restated Interchange 888 First Street, NE., Washington, DC (Brazos). The First Revised Agreement is Agreement dated May 30, 2000, entered 20426, in accordance with Rules 211 being filed under WTU’s Market-Based into with the City of Geneseo, Illinois and 214 of the Commission’s Rules of Rate Tariff and replaces in its entirety pursuant to its Rate Schedule for Power Practice and Procedure (18 CFR 385.211 Service Agreement No. 25, currently on Sales, FERC Electric Tariff, Original and 385.214). All such motions or file under CSW Operating Companies Volume No. 5 (FERC [Docket No. ER96– protests should be filed on or before the FERC Electric Tariff, First Revised 719–000; amended in FERC [Docket No. comment date. Protests will be Volume No. 8. The First Revised ER00–2051–000). considered by the Commission in Agreement is designated First Revised MidAmerican requested and the determining the appropriate action to be Service Agreement No. 25. Director, Division of Tariffs and Rates— taken, but will not serve to make

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57334 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices protestants parties to the proceeding. • 14 meter stations and isolating The EA has been placed in the public Any person wishing to become a party valves along the gathering pipeline files of the FERC. A limited number of must file a motion to intervene. Copies system; and copies of the EA are available for of these filings are on file with the • About 2 miles of access roads not distribution and public inspection at: Commission and are available for public contained within pipeline or well site Federal Energy Regulatory Commission, inspection. This filing may also be easements. Public Reference and Files Maintenance viewed on the Internet at http:// The Stagecoach Storage Project also Branch, 888 First Street, N.E., Room 2A, www.ferc.fed.us/online/rims.htm (call includes a 4.7-mile-long, 12-inch- Washington, DC 20426, (202) 208–1371. 202–208–2222 for assistance). diameter pipeline (Twin Tier Lateral) Copies of the EA have been mailed to from the Central Compressor Facility to Federal, state and local agencies, public David P. Boergers, a nonjurisdictional electric generating interest groups, interested individuals, Secretary. facility (Twin Tier Power Plant); and newspapers, and parties to this [FR Doc. 00–24393 Filed 9–21–00; 8:45 am] 1.5-mile-long nonjurisdictional 115 proceeding. BILLING CODE 6717±01±P (kilovolt) kV electric transmission line Any person wishing to comment on that would extend from the Central the EA may do so. To ensure Compression Facility to a point of consideration prior to a Commission DEPARTMENT OF ENERGY interconnection with a 115 kV decision on the proposal, it is important Federal Energy Regulatory transmission line owned by the New that we receive your comments before Commission York State Electric & Gas Corporation. the date specified below. Please Tennessee’s proposed Stagecoach carefully follow these instructions to [Docket Nos. CP00±61±000, CP00±62±000, Expansion Project would include: ensure that your comments are received CP00±63±000, CP00±65±000] • About 23.7 miles of 30-inch- in time and properly recorded: • Send two copies of your comments Central New York Oil and Gas diameter pipeline (Stagecoach Lateral) to: Secretary, Federal Energy Regulatory Company, LLC and Tennessee Gas extending from an interconnection with Commission, 888 First St., N.E., Room Pipeline Company; Notice of Tennessee’s mainline system in Bradford County, Pennsylvania to an 1A, Washington, DC 20426; Availability of the Environmental • Label one copy of the comments for Assessment for the Proposed interconnect with CNYOG’s Stagecoach Storage Project in Tioga County, New the attention of the Gas 1, PJ–11.1; Stagecoach Storage and Expansion • York; Reference Docket Nos. CP00–63– Projects • 000 and CP00–65–000; and A new bi-directional meter station, • September 15, 2000. capable of handling 500,000 dekatherms Mail your comments so that they The staff of the Federal Energy (Dth) per day, at the northern end of the will be received in Washington, DC on Regulatory Commission (FERC or Stagecoach Lateral; or before October 16, 2000. Comments will be considered by the Commission) has prepared an • About 3.9 miles of 30-inch-diameter Commission but will not serve to make environmental assessment (EA) on the loop 1 on its 300-Line in Susquehanna the commentor a party to the natural gas storage and pipeline County, Pennsylvania; facilities proposed by Central New York • A new 14,550-hp Solar Mars gas proceeding. Any person seeking to Oil and Gas Company, LLC (CNYOG) turbine centrifugal compressor station become a party to the proceeding must and Tennessee Gas Pipeline Company near the Tennessee Mainline Valve 323- file a motion to intervene pursuant to (Tennessee) in the above-referenced 1 in Pike County, Pennsylvania; Rule 214 of the Commission’s Rules of dockets. • About 6.5 miles of 24-inch-diameter Practice and Procedures (18 CFR The EA was proposed to satisfy the pipeline to replace various sections 385.214). Only intervenors have the requirements of the National along the 300-Line in Pennsylvania and right to seek rehearing of the Environmental Policy Act. The staff New Jersey as a result of increasing the Commission’s decision. Affected landowners and parties with concludes that approval of the proposed maximum allowable operating pressure environmental concerns may be granted projects, with appropriate mitigating (MAOP) of 74.1 miles of pipeline on the intervenor status upon showing good measures, would not constitute a major 300-Line; and cause by stating that they have a clear Federal action significantly affecting the • Modifications and/or upgrades at 10 and direct interest in this proceeding quality of the human environment. existing meter stations and 3 mainline which would not be adequately The EA assesses the potential valves at various locations along the represented by any other parties. You do environmental effects of the 300-Line to accommodate the MAOP not need intervenor status to have your construction and operation of CNYOG’s increase. comments considered. proposed underground gas storage The Stagecoach Storage Project would facilities and Tennessee’s related Additional information about the have a working gas capacity of up to proposed project is available from the pipeline facilities. CNYOG’s proposed 13.6 billion cubic feet (Bcf), with the Stagecoach Storage Project would Commission’s Office of External Affairs, capability of withdrawals of as much as at (202) 208–0004 or on the FERC include: 500 million cubic feet per day (MMcf/ • Up to 26 storage injection/ Internet website (www.ferc.fed.us) using d) and injections of as much as 250 the ‘‘RIMS’’link to information in this withdrawal wells; MMcf/d. Tennessee’s proposed • A 25,000-horsepower (hp) docket number. Click on the ‘‘RIMS’’ Stagecoach Expansion Project would electrically-driven compressor station link, select ‘‘Docket #’’ from the RIMS expand its existing 300-Line to transport (Central Compression Facility) with gas Menu, and follow the instructions. For cleaning and dehydration equipment, an additional 90,000 Dth per day of assistance with access to RIMS, the regulating facilities, pig launchers and natural gas to accommodate additional RIMS helpline can be reached at (202) receivers, miscellaneous valves and firm transportation service. 208–2222. regulators, and control equipment; Similarly, the ‘‘CIPS’’ link on the • 1 A loop is a segment of pipeline that is installed A total of about 10 miles of 8-, adjacent to an existing pipeline and connected to FERC Internet website provides access 12-, 16-, and 20-inch-diameter gathering it on both ends. The loop allows more gas to be to the texts of formal documents issued pipeline; moved through the pipeline system. by the Commission, such as orders,

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57335 notices, and rulemakings. From the number P–7019–050 to: The Secretary, Progress (RFP) reports, and attainment FERC Internet website, click on the Federal Energy Regulatory Commission, status assessments for the National ‘‘CIPS’’ link, select ‘‘Docket #’’ from the 888 First Street, NE, Washington, DC Ambient Air Quality Standards CIPS menu, and follow the instructions. 20426. If you have any questions (NAAQS). For assistance with access to CIPS, the regarding this notice, please call Jarrad The legislative basis for gathering this CIPS helpline can be reached at (202) Kosa at (202) 219–2831. data is section 103(a)(1)(2)(3) of the 208–2474. David P. Boergers, Clean Air Act, which requires the Administrator to ‘‘conduct * * * David P. Boergers, Secretary. research, investigations, experiments, Secretary. [FR Doc. 00–24201 Filed 9–21–00; 8:45 am] demonstrations, surveys, and studies [FR Doc. 00–24202 Filed 9–21–00; 8:45 am] BILLING CODE 6717±01±M relating to the causes, effects, extent, BILLING CODE 6717±01±M prevention, and control of air pollution’’ and ‘‘conduct investigations and ENVIRONMENTAL PROTECTION research and make surveys concerning DEPARTMENT OF ENERGY AGENCY any specific problem of air pollution in Federal Energy Regulatory [FRL±6874±8] cooperation with any air pollution Commission control agency * * *’’ Agency Information Collection The EPA would like to solicit [Project No. 7019±050, Georgia] Activities Amendment comments to: Eastern Hydroelectric Corporation; AGENCY: Environmental Protection (i) Evaluate whether the proposed Notice of Availability of Environmental Agency (EPA). collection of information is necessary for the proper performance of the Assessment ACTION: Notice. functions of the agency, including September 15, 2000. SUMMARY: In compliance with the whether the information will have An environmental assessment (EA) is Paperwork Reduction Act (44 U.S.C. practical utility; available for public review. The EA 3506 (c)(2)), this notice announces an (ii) Evaluate the accuracy of the analyzes the environmental effects of amendment to existing Information agency’s estimate of the burden of the increasing generating capacity. Eastern Collection Request (ICR) 2060–0078, proposed collection of information; and Hydroelectric Corporation (EHC) ‘‘Mobile Source Emission Factor (iii) Minimize the burden of the requests approval to add a new 1,200- Survey.’’ Before submitting the renewal collection of information on those who kW generating unit at the East Juliette package to the Office of Management are to respond, including the use of Project on the Ocmulgee River. EHC and Budget (OMB), EPA is soliciting appropriate automated technology, (e.g., proposes to reconstruct a building on an comments on this amendment. permitting electronic submission of existing foundation at the west side of DATES: Comments must be submitted on responses). the Juliette Dam to house the new or before November 21, 2000. Burden Statement: Public reporting generating unit and associated power burden for this collection of information production equipment. EHC does not ADDRESSES: U.S. Environmental is estimated to range from ten minutes propose to alter the current license Protection Agency, Office of to an hour for responding to an requirement that requires a minimum Transportation and Air Quality, ownership survey. Installation, removal, flow of 297 cubic feet per second be Assessment and Standards Division, and reading of monitoring equipment maintained in the bypass reach. EHC 2000 Traverwood Drive, Ann Arbor, MI may take up to 3 hours, although the proposes to conduct additional studies 48105. contractor’s personnel will do the actual to investigate the feasibility, optimal FOR FURTHER INFORMATION CONTACT: work. Send comments regarding this design, and future construction of a Penny Carey, Telephone: (734) 214– burden estimate or any other aspect of fishway for anadromous fish at the 4355, Facsimile: (734) 214–4939. this collection of information, including Juliette Dam. SUPPLEMENTARY INFORMATION: suggestions for reducing the burden, to: The EA was written by Federal Energy Affected Entities: The entity affected Regulatory Commission staff in the by this action is the general public who Chief, Information Policy Branch, PM– Office of Energy Projects. Commission own mobile sources. 223, U.S. Environmental Protection staff believe EHC’s proposed action Title: Mobile Source Emission Factor Agency, 401 M St., S.W., Washington, would not constitute a major federal Survey—2060–0078. DC 20460; action significantly affecting the quality Abstract: The EPA Office of and the Paperwork Reduction Project of the human environment. Copies of Transportation and Air Quality, (OMB #2060–0078), the EA can be viewed on the internet at Assessment and Standards Division, Office of Information and Regulatory www.ferc.fed.us/online/rims.htm. Call through contractors, intends to solicit Affairs, Office of Management and (202) 208–2222 for assistance. Copies the general public to voluntarily Budget, Washington, D.C. 20503. are also available for inspection and participate in survey and testing reproduction at the Commission’s activities involving mobile sources. No person is required to respond to a Public Reference Room located at 888 EPA will use the information from collection of information unless it First Street, NE, Room 2A, Washington this survey and testing to provide inputs displays a currently valid OMB control DC 20426, or by calling (202) 208–1371. to various emissions models. These number. The OMB control numbers for Anyone may file comments on the models are used by EPA, state and local EPA’s regulations are displayed in 40 EA. Federal and state resource agencies air pollution agencies, the automotive CFR part 9. are encouraged to provide comments. industry, and other parties that are Send comments regarding these All comments must filed within 30 days interested in estimating mobile source matters, or any other aspect of the of the date of this notice shown above. emissions. These models provide a basis information collection, including Send an original and eight copies of all for developing State Implementation suggestions for reducing the burden, to comments marked with the project Plans (SIPs), Reasonable Further the address listed above.

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57336 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Dated: September 6, 2000. Implementation of New Research for air quality mitigation measures that Penny Carey, Studies, Monongahela National Forest may be necessary for emissions of Chemical Engineer. Land and Resource Management Plan, oxides of nitrogen (NOX), ozone [FR Doc. 00–24434 Filed 9–21–00; 8:45 am] Tucker County, WV, Due: October 23, precursors, and carbon monoxide under BILLING CODE 6560±50±P 2000, Contact: Mary Beth Adams EPA’s general conformity rule. EPA also (304) 478–2000. had concerns that the DEIS asserts that EIS No. 000327, Final EIS, SFW, MT, there is no need to secure Clean Water ENVIRONMENTAL PROTECTION WA, ID, Plum Creek Native Fish Act Section 401 water quality AGENCY Habitat Conservation Plan, Issuance of certification or waiver from the state an Incidental Take Permit for water pollution control agency, which is [ER±FRL±6611±1] Federally Protected Native Fish an important safeguard to ensure that Species, MT, ID and WA, Due: Federally-authorized projects do not Environmental Impact Statements; October 23, 2000, Contact: Ben violate State-adopted, EPA-approved Notice of Availability Harrison (503) 231–2068. Water Quality Standards or impair Responsible Agency: Office of Federal EIS No. 000328, Final EIS, BLM, NM, beneficial uses. The Final EIS should Activities, General Information, (202) Rio Puerco Resource Management address how the Corps would ensure 564–7167 or www.epa.gov/oeca/ofa. Plan Amendment, Managing Land that Water Quality Standards and Weekly receipt of Environmental and Resource for EL Malpais National beneficial uses are fully protected. Impact Statements Filed September 11, Conservation Area and Chain of ERP No. D–COE–K39060–CA Rating 2000 Through September 15, 2000 Craters Wilderness Study Area, Lies EC2, Upper Newport Bay Restoration Pursuant to 40 CFR 1506.9. South of the City of Grants, Cibola Project, To Develop a Long-Term County, NM, Due: October 23, 2000, Management Plan to Control Sediment EIS No. 000321, Final EIS, BLM, OR, Contact: Kent Hamilton (505) 761– Deposition, Orange County, CA. North Bank Habitat Management Area 8746. Summary: EPA expressed concerns (NBHMA)/Area of Critical EIS No. 000329, Final EIS, USN, GU, regarding impacts to air quality and that Environmental Concern (ACEC), Surplus Navy Property Identified in some reasonable alternatives were not Federally Endangered Columbian the Guam Land Use Plan (GLUP ’94) evaluated, including reduced dredging, White-Tailed Deer (CWTD) and for Disposal and Reuse, controlling sediment before reaching the Special Status Species Habitat Implementation, GU, Due: October 23, Bay, and beneficial re-use of dredged Enhancements to Ensure Viability 2000, Contact: Gerald Gibbons (808) material. We recommended additional Over Time, Implementation, OR, Due: 471–9338. information in the FEIS regarding other October 23, 2000, Contact: Jay Carlson Dated: September 19, 2000. reasonable project alternatives, (541) 440–4930. including disposal alternatives; baseline EIS No. 000322, Revised Draft EIS, FAA, Anne Norton Miller, Acting Director, Office of Federal Activities. assumptions and evaluation criteria; CA, Metropolitan Oakland and conformity with the State [FR Doc. 00–24451 Filed 9–21–00; 8:45 am] International Airport (MOIA), Airport Implementation Plan. Development Plan (ADP), BILLING CODE 6560±50±P ERP No. D–COE–L39056–WA Rating Reevaluation of the Forecasts and LO, Programmatic EIS—Green/ Planning Assumptions in the ADP, Duwamish River Basin Restoration Airport Layout Plan Approval, ENVIRONMENTAL PROTECTION AGENCY Program, Capitol Improvement Type Funding and COE Section 404 and 10 Program and Ecological Health, King Permits Issuance, Port of Oakland, [ER±FRL±6611±2] County, WA. Alameda County, CA, Due: October Summary: EPA had no objection to 30, 2000, Contact: Joseph R. Environmental Impact Statements and the proposed project. EPA did however Rodriguez (650) 876–2805. Regulations; Availability of EPA provide comments on the cumulative EIS No. 000323, Final EIS, CGD, IL, MI, Comments effects analysis, the need for more OH, NY, IN, MN, WI, PA, Great Lakes Availability of EPA comments information on funding mechanisms Icebreaking Operation, prepared pursuant to the Environmental and some concerns over the level of Implementation, Ninth District, IL, IN, Review Process (ERP), under section public access allowed to restoration MI, MN, OH, WI, NY and PA, Due: 309 of the Clean Air Act and section sites, especially sensitive wetlands. October 23, 2000, Contact: Gary 102(2)(c) of the National Environmental ERP No. D–FHW–G40158–TX Rating Nelson (216) 902–6258. Policy Act as amended. Requests for EO2, Grand Parkway (TX–99) Segment EIS No. 000324, Final EIS, SFW, CA, copies of EPA comments can be directed C, Construction from US 59 to TX 288, San Dieguito Wetland Restoration to the Office of Federal Activities at Funding and Right-of-Way Project, Implementation, (202) 564–7167. An explanation of the Requirements, City of Houston, Fort Comprehensive Restoration Plan, COE ratings assigned to draft environmental Bend and Brazoria Counties, TX. Section 404 Permit, Cities of Del Mar impact statements (EISs) was published Summary: EPA expressed objection and San Diego, San Diego County, CA, in FR dated April 14, 2000 (65 FR due to the project’s potential Due: October 23, 2000, Contact: Jack 20157). contribution to air quality issues in Fancher (760) 431–9440. Houston. The project is likely to create EIS No. 000325, Draft EIS, AFS, OK, Draft EISs significant secondary development that Quachita National Forest, An ERP No. D–OE–K36133–CA Rating may delay the attainment of the ozone Amendment to the Land and Resource EC2, Whitewater River Basin (Thousand air quality standard. EPA requested that Management Plan, Implementation, Palms) Flood Control Project, the final document address the overall Glover River, McCurtain County, OK, Construction of Facilities to Provide impact of the project and how the Due: December 29, 2000, Contact: Flood Protection, Coachella Valley, project affects attainment and meets the Elizabeth Estill (404) 347–4178. Riverside County, CA. intent of the Clean Air Act. EIS No. 000326, Final EIS, AFS, WV, Summary: EPA expressed concerns ERP No. D–SFW–F64004–OH Rating Fernow Experimental Forest, that the DEIS did not address the need LO, Little Darby National Wildlife

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57337

Refuge Establishment in the Little Darby Transportation Improvements, Funding, ENVIRONMENTAL PROTECTION Creek Watershed for Restoration, Major Investment Study, Cities of AGENCY Preservation, Enhancement and Howell and Brighton, Livington County, [OPPTS±00297; FRL±6744±3] Protection of Fish and Wildlife MI. Resources, Madison and Union Summary: EPA continued to express National Advisory Committee for Acute Counties, OH. concern regarding potential indirect and Exposure Guideline Levels for Summary: EPA has no objection to the cumulative impacts to wetlands. Hazardous Substances; Notice of proposed action. EPA believes that the Public Meeting proposed action has the potential to ERP No. F–FHW–G40153–NM New restore, preserve, enhance and protect Mexico Forest Highway 45 (Forest Road AGENCY: Environmental Protection the biodiversity of the upper Little 537) known locally as the Sacramento Agency (EPA). Darby Creek Watershed. River Road, Improvements from ACTION: Notice. ERP No. DR–COE–K36051–AZ Rating Sunspot to Timberon, Otero County, EC2, Rio de Flag Flood Control Study, NM. SUMMARY: A meeting of the National Improvement and Flood Protection, To Advisory Committee for Acute Exposure Summary: EPA had no objections to Guideline Levels for Hazardous Reduce Damages to Residential the proposed action as described in the Commercial, Industrial and Historic Substances (NAC/AEGL Committee) draft EIS. Property, City of Flagstaff, Coconino will be held on October 23–25, 2000, in County, AZ. ERP No. F–FHW–H40164–MO MO– Washington, DC. At this meeting, the Summary: EPA reiterated concerns 50/West-Central Corridor Location NAC/AEGL Committee will address, as expressed on the previous Draft EIS that Study, Transportation Improvements, time permits, the various aspects of the the preferred alternative does not Sedalia to St. Martins, Pettis, Cooper, acute toxicity and the development of sufficiently address the extent or Morgan and Moniteau and Cole Acute Exposure Guideline Levels boundaries of Clean Water Act Section Counties, MO. (AEGLs) for the following chemicals: 404 jurisdiction (i.e., waters of the Agents GA, GB, GD, GF, VX; Allyl Summary: The FEIS adequately alcohol; Boron trichloride; United States). EPA also strongly supplemented needed information and recommended that the Los Angeles Chloromethyl methyl ether; Diborane; addressed the concerns that EPA Furan; Hydrogen sulfide; District re-evaluate how determinations expressed in the DEIS review. of compliance with the Section Perchloromethyl mercaptan; Phosphine; 404(b)(1) Guidelines are documented for ERP No. F–FRC–K03023–00 Southern Propylene oxide; Tetrachloroethylene; its proposed water resource Trails Pipeline Project (CP99–163–000), Tetranitromethane; and Uranium development projects. Conversion of an Existing Crude Oil hexafluoride. Pipeline (known as the ARCO Four DATES: Final EISs A meeting of the NAC/AEGL Corners Pipeline Line 90 System), Committee will be held from 10 a.m. to ERP No. F–COE–F39039–00 John T. Construction and Operation, CA, AZ, 5:30 p.m. on October 23; from 8:30 a.m. Myers and Greenup Lock UT and NM. to 5:30 p.m. on October 24, 2000; and Improvements, To Alleviate Commercial Summary: No formal comment letter from 8:30 a.m. to 12:30 p.m. on October Navigation Traffic Congestion, Ohio was sent to the preparing agency. 25, 2000. River Mainstem Systems Study, ADDRESSES: The meeting will be held at (ORMSS), Interim Feasibility Report, ERP No. F–TVA–E39052–MS Union County Multipurpose Reservoir/Other the U. S. Department of Transportation, Indiana, Kentucky and Ohio. DOT Headquarters, Nassif Bldg., Rooms Water Supply Alternatives Project, To Summary: EPA continued to express 6332–6336, 400 7th St., SW., Provide an Adequate and Reliable Water objections with regard to how the Washington, DC (L’Enfant Center Metro Supply, COE Section 404 Permit and project’s purpose and need statement stop). Visitors should bring a photo ID was formulated and how the cumulative NPDES Permit, City of New Alban, for entry into the building and should impact analysis was performed. Union County, MS. contact the Designated Federal Officer ERP No. F–DOE–L00007–00 Sodium- Summary: EPA continues to object to (DFO) to have their names added to a Bonded Spent Nuclear Fuel Treatment the proposed action since it is likely security entry list. Visitors must enter and Management, Candidate Disposal that the multipurpose reservoir would the building at the Southwest Entrance/ Sites are Argonne National Laboratory- result in lake eutrophication. EPA Visitor’s Entrance, 7th and E Sts. West (ANL–W) located within the objected to lack of resolution of several Quadrant. boundaries of the Idaho National essential elements to maintaining Laboratory, ID and the Savannah River FOR FURTHER INFORMATION CONTACT: For reservoir water quality (e.g., basin Sites (SRS) F–Area and L–Area, SC. general information contact: Barbara Summary: No formal comment letter management plan, shoreline ownership, , Director, Office of was sent to the preparing agency. identification of a local reservoir Program Management and Evaluation, ERP No. F–FAA–G51015–TX George manager). EPA also objected that Office of Pollution Prevention and Bush Intercontinental Airport Houston, discharge flows from the dam were not Toxics (7401), Environmental Protection Construction and Operation, Runway sufficiently assessed and not consistent Agency, 1200 Pennsylvania Ave., NW., 8L–26R and Associated Near Term with EPA/FWS instream flow Washington, DC 20460; telephone Master Plan Projects, Funding and guidelines, and that TVA has not number: (202) 554–1404; e-mail address: Airport Layout Plan Approval, City of selected a federal preferred alternative [email protected]. Houston, Harris County, TX. in the FEIS for the overall project. For technical information contact: Summary: The final EIS fully Dated: September 19, 2000. Paul S. Tobin, DFO, Office of responded to EPA’s previous comments Prevention, Pesticides and Toxic Anne Norton Miller, on the draft EIS. Therefore, EPA has no Substances (7406), 1200 Pennsylvania objection to the action as proposed. Acting Director, Office of Federal Activities. Ave., NW., Washington, DC 20460; ERP No. F–FHW–F40377–MI I–96 East [FR Doc. 00–24452 Filed 9–21–00; 8:45 am] telephone number: (202) 260–1736; e- Howell Interchange Project, BILLING CODE 6560±50±P mail address: [email protected].

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57338 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

SUPPLEMENTARY INFORMATION: The Center is open from noon to 4 p.m., pesticide chemicals in or on various Monday through Friday, excluding legal food commodities. I. General Information holidays. The telephone number of the DATES: Comments, identified by docket A. Does this Action Apply to Me? Center is (202) 260–7099. control number PF–961, must be This action is directed to the public II. Meeting Procedures received on or before October 23, 2000. in general. This action may be of For additional information on the ADDRESSES: Comments may be particular interest to anyone who may scheduled meeting, the agenda of the submitted by mail, electronically, or in be affected if the AEGL values are NAC/AEGL Committee, or the person. Please follow the detailed adopted by government agencies for submission of information on chemicals instructions for each method as emergency planning, prevention, or to be discussed at the meeting, contact provided in Unit I.C. of the response programs, such as EPA’s Risk the DFO listed under FOR FURTHER SUPPLEMENTARY INFORMATION. To ensure Management Program under the Clean INFORMATION CONTACT. proper receipt by EPA, it is imperative Air Act and Amendments Section 112r. The meeting of the NAC/AEGL that you identify docket control number It is possible that other Federal agencies Committee will be open to the public. PF–961 in the subject line on the first besides EPA, as well as State agencies Oral presentations or statements by page of your response. and private organizations, may adopt interested parties will be limited to 10 FOR FURTHER INFORMATION CONTACT: By the AEGL values for their programs. As minutes. Interested parties are mail: Mary L. Waller, Registration such, the Agency has not attempted to encouraged to contact the DFO to Division (7505C), Office of Pesticide describe all the specific entities that schedule presentations before the NAC/ Programs, Environmental Protection may be affected by this action. If you AEGL Committee. Since seating for Agency, 1200 Pennsylvania Ave., NW., have any questions regarding the outside observers may be limited, those Washington, DC 20460; telephone applicability of this action to a wishing to attend the meeting as number: (703) 308–9354; e-mail address: particular entity, consult the DFO listed observers are also encouraged to contact [email protected]. under FOR FURTHER INFORMATION the DFO at the earliest possible date to SUPPLEMENTARY INFORMATION: CONTACT. ensure adequate seating arrangements. B. How Can I Get Additional Inquiries regarding oral presentations I. General Information Information, Including Copies of this and the submission of written A. Does this Action Apply to Me? Document or Other Related Documents? statements or chemical specific information should be directed to the You may be affected by this action if 1. Electronically. You may obtain DFO. you are an agricultural producer, food electronic copies of this document, and manufacturer or pesticide manufacturer. certain other related documents that III. Future Meetings Potentially affected categories and might be available electronically, from Another meeting of the NAC/AEGL entities may include, but are not limited the EPA Internet Home Page at http:// Committee is tentatively scheduled for to: www.epa.gov/. To access this December 2000. The exact date, location document, on the Home Page select of this meeting, and chemicals to be ‘‘Laws and Regulations,’’ ‘‘Regulations discussed will be published in a future and Proposed Rules,’’ and then look up Federal Register notice. NAICS Examples of poten- the entry for this document under the Categories codes tially affected enti- ‘‘Federal Register—Environmental List of Subjects ties Documents.’’ You can also go directly to Environmental protection, Chemicals, Industry 111 Crop production the Federal Register listings at http:// Hazardous substances, Health. 112 Animal production www.epa.gov/fedrgstr/. 311 Food manufacturing 2. In person. The Agency has Dated: September 15, 2000. 32532 Pesticide manufac- established an official record for this turing action under docket control number William H. Sanders III, OPPTS–00297. The official record Director, Office of Pollution Prevention and This listing is not intended to be consists of the documents specifically Toxics. exhaustive, but rather provides a guide referenced in this action, any public for readers regarding entities likely to be [FR Doc. 00–24439 Filed 9–21–00; 8:45 am] comments received during an applicable affected by this action. Other types of comment period, and other information BILLING CODE 6560±50±S entities not listed in the table could also related to this action, including any be affected. The North American information claimed as Confidential ENVIRONMENTAL PROTECTION Industrial Classification System Business Information (CBI). This official AGENCY (NAICS) codes have been provided to record includes the documents that are assist you and others in determining physically located in the docket, as well [PF±961; FRL±6737±8] whether or not this action might apply as the documents that are referenced in to certain entities. If you have questions those documents. The public version of Notice of Filing Pesticide Petitions to regarding the applicability of this action the official record does not include any Establish Tolerances for Certain to a particular entity, consult the person information claimed as CBI. The public Pesticide Chemicals in or on Food listed under FOR FURTHER INFORMATION version of the official record, which AGENCY: Environmental Protection CONTACT. includes printed, paper versions of any Agency (EPA). B. How Can I Get Additional electronic comments submitted during ACTION: Notice. Information, Including Copies of this an applicable comment period, is Document and Other Related available for inspection in the TSCA SUMMARY: This notice announces the Documents? Nonconfidential Information Center, initial filing of pesticide petitions North East Mall Rm. B–607, Waterside proposing the establishment of 1. Electronically. You may obtain Mall, 401 M St., SW., Washington, DC. regulations for residues of certain electronic copies of this document, and

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57339 certain other related documents that PIRIB telephone number is (703) 305– response. You may also provide the might be available electronically, from 5805. name, date, and Federal Register the EPA Internet Home Page at http:// 3. Electronically. You may submit citation. www.epa.gov/. To access this your comments electronically by e-mail II. What Action is the Agency Taking? document, on the Home Page select to:‘‘[email protected]’’, or you can ‘‘Laws and Regulations’’ and then look submit a computer disk as described EPA has received a pesticide petition up the entry for this document under above. Do not submit any information as follows proposing the establishment the ‘‘Federal Register—Environmental electronically that you consider to be and/or amendment of regulations for Documents.’’ You can also go directly to CBI. Avoid the use of special characters residues of certain pesticide chemical in the Federal Register listings at http:// and any form of encryption. Electronic or on various food commodities under www.epa.gov/fedrgstr/. submissions will be accepted in section 408 of the Federal Food, Drug, 2. In person. The Agency has Wordperfect 6.1/8.0 or ASCII file and Cosmetic Act (FFDCA), 21 U.S.C. established an official record for this format. All comments in electronic form 346a. EPA has determined that this action under docket control number PF– must be identified by docket control petition contains data or information 961. The official record consists of the number PF–961. Electronic comments regarding the elements set forth in documents specifically referenced in may also be filed online at many Federal section 408(d)(2); however, EPA has not this action, any public comments Depository Libraries. fully evaluated the sufficiency of the received during an applicable comment submitted data at this time or whether D. How Should I Handle CBI That I the data support granting of the petition. period, and other information related to Want to Submit to the Agency? this action, including any information Additional data may be needed before EPA rules on the petition. claimed as confidential business Do not submit any information information (CBI). This official record electronically that you consider to be List of Subjects CBI. You may claim information that includes the documents that are Environmental protection, physically located in the docket, as well you submit to EPA in response to this document as CBI by marking any part or Agricultural commodities, Feed as the documents that are referenced in additives, Food additives, Pesticides those documents. The public version of all of that information as CBI. Information so marked will not be and pests, Reporting and recordkeeping the official record does not include any requirements. information claimed as CBI. The public disclosed except in accordance with version of the official record, which procedures set forth in 40 CFR part 2. Dated: September 6, 2000. includes printed, paper versions of any In addition to one complete version of electronic comments submitted during the comment that includes any James Jones, an applicable comment period, is information claimed as CBI, a copy of the comment that does not contain the Director, Registration Division, Office of available for inspection in the Public Pesticide Programs. Information and Records Integrity information claimed as CBI must be Branch (PIRIB), Rm. 119, Crystal Mall submitted for inclusion in the public I. BASF Corporation Agricultural #2, 1921 Jefferson Davis Highway, version of the official record. Products Information not marked confidential Arlington, VA, from 8:30 a.m. to 4 p.m., 7E4885 Monday through Friday, excluding legal will be included in the public version EPA has received a pesticide petition holidays. The PIRIB telephone number of the official record without prior 7E4885 from BASF Corporation, is (703) 305–5805. notice. If you have any questions about CBI or the procedures for claiming CBI, Agricultural Products, P.O. Box 13528, C. How and to Whom Do I Submit please consult the person identified Research Triangle Park, NC 27709 Comments? under FOR FURTHER INFORMATION proposing, pursuant to section 408(d) of the FFDCA, 21 U.S.C. 346a(d), to amend You may submit comments through CONTACT. 40 CFR part 180 by establishing the mail, in person, or electronically. To E. What Should I Consider as I Prepare tolerances for residues of epoxiconazole, ensure proper receipt by EPA, it is My Comments for EPA? (2RS,3SR)-3-(2-chlorophenyl)-2-(4- imperative that you identify docket You may find the following fluorophenyl)-2-(1H-1,2,4-triazol-1- control number PF–961 in the subject yl)methyl oxirane in or on bananas at line on the first page of your response. suggestions helpful for preparing your comments: 0.5 parts per million (ppm) and in or on 1. By mail. Submit your comments to: 1. Explain your views as clearly as banana pulp at 0.2 ppm. EPA has Public Information and Records possible. determined that the petition contains Integrity Branch (PIRIB), Information 2. Describe any assumptions that you data or information regarding the Resources and Services Division used. elements set forth in section 408(d)(2) of (7502C), Office of Pesticide Programs 3. Provide copies of any technical the FFDCA; however, EPA has not fully (OPP), Environmental Protection information and/or data you used that evaluated the sufficiency of the Agency, 1200 Pennsylvania Ave., NW., support your views. submitted data at this time or whether Washington, DC 20460. 4. If you estimate potential burden or the data support granting of the petition. 2. In person or by courier. Deliver costs, explain how you arrived at the Additional data may be needed before your comments to: Public Information estimate that you provide. EPA rules on the petition. and Records Integrity Branch (PIRIB), 5. Provide specific examples to Information Resources and Services illustrate your concerns. A. Residue Chemistry Division (7502C), Office of Pesticide 6. Make sure to submit your 1. Plant metabolism. The metabolism Programs (OPP), Environmental comments by the deadline in this in bananas was investigated using 14C Protection Agency, Rm. 119, Crystal notice. labeled epoxiconazole. On average 70% Mall #2, 1921 Jefferson Davis Highway, 7. To ensure proper receipt by EPA, of the total residue could be identified Arlington, VA. The PIRIB is open from be sure to identify the docket control as parent. This corresponds to 8:30 a.m. to 4 p.m., Monday through number assigned to this action in the approximately 80% of the residue Friday, excluding legal holidays. The subject line on the first page of your extractable from the peel and

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57340 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices approximately 90% of the residue 2. Genotoxicty. A modified Ames test placental weights and a slight increase extractable from the edible portion, (3 studies; point mutation): Negative; E. in the number of fetuses with skeletal pulp. Based on this result, a parent only coli reverse mutation assay (1 study; variations was observed at the highest method was developed to analyze point mutation): Negative; in vitro dose tested. residues from the magnitude of the chinese hampster ovary/hypoxanthine iv. A combination of two multi- residue trials. guanine phophoribosyl transferase generation rat reproduction studies Under worst case practices (unbagged (CHO/HGPRT) mammalian cell (study A dose levels were 0, 3.0, 30, and bananas) residue in the whole fruit mutation assay (1 study; point 145 mg/kg/day and study B dose levels ranged from

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57341 kg/day. The oncogenicity study was • Decreasing adrenal-cortical enzyme in the 70.4 and 205.4 mg/kg/day dose conducted at dose levels of 0 and activity. This action would result in levels. approximately 2, 7, 40, and 80 mg/kg/ decreased adrenal hormones such as A series of mechanistic studies were day. corticosterone levels. As a consequence performed to elucidate and define the The results from the 2 studies are of reduced corticosterone levels, liver promotion properties of combined and summarized as follows: pronounced ACTH concentrations are epoxiconazole. The following The NOAEL was determined to be 2.0 found. conclusions can be drawn from the data: mg/kg/day based on the following • The increased incidences of • The material is a potent inducer of effects: neoplasms in the adrenals are the hepatic cytocrome P–450 enzyme a. Decreases in body weights and food considered to be the result of a system, similar to the drug- consumption were observed in both continuous cell proliferation by these phenobarbital. ≥ male and female rats at dose levels 38 stimulating hormones of the pituitary- • The material induced proliferation mg/kg/day dose groups with a very adrenal axis (ACTH). of the smooth endoplasmatic reticulum slight progression of severity to the For risk assessment purposes the in the liver centrolobular hypertrophy upper level. results obtained at 38 and 78 mg/kg/day and induction of phase 1 and phase 2 b. Varying clinical chemical and dose levels should not be used because enzymes of the xenobiotic metabolism. hematological effects were observed in an extrapolation to lower dose levels is • The material was determined not to either male and/or female rats at dose ≥ not justified due to the unphysiological be an initiator of the carcinogenic levels 8mg/kg/day with a very slight conditions in animals treated at dose process, but a promoter of initiated cells progression of severity to the upper levels near or at the MTD. Under these in the tumorgenesis as has been levels. circumstances neoplastic and non- similarly shown with drug— c. Increased absolute and relative liver neoplastic mechanisms may be induced phenobarbital. weights were seen for males and/or which will not occur at dose levels in As stated above, for risk assessment females at dose levels ≥38 mg/kg/day. which the animals are able to maintain purposes the results obtained at 70.4 d. Microscopic findings were their normal physiological homeostasis. and 205.4 mg/kg/day dose levels should observed in the liver for male and/or The increases in tumor incidence in not be used because an extrapolation to female rats at dose levels ≥38 mg/kg/ endocrine organs due to hormonal lower dose levels is not justified due to day, in female adrenals at the highest imbalance are considered to have a the unphysiological conditions in dose test, and in the ovaries at dose threshold value, because at dose levels animals treated at dose levels exceeding levels ≥38 mg/kg/day. e. An increased incidence of which do not induce cellular alterations the MTD. Under these circumstances, neoplasms occurred at dose levels via hormone levels in these organs, a neoplastic and non-neoplastic greater than the MTD of 8 mg/kg/day in subsequent proliferation and hence mechanisms may be induced which will the females for the adrenals and ovaries. tumor formation cannot occur. not occur at dose levels in which the No increased number of neoplasms were iii. An oncogenicity study in mice fed animals are able to maintain their seen in male rats due to the fact that the dosages of 0, 0.17, 0.81, 35.3, and 70.4 normal physiological homeostasis. MTD in male rats was the HDT as (males) or 205.4 (females) mg/kg/day 5. Animal metabolism. Since there are opposed to the female rat which was with a NOAEL of 0.81 mg/kg/day for no animal feed items associated with significantly lower. Taking into account male and female mice based on the bananas, there is no likelihood of the results obtained in these studies, it following effects: secondary residues in meat, milk, is concluded that the reduction in body a. Highly significant decreased body poultry or eggs. Therefore, data weight gain at 38 and 78 mg/kg/day weights were observed in both male concerning metabolism in livestock is levels met the criteria for a maximum and/or female mice at the mid-high and not required. tolerated dose. It has been determined highest dose tested. 6. Metabolite toxicology. Residues of that effects observed at the 10 mg/kg/ b. Clinical sign of deteriorated state of the parent molecule, epoxiconazole are day dose level achieved or general health were observed in high the only residues of concern. approximated the MTD. dose female mice. 7. Endocrine disruption. A series of The effects on the ovaries were as c. Increased liver weights and mechanistic studies were performed to follows: microscopic findings were observed for elucidate and define the aromatase • Decreasing aromatase enzyme male and female mice at dose the enzyme inhibition properties of activity which, is a response from highest dose tested. epoxiconazole. The following converting both testosterone and d. An increased incidence of conclusions can be drawn from the in adrostendione (male sex-steroids) into neoplasms occurred at dose levels (70.4/ vivo data: The effects on the ovaries are female sex steroids (e.g., estradiol). This 205.4 mg/kg/day) greater than the MTD assessed to be the result of the action would result in decreased of 35.3 mg/kg/day in the male and following: estradiol (i.e., estrogen and prolactin) female mice for the liver. • Decreasing aromatase enzyme and increased androgen levels (i.e., Taking into account the results activity which is responsible for testosterone). As a consequence of obtained in this study, the following converting both testosterone and reduced estradiol levels, measured LH conclusions are drawn: The severe adrostendione (male sex-steroids) into and FSH concentrations are slightly reduction in body weight and body female sex steroids (e.g., estradiol). This altered. weight gain at dose levels ≥35.3 mg/kg/ action would result in decreased • The increased incidences of day indicates that these dose levels estradiol (i.e., estrogen) and increased neoplasms in the ovaries are considered exceeded the criteria for a MTD. It has androgen. As a consequence of reduced to be the result of a continuous cell been determined that liver tumor effects estradiol levels, measured LH and FSH proliferation by these stimulating observed at the 70.4 and 205.4 mg/kg/ concentrations are slightly altered. hormones of the pituitary-gonadal axis day dose levels clearly exceeded the • The increased incidences of (LH and FSH). MTD. The liver necrosis observed in the neoplasms in the ovaries are considered The effects on the adrenals were as male and female mice, further support to be the result of a continuous cell follows: the finding that the MTD was exceeded proliferation by these stimulating

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00033 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57342 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices hormones of the regulating hormones of E. Safety Determination F. International Tolerances the pituitary-gonadal axis (LH and FSH). 1. U.S. population. Using the A maximum residue level has not The changes adrenals are assessed to exposure assumptions described above, been established by the Codex be the result of the following: based on the completeness and the Alimentarius Commission for • Decreasing adrenal-cortical enzyme reliability of the toxicity data, BASF has epoxiconazole in bananas. activity. This action would result in estimated that aggregate exposure to II. Tomen Agro, Inc. decreased adrenal hormones such as epoxiconazole will utilize less than 1% corticosterone levels. As a consequence of the RfD for the U.S. population. EPA 9E06020 of reduced corticosterone levels, generally has no concern for exposure EPA has received a pesticide petition pronounce ACTH concentrations are below 100% of the RfD. Therefore, 9E06020 from the TM–210 (SZX 0722) found. based on the completeness and Fungicide Task Force, comprised of • The increased incidences of reliability of the toxicity data, and the Tomen Agro, Inc., 100 First Street, Suite neoplasms in the adrenals are exposure assessment discussed above, 1700, San Francisco, CA 94105, and considered to be the result of a BASF concludes that there is a Bayer Corporation, 8400 Hawthorn continuos cell proliferation by these reasonable certainty that no harm will Road, Kansas City, MO 64120 stimulating hormones of the pituitary- result from aggregate exposure to proposing, pursuant to section 408(d) of adrenal axis ACTH. residues of epoxiconazole, including all the FFDCA, 21 U.S.C. 346a(d), to amend anticipated dietary exposure and all C. Aggregate Exposure 40 CFR part 180 by establishing a other non-occupational exposures. tolerance for residues of iprovalicarb: 1. Dietary exposure. For the purpose 2. Infants and children. The findings (1S)-2-methyl-1-[[[1-(4- of assessing the potential chronic in the rat and rabbit are most likely as methylphenyl)ethyl] amino] carbonyl] dietary exposure, BASF has estimated a result of excessive maternal toxicity, propyl] carbamic acid 1-methylethyl aggregate exposure based on theoretical treatment of pregnant rats and rabbits ester in or on the raw agricultural maximum residue contribution (TMRC) with epoxiconazole induced commodity imported grapes at 2 ppm from the tolerance of epoxiconazole in embryotoxic effects which manifested and on the processed commodity or on bananas at 0.2 ppm the maximum themselves in the form of early imported raisins at 3 ppm. EPA has residue found in banana pulp. The resorptions and structural anomalies in determined that the petition contains TMRC is a ‘‘worst case’’ estimate of the offspring. In both the rat and rabbit, data or information regarding the dietary exposure since it is assumed that the dose-effect relationship was rather elements set forth in section 408(d)(2) of 100% of all the crops for which the steep and showed clear threshold levels. the FFDCA; however, EPA has not fully tolerances are established are treated At dose levels below the threshold of evaluated the sufficiency of the and that pesticide residues are always maternal toxicity, reproductive submitted data at this time or whether found at tolerance levels. Based on the parameters as well as the offsprings the data support granting of the petition. expected reference dose (RfD) of 0.011 remained entirely unaffected. Additional data may be needed before mg/kg/day (from the NOAEL This data demonstrate that the rat and EPA rules on the petition. determined in the chronic dog study rabbit are similarly sensitive to A. Residue Chemistry and a 100–fold safety factor) and the epoxiconazole. Additionally, the tolerance level residue chronic dietary NOAEL of 1.1 mg/kg/day from the 1. Plant metabolism. The metabolism exposure of the general population is chronic dog study used to set the RfD is of iprovalicarb was investigated in less than 1% of the RfD. 4.5x and 72.7x lower than the maternal grapes, potatoes and tomatoes, and the developmental NOAELs established in i. Food. This is a new chemical and metabolic pathway is similar in the the rat and rabbit teratology studies, there are no other food uses except for three crops. The rate of degradation on respectively. The developmental effects the proposed use on bananas. plants is quite low, and the parent observed in either the rat or rabbit compound was always the major ii. Drinking water. No exposure is occurred only at maternally toxic doses. component, with quantitatively relevant expected from drinking water as this is Therefore, no additional safety factor is metabolites formed only in potatoes. an import tolerance and no U.S. needed for children. The metabolites observed in the potato registrations are expected. Using the assumption stated for the were also observed in the rat. Therefore, 2. Non-dietary exposure. There are no general population, BASF concluded iprovalicarb is the only residue of non-occupational sources of exposure to that the most sensitive child population concern. Plant metabolism proceeds < epoxiconazole for the general group is that of children 1–year. Using along three pathways: population due to fact the action being the same RfD and the same conservative i. Hydroxylation/glycosylation of requested is to establish a tolerance for exposure assumptions employed in the parent at the 4–methyl group on the import purposes only. dietary risk analysis for the general phenyl ring, followed by further D. Cumulative Effects population, it was calculated that the conjugations. exposure to this group is to be ii. Cleavage of the amide group BASF has considered the potential for approximately 2% of the RfD for the use between the L-valine and p-methyl- cumulative effects of epoxiconazole and proposed in this document. Therefore, phenethylamine moieties. other substances which may have a based on the completeness and iii. Hydroxylation/glycosylation of common mechanism of toxicity. BASF reliability of the toxicity data, and the parent at the phenyl-ring 3 position. is aware of other triazole fungicides but exposure assessment discussed above, 2. Analytical method. The proposed has no reliable toxicology information BASF concludes that there is a enforcement residue analytical method concerning those other materials which reasonable certainty that no harm will is an HPLC method with ultra violet would allow a determination regarding result to infants and children from (UV) detection. The limit of similarity of toxicity mechanisms. aggregate exposure to residues of determination is 0.05 ppm in grapes, Therefore, BASF has considered only epoxiconazole, including all anticipated wine, juice and raisins, and the mean the potential risks of epoxiconazole in dietary exposure and all other non- recovery is 94%. DFG multiresidue its exposure assessment. occupational exposures. method S19 has been evaluated as an

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57343 analytical method for the determination 4. Subchronic toxicity— i. In the 13– b. Plasma concentrations were of iprovalicarb residues in grapes and week feeding study in Wistar rats, the investigated in a special 12–week other commodities. The limit of doses were 0, 1,250, 5,000 and 20,000 feeding study in HsdCpb:WU rats. The quantitation (LOQ) of iprovalicarb in/on ppm. The NOAEL was 5,000 ppm (372.7 plasma concentrations of parent grapes is 0.01 ppm. Recoveries in spiked mg/kg bwt/day in males; 561.4 mg/kg compound increased to a measurable samples ranged from 79% to 119%, bwt/day in females) based upon reduced level at a dose of 20,000 ppm in the diet. with the standard deviations ranging body weight gain, increased feed intake The concentration of parent in plasma from 0.06 ppm to 0.16 ppm. DFG (females only), changed clinical was very low due to extensive multiresidue method S 19 (with chemistry parameters (including liver metabolism during the first pass in the modified extraction) was successfully enzyme induction) and elevated liver. At a dose of 20,000 ppm, the validated as an analytical method for absolute liver weights at 20,000 ppm.) iprovalicarb-carboxylic acid (S,R) the determination of residues in/on ii. In the 13–week feeding study in diastereomer increased in relation to the grapes and other commodities. B6C3F1 mice, the doses were 0, 280, corresponding (S,S) diastereomer when 3. Magnitude of residues. The 1,400, 7,000, and 14,000 ppm in the compared to the low dose. maximum measured residue resulting diet. The NOAEL in males was 1,400 c. A bioavailability study was from treatment according to the ppm (325.0 mg/kg bwt/day) based upon conducted in Wistar rats. proposed labels and representative elevated water intake and a changed Administration of thermodynamically viticulture practices was 1.40 ppm in hematological parameter (MCV) at 7,000 stable and thermodynamically labile grapes and 2.55 ppm in raisins. ppm (1,724.6 mg/kg bwt/day). The modifications of iprovalicarb to Wistar Measured residues in juice and wine NOAEL in females was 7,000 ppm rats at concentrations of 2,000 and were lower than the measured residues (3,599.5 mg/kg bwt/day) based upon 20,000 ppm for 2 weeks resulted in no in grapes. elevated water intake, changed toxicologically relevant differences parameter in the red blood count, and based upon the concentration of the B. Toxicological Profile increased liver weights at 14,000 ppm main metabolite, iprovalicarb-carboxylic 1. Acute toxicity. The acute oral LD50 (6,869.0 mg/kg bwt/day). acid, in plasma. Therefore, the in Wistar rats is greater than 5,000 mg/ iii. In the 13–week feeding study in thermodynamically stable and kg body weight. Beagle dogs, the doses were 0, 250, thermodynamically labile modifications 2. Genotoxicty. Iprovalicarb was non- 2,500 and 50,000 ppm iprovalicarb in of iprovalicarb demonstrated no mutagenic or non-clastogenic in six of the diet (0, 9.1, 62.5 and 1,250 mg/kg significant differences in intestinal six assays: bwt/day). The NOAEL was 250 ppm (9.1 absorption and bioavailability. i. Salmonella/microsome test, with mg/kg bwt/day) for males and females d. An in vivo 32P–postlabelling assay and without S9 mix. based upon liver effects (increased of uterus and urinary bladder ii. V79–HPRT forward mutation assay, activity of alkaline phosphatase and epithelium was conducted in female with and without metabolic activation. hepatocellular hypertrophy in one Wistar rats dosed at 10,000 or 20,000 iii. CHO cell assay, with and without animal) at 2,500 ppm. ppm in the diet for 7 days. Iprovalicarb metabolic activation in vitro. 5. Chronic toxicity— i. Wistar rats was determined to be inactive in the iv. In vitro rat primary hepatocyte received 0, 500, 5,000 or 20,000 ppm assay. unscheduled DNA synthesis UDS assay. iprovalicarb in the diet for 24 months. e. A liver foci test was conducted in v. Mouse micronucleus test. The NOAEL in females was 500 ppm male Bor: WISW (SPF-Cpb) rats that vi. 32P-postlabelling assay of the (31.7 mg/kg bwt/day) based upon were dosed by oral gavage with 0 or uterus and urinary bladder of rats. decreased body weights, changed 1,000 mg/kg iprovalicarb for 28 days, Based upon these studies, iprovalicarb clinical chemistry parameters (increased followed by a promotion treatment with is non-mutagenic and non-genotoxic cholesterol concentration and decreased phenobarbital over a period of 8 weeks. both in vitro and in vivo. total bilirubin concentration), increased Iprovalicarb was determined to not have 3. Reproductive and developmental relative liver weights and a tumor initiating potential. toxicity— i. In a 2–generation histopathological findings (increased Based upon the 24–month chronic reproduction study in Wistar rats incidences of hepatocellular feeding study in rats, plus the special receiving 0, 100, 2,000 or 20,000 ppm hypertrophy) at 5,000 ppm. The NOAEL studies, a dose of 20,000 ppm exerts a iprovalicarb in the diet, the parental in males was 5,000 ppm (262.5 mg/kg continuous stress on the xenobiotic NOAEL was 2,000 ppm based upon bwt/day) based upon decreased body metabolizing capacity of the liver that is reduced body weight development and weights, increased APh-activity, and not observed at lower doses. Moreover, increased liver weight at 20,000 ppm. slight increase of tumor incidences at iprovalicarb has no genotoxic potential The reproductive toxicity NOAEL was 20,000 ppm. The histopathological and no tumor initiation potential. 2,000 ppm (100 mg/kg bwt/day) based NOAEL was 5,000 ppm (262.5 mg/kg Therefore, iprovalicarb is not upon delayed body weight development bwt/day in males and 326.3 mg/kg bwt/ carcinogenic in rats. in F1 and F2 pups during lactation, day in females). ii. B6C3F1 mice received 0, 280, slightly reduced mean litter weight at To further evaluate the results of the 1,400, or 7,000 ppm iprovalicarb in the birth and at day 28, increased relative chronic feeding study in rats: diet for up to 105 weeks. The NOAEL liver weights and a reduced lactation a. A special 2–day/13–week in males was 1,400 ppm (283.4 mg/kg index in F1 pups at 20,000 ppm. metabolism study was conducted in bwt/day) based upon slightly higher ii. In a developmental toxicity study Wistar rats at 500 ppm and 20,000 ppm food and water intake and slightly lower in Wistar rats, the maternal and in the diet. Some quantitative body weights at 7,000 ppm (1,566.8 mg/ developmental NOAEL was 1,000 mg/kg differences (shift in diastereomer ratio kg bwt/day). The NOAEL in females was bwt/day (limit dose for study and in favor of S,R; relative higher amounts 7,000 ppm (2,544 mg/kg bwt/day), the highest dose tested (LD/HDT)). of p-methyl-phenethylamine, higher HDT. No oncogenic potential was iii. In a developmental toxicity study proportions of unchanged parent observed in mice. in Russian rabbits, the maternal and compound in feces) after administration iii. Beagle dogs received 0, 80, 800 or developmental NOAEL was 1,000 mg/kg of 20,000 ppm compared to the low 8,000 ppm iprovalicarb in the diet for 53 bwt/day LD/HDT. dose of 500 ppm were observed. weeks. The NOAEL was 80 ppm (2.62

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57344 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices mg/kg bwt/day in males and 2.68 mg/kg and processing studies is 0.32 ppm, and ENVIRONMENTAL PROTECTION bwt/day in females) based upon liver 17.38% of the wine consumed in the AGENCY effects (increased serum activities of U.S. is imported. The anticipated [OPPTS±51952; FRL±6746±8] ALT and APh, cellular hypertrophy and residue in raisins based upon the field periportal fatty change) at 800 ppm and processing studies is 0.91 ppm, and Certain New Chemicals; Receipt and (24.69 mg/kg bwt/day in males and 8.165% of the raisins consumed in the Status Information 28.10 mg/kg bwt/day in females). A U.S. are imported. Assuming 100% of follow-up study was conducted in the imported commodities are treated AGENCY: Environmental Protection Beagle dogs that received 0, 10, 20, 40, and have the average residue resulting Agency (EPA). or 80 ppm iprovalicarb in their diet for from the maximum international use of ACTION: Notice. 28 days. The NOAEL for microsomal iprovalicarb, the total anticipated liver enzyme induction was determined residue is 0.000021 mg/kg bwt/day in SUMMARY: Section 5 of the Toxic to be 20 ppm (0.77 mg/kg bwt/day). the U.S. diet and 0.000056 mg/kg bwt/ Substances Control Act (TSCA) requires Microsomal liver enzyme induction was day for the most exposed sub- any person who intends to manufacture observed at the higher doses, and population, children 1 to 6 years old. (defined by statute to include import) a reversal of induction was observed ii. Drinking water. Iprovalicarb is not new chemical (i.e., a chemical not on within a 4–week recovery period in the registered for use in the United States. the TSCA Inventory) to notify EPA and 80 ppm dose group (2.93 mg/kg bwt/ Therefore, there is no exposure to comply with the statutory provisions day). iprovalicarb through drinking water in pertaining to the manufacture of new 6. Animal metabolism. Iprovalicarb is the United States. chemicals. Under sections 5(d)(2) and readily absorbed, and greater than 2. Non-dietary exposure. Iprovalicarb 5(d)(3) of TSCA, EPA is required to 97.8% of the total radioactivity was is not used in the United States. publish a notice of receipt of a eliminated in urine and feces within 48 Therefore, there is no non-dietary premanufacture notice (PMN) or an hours of dosing. Iprovalicarb is exposure to iprovalicarb in the United application for a test marketing extensively metabolized in the rat. The States. exemption (TME), and to publish periodic status reports on the chemicals primary metabolites (>58% of the D. Cumulative Effects administered dose) were diastereomers under review and the receipt of notices of iprovalicarb-carboxylic acid. Eight Iprovalicarb is a member of a new of commencement to manufacture those minor metabolites, each representing class of chemistry and does not have a chemicals. This status report, which less than 2% of the administered dose, mode of action that is common with covers the period from August 14, 2000 were quantified. other registered pesticides. Therefore, to August 25, 2000, consists of the 7. Metabolite toxicology. The toxicity there are no cumulative effects. PMNs and TMEs, both pending or of p-methyl-phenethylamine, a rat, plant E. Safety Determination expired, and the notices of and soil metabolite, was investigated in commencement to manufacture a new 1. U.S. population. The reference dose chemical that the Agency has received 2 studies: (RfD) is 0.03 mg/kg bwt/day. Based i. The acute oral LD in Wistar rats under TSCA section 5 during this time 50 upon anticipated residues in imported was determined to be in the range of 300 period. commodities and assuming 100% of the to 500 mg/kg bw. ADDRESSES: Comments may be ii. No mutagenic activity was imported commodities contain residue resulting from the proposed European submitted by mail, electronically, or in observed in the Salmonella/microsome person. Please follow the detailed test. p-Methyl-phenethylamine was use of iprovalicarb, the estimated chronic dietary margin of exposure of instructions for each method as found at concentrations of <0.2% and the U.S. population is 0.07% of the RfD. provided in Unit I. of the has been determined to not be Therefore, there is a reasonable certainty SUPPLEMENTARY INFORMATION. To ensure toxicologically significant. proper receipt by EPA, it is imperative 8. Endocrine disruption. No endocrine of no harm to the U.S. population resulting from exposure to iprovalicarb that you identify docket control number disruption potential was observed in the OPPTS–51952 and the specific PMN 2–generation reproduction study, residues in/on imported commodities. 2. Infants and children. The number in the subject line on the first developmental toxicity studies, population subgroup with the maximum page of your response. subchronic feeding studies, and chronic estimated dietary exposure is children FOR FURTHER INFORMATION CONTACT: feeding studies. age 1 to 6 years old. For this subgroup, Barbara Cunningham, Director, Office of C. Aggregate Exposure and using the same assumptions as Program Management and Evaluation, Office of Pollution Prevention and 1. Dietary exposure. There are no listed for the U.S. population, the Toxics (7401), Environmental Protection registered uses of iprovalicarb in the estimated chronic dietary margin of Agency, 1200 Pennsylvania Ave., NW., U.S., and no registrations or other exposure is 0.18% of the RfD. Therefore, Washington, DC 20460; telephone tolerances are pending. Dietary there is a reasonable certainty of no number: (202) 554–1404; e-mail address: exposure to iprovalicarb in the U.S. is harm to infants and children in the U.S. [email protected]. limited to residues in/on imported resulting from exposure to iprovalicarb grapes, grape juice, wine, and raisins. residues in/on imported commodities. SUPPLEMENTARY INFORMATION: i. Food. The anticipated residue in/on F. International Tolerances I. General Information fresh grapes based upon the field The following maximum residue studies is 0.50 ppm, and 35.71% of the A. Does this Action Apply to Me? levels are pending in the European fresh grapes consumed in the U.S. are This action is directed to the public Union: 2.0 mg/kg in/on grapes; 0.5 mg/ imported. The anticipated residue in in general. As such, the Agency has not kg in animal fat; 0.05 mg/kg in potatoes, grape juice based upon the field and attempted to describe the specific animal meat, animal edible offal and processing studies is 0.050 ppm, and entities that this action may apply to. eggs; and 0.01 mg/kg in milk. 37.05% of the grape juice consumed in Although others may be affected, this the U.S. is imported. The anticipated [FR Doc 00–24436 Filed 9–21–00; 8:45 a.m.] action applies directly to the submitter residue in wine based upon the field BILLING CODE 6560±50±S of the premanufacture notices addressed

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00036 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57345 in the action. If you have any questions 2. In person or by courier. Deliver 4. If you estimate potential burden or regarding the applicability of this action your comments to: OPPT Document costs, explain how you arrived at the to a particular entity, consult the person Control Office (DCO) in East Tower Rm. estimate that you provide. listed under FOR FURTHER INFORMATION G–099, Waterside Mall, 401 M St., SW., 5. Provide specific examples to CONTACT. Washington, DC. The DCO is open from illustrate your concerns. 8 a.m. to 4 p.m., Monday through 6. Offer alternative ways to improve B. How Can I Get Additional Friday, excluding legal holidays. The the notice or collection activity. Information, Including Copies of this telephone number for the DCO is (202) 7. Make sure to submit your Document and Other Related 260–7093. comments by the deadline in this Documents? 3. Electronically. You may submit document. 1. Electronically. You may obtain your comments electronically by e-mail 8. To ensure proper receipt by EPA, copies of this document and certain to: ‘‘[email protected],’’ or mail your be sure to identify the docket control other available documents from the EPA computer disk to the address identified number assigned to this action in the Internet Home Page at http:// in this unit. Do not submit any subject line on the first page of your www.epa.gov/. On the Home Page select information electronically that you response. You may also provide the ‘‘Laws and Regulations,’’ ‘‘Regulations consider to be CBI. Electronic comments name, date, and Federal Register and Proposed Rules,’’ and then look up must be submitted as an ASCII file citation. the entry for this document under the avoiding the use of special characters II. Why is EPA Taking this Action? ‘‘Federal Register—Environmental and any form of encryption. Comments Documents.’’ You can also go directly to and data will also be accepted on Section 5 of TSCA requires any the Federal Register listings at http:// standard disks in WordPerfect 6.1/8.0 or person who intends to manufacture www.epa.gov/fedrgstr/. ASCII file format. All comments in (defined by statute to include import) a 2. In person. The Agency has electronic form must be identified by new chemical (i.e., a chemical not on established an official record for this docket control number OPPTS–51952 the TSCA Inventory to notify EPA and action under docket control number and the specific PMN number. comply with the statutory provisions OPPTS–51952. The official record Electronic comments may also be filed pertaining to the manufacture of new consists of the documents specifically online at many Federal Depository chemicals. Under sections 5(d)(2) and referenced in this action, any public Libraries. 5(d)(3) of TSCA, EPA is required to comments received during an applicable publish a notice of receipt of a PMN or comment period, and other information D. How Should I Handle CBI that I Want an application for a TME and to publish related to this action, including any to Submit to the Agency? periodic status reports on the chemicals information claimed as confidential Do not submit any information under review and the receipt of notices business information (CBI). This official electronically that you consider to be of commencement to manufacture those record includes the documents that are CBI. You may claim information that chemicals. This status report, which physically located in the docket, as well you submit to EPA in response to this covers the period from August 14, 2000 as the documents that are referenced in document as CBI by marking any part or to August 25, 2000, consists of the those documents. The public version of all of that information as CBI. PMNs and TMEs, both pending or the official record does not include any Information so marked will not be expired, and the notices of information claimed as CBI. The public disclosed except in accordance with commencement to manufacture a new version of the official record, which procedures set forth in 40 CFR part 2. chemical that the Agency has received includes printed, paper versions of any In addition to one complete version of under TSCA section 5 during this time electronic comments submitted during the comment that includes any period. an applicable comment period, is information claimed as CBI, a copy of III. Receipt and Status Report for PMNs available for inspection in the TSCA the comment that does not contain the and TMEs Nonconfidential Information Center, information claimed as CBI must be North East Mall Rm. B–607, Waterside submitted for inclusion in the public This status report identifies the PMNs Mall, 401 M St., SW., Washington, DC. version of the official record. and TMEs, both pending or expired, and The Center is open from noon to 4 p.m., Information not marked confidential the notices of commencement to Monday through Friday, excluding legal will be included in the public version manufacture a new chemical that the holidays. The telephone number of the of the official record without prior Agency has received under TSCA Center is (202) 260–7099. notice. If you have any questions about section 5 during this time period. If you CBI or the procedures for claiming CBI, are interested in information that is not C. How and to Whom Do I Submit please consult the person listed under included in the following tables, you Comments? FOR FURTHER INFORMATION CONTACT. may contact EPA as described in Unit II. You may submit comments through to access additional non-CBI the mail, in person, or electronically. To E. What Should I Consider as I Prepare information that may be available. ensure proper receipt by EPA, it is My Comments for EPA? In table I, EPA provides the following imperative that you identify docket You may find the following information (to the extent that such control number OPPTS–51952 and the suggestions helpful for preparing your information is not claimed as CBI) on specific PMN number in the subject line comments: the PMNs received by EPA during this on the first page of your response. 1. Explain your views as clearly as period: the EPA case number assigned 1. By mail. Submit your comments to: possible. to the PMN; the date the PMN was Document Control Office (7407), Office 2. Describe any assumptions that you received by EPA; the projected end date of Pollution Prevention and Toxics used. for EPA’s review of the PMN; the (OPPT), Environmental Protection 3. Provide copies of any technical submitting manufacturer; the potential Agency, 1200 Pennsylvania Ave., NW., information and/or data you used that uses identified by the manufacturer in Washington, DC 20460. support your views. the PMN; and the chemical identity.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00037 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57346 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

I. 35 PREMANUFACTURE NOTICES RECEIVED FROM: 08/14/00 TO 08/25/00

Projected Case No. Received Notice Manufacturer/Importer Use Chemical Date End Date

P±00±1114 08/15/00 11/13/00 Cognis Corporation (G) Synthetic lubricant (S) 1,3-propanediol, 2,2-dimethyl-, di- C5±9 carboxylates* P±00±1115 08/14/00 11/12/00 CBI (G) Open, non-dispersive use. (G) Acrylic dispersant polymer P±00±1116 08/15/00 11/13/00 Ashland Inc. (G) Closed compression molding op- (G) Unsaturated polyester erations. P±00±1117 08/15/00 11/13/00 Bedoukian Research, (S) Chemical intermediate for flavor/ (G) Alkenyl keto acid Inc. fragrance product (ffdca); chemical intermediate for fragrances used in soaps, detergents, air fresheners, scented papers, etc. P±00±1118 08/15/00 11/13/00 Bedoukian Research, (S) Chemical intermediate for flavor/ (G) Alkenyl hydroxy acid Inc. fragrance product (ffdca); chemical intermediate for fragrances used in soaps, detergetns, air freshners, scented papers, etc. P±00±1119 08/16/00 11/14/00 CBI (G) Resin coating (G) Polyester resin P±00±1120 08/16/00 11/14/00 CBI (G) Resin coating (G) Polyester resin P±00±1121 08/17/00 11/15/00 DMC2-Degussa Met- (G) Pigment (G) Mixed metal oxide als Catalyst Cerdec, Cerdic Division P±00±1122 08/17/00 11/15/00 DMC2-Degussa Met- (G) Pigment (G) Mixed metal oxide als Catalyst Cerdec, Cerdic Division P±00±1123 08/17/00 11/15/00 DMC2-Degussa Met- (G) Pigment (G) Mixed metal oxide als Catalyst Cerdec, Cerdic Division P±00±1124 08/17/00 11/15/00 DMC2-Degussa Met- (G) Pigment (G) Mixed metal oxide als Catalyst Cerdec, Cerdic Division P±00±1125 08/17/00 11/15/00 DMC2-Degussa Met- (G) Pigment (G) Mixed metal oxide als Catalyst Cerdec, Cerdic Division P±00±1126 08/17/00 11/15/00 DmMC2-Degussa Met- (G) Pigment (G) Mixed metal oxide als Catalyst Cerdec, Cerdic Division P±00±1127 08/17/00 11/15/00 CBI (S) Dye for coloring hair (S) 1 h-imidazolium,2-[(4- aminophenyl)azo]-1,3-dimethyl-, chloride* P±00±1128 08/18/00 11/16/00 Laporte Speciality Inc (G) Acryalte monomer, intermediate (G) Acrylate ester of polyethylene gly- for polymer production (destructive col use) P±00±1129 08/21/00 11/19/00 International Flavors (S) Raw materials for use in fra- (S) 4,7-methano-1h-inden-6-ol, and Fragrances, Inc. grances for soaps, detergents, 3a,4,5,6,7,7a-hexahydro-, cleaners and other household prod- butanoate* ucts P±00±1130 08/18/00 11/16/00 Bedoukian Research, (S) Chemical intermediate for flavor/ (G) Acetylenic alcohol Inc. fragrance product (ffdca) P±00±1131 08/18/00 11/16/00 Bedoukian Research, (S) Chemical intermediate for flavor/ (G) Alkynyl acetate Inc. fragrance product (ffdca).;chemical intermediate for fragrances used in soaps, detergents, air freshners, scented papers, etc. P±00±1132 08/21/00 11/19/00 Degussa-Huls Cor- (S) Anti-graffiti-systems (G) Fluoro/amino silane mixture poration P±00±1133 08/21/00 11/19/00 Solutia Inc. (G) Co-curing resin, chemical identity (G) Carboxy modified polyester changed in use P±00±1134 08/22/00 11/20/00 CBI (G) Urethane prepolymer (G) Urethane prepolymer P±00±1135 08/21/00 11/19/00 Rohm America Inc. (G) Binding agent in polymerizable (G) Acrylic polymer on the basis of n- systems hexyl methacyrlate P±00±1136 08/23/00 11/21/00 CBI (G) Dispersant (G) Substituted alkenyl succinic anhy- dride reaction product with polyalkylenepolyamine, alkylphenol, hydroxyalkylcarboxylic acid and an aldehyde P±00±1137 08/23/00 11/21/00 Solutia Inc. (S) Binder for industrial coat- (G) Polyurethane dispersion ings;binder for printing inks P±00±1138 08/24/00 11/22/00 Burlington Chemical (S) Lubricant additive for metal;textile (S) Castor oil, dihydrogen phosphate, Co., Inc. lubricant;process lubricant monopotassium salt*

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57347

I. 35 PREMANUFACTURE NOTICES RECEIVED FROM: 08/14/00 TO 08/25/00ÐContinued

Projected Case No. Received Notice Manufacturer/Importer Use Chemical Date End Date

P±00±1139 08/25/00 11/23/00 CBI (S) Lubricant for both offshore and (S) Hexanoic acid, 3,5,5-trimethyl-, onshore oil production sites compd. with 1,1′,1′′-nitrilotris[2-pro- panol] (1:1)* P±00±1140 08/25/00 11/23/00 CBI (S) Lubricant for both offshore and (S) Hexanoic acid, 3,5,5-trimethyl-, onshore oil production sites compd. with 1,1′-iminobis[2-pro- panol] (1:1)* P±00±1141 08/25/00 11/23/00 CBI (S) Lubricant for both offshore and (S) Hexanoic acid, 3,5,5-trimethyl-, onshore oil production sites compd. with 1-amino-2-propanol (1:1)* P±00±1142 08/22/00 11/20/00 CBI (G) Polymer additive and coatings (G) Aliphatic methacrylate urethane oligomer P±00±1143 08/24/00 11/22/00 CBI (G) Resin coating (G) Polyester acrylate P±00±1144 08/24/00 11/22/00 Bedoukian Research, (S) Chemical intermediate for flavor/ (G) Unsaturated alkyl acid Inc. fragrance product (ffdca);chemical intermediate for fragrances used in soaps, detergents, air fresheners, scented papers, etc. P±00±1145 08/24/00 11/22/00 Bedoukian Research, (S) Used in cheese, butter, fruit fla- (S) Hexanoic acid, 5-methyl-* Inc. vors;other uses: soaps, detergents, air fresheners P±00±1146 08/24/00 11/22/00 Degussa-Huls Cor- (S) Surface modifier for inorganic (S) Silsesquioxanes, 3-aminopropyl poration fillers and pigments vinyl, hydroxy-terminated, formates (salts)* P±00±1147 08/25/00 11/23/00 Kalamazoo Paper (S) An optical brightner quenching (S) 1,4-benzenedicarboxylic acid, Chemicals agent for recycled papers and polymer with n-(2-aminoethyl)-1,2- cellulosics ethanediamine, sulphate* P±00±1148 08/25/00 11/23/00 CBI (G) Industrial coating additive (G) Castor oil modified alkyd resin P±00±1149 08/25/00 11/23/00 The Dow Chemical (S) Air pollution control media (S) Benzene, diethenyl-, polymer with Company ethenylbenzene and ethenylethylbenzene, chloromethylated, cyclized, reaction products with ethylbenzene*

In table II, EPA provides the following information (to the extent that such information is not claimed as CBI) on the TMEs received:

II. 1 TEST MARKETING EXEMPTION NOTICE RECEIVED FROM: 08/14/00 TO 08/25/00

Projected Case No. Received Notice Manufacturer/Importer Use Chemical Date End Date

T±00±0005 08/25/00 10/09/00 CBI (G) Demulsifies (emulsion breaker) (G) Polyethyleneimine propoxylate for water-in-oil emulsions quat.

In table III, EPA provides the following information (to the extent that such information is not claimed as CBI) on the Notices of Commencement to manufacture received:

III. 58 NOTICES OF COMMENCEMENT FROM: 08/14/00 TO 08/25/00

Commencement/ Case No. Received Date Import Date Chemical

P±00±0058 08/22/00 08/08/00 (G) Polyester acrylate P±00±0299 08/21/00 07/25/00 (G) 1,5-naphthalenedisulfonic acid, 3-[[2-(acetylamino)-4-[[4-chloro-6-[sub- stituted]-1,3,5-triazin-2-yl]amino]phenyl]azo]-, trisodium salt P±00±0366 08/16/00 07/12/00 (G) Alloy of polyolefin and polyamide P±00±0367 08/16/00 07/12/00 (G) Alloy of polyolefin and polyamide P±00±0423 08/15/00 07/26/00 (G) Dinonylnaphthalenesulfonic acid compound with amine P±00±0424 08/22/00 08/09/00 (G) Dinonylnaphthalenesulfonic acid compound with amine P±00±0472 08/18/00 06/29/00 (G) Halogenated alkane P±00±0546 08/24/00 07/31/00 (G) Alkyloxy-hydroxypropyl, trialkylamine, ammonium chloride P±00±0547 08/24/00 07/31/00 (G) Alkyloxy-hydroxypropyl, dialkylamine P±00±0549 08/21/00 08/16/00 (G) Polyurethane acrylate ester

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00039 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57348 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

III. 58 NOTICES OF COMMENCEMENT FROM: 08/14/00 TO 08/25/00ÐContinued

Commencement/ Case No. Received Date Import Date Chemical

P±00±0591 08/21/00 07/26/00 (G) Organometallic compound P±00±0593 08/14/00 07/19/00 (S) Pentadecanedioic acid* P±00±0594 08/14/00 07/19/00 (S) Heptadecanedioic acid* P±00±0595 08/14/00 07/19/00 (S) Octadecanedioic acid* P±00±0596 08/14/00 07/19/00 (S) Eicosanedioic acid* P±00±0597 08/14/00 07/19/00 (S) 5-tetradecenedioic acid, (5z)-* P±00±0598 08/14/00 07/19/00 (S) 7-hexadecenedioic acid, (7z)-* P±00±0599 08/14/00 07/19/00 (S) 8-heptadecenedioic acid, (8z)-* P±00±0600 08/14/00 07/19/00 (S) 9-octadecenedioic acid, (9z)-* P±00±0601 08/14/00 07/19/00 (S) 6,9-octadecadienedioic acid, (6z,9z)-* P±00±0602 08/14/00 07/19/00 (S) 9-eicosenedioic acid, (9z)-* P±00±0613 08/18/00 08/01/00 (S) 1,2,3-propanetriol, homopolymer, isooctadecanoate P±00±0741 08/25/00 08/17/00 (G) 2-hydroxy-3-alkyl substituted cycloalkenone P±00±0752 08/23/00 08/16/00 (G) Polyoxyethylene alkyl ether sulfosuccinate metal salts P±00±0767 08/17/00 08/04/00 (G) Modified carbamate acrylic polymer P±96±1087 08/15/00 08/01/00 (G) Organo silane ester P±98±0849 08/14/00 08/07/00 (G) Ppdi polyester-polyether prepolymer P±99±0150 08/14/00 07/21/00 (G) Capped polyurethane adduct P±99±0151 08/14/00 07/25/00 (G) Capped polyurethane adduct P±99±0158 08/14/00 08/02/00 (G) Epoxy resin polymer adduct P±99±0316 08/25/00 07/31/00 (G) Aminomethylated bisphenol a-bisphenol a epichlorohydrin polymer, phos- phoric acid salt P±99±0338 08/18/00 07/19/00 (G) Substituted aliphatic alcohol P±99±0344 08/18/00 07/19/00 (G) Substituted aliphatic alcohol P±99±0374 08/14/00 08/09/00 (G) Alken-yne substituted pyran P±99±1045 08/14/00 08/08/00 (S) Castor oil, benzoate* P±99±1189 08/17/00 08/13/00 (G) Isoalkyl methacrylate ester P±99±1217 08/18/00 08/06/00 (G) Amine neutralized phosphated polyester P±99±1218 08/18/00 08/06/00 (G) Amine neutralized phosphated polyester

List of Subjects 5(d)(3) of TSCA, EPA is required to number: (202) 554–1404; e-mail address: Environmental protection, Chemicals, publish a notice of receipt of a [email protected]. Premanufacturer notices. premanufacture notice (PMN) or an SUPPLEMENTARY INFORMATION: application for a test marketing I. General Information Dated: September 7, 2000. exemption (TME), and to publish periodic status reports on the chemicals A. Does this Action Apply to Me? Deborah A. Williams, under review and the receipt of notices This action is directed to the public of commencement to manufacture those in general. As such, the Agency has not Acting Director, Information Management chemicals. This status report, which attempted to describe the specific Division, Office of Pollution Prevention and covers the period from July 24, 2000 to Toxics. entities that this action may apply to. August 11, 2000, consists of the PMNs, Although others may be affected, this [FR Doc. 00–24435 Filed 9–21–00; 8:45 am] both pending or expired, and the notices action applies directly to the submitter BILLING CODE 6560±50±S of commencement to manufacture a new of the premanufacture notices addressed chemical that the Agency has received in the action. If you have any questions under TSCA section 5 during this time regarding the applicability of this action ENVIRONMENTAL PROTECTION period. to a particular entity, consult the person AGENCY ADDRESSES: Comments may be listed under FOR FURTHER INFORMATION CONTACT. [OPPTS±51951; FRL±6743±1] submitted by mail, electronically, or in person. Please follow the detailed B. How Can I Get Additional Certain New Chemicals; Receipt and instructions for each method as Information, Including Copies of this Status Information provided in Unit I. of the Document and Other Related SUPPLEMENTARY INFORMATION. To ensure AGENCY: Documents? Environmental Protection proper receipt by EPA, it is imperative 1. Electronically. You may obtain Agency (EPA). that you identify docket control number copies of this document and certain ACTION: Notice. OPPTS–51951 and the specific PMN other available documents from the EPA number in the subject line on the first SUMMARY: Section 5 of the Toxic Internet Home Page at http:// page of your response. Substances Control Act (TSCA) requires www.epa.gov/. On the Home Page select any person who intends to manufacture FOR FURTHER INFORMATION CONTACT: ‘‘Laws and Regulations,’’ ‘‘Regulations (defined by statute to include import) a Barbara Cunningham, Director, Office of and Proposed Rules,’’ and then look up new chemical (i.e., a chemical not on Program Management and Evaluation, the entry for this document under the the TSCA Inventory) to notify EPA and Office of Pollution Prevention and ‘‘Federal Register—Environmental comply with the statutory provisions Toxics (7401), Environmental Protection Documents.’’ You can also go directly to pertaining to the manufacture of new Agency, 1200 Pennsylvania Ave., NW., the Federal Register listings at http:// chemicals. Under sections 5(d)(2) and Washington, DC 20460; telephone www.epa.gov/fedrgstr/.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57349

2. In person. The Agency has information electronically that you 7. Make sure to submit your established an official record for this consider to be CBI. Electronic comments comments by the deadline in this action under docket control number must be submitted as an ASCII file document. OPPTS–51951. The official record avoiding the use of special characters 8. To ensure proper receipt by EPA, consists of the documents specifically and any form of encryption. Comments be sure to identify the docket control referenced in this action, any public and data will also be accepted on number assigned to this action in the comments received during an applicable standard disks in WordPerfect 6.1/8.0 or subject line on the first page of your comment period, and other information ASCII file format. All comments in response. You may also provide the related to this action, including any electronic form must be identified by name, date, and Federal Register information claimed as confidential docket control number OPPTS–51951 citation. business information (CBI). This official and the specific PMN number. record includes the documents that are Electronic comments may also be filed II. Why is EPA Taking this Action? physically located in the docket, as well online at many Federal Depository Libraries. Section 5 of TSCA requires any as the documents that are referenced in person who intends to manufacture those documents. The public version of D. How Should I Handle CBI that I Want (defined by statute to include import) a the official record does not include any to Submit to the Agency? new chemical (i.e., a chemical not on information claimed as CBI. The public the TSCA Inventory to notify EPA and version of the official record, which Do not submit any information electronically that you consider to be comply with the statutory provisions includes printed, paper versions of any pertaining to the manufacture of new electronic comments submitted during CBI. You may claim information that you submit to EPA in response to this chemicals. Under sections 5(d)(2) and an applicable comment period, is 5(d)(3) of TSCA, EPA is required to available for inspection in the TSCA document as CBI by marking any part or all of that information as CBI. publish a notice of receipt of a PMN or Nonconfidential Information Center, an application for a TME and to publish North East Mall Rm. B–607, Waterside Information so marked will not be disclosed except in accordance with periodic status reports on the chemicals Mall, 401 M St., SW., Washington, DC. under review and the receipt of notices The Center is open from noon to 4 p.m., procedures set forth in 40 CFR part 2. In addition to one complete version of of commencement to manufacture those Monday through Friday, excluding legal chemicals. This status report, which holidays. The telephone number of the the comment that includes any information claimed as CBI, a copy of covers the period from July 24, 2000 to Center is (202) 260–7099. the comment that does not contain the August 11, 2000, consists of the PMNs C. How and to Whom Do I Submit information claimed as CBI must be pending or expired, and the notices of Comments? submitted for inclusion in the public commencement to manufacture a new chemical that the Agency has received You may submit comments through version of the official record. under TSCA section 5 during this time the mail, in person, or electronically. To Information not marked confidential period. ensure proper receipt by EPA, it is will be included in the public version imperative that you identify docket of the official record without prior III. Receipt and Status Report for PMNs control number OPPTS–51951 and the notice. If you have any questions about specific PMN number in the subject line CBI or the procedures for claiming CBI, This status report identifies the on the first page of your response. please consult the person listed under PMNs, both pending or expired, and the 1. By mail. Submit your comments to: FOR FURTHER INFORMATION CONTACT. notices of commencement to Document Control Office (7407), Office E. What Should I Consider as I Prepare manufacture a new chemical that the of Pollution Prevention and Toxics My Comments for EPA? Agency has received under TSCA (OPPT), Environmental Protection section 5 during this time period. If you You may find the following Agency, 1200 Pennsylvania Ave., NW., are interested in information that is not suggestions helpful for preparing your Washington, DC 20460. included in the following tables, you comments: may contact EPA as described in Unit II. 2. In person or by courier. Deliver 1. Explain your views as clearly as your comments to: OPPT Document to access additional non-CBI possible. information that may be available. Control Office (DCO) in East Tower Rm. 2. Describe any assumptions that you G–099, Waterside Mall, 401 M St., SW., used. In table I, EPA provides the following Washington, DC. The DCO is open from 3. Provide copies of any technical information (to the extent that such 8 a.m. to 4 p.m., Monday through information and/or data you used that information is not claimed as CBI) on Friday, excluding legal holidays. The support your views. the PMNs received by EPA during this telephone number for the DCO is (202) 4. If you estimate potential burden or period: the EPA case number assigned 260–7093. costs, explain how you arrived at the to the PMN; the date the PMN was 3. Electronically. You may submit estimate that you provide. received by EPA; the projected end date your comments electronically by e-mail 5. Provide specific examples to for EPA’s review of the PMN; the to: ‘‘[email protected],’’ or mail your illustrate your concerns. submitting manufacturer; the potential computer disk to the address identified 6. Offer alternative ways to improve uses identified by the manufacturer in in this unit. Do not submit any the notice or collection activity. the PMN; and the chemical identity.

I. 61 PREMANUFACTURE NOTICES RECEIVED FROM: 07/24/00 TO 08/11/00

Projected Case No. Received Notice Manufacturer/Importer Use Chemical Date End Date

P±00±1053 07/25/00 10/23/00 CBI (S) Paper (G) Naphthalene sulfonic acid deriva- tive

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57350 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

I. 61 PREMANUFACTURE NOTICES RECEIVED FROM: 07/24/00 TO 08/11/00ÐContinued

Projected Case No. Received Notice Manufacturer/Importer Use Chemical Date End Date

P±00±1054 07/25/00 10/23/00 Bedoukian Research, (S) Chemical intermediate-pharma- (S) 3-butn-1-ol Inc. ceutical products.; chemical intermediae for flavor/fragrance products (ffdca); chemical inter- mediate for non-cosmetic applica- tions: soaps, detergents, air-fresh- eners, scented paper, etc.* P±00±1055 07/24/00 10/22/00 Bic USA Inc. (G) A colorant for ink (G) Sulfonated-copper phthalocyanine salt of a triarylmethane dye P±00±1056 07/25/00 10/23/00 CBI (G) Open, non-dispersive use (G) Polyester resin P±00±1057 07/27/00 10/25/00 CBI (S) Paper dye (G) Azo dye, copper complex P±00±1058 07/27/00 10/25/00 CBI (S) Component of wire enamels used (G) Aromatic dicarboxylic acid poly- in electrical industry mer with 1,3-dihydro-1,3-dioxo-5- isobenzofuran-carboxylic acid and 1,1′-methylenebis[4- isocyanatobenzene] P±00±1059 07/27/00 10/25/00 3M Company (S) Adhesion promoter (G) Alkylstyryl polyurea resin P±00±1060 07/27/00 10/25/00 CBI (G) Coating additive for open, non- (G) Magnesium salt of phosphate dispersive use ester P±00±1061 07/27/00 10/25/00 E.I. Du pont De Ne- (G) Elastomeric parts (G) Modified ethylene/methyl acrylate mours & Company, copolymer Inc. (dupont) P±00±1062 07/27/00 10/25/00 Vantico Inc. (S) Cure agent for epoxy floor coat- (G) 4,4′-(1- ing; cure agent for epoxy tank lin- methylethylidene)bisphenol, poly- ings; cure agent for maintenance mer with (chloromethyl)oxirane and coatings a diamine P±00±1063 07/31/00 10/29/00 International Flavors (S) Raw material for use in fra- (S) Benzenepropanal, 4-(1- and Fragrances, Inc. grances for soaps, detergents, methylethyl)-* cleaners and other household prod- ucts P±00±1064 07/31/00 10/29/00 Orient Corporation of (S) Charge stabilizer for lectro-photo (S) Ferrate(1-), bis[3,5-bis(1,1- America copy toner dimethylethyl)-2-(hydroxy- .kappa.o)benzoato(2-)-.kappa.o]-, hydrogen* P±00±1065 07/31/00 10/29/00 CBI (G) Intermediate (S) Methanesulfonamide,1,1,1,- trifluoro-n-[(trifluoromethyl)sulfonyl]- * P±00±1066 07/31/00 10/29/00 CBI (G) Destructive use (G) Methacrylic acid copolymer P±00±1067 07/28/00 10/26/00 CBI (G) Oil lubricity modifier (G) Linear alkyl polyhydroxypolyester P±00±1068 07/31/00 10/29/00 Mitsui Chemicals (G) Encapsulating or impregnation (S) Oxirane, 2,2′-[[1- [4-[1-methyl-1- America, Inc. [4- (oxiranylmethox- y)phenyl]ethyl]phenyl] ethyl- idene]bis(4,1- phenyleneoxymethylene)]bis-* P±00±1069 07/31/00 10/29/00 Mitsui Chemicals (G) Encapsulating or impregnation (S) 2-propanol, 1,3-bis[4-[1- [4-[1- America, Inc. methyl-1-[4- (oxiranylmethoxy)phenyl] ethyl]phenyl]-1-[4-(oxiranylmethoxy) phenyl]ethyl]phenoxy]-* P±00±1070 07/31/00 10/29/00 CBI (G) Additive to security inks disper- (G) Phosphomolybdo tungstic acid sive use. complex of a quaternary amine. P±00±1071 08/01/00 10/30/00 Atofina Chemicals, (S) Paper sizing agent for high end (S) 2,5-furandione, telomer with Inc. inkjet paper ethenylbenzene and (1- methylethyl)benzene, 3- (dimethylamino)propyl imide, acetates* P±00±1072 08/01/00 10/30/00 Atofina Chemicals, (S) Paper sizing agent for high end (S) 2,5-furandione, telomer with Inc. inkjet paper ethenylbenzene and (1- methylethyl)benzene, 3- (dimethylamino)propyl imide, sulfates* P±00±1073 08/01/00 10/30/00 Atofina Chemicals, (S) Paper sizing agent for high end (S) 2,5-furandione, telomer with Inc. inkjet paper ethenylbenzene and (1- methylethyl)benzene, 3- (dimethylamino)propyl imide, phosphates*

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00042 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57351

I. 61 PREMANUFACTURE NOTICES RECEIVED FROM: 07/24/00 TO 08/11/00ÐContinued

Projected Case No. Received Notice Manufacturer/Importer Use Chemical Date End Date

P±00±1074 08/01/00 10/30/00 Atofina Chemicals, (S) Paper sizing agent for high end (S) 2,5-furandione, telomer with Inc. inkjet paper ethenylbenzene and (1- methylethyl)benzene, 3- (dimethylamino)propyl imide, methanesulfonates* P±00±1075 08/01/00 10/30/00 Atofina Chemicals, (S) Paper sizing agent for high end (S) 2,5-furandione, telomer with Inc. inkjet paper ethenylbenzene and (1- methylethyl)benzene, 3- (dimethylamino)propyl imide, hydrochlorides* P±00±1076 08/01/00 10/30/00 CBI (G) Acrylic copolymer salt (G) Acrylic copolymer salt P±00±1077 08/01/00 10/30/00 CBI (G) Open, non-dispersive use (G) Ferric complex P±00±1078 08/01/00 10/30/00 CBI (G) Fuel additive (G) Potassium sulfonate P±00±1079 08/02/00 10/31/00 CBI (G) Printing ink. (G) Fatty acid, C18±unsatd., dimers, polymers with hexamethylenediamine, acyclic diamine, monocarboxylic acid and a diacarboxylic acid. P±00±1080 08/02/00 10/31/00 CBI (G) Printing ink. (G) Fatty acid, C18±unsatd., dimers, polymers with hexamethylenediamine, a cyclic diamine, a monocarboxylic acid and a diacarboxylic acid. P±00±1081 08/02/00 10/31/00 CBI (G) Printing ink. (G) Fatty acid, C18±unsatd., dimers, polymers with ethylenediamine, hexamethylenediamine, a cyclic diamine, monocarboxylic acid and a diacarboxylic acid. P±00±1082 08/02/00 10/31/00 CBI (G) Printing ink. (G) Fatty acid, C18±unsatd., dimers, polymers with ethylenediamine, hexamethylenediamine, propanoic acid, a cyclic diamine, monocarboxylic acid and a diacarboxylic acid. P±00±1083 08/02/00 10/31/00 CBI (G) Printing ink. (G) Fatty acid, C18±unsatd., dimers, polymers with ethylenediamine, hexamethylenediamine, propanoic acid, a cyclic diamine, monocarboxylic acid and a diacarboxylic acid and polymerized fatty acids. P±00±1084 08/02/00 10/31/00 CBI (G) Printing ink. (G) Fatty acid, C18±unsatd., dimers, polymers with ethylenediamine, hexamethylenediamine, a cyclic diamine, monocarboxylic acid, dicarboxylic and polymerized fatty acids* P±00±1085 08/02/00 10/31/00 3M company (G) Surfactant (G) Fluoroacrylate copolymer P±00±1086 08/02/00 10/31/00 CBI (G) Strong base used to perform pro- (G) Potassium amide salt ton abstractions P±00±1087 08/02/00 10/31/00 CBI (G) Chemical intermediate used in the (G) Di-alkyl borane synthesis of chemicals and poly- mers P±00±1088 08/02/00 10/31/00 CBI (G) Reagent for organic synthesis (G) Potassium alkoxide P±00±1089 08/02/00 10/31/00 CBI (G) Chemical intermediate used in the (G) Alkali metal alkyl borohydride synthesis of pharmaceuticls P±00±1090 08/02/00 10/31/00 CBI (G) Synthetic paper size emulsifier (G) Modified cationic acrylamide poly- mer P±00±1091 08/02/00 10/31/00 3M Company (G) Paper or film coating (G) Neutralized acrylate polymer P±00±1092 08/02/00 10/31/00 3M Company (G) Surfactant (G) Perfluoroalkyl derivative P±00±1093 08/02/00 10/31/00 3M Company (G) Surfactant (G) Fluoroacrylate copolymer P±00±1094 08/02/00 10/31/00 CBI (G) Dye (G) Sodium salt of a naphthalene azo dyestuff P±00±1095 08/04/00 11/02/00 CBI (G) Moisture curing polyurethane ad- (G) Isocyanate terminated urethane hesives polymer P±00±1096 08/04/00 11/02/00 Solutia Inc. (S) Solid reactive curing agent for uv- (G) Methacrylated aliphatic urethane cured powder coatings

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57352 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

I. 61 PREMANUFACTURE NOTICES RECEIVED FROM: 07/24/00 TO 08/11/00ÐContinued

Projected Case No. Received Notice Manufacturer/Importer Use Chemical Date End Date

P±00±1097 08/04/00 11/02/00 CBI (G) Cocatalyst (S) Aluminoxanes, iso-bu, branched, cyclic and linear* P±00±1098 08/04/00 11/02/00 CBI (G) Open, non-dispersive (resin) (G) Prepolymer based on aliphatic polyisocyanate P±00±1099 08/07/00 11/05/00 CBI (G) infrared absorber (G) A functionalized polymethine in- frared absorber P±00±1100 08/07/00 11/05/00 CBI (G) Coating (G) Terpolymer condensate P±00±1101 08/08/00 11/06/00 Kelmar industries, Inc. (G) Lubricant additive (G) Alkyl silsesquioxanes P±00±1102 08/08/00 11/06/00 Kelmar industries, Inc. (G) Lubricant additive (G) Alkyl silsesquioxanes P±00±1103 08/08/00 11/06/00 CBI (G) Used as an industrial laminating (G) Aromatic isocyanate-polyester- adhesive polyether base urethane prepolymer with excess isocyanate P±00±1104 08/09/00 11/07/00 CBI (S) Base/top coat binder for leather (G) Block polymer of aromaticdiacid finishing with alkane diamines, polysubstituted cycloalkanes and alkanediols P±00±1105 08/11/00 11/09/00 CBI (G) Open, non-dispersive use (G) Hydroxy functional amino ester P±00±1106 08/10/00 11/08/00 Degussa-huls corpora- (S) Industrial annealing lacquer for (G) Polymer of aliphatic/aromatic tion metalworking polycarboxylic acids and aliphatic /alicyclic polyols, neutralized with alkanolamine P±00±1107 08/10/00 11/08/00 CBI (G) Anti-wear additive used in mineral (G) Polycarboxylate based on natural oil industry (contained and disper- fatty acids sive uses) P±00±1108 08/09/00 11/07/00 CBI (G) Plasticizer (G) Modified cyclohexane esters P±00±1109 08/11/00 11/09/00 CBI (S) Tube extrusion;injection molding (G) Polyolefin-polyamide P±00±1110 08/11/00 11/09/00 CBI (S) Tube extrusion;injection molding (G) Polyolefin-polyamide P±00±1111 08/11/00 11/09/00 CBI (G) Open, non-dispersive (resin) (G) Unsaturated urethane acrylate resin P±00±1112 08/11/00 11/09/00 CBI (G) Amine synergists for coatings and (G) Amino acrylate inks P±00±1113 08/11/00 11/09/00 CBI (G) Amine synergists for coatings and (G) Amino acrylate inks

In table II, EPA provides the following information (to the extent that such information is not claimed as CBI) on the Notices of Commencement to manufacture received:

II. 55 NOTICES OF COMMENCEMENT FROM: 07/24/00 TO 08/11/00

Commencement/ Case No. Received Date Import Date Chemical

P±00±0104 08/04/00 07/11/00 (S) 1h-benzimidazolium, 2-(6-methoxy-2-benzofuranyl)-1,3-dimethyl-5- (methylsulfonyl)-, acetate, acetate* P±00±0178 08/10/00 07/26/00 (G) Modified acrylic polymer P±00±0345 07/25/00 06/22/00 (G) Styrene acrylate;acrylic polymer P±00±0351 08/07/00 07/24/00 (G) Sulphonated azo dye P±00±0370 08/07/00 07/05/00 (G) Aliphatic alcohol P±00±0372 08/07/00 07/11/00 (G) Acrylic monomer P±00±0447 07/31/00 06/27/00 (G) Polyester polyol P±00±0492 08/03/00 08/01/00 (G) Chelated metal complexes P±00±0506 07/25/00 07/03/00 (G) Sodium salt of a naphthalene azo dyestuff P±00±0513 07/28/00 07/11/00 (G) Arylazo substituted sufonated naphthalene compound P±00±0516 07/28/00 07/11/00 (G) Sulfonated dioxazine compound P±00±0517 07/28/00 07/11/00 (G) Arylazo substituted sulfonated naphthalene compound P±00±0527 08/11/00 08/02/00 (G) Polyester resin P±00±0539 08/01/00 07/26/00 (G) Blocked polyisocyanate P±00±0540 08/04/00 07/03/00 (G) Saturated dicarboxylic acid, polymer with polyester, polyamide and sub- stituted carboxylic acids P±00±0557 08/07/00 07/11/00 (G) Epoxy modified saturated polyester resin P±00±0564 08/07/00 07/11/00 (G) Saturated polyester resin solid P±00±0565 08/01/00 07/24/00 (G) Azo violet pigment P±00±0567 07/25/00 07/05/00 (G) Melamine P±00±0578 07/25/00 06/28/00 (G) Polyester P±00±0587 07/28/00 07/10/00 (G) Amine terminated resin P±00±0618 08/11/00 07/11/00 (G) Substituted hydroxy alkane ether

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57353

II. 55 NOTICES OF COMMENCEMENT FROM: 07/24/00 TO 08/11/00ÐContinued

Commencement/ Case No. Received Date Import Date Chemical

P±00±0621 08/01/00 07/07/00 (G) Long chain fatty acids, polymer with a polyoxyalkylene and a cyclic diacid P±00±0640 07/25/00 06/30/00 (G) Alkyd emulsion P±00±0647 07/25/00 07/12/00 (G) Fatty acids, tall -oil, polymers with diamine, 5 (or 6) -carboxy-4-hexyl-2- cyclohexene-1-octanoic acid, fumaric acid, polyol, maleic anhydride, penta- erythritol and rosin) P±00±0655 08/11/00 08/03/00 (G) Aromatic urethane P±00±0656 08/04/00 07/07/00 (G) Alkenyl ester P±00±0681 08/11/00 08/01/00 (G) IsocyanateÐfunctional polyester polyurethane P±00±0687 08/07/00 07/24/00 (G) Polyetherurethane and polyurea copolymer P±00±0692 08/04/00 07/24/00 (G) Aliphatic polyurethane P±00±0695 08/07/00 07/25/00 (G) Perfluoroalkylated polyamino acid P±00±0713 07/28/00 07/17/00 (G) Arylazo substituted sulfonated naphthalene compound P±00±0724 07/31/00 07/21/00 (G) Polyether modified acrylic P±00±0734 08/03/00 07/25/00 (G) Substituted heterocyclic metal complex P±96±0094 07/27/00 07/06/00 (S) N,n-diethylethanamine trihydrofluoride P±96±0677 07/28/00 07/17/00 (G) 2-propenoic acid copolymer P±97±0565 08/03/00 05/12/00 (G) Poly carboxylic acid, sodium salt P±98±1179 08/01/00 07/06/00 (S) 2-butenedioic acid (z)-, mono±C8±C11±isoalkyl esters, C9 rich* P±98±1180 08/01/00 07/06/00 (S) 2-butenedioic acid (z)-, mono-C9±C11±isoalkyl esters, C10 rich* P±99±0160 07/31/00 07/24/00 (G) Modified acrylic polymer P±99±0366 07/27/00 07/18/00 (S) Silsesquioxanes, 3-aminopropyl, iso-bu, formates (salts)* P±99±0519 07/31/00 07/30/00 (G) 1,1-diphenylethane, reaction products, distillation residues P±99±0522 07/31/00 07/30/00 (G) Diphenylalkane, distillation residues P±99±0593 07/31/00 07/30/00 (G) Polyethylbenzene bottoms, middle fraction, reaction products, distillation heavies P±99±0594 07/31/00 07/30/00 (G) Polyethylbenzene bottoms, middle fraction, reaction products, distillation heavies P±99±0640 08/02/00 07/03/00 (G) Organomodified polysiloxane resin P±99±0943 07/31/00 07/16/00 (G) Polyurethane adhesive purge P±99±0951 07/25/00 06/06/00 (G) Polyisobutene epoxide P±99±0963 07/31/00 07/24/00 (G) Alkylether sulfate, sodium salt P±99±1072 07/31/00 07/11/00 (G) Styrenated alkyd P±99±1107 07/24/00 06/29/00 (S) 3,8,13-trioxa-4,7,9,12-tetrasilapentdecane, 4,12-diethoxy-4,7,7,9,9,12- hexamethyl-* P±99±1108 07/24/00 06/29/00 (G) Fluorosilicone polymer P±99±1201 08/03/00 07/25/00 (S) 2-propenoic acid, reaction products with chloroacetic acid and 4,5-dihydro- 1h-imidazole-1-ethanamine 2-nortall-oil alkyl derivs., sodium salts* P±99±1205 07/24/00 06/22/00 (S) 4,4′-(9a-fluoren-9-ylidene) bis[2,6-dibromo]phenol* P±99±1377 08/07/00 07/25/00 (G) Polydimethylsiloxane resin

List of Subjects set forth in paragraph 7 of the Act (12 Fitzgerald Trust, Thomas G. Fitzgerald Environmental protection, Chemicals, U.S.C. 1817(j)(7)). as trustee; Julie Schauer, all of Premanufacturer notices. The notices are available for Inverness, Illinois, and Gerald F. immediate inspection at the Federal Fitzgerald, Palatine, Illinois; to acquire Dated: September 14, 2000. Reserve Bank indicated. The notices shares of Southern Wisconsin Deborah A. Williams, also will be available for inspection at Bancshares Corp., Mineral Point, Wisconsin, and thereby indirectly Acting Director, Information Management the offices of the Board of Governors. Division, Office of Pollution Prevention and Interested persons may express their acquire Farmers Savings Bank, Mineral Toxics. views in writing to the Reserve Bank Point, Wisconsin. indicated for that notice or to the offices [FR Doc. 00–24437 Filed 9–21–00; 8:45 am] Board of Governors of the Federal Reserve of the Board of Governors. Comments System, September 18, 2000. BILLING CODE 6560±50±S must be received not later than October Robert deV. Frierson, 6, 2000. Associate Secretary of the Board. A. Federal Reserve Bank of Chicago [FR Doc. 00–24360 Filed 9–21–00; 8:45 am] FEDERAL RESERVE SYSTEM (Phillip Jackson, Applications Officer) 230 South LaSalle Street, Chicago, BILLING CODE 6210±01±P Change in Bank Control Notices; Illinois 60690–1414: Acquisitions of Shares of Banks or Bank Holding Companies 1. James G. Fitzgerald, Barrington FEDERAL RESERVE SYSTEM Hills, Illinois; and Jane M. Fitzgerald; The notificants listed below have Andrew James Fitzgerald Irrevocable Formations of, Acquisitions by, and applied under the Change in Bank Trust, James G. Fitzgerald as trustee; Mergers of Bank Holding Companies Control Act (12 U.S.C. 1817(j)) and Timothy Edward Fitzgerald Irrevocable § 225.41 of the Board’s Regulation Y (12 Trust, James G. Fitzgerald as trustee; The companies listed in this notice CFR 225.41) to acquire a bank or bank Gerald F. Fitzgerald Jr.; Thomas have applied to the Board for approval, holding company. The factors that are Gosselin Fitzgerald, Jr., Trust, Thomas pursuant to the Bank Holding Company considered in acting on the notices are G. Fitzgerald as trustee; Lauren Webb Act of 1956 (12 U.S.C. 1841 et seq.)

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57354 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

(BHC Act), Regulation Y (12 CFR Part Colorado, and Collegiate Peaks Mortgage Company, Folsom, California, 225), and all other applicable statutes Bancorporation, Strasburg, Colorado, and thereby engage in originating and and regulations to become a bank and its subsidiary, Collegiate Peaks selling mortgage loans, pursuant to holding company and/or to acquire the Bank, Buena Vista, Colorado. In § 225.28(b)(1) of Regulation Y. assets or the ownership of, control of, or connection with this proposal, Guaranty the power to vote shares of a bank or Corporation, Denver, Colorado; also has Board of Governors of the Federal Reserve bank holding company and all of the applied to acquire Bank Capital System, September 19, 2000. banks and nonbanking companies Mortgage LLC, Strasburg, Colorado, and Robert deV. Frierson, owned by the bank holding company, thereby engage in extension of credit Associate Secretary of the Board. including the companies listed below. and servicing of loans activities [FR Doc. 00–24430 Filed 9–21–00; 8:45 am] The applications listed below, as well pursuant to § 228.28(b)(1) of Regulation BILLING CODE 6210±01±P as other related filings required by the Y. Board, are available for immediate Board of Governors of the Federal Reserve inspection at the Federal Reserve Bank System, September 18, 2000. FEDERAL RESERVE SYSTEM indicated. The application also will be Robert deV. Frierson, available for inspection at the offices of Associate Secretary of the Board. Sunshine Act Meeting the Board of Governors. Interested [FR Doc. 00–24359 Filed 9–21–00; 8:45 am] persons may express their views in AGENCY HOLDING THE MEETING: BILLING CODE 6210±01±P Board of writing on the standards enumerated in Governors of the Federal Reserve the BHC Act (12 U.S.C. 1842(c)). If the System. proposal also involves the acquisition of FEDERAL RESERVE SYSTEM a nonbanking company, the review also TIME AND DATE: 10 a.m., Wednesday, includes whether the acquisition of the Notice of Proposals To Engage in September 27, 2000. nonbanking company complies with the Permissible Nonbanking Activities or PLACE: Marriner S. Eccles Federal standards in section 4 of the BHC Act To Acquire Companies That Are Reserve Board Building, 20th and C (12 U.S.C. 1843). Unless otherwise Engaged in Permissible Nonbanking Streets, NW., Washington, DC 20551. noted, nonbanking activities will be Activities conducted throughout the United States. STATUS: Closed. Additional information on all bank The companies listed in this notice MATTERS TO BE CONSIDERED: holding companies may be obtained have given notice under section 4 of the from the National Information Center Bank Holding Company Act (12 U.S.C. 1. Personnel actions (appointments, website at www.ffiec.gov/nic/. 1843) (BHC Act) and Regulation Y, (12 promotions, assignments, Unless otherwise noted, comments CFR Part 225) to engage de novo, or to reassignments, and salary actions) regarding each of these applications acquire or control voting securities or involving individual Federal Reserve must be received at the Reserve Bank assets of a company, including the System employees. companies listed below, that engages indicated or the offices of the Board of 2. Any matters carried forward from a Governors not later than October 17, either directly or through a subsidiary or previously announced meeting. 2000. other company, in a nonbanking activity A. Federal Reserve Bank of New that is listed in § 225.28 of Regulation Y CONTACT PERSON FOR MORE INFORMATION: York (Betsy Buttrill White, Senior Vice (12 CFR 225.28) or that the Board has Lynn S. Fox, Assistant to the Board; President) 33 Liberty Street, New York, determined by Order to be closely 202–452–3204. New York 10045–0001: related to banking and permissible for 1. Bank Hapoalim B.M., Tel Aviv, bank holding companies. Unless SUPPLEMENTARY INFORMATION: You may Israel; Zahar Hashemesh Le’Hashkaot otherwise noted, these activities will be call 202–452–3206 beginning at Ltd., Tel Aviv, Israel, & Hapoalim conducted throughout the United States. approximately 5 p.m. two business days U.S.A. Holding Company, Inc., New Each notice is available for inspection before the meeting for a recorded York, New York; to become bank at the Federal Reserve Bank indicated. announcement of bank and bank holding companies by acquiring 100 The notice also will be available for holding company applications percent of the voting shares of Signature inspection at the offices of the Board of scheduled for the meeting; or you may Bank, New York, New York, a proposed Governors. Interested persons may contact the Board’s Web site at http:// de novo bank. express their views in writing on the www.federalreserve.gov for an B. Federal Reserve Bank of question whether the proposal complies electronic announcement that not only Richmond (A. Linwood Gill, III, Vice with the standards of section 4 of the lists applications, but also indicates President) 701 East Byrd Street, BHC Act. Additional information on all procedural and other information about Richmond, Virginia 23261–4528: bank holding companies may be the meeting. 1. FNB Corporation, Christiansburg, obtained from the National Information Virginia; to merge with CNB Holdings, Center website at www.ffiec.gov/nic/. Dated: September 20, 2000. Inc., Pulaski, Virginia, and thereby Unless otherwise noted, comments Robert deV. Frierson, indirectly acquire Community National regarding the applications must be Associate Secretary of the Board. Bank, Pulaski, Virginia. received at the Reserve Bank indicated [FR Doc. 00–24535 Filed 9–20–00; 10:55 am] C. Federal Reserve Bank of Kansas or the offices of the Board of Governors BILLING CODE 6210±01±P City (D. Michael Manies, Assistant Vice not later than October 10, 2000. President) 925 Grand Avenue, Kansas A. Federal Reserve Bank of San City, Missouri 64198–0001: Francisco (Maria Villanueva, Consumer 1. Guaranty Corporation, Denver, Regulation Group) 101 Market Street, Colorado; to merge with Bank Capital San Francisco, California 94105–1579: Corporation, Strasburg, Colorado, and 1. Tehama Bancorp, Red Bluff, thereby indirectly acquire The First California; to acquire convertible National Bank of Strasburg, Strasburg, preferred shares of Central Pacific

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00046 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57355

DEPARTMENT OF HEALTH AND Connections Campaign to serve low- ext. 122, or FDA Advisory Committee HUMAN SERVICES income communities, limited resource Information Line, 1–800–741–8138 farmers, and low-income women and (301–443–0572 in the Washington, DC Administration for Children and children who participate in the WIC area), code 12523. Please call the Families Program. Information Line for up-to-date This one-year project is being funded information on this meeting. Office of Community Services; Grant noncompetitively because it is expected Agenda: The committee will discuss, to the Community Economic to provide valuable information useful make recommendations, and vote on a Development and Information to this Department and other premarket approval application for a Technology practitioners regarding research and device for the treatment of AGENCY: Office of Community Services, demonstration initiatives related to vesicoureteral reflux. ACF, DHHS. welfare reform and the well being of Procedure: Interested persons may ACTION: Award announcement. low-income children and families. The present data, information, or views, nationwide campaign will be piloted in orally or in writing, on issues pending SUMMARY: Notice is hereby given that a four states, and will promote the before the committee. Written noncompetitive grant award is being development and coordination of submissions may be made to the contact made to the Community Economic farmers’ markets and marketing services person by October 12, 2000. Oral Development and Information among federal, state and local agencies. presentations from the public will be Technology to support their national The cost of the project is $33,000 for one scheduled between approximately 10 demonstration project to conduct a food year. a.m. and 10:30 a.m., and between e-commerce system for poor residents Contact for Further Information: approximately 3:30 p.m. and 4 p.m. living in America’s public housing Catherine Rivers, Administration for Time allotted for each presentation may projects to shop on-line for nutritional Children and Families, Office of be limited. Those desiring to make food. Community Services, 370 L’Enfant formal oral presentations should notify This one-year project is being funded Promenade, SW., Washington, DC the contact person before October 12, noncompetitively because it is expected 20447, Phone: 202–401–5252. 2000, and submit a brief statement of to provide valuable information useful Dated: September 18, 2000. the general nature of the evidence or to this Department and other Donald Sykes, arguments they wish to present, the practitioners regarding research and Director, Office of Community Services. names and addresses of proposed demonstration initiatives related to participants, and an indication of the [FR Doc. 00–24415 Filed 9–21–00; 8:45 am] welfare reform and the well being of approximate time requested to make low-income children and families. The BILLING CODE 4184±01±M their presentation. national project will demonstrate that Notice of this meeting is given under the New Digital Economy can offer new DEPARTMENT OF HEALTH AND the Federal Advisory Committee Act (5 opportunities to all low-income U.S.C. app. 2). communities. The cost of the project is HUMAN SERVICES Dated: September 15, 2000. $63,315 for one year. Food and Drug Administration Linda A. Suydam, CONTACT FOR FURTHER INFORMATION: Senior Associate Commissioner. Catherine Rivers, Administration for Gastroenterology and Urology Devices Children and Families, Office of Panel of the Medical Devices Advisory [FR Doc. 00–24337 Filed 9–21–00; 8:45 am] Community Services, 370 L’Enfant Committee; Notice of Meeting BILLING CODE 4160±01±F Promenade, SW., Washington, DC 20447, Phone: 202–401–5252. AGENCY: Food and Drug Administration, HHS. DEPARTMENT OF HEALTH AND Dated: September 18, 2000. ACTION: Notice. HUMAN SERVICES Donald Sykes, Director, Office of Community Services. This notice announces a forthcoming Food and Drug Administration [FR Doc. 00–24414 Filed 9–21–00; 8:45 am] meeting of a public advisory committee [Docket No. 00D±1458] BILLING CODE 4184±01±M of the Food and Drug Administration (FDA). The meeting will be open to the Draft Guidance for Infant/Child Apnea public. Monitor 510(k) Submissions; DEPARTMENT OF HEALTH AND Name of Committee: Gastroenterology Availability HUMAN SERVICES and Urology Devices Panel of the Medical Devices Advisory Committee. AGENCY: Food and Drug Administration, Administration for Children and General Function of the Committee: HHS. Families To provide advice and ACTION: Notice. recommendations to the agency on Office of Community Services; Grant FDA’s regulatory issues. SUMMARY: The Food and Drug to the National Association of Farmers' Date and Time: The meeting will be Administration (FDA) is announcing the Market Nutrition Programs held on October 19, 2000, 9:30 a.m. to availability of the draft guidance AGENCY: Office of Community Services, 5 p.m. entitled ‘‘Guidance for Infant/Child ACF, DHHS. Location: Best Western Washington Apnea Monitor 510(k) Submissions.’’ ACTION: Award announcement. Gateway Hotel, Grand Ballroom, 1251 This guidance is not final nor is it in West Montgomery Ave., Rockville, MD. effect at this time. This draft guidance SUMMARY: Notice is hereby given that a Contact Person: Jeffrey W. Cooper, describes minimum performance, noncompetitive grand award is being Center for Devices and Radiological testing, labeling, and clinical criteria for made to the National Association of Health (HFZ–470), Food and Drug the infant/child monitor. Upon Farmers’ Market Nutrition Programs to Administration, 9200 Corporate Blvd., considering comments on the draft initiate a Nationwide Farmers’ Market Rockville, MD 20850, 301–594–1220, document, FDA will modify the

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00047 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57356 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices guidance so that it is applicable to current classification within the generic telephone. Press 1 to enter the system apnea monitors for patients of all ages. type of device known as the breathing and enter the document number (1178) Elsewhere in this issue of the Federal (ventilatory) frequency monitor (21 CFR followed by the pound sign (#). Follow Register, FDA is proposing to classify 868.2375). The proposed rule will the remaining voice prompts to the apnea monitor into class II with this classify the apnea monitor as a group in complete your request. guidance document as the special class II (special controls), with an Persons interested in obtaining a copy control. FDA is issuing this draft industry guidance document issued by of the guidance may also do so using the guidance because the agency believes it FDA as the special control. The generic Internet. CDRH maintains an entry on is necessary to provide reasonable apnea monitor will include devices the Internet for easy access to assurance of the safety and effectiveness used to monitor apnea, i.e., the information including text, graphics, of the apnea monitor. cessation of breathing, in all patient and files that may be downloaded to a DATES: Submit written comments on the populations. The infant/child apnea personal computer with access to the draft guidance by December 21, 2000. monitor used on infants and children Internet. Updated on a regular basis, the Center for Devices and Radiological ADDRESSES: Submit written requests for under 3 years of age will fall within the Health (CDRH) home page includes single copies on a 3.5″ diskette of the generic type of device proposed for ‘‘Guidance for Infant/Child Apnea draft guidance document entitled classification as the apnea monitor. The draft guidance describes Monitor 510(k) Submissions,’’ device ‘‘Guidance for Infant/Child Apnea minimum performance characteristics, safety alerts, Federal Register reprints, Monitor 510(k) Submissions’’ to the testing procedures and criteria, labeling, information on premarket submissions Division of Small Manufacturers and, as appropriate, clinical testing (including lists of approved applications Assistance (HFZ–220), Center for recommendations for infant/child apnea and manufacturers’ addresses), small Devices and Radiological Health, Food monitors. After considering comments manufacturers’ assistance, information and Drug Administration, 1350 Piccard on this draft guidance and further on video conferencing and electronic Dr., Rockville, MD 20850. Send two self- evaluating appropriate clinical study submissions, mammography matters, addressed adhesive labels to assist that parameters, FDA intends to modify the and other device-oriented information. office in processing your request, or fax guidance so that the final guidance The CDRH home page may be accessed your request to 301–443–8818. Submit document is applicable as the special at http://www.fda.gov/cdrh. ‘‘Guidance written comments on the draft guidance control for the apnea monitor used on for Infant/Child Apnea Monitor 510(k) to the Dockets Management Branch patients in other age groups, as well as Submissions’’ is available at http:// (HFA–305), Food and Drug infants and children. www.fda.gov/cdrh/ode. Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. Comments II. Significance of Guidance IV. Comments should be identified with the docket This guidance document represents Interested persons may submit to the number found in brackets in the the agency’s current thinking on infant/ Dockets Management Branch (address heading of this document. See the child apnea monitor 510(k) above) written comments regarding this SUPPLEMENTARY INFORMATION section for submissions. It does not create or confer draft guidance by December 21, 2000. information on electronic access to the any rights for or on any person and does Two copies of any comments are to be guidance. not operate to bind FDA or the public. submitted, except that individuals may FOR FURTHER INFORMATION CONTACT: An alternative approach may be used if submit one copy. Comments are to be Joanna H. Weitershausen, Center for such approach satisfies the applicable identified with the docket number Devices and Radiological Health (HFZ– statute, regulations, or both. As noted found in brackets in the heading of this 450), Food and Drug Administration, above, the agency believes the document. The draft guidance and 9200 Corporate Blvd., Rockville, MD performance, testing, labeling, and received comments may be seen in the 20850, 301–443–8609, ext. 164. clinical criteria in this draft guidance Dockets Management Branch between 9 SUPPLEMENTARY INFORMATION: are applicable as well to apnea monitors a.m. and 4 p.m., Monday through used on patients of other ages. FDA Friday. I. Background intends to modify the final guidance Dated: September 1, 2000. In the Federal Register of February document accordingly. FDA invites Linda S. Kahan, 21, 1995 (60 FR 9762), FDA issued a comments on how this guidance may be proposed rule setting forth requirements Deputy Director for Regulations Policy, Center adapted to apply to apnea monitors for Devices and Radiological Health. for a mandatory performance standard used on patients other than infants and [FR Doc. 00–24336 Filed 9–21–00; 8:45 am] for the infant apnea monitor (hereinafter children. referred to as the 1995 proposal). The agency has adopted good BILLING CODE 4160±01±F Elsewhere in this issue of the Federal guidance practices (GGP’s), which set Register, FDA is withdrawing the 1995 forth the agency’s policies and DEPARTMENT OF HEALTH AND proposal. Because of reduced mortality procedures for the development, HUMAN SERVICES rates for infants at risk for death due to issuance, and use of guidance apparent life-threatening events, and documents (62 FR 8961, February 27, Health Care Financing Administration after considering other factors, FDA no 1997). This guidance document is longer believes that a mandatory issued as a Level 1 guidance consistent [Document Identifier: HCFA±1965, HCFA± 2649, HCFA±5011A & HCFA±5011B] performance standard is needed for this with GGP’s. class II device. III. Electronic Access Agency Information Collection In conjunction with the withdrawal of Activities: Submission For OMB the 1995 proposal, FDA is proposing In order to receive the draft guidance Review; Comment Request also to create a separate classification entitled ‘‘Guidance for Infant/Child for the apnea monitor device. This Apnea Monitor 510(k) Submissions’’ via In compliance with the requirement proposal, which also appears elsewhere your fax machine, call the CDRH Facts- of section 3506(c)(2)(A) of the in this issue of the Federal Register, On-Demand system at 800–899–0381 or Paperwork Reduction Act of 1995, the will remove apnea monitors from their 301–827–0111 from a touch-tone Health Care Financing Administration

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00048 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57357

(HCFA), Department of Health and Supporting Regulations in 42 CFR 498 Dated: August 3, 2000. Human Services, has submitted to the Subpart D and E; Form No.: HCFA– John P. Burke III, Office of Management and Budget 5011A–U6 (0938–0486); Use: Section HCFA Reports Clearance Officer, HCFA, (OMB) the following proposal for the 1869 of the Social Security Act Office of Information Services, Security and collection of information. Interested authorizes a hearing for any individual Standards Group, Division of HCFA persons are invited to send comments who is dissatisfied with the Enterprise Standards. regarding the burden estimate or any intermediary’s Part A determination or [FR Doc. 00–24344 Filed 9–21–00; 8:45 am] other aspect of this collection of the amount paid. This form is used by BILLING CODE 4120±03±P information, including any of the the beneficiary or other qualified following subjects: (1) The necessity and appellant to request a hearing by an utility of the proposed information DEPARTMENT OF HEALTH AND Administrative Law Judge if the collection for the proper performance of HUMAN SERVICES the agency’s functions; (2) the accuracy reconsideration determination fails to of the estimated burden; (3) ways to satisfy the appellant. Frequency: Indian Health Service enhance the quality, utility, and clarity Annually, Quarterly and Monthly; Affected Public: Individuals or Research and Demonstration Projects of the information to be collected; and for Indian Health (4) the use of automated collection Households, and Not-for-profit techniques or other forms of information institutions; Number of Respondents: AGENCY: Indian Health Service, DHHS. technology to minimize the information 10,000; Total Annual Responses: ACTION: Notice of Single Source collection burden. 10,000; Total Annual Hours: 2,500. Cooperative Agreement With the Center 1. Type of Information Collection 4. Type of Information Collection for Native American Health, College of Request: Extension of a currently Request: Extension of a currently Public Health, University of Arizona. approved collection; Title of approved collection; Title of Information Collection: Request for SUMMARY: The Indian Health Service Information Collection: Request for Part Hearing—Part B Medicare Claim and (IHS) announces continuation of an B Medicare Hearing by an Supporting Regulations in 42 CFR award of a cooperative agreement to the 405.821; Form No.: HCFA–1965 (0938– Administrative Law Judge and Center for Native American Health 0034); Use: Section 1869 of the Social Supporting Regulations in 42 CFR 498 (CNAH), College of Public Health, Security Act authorizes a hearing for Subpart D and E; Form No.: HCFA– University of Arizona, for a any individual who is dissatisfied with 5011B–U6 (0938–0567); Use: Section demonstration project to build and any determination and amount of 1869 of the Social Security Act expand on a unique collaborative benefit paid. This form is used so that authorizes a hearing for any individual partnership that currently exists among a party may request a hearing by a who is dissatisfied with the carrier’s the CNAH, the IHS, and the Indian Hearing Officer because the review Part B determination or the amount tribes located in the southwestern part determination failed to satisfy the paid. This form is used by the of the country. This award is for a final appellant. Frequency: Annually, beneficiary or other qualified appellant 1-year continuation of a project Quarterly and Monthly; Affected Public: to request a hearing by an previously funded for a 2-year period Individual or Households, and Not-for- Administrative Law Judge if the hearing (September 1, 1998 through August 31, profit institutions; Number of officer’s decision fails to satisfy the 2000). The continuation will be effective Respondents: 55,000; Total Annual appellant. Frequency: Annually, September 1, 2000, through August 31, Responses: 55,000; Total Annual Hours: Quarterly and Monthly; Affected Public: 2001. Funding for the continuation 9,167. Individuals or Households, and Not-for- period is $229,288 plus an annual in- 2. Type of Information Collection profit institutions; Number of kind contribution by the University of Request: Extension of a currently $94,696. Respondents: 10,000; Total Annual approved collection; Title of The award is issued under the Information Collection: Request for Responses: 10,000; Total Annual Hours: authority of the Public Health Service Reconsideration of Part A Insurance 2,500. Act, Section 301(a). A general program Benefits and Supporting Regulations in To obtain copies of the supporting description is contained in the Catalog 42 CFR 405.711; Form No.: HCFA–2649 statement for the proposed paperwork of Federal Domestic Assistance, number (0938–0045); Use: Section 1869 of the collections referenced above, access 93.933. Social Security Act authorizes a hearing HCFA’s Web Site Address at http:// The specific objectives of the project for any individual who is dissatisfied www.hcfa.gov/regs/prdact95.htm, or E- are: to increase opportunities for sub- with the intermediary’s Part A mail your request, including your specialty medical care at reservation determination or the benefit amount address and phone number, to health care facilities; to increase the paid. This form is used by a party to [email protected], or call the Reports availability of telemedicine at request a reconsideration of the initial Clearance Office on (410) 786–1326. reservation health care facilities; to determination of benefits. Frequency: Written comments and enhance community health planning Annually, Quarterly and Monthly; recommendations for the proposed and prevention activities; to facilitate Affected Public: Individuals or counseling of high school level Indian information collections must be mailed Households, and Not-for-profit students for entry into health careers; within 30 days of this notice directly to institutions; Number of Respondents: and to demonstrate the possibilities of 62,000; Total Annual Responses: the OMB Desk Officer designated at the replication of this collaborative project 62,000; Total Annual Hours: 15,500. following address: OMB Human at other sites. 3. Type of Information Collection Resources and Housing Branch, Justification for Single Source: This Request: Extension of a currently Attention: Allison Eydt, New Executive project has been awarded for an approved collection; Title of Office Building, Room 10235, additional 1-year continuation on a non- Information Collection: Request for Part Washington, D.C. 20503. competitive single source basis. The A Medicare Hearing by an CNAH is a unique organization within Administrative Law Judge and the University that is guided by an

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57358 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Advisory Council composed of leaders payments will be made for items and Effective from 13 Indian tribes and tribal services provided by that excluded Subject city, state date organizations located in the party. The exclusions have national southwestern part of the country and effect and also apply to all Executive HANSON, MA health professionals from the Arizona Branch procurement and non- HYNES, GEORGE ADELBERT 09/20/00 MINERSVILLE, PA Department of Health, the IHS, and the procurement programs and activities. JEFFRIES-GLASGOW, DEBO- University. This final year of funding RAH ...... 09/20/00 should allow this model demonstration Effective VIRGINIA BEACH, VA Subject city, state date project to become self-sustaining. KEY, LEE T ...... 09/20/00 Award of Cooperative Agreement: An CHICAGO, IL PROGRAM-RELATED CONVICTIONS IHS employee who is serving as the KLAGES, LISA ANN ...... 09/20/00 MILO, IA Director of CNAH will provide ALMARALES, BEATRIZ ...... 09/20/00 MINASYAN, NSHAN ...... 09/20/00 substantial on-going IHS programmatic MIAMI, FL LOS ANGELES, CA involvement in the development and ARORA, VASU ...... 09/20/00 MINASYAN, AKOP ...... 09/20/00 direction of this demonstration project. LEXINGTON, KY MONTEBELLO, CA Also, the IHS has health professionals ARTEAGA, ISIDORO ...... 09/20/00 OTERI, ROSEMARY ...... 09/20/00 providing project guidance as members MIAMI, FL HANSON, MA of the Advisory Council. BAKER, VALERIE ...... 09/20/00 PAPOLCZY, THERESA ...... 09/20/00 Contacts: For program information, , NY SANDOVAL, IL contact Ms. Jan Frederick, Acting Chief, BARTZ, NICHOLAS W ...... 09/20/00 PICCIOTTI, JOSEPH ...... 09/20/00 PHOENIX, AZ Nutrition and Dietetics, Phoenix Area VOORHEES, NJ BENNETT, DEREK KEVIN ...... 09/20/00 PROGRESSIVE CARE AMBU- IHS, Two Renaissance Square, 40 North DETROIT, MI Central, Phoenix, Arizona 85004, LANCE SVC ...... 09/20/00 BRACKNEY, JOHN ALBERT ... 09/20/00 JESSUP, MD telephone (602) 364–5197. For grants PEORIA, IL PUBLIC GUARDIAN OF WEST information, contact Ms. Martha BROWNING, JOSEPHINE A ... 09/20/00 MICHIG ...... 09/20/00 Redhouse, Grants Management SYLVANIA, OH BANGOR, MI Specialist, Division of Acquisitions and CARMONA, MARIA CLARA ..... 09/20/00 RAWANA, SOROJUNI ...... 09/20/00 Grants Management, Indian Health HIALEAH, FL GANADO, AZ Service, Suite 100, 12300 Twinbrook CASSITY, SHARON A ...... 09/20/00 REINKE, HOLLY ...... 09/20/00 Parkway, Rockville, Maryland 20852, TOLEDO, OH TOLEDO, OH CHONG, NANI ...... 09/20/00 telephone (301) 443–5204. RIVERA, SUSAN ...... 09/20/00 PHILADELPHIA, PA CHANDLER, AZ Dated: September 14, 2000. CHONG, JOHN Y ...... 09/20/00 ROBINSON, C ...... 09/20/00 Michel E. Lincoln, PHILADELPHIA, PA , MA Acting Director. CRAUSMAN, JEFFREY ...... 09/20/00 ROSENBLATT, SIDNEY TAFT, CA MARVIN ...... 09/20/00 [FR Doc. 00–24338 Filed 9–21–00; 8:45 am] CUELLO, CARMEN ...... 09/20/00 BRONX, NY BILLING CODE 4160±16±M MIAMI, FL ROSSITER, GROVER CLEVE- CULLEN, ANDREW ...... 09/20/00 LAND ...... 09/20/00 OCEANSIDE, NY LONGMONT, CO DEPARTMENT OF HEALTH AND DALTON, NANCY SUE ...... 09/20/00 RUSSELL, THOMAS W ...... 09/20/00 HUMAN SERVICES CLINTON, IA WHITE OAK, PA DICKSON, DAVID ...... 09/20/00 SANCHEZ-ARGUELLO, JOSE Office of Inspector General MECHANICSBURG, PA E ...... 09/20/00 DREYFUSS, DONALD S ...... 09/20/00 MIAMI, FL Program Exclusions: August 2000 BLOOMFIELD HILLS, MI SHEPPARD, MILLARD C JR ... 09/20/00 DUBOIS, MAXINE ELAINE ...... 09/20/00 JESSUP, MD AGENCY: Office of Inspector General, SWARTZ CREEK, MI SIEGEL, HAROLD ...... 09/20/00 HHS. EALY, MELISSA DAVINA ...... 09/20/00 EASTCHESTER, NY ACTION: Notice of program exclusions. GOSHEN, OH SIVERHUS, JAMES DELAINE 09/20/00 EDELSTEIN, JOSEPH ...... 09/20/00 YOUNGTOWN, AZ During the month of August 2000, the ARNOLD, PA SPATZ, JEFFREY ...... 09/20/00 HHS Office of Inspector General FINA, JOSE ...... 09/20/00 PITTSBURGH, PA imposed exclusions in the cases set MIAMI, FL UPSHAW, ROBINLENE ...... 09/20/00 forth below. When an exclusion is FRENCH, PAUL COMLY JR .... 09/20/00 FRESNO, CA imposed, no program payment is made BANGOR, MI VOLOSEVICH, EVELYN ...... 09/20/00 GANN, CHARLES THOMAS .... 09/20/00 BALDWIN, NY to anyone for any items or services OKLAHOMA CITY, OK (other than an emergency item or VOLOSEVICH HOME CARE, GARCIA, HERIBERTO ...... 09/20/00 INC ...... 09/20/00 service not provided in a hospital MIAMI, FL BALDWIN, NY emergency room) furnished, ordered or GARRETT, KATHERYN JANE 09/20/00 prescribed by an excluded party under POTEAU, OK FELONY CONV FOR HC FRAUD 1128(a)(3) the Medicare, Medicaid, and all Federal GLENN, SANDRA SUE ...... 09/20/00 Health Care programs. In addition, no FORT SMITH, AR ALEXANDER, LEROY ...... 09/20/00 program payment is made to any GOMAN, TRISH M ...... 09/20/00 BONITA, CA business or facility, e.g., a hospital, that GRADY, AR ANAYA, JAVIER MEDA ...... 09/20/00 GONZALEZ MARTINEZ, TIJUANA, MEXICO submits bills for payment for items or LILIANA ...... 09/20/00 BAILEY, TONYA ...... 09/20/00 services provided by an excluded party. MIAMI, FL PHILADELPHIA, PA Program beneficiaries remain free to HADDOCK, CARROLL DEANE 09/20/00 BLACKSHER, MARY MAR- decide for themselves whether they will YUMA, AZ GARET ...... 09/20/00 continue to use the services of an HANSON MEDICAL SUPPLY, BRYAN, TX excluded party even though no program INC ...... 09/20/00 BROWER, CHRISTINA ...... 09/20/00

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00050 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57359

Effective Effective Effective Subject city, state date Subject city, state date Subject city, state date

AURORA, CO AMHERST, OH MORGANTOWN, WV CASEY, SIMON ANDREW ...... 09/20/00 SHIRLEY, RUBY BEATRICE ... 09/20/00 SAN CLEMENTE, CA PATIENT ABUSE/NEGLECT/CONVICTIONS HUMBOLT, TN CORDOVA, MARCO ANTONIO 09/20/00 SIEGEL, PHILIP ...... 09/20/00 TIJUANA, MEXICO BOSWORTH, MARSHA K ...... 09/20/00 MIAMI, FL CUBILLAS, VICTOR ...... 09/20/00 LAS VEGAS, NV SMITH, RONZELL C ...... 09/20/00 BRADLEY, LANA LENOR ...... 09/20/00 TIJUANA, MEXICO BEACON, NY MARRERO, LA ENG-PEREZ, FERNANDO ...... 09/20/00 VANBENCOTEN, THOMAS ..... 09/20/00 BRASWELL, TAMMY ...... 09/20/00 ELMIRA, NY TIJUANA, MEXICO GREELEY, CO FIGUEROA, PASCUAL ...... 09/20/00 VANKAMPEN, JACK CHRIS- BROWN, SHANTAY ...... 09/20/00 TIAN ...... 09/20/00 TIJUANA, MEXICO BALTIMORE, MD LAINGSBURG, MI FLORES, SILVIA ...... 09/20/00 CHEN, TAN ...... 09/20/00 WALKER, FATIMA ...... 09/20/00 TIJUANA, MEXICO PINE BROOK, NJ BUFFALO, NY GRANTHAM, EDMOND C ...... 09/20/00 CLARK, CHAFFONDA ANTOI- WILLIAMS, KIMBERLY ...... 09/20/00 ALEXANDRIA, VA NETTE ...... 09/20/00 BUFFALO, NY LEDEZMA, DAVID ...... 09/20/00 WOONSOCKET, RI WINSTON, EMILY WILL ...... 09/20/00 TIJUANA, MEXICO COLE, STANFORD ...... 09/20/00 LONG BEACH, CA LAUREL, MS LIPKIN, PAUL ...... 09/20/00 YALE, DONNA APPEL ...... 09/20/00 COLLINS, JEAN ...... 09/20/00 MINERSVILLE, PA FARMINGDALE, NJ MACIAS, MARTIN ...... 09/20/00 BUFFALO, NY TIJUANA, MEXICO CRIST, DENISE L ...... 09/20/00 CONVICTION FOR HEALTH CARE FRAUD OKLAHOMA CITY, OK MAL, MARIAN ...... 09/20/00 DEAN, JAMES C ...... 09/20/00 TROUTDALE, OR BEACHAM, TERRY ...... 09/20/00 MATTOON, IL PEARL, MS MERLOS, JOAQUIN ...... 09/20/00 DUMAS, REGINA ANN ...... 09/20/00 BASTROP, TX COLUMBUS, OH CONTROLLED SUBSTANCE CONVICTIONS MIRO, JOSE ...... 09/20/00 ELSWICK, PAMELA VIOLET ... 09/20/00 TIJUANA, MEXICO LEON, WV MCNEIL, JENNIFER L ...... 09/20/00 MUNGUIA, JOSE ANGEL ...... 09/20/00 FIGARY, JACK M II ...... 09/20/00 BELGIUM, WI TIJUANA, MEXICO EAST MOLINE, IL SHARMA, KUSUM ...... 09/20/00 OCEGUERA, ANTONIO ...... 09/20/00 GARRETT, WILLIAM FORTH WORTH, TX TIJUANA, MEXICO CLIFFORD ...... 09/20/00 SNOOK, RANDALL LYNN ...... 09/20/00 WESTMINISTER, CO PALMER, DAVID ...... 09/20/00 LITTLETON, CO HEATH, BEVERLY HALLUMS 09/20/00 LA MESA, CA WARD, MARY JANE ...... 09/20/00 DETROIT, MI QUINTANA, ELIZABETH ...... 09/20/00 HUMMELSTOWN, PA TIJUANA, MEXICO JARRELS, WILLIAM COLIN .... 09/20/00 FORT SMITH, AR RAMIREZ-MERLOS, JAVIER .. 09/20/00 LICENSE REVOCATION/SUSPENSION KAHUT, RICHARD A ...... 09/20/00 SAN YSIDRO, CA BELLBROOK, OH AKERS, KYLE RAY ...... 09/20/00 ROBINSON, DAVID ...... 09/20/00 KNIGHT, SABRINA FELISHA .. 09/20/00 VIOLA, IA NORTH WALES, PA PICAYUNE, MS ALLRED, MICHAEL B ...... 09/20/00 RODRIGUEZ, ANN R ...... 09/20/00 LEE, JACQUOLYN RENEE ..... 09/20/00 OREM, UT DOYLESTOWN, PA HOUSTON, TX ANTHONY, VIOLET K ...... 09/20/00 RODRIGUEZ, ANTONIO ...... 09/20/00 MARTIN, KRISTY ANNE ...... 09/20/00 TIJUANA, MEXICO OAKDALE, CA GREELEY, CO VALDEZ, LUIS ...... 09/20/00 MATCHETT, ANNETTE C ...... 09/20/00 ARITA, VALERIE EMIKO ...... 09/20/00 SAN DIEGO, CA TIJUANA, MEXICO LORAIN, OH BARBA, FIDELIS A ...... 09/20/00 VAZQUEZ, ADRIAN ...... 09/20/00 MCCANN, WAYNE EUGENE .. 09/20/00 SADDLE RIVER, NJ TIJUANA, MEXICO CAMP HILL, PA MIDENBERG, DAVID BARRETT, ROYCE ALAN ...... 09/20/00 VEGA, SALVADOR ...... 09/20/00 REDDING, CA IMPERIAL BEACH, CA SEAMON ...... 09/20/00 DETROIT, MI BECK, JAMES BRAD ...... 09/20/00 WALKER, DORISTEEN L ...... 09/20/00 HENDERSON, NV CHICAGO, IL MILLER, JACQUELYN A ...... 09/20/00 NORWALK, OH BERKIL, KRISTIE J ...... 09/20/00 CHAMPAIGN, IL FELONY CONTOL SUBST CONV 1128(a)(4) MIRANDA, CESAR P ...... 09/20/00 BUTLER, PA BOHLMAN, LORI GAYLE ...... 09/20/00 MORRIS, DEBBIE ...... 09/20/00 BRISTOL, CT AYERS, JERRY DANIEL ...... 09/20/00 BOYD, JUDITH ANN ...... 09/20/00 ESCONDIDO, CA TUPELO, MS NAMBI, EVA RITA ...... 09/20/00 RIVERSIDE, RI FROMM, JACKIE L ...... 09/20/00 WELLESLEY, MA BRACKETT, ROSEMARY M .... 09/20/00 PEKIN, IL NORTON, WAYNE PETER ...... 09/20/00 MIAMI, FL HAMER, LAWRENCE ALLEN .. 09/20/00 GARDINER, ME BUDAY, PATRICK A ...... 09/20/00 WEST LIBERTY, IA PATTERSON, RACHEL KATH- GILBERTSVILLE, PA HEWES, MAUREEN C ...... 09/20/00 LEEN ...... 09/20/00 BURKE, ARNOLD T ...... 09/20/00 LANSDOWNE, PA MT VERNON, IL WHITEHALL, NY JASPERSON, LESLIE KAY ..... 09/20/00 PRESBERY, DENISE R ...... 09/20/00 BURKE, JANICE A ...... 09/20/00 LEGRAND, IA DARLINGTON, SC ROCHESTER, NY KORTE, GREGORY G ...... 09/20/00 SCHWERS, ELAINE FATIMA .. 09/20/00 BURNS, MARCIA ANN ...... 09/20/00 MIAMISBURG, OH BROKEN ARROW, OK AURORA, CO MORLAN, PAMELA ANN ...... 09/20/00 SCOTT, VIVIAN DIANE ...... 09/20/00 BURRA, DIANE RUTH ...... 09/20/00 NORTHFIELD, MN LONG BEACH, CA TARZANA, CA TALBOT, KATHLEEN ELLEN .. 09/20/00 BYRD, HELENA LOU ...... 09/20/00 SHIPLEY, MICHELLE L ...... 09/20/00

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57360 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Effective Effective Effective Subject city, state date Subject city, state date Subject city, state date

SAN ANTONIO, TX TALLULAH, LA AUSTIN, MN CARDOSI, ANN C ...... 09/20/00 HA, JAE KYO ...... 09/20/00 LYBBERT, GLEN DOUGLAS ... 09/20/00 PAWTUCKET, RI TORRANCE, CA LAS VEGAS, NV CARDWELL, MARTHA M ...... 09/20/00 HAN, HE SOOK ...... 09/20/00 MATHEWS, ROGER DEAN ..... 09/20/00 KNOXVILLE, TN RANCHO PALOS VERDES, LOMPOC, CA CARINGAL, LEOGILDO CA MAWYER, MARY FRANCES ... 09/20/00 MAGBUHOS ...... 09/20/00 HANNIGAN, KENNETH E ...... 09/20/00 TROY, VA LOS ANGELES, CA CHICAGO, IL MAYFIELD, APRIL E ...... 09/20/00 CARLOS, MARTHA SUAREZ .. 09/20/00 HAUSKEN, KATHRYN J ...... 09/20/00 RUTLAND, VT OZONA, TX DENVER, CO McCAFFREY, CHERYL ANN ... 09/20/00 CARRINGTON, KURLEIGH ..... 09/20/00 HAYSE, RAYMOND II ...... 09/20/00 SULPHUR SPRINGS, AR DENVER, CO SAN BERNARDINO, CA McCARTY, SONJA MARIE ...... 09/20/00 CARTER, VERONICA M ...... 09/20/00 HENDRICKS, JAMES WAL- WEST HELENA, AR RIVERTON, UT LACE ...... 09/20/00 MILLER, LINDA J ...... 09/20/00 CASTRO, RAMEILA JAN ...... 09/20/00 ROCHESTER, MN CLOVIS, CA LODI, CA HENNEFER, ROBERTA EI- MILLER, ANDREW F ...... 09/20/00 CAVER, KENNETH WENSTON 09/20/00 LEEN ...... 09/20/00 SCOTTSDALE, AZ NORTH LITTLE ROCK, AR ELKO, CA MOORE, BONNIE ...... 09/20/00 CERKAN, DENISE MARIE ...... 09/20/00 HENSLEY JOBE, BETH ANN .. 09/20/00 SUFFOLK, VA CHICAGO, IL OKLAHOMA CITY, OK MORGAN, JEROLD ...... 09/20/00 CHIDLOWSKY, SERGEI ...... 09/20/00 HOLT, ANDREA JEAN ...... 09/20/00 GILBERT, AZ ROHNERT PARK, CA MOORE, OK MOTLEY, EDWARD J JR ...... 09/20/00 CHOINIERE, DAVID MICHAEL 09/20/00 HOLTAN, LYNN MARIE ...... 09/20/00 CHESTER, PA PARADISE, CA BRIDGEVIEW, IL NIX, TASHA JUAN ...... 09/20/00 CLAPPER, JAMES S ...... 09/20/00 HOWELL, HEATHER ANN RED OAK, OK IOWA CITY, IA MEADOWS ...... 09/20/00 O'CONNER, NANCY ...... 09/20/00 CLAUSE, GRACIANO EVANS 09/20/00 MOUNT JULIET, TN TUCSON, AZ BROOKLYN, NY HUTCHINSON, JIMMIE L ...... 09/20/00 O'ROURKE, TERRENCE ...... 09/20/00 COFFEY, PETER N ...... 09/20/00 BOISE, ID BOONVILLE, NY CHINA, ME INGRASSIA, JOHN FRANK ..... 09/20/00 OROZCO, DAVID FERNAN ..... 09/20/00 COLE, PATRICIA S ...... 09/20/00 STATEN ISLAND, NY CHICAGO, IL SPRINGFIELD, VT JARAMILLO, AARON T ...... 09/20/00 OSRUD, VINCENT J ...... 09/20/00 COLLINS, JERRI L ...... 09/20/00 DENVER, CO HOLLYWOOD, MD ROCKFORD, IL JARVIS, KATHLEEN JOYCE ... 09/20/00 PACK, A STEPHEN ...... 09/20/00 CRISTMAN, MOLLY ...... 09/20/00 STILLWATER, MN MILLWOOD, NY ALEXANDRIA, VA JOHNSON, SHARON PADY, STACY ...... 09/20/00 CRUM, TIMOTHY JAMES ...... 09/20/00 FRANCINE ...... 09/20/00 NEDERLAND, TX JOLIET, IL FORD HEIGHTS, IL PAPE, PAMELA ELLEN ...... 09/20/00 DECARLO, DEBRA MARIE ..... 09/20/00 JONES, VINCENT P III ...... 09/20/00 ALDERSON, WV CLARENCE, NY NEW BRITAIN, CT PARKER, APRIL RENEE ...... 09/20/00 DEMMERS, DANIEL GAREY .. 09/20/00 JOSEPH, BRAD EDWARD ...... 09/20/00 HYATTSVILLE, MD VISALIA, CA PITTSBURGH, PA PATTERSON, LINDA KAY ...... 09/20/00 DIGIORGIO, DOROTHY L ...... 09/20/00 JOYNER, NICHOLAS LAWTON, OK SOMERSWORTH, NH CHARLES ...... 09/20/00 PEARCE, MITCHELL JAME- DRUMMOND, ERNEST M ...... 09/20/00 SON ...... 09/20/00 BAKERSFIELD, CA E PALO ALTO, CA DULL, HEATHER R ...... 09/20/00 KELLY, OBRA DELL ...... 09/20/00 SAN JOSE, CA YORK, PA LITTLE ROCK, AR PERRY, GLENDA A ...... 09/20/00 DUTTON, GWENDOLYNN J ... 09/20/00 KELLY, SHERI LEIGH ...... 09/20/00 LAKE CITY, FL BARRE, VT AYLETT, VA PLANK, JUDITH ANNE ...... 09/20/00 EARLEY, JERRALLDEAN ...... 09/20/00 KEMP, SONYA CHERIS ...... 09/20/00 DAVIS, CA POCAHONTAS, AR CHICAGO, IL PRASKE, BECKY SUE ...... 09/20/00 FATUCH, SUSAN MARIE ...... 09/20/00 KENT, CHARLES FOSTER ..... 09/20/00 AITKIN, MN EL PASO, TX CANTON, CT PRINCE, JONATHAN SWOPE 09/20/00 FORBES, DEBORAH LYNN .... 09/20/00 KING, ELIZABETH ANNE ...... 09/20/00 LAGUNA BEACH, CA THERMAN, CA NEW MILFORD, CT PROKOP-BERGEMANN, FORESTER, SANDY ALAN ..... 09/20/00 KNIGHT, ROBERT ARLIE ...... 09/20/00 LAUREN HELEN ...... 09/20/00 LYNWOOD, WA GOLDEN, CO BRANFORD, CT FOWLER, RICHARD T JR ...... 09/20/00 KUBICEK, TAMMY W ...... 09/20/00 RASMUSSEN, RHETT DAVID 09/20/00 CONWAY, AR HOUSTON, TX BAKERSFIELD, CA FRANK, RUTH MARIE ...... 09/20/00 LAFLAM, MAUREEN ANNE .... 09/20/00 RAU, TIMOTHY J ...... 09/20/00 PEQUOT LAKES, MN GILL, MA PITTSBURGH, PA GALENA, MARY E ...... 09/20/00 LANZ, JAMES EVERETT ...... 09/20/00 REAVES, ROGER S ...... 09/20/00 PUEBLO, CO SAUK RAPIDS, MN FERRON, UT GARLEY, JACQUELYN MARIE 09/20/00 LAUNER, MARY M REED, ROBERT WILLIAM ...... 09/20/00 UNION CITY, CA CALDWELL ...... 09/20/00 VACAVILLE, CA GLADDEN, NYLA MAXINE ...... 09/20/00 JOHNSONBURG, PA REES-LONG, HEATHER LOU- SAN LEANDRO, CA LEE, PHILIP JHUNE WHAN .... 09/20/00 ISE ...... 09/20/00 GREENWAY, RANDALL TODD 09/20/00 HONOLULU, HI SPARLAND, IL ROGERS, AR LEWANDOWSKI, PAULINE M 09/20/00 REYNOLDS, MICHAEL J ...... 09/20/00 GUERRERO, MICHAEL SAN DIEGO, CA SOLEDAD, CA JASON ...... 09/20/00 LINDSAY, RUSSELL VERN ..... 09/20/00 REYNOLDS, LINDA TOMASEK 09/20/00 KINGSBURG, CA SACHSE, TX UNIONTOWN, PA GUNN, GARY M ...... 09/20/00 LOGE, DARLA JEAN ...... 09/20/00 RICE, SHIRLEY H ...... 09/20/00

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57361

Effective Effective Effective Subject city, state date Subject city, state date Subject city, state date

SOUTH BOSTON, VA CARSON, CA VAN NUYS, CA RIFKIND, STEPHEN PAUL ...... 09/20/00 WYSOCKI, SHARON M ...... 09/20/00 COPELAND, JERRELLE M ..... 09/20/00 SANTA YNEZ, CA PEORIA, IL APACHE JUNCTION, AZ ROBERTS, JULIE C ...... 09/20/00 YAM, CHE L ...... 09/20/00 CORY, ROBERT GLEN ...... 09/20/00 GOLDEN, CO SACRAMENTO, CA TRABUCO CANYON, CA ROCK, JUDY LYNN ...... 09/20/00 YEDVAB, MIRIAM ...... 09/20/00 CULBERTSON, VIRGINIA B .... 09/20/00 HAMMOND, WI SHERMAN OAKS, CA ROMERO, MARLENE ...... 09/20/00 ZIMMERMAN, DANIEL J ...... 09/20/00 BRAINTREE, MA TRINIDAD, CO , NJ DOLAN, CAROLYN L ...... 09/20/00 ROUNDTREE, COSETTA LIMIT MEDICAL SUPPLY ...... 09/20/00 SHAWNEE MISSION, KS LYNN ...... 09/20/00 ROSEMEAD, CA FELTON, DWAYNE A ...... 09/20/00 ST CLOUD, MN NEWMAN, KELLYE DAWN ..... 09/20/00 NEW ORLEANS, LA ROYAL, JEFFREY L ...... 09/20/00 ALEXANDRIA, LA FLOYD, HARVELL L ...... 09/20/00 KENSINGTON, MD TATE, EDWARD ...... 09/20/00 PARK FOREST, IL RYAN, MARGARET A ...... 09/20/00 CLAYTON, MO FONT, DAVID E JR ...... 07/24/00 LOUISVILLE, KY LORAIN, OH RYAN, ROBERT E ...... 09/20/00 FRAUD/KICKBACKS GEORGE, ANTONY M ...... 09/20/00 PARACHUTE, CO SALKIND, SCOTT A ...... 09/20/00 HARRIS, LILLIE MAE ...... 06/30/00 EUCLID, OH CHERRY HILL, NJ HARVEY, IL GROSS, SHEPHERD JR ...... 09/20/00 SANDAKER, GINA M ...... 09/20/00 INTERNATIONAL HEALTH CHICAGO, IL MONTROSE, CO LAB ...... 04/19/00 HARDMAN, RONALD D ...... 09/20/00 SANTOS, ORLANDO ...... 09/20/00 HIALEAH, FL MARSHALL, TX LOS ANGELES, CA PERALTA, MARIANO C ...... 04/19/00 HENDERSON, TERRY L ...... 09/20/00 SEIPERT, KEVIN ERIC ...... 09/20/00 TAMPA, FL FORT THOMAS, KY OREM, UT PONY SYSTEMS LIMITED, HERRON, WOODIE D ...... 08/02/00 SIMMONS, ELIZABETH ANNE 09/20/00 INC...... 06/30/00 ABERDEEN, MS ROYAL, AR HARVEY, IL HURLEY, RANDALL S ...... 09/20/00 SIMMONS, LESTER ALWYN .. 09/20/00 EL DORADO HILLS, CA ENTITIES OWNED/CONTROLLED BY PRESCOTT, AZ SLATON, CYNTHIA NATIONS 09/20/00 CONVICTED KAISER, GORDON W III ...... 09/20/00 YAZOO CITY, MS CHAMBERSBURG, PA SMILEY, JAMES DWIGHT ...... 09/20/00 CHURCH MEDICAL SERV- KAYE, LARRY C ...... 09/20/00 BURLINGAME, CA ICES, P C ...... 09/20/00 CLEVELAND, OH SPEKTOR, IOSEF G ...... 09/20/00 BROOKLYN, NY KING, EDGARD M JR ...... 09/20/00 WOODCLIFF LAKE, NJ JAY DRUGS, INC ...... 09/20/00 SHAWNEE MISSION, KS STELZIG, JONI ELIZABETH .... 09/20/00 COPIAGUE, NY LINDLY, MAURICE T III ...... 09/20/00 SEWICKLEY, PA JULIE ROBERTS, L L C ...... 09/20/00 SALINAS, CA STEWARD, ROBERT H ...... 09/20/00 SPRINGFILED, MO LISNER, BLAINE M ...... 09/20/00 HOUSTON, TX MEDI-EXPRESS MEDICAL ..... 09/20/00 BOWLING GREEN, KY STOVALL WHITTLE, SHELLY MIAMI, FL KAY ...... 09/20/00 MACKEY ANNNING, JUDY A .. 09/20/00 LITTLE ROCK, AR DEFAULT ON HEAL LOAN NEW ORLEANS, LA SUMO, EDWARD QUIQUI ...... 09/20/00 MARTINSON, DAVID L ...... 07/03/00 BROOKLYN PARK, MN ALDEN, THOMAS E ...... 09/20/00 FARGO, ND TANNE, LOUIS ALEXANDER .. 09/20/00 CAMBRIDGE, MA NILES-HASTY, GLORIA Y ...... 09/20/00 CANON CITY, CO ANYAJI, GEORGE I ...... 07/03/00 SAN LORENZO, CA THOMPSON, LORI B ...... 09/20/00 SAN DIEGO, CA OJUKWU, EMEKA P ...... 09/20/00 GRANITE CITY, IL BALDWIN, TIMOTHY ALLEN .. 09/20/00 HOUSTON, TX TURNER, CINDY ...... 09/20/00 WEBSTER, TX PENA, CARMEN F ...... 09/20/00 WELLS, NV BEARDEN, THOMAS R ...... 09/20/00 N BERGEN, NJ FRESNO, CA VALDEPENAS, EDWIN B ...... 09/20/00 REID, SOPHIA B ...... 09/20/00 CHULA VISTA, CA BLEVINS, STEVEN W ...... 09/20/00 PHILADELPHIA, PA VIALPANDO, EVON M ...... 09/20/00 CARY, IL DENVER, CO BLITZ, ARIE ...... 09/20/00 RIVERA-LOPEZ, AIXA ...... 09/20/00 WAGNER, CHRISTINA MARIE 09/20/00 ORANGE, CA CAGUAS, PR EAST BETHEL, MN BOLTON, PAUL K ...... 09/20/00 SCHULTEN, ERIC A ...... 09/20/00 WALSBURG, GARY JOHN ...... 09/20/00 DENVER, CO SARASOTA, FL DULUTH, MN BORDEN, MARK G ...... 09/20/00 STARINSKI, JOHN S ...... 09/20/00 WAYMENT, DARLA ...... 09/20/00 SANTA BARBARA, CA BANGOR, PA MIDVALE, UT BRADSHAW, MARK F ...... 09/20/00 STILLMAN, JEFFREY C ...... 09/20/00 WEISS, TOBA NANCY ...... 09/20/00 WACONIA, MN BINGHAMTON, NY PROVIDENCE, RI BRANTNER, RAY J ...... 09/20/00 SUTPHIN, BARRY W ...... 09/20/00 WELLER, MARK RONALD ...... 09/20/00 PHOENIX, AZ BRADENTON, FL WHITE BEAR LAKE, MN BRYANT, CLIFFORD E ...... 09/20/00 WERNER, DONALD R ...... 09/20/00 GREENVILLE, TN MAHOPOC, NY CANTRELL, EDWARD GENE 09/20/00 Dated: September 13, 2000. WILLIAMS, JOSEPH MATHEW SPRING HILL, KS Calvin Anderson, JR ...... 09/20/00 CARTER, ERIC W JR ...... 09/20/00 Acting Director, Health Care Administrative CHICAGO, IL NASHVILLE, TN Sanctions, Office of Inspector General. WOOD, LAURIE W ...... 09/20/00 CAUSEY, DENNIS M ...... 09/20/00 WILLIAMSBURG, VA SAN FRANCISCO, CA [FR Doc. 00–24345 Filed 9–21–00; 8:45 am] WOODS, VERONICA GAYE .... 09/20/00 COLLINS, MATTHEW W C ...... 09/20/00 BILLING CODE 4150±04±P

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57362 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

DEPARTMENT OF HEALTH AND Comments are invited on: (a) Whether USC 10826(b) requiring the Secretary to HUMAN SERVICES the proposed collections of information promulgate final regulations to carry out are necessary for the proper the PAIMI Act. The regulations contain Substance Abuse and Mental Health performance of the functions of the information collection requirements. Services Administration agency, including whether the The Act authorized funds to support information shall have practical utility; activities on behalf of individuals with Agency Information Collection (b) the accuracy of the agency’s estimate mental illness. Recipients of this Activities: Proposed Collection; of the burden of the proposed collection formula grant program are required by Comment Request of information; (c) ways to enhance the law to annually report their activities quality, utility, and clarity of the In compliance with section information to be collected; and (d) and accomplishments to include the 3506(c)(2)(A) of the Paperwork ways to minimize the burden of the number of individuals served, types of Reduction Act of 1995 concerning collection of information on facilities involved, types of activities opportunity for public comment on respondents, including through the use undertaken and accomplishments proposed collections of information, the of automated collection techniques or resulting from such activities. This Substance Abuse and Mental Health other forms of information technology. summary must also include a separate Services Administration will publish report prepared by the PAIMI Advisory periodic summaries of proposed Proposed Project Council descriptive of its activities and projects. To request more information Protection and Advocacy for assessment of the operations of the on the proposed projects or to obtain a Individuals with Mental Illness (PAIMI) protection and advocacy system. The copy of the information collection Final Rule, 42 CFR Part 51 (OMB No. annual burden estimate for the reporting plans, call the SAMHSA Reports 0930–0172—Extension)—These requirements for these regulations is as Clearance Officer on (301) 443–7978. regulations meet the directive under, 42 follows.

Responses Burden per 42 CFR Citation Number of per response Total annual respondents respondent (Hrs.) burden

51.(8)(a)(2) Program Performance Report ...... 56 1 26.0 1,456 1 51.8(8)(a)(8) Advisory Council Report ...... 56 1 10.0 560 1 51.10 Remedial Actions: Corrective Action Plan ...... 6 1 8.0 48 Implementation Status Report ...... 6 3 2.0 36 51.23(c) Reports, materials and fiscal data provided to Advisory Council ...... 56 1 1.0 56 51.25(b)(2) Grievance Procedure ...... 56 1 .5 28

Total ...... 122 ...... 2,184 1 Burden hours associated with these reports are approved under OMB Control No. 0930±0169.

Send comments to Nancy Pearce, HUD for suitability for possible use to Dated: September 15, 2000. SAMHSA Reports Clearance Officer, assist the homeless. Fred Karnas, Jr., Room 16–105, Parklawn Building, 5600 Deputy Assistant Secretary for Special Needs EFFECTIVE DATE: September 22, 2000. Fishers Lane, Rockville, MD 20857. Assistance Programs. Written comments should be received FOR FURTHER INFORMATION CONTACT: [FR Doc. 00–24287 Filed 9–21–00; 8:45 am] within 60 days of this notice. Clifford Taffet, Department of Housing BILLING CODE 4210±29±M Dated: September 15, 2000. and Urban Development, Room 7262, Richard Kopanda, 451 Seventh Street SW., Washington, Executive Officer, SAMHSA. DC 20410; telephone (202) 708–1234; DEPARTMENT OF THE INTERIOR TTY number for the hearing- and [FR Doc. 00–24367 Filed 9–22–00; 8:45 am] speech-impaired (202) 708–2565, (these Office of the Secretary BILLING CODE 4162±20±P telephone numbers are not toll-free), or Minerals Management Advisory Board; call the toll-free Title V information line Notice of Renewal/Revision at 1–800–927–7588. AGENCY: Minerals Management Service, DEPARTMENT OF HOUSING AND SUPPLEMENTARY INFORMATION: In Interior. URBAN DEVELOPMENT accordance with the December 12, 1988 court order in National Coalition for the ACTION: Minerals Management Advisory [Docket No. FR±4557±N±38] Homeless v. Veterans Administration, Board Notice of Renewal/Revision. No. 88–2503–OG (D.D.C.), HUD Federal Property Suitable as Facilities SUMMARY: This notice is published in publishes a Notice, on a weekly basis, To Assist the Homeless accordance with section 9(a)(2) of the identifying unutilized, underutilized, Federal Advisory Committee Act (5 AGENCY: Office of the Assistant excess and surplus Federal buildings U.S.C. Appendix). Notice is hereby Secretary for Community Planning and and real property that HUD has given that the Secretary of the Interior Development, HUD. reviewed for suitability for use to assist is renewing the Minerals Management ACTION: Notice. the homeless Today’s Notice is for the Advisory Board Charter. purpose of announcing that no The purpose of the Minerals SUMMARY: This Notice identifies additional properties have been Management Advisory Board is to unutilized, underutilized, excess, and determined suitable or unsuitable this provide advice to the Secretary of the surplus Federal property reviewed by week. Interior and other officers of the

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57363

Department of the Interior in the Conservation Act (16 U.S.C. 715d) Concerns were expressed by performance of discretionary functions established authority to acquire constituents of Tennessee of the Outer Continental Shelf Lands migratory bird habitat. National Wildlife Representative Ed Bryant and Missouri Act, as amended, including all aspects Refuge System Administration Act of Representative Jo Ann Emerson relating of leasing, exploration, development, 1966 (16 U.S.C. 668 dd–ee) consolidated to funding of the project and our land and protection of the resources of the all of the different refuge areas into a acquisition program. Written responses OCS. It also allows the Board to advise single refuge ‘‘System’’ with all units of addressing these concerns were made to the Department on discretionary the System now administered by the the respective congressional functions under the Federal Oil and Gas Fish and Wildlife Service and delegations, explaining the sources of Royalty Management Act of 1982, the restrictions placed on the transfer, funding and our land acquisition Federal Oil and Gas Royalty exchange or other disposal of lands program. The State of Tennessee Simplification and Fairness Act, the within the System. concurs with the proposal. Geothermal Steam Act of 1970, and the We are expanding the Chickasaw and In compliance with the National mineral leasing laws for coal and other Lower Hatchie National Wildlife Refuge Environmental Policy Act of 1969, we solid mineral leases. acquisition boundaries by 43,532 acres prepared an environmental assessment FOR FURTHER INFORMATION CONTACT: (17,616.85 ha). This area is located in that evaluates two alternatives and their Further information regarding the Board western Tennessee and is comprised potential impacts on the project areas. may be obtained from the Office of primarily of bottomland hardwoods. Based on the documentation contained Policy and Management Improvement, These refuges lie within 10 miles (16 in the environmental assessment, we Department of the Interior, Minerals km) of each other in Lauderdale and signed a Finding of No Significant Management Service, 1849 C Street, Tipton Counties, Tennessee. The Impact on July 6, 2000, for the acquisition boundaries of both refuges NW., MS 4230, Washington, DC 20240– expansion of Chickasaw and Lower contain approximately 223 private 0001. Hatchie National Wildlife Refuges. We landowners. The tracts within this have completed an interim Certification expanded boundary range from less compatibility determination, and a I hereby certify that the renewal of the than one acre (.4047 ha) to conceptual management plan. Minerals Management Advisory Board approximately 6,000 acres (2,428.12 ha). Comprehensive planning is on the eve Charter is in the public interest in The lands within the expanded of completion to satisfy the connection with the performance of boundary will be acquired from willing requirements under the National duties imposed on the Department of sellers and may include full fee or less Wildlife Refuge System Improvement the Interior by 43 U.S.C. 1331 et seq., 30 than fee title. Less than fee title can Act of 1997. U.S.C. 1701 et seq., and 30 U.S.C. 1001 include easements, leases, and Chickasaw and Lower Hatchie et seq. cooperative agreements that maintain National Wildlife Refuges are some ownership rights with a private administered as part of a much larger Dated: September 15, 2000. landowner. The lands consist of forested refuge complex with the main office Bruce Babbitt, wetlands interspersed with agricultural located in Dyersburg, Tennessee. There Secretary of the Interior. lands and open water. These lands are is adequate funding to allow for [FR Doc. 00–24348 Filed 9–21–00; 8:45 am] home to many species of fish and administration of the expansion areas. BILLING CODE 4310±MR±M wildlife, including migratory birds and waterfowl. Primary Author We notified the public of the Leslie Marler, Management Analyst, DEPARTMENT OF THE INTERIOR proposed refuge expansion and the Branch of Planning and Policy, Division availability of the Draft Environmental of Refuges, National Wildlife Refuge Fish and Wildlife Service Assessment and Land Protection Plan System. for public review through a mass Expansion of Chickasaw and Lower mailing, to approximately 200 affected Dated: September 15, 2000. Hatchie National Wildlife Refuges landowners, on or about November 15, Jamie Rappaport Clark, Director, U.S. Fish and Wildlife Service. AGENCY: Fish and Wildlife Service, 1999. Copies of the document were Interior. provided to representatives of Federal, [FR Doc. 00–24365 Filed 9–21–00; 8:45 am] State and county governments, other BILLING CODE 4310±55±P ACTION: Notice. Federal and State agencies, interested SUMMARY: We are expanding the groups, affected landowners, and the DEPARTMENT OF THE INTERIOR acquisition boundary of the Chickasaw general public. Written comments were accepted through December 15, 1999. and Lower Hatchie National Wildlife Fish and Wildlife Service Refuges by approximately 43,532 acres, Only four written comments on the proposal were received. Comments primarily located in Lauderdale and Endangered and Threatened Wildlife Tipton Counties, Tennessee. supporting the project were received from the State of Tennessee’s Wildlife and Plants; 5-Year Review of Foreign DATES: This would be effective on Resource Agency and two individuals. Listed Psittacine Species September 15, 2000. Only one written comment expressed AGENCY: Fish and Wildlife Service, FOR FURTHER INFORMATION CONTACT: opposition to the project. Several Interior. Charles R. Danner with the Fish and landowners expressed their concerns by ACTION: Notice of review. Wildlife Service in Atlanta, 1–800–419– telephone and were generally 9582. supportive of the project, but had some SUMMARY: We, the U.S. Fish and SUPPLEMENTARY INFORMATION: The Fish questions and concerns regarding the Wildlife Service (Service), announce a and Wildlife Act of 1956 (16 U.S.C. land acquisition process. These review of all endangered and threatened 742a–754j–2) allows the Secretary of concerns were answered either by foreign species in the Order Interior to acquire refuge lands for all telephone or in written responses Psittaciformes (parrots, parakeets, wildlife. The Migratory Bird explaining our acquisition program. macaws, cockatoos, etc.; also known as

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57364 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices psittacine birds) listed under the Fish and Wildlife Service, Washington, also available on the World Wide Web Endangered Species Act (Act) of 1973, DC 20240 (Fax number: 703–358–2276; at http://ecos.fws.gov/webpage/ as amended. This first announcement of E-mail address: [email protected]). webpage_foreign.html. These lists review of species’ status will be Address express and - contain the names of all species of U.S. followed by additional announcements delivered mail to the Division of and foreign wildlife and plants that of review for other groups of endangered Scientific Authority; Room 750, 4401 have been determined by both the and threatened foreign species. The Act North Fairfax Drive, Arlington, Virginia Service and the National Marine requires such a review at least once 22203. Comments and materials Fisheries Service to be endangered or every 5 years. The purpose of the review received will be available for public threatened. The lists also contain the is to ensure that the Lists of Endangered inspection by appointment, from 8 a.m. names of species of wildlife that are and Threatened Wildlife and Plants to 4 p.m., Monday through Friday, at the treated as endangered or threatened accurately reflect the most current status Arlington, Virginia, address. because of a similarity of appearance to information for each listed species. We FOR FURTHER INFORMATION CONTACT: endangered or threatened species. request comments and the most current Michael D. Kreger, Division of Scientific Why is this review being conducted? scientific or commercial information Authority (See ADDRESSES section) The procedural rules for listing, available on these species, as well as (phone: 703–358–1708, fax: 703–358– reclassifying, or removing species from species that may warrant future 2276, E-mail: [email protected]). the lists can be found in 50 CFR Part consideration for listing. If the present SUPPLEMENTARY INFORMATION: 424. The Act, as amended, and 50 CFR classification of species is not consistent 424.21 require that the Secretary of the with the best scientific and commercial Background Interior and the Secretary of Commerce information available at the conclusion Where can the lists of endangered and conduct a review of each listed species of this review, we may propose changes threatened species be found? at least once every 5 years. This review to the list accordingly. The Lists of Endangered and will consider all foreign psittacine birds DATES: Your comments on the notice of Threatened Wildlife and Plants are listed as endangered or threatened by review must be received by December found in 50 CFR 17.11 (wildlife) and the United States. The following table 21, 2000 to receive consideration from 17.12 (plants). The most recent lists lists the species under review. the Service. were published in the Code of Federal Foreign Species in the Order ADDRESSES: Submit comments, Regulations on October 1, 1999; Psittaciformes Listed Under the information, and questions to the Chief, however, we have amended the list Endangered Species Act. Division of Scientific Authority; Mail since then through final rules published Note: All of the following are listed as Stop: Room 750, Arlington Square, U.S. in the Federal Register. The lists are endangered.

Common name Scientific name Historic range Year listed

Kakapo (owl parrot) ...... Strigops habroptilus ...... New Zealand ...... 1970 Macaw, glaucous ...... Anodorhynchus glaucus ...... Paraguay, Uraguay, Brazil ...... 1976 Macaw, indigo ...... Anodorhynchus leari ...... Brazil ...... 1976 Macaw, little blue ...... Cyanopsitta spixii ...... Brazil ...... 1976 Parakeet, blue-throated (ochre-marked) ... Pyrrhura cruentata ...... Brazil ...... 1970 Parakeet, Forbes' ...... Cyanoramphus auriceps forbesi ...... New Zealand ...... 1970 Parakeet, golden ...... Aratinga guarouba ...... Brazil ...... 1976 Parakeet, golden-shouldered (hooded) .... Psephotus chrysopterygius ...... Australia ...... 1970 Parakeet, Mauritius ...... Psittacula echo ...... Indian OceanÐMauritius ...... 1970 Parakeet, Norfolk Island ...... Cyanoramphus cookii (novaezelandiae c.) Australia (Norfolk Island) ...... 1990 Parakeet, orange-bellied ...... Neophema chrysogaster ...... Australia ...... 1970 Parakeet, paradise (beautiful) ...... Psephotus pulcherrimus ...... Australia ...... 1970 Parakeet, scarlet-chested (splendid) ...... Neophema splendida ...... Australia ...... 1970 Parakeet, turquoise ...... Neophema pulchella ...... Australia ...... 1970 Parrot, Bahamian or Cuban ...... Amazona leucocephala ...... West IndiesÐCuba, Bahamas, Caymans 1970 Parrot, ground ...... Pezoporus wallicus ...... Australia ...... 1973 Parrot, imperial ...... Amazona imperialis ...... West IndiesÐDominica ...... 1970 Parrot, night (Australian) ...... Geopsittacus occidentalis ...... Australia ...... 1970 Parrot, red-browed ...... Amazona rhodocorytha ...... Brazil ...... 1970 Parrot, red-capped ...... Pionopsitta pileata ...... Brazil ...... 1976 Parrot, red-necked ...... Amazona arausiaca ...... West IndiesÐDominica ...... 1979 Parrot, red-spectacled ...... Amazona pretrei pretrei ...... Brazil, Argentina ...... 1976 Parrot, red-tailed ...... Amazona brasiliensis ...... Brazil ...... 1990 Parrot, Seychelles lesser vasa ...... Coracopsis nigra barklyi ...... Indian OceanÐSeychelles (Praslin Is- 1995 land). Parrot, St. Lucia ...... Amazona versicolor ...... West IndiesÐSt. Lucia ...... 1970 Parrot, St. Vincent ...... Amazona guildingii ...... West IndiesÐSt. Vincent ...... 1970 Parrot, vinaceous-breasted ...... Amazona vinacea ...... Brazil ...... 1976

Why start the review process with communications from the avicultural 1970s, and each species was classified psittacine birds? community and others regarding the as endangered. Since listing, however, We have chosen to begin the review status of these birds. Of more than 350 national legislation in range countries, process with psittacine birds due to the species of psittacine birds, 27 foreign international treaties such as the high level of public interest in these species are listed under the Act. All Convention on International Trade in species. We receive frequent except four species were listed in the Endangered Species of Wild and Fauna

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57365 and Flora (CITES), and additional U.S. 424.11(d)) state that the data to support State, and local governmental agencies, legislation such as the Wild Bird a removal must be the best scientific the scientific community, industry, or Conservation Act (P.L. 102–440) have and commercial information available to any other interested party. We will been enacted to control trade in wild the Service to substantiate that the provide this Notice to all countries birds and encourage species’ species is neither endangered nor where these species are known to occur conservation. New technologies such as threatened for one or more of the in the wild. The comments should the use of Global Positioning Systems following reasons: provide as much scientific information (GPS) and advances in telemetry have (a) Extinction. Unless all individuals as possible (e.g., literature citations). improved monitoring of wild of a listed species had been previously Submissions with detailed information populations. Habitat protection, captive identified and located and later found to are much more helpful than those that be extirpated from their previous range, breeding, and other activities may also advocate or state a position, but contain a sufficient period of time must be affect the biological sustainability of no biological information. In particular, these species. We intend to examine the allowed before delisting to indicate we are seeking information: effectiveness of relevant regulatory and clearly that the species is in fact extinct. scientific programs to determine the (b) Recovery of the species. Our (1) That indicates a need for a change current status of the species listed, to principal goal is to improve the status in the status of any of the listed or determine whether they should be of listed species to a point where unlisted psittacine species; reclassified or removed from the list, protection under the Act is no longer (2) Regarding past and present and perhaps to recommend additional required. A species may be delisted on numbers and distribution of the species for listing if warranted. the basis that it has recovered only if the involved species, subspecies, or distinct best scientific and commercial vertebrate populations and particular Definitions information available indicate that it is factors currently threatening or no What definitions would be helpful in no longer threatened or endangered. reviewing this list? (c) Original data for classification was longer threatening the species; The following definitions are in error. Additional investigations may (3) Pointing out taxonomic or provided to assist anyone considering show that the best scientific or nomenclatural changes for any of the submitting information for this review. commercial information available when taxa; (a) Psittacine bird means any member a species was listed, or the (4) Suggesting appropriate common of the Order Psittaciformes, which interpretation of the data, was in error. names; and includes parrots, macaws, budgerigars, What could happen as a result of this parakeets, lovebirds, cockatoos, and review? (5) Noting any mistakes, such as similar species. If anyone provides us with substantial errors in the indicated historical ranges. (b) Species includes any species or new information for one or more species If possible, this information should be subspecies of fish or wildlife or plant, in the table above, we may propose new supported by documentation such as and any distinct population segment of rules that could do any of the following: maps, a list of bibliographic references, any species or subspecies of a (a) reclassify a species from or copies of any pertinent publications, vertebrate, that is capable of endangered to threatened; or reports, or letters by knowledgeable (b) consider removal of a species from interbreeding when mature. sources. (c) Endangered means any species the List of Endangered and Threatened that is in danger of extinction Wildlife. What if we receive extensive throughout all or a significant portion of Distinct geographic populations of substantive information on a large its range. vertebrate species, as well as subspecies number of species? (d) Threatened means any species that of all listed species, may be proposed We will evaluate information received is likely to become an endangered for separate reclassification or for and information in our files and species within the foreseeable future removal from the list. New species may determine: (1) Whether or not any throughout all or a significant portion of also be proposed for addition to the list. currently listed species should be What will happen if no new its range. evaluated; and (2) whether or not the information is submitted on any of the How do we determine whether a listing of any currently unlisted species species is endangered or threatened? listed species? should be considered. Due to limited A species is determined, or No changes will be made to the resources available for this effort, our reclassified, to be endangered or classification of any of the species as a threatened because of any of the result of this review unless substantial highest priority will be for those species following factors: information is received. The next formal whose conservation status in the wild (a) The present or threatened status review for psittacine species in would most benefit from a change in destruction, modification, or the List of Endangered and Threatened their listing status under the Act. curtailment of its habitat or range; Wildlife will occur approximately 5 Authority: This document is published (b) Overutilization for commercial, years after the completion of this under the authority of the Endangered recreational, scientific, or educational review. However, within existing Species Act (16 U.S.C. 1531 et seq.). purposes; resource capabilities, we will continue (c) Disease or predation; to review the status of other listed Dated: September 13, 2000. (d) The inadequacy of existing species and try to initiate Jamie Rappaport Clark, regulatory mechanisms; or reclassification or delisting whenever Director. (e) Other natural or manmade factors substantial new information indicates [FR Doc. 00–24423 Filed 9–21–00; 8:45 am] affecting its continued existence. that doing so would be appropriate. BILLING CODE 4310±55±P How does a species get removed from the list? Request for Information These same five factors must be We request comments on this Notice considered before removing a species of Review from any foreign government from the list. The regulations (50 CFR or agency, the public, other Federal,

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57366 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

DEPARTMENT OF THE INTERIOR associated Implementation Agreement, species listed as endangered or are available for review at the following threatened. The Act defines ‘‘take’’ as: Fish and Wildlife Service government offices and libraries: To harass, harm, pursue, hunt, shoot, Government Offices—Fish and wound, kill, trap, capture or collect Availability of Final Clark County Wildlife Service, Southern Nevada Field listed animal species, or attempt to Multiple Species Habitat Conservation Office, 1510 North Decatur Boulevard, engage in such conduct (16 USC 1538). Plan and Environmental Impact Las Vegas, Nevada 89108, (702) 647– ‘‘Harm’’ is further defined by regulation Statement for Clark County, NV 5230; Fish and Wildlife Service, Nevada as any act that kills or injures wildlife Fish and Wildlife Office, 1340 Financial AGENCY: Fish and Wildlife Service, including significant habitat Interior. Boulevard, Suite 234, Reno, Nevada modification or degradation where it 89502, (775) 861–6300; Bureau of Land actually kills or injures wildlife by ACTION: Notice of availability. Management, Las Vegas Field Office, significantly impairing essential SUMMARY: This notice advises the public 4765 Vegas Drive, Las Vegas, Nevada behavioral patterns, including breeding, of the availability of the Final Clark 89108, (702) 647–5000; U.S. Forest feeding, or sheltering (50 CFR 17.3). County Multiple Species Habitat Service, 2881 South Valley View Under certain circumstances, the Conservation Plan (Multispecies Plan) Boulevard, Las Vegas, Nevada 89102, Service may issue permits to authorize and Environmental Impact Statement. (702) 873–8800; National Park Service, ‘‘incidental’’ take of listed animal Clark County, Nevada; the Cities of Las Lake Mead National Recreation Area, species (defined by the Act as take that Vegas, North Las Vegas, Henderson, 601 Nevada Highway, Boulder City, is incidental to, and not the purpose of, Boulder City, and Mesquite; and the Nevada 89005, (702) 293–8946; Nevada the carrying out of an otherwise lawful Nevada Department of Transportation Department of Transportation, activity). The taking prohibitions of the (Applicants) have applied to the Fish Environmental Services Division, 1263 Act do not apply to listed plants on South Stewart Street, Room 104A, and Wildlife Service (Service) for an private land unless their destruction on Carson City, Nevada 89712, (775) 888– incidental take permit pursuant to private land is in violation of State law. 7889; Clark County Department of section 10(a)(1)(B) of the Endangered The Applicants have considered plants Comprehensive Planning, 500 South Species Act of 1973, as amended (Act). in the Multispecies Plan and request Grand Central Parkway, Third Floor, Las The proposed 30-year permit would permits for them to the extent that State Vegas, Nevada 89155, (702) 455–3859; authorize the incidental take of 2 law applies. Regulations governing Clark County Northeast Office, Moapa permits for threatened and endangered federally-listed threatened and Community Center, 320 North Moapa species, respectively, are at 50 CFR endangered species, and 77 non-listed Valley Boulevard, Overton, Nevada, 17.32 and 50 CFR 17.22. species of concern in the event these 89040, (702) 397–6475; City of Las On July 11, 1995, the Service issued species become listed under the Act Vegas, Department of Public Works, 731 an incidental take permit, effective during the term of the permit, in South Fourth Street, Las Vegas, Nevada August 1, 1995, to Clark County; the connection with economic growth and 89101, (702) 229–6541; City of North Cities of Las Vegas, North Las Vegas, development of up to 145,000 acres of Las Vegas Public Works, 2266 Civic Henderson, Mesquite, and Boulder City; non-Federal lands in Clark County. Center Drive, North Las Vegas, Nevada and the Nevada Department of The Service has assisted in the 89030, (702) 633–1225; City of Transportation for the Clark County preparation of the Final Multispecies Henderson, 240 Water Street, Desert Conservation Plan (Desert Plan and an Implementation Agreement Henderson, Nevada 89015, (702) 565– Conservation Plan). This plan provides (legal contract). We also have directed 2474; City of Boulder City, City Hall, conservation measures for the the preparation of a Final 401 California Avenue, Boulder City, threatened desert tortoise (Gopherus Environmental Impact Statement Nevada 89005, (702) 293–9200; and the agassizii), in Clark County. The addressing the potential effects on the City of Mesquite, 10 East Mesquite associated permit authorizes incidental human environment that may result Boulevard, Mesquite, Nevada 89027, take of the desert tortoise in Clark from the granting of an incidental take (702) 346–2835. County consistent with the long-term permit and other Federal actions Library—Clark County Public Library, viability of the species in this portion of associated with implementation of the Main Branch, 833 Las Vegas Boulevard its range. Multispecies Plan. North, Las Vegas, Nevada 89101, (702) The Desert Conservation Plan DATES: We will issue a Record of 382-3493. includes provisions for a proactive Decision and make a permit decision no Alternatively, you may view the Final approach to conservation planning for sooner than October 23, 2000. Multispecies Plan/Environmental multiple species in Clark County. The ADDRESSES: See SUPPLEMENTARY Impact Statement at the following intent was to reduce the likelihood of INFORMATION for addresses of locations website: www.co.clark.nv.us. Click on future listings of plants and wildlife as where you may review copies of the ‘‘Health and the Environment,’’ then threatened or endangered under the Act. documents. click on ‘‘Environmental Planning,’’ and The Multispecies Plan is the direct finally click on ‘‘Habitat Conservation.’’ outgrowth of provisions of the Desert FOR FURTHER INFORMATION CONTACT: Mr. A CD–ROM copy of the document is Conservation Plan and will provide Bob Williams, Field Supervisor of the also available by calling Ms. Sandy stand-alone conservation measures for Nevada Fish and Wildlife Office in Helvey, Administrative Secretary, Clark species included in the plan. We Reno, at (775) 861–6331; or Ms. Janet County Department of Comprehensive anticipate that implementation of the Bair, Assistant Field Supervisor of the Planning, at (702) 455–4181. To view conservation measures in the Southern Nevada Field Office in Las the document, you will need access to Multispecies Plan will be a cooperative Vegas, at (702) 647–5230. an IBM or Macintosh computer with the effort among the Applicants, the SUPPLEMENTARY INFORMATION: capacity to read CD–ROMs. Service, Bureau of Land Management, U.S. Forest Service, National Park Availability of Documents Background Service, Nevada Division of Wildlife, Copies of the Final Multispecies Plan/ Section 9 of the Act and Federal and other Federal and State land Environmental Impact Statement, and regulation prohibit the ‘‘take’’ of animal managers and regulators.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57367

Clark County and the Cities of Las participate in and fund local habitat Dated: September 14, 2000. Vegas, North Las Vegas, Henderson, rehabilitation and enhancement Elizabeth H. Stevens, Mesquite, and Boulder City are seeking programs; and develop and implement Deputy Manager, Region 1, California/Nevada a 30-year permit for the incidental take an adaptive management process that Operations Office, Sacramento, California. of federally-listed threatened and allows for responses to new [FR Doc. 00–24199 Filed 9–21–00; 8:45 am] endangered species, and other non- information. BILLING CODE 4310±55±P listed species of concern in the event The underlying purpose of the that these species become listed under Multispecies Plan is to achieve a the Act during the term of the permit, balance between (1) long-term DEPARTMENT OF THE INTERIOR in connection with the development of conservation of natural habitat and non-Federal lands within Clark County, native plant and animal diversity that Fish and Wildlife Service Nevada. In addition, the Nevada are an important part of the natural Notice of Intent To Prepare an Department of Transportation has joined heritage of Clark County, and (2) the as an Applicant for the permit to allow Environmental Assessment for the orderly and beneficial use of land in Proposed Exchange of Lands With the incidental take of desert tortoise order to promote the economy, health, within desert tortoise habitat below Federal Interest on South Fox Island, well-being, and custom and culture of Leelanau County, Michigan, Between 5,000 feet in elevation and south of the the growing population of Clark County, 38th parallel in Nye, Lincoln, Mineral, the State of Michigan and a Private Nevada. Citizen and Esmeralda Counties, Nevada, and On March 3, 1997, the Service the incidental take of other non-listed published a notice in the Federal AGENCY: Fish and Wildlife Service, species of concern within Clark County Register (62 FR 9443) announcing that Interior, lead; National Park Service, in connection with the construction and the we would take the lead in preparing Interior, cooperating. maintenance of roads, highways, and an Environmental Impact Statement ACTION: Notice of Intent to prepare an material sites. addressing the Federal actions Environmental Assessment for the The permit to the Applicants would associated with the Multispecies Plan. proposed exchange of lands with authorize incidental take of 79 species The notice invited comments on the Federal interest on South Fox Island, on no more than 145,000 acres of land scope of the Environmental Impact Leelanau County, Michigan. potentially available for development in Statement. Our consideration of the SUMMARY: Clark County. This acreage includes comments received were reflected in the This notice advises the public non-Federal lands that currently exist that the U.S. Fish and Wildlife Service Draft Multispecies Plan/Environmental and non-Federal lands which result (FWS) intends to gather the information Impact Statement made available for from sales or transfers from the Federal necessary for the preparation of an EA. comment (65 FR 36709). government after the issuance of the The actions to be evaluated by this EA The Draft Multispecies Plan/ permit. This acreage excludes existing are: (1) The approval by FWS of the development, the Boulder City Environmental Impact Statement exchange of 325.8 acres, acquired by the Conservation Easement established analyzed the potential environmental State with Federal Aid in Wildlife under the current Desert Conservation impacts that may result from the Federal Restoration assistance, for lands with Plan for the desert tortoise, and State action requested in support of the equal monetary and wildlife restoration lands managed for resource values. The proposed development of up to 145,000 values; (2) the approval by the National 79 species proposed for incidental take acres of non-Federal land in Clark Park Service (NPS) for the State to coverage under the Multispecies Plan County, and identified various exchange 115.1 acres with NPS interest (covered species) include 2 listed alternatives, including the No Action for private lands with equal or better species (the desert tortoise and the Alternative, the Proposed Multispecies public value; and (3) the related southwestern willow flycatcher, Plan, the Low Elevation Ecosystems exchange of 212.4 acres of Empidonax traillii extimus), 1 candidate Multispecies Plan, a Permit Only for unencumbered State-owned land for fee for listing (Blue Diamond cholla, Threatened or Endangered and title and easements for private lands of Opuntia whipplei var. multigeniculata), Candidate Species, and Alternative equal value. All acreage is approximate. and 76 unlisted species including 4 Permit Durations for the Multispecies This will consolidate and confine State mammals, 7 birds, 14 reptiles, 1 Plan. Alternatives considered but not ownership to approximately the amphibian, 10 invertebrates, and 40 advanced for further analysis included a northern one-third of South Fox Island, plants. Permit to Include the Entire Mojave Leelanau County, Michigan, about 30 To minimize and mitigate the impacts Desert Ecosystem, a Permit to Mitigate miles WNW of Charlevoix, in Lake of take of species, the Applicants Impacts Only on Non-Federal Lands, Michigan. propose to impose a $550-per-acre and a High Elevation Ecosystems The Service Regional Director is development fee and maintain an Multispecies Plan. considering, under the authority of 50 endowment fund that will provide up to The analysis provided in the Final CFR 80.14 and 43 CFR 12.71, exchange $4.1 million per biennial period to fund Multispecies Plan/Environmental of lands acquired with Federal Aid in conservation measures for covered Impact Statement is intended to Wildlife Restoration funds. The NPS species and to administer the accomplish the following: Inform the and General Service’s Administration Multispecies Plan. The plan includes public of the proposed action and are considering the removal of a title measures to implement a public alternatives; address public comment reversion clause to allow the disposal of information and education program; received during the scoping period; certain lands on South Fox Island and purchase grazing allotments and interest disclose the direct, indirect, and for the placement of a title reversion in real property and water; maintain and cumulative environmental effects of the clause on replacement lands of equal manage allotments, land, and water proposed action and each of the public value. Alternatives could include rights which have been acquired; alternatives; and indicate any approval, disapproval, or modification construct barriers to wildlife movement irreversible commitment of resources of the State’s current proposal of the along linear features such as roads; that would result from implementation land exchange. Modifications could translocate displaced desert tortoises; of the proposed action. include, but are not limited to: changes

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57368 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices in the boundaries and acreage of tracts Service, East Lansing Field Office, 2651 Fishery Resources Restoration Act (16 to be exchanged; elimination of the NPS Coolidge Road, Suite 101, East Lansing, U.S.C. 460ss et seq.). The meeting is tract from the exchange; and deed MI 48823, telephone: (517) 351–8470, open to the public. restrictions on private lands to protect facsimile: (517) 351–1443; Mr. Jon DATES: The Klamath River Basin wildlife and historic resources. Parker, U.S. Fish and Wildlife Service, Fisheries Task Force (Task Force) will This notice is being furnished as Division of Federal Aid, Bishop Henry required by the National Environmental Whipple Federal Building, 1 Federal meet from 8 a.m. to 5 p.m. on Policy Act (NEPA) Regulations (40 Drive, Fort Snelling, MN 55111; Wednesday, October 18, 2000 and from CFR1501.7 and 1508.22). The intent of telephone: 612–713–5142, facsimile: 8 a.m. to 3:20 p.m. on Thursday, the notice is to obtain suggestions and (612) 713–5290; or Mr. John Kelly, October 19, 2000. additional information from other National Park Service, 15 State Street, PLACE: The meeting will be held at the agencies and the public on the scope of Boston, MA 02109, telephone (617) Best Western Miner’s Inn, 122 East issues to be addressed in the EA. 223–5190. Miner Street Yreka, California. Comments and participation in this SUPPLEMENTARY INFORMATION: The scoping process are solicited. FOR FURTHER INFORMATION CONTACT: Dr. 115.1—acre State owned tract with NPS Ronald A. Iverson, Project Leader, U.S. DATES: Written comments should be and GSA interest contains the South Fish and Wildlife Service, 1829 South received on or before October 23, 2000. Fox Island Lighthouse facilities that are Oregon Street, Yreka, California 96097, A scoping meeting is scheduled for either listed or are likely eligible to be telephone (530) 842–5763. October 12, 2000 at Charlevoix City listed on the National Register of Hall, 215 State Street, Charlevoix, Historic Places; other historical or SUPPLEMENTARY INFORMATION: For Michigan, with duplicate sessions from archeological resources may be present. background information on the Task 2 to 5 pm and from 7 to 10 pm. This The National Historic Preservation Act Force, please refer to the notice of their meeting will also be announced in the and other laws require these properties initial meeting that appeared in the local news media. and resources be identified and Federal Register on July 8, 1987 (52 FR Public Involvement: The public will considered in project planning. The 25639). be invited to participate in the scoping public is requested to inform the FWS Dated: September 8, 2000. process, a public meeting, and review of of concerns about archeological sites, Elizabeth H. Stevens, the draft EA when it is produced. One buildings and structures, historic scoping meeting is scheduled on Acting California/Nevada Operations events, sacred and traditional areas, and Manager, California/Nevada Office, U.S. Fish October 12, 2000, at the Charlevoix, other historic preservation concerns. and Wildlife Service. Michigan City Hall and will be The NPS tract also includes proposed [FR Doc. 00–24369 Filed 9–21–00; 8:45 am] announced in the local news media. Critical Habitat for the Federally BILLING CODE 4310±55±P Release of the draft EA for public Endangered Piping plover. The tract comment will also be announced in the also contains Federally Threatened local news media, as these dates are Pitcher’s thistle, which is also present at DEPARTMENT OF THE INTERIOR established. Written scoping comments other locations on the island. should be received within 30 days from The Grand Traverse Band of Ottawa Bureau of Indian Affairs the date of publication of this Notice of and Chippewa Indians has unresolved Intent. claims to title and other property rights Indian Gaming All comments received from on the island. There is an Indian individuals become part of the official cemetery on the private lands. AGENCY: Bureau of Indian Affairs, public record. Requests for such There have been ongoing conflicts Interior. comments will be handled in over trespass on both public and private ACTION: Notice of approved Tribal-State accordance with the Freedom of land parcels on the island. Public access Compact. Information Act and the Council on is an ongoing issue. Environmental Quality’s NEPA The Service estimates that the draft SUMMARY: Pursuant to section 11 of the regulations [40 CFR 1506.6(f)]. Our EA will be made available to the public Indian Gaming Regulatory Act (IGRA), practice is to make comments, including by early November, 2000. Pub. L. 100–497, 25 U.S.C. 2710, the names and home addresses of Barbara Milne, Secretary of the Interior shall publish, in respondents, available for public review Acting Regional Director, Region 3, Fort the Federal Register, notice of approved during regular business hours. Snelling, MN. Tribal-State Compacts for the purpose of Individual respondents may request that [FR Doc. 00–24249 Filed 9–21–00; 8:45 am] engaging in Class III gaming activities we withhold their home address from BILLING CODE 4310±55±P on Indian lands. The Assistant the record, which we will honor to the Secretary—Indian Affairs, Department extent allowable by law. If a respondent of the Interior, through his delegated wishes us to withhold his/her name DEPARTMENT OF THE INTERIOR authority, has approved the Tribal-State and/or address, this must be stated Compact for Class III Gaming Between prominently at the beginning of the Fish and Wildlife Service the Sauk Suiattle Indian Tribe and the comment. AGENCY: Fish and Wildlife Service, State of Washington, which was ADDRESSES: Comments should be Interior. executed on April 20, 2000. addressed to: Regional Director, Region ACTION: Notice of meeting. 3, U.S. Fish and Wildlife Service, 1 DATES: This action is effective September 22, 2000. Federal Drive, Fort Snelling, Minnesota SUMMARY: Pursuant to section 10(a)(2) of 55111. Electronic mail comments may the Federal Advisory Committee Act (5 FOR FURTHER INFORMATION CONTACT: also be submitted within the comment U.S.C. App. I), this notice announces a George T. Skibine, Director, Office of period to: [email protected]. meeting of the Klamath River Basin Indian Gaming Management, Bureau of FOR FURTHER INFORMATION CONTACT: Mr. Fisheries Task Force, established under Indian Affairs, Washington, DC, 20240, Craig Czarnecki, U.S. Fish and Wildlife the authority of the Klamath River Basin (202) 219–4066.

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57369

Dated: September 7, 2000. SUPPLEMENTARY INFORMATION: This ACTION: Notice corrections. Kevin Gover, proposed RMPA /FEIS is a plan for SUMMARY: Assistant Secretary—Indian Affairs. managing NCA and contiguous public The Bureau of Land Management published a notice in the [FR Doc. 00–24357 Filed 9–21–00; 8:45 am] lands and resources. The plan addresses Federal Register on August 29, 2000, BILLING CODE 4310±02±P the following public land issues that amend the Rio Puerco RMP: Recreation regarding the availability of the Draft (Visual Resource Management), Access Environmental Impact Report/ DEPARTMENT OF THE INTERIOR and Transportation, Wilderness Environmental Impact Statement on the Suitability, and Boundary and Land proposed expansion of the existing Bureau of Land Management Tenure Adjustments. Issues addressed Mesquite Gold Mine in Imperial County, at the activity plan level are: Recreation, Ca. The notice contains information that [NM±010±1220±DH] Facility Development, Access and has changed. Transportation, Wilderness FOR FURTHER INFORMATION CONTACT: Notice of Availability of a Proposed Management, Wilderness Suitability, Kevin Marty, Bureau of Land Resource Management Plan American Indian Uses and Traditional Management, 1661 South 4th Street, El Amendment (RMPA) and Final Cultural Practices, Cultural Resources, Centro, CA; telephone (760) 337–4422. Environmental Impact Statement Wildlife Habitat, Vegetation, and Corrections (FEIS) ; Albuquerque Field Office, New Boundary & Land Ownership Mexico Adjustments. (a) In the Federal Register of August Under the Proposed Plan BLM would 29, 2000, in DOCID fr29au00-85, on AGENCY: Bureau of Land Management, provide: page 52436, under the DATES caption, Interior. • A combination of developed and change the comment period ending date ACTION: Notice. dispersed recreational opportunities. to November 7, 2000. • (b) On the same page as above, under SUMMARY: The Bureau of Land Approximately 105,000 acres closed to vehicle and mechanical access. the ADDRESSES caption, change the Management (BLM) Albuquerque Field • extension for the Imperial County Office has completed a Proposed Approximately 273 miles of designated vehicle routes. Planning and Building Department to RMPA/FEIS. This document contains a • 4313. 20-year strategy for managing the El Approximately 101,000 acres of designated wilderness with (c) On the same page as above, under Malpais National Conservation Area the FOR FURTHER INFORMATION CONTACT (NCA) and contiguous lands. The approximately 4,000 additional acres recommended for designation. caption, change the Imperial County document also addresses activity level • Planning and Building Department plans for these lands and as required by Emphasis to cultural resource conservation for future use and contact name to Richard Cabanilla, and P.L. 100–225 makes a recommendation change the telephone extension to 4313. of the suitability/nonsuitability of the recommend additional acreage for Chain of Craters Wilderness Study Area inclusion in the NCA to provide for Dated: September 15, 2000. cultural resource management. Greg Thomsen, for inclusion in the wilderness system. • The document also recommends to Management of wildlife habitat for Field Manager. Congress the inclusion of certain habitat improvement. [FR Doc. 00–24371 Filed 9–21–00; 8:45 am] • Vegetative management practices to additional contiguous acres in the BILLING CODE 4310±40±P Cebolla Wilderness and the addition of emphasize health of the land and improvement of ecological conditions. other acres to the NCA. • Copies are available for review at Recommendations to Congress for DEPARTMENT OF THE INTERIOR public libraries in Albuquerque and boundary changes that will provide for National Park Service nearby cities or towns. Additional more effective resource management. Public input has occurred throughout copies are available at the following Notice of Inventory Completion for BLM Offices: Albuquerque Field Office, the planning process and public ˜ comments and BLM’s responses to these Native American Human Remains and 435 Montanno Road NE, Albuquerque, Associated Funerary Objects from New Mexico 87107; New Mexico State comments are included as an important part of this proposed plan. Mills County, IA in the Possession of Office, 1474 Rodeo Road, Santa Fe, New the Office of the State Archaeologist, Mexico 87505. The document will also Dated: September 18, 2000. University of Iowa, Iowa City, IA be available on the internet at Edwin J. Singleton, www.nm.blm.gov. Field Manager. AGENCY: National Park Service, Interior. DATES: Protests related to decisions at [FR Doc. 00–24368 Filed 9–21–00; 8:45 am] ACTION: Notice. BILLING CODE 4310±FB±P the Resource Management Plan level Notice is hereby given in accordance must be filed in writing to: Director with provisions of the Native American (WO–210), Bureau of Land DEPARTMENT OF THE INTERIOR Graves Protection and Repatriation Act Management, Attention: Ms. Brenda (NAGPRA), 43 CFR 10.9, of the Williams, 1849 C Street NW., Bureau of Land Management completion of an inventory of human Washington, DC 20240. Protests must be remains and associated funerary objects postmarked no later than October 30, [CA±067±1990; CA±40204] in the possession of the Office of State 2000. Correction to Notice of Availability of Archaeologist, University of Iowa, Iowa FOR FURTHER INFORMATION CONTACT: Kent the Draft Environmental Impact Report/ City, IA. Hamilton, Planning and Environmental Environmental Impact Statement on This notice is published as part of the Coordinator, Bureau of Land National Park Service’s administrative ˜ the Proposed Expansion of the Management, 435 Montano Road NE, Existing Mesquite Gold Mine responsibilities under NAGPRA, 43 CFR Albuquerque, New Mexico 87107–4935, 10.2 (c). The determinations within this Telephone (505) 761–8746. AGENCY: Bureau of Land Management. notice are the sole responsibility of the

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57370 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices museum, institution, or Federal agency (319) 384–0740, before October 23, Yuma, Arizona, 85366; telephone: (520) that has control of these Native 2000. Repatriation of the human 343–8159; or Mr. Steve Robbins, American human remains and remains to the Pawnee Nation of Coachella Valley Water District, P.O. associated funerary objects. The Oklahoma and the Three Affiliated Box 1058, Highway 111 and Avenue 52, National Park Service is not responsible Tribes of the Fort Berthold Reservation, Coachella, California, 92236; telephone: for the determinations within this North Dakota may begin after that date (760) 398–2651. Written comments on notice. if no additional claimants come the DEIS/DEIR should be sent to Mr. A detailed assessment of the human forward. Don Young at the above address. remains was made by the Office of the Dated: September 5, 2000. Note that Reclamation’s standard State Archaeologist, University of Iowa, practice is to make comments, including professional staff in consultation with John Robbins, Assistant Director, Cultural Resources names and home addresses of representatives of the Pawnee Nation of respondents, available for public Oklahoma and the Three Affiliated Stewardship and Partnerships. [FR Doc. 00–24358 Filed 9–21–00; 8:45 am] review. Individual respondents may Tribes of the Fort Berthold Reservation, request that his or her name or identity North Dakota. BILLING CODE 4310±70±F be withheld from public disclosure. In 1984, human remains representing Requests for non-disclosure must be one individual were recovered from site DEPARTMENT OF THE INTERIOR made in writing when comments are 13ML176, Mills County, IA, by the submitted. Reclamation shall Office of State Archaeologist, University Coachella Canal Lining Project, accommodate such requests to the of Iowa, during the salvage excavation Imperial and Riverside Counties, extent allowable by law. All comments of an earthlodge. No known individuals California submitted by organizations and were identified. There are no associated businesses and from individuals funerary objects. AGENCY: Bureau of Reclamation, Interior identifying themselves as This earthlodge was occupied by ACTION: Notice of Availability, Draft representatives or officials of people of the Nebraska phase (A.D. Environmental Impact Statement/Draft organizations or businesses shall be 1050–1250) of the Central Plains Environmental Impact Report— tradition based on the material culture, available for public disclosure in their Coachella Canal Lining Project (INT– entirety. art style, architecture, and geographical DES 00–40). location of the site. Archeological Copies of the DEIS/DEIR are now available for public review at the evidence, especially continuities and SUMMARY: Pursuant to the National following locations: similarities in material culture, and Environmental Policy Act (NEPA) of Pawnee tribal history indicate that the 1969 (as amended) and the California • Bureau of Reclamation, Yuma Area historic Pawnee and Arikara tribes may Environmental Quality Act (CEQA), the Office, Central Files, Room 145, 7301 have their origins among the late Bureau of Reclamation (Reclamation) Calle Agua Salada, Yuma, Arizona; prehistoric Nebraska phase people of and the Coachella Valley Water District telephone: (520) 343–8147 the Missouri River area of southwestern (CVWD) have prepared a joint Draft • Coachella Valley Water District, Iowa and eastern Nebraska. The Arikara Environmental Impact Statement/Draft Highway 111 and Avenue 52, today are members of the Three Environmental Impact Report (DEIS/ Coachella, California, telephone: (760) Affiliated Tribes of the Fort Berthold DEIR) for the ‘‘Coachella Canal Lining 398–2651 Reservation, North Dakota. Project.’’ The document is a revised and • Bureau of Reclamation, Lower Based on the above-mentioned updated version of a DEIS/DEIR filed by Colorado Regional Office, 400 information, officials of the Office of Reclamation and the CVWD and issued Railroad Avenue, Boulder City, State Archaeologist, University of Iowa, for public comment on January 11, Nevada, telephone: (702) 293–8000 have determined that, pursuant to 43 1994. • Bureau of Reclamation, Reclamation CFR 10.2 (d)(1), the human remains DATES: A 60-day public review period Service Center Library, Building 67, listed above represent the physical Room 167, Denver Federal Center, 6th remains of one individual of Native shall begin with the publication date of and , Denver, Colorado, American ancestry. Also, officials of the this notice. Note that there will be no extension of the comment period for telephone: (303) 236–6963 Office of State Archaeologist, University • of Iowa, have determined that, pursuant this DEIS/DEIR. In addition to mailing Bureau of Reclamation, Program to 43 CFR 10.2 (e), there is a submissions, comments will also be Analysis Office, Room 7456, 1849 C relationship of shared group identity received by Reclamation and CVWD at Street NW, Washington, DC, that can be reasonably traced between a public hearing scheduled for 6:30 p.m. telephone: (202) 208–4662 • these Native American human remains on October 25, 2000, at the Coachella California Department of Water and the Pawnee Nation of Oklahoma Valley Water District Office, Highway Resources, 6900 Devils Canyon Road, and the Three Affiliated Tribes of the 111 and Avenue 52, Coachella, San Bernardino, California; telephone: Fort Berthold Reservation, North California. This facility is disability (909) 886–5028 • Dakota. This notice has been sent to accessible. Please contact the persons Yuma County Library, 350 South officials of the Pawnee Nation of identified below within two weeks prior Third Avenue, Yuma, Arizona, Oklahoma and the Three Affiliated to the hearing date to arrange for telephone: (520) 782–1871 Tribes of the Fort Berthold Reservation, accommodations to meet other special • Coachella Branch Library, 1538 7th North Dakota. Representatives of any needs, such as interpreters for the Street, Coachella, California; other Indian tribe that believes itself to hearing-impaired. telephone: (760) 398–5148 be culturally affiliated with these ADDRESSES: To request copies of the • Brawley Public Library, 400 Main human remains should contact Shirley DEIS/DEIR or to obtain further Street, Brawley, California; telephone: Schermer, Burials Program Director, information about the Coachella Canal (760) 344–1891 Office of the State Archaeologist, 700 Lining Project, please contact Mr. Don • El Centro Public Library, 539 W. State Clinton Street Building, University of Young, Reclamation, Yuma Area Office, Street, El Centro, California; Iowa, Iowa City, IA 52242, telephone P.O. Box D, 7301 Calle Agua Salada, telephone: (760) 337–4565

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57371

• Imperial Public Library, 200 W. 9th DEPARTMENT OF THE INTERIOR by November 21, 2000, to be assured of Street, Imperial, California; telephone: consideration. (760) 355–1332 Bureau of Reclamation ADDRESSES: Comments may be mailed to • John A. Trelease, Office of Surface Indio Branch Library, 200 Civic Colorado River Interim Surplus Mining Reclamation and Enforcement, Center Mall, Indio, California; Criteria; Correction telephone: (760) 347–2383 1951 Constitution Ave., NW., Room AGENCY: Bureau of Reclamation, 210–SIB, Washington, DC 20240. • Palm Springs Library, 300 S. Sunrise Interior. Comments may also be submitted Way, Palm Springs, California; ACTION: electronically to [email protected]. telephone: (760) 322–7323 Notice of correction to published Federal Register notice of FOR FURTHER INFORMATION CONTACT: To • San Diego Central Library, 820 E availability. request a copy of the information Street, San Diego, California; collection request, explanatory telephone: (619) 236–5800 SUMMARY: The Bureau of Reclamation is information and related form, contact correcting information published in the • Los Angeles Public Library, 630 W. John A. Trelease, at (202) 208–2783. Federal Register issue date of Tuesday, Fifth Street, Los Angeles, California SUPPLEMENTARY INFORMATION: The Office August 8, 2000 (Vol. 65, No. 153). 90071; telephone: (213) 228–7000 of Management and Budget (OMB) FOR FURTHER INFORMATION CONTACT: For regulations at 5 CFR 1320, which SUPPLEMENTARY INFORMATION: This additional information, contact Ms. implement provisions of the Paperwork DEIS/DEIR is a revised and updated Jayne Harkins at (702) 293–8785. Reduction Act of 1995 (Pub. L. 104–13), version of a DEIS/DEIR for the Coachella SUPPLEMENTARY INFORMATION: On page require that interested members of the Canal Lining Project filed by 48534, in Table 1., ‘‘Cooperative Water public and affected agencies have an Reclamation and the CVWD and issued Conservation/Transfer Projects’’, under opportunity to comment on information for public comment on January 11, the column labeled ‘‘Cooperative water collection and recordkeeping activities 1994. At that time, because of funding conservation/transfer projects’’, the [see 5 CFR 1320.8 (d)]. This notice constraints, construction of the project footnote for ‘‘All American Canal identifies information collections that was deferred, and a Final EIS/EIR was Lining-MWD/SLR’’ should be ‘‘4’’ OSM will be submitting to OMB for not completed. The proposed action instead of ‘‘3.’’ In the ‘‘Estimated start extension. This collection is contained evaluated in the revised DEIS/DEIR is date’’ column of the same table, the in 30 CFR 840. the same as in the previous document— footnote for year ‘‘2006’’ should be ‘‘5’’ OSM has received burden estimates, to install a concrete lining within the instead of ‘‘4.’’ where appropriate, to reflect current existing cross-section of unlined On page 48536, in the far right reporting levels or adjustments based on portions of the canal (33.2 miles) using column, subsection ‘‘IV.B.3.b.’’ should reestimates of burden or respondents. conventional construction methods and read ‘‘Allocate and distribute the OSM will request a 3-year term of diverting water around each section Quantified Surplus 50% to California, approval for this information collection activity. while it is being lined. Alternatives 46% to Arizona and 4% to Nevada subject to c. though f. that follow.’’ Comments are invited on: (1) The evaluated in the DEIS/DEIR, also the instead of ‘‘* * * subject to c. though g. need for the collection of information same as in the original DEIS/DEIR, that follow.’’ for the performance of the functions of include No Action, Underwater Lining, Dated: September 15, 2000. the agency; (2) the accuracy of the and Parallel Canal Construction. agency’s burden estimates; (3) ways to Robert W. Johnson, The purpose of this federal action is enhance the quality, utility and clarity to conserve 30,850 acre-feet annually of Regional Director. of the information collection; and (4) water presently being lost as seepage [FR Doc. 00–24424 Filed 9–21–00; 8:45 am] ways to minimize the information from the earthen reaches of the BILLING CODE 4310±MN±P collection burden on respondents, such Coachella Canal. A specific quantity of as use of automated means of collection of the information. A summary of the conserved water would be assigned to DEPARTMENT OF THE INTERIOR the Department of the Interior to public comments will accompany facilitate implementation of the San Office of Surface Mining Reclamation OSM’s submission of the information Luis Rey Indian Water Rights Settlement and Enforcement collection request to OMB. Act (Public Law 100–675, November 17, This notice provides the public with 1988). Remaining quantities of Notice of Proposed Information 60 days in which to comment on the following information collection conserved water would be distributed to Collection activity: southern California to meet present AGENCY: Office of Surface Mining Title: Permanent Program Inspection water demand and to assist the State in Reclamation and Enforcement. and Enforcement Procedures, 30 CFR attaining the goals of California’s ACTION: Notice and request for Part 840. Colorado River Water Use Plan. The comments. OMB Control Number: 1029–0051. federal action includes approval of Abstract: This provision requires the transfers and exchanges of conserved SUMMARY: In compliance with the regulatory authority to conduct periodic Coachella canal water among Paperwork Reduction Act of 1995, the inspections of coal mining activities, California’s Colorado River water Office of Surface Mining Reclamation and prepare and maintain inspection contractors. and Enforcement (OSM) is announcing reports for public review. This its intention to renew its authority to Dated: September 13, 2000. information is necessary to meet the collect information for the permanent requirements of the Surface Mining Robert W. Johnson, program inspection and enforcement Control and Reclamation Act of 1977 Regional Director. procedures at 30 CFR Part 840. and its public participation provisions. [FR Doc. 00–24425 Filed 9–21–00; 8:45 am] DATES: Comments on the proposed Public review assures the public that the BILLING CODE 4310±MN±P information collection must be received State is meeting the requirements for the

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57372 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Act and approved State regulatory control number. The OMB control DEPARTMENT OF THE INTERIOR program. number for this collection of Bureau Form Number: None. information is listed in 30 CFR Part 700, Office of Surface Mining Reclamation Frequency of Collection: Once, which is 1029–0094. and Enforcement monthly, quarterly, and annually. As required under 5 CFR 1320.8(d), a Description of Respondents: State Proposed Wright Junior/Senior High Federal Register notice soliciting Regulatory Authorities. School Improvements Project in Total Annual Responses: 99,013. comments on these collections of Wyoming Total Annual Burden Hours: 578,509. information was published on June 28, 2000 (65 FR 39924). No comments were AGENCY: Office of Surface Mining Dated: September 18, 2000. received. This notice provides the Reclamation and Enforcement (OSM), Interior. Richard G. Bryson, public with an additional 30 days in Chief, Division of Regulatory Support. which to comment on the following ACTION: Notice of application for grant [FR Doc. 00–24373 Filed 9–21–00; 8:45 am] information collection activity: funding; public comment period on BILLING CODE 4310±05±M request to fund the Wright Junior/Senior Title: General, 30 CFR Part 700. High School improvements project. OMB Control Number: 1029–0094. SUMMARY: DEPARTMENT OF THE INTERIOR OSM is announcing its receipt Summary: This Part establishes of a grant application from the Wyoming procedures and requirements for Office of Surface Mining Reclamation Department of Environmental Quality, and Enforcement terminating jurisdiction of surface coal Abandoned Mine Land Division mining and reclamation operations, (AMLD). Wyoming is requesting Notice of Proposed Information petitions for rulemaking, and citizen $500,000 from the Abandoned Mine Collection suits filed under the Surface Mining Reclamation Fund to pay approximately Control and Reclamation Act of 1977. 50 percent of the cost of building the AGENCY: Office of Surface Mining Bureau Form Number: None. Wright Junior/Senior High School Reclamation and Enforcement, Interior. Improvements project in Campbell ACTION: Notice and request for Frequency of Collection: Once. County, Wyoming. In its application, comments. Description of Respondents: State and the State proposes paying for part of the tribal regulatory authorities, private reconstruction cost as a public facility SUMMARY: In compliance with the citizens and citizen groups, and surface project that will benefit a community Paperwork Reduction Act of 1995, the coal mining companies. impacted by coal and mineral mining Office of Surface Mining Reclamation Total Annual Responses: 6. activities. and Enforcement (OSM) is announcing This notice describes when and where that the information collection request Total Annual Burden Hours: 12. the Wyoming abandoned mine land for the title described below has been Send comments on the need for the (AML) program and the grant forwarded to the Office of Management collections of information for the application for funding the Wright and Budget (OMB) for review and performance of the functions of the Junior/Senior High School comment. The information collection agency; the accuracy of the agency’s Improvements project are available for request describes the nature of the burden estimates; ways to enhance the you to read. It also sets the time period information collection and the expected during which you may send written burden and cost. quality, utility and clarity of the information collections; and ways to comments on the request to us. DATES: Comments must be submitted on minimize the information collection DATES: We will accept written or before October 23, 2000, to be assured burdens on respondents, such as use of comments until 4:00 p.m., m.s.t., of consideration. automated means of collections of the October 23, 2000. FOR FURTHER INFORMATION CONTACT: To information, to the following addresses. ADDRESSES: You should mail or hand- request a copy of the information Please refer to the appropriate OMB deliver written comments to Guy V. collection request, explanatory control number in all correspondence. Padgett, Casper Field Office Director, at information and related form, contact the address shown below. You may read John A. Trelease (202) 208–2783. ADDRESSES: Office of Information and Wyoming’s grant application for this SUPPLEMENTARY INFORMATION: The Office Regulatory Affairs, Office of proposed project during normal of Management and Budget (OMB) Management and Budget, Attention: business hours Monday through Friday regulations at 5 CFR 1320, which Department of Interior Desk Officer, 725 (excluding holidays) at the same implement provisions of the Paperwork 17th Street, NW., Washington, DC address. Also, we will send one free Reduction Act of 1995 (Pub. L. 104–13), 20503. Also, please send a copy of your copy of the grant application to you if require that interested members of the comments to John A. Trelease, Office of you contact OSM’s Casper Field Office. public and affected agencies have an Surface Mining Reclamation and Guy V. Padgett, Director, Casper Field opportunity to comment on information Enforcement, 1951 Constitution Ave., Office, Office of Surface Mining collection and recordkeeping activities NW., Room 210–SIB, Washington, DC Reclamation and Enforcement, Federal (see 5 CFR 1320.8(d)). OSM has 20240, or electronically to Building, Rm. 2403, 100 East ‘‘B’’ Street, submitted a request to OMB to renew its [email protected]. Casper, Wyoming 82601–1918. approval of the collection of information FOR FURTHER INFORMATION CONTACT: Guy contained in 30 CFR 700, General. OSM Dated: September 18, 2000. V. Padgett, Telephone: (307) 261–6555. is requesting a 3-year term of approval Richard G. Bryson, Our practice is to make comments, for this information collection activity. Chief, Division of Regulatory Support. including names and home addresses of An agency may not conduct or [FR Doc. 00–24374 Filed 9–21–00; 8:45 am] respondents, available for public review sponsor, and a person is not required to BILLING CODE 4310±05±M during regular business hours. respond to, a collection of information Individual respondents may request that unless it displays a currently valid OMB we withhold their home address from

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00064 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57373 the administrative record, which we times since the Secretary first approved balance of the project cost will come will honor to the extent allowable by it. In 1984, we accepted the State’s from the Campbell County School law. There also may be circumstances in certification that it addressed all known District #1 (50 percent). The Governor of which we would withhold from the coal-related impacts in Wyoming that Wyoming certified the need and administrative record a respondent’s were eligible for funding under its urgency to fund the Wright Junior/ identity, as allowable by law. If you program. As a result, the State may now Senior High School Improvements wish us to withhold your name and/or reclaim low priority non-coal project prior to completing the State’s address, you must state this reclamation projects. You can read remaining inventory of non-coal prominently at the beginning of your about the certification and OSM’s reclamation, as allowed by section comment. However, we will not acceptance in the May 24, 1984, Federal 411(f) of SMCRA. That certification says consider anonymous comments. We Register (49 FR 22139). At the same the project is in a community impacted will make all submissions from time, we also accepted Wyoming’s by coal and mineral mining activities. organizations or businesses, and from proposal that it will ask us for funds to The project will rectify dangerous individuals identifying themselves as reclaim any additional coal-related overcrowding and inadequate representative or officials of problems that occur during the life of ventilation in the industrial arts shop organizations or businesses, available the Wyoming AML program as soon as area. The project is designed to mitigate for public inspection in their entirety. it becomes aware of them. In the April impacts resulting from growth in both SUPPLEMENTARY INFORMATION: 13, 1992, Federal Register (57 FR coal mining and the electrical power 12731), we announced our decision to industry that uses coal which are I. Background on Title IV of SMCRA accept other changes in Wyoming’s plan currently occurring in Campbell County. Title IV of the Surface Mining Control that describe how it will rank eligible Students and teachers have received and Reclamation Act (SMCRA) coal, non-coal, and facility projects for medical attention for complaints due to established an Abandoned Mine Land funding. Those changes also authorized overcrowding and inadequate Reclamation (AMLR) program. The the Governor of Wyoming to elevate the ventilation of the existing facility. purpose of the AMLR program is to priority of a project based upon the Injuries have also been reported due to reclaim and restore lands and waters Governor’s determination of need and crowded conditions in the current shop that were adversely affected by past urgency. They also expanded the State’s area. mining. The program is funded by a ability to construct public facilities The Governor’s certification states reclamation fee paid by active coal under section 411 of SMCRA. We that the project meets the requirements mining operations. Lands and waters approved additional changes in for his certification under the authority eligible for reclamation under Title IV Wyoming’s plan concerning noncoal of Wyoming Statute W.S. 35–11–1202(c) are primarily those that were mined, or lien authority and contractor eligibility and the AML Regulations, Chapter VII, affected by mining, and abandoned or that improve the efficiency of the State’s Section 6(c). inadequately reclaimed before August 3, AML program. That approval is IV. How We Will Review Wyoming’s 1977, and for which there is no described in the February 21, 1996, Grant Application continuing reclamation responsibility Federal Register (61 FR 6537). under State, Federal, or other laws. Once a State certifies that it has We will review this grant application Title IV of SMCRA allows States to addressed all remaining abandoned coal with respect to the regulations at 30 CFR submit AMLR plans to us. We, on behalf mine problems, and the Secretary 875.15, specifically subsections of the Secretary, review those plans and concurs, then it may request funds to 875.15(e) (1) through (7). As stated in consider any public comments we undertake abandoned noncoal mine those regulations, the application must receive about them. If we determine that reclamation, community impact include the following information: (1) a State has the ability and necessary assistance, and public facilities projects The need or urgency for the activity or legislation to operate an AMLR program, under sections 411(b), (3), and (f), of the construction of the public facility; the Secretary can approve it. The SMCRA. (2) the expected impact the project will Secretary’s approval gives a State State law and regulations that apply have on Wyoming’s coal or minerals exclusive authority to put its AMLR to the proposed Wright school funding industry; (3) the availability of funding plan into effect. request include Wyoming Statute 35– from other sources and, if other funding Once the Secretary approves a State’s 11–1202 and Wyoming Abandoned is provided, its percentage of the total AMLR plan, the State may annually Mine Land Regulations, Chapter VII, of costs involved; (4) documentation from apply to us for money to fund specific the Wyoming Abandoned Mine other local, State, and Federal agencies projects that will achieve the goals of its Program. with oversight for such utilities or approved plan. We follow the facilities describing what funding they III. Wyoming’s Request to Fund Part of requirements of the Federal regulations have available and why their agency is the Cost of theWright Junior/Senior at 30 CFR Parts 874, 875, and 886 when not fully funding this specific project; High School Improvements Project we review and approve such (5) the impact on the State, the public, applications. The Wyoming Department of and the minerals industry if the facility Environmental Quality submitted to us is not funded; (6) the reason why this II. Background on the Wyoming AMLR a grant application requesting new project should be selected before a Plan funding for the FY2002 consolidated priority project relating to the protection The Secretary of the Interior approved grant. In that application, Wyoming of the public health and safety or the Wyoming’s AMLR plan on February 14, asked for $500,000 that it will use to pay environment from the damages caused 1983. You can find background for part of the cost of building the by past mining activities, and (7) an information on the Wyoming AML Wright Junior/Senior High School analysis and review of the procedures program, including the Secretary’s Improvements project. This project is a Wyoming used to notify and involve the findings and our responses to public facility in a community impacted public in this funding request, and a comments, in the February 14, 1983, by coal and mineral mining activities. copy of all comments received and their Federal Register (48 FR 6536). The requested funding is 50 percent of resolution by the State. Wyoming’s Wyoming changed its plan a number of the project’s total cost. Money for the application for the Wright Junior/Senior

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57374 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

High School Improvements project Rock Springs Stormwater Improvement purpose of the AMLR program is to contains the information described in project in Sweetwater County, reclaim and restore lands and waters these seven subsections. Wyoming. In its application, the State that were adversely affected by past Section 875.15(f) requires us to proposes paying for part of the mining. The program is funded by a evaluate all comments we receive and reconstruction cost as a public facility reclamation fee paid by active coal determine whether the funding meets project that will benefit a community mining operations. Lands and waters the requirements of sections 875.15(e) impacted by coal and mineral mining eligible for reclamation under Title IV (1) through (7) described above. It also activities. are primarily those that were mined, or requires us to determine if the request This notice describes when and where affected by mining, and abandoned or is in the best interests of the State’s the Wyoming abandoned mine land inadequately reclaimed before August 3, AML project. We will approve (AML) program and the grant 1977, and for which there is no Wyoming’s request to fund this project application for funding the Rock continuing reclamation responsibility if we conclude that it meets all the Springs Stormwater Channel under State, Federal, or other laws . requirements of 30 CFR 875.15. Improvement project are available for Title IV of SMCRA allows States to you to read. It also sets the time period submit AMLR plans to us. We, on behalf V. What to Do if You Want to Comment during which you may send written of the Secretary, review those plans and on the Proposed Project comments on the request to us. consider any public comments we We are asking for public comments on DATES: We will accept written receive about them. If we determine that Wyoming’s request for funds to pay for comments until 4 p.m., m.s.t. October a State has the ability and necessary part of the cost of completing the Wright 23, 2000. legislation to operate an AMLR program, Junior/Senior High School the Secretary can approve it. The ADDRESSES: You should mail or hand- Secretary’s approval gives a State Improvements Project. You are welcome deliver written comments to Guy v. exclusive authority to put its AMLR to comment on the project. If you do, Padgett, Casper Field Office Director, at please send us written comments. Make plan into effect. the address shown below. You may read Once the Secretary approves a State’s sure your comments are specific and Wyoming’s grant application for this pertain to Wyoming’s funding request in AMLR plan, the State may annually proposed project during normal apply to us for money to fund specific the context of the regulations at 30 CFR business hours Monday through Friday 875.15 and the provisions of section 411 projects that will achieve the goals of its (excluding holidays) at the same approved plan. We follow the of SMCRA. You should explain any address. Also, we will send one free recommendations you make. If we requirements of the Federal regulations copy of the grant application to you if at 30 CFR Parts 874, 875, and 886 when receive your comments after the time you contact OSM’s Casper Field Office. shown under DATES or at locations other we review and approve such Guy V. Padgett, Director, Casper Field applications. than the Casper Field Office, we will not Office, Office of Surface Mining necessarily consider them in our final Reclamation and Enforcement, Federal II. Background on the Wyoming AMLR decision or include them in the Building, Rm. 2403, 100 East ‘‘B’’ Street, Plan administrative record. Casper, Wyoming 82601–1918. The Secretary of the Interior approved Dated: September 8, 2000. FOR FURTHER INFORMATION CONTACT: Guy Wyoming’s AMLR plan on February 14, Guy Padgett, V. Padgett, Telephone: (307) 261–6555. 1983. You can find background Director, Casper Field Office. Our practice is to make comments, information on the Wyoming AML [FR Doc. 00–24375 Filed 9–21–00; 8:45 am] including names and home addresses of program, including the Secretary’s BILLING CODE 4310±05±M respondents, available for public review findings and our responses to during regular business hours. comments, in the February 14, 1983, Individual respondents may request that Federal Register (48 FR 6536). DEPARTMENT OF THE INTERIOR we withhold their home address from Wyoming changed its plan a number of the administrative record, which we times since the Secretary first approved Office of Surface Mining Reclamation will honor to the extent allowable by it. In 1984, we accepted the State’s and Enforcement law. There also may be circumstances in certification that it addressed all known which we would withhold from the coal-related impacts in Wyoming that Proposed Rock Springs Stormwater administrative record a respondent’s were eligible for funding under its Channel Improvements Project in identify, as allowable by law. If you program. As a result, the State may now Wyoming wish us to withhold your name and/or reclaim low priority non-coal AGENCY: Office of Surface Mining address, you must state this reclamation projects. You can read Reclamation and Enforcement (OSM), prominently at the beginning of your about the certification and OSM’s Interior. comment. However, we will not acceptance in the May 25, 1984, Federal ACTION: Notice of application for grant consider anonymous comments. We Register (49 FR 22139). At the same funding; public comment period on will make all submissions from time, we also accepted Wyoming’s request to fund the Rock Springs organizations or businesses, and from proposal that it will ask us for funds to Stormwater Channel improvements individuals identifying themselves as reclaim any additional coal-related project. representative or officials of problems that occur during the life of organizations or businesses, available the Wyoming AML program as soon as SUMMARY: OSM is announcing its receipt for public inspection in their entirety. it becomes aware of them. In the April of a grant application from the Wyoming SUPPLEMENTARY INFORMATION: 13, 1992, Federal Register (57 FR Department of Environmental Quality, 12731), we announced our decision to Abandoned Mine Land Division I. Background on Title IV of SMCRA accept other changes in Wyoming’s plan (AMLD). Wyoming is requesting Title IV of the Surface Mining Control that describe how it will rank eligible $189,333 from the Abandoned Mine and Reclamation Act (SMCRA) coal, non-coal, and facility projects for Reclamation Fund to pay approximately established an Abandoned Mine Land funding. Those changes also authorized 50 percent of the cost of building the Reclamation (AMLR) program. The the Governor of Wyoming to elevate the

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57375 priority of a project based upon the The Governor’s certification states 875.15 and the provisions of section 411 Governor’s determination of need and that the project meets the requirements of SMCRA. You should explain any urgency. They also expanded the State’s for his certification under the authority recommendations you make. If we ability to construct public facilities of Wyoming Statute W.S. 35–11–1202(c) receive your comments after the time under section 411 of SMCRA. We and the AML Regulations, Chapter VII, shown under DATES or at locations other approved additional changes in Section 6(c). than the Casper Field Office, we will not necessarily consider them in our final Wyoming’s plan concerning noncoal IV. How We Will Review Wyoming’s decision or include them in the lien authority and contractor eligibility Grant Application that improve the efficiency of the State’s administrative record. We will review this grant application AML program. That approval is Dated: September 12, 2000. with respect to the regulations at 30 CFR described in the February 21, 1996, Guy Padgett, Federal Register (61 FR 6537). 875.15, specifically subsections 875.15(e)(1) through (7). As stated in Director, Casper Field Office. Once a State certifies that it has [FR Doc. 00–24376 Filed 9–21–00; 8:45 am] addressed all remaining abandoned coal those regulations, the application must BILLING CODE 4310±05±M mine problems, and the Secretary include the following information: (1) concerns, then it may request funds to The need or urgency for the activity or the construction of the public facility; undertake abandoned noncoal mine DEPARTMENT OF THE INTERIOR reclamation, community impact (2) the expected impact the project will have on Wyoming’s coal or minerals assistance, and public facilities projects Office of Surface Mining Reclamation industry; (3) the availability of funding under sections 411(b), (e), and (f), of and Enforcement from other sources and, if other funding SMCRA. is provided, its percentage of the total State law and regulations that apply Proposed Sheridan Slope Stability in costs involved; (4) documentation from Wyoming to the proposed Rock Springs other local, State, and Federal agencies Stormwater Channel Improvement with oversight for such utilities or AGENCY: Office of Surface Mining project funding request include facilities describing what funding they Reclamation and Enforcement (OSM), Wyoming Statute 35–11–1202 and have available and why their agency is Interior. Wyoming Abandoned Mine Land not fully funding this specific project; ACTION: Notice of application for grant Regulations, Chapter VII, of the (5) the impact on the State, the public, funding; public comment period on Wyoming Abandoned Mine Program. and the minerals industry if the facility request to fund the Sheridan slope III. Wyoming’s Request to Fund Part of is not funded; (6) the reason why this stability project. the Cost of the Rock Springs project should be selected before a priority project relating to the protection SUMMARY: OSM is announcing its receipt Stormwater Channel Improvement of a grant application from the Wyoming Project of the public health and safety or the environment from the damages caused Department of Environmental Quality, The Wyoming Department of by past mining activities, and (7) an Abandoned Mine Land Division Environmental Quality submitted to us analysis and review of the procedures (AMLD). Wyoming is requesting a grant application requesting new Wyoming used to notify and involve the $346,725 from the Abandoned Mine funding for the FY2002 consolidated public in this funding request, and a Reclamation Fund to pay approximately grant. In that application, Wyoming copy of all comments received and their 50 percent of the cost of stabilizing the asked for $189,333 that it will use to pay resolution by the State. Wyoming’s dangerous slopes along Big Goose Creek for part of the cost of building the Rock application for the Rock Springs in Sheridan County, Wyoming. In its Springs Stormwater Channel Stormwater Channel Improvement application, the State proposes paying Improvement project. This project is a project contains the information for part of the reconstruction cost as a public facility in a community impacted described in these seven subsections. public facility project that will benefit a by coal and mineral mining activities. Section 875.15(f) requires us to community impacted by coal and The requested funding is 50 percent of evaluate all comments we receive and mineral mining activities. the project’s total cost. Money for the determine whether the funding meets This notice describes when and where balance of the project cost will come the requirements of sections 875.15(e)(1) the Wyoming abandoned mine land from the Town of Rock Springs (50 through (7) described above. It also (AML) program and the grant percent). The Governor of Wyoming requires us to determine if the request application for funding the Sheridan certified the need and urgency to fund is in the best interests of the State’s Slope Stability project are available for the Rock Springs Stormwater Channel AML program. We will approve you to read. It also sets the time period Improvement project prior to Wyoming’s request to fund this project during which you may send written completing the State’s remaining if we conclude that it meets all the comments on the request to us. inventory of non-coal reclamation, as requirements of 30 CFR 875.15. DATES: We will accept written allowed by section 411(f) of SMCRA. comments until 4 p.m., m.s.t., October That certification says the project is in V. What to Do if You Want to Comment 23, 2000. a community impacted by coal and on the Proposed Project ADDRESSES: You should mail or hand- mineral mining activities. The project We are asking for public comments on deliver written comments to Guy V. consists of the second phase of a Wyoming’s request for funds to pay for Padgett, Casper Field Office Director, at stormwater drainage project designed to part of the cost of completing the Rock the address shown below. You may read mitigate the flood potential in two Springs Stormwater Channel Wyoming’s grant application for this residential areas and one commercial Improvement project. You are welcome proposed project during normal area in Rock Springs. This project will to comment on the project. If you do, business hours Monday through Friday reduce the risk associated with the please send us written comments. Make (excluding holidays) at the same potential for flooding that may cause sure your comments are specific and address. Also, we will send one free property damage or may result in loss of pertain to Wyoming’s funding request in copy of the grant application to you if life. the context of the regulations at 30 CFR you contact OSM’s Casper Field Office.

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57376 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Guy V. Padgett, Director, Casper Field we review and approve such III. Wyoming’s Request to Fund Part of Office, Office of Surface Mining applications. the Cost of the Sheridan Slope Stability Reclamation and Enforcement, Federal Project Building, Rm. 2403, 100 East ‘‘B’’ Street, II. Background on the Wyoming AMLR Plan The Wyoming Department of Casper, Wyoming 82601–1918. Environmental Quality submitted to us FOR FURTHER INFORMATION CONTACT: Guy The Secretary of the Interior approved a grant application requesting new V. Padgett, Telephone: (307) 261–6555. Wyoming’s AMLR plan on February 14, funding for the FY2002 consolidated Our practice is to make comments, 1983. You can find background grant. In that application, Wyoming including names and home addresses of information on the Wyoming AML asked for $346,725 that it will use to pay respondents, available for public review program, including the Secretary’s for part of the cost of building the during regular business hours. findings and our responses to Sheridan Slope Stability project. This Individual respondents may request that comments, in the February 14, 1983, project is a public facility in a we withhold their home address from Federal Register (48 FR 6536). community impacted by coal and the administrative record, which we Wyoming changed its plan a number of mineral mining activities. The requested will honor to the extent allowable by times since the Secretary first approved funding is 50 percent of the project’s law. There also may be circumstances in it. In 1984, we accepted the State’s total cost. Money for the balance of the which we would withhold from the certification that it addressed all known project cost will come from the Town of administrative record a respondent’s coal-related impacts in Wyoming that Sheridan (50 percent). The Governor of identity, as allowable by law. If you were eligible for funding under its Wyoming certified the need and wish us to withhold your name and/or program. As a result, the State may now urgency to fund the Sheridan Slope address, you must state this reclaim low priority non-coal Stability project prior to completing the prominently at the beginning of your reclamation projects. You can read State’s remaining inventory of non-coal comment. However, we will not reclamation, as allowed by section consider anonymous comments. We about the certification and OSM’s acceptance in the May 25, 1984, Federal 411(f) of SMCRA. That certification says will make all submissions from the project is in a community impacted organizations or businesses, and from Register (49 FR 22139). At the same time, we also accepted Wyoming’s by coal and mineral mining activities. individuals identifying themselves as The project consists of stabilization of a proposal that it will ask us for funds to representative or officials of high bank of Big Goose Creek. Fills for reclaim any additional coal-related organizations or businesses, available an athletic field, a hillside road, erosion problems that occur during the life of for public inspection in their entirety. from an existing storm drain, saturation the Wyoming AML program as soon as SUPPLEMENTARY INFORMATION: of the hillside, and naturally unstable it becomes aware of them. In the April soils have caused slumping and created I. Background on Title IV of SMCRA 13, 1992, Federal Register (57 FR the potential for a major slope failure. Title IV of the Surface Mining Control 12731), we announced our decision to This slope failure could block Big Goose and Reclamation Act (SMCRA) accept other changes in Wyoming’s plan Creek and cause flooding that may cause established an Abandoned Mine Land that describe how it will rank eligible property damage or loss of life. Reclamation (AMLR) program. The coal, non-coal, and facility projects for The Governor’s certification states purpose of the AMLR program is to funding. Those changes also authorized that the project meets the requirements reclaim and restore lands and waters the Governor of Wyoming to elevate the for his certification under the authority that were adversely affected by past priority of a project based upon the of Wyoming Statute W.S. 35–11–1202(c) mining. The program is funded by a Governor’s determination of need and and the AML Regulations, Chapter VII, reclamation fee paid by active coal urgency. They also expanded the State’s Section 6(c). mining operations. Lands and waters ability to construct public facilities eligible for reclamation under Title IV under section 411 of SMCRA. We IV. How We Will Review Wyoming’s are primarily those that were mined, or approved additional changes in Grant Application affected by mining, and abandoned or Wyoming’s plan concerning noncoal We will review this grant application inadequately reclaimed before August 3, lien authority and contractor eligibility with respect to the regulations at 30 CFR 1977, and for which there is no that improve the efficiency of the State’s 875.15, specifically subsections continuing reclamation responsibility AML program. That approval is 875.15(e)(1) through (7). As stated in under State, Federal, or other laws. described in the February 21, 1996, those regulations, the application must Title IV of SMCRA allows States to Federal Register (61 FR 6537). include the following information: (1) submit AMLR plans to us. We, on behalf Once a State certifies that it has The need or urgency for the activity or of the Secretary, review those plans and addressed all remaining abandoned coal the construction of the public facility; consider any public comments we mine problems, and the Secretary (2) the expected impact the project will have on Wyoming’s coal or minerals receive about them. If we determine that concurs, then it may request funds to a State has the ability and necessary industry; (3) the availability of funding undertake abandoned noncoal mine legislation to operate an AMLR program, from other sources and, if other funding reclamation, community impact the Secretary can approve it. The is provided, its percentage of the total assistance, and public facilities projects Secretary’s approval gives a State costs involved; (4) documentation from under sections 411(b), (e), and (f), of exclusive authority to put its AMLR other local, State, and Federal agencies SMCRA. plan into effect. with oversight for such utilities or Once the Secretary approves a State’s State law and regulations that apply facilities describing what funding they AMLR plan, the State may annually to the proposed Sheridan Slope Stability have available and why their agency is apply to us for money to fund specific funding request include Wyoming not fully funding this specific project; projects that will achieve the goals of its Statute 35–11–1202 and Wyoming (5) the impact on the State, the public, approved plan. We follow the Abandoned Mine Land Regulations, and the minerals industry if the facility requirements of the Federal regulations Chapter VII, of the Wyoming is not funded; (6) the reason why this at 30 CFR Parts 874, 875, and 886 when Abandoned Mine Program. project should be selected before a

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57377 priority project relating to the protection request to fund the Kemmerer Medical representatives or officials of of the public health and safety or the Center access improvements project. organizations or businesses, available environment from the damages caused for public inspection in their entirety. SUMMARY: by past mining activities, and (7) an OSM is announcing its receipt SUPPLEMENTARY INFORMATION: analysis and review of the procedures of a grant application from the Wyoming Wyoming used to notify and involve the Department of Environmental Quality, I. Background on Title IV of SMCRA public in this funding request, and a Abandoned Mine Land Division Title IV of the Surface Mining Control copy of all comments received and their (AMLD). Wyoming is requesting and Reclamation Act (SMCRA) resolution by the State. Wyoming’s $174,946 from the Abandoned Mine established an Abandoned Mine Land application for the Sheridan Slope Reclamation Fund to pay approximately Reclamation (AMLR) program. The Stability project contains the 50 percent of the cost of building the purpose of the AMLR program is to information described in these seven Kemmerer Medical Center Improvement reclaim and restore lands and waters subsections. project in Lincoln County, Wyoming. In that were adversely affected by past its application, the State proposes mining. The program is funded by a Section 875.15(f) requires us to paying for part of the reconstruction reclamation fee paid by active coal evaluate all comments we receive and cost as a public facility project that will mining operations. Lands and waters determine whether the funding meets benefit a community impacted by coal eligible for reclamation under Title IV the requirements of sections 875.15(e)(1) and mineral mining activities. are primarily those that were mined, or through (7) described above. It also This notice describes when and where affected by mining, and abandoned or requires us to determine if the request the Wyoming abandoned mine land inadequately reclaimed before August 3, is in the best interests of the State’s (AML) program and the grant 1977, and for which there is no AML program. We will approve application for funding the Kemmerer continuing reclamation responsibility Wyoming’s request to fund this project Medical Center Access Improvement under State, Federal, or other laws. if we conclude that it meets all the project are available for you to read. It Title IV of SMCRA allows States to requirements of 30 CFR 875.15. also sets the time period during which submit AMLR plans to us. We, on behalf V. What To Do If You Want To you may send written comments on the of the Secretary, review those plans and Comment on the Proposed Project request to us. consider any public comments we DATES: We will accept written receive about them. If we determine that We are asking for public comments on comments until 4:00 p.m., m.s.t., a State has the ability and necessary Wyoming’s request for funds to pay for October 23, 2000. legislation to operate an AMLR program, part of the cost of completing the the Secretary can approve it. The ADDRESSES: You should mail or hand- Sheridan Slope Stability Project. You Secretary’s approval gives a State deliver written comments to Guy V. are welcome to comment on the project. exclusive authority to put its AMLR Padgett, Casper Field Office Director, at If you do, please send us written plan into effect. the address shown below. You may read comments. Make sure your comments Once the Secretary approves a State’s Wyoming’s grant application for this are specific and pertain to Wyoming’s AMLR plan, the State may annually proposed project during normal funding request in the context of the apply to us for money to fund specific business hours Monday through Friday regulations at 30 CFR 875.15 and the projects that will achieve the goals of its (excluding holidays) at the same provisions of section 411 of SMCRA. approved plan. We follow the address. Also, we will send one free You should explain any requirements of the Federal regulations copy of the grant application to you if recommendations you make. If we at 30 CFR Parts 874, 875, and 886 when you contact OSM’s Casper Field Office. receive your comments after the time we review and approve such Guy V. Padgett, Director, Casper Field shown under DATES or at locations other applications. Office, Office of Surface Mining than the Casper Field Office, we will not Reclamation and Enforcement, Federal II. Background on the Wyoming AMLR necessarily consider them in our final Building, Rm. 2403, 100 East ‘‘B’’ Street, Plan decision or include them in the Casper, Wyoming 82601–1918. administrative record. The Secretary of the Interior approved FOR FURTHER INFORMATION CONTACT: Guy Wyoming’s AMLR plan on February 14, Dated: September 12, 2000. V. Padgett, Telephone: (307) 261–6555. 1983. You can find background Guy Padgett, Our practice is to make comments, information on the Wyoming AML Director, Casper Field Office. including names and home addresses of program, including the Secretary’s [FR Doc. 00–24377 Filed 9–21–00; 8:45 am] respondents, available for public review findings and our responses to BILLING CODE 4310±05±M during regular business hours. comments, in the February 14, 1983, Individual respondents may request that Federal Register (48 FR 6536). we withhold their home address from Wyoming changed its plan a number of DEPARTMENT OF THE INTERIOR the administrative record, which we times since the Secretary first approved will honor to the extent allowable by it. In 1984, we accepted the State’s Office of Surface Mining Reclamation law. There also may be circumstances in certification that it addressed all known and Enforcement which we would withhold from the coal-related impacts in Wyoming that administrative record a respondent’s were eligible for funding under its Proposed Kemmerer Medical Center identity, as allowable by law. If you program. As a result, the State may now access improvements project in wish us to withhold your name and/or reclaim low priority non-coal Wyoming address, you must state this reclamation projects. You can read prominently at the beginning of your about the certification and OSM’s AGENCY: Office of Surface Mining comment. However, we will not acceptance in the May 24, 1984, Federal Reclamation and Enforcement (OSM), consider anonymous comments. We Register (49 FR 22139). At the same Interior. will make all submissions from time, we also accepted Wyoming’s ACTION: Notice of application for grant organizations or businesses, and from proposal that it will ask us for funds to funding; public comment period on individuals identifying themselves as reclaim any additional coal-related

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57378 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices problems that occur during the life of the entrance to the Lincoln County V. What to Do if You Want to Comment the Wyoming AML program as soon as Medical Center in Kemmerer to on the Proposed Project it becomes aware of them. In the April eliminate a hazardous intersection We are asking for public comments on 13, 1992, Federal Register (57 FR providing both primary and emergency Wyoming’s request for funds to pay for 12731), we announced our decision to access to the medical center. The part of the cost of completing the accept other changes in Wyoming’s plan restricted line of sight at the intersection Kemmerer Medical Center Improvement that describe how it will rank eligible creates a substantial hazard for drivers Project. You are welcome to comment coal, non-coal, and facility projects for and pedestrians as well as emergency on the project. If you do, please send us funding. Those changes also authorized vehicles and vehicles entering the written comments. Make sure your the Governor of Wyoming to elevate the facility for routine purposes. comments are specific and pertain to priority of a project based upon the Wyoming’s funding request in the Governor’s determination of need and The Governor’s certification states that the project meets the requirements context of the regulations at 30 CFR urgency. They also expanded the State’s 875.15 and the provisions of section 411 ability to construct public facilities for his certification under the authority of Wyoming Statute W.S. 35–11–1202(c) of SMCRA. You should explain any under section 411 of SMCRA. We recommendations you make. If we and the AML Regulations, Chapter VII, approved additional changes in receive your comments after the time Section 6(c). Wyoming’s plan concerning noncoal shown under DATES or at locations other lien authority and contractor eligibility IV. How We Will Review Wyoming’s than the Casper Field Office, we will not that improve the efficiency of the State’s Grant Application necessarily consider them in our final AML program. That approval is decision or include them in the described in the February 21, 1996, We will review this grant application administrative record. Federal Register (61 FR 6537). with respect to the regulations at 30 CFR Dated: September 9, 2000. Once a State certifies that it has 875.15, specifically subsections Guy Padgett, addressed all remaining abandoned coal 875.15(e)(1) through (7). As stated in Director, Casper Field Office. mine problems, and the Secretary those regulations, the application must concurs, then it may request funds to include the following information: (1) [FR Doc. 00–24378 Filed 9–21–00; 8:45 am] undertake abandoned noncoal mine The need or urgency for the activity or BILLING CODE 4310±05±M reclamation, community impact the construction of the public facility; assistance, and public facilities projects (2) the expected impact the project will under sections 411(b), (e), and (f), of DEPARTMENT OF THE INTERIOR have on Wyoming’s coal or minerals SMCRA. State law and regulations that apply industry; (3) the availability of funding Office of Surface Mining Reclamation to the proposed Kemmerer Medical from other sources and, if other funding and Enforcement Center Access Improvement project is provided, its percentage of the total Proposed Hudson Elementary School funding request include Wyoming costs involved; (4) documentation from Improvements Project 48 in Wyoming Statute 35–11–1202 and Wyoming other local, State, and Federal agencies Abandoned Mine Land Regulations, with oversight for such utilities or AGENCY: Office of Surface Mining Chapter VII, of the Wyoming facilities describing what funding they Reclamation and Enforcement (OSM), Abandoned Mine Program. have available and why their agency is Interior. not fully funding this specific project; III. Wyoming’s Request to Fund Part of ACTION: Notice of application for grant (5) the impact on the State, the public, funding; public comment period on the Cost of the Kemmerer Medical and the minerals industry if the facility Center Access Improvement Project request to fund the Hudson Elementary is not funded; (6) the reason why this School improvements project. The Wyoming Department of project should be selected before a Environmental Quality submitted to us priority project relating to the protection SUMMARY: OSM is announcing its receipt a grant application requesting new of the public health and safety or the of a grant application from the Wyoming funding for the FY2002 consolidated environment from the damages caused Department of Environmental Quality, grant. In that application, Wyoming by past mining activities, and (7) an Abandoned Mine Land Division asked for $174,946 that it will use to pay analysis and review of the procedures (AMLD). Wyoming is requesting for part of the cost of building the Wyoming used to notify and involve the $196,213 from the Abandoned Mine Kemmerer Medical Center Access public in this funding request, and a Reclamation Fund to pay approximately Improvement project. This project is a copy of all comments received and their 50 percent of the cost of building the public facility in a community impacted resolution by the State. Wyoming’s Hudson Elementary School by coal and phosphate mineral mining application for the Kemmerer Medical Improvements project in Fremont activities. The requested funding is 50 Center Access Improvements project County, Wyoming. In its application, percent of the project’s total cost. Money contains the information described in the State proposes paying for part of the for the balance of the project cost will these seven subsections. reconstruction cost as a public facility come from the Town of Kemmerer (50 project that will benefit a community percent). The Governor of Wyoming Section 875.15(f) requires us to impacted by coal and mineral mining certified the need and urgency to fund evaluate all comments we receive and activities. the Kemmerer Medical Center Access determine whether the funding meets This notice describes when and where Improvement project prior to the requirements of sections 875.15(e)(1) the Wyoming abandoned mine land completing the State’s remaining through (7) described above. It also (AML) program and the grant inventory of non-coal reclamation, as requires us to determine if the request application for funding the Hudson allowed by section 411(f) of SMCRA. is in the best interests of the State’s Elementary School Improvements That certification says the project is in AML program. We will approve project are available for you to read. It a community impacted by coal and Wyoming’s request to fund this project also sets the time period during which mineral mining activities. The project if we conclude that it meets all the you may send written comments on the consists of realigning and reconstructing requirements of 30 CFR 875.15. request to us.

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57379

DATES: We will accept written receive about them. If we determine that reclamation, community impact comments until 4 p.m., m.s.t., October a State has the ability and necessary assistance, and public facilities projects 23, 2000. legislation to operate an AMLR program, under sections 411(b), (e), and 9f), of ADDRESSES: You should mail or hand- the Secretary can approve it. The SMCRA. deliver written comments to Guy V. Secretary’s approval gives a State State law and regulations that apply Padgett, Casper Field Office Director, at exclusive authority to put its AMLR to the proposed Hudson school funding the address shown below. You may read plan into effect. request include Wyoming Statute 35– Wyoming’s grant application for this Once the Secretary approves a State’s 11–1202 and Wyoming Abandoned proposed project during normal AMLR plan, the State may annually Mine Land Regulations, Chapter VII, of business hours Monday through Friday apply to us for money to fund specific the Wyoming Abandoned Mine (excluding holidays) at the same projects that will achieve the goals of its Program. approved plan. We follow the address. Also, we will send one free III. Wyoming’s Request To Fund Part of requirements of the Federal regulations copy of the grant application to you if the Cost of the Hudson Elementary at 30 CFR Parts 874, 875, and 886 when you contact OSM’s Casper Field Office: School Improvements Project Guy V. Padgett, Director, Casper Field we review and approve such applications. The Wyoming Department of Office, Office of Surface Mining Environmental Quality submitted to us Reclamation and Enforcement, Federal II. Background on the Wyoming AMLR a grant application requesting new Building, Rm. 2403, 100 East ‘‘B’’ Street, Plan funding for the FY2002 consolidated Casper, Wyoming 82601–1918. The Secretary of the Interior approved grant. In that application, Wyoming FOR FURTHER INFORMATION CONTACT: Guy Wyoming’s AMLR plan on February 14, asked for $196,213 that it will use to pay V. Padgett, Telephone: (307) 261–6555. 1983. You can find background for part of the cost of building the Our practice is to make comments, information on the Wyoming AML Hudson Elementary School including names and home addresses of program, including the Secretary’s Improvements project. This project is a respondents, available for public review findings and our responses to public facility in a community impacted during regular business hours. comments, in the February 14, 1983, by uranium and iron ore mineral mining Individual respondents may request that Federal Register (48 FR 6536). activities. The requested funding is 50 we withhold their home address from Wyoming changed its plan a number of percent of the project’s total cost. Money the administrative record, which we times since the Secretary first approved for the balance of the project cost will will honor to the extent allowable by it. In 1984, we accepted the State’s come from the Fremont County School law. There also may be circumstances in certification that it addressed all known District #1 (50 percent). The Governor of which we would withhold from the coal-related impacts in Wyoming that Wyoming certified the need and administrative record a respondent’s were eligible for funding under its urgency to fund the Hudson Elementary identity, as allowable by law. If you program. As a result, the State may now School Improvements project prior to wish us to withhold your name and/or reclaim low priority non-coal completing the State’s remaining address, you must state this reclamation projects. You can read inventory of non-coal reclamation, as prominently at the beginning of your about the certification and OSM’s allowed by section 411(f) of SMCRA. comment. However, we will not acceptance in the May 25, 1984, Federal That certification says the project is in consider anonymous comments. We Register (49 FR 22139). At the same a community impacted by mineral will make all submissions from time, we also accepted Wyoming’s mining activities. The project consists of organizations or businesses, and from proposal that it will ask us for funds to demolition of the 1914 era portion of the individuals identifying themselves as reclaim any additional coal-related Hudson Elementary School and representative or officials of problems that occur during the life of construction of an addition to house organizations or businesses, available the Wyoming AML program as soon as facilities necessary to support the for public inspection in their entirety. it becomes aware of them. In the April kindergarten through third grade. SUPPLEMENTARY INFORMATION: 3, 1992, Federal Register (57 FR 12731), Portions of the current building have we announced our decision to accept I. Background on Title IV of SMCRA been condemned by the state fire other changes in Wyoming’s plan that marshal due to physical unsoundness in Title IV of the Surface Mining Control describe how it will rank eligible coal, case of high wind or earthquake. The and Reclamation Act (SMCRA) non-coal, and facility projects for roof and chimney poses a safety hazard established an Abandoned Mine Land funding. Those changes also authorized for the children in the Hudson School. Reclamation (AMLR) program. The the Governor of Wyoming to elevate the The Governor’s certification states purpose of the AMLR program is to priority of a project based upon the that the project meets the requirements reclaim and restore lands and waters Governor’s determination of need and for his certification under the authority that were adversely affected by past urgency. They also expanded the State’s of Wyoming Statute W.S. 35–11–1202(c) mining. The program is funded by a ability to construct public facilities and the AML Regulations, Chapter VII, reclamation fee paid by active coal under section 411 of SMCRA. We Section 6(c). mining operations. Lands and waters approved additional changes in eligible for reclamation under Title IV Wyoming’s plan concerning noncoal IV. How We Will Review Wyoming’s are primarily those that were mined, or lien authority and contractor eligibility Grant Application affected by mining, and abandoned or that improve the efficiency of the State’s We will review this grant application inadequately reclaimed before August 3, AML program. That approval is with respect to the regulations at 30 CFR 1997, and for which there is no described in the February 21, 1996, 875.15, specifically subsections continuing reclamation responsibility Federal Register (61 FR 6537). 875.15(e)(1) through (7). As stated in under State, Federal, or other laws. Once a State certifies that it has those regulations, the application must Title IV of SMCRA allows States to addressed all remaining abandoned coal include the following information: (1) submit AMLR plans to us. We, on behalf mine problems, and the Secretary The need or urgency for the activity or of the Secretary, review those plans and concurs, then it may request funds to the construction of the public facility; consider any public comments we undertake abandoned noncoal mine (2) the expected impact the project will

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57380 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices have on Wyoming’s coal or minerals DEPARTMENT OF THE INTERIOR we withhold their home address from industry; (3) the availability of funding the administrative record, which we from other sources and, if other funding Office of Surface Mining Reclamation will honor to the extent allowable by is provided, its percentage of the total and Enforcement law. There also may be circumstances in costs involved; (4) documentation from which we would withhold from the Proposed Medicine Bow Water other local, State, and Federal agencies administrative record a respondent’s Treatment Plant Improvements Project will oversight for such utilities or identify, as allowable by law. If you in Wyoming facilities describing what funding they wish us to withhold your name and/or have available and why their agency is AGENCY: Office of Surface Mining address, you must state this not fully funding this specific project; Reclamation and Enforcement (OSM), prominently at the beginning of your (5) the impact on the State, the public, Interior. comment. However, we will not consider anonymous comments. We and the minerals industry if the facility ACTION: Notice of application for will make all submissions from is not funded; (6) the reason why this granting funding; public comment organizations or businesses, and from project should be selected before a period on request to fund the Medicine individuals identifying themselves as Bow Water Treatment Plant priority project relating to the protection representative or officials of improvements project. of the public health and safety or the organizations or businesses, available environment from the damages caused SUMMARY: OSM is announcing its receipt for public inspection in their entirety. by mining activities; and (7) an analysis of a grant application from the Wyoming SUPPLEMENTARY INFORMATION: and review of the procedures Wyoming Department of Environmental Quality, I. Background on Title IV of SMCRA used to notify and involve the public in Abandoned Mine Land Division this funding request, and a copy of all (AMLD). Wyoming is requesting Title IV of the Surface Mining Control comments received and their resolution $324,150 from the Abandoned Mine and Reclamation Act (SMCRA) by the State. Wyoming’s application for Reclamation Fund to pay approximately established an Abandoned Mine Land the Hudson Elementary School 50 percent of the cost of building the Reclamation (AMLR) program. The Improvements project contains the Medicine Bow Water Treatment Plant purpose of the AMLR program is to information described in these seven Improvement project in Carbon County, reclaim and restore lands and waters subsections. Wyoming. In its application, the State that were adversely affected by past Section 875.15(f) requires us to proposes paying for part of the mining. The program is funded by a reclamation fee paid by active coal evaluate all comments we receive and reconstruction cost as a public facility mining operations. Lands and waters determine whether the funding meets project that will benefit a community impacted by coal and mineral mining eligible for reclamation under Title IV the requirements of sections 875.15(e)(1) are primarily those that were mined, or through (7) described above. It also activities. This notice describes when and where affected by mining, and abandoned or requires us to determine if the request inadequately reclaimed before August 3, is in the best interests of the State’s the Wyoming abandoned mine land (AML) program and the grant 1977, and for which there is no AML program. We will approve continuing reclamation responsibility Wyoming’s request to fund this project application for funding the Medicine Bow Water Treatment Plant under State, Federal, or other laws. if we conclude that it meets all the Improvement project are available for Title IV of SMCRA allows States to requirements of 30 CFR 875.15. you to read. It also sets the time period submit AMLR plans to us. We, on behalf of the Secretary, review those plans and V. What To Do If You Want To during which you may send written consider any public comments we Comment on the Proposed Project comments on the request to us. receive about them. If we determine that DATES: We will accept written a State has the ability and necessary We are asking for public comments on comments until 4:00 p.m., m.s.t., Wyoming’s request for funds to pay for legislation to operate an AMLR program, October 23, 2000. the Secretary can approve it. The part of the cost of completing the ADDRESSES: You should mail or hand- Hudson Elementary School Secretary’s approval gives a State deliver written comments to Guy V. exclusive authority to put its AMLR Improvements Project. You are welcome Padgett, Casper Field Office Director, at to comment on the project. If you do, plan into effect. the address shown below. You may read Once the Secretary approves a State’s please send us written comments. Make Wyoming’s grant application for this AMLR plan, the State may annually sure your comments are specific and proposed project during normal apply to us for money to fund specific pertain to Wyoming’s funding request in business hours Monday through Friday projects that will achieve the goals of its the context of the regulations at 30 CFR (excluding holidays) at the same approved plan. We follow the 875.15 and the provisions of section 411 address. Also, we will send one free requirements of the Federal regulations of SMCRA. You should explain any copy of the grant application to you if at 30 CFR Parts 874, 875, and 886 when recommendations you make. If we you contact OMS’s Casper Field Office: we review and approve such receive your comments after the time Guy V. Padgett, Director, Casper Field applications. shown under DATES or at locations other Office, Office of Surface Mining than the Casper Field Office, we will not Reclamation and Enforcement, Federal II. Background on the Wyoming AMLR necessarily consider them in our final Building, Rm. 2403, 100 East ‘‘B’’ Street, Plan decision or include them in the Casper, Wyoming 82601–1918. The Secretary of the Interior approved administrative record. FOR FURTHER INFORMATION CONTACT: Guy Wyomings’ AMLR plan on February 14, Dated: September 12, 2000. V. Padgett, Telephone: (307) 261–6555. 1983. You can find background Our practice is to make comments, information on the Wyoming AML Guy Padgett, including names and home addresses of program, including the Secretary’s Director, Casper Field Office. respondents, available for public review findings and our responses to [FR Doc. 00–24379 Filed 9–21–00; 8:45 am] during regular business hours. comments, in the February 14, 1983, BILLING CODE 4310±05±M Individual respondents may request that Federal Register (48 FR 6536).

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57381

Wyoming changed its plan a number of requested funding is 50 percent of the Section 875.15(f) requires us to times since the Secretary first approved project’s total cost. Money for the evaluate all comments we received and it. In 1984, we accepted the State’s balance of the project cost will come determine whether the funding meets certification that it addressed all known from the Town of Medicine Bow (50 the requirements of sections 875.15(e)(1) coal-related impacts in Wyoming that percent). The Governor of Wyoming through (7) described above. It also were eligible for funding under its certified the need and urgency to fund requires us to determine if the request program. As a result, the State may now the Medicine Bow Water Treatment is in the best interests of the State’s reclaim low priority non-coal Plant project prior to completing the AML program. We will approve reclamation projects. You can read State’s remaining inventory of non-coal Wyoming’s request to fund this project about the certification and OSM’s reclamation, as allowed by section if we conclude that it meets all the acceptance in the May 25, 1984, Federal 411(f) of SMCRA. That certification says requirements of 30 CFR 875.15. Register (49 FR 22139). At the same the project is in a community impacted time, we also accepted Wyoming’s by coal and mineral mining activities. V. What To Do if You Want To proposal that it will ask us for funds to The project consists of constructing an Comment on the Proposed Project reclaim any additional coal-related ion exchange water treatment facility We are asking for public comments on problems that occur during the life of designed to remove Radium 226 and Wyoming’s request for funds to pay for the Wyoming AML program as soon as 228 from the Medicine Bow municipal part of the cost of completing the it becomes aware of them. In the April public water supply. The project will Medicine Bow Water Treatment Plant 13, 1992, Federal Register (57 FR bring the supply into compliance with Improvements Project. You are welcome 12731), we announced our decision to EPA drinking water standards and will to comment on the project. If you do, accept other changes in Wyoming’s plan rectify inadequacies that have resulted please send us written comments. Make that describe how it will rank eligible in an Enforcement Order against the sure your comments are specific and coal, non-coal, and facility projects for town. Current treatment consists of pertain to Wyoming’s funding request in funding. Those changes also authorized chlorination only. the context of the regulations at 30 CFR the Governor of Wyoming to elevate the The Governor’s certification states 875.15 and the provisions of section 411 priority of a project based upon the that the project meets the requirements of SMCRA. You should explain any Governor’s determination of need and for his certification under the authority recommendations you make. If we urgency. They also expanded the State’s of Wyoming Statute W.S. 35–11–1202(c) receive your comments after the time ability to construct public facilities and the AML Regulations, Chapter VII, shown under DATES or at locations other under section 411 of SMCRA. We Section 6(c). than the Casper Field Office, we will not approved additional changes in IV. How We Will Review Wyoming’s necessarily consider them in our final Wyoming’s plan concerning noncoal Grant Application decision or include them in the lien authority and contractor eligibility administrative record. that improve the efficiency of the State’s We will review this grant application Dated: September 12, 2000. AML program. That approval is with respect to the regulations at 30 CFR described in the February 21, 1996, 875.15, specifically subsections Guy Padgett, Federal Register (61 FR 6537). 875.15(e) through (7). As stated in those Director, Casper Field Office. Once a State certifies that it has regulations, the application must [FR Doc. 00–24380 Filed 9–21–00; 8:45 am] addressed all remaining abandoned coal include the following information: (1) BILLING CODE 4310±05±M mine problems, and the Secretary The need or urgency for the activity or concurs, then it may request funds to the construction of the public facility; undertake abandoned noncoal mine (2) the expected impact the project will DEPARTMENT OF THE INTERIOR reclamation, community impact have on Wyoming’s coal or minerals assistance, and public facilities projects industry; (3) the availability of funding Office of Surface Mining Reclamation under sections 411(b), (e), and (f), of from other sources and, if other funding and Enforcement is provided, its percentage of the total SMCRA. Proposed Frannie Sewer Line State law and regulations that apply costs involved; (4) documentation from Replacement Project in Wyoming to the proposed Medicine Bow Water other local, State, and Federal agencies Treatment Plant Improvement project with oversight for such utilities or AGENCY: Office of Surfacing Mining funding request include Wyoming facilities describing what funding they Reclamation and Enforcement (OSM), Statute 35–11–1202 and Wyoming have available and why their agency is Interior. Abandoned Mine Land Regulations not fully funding this specific project; ACTION: Notice of application for grant Chapter VII, of the Wyoming (5) the impact on the State, the public, funding; public comment period on Abandoned Mine Program. and the minerals industry if the facility request to fund the Frannie sewer line is not funded; (6) the reason why this replacement project. III. Wyoming’s Request To Fund Part of project should be selected before a the Cost of the Medicine Bow Water priority project relating to the protection SUMMARY: OSM is announcing its receipt Treatment Plant Improvement Project of the public health and safety or the of a grant application from the Wyoming The Wyoming Department of environment from the damages caused Department of Environmental Quality, Environmental Quality submitted to us by past mining activities; and (7) an Abandoned Mine Land Division a grant application requesting new analysis and review of the procedures (AMLD). Wyoming is requesting funding for the FY2002 consolidated Wyoming used to notify and involve the $249,050 from the Abandoned Mine grant. In that application, Wyoming public in this funding request, and a Reclamation Fund to pay approximately asked for $324,150 that it will use to pay copy of all comments received and their 50 percent of the cost of building the for part of the cost of building the resolution by the State. Wyoming’s Frannie Sewer Line Replacement Project Medicine Bow Water Treatment Plant application for the Medicine Bow in Park and Big Horn county, Wyoming. Improvement project. This project is a Treatment Plant Improvements project In its application, the State proposes public facility in a community impacted contains the information described in paying for part of the reconstruction by coal or mineral mining activities. The these seven subsections. cost as a public facility project that will

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57382 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices benefit a community impacted by coal are primarily those that were mined, or lien authority and contractor eligibility and mineral mining activities. affected by mining, and abandoned or that improve the efficiency of the State’s This notice describes when and where inadequately reclaimed before August 3, AML program. That approval is the Wyoming abandoned mine land 1977, and for which there is no described in the February 21, 1996, (AML) program and the grant continuing reclamation responsibility Federal Register (61 FR 6537). application for funding the Frannie under State, Federal, or other laws. Once a State certifies that it has Sewer Line Replacement project are Title IV of SMCRA allows States to addressed all remaining abandoned coal available for you to read. It also sets the submit AMLR plans to us. We, on behalf mine problems, and the Secretary time period during which you may send of the Secretary, review those plans and concurs, then it may request funds to written comments on the request to us. consider any public comments we undertake abandoned noncoal mine DATES: We will accept written receive about them. If we determine that reclamation, community impact comments until 4 p.m., m.s.t., October a State has the ability and necessary assistance, and public facilities projects 23, 2000. legislation to operate an AMLR program, under sections 411(b), (e), and (f), of ADDRESSES: You should mail or hand- the Secretary can approve it. The SMCRA. deliver written comments to Guy V. Secretary’s approval gives a State State law and regulations that apply Padgett, Casper Field Office Director, at exclusively authority to put its AMLR to the proposed Frannie Sewer Line the address shown below. You may read plan into effect. Replacement funding request include Once the Secretary approves a State’s Wyoming’s grant application for this Wyoming Statute 35–11–1202 and AMLR plan, the State may annually proposed project during normal Wyoming Abandoned Mine Land apply to use for money to fund specific business hours Monday through Friday Regulations, Chapter VII, of the projects that will achieve the goals of its (excluding holidays) at the same Wyoming Abandoned Mine Program. approved plan. We follow the address. Also, we will send one free requirements of the Federal regulations III. Wyoming’s Request To Fund Part of copy of the grant application to you if at 30 CFR Parts 874, 875, and 886 when the Cost of the Frannie Sewer Line you contact OSM’s Casper Field Office: we review and approve such Replacement Project Guy V. Padgett, Director, Casper Field applications. Office, Office of Surface Mining The Wyoming Department of Reclamation and Enforcement, Federal II. Background on the Wyoming AMLR Environmental Quality submitted to us Building, Rm. 2403, 100 East ‘‘B’’ Street, Plan a grant application requesting new Casper, Wyoming 82601–1918. The Secretary of the Interior approved funding for the FY2002 consolidated FOR FURTHER INFORMATION CONTACT: Guy Wyoming’s AMLR plan on February 14, grant. In that application, Wyoming V. Padgett, Telephone: (307) 261–6555. 1983. You can find background asked for $249,050 that it will use to pay Our practice is to make comments, information on the Wyoming AML for part of the cost of building the including names and home addresses of program, including the Secretary’s Frannie Sewer Line Replacement respondents, available for public review findings and our responses to project. This project is a public facility during regular business hours. comments, in the February 14, 1983 in a community impacted by bentonite Individual respondents may request that Federal Register (48 FR 6536). and gypsum mineral mining activities. we withhold their home address from Wyoming changed its plan a number of The requested funding is 50 percent of the administrative record, which we times since the Secretary first approved the project’s total cost. Money for the will honor to the extent allowable by it. In 1984, we accepted the State’s balance of the project cost will come law. There also may be circumstances in certification that it addressed all known from the Town of Frannie (50 percent). which we would withhold from the coal-related impacts in Wyoming that The Governor of Wyoming certified the administrative record a respondent’s were eligible for funding under its need and urgency to fund the Frannie identity, as allowable by law. If you program. As a result, the State may now Sewer Line Replacement project prior to wish us to withhold your name and/or reclaim low priority non-coal completing the State’s remaining address, you must state this reclamation projects. You can read inventory of non-coal reclamation, as prominently at the beginning of your about the certification and OSM’s allowed by section 411(f) of SMCRA. comment. However, we will not acceptance in the May 25, 1984, Federal That certification says the project is in consider anonymous comments. We Register (49 FR 22139). At the same a community impacted by mineral will make all submissions from time, we also accepted Wyoming’s mining activities. The project will organizations or businesses, and from proposal that it will ask us for funds to rectify a threat to human health and individuals identifying themselves as reclaim any additional coal-related safety and to the environment. This representative or officials of problems that occur during the life of project will replace a sewer system with organizations or businesses, available the Wyoming AML program as soon as numerous failures that have threatened for public inspection in their entirety. it becomes aware of them. In the April to contaminate groundwater aquifers in SUPPLEMENTARY INFORMATION: 13, 1992, Federal Register (57 FR the area. A need and urgency for the 12731), we announced our decision to project exists, and an impact on the coal I. Background on Title IV of SMCRA accept other changes in Wyoming’s plan or minerals industry has been Title IV of the Surface Mining Control that describe how it will rank eligible documented. Sewer line failures are and Reclamation Act (SMCRA) coal, non-coal, and facility projects for increasing, and each failure poses a established an Abandoned Mine Land funding. Those changes also authorized threat to area groundwater aquifers, and Reclamation (AMLR) program. The the Governor of Wyoming to elevate the thus a threat to both human health and purpose of the AMLR program is to priority of a project based upon the safety and to the environment. reclaim and restore lands and waters Governor’s determination of need and The Governor’s certification states that were adversely affected by past urgency. They also expanded the State’s that the project meets the requirements mining. The program is funded by a ability to construct public facilities for his certification under the authority reclamation fee paid by active coal under section 411 of SMCRA. We of Wyoming Statute W.S. 35–11–1202(c) mining operations. Lands and waters approved additional changes in of the AML Regulations, Chapter VII, eligible for reclamation under Title IV Wyoming’s plan concerning noncoal Section 6(c).

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57383

IV. How We Will Review Wyoming’s necessarily consider them in our final FOR FURTHER INFORMATION CONTACT: Guy Grant Application decision or include them in the V. Padgett, Telephone: (307) 261–6555. We will review this grant application administrative record. Our practice is to make comments, with respect to the regulations at 30 CFR Dated: September 12, 2000. including names and home addresses of 875.15, specifically subsections Guy Padgett, respondents, available for public review 875.15(e) (1) through (7). As stated in Director, Casper Field Office. during regular business hours. those regulations, the application must [FR Doc. 00–24381 Filed 9–21–00; 8:45 am] Individual respondents may request that include the following information: (1) BILLING CODE 4310±05±M we withhold their home address from The need or urgency for the activity or the administrative record, which we the construction of the public facility; will honor to the extent allowable by (2) the expected impact the project will DEPARTMENT OF THE INTERIOR law. There also may be circumstances in have on Wyoming’s coal or minerals which we would withhold from the industry; (3) the availability of funding Office of Surface Mining Reclamation administrative record a respondent’s from other sources and, if other funding and Enforcement identity, as allowable by law. If you is provided, its percentage of the total wish us to withhold your name and/or costs involved; (4) documentation from Proposed Greybull Sewer Improvements Project in Wyoming address, you must state this other local, State, and Federal agencies prominently at the beginning of your with oversight for such utilities or AGENCY: Office of Surface Mining comment. However, we will not facilities describing what funding they Reclamation and Enforcement (OSM), consider anonymous comments. We have available and why their agency is Interior. will make all submissions from not fully funding this specific project; organizations or businesses, and from (5) the impact on the State, the public, ACTION: Notice of application for grant and the minerals industry if the facility funding; public comment period on individuals identifying themselves as is not funded; (6) the reason why this request to fund the Greybull sewer representative or officials of project should be selected before a improvements project. organizations or businesses, available for public inspection in their entirety. priority project relating to the protection SUMMARY: OSM is announcing its receipt of the public health and safety or the of a grant application from the Wyoming SUPPLEMENTARY INFORMATION: environment from the damages caused Department of Environmental Quality, I. Background on Title IV of SMCRA by past mining activities, and (7) an Abandoned Mine Land Division analysis and review of the procedures (AMLD). Wyoming is requesting Title IV of the Surface Mining Control Wyoming used to notify and involve the $105,668 from the Abandoned Mine and Reclamation Act (SMCRA) public in this funding request, and a Reclamation Fund to pay approximately established an Abandoned Mine Land copy of all comments received and their 50 percent of the cost of building the resolution by the State. Wyoming’s Reclamation (AMLR) program. The Greybull Sewer Improvement project in purpose of the AMLR program is to application for the Frannie Sewer Line Big Horn County, Wyoming. In its Replacement project contains the reclaim and restore lands and waters application, the State proposes paying that were adversely affected by past information described in these seven for part of the reconstruction cost as a subsections. mining. The program is funded by a public facility project that will benefit a reclamation fee paid by active coal Section 875.15(f) requires us to community impacted by coal and evaluate all comments we receive and mining operations. Lands and waters mineral mining activities. eligible for reclamation under Title IV determine whether the funding meets This notice describes when and where the requirements of sections 875.15(e) are primarily those that were mined, or the Wyoming abandoned mine land affected by mining, and abandoned or (1) through (7) described above. It also (AML) program and the grant requires us to determine if the request inadequately reclaimed before August 3, application for funding the Greybull 1977, and for which there is no is in the best interests of he State’s AML Sewer Improvement project are program. We will approve Wyoming’s continuing reclamation responsibility available for you to read. It also sets the under State, Federal, or other laws. request to fund this project if we time period during which you may send conclude that it meets all the written comments on the request to us. Title IV of SMCRA allows States to requirements of 30 CFR 875.15. submit AMLR plans to us. We, on behalf DATES: We will accept written V. What To Do if You Want To comments until 4:00 p.m., m.s.t., of the Secretary, review those plans and Comment on the Proposed Project October 23, 2000. consider any public comments we receive about them. If we determine that ADDRESSES: We are asking for public comments on You should mail or hand- a State has the ability and necessary Wyoming’s request for funds to pay for deliver written comments to Guy V. legislation to operate an AMLR program, part of the cost of completing the Padgett, Casper Field Office Director, at the Secretary can approve it. The Frannie Sewer Line Improvements the address shown below. You may read Secretary’s approval gives a State Project. You are welcome to comment Wyoming’s grant application for this exclusive authority to put its AMLR on the project. If you do, please send us proposed project during normal plan into effect. written comments. Make sure your business hours Monday through Friday comments are specific and pertain to (excluding holidays) at the same Once the Secretary approves a State’s Wyoming’s funding request in the address. Also, we will send one free AMLR plan, the State may annually context of the regulations at 30 CFR copy of the grant application to you if apply to us for money to fund specific 875.15 and the provisions of section 411 you contact OSM’s Casper Field Office: projects that will achieve the goals of its of SMCRA. You should explain any Guy V. Padgett, Director, Casper Field approved plan. We follow the recommendations you make. If we Office, Office of Surface Mining requirements of the Federal regulations receive your comments after the time Reclamation and Enforcement, Federal at 30 CFR Parts 874, 875, and 886 when shown under DATES or at locations other Building, Rm. 2403, 100 East ‘‘B’’ Street, we review and approve such than the Casper Field Office, we will not Casper, Wyoming 82601–1918. applications.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57384 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

II. Background on the Wyoming AMLR III. Wyoming’s Request To Fund Part of by past mining activities, and (7) an Plan the Cost of the Greybull Sewer analysis and review of the procedures Improvement Project Wyoming used to notify and involve the The Secretary of the Interior approved public in this funding request, and a Wyoming’s AMLR plan on February 14, The Wyoming Department of Environmental Quality submitted to us copy of all comments received and their 1983. You can find background a grant application requesting new resolution by the State. Wyoming’s information on the Wyoming AML funding for the FY2002 consolidated application for the Greybull Sewer program, including the Secretary’s grant. In that application, Wyoming improvements project contains the findings and our responses to asked for $105,668 that it will use to pay information described in these seven comments, in the February 14, 1983, for part of the cost of building the subsections. Federal Register (48 FR 6536). Greybull Sewer Improvements project. Section 875.159(f) requires us to Wyoming changed its plan a number of This project is a public facility in a evaluate all comments we receive and times since the Secretary first approved community impacted by bentonite and determine whether the funding meets it. In 1984, we accepted the State’s typsum mineral mining activities. The the requirements of sections 875.15(e)(1) certification that it addressed all known requested funding is 50 percent of the through (7) described above. It also coal-related impacts in Wyoming that project’s total costs. Money for the requires us to determine if the request were eligible for funding under its balance of the project costs will come is in the best interests of the State’s program. As a result, the State may now from the Town of Greybull (50 percent). AML program. We will approve reclaim low priority non-coal The Governor of Wyoming certified the Wyoming’s request to fund this project reclamation projects. You can read need and urgency to fund the Greybull if we conclude that it meets all the requirements of 30 CFR 875.15. about the certification and OSM’s Sewer Improvements project prior to acceptance in the May 25, 1984, Federal completing the State’s remaining What To Do If You Want To Comment Register (49 FR 22139). At the same inventory of non-coal reclamation, as on the Proposed Project time, we also accepted Wyoming’s allowed by section 411(f) of SMCRA. We are asking for public comments on proposal that it will ask us for funds to That certification says the project is in Wyoming’s request for funds to pay for reclaim any additional coal-related a community impacted by mineral part of the cost of completing the problems that occur during the life of mining activities. The project consists of Greybull Sewer Improvement project. the Wyoming AML program as soon as replacement of old and failing clay tile You are welcome to comment on the it becomes aware of them. In the April sewer lines. Potential contamination of project. If you do, please send us written 13, 1992, Federal Register (57 FR groundwater by sewage poses both a comments. Make sure your comments threat to human health and safety and 12731), we announced our decision to are specific and pertain to Wyoming’s a possible negative impact on the accept other changes in Wyoming’s plan funding request in the context of the environment. I. regulations at 30 CFR 875.15 and the that describe how it will rank eligible The Governor’s certification states provisions of section 411 of SMCRA. coal, non-coal, and facility projects for that the project meets the requirements You should explain any funding. Those changes also authorized for his certification under the authority recommendations you make. If we the Governor of Wyoming to elevate the of Wyoming Statute W.S. 35–11–1202(c) receive your comments after the time priority of a project based upon the and the AML Regulations, Chapter VII, shown under DATES or at locations other Governor’s determination of need and Section 6(c). urgency. They also expanded the State’s than the Casper Field Office, we will not ability to construct public facilities IV. How We Will Review Wyoming’s necessarily consider them in our final under section 411 of SMCRA. We Grant Application decision or include them in the administrative record. approved additional changes in We will review this grant application Wyoming’s plan concerning noncoal with respect to the regulations at 30 CFR Dated: September 12, 2000. lien authority and contractor eligibility 875.15, specifically subsections Guy Padgett, that improve the efficiency of the State’s 875.15(e) (1) through (7). As stated in Director, Casper Field Office. AML program. That approval is those regulations, the application must [FR Doc. 00–24382 Filed 9–21–00; 8:45 am] described in the February 21, 1996, include the following information: (1) BILLING CODE 4310±05±M Federal Register (61 FR 6537). The need or urgency for the activity or the construction of the public facility; Once a State certifies that it has (2) the expected impact the project will DEPARTMENT OF LABOR addressed all remaining abandoned coal have on Wyoming’s coal or minerals mine problems, and the Secretary industry; (3) the availability of funding Employment and Training concurs, then it may request funds to from other sources and, if other funding Administration undertake abandoned noncoal mine is provided, its percentage of the total reclamation, community impact costs involved; (4) documentation from [TA±W±34,013] assistance, and public facilities projects other local, State, and Federal agencies Alcatel Telecommunications Cable under sections 411 (b), (e), and (f) of with oversight for such utilities or Roanoke, Virginia; Amended Notice of SMCRA. facilities describing what funding they Negative Determination on Remand State law and regulations that apply have available and why their agency is to the proposed Greybull Sewer not fully funding this specific project; In accordance with Section 223 of the Improvement project funding request (5) the impact on the State, the public, Trade Act of 1974 (19 U.S.C. 2273) the include Wyoming Statute 35–11–1202 and the minerals industry if the facility Department of Labor issued a Negative and Wyoming Abandoned Mine Land is not funded; (6) the reason why this Determination on Remand applicable to project should be selected before a workers and former workers of the Regulations, Chapter VII, of the priority project relating to the protection subject firm. The notice will soon be Wyoming Abandoned Mine Program. of the public health and safety or the published in the Federal Register. In the environment from the damages caused second paragraph, second sentence, of

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57385 the decision document, the Department facility. Further, a survey of Alcatel’s and Mantachie, Mississippi (TA–W–37,715A) inadvertently included an irrelevant customers who were purchasing engaged in employment related to the citation, 19 U.S.C. 2231(a)(1)(A)(iii) and singlemode optical fiber for the U.S. production of bicycles who became totally or (B). Accordingly, the notice of negative market revealed that those customers partially separated from employment on or after May 11, 1999 through June 20, 2002 are determination on remand is amended to did not increase their reliance on eligible to apply for adjustment assistance delete the reference to 19 U.S.C. purchases of imported singlemode under Section 223 of the Trade Act of 1974. 2231(a)(1)(A)(iii) and (B). optical fiber. Signed at Washington, DC this 13th day of Signed at Washington, D.C. this 15th day Conclusion of September 2000. September, 2000. After careful consideration of the Edward A. Tomchick, Edward A. Tomchick, results of the remand investigation, I Director, Division of Trade Adjustment Director, Division of Trade Adjustment affirm the original notice of negative Assistance. Assistance. determination of eligibility to apply for [FR Doc. 00–24419 Filed 9–21–00; 8:45 am] [FR Doc. 00–24420 Filed 9–21–00; 8:45 am] trade adjustment assistance for workers BILLING CODE 4510±30±M BILLING CODE 4510±30±M and former workers of Alcatel Telecommunications Cable, Roanoke, DEPARTMENT OF LABOR Virginia. DEPARTMENT OF LABOR Signed at Washington, DC this 11th day of Employment and Training September 2000. Employment and Training Administration Edward A. Tomchick, Administration [TA±W±34,013] Program Manager, Division of Trade Notice of Determinations Regarding Adjustment Assistance. Eligibility To Apply for Worker Alcatel Telecommunications Cable [FR Doc. 00–24422 Filed 9–21–00; 8:45 am] Adjustment Assistance and NAFTA Roanoke, Virginia; Notice of Negative BILLING CODE 4510±30±M Transitional Adjustment Assistance Determination on Remand In accordance with section 223 of the On July 27, 2000, the United States DEPARTMENT OF LABOR Trade Act of 1974, as amended, the Court of International Trade remanded Department of Labor herein presents this matter to the Secretary of Labor for Employment and Training summaries of determinations regarding further investigation in Former Administration eligibility to apply for trade adjustment Employees of Alcatel [TA±W±37,715; TA±W±37,715A] assistance for workers (TA–W) issued Telecommunications Cable v. Secretary during the period of September, 2000. of Labor, No. 98–03–00540 (Ct. Int’l Murray, Incorporated, Lawrenceburg, In order for an affirmative Trade 2000). TN, and Mantachie, MS; Amended determination to be made and a The Department’s initial negative Certification Regarding Eligibility To certification of eligibility to apply for determination of eligibility to apply for Apply for Worker Adjustment worker adjustment assistance to be trade adjustment assistance (TAA) for Assistance issued, each of the group eligibility the workers and former workers of requirements of section 222 of the Act Alcatel Telecommunications Cable In accordance with Section 223 of the must be met. located in Roanoke, Virginia was issued Trade Act of 1974 (19 U.S.C. 2273) the (1) That a significant number or on December 9, 1997 and published in Department of Labor issued a proportion of the workers in the the Federal Register on January 6, 1998, Certification of Eligibility to Apply for workers’ firm, or an appropriate see 63 Fed. Reg. 577 (1998). The denial Worker Adjustment Assistance on June subdivision thereof, have become totally was based on the finding that criteria (3) 20, 2000, applicable to workers of or partially separated, of the group eligibility requirements of Murray, Incorporated, Lawrenceburg, (2) That sales or production, or both, Section 222 of the Trade Act of 1974, as Tennessee. The notice was published in of the firm or subdivision have amended, 19 U.S.C. 2231(a)(1)(A)(iii) the Federal Register on July 24, 2000 decreased absolutely, and and (B), were not met: i.e., imports did (65 FR 45620). (3) That increases of imports of not contribute importantly to the worker At the request of the company, the articles like or directly competitive with separations, and the company Department reviewed the certification articles produced by the firm or transferred production to another for workers of the subject firm. New appropriate subdivision have domestic location. findings show that worker separations contributed importantly to the On remand, the court ordered the will occur at Murray, Incorporated’s separations, or threat thereof, and to the Department to undertake a full and Mantachie, Mississippi facility when it absolute decline in sales or production. complete investigation into the closes in October, 2000. The workers are eligibility of former workers at Alcatel engaged in the production of bicycles. Negative Determinations for Worker Telecommunications cable, Roanoke, Accordingly, the Department is Adjustment Assistance Virginia to apply for trade adjustment amending the certification to cover In each of the following cases the assistance (TAA). workers at Murray, Incorporated, investigation revealed that criterion (3) A complete investigation was Mantachie, Mississippi. The intent of has not been met. A survey of customers undertaken, and the results of that the Department’s certification is to indicated that increased imports did not investigation revealed that increased include all workers of Murray, contribute importantly to worker imports of singlemode optical fiber did Incorporated adversely affected by separations at the firm. not contribute importantly to the worker increased imports. TA–W–37,940; Cloverland separations. Information provided by The amended notice applicable to Manufacturing, Inc., Escanaba, MI the company revealed that the company TA–W–37,715 is hereby issued as TA–W–37,670; Berstone Knitting Mills, imports of singlemode optical fiber in follows: Brooklyn, NY 1998 were less than 2% of the 1997 All workers of Murray, Incorporated, TA–W–37,753; Spray Cotton Mills, Nova production levels at the Roanoke Lawrenceburg, Tennessee (TA–W–37,715) Yarns Div., Eden, NC

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57386 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

TA–W–37,501; Stant Manufacturing, TA–W–37,991; New Haven Industries, such firm or subdivision have increased, Inc., Plating Operation, Inc., Lock Haven, PA: August 10, and that the increases in imports Connersville, IN 1999. contributed importantly to such TA–W–37,891; Acorn Window Systems, TA–W–37,937; Wolverine Worldwide, workers’ separations or threat of Quincy, MI Inc., Kirksville, MO: July 17, 1999. separation and to the decline in sales or In the following cases, the TA–W–37,894; GT Bicycles, Inc., Santa production of such firm or subdivision; investigation revealed that the criteria Ana, CA: June 19, 1999. or for eligibility have not been met for the TA–W–37,760; Marijon Dyeing and (4) That there has been a shift in reasons specified. Finishing Co., East Rutherford, NJ: production by such workers’ firm or TA–W–37,826; Blastco Service Co., Oil May 18, 1999. subdivision to Mexico or Canada of Refinery Demolition Workers, TA–W–37,952; Ochoco Lumber Col, articles like or directly competitive with Odessa, TX Prineville, OR: July 28, 1999. articles which are produced by the firm TA–W–37,944; Chief Tonasket Growers, TA–W–37,550; Lermer Aircraft Galley or subdivision. Tonasket, WA Equipment, Inc., Eatontown, NJ: TA–W–37,957; Miller Harness Co., LLC, May 25, 1999. Negative Determinations NAFTA–TAA TA–W–37,968; Vesuvius Premier East Rutherford, NJ In each of the following cases the Refractories, Washington, PA: TA–W–37,973; General Motors Corp., investigation revealed that criteria (3) August 3, 1999. Desert Proving Ground, Mesa, AZ and (4) were not met. Imports from TA–W–37,880; AII Technologies, Inc., El The workers firm does not produce an Canada or Mexico did not contribute Paso, TX: August 21, 1999. article as required for certification under importantly to workers’ separations. TA–W–37,714; Gambro Renal Service, section 222 of the Trade Act of 1974. There was no shift in production from Lakewood, CO: May 11, 1999. TA–W–37,704; Fernwood Magnetics, the subject firm to Canada or Mexico TA–W–37,502; Leica Microsystems, Inc., Belvidere, NJ during the relevant period. TA–W–37,679; National Semiconductor, Analytical Div., Depew, NY: March Die Products Business Group, South 17, 1999. NAFTA–TAA–03948; Spray Cotton Portland, ME TA–W–37,807; Southern Trim, Inc., Mills, Nova Yarns Div., Eden, NC TA–W–37,798; KPT, Inc., Bloomfield, IN Opp, AL: June 9, 1999. NAFTA–TAA–04068; Rock-Tenn Corp., TA–W–37,871; Robinson Fiddler’s Green TA–W–37,963; Prestolite Wire Corp., Madison, WI Manufacturing Co., Inc., Battery Cable and Battery Terminal Dept., Bristol, TN: July 22, 1999. NAFTA–TAA–04035; Acorn Window Springville, NY Systems, Quincy, MI TA–W–37,855; Graphic Vinyl Products, TA–W–37,913; United Filters, Inc., Inc., Newark, NJ Amarillo, TX: September 11, 2000. NAFTA–TAA–03811; Stant TA–W–37,948; Rock-Tenn Corp., TA–W–37,746; N.N. Apparel, Inc., Mt. Manufacturing, Inc., Plating Madison, WI Vernon, NY: May 23, 1999, Operation, Connersville, IN Increased imports did not contribute Hermitage, MO: May 22, 1999. NAFTA–TAA–04084; WP Industries, importantly to worker separations at the Also, pursuant to title V of the North Inc., South Gate, CA firm. American Free Trade Agreement NAFTA–TAA–04099; Adirondack TA–W–37,808; Edgewater Steel, LTD, Implementation Act (P.L. 103–182) Knitting Mills, Inc., Amsterdam, NY Oakmont, PA concerning transitional adjustment The investigation revealed that assistance hereinafter called (NAFTA– The investigation revealed that the criteria (1) and criteria (3) have not been TAA) and in accordance with section criteria for eligibility have not been met met. A significant number or proportion 250(a), subchapter D, chapter 2, title II, for the reasons specified. of the workers did not become totally or of the Trade Act as amended, the NAFTA–TAA–4063; RMH Teleservices, partially separated from employment as Department of Labor presents Inc., Sergeant Bluff, IA summaries of determinations regarding required for certification. Sales or NAFTA–TAA–04064; General Motors eligibility to apply for NAFTA–TAA production did not decline during the Corp., Desert Proving Ground, issued during the month of September, relevant period as required for Mesa, AZ certification. Increases of imports of 2000. articles like or directly competitive. In order for an affirmative The investigation revealed that determination to be made and a workers of the subject firm did not Affirmative Determinations for Worker certification of eligibility to apply for produce an article within the meaning Adjustment Assistance NAFTA–TAA the following group of Section 250(a) of the Trade Act, as The following certifications have been eligibility requirements of section 250 of amended. issued; the date following the company the Trade Act must be met: NAFTA–TAA–03971; Edgewater Steel, name and location of each (1) That a significant number or Ltd., Oakmont, PA determination references the impact proportion of the workers in the date for all workers of such workers’ firm, or an appropriate The investigation revealed that determination. subdivision thereof, (including workers criteria (1) and criteria (4) have not been TA–W–38,019; West Mill Clothes, Inc., in any agricultural firm or appropriate met. A significant number or proportion Woodside, NY: August 10, 1999. subdivision thereof) have become totally of the workers in such workers’ firm or TA–W–37,931; Tri State Data Products, or partially separated from employment an appropriate subdivision (including Feasterville, PA: July 24, 1999. and either— workers in any agricultural firm or TA–W–37,756; NRV Manufacturing Co., (2) That sales or production, or both, appropriate subdivision thereof) have Inc., Carollton, AL: May 27, 1999. of such firm or subdivision have become totally or partially separated TA–W–37,955; J.A. Thurston Co., Inc., decreased absolutely, from employment. There was no shift in Rumford, ME: August 4, 1999. (3) That imports from Mexico or production from the subject firm to TA–W–37,954; Brestl, Inc., High Point, Canada of articles like or directly Canada or Mexico during the relevant NC: August 4, 1999. competitive with articles produced by period.

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57387

Affirmative Determinations NAFTA– DEPARTMENT OF LABOR earlier. These decisions are to be used TAA in accordance with the provisions of 29 Employment Standards CFR Parts 1 and 5. Accordingly, the NAFTA–TAA–04041; B.F. Goodrich Administration, Wage and Hour applicable decision, together with any Aerospace, Landing Gear Div., Division modifications issued, must be made a Euless, TX: July 14, 1999. part of every contract for performance of Minimum Wages for Federal and NAFTA–TAA–04057; Permair Leathers, the described work within the Federally Assisted Construction; Salem, MA: August 4, 1999. geographic areas indicated as required General Wage Determination; by an applicable Federal prevailing NAFTA–TAA–04050; Prestolite Wire Decisions wage law and 29 CFR Part 5. The wage Corp., Battery Cable and Battery General wage determination decisions rates and fringe benefits, notice of Terminal Dept., Bristol, TN: July 22, which is published herein, and which 1999. of the Secretary of Labor are issued in accordance with applicable law and are are contained in the Government NAFTA–TAA–04108; Parker Seal Co., based on the information obtained by Printing Office (GPO) document entitled Parker-Hannifin Corp., Berea, KY: the Department of Labor from its study ‘‘General Wage Determinations Issued August 11, 1999. of local wage conditions and data made Under The Davis-Bacon And Related NAFTA–TAA–04065; Academy available from other sources. They Acts,’’ shall be the minimum paid by Broadway Corp., Sleeping Bag Div., specify the basic hourly wage rates and contractors and subcontractors to Pine Knot, KY: August 4, 1999. fringe benefits which are determined to laborers and mechanics. be prevailing for the described classes of NAFTA–TAA–04119; Bulk Any person, organization, or laborers and mechanics employed on governmental agency having an interest Manufacturing Co., Plant City, FL: construction projects of a similar in the rates determined as prevailing is August 14, 1999. character and in the localities specified encouraged to submit wage rate and NAFTA–TAA–04073; Smith and therein. fringe benefit information for Nephew, Inc., Dynacast Extra The determinations in these decisions consideration by the Department. Casting Dept., Charlotte, NC: of prevailing rates and fringe benefits Further information and self- August 11, 1999. have been made in accordance with 29 explanatory forms for the purpose of NAFTA–TAA–4047; AII Technologies, CFR Part 1, by authority of the Secretary submitting this data may be obtained by Inc., El Paso, TX: July 12, 1999. of Labor pursuant to the provisions of writing to the U.S. Department of Labor, the Davis-Bacon Act of March 3, 1931, Employment Standards Administration, NAFTA–TAA–04069; Alaria Medical as amended (46 Stat. 1494), as amended, Wage and Hour Division, Division of Systems, Creedmoor, NC: August 9, 40 U.S.C. 276a) and of other Federal Wage Determinations, 200 Constitution 1999. statutes referred to in 29 CFR Part 1, Avenue, N.W., Room S–3014, NAFTA–TAA–04055; Melvin Quilting, Appendix, as well as such additional Washington, D.C. 20210. Rocky Mount, NC: July 31, 1999. statutes as may from time to time be enacted containing provisions for the Withdrawn General Wage NAFTA–TAA–04004; MNCO, LLC, payment of wages determined to be Determination Decisions (Formerly McGuire-Nicholas Co., prevailing by the Secretary of Labor in LLC), Commerce, CA: May 23, 1999. This is to advise all interested parties accordance with the Davis-Bacon Act. that the Department of Labor is NAFTA–TAA–04040; VF Workwear, The prevailing rates and fringe benefits withdrawing, from the date of this Inc., Red Kap Industries, Dickson, determined in these decisions shall, in notice, the following General Wage TN: July 20, 1999. accordance with the provisions of Determinations: foregoing statutes, constitute the NAFTA–TAA–04123; Kodak SD000028 See SD000027 Co., Precision Plastics Tech Center, minimum wages payable on Federal and federally assisted construction projects SD000029 See SD000027 Rochester, NY: August 11, 1999. SD000030 See SD000027 to laborers and mechanics of the SD000031 See SD000027 I hereby certify that the specified classes engaged on contract SD000032 See SD000027 aforementioned determinations were work of the character and in the SD000033 See SD000027 issued during the month of September, localities described therein. SD000034 See SD000027 2000. Copies of these determinations are Good cause is hereby found for not SD000035 See SD000027 available for inspection in Room C– utilizing notice and public comment SD000036 See SD000027 5311, U.S. Department of Labor, 200 procedure thereon prior to the issuance SD000037 See SD000027 Constitution Avenue, NW., Washington, of these determinations as prescribed in SD000038 See SD000027 DC 20210 during normal business hours 5 U.S.C. 553 and not providing for delay SD000039 See SD000027 in the effective date as prescribed in that SD000040 See SD000027 or will be mailed to persons who write SD000042 See SD000027 to the above address. section, because the necessity to issue current construction industry wage SD000043 See SD000027 SD000044 See SD000027 Dated: September 15, 2000. determinations frequently and in large Edward A. Tomchick, volume causes procedures to be Contracts for which bids have been Director, Division of Trade Adjustment impractical and contrary to the public opened shall not be affected by this Assistance. interest. notice. Also, consistent with 29 CFR [FR Doc. 00–24421 Filed 9–21–00; 8:45 am] General wage determination 1.6(c)(2)(i)(A), when the opening of bids BILLING CODE 4510±30±M decisions, and modifications and is less than ten (10) days from the date supersedes decisions thereto, contain no of this notice, this action shall be expiration dates and are effective from effective unless the agency finds that their date of notice in the Federal there is insufficient time to notify Register, or on the date written notice bidders of the change and the finding is is received by the agency, whichever is documented in the contract file.

VerDate 112000 19:37 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm08 PsN: 22SEN1 57388 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Modifications to General Wage Texas Signed at Washington, D.C. this 14th day Determination Decisions TX000018 (Feb. 11, 2000) of September 2000. TX000100 (Feb. 11, 2000) John Frank, The number of decisions listed in the TX000114 (Feb. 11, 2000) Acting Chief, Branch of Construction Wage Government Printing Office Determinations. Volume VI documented entitled ‘‘General Wage [FR Doc. 00–24122 Filed 9–21–00; 8:45 am] Alaska Determinations Issued Under the Davis- BILLING CODE 4510±27±M Bacon and related Acts’’ being modified AK000001 (Feb. 11, 2000) are listed by Volume and State. Dates of Idaho publication in the Federal Register are ID000001 (Feb. 11, 2000) DEPARTMENT OF LABOR in parentheses following the decisions South Dakota being modified. SD000027 (Feb. 11, 2000) Occupational Safety and Health Washington Administration Volume I WA000001 (Feb. 11, 2000) None WA000002 (Feb. 11, 2000) [Docket No. ICR±1218±0147(2000)] WA000003 (Feb. 11, 2000) Volume II Definition and Requirements for a WA000006 (Feb. 11, 2000) Pennsylvania Nationally Recognized Testing WA000007 (Feb. 11, 2000) PA000005 (Feb. 11, 2000) Laboratory; Extension of the Office of WA000008 (Feb. 11, 2000) PA000006 (Feb. 11, 2000) WA000010 (Feb. 11, 2000) Management of Budget's (OMB) PA000026 (Feb. 11, 2000) Approval of Information-Collection PA000031 (Feb. 11, 2000) WA000011 (Feb. 11, 2000) Wyoming (Paperwork) Requirements Volume III WY000008 (Feb. 11, 2000) AGENCY: Occupational Safety and Health Florida WY000009 (Feb. 11, 2000) Administration (OSHA), Labor. FL000017 (Feb. 11, 2000) ACTION: Notice of an opportunity for FL000032 (Feb. 11, 2000) Volume VII FL000096 (Feb. 11, 2000) None public comment. Georgia SUMMARY: OSHA solicits comments GA000022 (Feb. 11, 2000) General Wage Determination GA000084 (Feb. 11, 2000) Publication concerning the extension of the Kentucky information-collection requirements KY000001 (Feb. 11, 2000) General wage determinations issued contained in the regulation titled KY000002 (Feb. 11, 2000) under the Davis-Bacon and related Acts, ‘‘Definition and Requirements for a KY000003 (Feb. 11, 2000) including those noted above, may be Nationally Recognized Testing KY000004 (Feb. 11, 2000) found in the Government Printing Office Laboratory’’ (29 CFR 1910.7). KY000007 (Feb. 11, 2000) (GPO) document entitled ‘‘General Wage Request for Comment KY000025 (Feb. 11, 2000) Determinations Issued Under The Davis- KY000027 (Feb. 11, 2000) Bacon and Related Acts.’’ This The Agency has a particular interest KY000028 (Feb. 11, 2000) in comments on the following issues: publication is available at each of the 50 KY000029 (Feb. 11, 2000) • Whether the information-collection Regional Government Depository requirements are necessary for the Volume IV Libraries and many of the 1,400 Michigan proper performance of the Agency’s Government Depository Libraries across functions, including whether the MI000060 (Feb. 11, 2000) the country. MI000062 (Feb. 11, 2000) information is useful; MI000063 (Feb. 11, 2000) The general wage determinations • The accuracy of the Agency’s MI000066 (Feb. 11, 2000) issued under the Davis-Bacon and estimate of the burden (time and costs) MI000069 (Feb. 11, 2000) related Acts are available electronically of the information-collection MI000070 (Feb. 11, 2000) by subscription to the FedWorld requirements, including the validity of MI000071 (Feb. 11, 2000) Bulletin Board System of the National the methodology and assumptions used; MI000072 (Feb. 11, 2000) • The quality, utility, and clarity of MI000073 (Feb. 11, 2000) Technical Information Service (NTIS) of the U.S. Department of Commerce at 1– the information collected; and MI000074 (Feb. 11, 2000) • Ways to minimize the burden on MI000075 (Feb. 11, 2000) 800–363–2068. Ohio employers who must comply; for Hard-copy subscriptions may be example, by using automated or other OH000001 (Feb. 11, 2000) purchased from: Superintendent of OH000002 (Feb. 11, 2000) technological information-collection OH000003 (Feb. 11, 2000) Documents, U.S. Government Printing and -transmission techniques. OH000020 (Feb. 11, 2000) Office, Washington, D.C. 20402, (202) DATES: Submit written comments on or OH000028 (Feb. 11, 2000) 512–1800. before November 21, 2000. OH000029 (Feb. 11, 2000) When ordering hard-copy ADDRESSES: Submit written comments OH000034 (Feb. 11, 2000) Wisconsin subscription(s), be sure to specify the to the Docket Office, Docket No. ICR– WI000068 (Feb. 11, 2000) State(s) of interest, since subscriptions 1218–0147 (2000), Occupational Safety may be ordered for any or all of the and Health Administration, U.S. Volume V seven separate volumes, arranged by Department of Labor, Room N–2625, Louisiana State. Subscriptions include an annual 200 Constitution Avenue, N.W., LA000001 (Feb. 11, 2000) edition (issued in January or February) Washington, DC 20210; telephone: (202) LA000005 (Feb. 11, 2000) which includes all current general wage 693–2350. Commenters may transmit LA000018 (Feb. 11, 2000) written comments of 10 pages or less in LA000045 (Feb. 11, 2000) determinations for the States covered by LA000054 (Feb. 11, 2000) each volume. Throughout the remainder length by facsimile to (202) 693–1648. Nebraska of the year, regular weekly updates are FOR FURTHER INFORMATION CONTACT: NE000011 (Feb. 11, 2000) distributed to subscribers. Bernard Pasquet, Directorate of

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57389

Technical Support, Occupational Safety As part of the recognition process, the II. Proposed Actions and Health Administration, U.S. Regulation requires that organizations OSHA proposes to extend OMB’s Department of Labor, Room N–3653, seeking recognition submit an initial- approval of the collection-of- 200 Constitution Avenue, N.W., recognition application to OSHA. The information (paperwork) requirements Washington, DC 20210, telephone: (202) Agency reviews the information contained in the requirements for 693–2110. A copy of the Agency’s provided in the initial-recognition becoming a nationally-recognized Information-Collection Request (ICR) application to determine if an testing laboratory. OSHA will supporting the need for the information- organization meets the qualification summarize the comments submitted in collection requirements specified by criteria specified in the Regulation. response to this notice, and will include OSHA for becoming a nationally- These criteria address an organization’s this summary in the request to OMB to recognized testing laboratory (29 CFR capability to test and examine extend the approval of these 1910.7) is available for inspection and equipment, products, or material for information-collection requirements. copying in the Docket Office, or you safety (for example, fire or electrical Type of Review: Extension of may request a mailed copy by safety). In this regard, the Agency currently approved information- telephoning Bernard Pasquet at (202) evaluates an organization’s facilities, collection requirements. 693–2110. For electronic copies of the equipment, staff training, written testing Title: Definition and Requirements for ICR, contact OSHA on the Internet at procedures, and calibration and quality- a Nationally Recognized Testing http://www.osha.gov. control programs necessary to test and Laboratory (29 CFR 1910.7). SUPPLEMENTARY INFORMATION: examine equipment, products, and OMB Number: 1218–0147. material for safety. If OSHA approves Affected Public: Business or other for- I. Background the initial-recognition application, it profit organizations; Not-for-Profit The Department of Labor, as part of its will recognize the organization as an institutions; State, Local or Tribal continuing effort to reduce paperwork NRTL for five years. governments. and respondent burden, conducts a Once recognized, an NRTL may apply Number of Respondents: 58. preclearance consultation program to Frequency: On occasion. to expand its current recognition to provide the general public and Federal Total Responses: 58. cover additional categories of NRTL agencies with an opportunity to Average Time per Response: 53 hours. testing. To do so, an NRTL must submit comment on proposed and continuing Estimated Total Burden Hours: 1,345 an expansion-of-recognition application information-collection requirements in hours. accordance with the Paperwork that provides the Agency with Estimated Cost (Operation and Reduction Act of 1995 (PRA–95) (44 information demonstrating that it meets Maintenance): $0. U.S.C. 3506(c)(2)(A)). This program the testing criteria specified by the ensures that information is in the Regulation for these additional III. Authority and Signature desired format, reporting burden (time categories. An NRTL may also revise its Charles N. Jeffress, Assistant Secretary and costs) is minimal, collection testing procedures, such as testing of Labor for Occupational Safety and instruments clearly understood, and methods or pass-fail criteria, provided Health, directed the preparation of this OSHA’s estimate of the information the revisions are at least as effective as notice. The authority for this notice is burden is correct. The Occupational the prior testing procedures; OSHA the Paperwork Reduction Act of 1995 Safety and Health Act of 1970 (the Act) reviews these revisions during the (44 U.S.C. 3506) and Secretary of authorizes information collection by annual site visit to the NRTL. Labor’s Order No. 3–2000 (65 FR employers as necesssary or appropriate To renew recognition for another five- 50017). for enforcement of the Act or for year period, an NRTL must submit a Signed at Washington, DC on September developing information regarding the renewal-of-recognition application to 12, 2000. causes and prevention of occupational the Agency several months before the Charles N. Jeffress, injuries, illnesses, and accidents (29 current recognition expires. OSHA may Assistant Secretary of Labor. U.S.C. 657). in some cases dispense with this [FR Doc. 00–23900 Filed 9–21–00; 8:45 am] A number of standards issued by the renewal requirement provided the BILLING CODE 4510±26±M Occupational Safety and Health organization certifies its continuing Administration (OSHA) contain compliance with the Regulation. requirements for equipment, products, DEPARTMENT OF LABOR or materials. These standards often To ensure that NRTLs are meeting the requirements of the Regulation, the specify that employers use only Pension and Welfare Benefits Agency attempts to conduct site visits equipment, products, or material Administration ‘‘tested’’ or ‘‘approved’’ by a ‘‘nationally (i.e., audits) at each NRTL annually. recognized testing laboratory’’ (NRTL); During these site visits, an NRTL [Application No. D±10800, et al.] provides OSHA with written this requirement ensures that employers Proposed Exemptions; The Masters, use safe and efficacious equipment, information to evaluate its compliance with the requirements for recognition. Mates and Pilots Pension Plan (the products, or materials in complying Pension Plan) and Individual with the standards. Accordingly, OSHA These reviews also permit the Agency to determine if revisions to testing Retirement Account Plan (the IRAP; promulgated the regulation titled Together, the Plans) ‘‘Definitions and Requirements for a procedures made by NRTLs are at least Nationally Recognized Testing as effective as the prior testing AGENCY: Pension and Welfare Benefits Laboratory’’ (the ‘‘Regulation’’). The procedures. These site visits help to Administration, Labor. Regulation specifies procedures that ensure that equipment, products, or ACTION: Notice of proposed exemptions. organizations must follow to apply for, material used by employers to comply and to maintain, OSHA’s recognition to with OSHA’s standards are providing SUMMARY: This document contains test and certify equipment, products, or employees with the highest level of notices of pendency before the material for this purpose. protection available. Department of Labor (the Department) of

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57390 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices proposed exemptions from certain of the 1978, 5 U.S.C. App. 1 (1996), transferred the subject transactions with AHL prohibited transaction restrictions of the the authority of the Secretary of the Holdings; (c) HAI continues to monitor Employee Retirement Income Security Treasury to issue exemptions of the type the Plans’ holding of the Note, Act of 1974 (the Act) and/or the Internal requested to the Secretary of Labor. determines at all times that such Revenue Code of 1986 (the Code). Therefore, these notices of proposed transaction remains in the best interests exemption are issued solely by the of the Plans and takes whatever actions Written Comments and Hearing Department. Requests are necessary to enforce the Plans’ rights The applications contain under the Note; (d) HAI has determined All interested persons are invited to representations with regard to the that the current fair market value of the submit written comments or request for proposed exemptions which are Note is not less than the current fair summarized below. Interested persons a hearing on the pending exemptions, market value of the Stock; and (e) HAI are referred to the applications on file unless otherwise stated in the Notice of has determined that the proposed Proposed Exemption, within 45 days with the Department for a complete transactions have terms and conditions from the date of publication of this statement of the facts and which are at least as favorable to the Federal Register Notice. Comments and representations. Plans as terms and conditions which requests for a hearing should state: (1) The Masters, Mates and Pilots Pension The name, address, and telephone would exist in similar transactions with Plan (the Pension Plan) and Individual unrelated parties. number of the person making the Retirement Account Plan (the IRAP; comment or request, and (2) the nature together, the Plans), Located in EFFECTIVE DATE: With respect to the of the person’s interest in the exemption Linthicum Heights, Maryland Plans’ holding of the AHL Stock, this and the manner in which the person proposed exemption, if granted, will be [Application Nos. D–10800 and D–10801] would be adversely affected by the effective from January 1, 1999 until the exemption. A request for a hearing must Proposed Exemption date of the sale of the Stock by the Plans also state the issues to be addressed and The Department is considering to AHL Holdings; with respect to the include a general description of the granting an exemption under the sale of the AHL Stock by the Plans to evidence to be presented at the hearing. authority of section 408(a) of the Act AHL Holdings, this proposed ADDRESSES: All written comments and and section 4975(c)(2) of the Code and exemption, if granted, will be effective request for a hearing (at least three in accordance with the procedures set the date of publication of the grant in copies) should be sent to the Pension forth in 29 CFR Part 2570, Subpart B (55 the Federal Register. and Welfare Benefits Administration, FR 32836, 32847, August 10, 1990). If Summary of Facts and Representations Office of Exemption Determinations, the exemption is granted, the Room N–5649, U.S. Department of restrictions of sections 406(a), 406(b)(1) 1. The Pension Plan is a defined Labor, 200 Constitution Avenue, NW., and (b)(2) and 407(a) of the Act and the benefit plan that currently has Washington, DC 20210. Attention: sanctions resulting from the application approximately 5,026 participants. As of Application No. lll, stated in each of section 4975 of the Code, by reason December 31, 1998, the Pension Plan Notice of Proposed Exemption. The of section 4975(c)(1)(A) through (E) of had approximately $797,144,611 in applications for exemption and the the Code, shall not apply to: (1) The comments received will be available for assets. The IRAP is a defined transfer and sale by the Plans of their contribution plan that currently has public inspection in the Public shares of stock (the AHL Stock or the approximately 3,959 participants. As of Documents Room of the Pension and Stock) in American Heavy Lift Shipping December 31, 1998, the IRAP had Welfare Benefits Administration, U.S. Company (AHL) to AHL Holdings, Inc. approximately $163,618,557 in assets. Department of Labor, Room N–5638, (AHL Holdings), in exchange for a note 200 Constitution Avenue, NW., (the Note) from AHL Holdings to the The Plans principally cover members of Washington, DC 20210. Plans; (2) the holding of the Note by the the International Organization of Masters, Mates and Pilots (the Union). Notice to Interested Persons Plans; (3) the guarantee (the Guarantee) of the Note to the Plans by AHL; (4) the 2. IFS is a registered investment Notice of the proposed exemptions continued holding of the AHL Stock by advisor which serves as the Named will be provided to all interested the Plans for the period from January 1, Fiduciary for the Special Assets persons in the manner agreed upon by 1999 until the date of the sale of the Portfolio of the Plans. The Special the applicant and the Department Stock by the Plans to AHL Holdings; Assets Portfolio consists of various within 15 days of the date of publication and (5) the holding by the Plans for a venture capital and other non-liquid in the Federal Register. Such notice period of two years of any collateral, investments which were made by a shall include a copy of the notice of including the Stock, received by the former investment manager of the Plans, proposed exemption as published in the Plans as a result of the exercise of their Tower Asset Management, Inc. (Tower), Federal Register and shall inform rights in the event of a default under the and which were the subject of interested persons of their right to Note or under the Guarantee, provided protracted litigation (the Litigation) comment and to request a hearing that: (a) The Plans’ independent between the Department, Tower, the (where appropriate). fiduciary, Independent Fiduciary Plans and certain of their trustees, and SUPPLEMENTARY INFORMATION: The Services, Inc. (IFS), has determined that certain plan participants.1 The proposed exemptions were requested in the transactions are appropriate for the Litigation ultimately was settled applications filed pursuant to section Plans and in the best interests of the pursuant to Court Order entered by the 408(a) of the Act and/or section Plans’ participants and beneficiaries; (b) United States District Court for the 4975(c)(2) of the Code, and in the Plans’ independent investment Southern District of New York (the accordance with procedures set forth in manager with respect to the Stock, Court). 29 CFR Part 2570, Subpart B (55 FR Hellmold Associates, Inc. (HAI), 32836, 32847, August 10, 1990). negotiated the terms of the subject 1 In re Masters, Mates and Pilots Pension Plan Effective December 31, 1978, section transactions with AHL Holdings and has and IRAP Litigation, Lead File No. 85 Civ. 9545 102 of Reorganization Plan No. 4 of made the decision for the Plans’ to enter (VLB) (S.D.N.Y.)

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57391

3. In the course of the Litigation, IFS 2 on AHL’s ships. No payments are retroactive to January 1, 1999 with was appointed Named Fiduciary for the anticipated to be due in the next five respect to the holding of the Stock by Plans’ Special Assets Portfolio by Court years. the Plans. Order dated September 18, 1990 (the 6. Since AHL is an employer of 7. While IFS, in its capacity as Named Court Order). IFS assumed its employees covered under the Plans, the Fiduciary, has ultimate investment responsibilities on November 8, 1990. AHL Stock constitutes employer management responsibility for the The Court Order provided that the securities under section 407(d)(1) of the Special Assets Portfolio, it does not Named Fiduciary, rather than the Plans’ Act. The applicants represent that the exercise investment management trustees, has the ‘‘* * * sole, exclusive, Stock constituted qualifying employer discretion over the portfolio’s assets on full and complete authority and securities within the meaning of section a day-to-day basis. Rather, as discretion concerning the control, 407(d)(5) of the Act at the time of its contemplated by the Court Order, management and disposition of the acquisition, but as of January 1, 1993, responsibility for the day-to-day Special Assets Portfolio.’’ the AHL Stock may have ceased to be management and supervision of the 4. Since February, 1987, the Plans a qualifying employer security because portfolio’s assets has been delegated at have each owned 45 shares of the Stock, the Stock is wholly-owned by the Plans all times to independent investment which Stock represents all of the and thus may not meet the requirements managers selected by IFS. With respect outstanding shares of AHL. AHL is a of section 407(f) of the Act. However, to the Plans’ investment in the Stock, Delaware corporation, headquartered in the applicants state that the Plans’ such responsibility was first delegated to Sunwestern Advisors, L.P. New Orleans, Louisiana, that is engaged continued holding of the Stock was in the shipping industry. Its principal (Sunwestern), which served as the exempt from the prohibited transaction assets consist of four double-hulled investment manager for this investment restrictions of the Act pursuant to tankers, built in the 1950’s as single- until July 14, 1992. Effective that date, Prohibited Transaction Class Exemption hulled ships and converted to double- Sunwestern’s responsibilities were No. 79–15 (44 FR 26979, May 8, 1979) hulled beginning in 1995 to comply assumed by a new investment manager, as a result of a court order, dated with Federal law, that are used Potomac Asset Management, Inc. November 2, 1992, entered in the primarily for the transportation of (Potomac). On October 15, 1996, IFS Litigation (the PTE 79–15 Order). Under petroleum products in the Jones Act appointed HAI as the investment the terms of the PTE 79–15 Order, this trade (i.e., American-flagged tankers in manager for certain investments of the exemption was effective until the later the domestic intra-coastal trade). The Plans, including the AHL Stock. HAI Plans’ Stock can be traced back to of: (a) December 31, 1993; or (b) continues to serve in that capacity. certain prior investments made by December 31, 1994, provided the Plans 8. HAI is a private investment banking Tower and is held in the Plans’ Special made application to the Department for firm offering financial advisory services Assets Portfolio, along with the Plans’ an exemption to permit the continued and investment management services. other remaining Tower-initiated holding of the Stock. The Plans did file HAI has specialized in working with investments. a request for an exemption in timely troubled companies or their creditors to 5. In connection with the double- fashion, and thus the exemption raise capital, divest businesses and hulling of the ships, AHL assumed provided under the PTE 79–15 Order restructure liabilities, whether in or significant long-term debt. AHL issued was automatically extended to outside bankruptcy. HAI is also the $125 million U.S. Government Ship December 31, 1994. On December 19, general partner of a hedge fund that Financing Bonds on May 12, 1995. AHL 1994, the Department granted invests primarily in the securities of sold an additional $23.7 million U.S. Prohibited Transaction Exemption 94– distressed companies. HAI is registered Government Ship Financing Bonds on 85 (PTE 94–85; 59 FR 65403), which with the Securities and Exchange December 18, 1996. Proceeds from the continued the exemption for the holding Commission as an investment advisor sales of bonds were deposited with the of the Stock by the Plans until the later and broker/dealer. HAI is located in U.S. Treasury and may be used for ship of: (a) December 31, 1995, or (b) New York, New York. Since its construction pursuant to Title XI of the December 31, 1996, provided another retention, HAI has devoted substantial Merchant Marine Act. AHL was application for exemption was filed time and effort to developing a thorough required to pay the following minimum with the Department prior to December understanding of AHL’s business and amounts through sinking fund deposits: 31, 1995. Another exemption financial condition. As required by the application was filed prior to December 1998—$3,326,000 terms of its engagement, HAI has 1999—$3,568,000 31, 1995, so that PTE 94–85 remained provided IFS with quarterly reviews of 2000—$3,827,000 effective until December 31, 1996. On AHL’s financial results and operations, 2001—$4,104,000 October 2, 1996, the Department granted including the status of ships under Thereafter—$132,302,000 Prohibited Transaction Exemption 96– construction, charter status, and the In addition to this $148.7 million of 73 (61 FR 51463), which continued the status of collective bargaining debt (the MARAD Loans), AHL also exemption for the holding of the Stock negotiations, including negotiations borrowed $3.35 million from Avondale by the Plans until the later of: (a) involving the transaction which is the Industries, Inc. (the Avondale Loan), December 31, 1997, or (b) December 31, subject of this proposed exemption. one of the nation’s leading shipbuilding 1998, provided another application for 9. The applicants have requested an companies. This amount, together with exemption was filed with the exemption that would permit the Plans interest at approximately 7.5%, is due to Department prior to December 31, 1997. to sell their AHL Stock to AHL be repaid in 20 years or earlier under Another exemption application was Holdings. Subsequently, all of the certain circumstances if cash flow, as filed on October 15, 1997, so that PTE shares of AHL Holdings (Holdings defined, exceeds certain minimum 96–73 remained in effect until Stock) will be acquired by a newly amounts. The payment of principal and December 31, 1998. That application created ESOP to be established by AHL. interest is secured by a second mortgage was later withdrawn, and a revised The ESOP is represented by the ESOP application was filed on August 13, Committee. The ESOP Committee is a 2 IFS was then known as ‘‘Bear Stearns Fiduciary 1999. The applicant has requested that five-person ad hoc committee of AHL Services, Inc.’’ the exemption proposed herein be made employees represented by the Union.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57392 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

The ESOP Committee has functioned as The Note will have a six-year term and applicable to the cumulative amount of an advisory group to the Union and its a stated principal value of $6.9 million. prepayments made. advisors in connection with the The Note will have an interest rate of The applicant represents that the collective bargaining negotiations that nine percent for the initial three years prepayment formula results in a lesser resulted in the proposed transaction.3 and ten percent for the remaining three discount the closer the prepayment is to 10. In connection with the transaction years. The interest will be payable semi- the Note’s maturity. Additionally, aside involving the transfer of the AHL Stock, annually (with a total of twelve interest from the prepayment dollar amounts, the Union and AHL have adopted a new payments), but the first six semi-annual different discount rates have been conditional eight-year collective interest payments will be ‘‘payable in assigned to different size prepayments, bargaining agreement (CBA), which took kind’’, i.e., accrued and added to the so that the greater the prepayment, the effect in part on September 1, 1997, and principal amount of the Note. A single greater the reduction in principal. will take effect in full upon the closing $2.5 million payment will be due on the Therefore, a prepayment received of the proposed transaction. The new fifth anniversary of the date of issuance sooner rather than later will result in a CBA provides for a 7.5% reduction in of the Note, and the remaining principal greater discount from principal, and a base wages and vacation pay by Union balance will be due at the conclusion of larger prepayment will also obtain a members, certain benefit concessions the six-year term. greater discount than a smaller one. As and a reduction in crew size. On August Principal may be pre-paid at any time, an example, a $500,000 prepayment 31, 2002, the wage rate reductions and without penalty. In order to provide an made as soon as the Note is issued will other benefit modifications (the CBA incentive for the repayment of principal, result in a reduction of $986,910 from Concessions) to the CBA adopted in the event that at least $250,000 of the final principal payment six years pursuant to agreement between the principal is prepaid in cash at one time, later. In contrast, a $500,000 Union and AHL will be terminated and the final principal payment will be prepayment made in the third year of certain wages and benefit provisions reduced by an amount calculated in the six-year Note will only result in a will be restored to their 1996 levels. In accordance with the following formula: reduction of $702,460 from the final addition, AHL will continue to benefit principal payment. (1+R/2) to the Y power times the The Note given by AHL Holdings will from certain productivity improvements Prepayment Amount in the new agreement. be secured by: (1) A pledge of all of the Where According to AHL and the Union, the AHL Stock, none of which will be Y=Number of semi-annual periods until modifications to the CBA would reduce released until the Note is paid in full; maturity. AHL’s actual cash compensation costs (2) the Guarantee of AHL, subordinated R=Semi-Annually Compounded by more than $1,500 per day, per ship— to AHL’s obligations under the MARAD Discount Rate. and Avondale Loans; (3) a pledge of the or more than seventeen percent of cash in an escrow account to be AHL’s actual cash compensation costs If the Prepayment Amount is between established for all wage increases under under the prior collective bargaining $250,000—$499,999, the Annual the collective bargaining agreement agreement—for a period through August Discount Rate is 8.00% and the Semi- beginning March 1, 2003, none of which 31, 2002. The net present value of these Annually Compounded Discount Rate is will be released until the Note is paid proposed contractual reductions in 7.85%. in full; and (4) if practicable, a third wages, staffing and pension If the Prepayment Amount is between mortgage on AHL’s assets, subordinated contributions and benefits over five $500,000—$749,999, then the Annual to the MARAD and Avondale Loans. years, as estimated by AHL and the Discount Rate is 12.00% and the Semi- AHL will periodically provide the Plans Union, exceeds $7.7 million. Annually Compounded Discount Rate is 11.66%. with certain confidential financial 11. AHL Holdings will issue the Note information. Effective as of the date of to the Plans in exchange for the Stock.4 If the Prepayment Amount is between $750,000—$999,999, the Annual the closing of the transaction, AHL’s Board of Directors (the AHL Board) will 3 In this regard, the applicant states that the Discount Rate is 15.00% and the Semi- acquisition of the Holdings Stock by the ESOP will Annually Compounded Discount Rate is consist of seven members, one of whom be covered by the statutory exemption available 14.48%. will be designated by HAI (acting as under section 408(e) of the Act, because the If the Prepayment Amount is investment manager for the Plans), two Holdings Stock is considered ‘‘qualifying employer of whom will be selected by the ESOP securities’’ pursuant to section 407(d)(5) of the Act. $1,000,000 or more, the Annual The Department is providing no opinion in this Discount Rate is 17.50% and the Semi- Committee and the Union (the proposed exemption as to whether the acquisition Annually Compounded Discount Rate is Employee Directors), and one of whom and holding by the ESOP of Holdings Stock would 16.79%. will be designated by AHL (the be covered by section 408(e) of the Act and the Management Director). There will be If more than one prepayment is made, regulations thereunder. In addition, the Department three independent directors who will be is not providing any relief herein for any subsequent prepayments are entitled to jointly selected by the Employee transactions by the ESOP involving the Holdings be calculated at the larger discount rate Stock. Directors and the Management Director. 4 The Department wishes to note that ERISA’s On the date the Plans receive their first general standards of fiduciary conduct would apply understand the benefits and risks associated with cash payment under the terms of the to the proposed acquisition and holding of the Note engaging in a specific type of investment, following by the Plans and the proposed acquisition and disclosure to such fiduciary of all relevant Note (i.e., $893,000), HAI’s power to holding of the Stock by the ESOP, and that information. In addition, such plan fiduciary must designate a member of the AHL Board satisfaction of the conditions of this proposal be capable, either directly or indirectly through the will end. HAI will have the power to should not be viewed as an endorsement of the use of hired professional experts, of monitoring the designate (on behalf of the Plans) one investments by the Department. Section 404(a) of investment, including any changes in the value of the Act requires, among other things, that a plan the investment. Thus, in considering an investment, director of AHL Holdings until the Note fiduciary discharge his duties with respect to a plan a fiduciary should take into account its ability to is fully repaid. The ESOP, as 100% solely in the interest of the plan’s participants and provide adequate oversight of the particular shareholder of AHL Holdings, will elect beneficiaries and in a prudent fashion. Accordingly, investment. the rest of AHL Holdings’ Board. The the plan fiduciary must act prudently with respect The Department also wishes to note that it to the decision to enter into an investment reserves the right to investigate and take any other applicant represents that by requiring at transaction. The Department further emphasizes action with respect to the transaction which is the least one director to be elected by the that it expects the plan fiduciary to fully subject of the proposed exemption. Plans, and further precluding (1) the

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57393 incurrence of any debt, (2) any timely payments of principal and qualify under section 4975(e)(7) of the bankruptcy filing, or (3) any amendment interest on the Note; to maintain a Code. If AHL was forced into to its Articles without the unanimous principal office in New Orleans; to keep bankruptcy for nonperformance, the consent of the AHL Holdings Board (and proper books and records in accordance Plans’ unsecured claim (as a creditor) therefore of the Plans’ director), the with GAAP (i.e., generally accepted against the estate would be superior to ESOP cannot abrogate AHL Holdings’ accounting principles); to properly pay the claims of all other equity holders. requirement to repay the Note to the all taxes; to keep AHL’s properties and AHL will provide the Plans with the Plans in full, or return ownership of assets in good condition, repair and Guarantee, which will contain 100% of AHL to the Plans upon any working order; to comply with all covenants and events of default default under the Note. applicable laws and government rules identical in form to the covenants and Certain extraordinary actions cannot and regulations; to maintain sufficient events of default contained in be taken by AHL without the affirmative insurance; to render periodic financial subordinated public debt, because the vote of at least 6 of the 7 directors of statements; and to notify the Plans of Note will be subordinated to all of AHL, including: A merger, any material adverse changes in the AHL’s funded indebtedness. consolidation or combination of AHL business, affairs or financial condition 13. HAI has reviewed the proposed with another person or entity; any of AHL. The negative covenants include transactions and made a determination aggregate investment of $1 million in prohibitions on: The acquisition of that they are appropriate for the Plans another person or entity in the maritime significant assets in the ordinary course and in the best interests of their shipping business; a sale or issuance of of business; the redemption of participants and beneficiaries. HAI stock or other equity securities which outstanding stock; the incurrence of represents that, under the CBA in effect would give another person or entity indebtedness except for tax liabilities; prior to September 1, 1997, the labor more than 35% of AHL’s common stock the incurrence of any liens except costs of AHL were too high for AHL to on a fully diluted basis, except for permitted liens and obligations be profitable or even survive. As a part issuances necessary to permit AHL to included in the ordinary course of of the collective bargaining process, the avoid bankruptcy or repossession of business; the declaration of dividends in Union recognized that cost concessions AHL vessels; a sale, lease, transfer or cash or in stock; the guaranty of any were necessary and agreed to put them disposition of more than 32% of AHL’s third party obligations; the dissolution, into effect in return for the proposed assets, subject to certain exceptions; the sale, consolidation or merger of AHL; ESOP transaction. In connection with appointment of a new CEO; or certain transactions with affiliated persons on the CBA signed on September 1, 1997 other changes relating to the terms less favorable than comparable (see rep. 10, above), certain of the new composition, removal, replacement, transactions with non-affiliates; labor contract cost savings were committee structure, or consensus investments or loans to any other implemented as of that date, resulting in provisions of the AHL Board. company; and the sale and leaseback of escrowed cash savings of $2,148,400 as The AHL Holdings Articles of assets in excess of $250,000. of October 31, 1999. If the subject Incorporation will provide that AHL In the event of default, the Plans will proposed transaction were not to take Holdings may not: (1) Incur any new be in a position to foreclose on the effect, AHL would be required to return debt; (2) declare voluntary bankruptcy; pledged AHL Stock 6 and to demand these amounts, which it would not be or (3) amend its Articles, without the payment from AHL under its Guarantee. financially capable of doing. Therefore, unanimous consent of the AHL Events of default include the falsity of failure to approve the proposed ESOP Holdings Board. any representation or warranty in any transaction could render AHL insolvent. 12. The applicants represent that AHL material respect given; a payment HAI further represents that because of Holdings and AHL will be motivated to default; failure to observe or perform its belief that AHL could not be make payments on the Note in a full and any affirmative or negative covenant profitable and service its debt when due timely fashion. The Note will default if which continues unremedied for more without these CBA Concessions, and AHL Holdings fails to make a required than 30 days after written notice thereof; because the Union refused to make such cash interest payment for any single a default under the MARAD Loan (see cost concessions to any third party, it payment period. In the event of default, rep. 5, above) documents (i.e., cross- was not possible to attempt to sell AHL AHL Holdings will have 45 days to cure default with MARAD) unless such as a going concern to anyone other than the default. If AHL Holdings does not default is waived by MARAD; the the ESOP. cure the default within 45 days, the suspension or discontinuance of 14. HAI completed a financial holders of the Note will enjoy standard business by AHL or the commencement evaluation of AHL as of December 31, public debt provisions with respect to of any bankruptcy or similar proceeding 1997, and represents that, as of events of default. In addition, the Notes by or against AHL; the entry of an order, December 31, 1999, there has been no will contain cross-default provisions judgment or decree of dissolution of material change in the financial with respect to the covenants of AHL AHL; the entry of a money judgment condition of AHL. HAI represents that contained in the Guarantee.5 These against AHL in excess of $500,000 that AHL could be liquidated, but given the public debt provisions include has not been stayed pending appeal; if extremely large debt load incurred to approximately 25 affirmative and any of the operative documents should convert AHL’s four ships to double-hull negative covenants made by AHL be declared unenforceable; and finally, (i.e., the MARAD Loan and the Avondale Loan; see Rep. 5, above), and which, if violated, would trigger a if the Internal Revenue Service because of the provision in the CBA that default on the Note. The affirmative determines that the ESOP does not covenants include covenants to: Make obligates AHL to make a payment to the 6 If the Plans were to foreclose on the pledged Union of $2.5 million if it sells its four 5 If AHL Holdings defaults on its obligations on Stock, the Plans’ subsequent holding of that Stock ships and Union members are not the Note, AHL must meet its obligations under the could create the same prohibited transactions for employed thereon, it is extremely Guarantee. AHL Holdings may not incur any which PTEs 94–85 and 96–73 were granted. Thus, unlikely that, if AHL were liquidated, additional debt (see rep. 11, above). If AHL defaults the applicants have requested that should this on any of its obligations, then AHL Holding’s Note scenario arise, the exemption proposed herein there would be any net value remaining will also be in default (by virtue of the cross-default would permit the Plans to hold such Stock for a to the AHL Stock owned by the Plans. provision). period of two years after the foreclosure. HAI has calculated that a one-year

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57394 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices bankruptcy and liquidation process, 1999, has opined that ‘‘if the cost Notice To Interested Persons including shut-down, marketing and savings and the resulting funds [from legal expenses estimated at $3 million, the ESOP transaction] are not realized in The applicant represents that the would likely produce a negative $3.1 the full amount and on the schedule notice to interested persons required by million equity value for the Plans if the contemplated, [AHL] may not be able to 29 CFR 2570.43 will be effected by MARAD Loan were to be paid off at meet its obligations timely’’, and that publication of a copy of this notice of proposed exemption and the required face, with no accrued interest. If the ‘‘[t]he uncertainties related to these supplemental statement in The Master, MARAD Loan had to be repurchased at matters raise substantial doubt about Mate and Pilot. This publication is a the 106% premium called for in its [AHL]’s ability to continue as a going newspaper published by the Union and indenture, the equity value for the Plans concern.’’ would be a negative $12 million. HAI’s is received by participants and analysis assumed that a third party 17. The ESOP Committee also beneficiaries of the Plans, including would pay as much for the AHL ships, represents that it believes the subject retirees. The notice will be published with their old engine rooms, as for a transactions are necessary to prevent the within 30 days of the publication of this completely new ship. HAI represents insolvency of AHL. The ESOP notice of proposed exemption in the that the likelihood is that the actual Committee reached this conclusion after Federal Register. Comments and recoveries would be substantially lower extremely extensive negotiations with requests for a public hearing are due than those described above, and would the Plans, in which it exerted every within 60 days of the publication of this certainly leave no value for the AHL effort to achieve the best deal it could. notice of proposed exemption in the Stock. Thus, HAI believes there would In acquiring AHL Holdings, the ESOP is Federal Register. be no value remaining to the Plans’ in essence acquiring the possibility that FOR FURTHER INFORMATION CONTACT: Gary ownership of the Stock in the event of AHL will become profitable again. H. Lefkowitz of the Department, a liquidation of AHL. HAI has There is risk in this transaction, telephone (202) 219–8881. (This is not concluded, accordingly, that if the particularly given AHL’s recent a toll-free number.) subject transaction does not take place, financial performance. However, there the likely value of the AHL Stock is is also the possibility that the John L. Rust Co. Profit Sharing Plan zero. If the transaction were to take investment in AHL Stock by AHL (the Plan), Located in Albuquerque, place, HAI has concluded that the net Holdings will be profitable, which in New Mexico present value of the AHL Stock is equal turn will make the value of Holdings [Application No. D–10877] to the net present value of the Note to Stock pay off for the ESOP participants. be received. Using 10% to 15% as the Proposed Exemption appropriate discount rates, HAI has 18. In summary, the applicant estimated the present value of the Note represents that the proposed The Department is considering to be in the range of $5.2 to $6.1 million. transactions satisfy the criteria granting an exemption under the 15. IFS represents that, based upon its contained in section 408(a) of the Act authority of section 408(a) of the Act own analysis of the situation and because: (a) The Plans’ independent and section 4975(c)(2) of the Code and continuing close evaluation of HAI’s investment manager, HAI, has in accordance with the procedures set activities as investment manager, it determined that the transactions are forth in 29 CFR part 2570, subpart B (55 believes that the Plans’ equity appropriate for the Plans and in the best FR 32836, 32847, August 10, 1990). If investment in AHL is in dire interests of the Plans’ participants and the exemption is granted, the circumstances. Although IFS recognizes beneficiaries; (b) HAI has made this restrictions of sections 406(a), 406(b)(1) that the proposed sale of the Stock is not determination based upon its finding and (b)(2) of the Act and the sanctions ideal (largely because of the seller that if AHL were to be liquidated, it is resulting from the application of section financing), IFS strongly believes that it unlikely that there would be any value 4975 of the Code, by reason of section is preferable to the only other remaining to the Plans’ ownership of the 4975(c)(1)(A) through (E) of the Code, alternative, which is bankruptcy. IFS Stock; (c) AA, the independent shall not apply to (1) the proposed represents that absent completion of the accountant for AHL, concurs in the purchases by the Plan of certain leases proposed transaction, the Plans’ equity opinion that if the proposed of equipment (the Leases) from John L. Rust Co. (Rust), the Plan sponsor and a interest is likely to be worth little or transactions are not consummated, there party in interest with respect to the nothing. By contrast, with the is substantial doubt about AHL’s ability Plan, and (2) the agreement by Rust to transaction, (a) AHL’s cost structure to meet its obligations and to continue (and thus, its only chance for survival) indemnify the Plan against any loss as a going concern; (d) IFS, the Plans’ will improve dramatically, and (b) the relating to the Leases and also to independent fiduciary, has also Plans will exchange an equity security repurchase any Leases that are in determined that the transactions are for a fixed income instrument, thus default in accordance with paragraph gaining a priority position in the event appropriate for the Plans and in the best (E) below, provided that the following of AHL’s bankruptcy. In short, IFS interests of the Plans’ participants and conditions are met: represents that without the transaction, beneficiaries; (e) HAI, the Plans’ independent investment manager, will A. Any sale of Leases to the Plan is the Plans’ equity investment in AHL is on terms at least as favorable to the Plan in severe jeopardy, but with the continue to monitor the Plans’ holding of the Note, determine at all times that as an arm’s length transaction with an improved protections including the unrelated third party. Guarantee and the escrow, the Plans such transaction remains in the best will be in a superior position as a interests of the Plans and take whatever B. Subsequent to the date of debtholder in a more viable company. actions are necessary to enforce the publication of the proposed exemption, 16. Arthur Anderson LLP (AA), an Plans’ rights under the Note; and (f) the the acquisition of a Lease from Rust independent accounting firm, has ESOP Committee has determined that shall not cause the Plan to hold reviewed the balance sheets and income the transaction is in the best interests of immediately following the acquisition statements of AHL as of June 30, 1999. the AHL employees who will become (1) more than 25% of the current value AA, in a report dated September 2, ESOP participants. (as that term is defined in section 3(26)

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57395 of the Act) 7 of Plan assets in customer the lessee and the proceeds from such primary business activity as the seller of notes (Notes) and Leases sold by Rust or insurance is assigned to the Plan. heavy construction equipment. The (2) more than 10% of Plan assets in the H. The Plan maintains for the Leases involve equipment which is aggregate of Leases with and Notes of duration of any Lease which is sold to leased to third parties. The applicant any one entity. the Plan pursuant to this exemption, represents that the Plan acquired the C. Prior to the purchase of each Lease, records necessary to determine whether Leases from Rust in the belief that such an independent, qualified fiduciary the conditions of this exemption have transactions were also covered by PTE determines that the purchase is been met. The Plan continues to 85–68. When the applicant realized that appropriate and suitable for the Plan maintain the records for a period of six the Leases might not be exempt under and that any Lease purchase is a fair years following the expiration of the PTE 85–68, it requested retroactive market value transaction. Lease or the disposition by the Plan of relief from the Department with respect D. The independent fiduciary, on the Lease. The records referred to above to the Plan’s past acquisition of such behalf of the Plan, monitors the terms of must be unconditionally available at Leases, and also requested an exemption the Leases and the exemption and take their customary location for to permit the Plan to purchase whatever action is necessary to enforce examination, for purposes reasonably additional Leases from Rust over a five the rights of the Plan. related to protecting rights under the year period. The Department granted the E. Upon default by the lessee on any Plan, during normal business hours by requested relief in PTE 95–87 (60 FR payment due under a Lease, Rust the Internal Revenue Service, the 49010, September 21, 1995). repurchases the Lease from the Plan at Department, Plan participants, any 4. The applicant represents that, since the payout value 8 as of the date of the employee organization any of whose the issuance of PTE 95–87, the Plan has default, without discount, and members are covered by the Plan, or any acquired from Rust approximately 50 indemnifies the Plan for any loss duly authorized employee or Leases. The applicant now requests suffered. The occurrence of any of the representative of the above described prospective relief for an additional five following events shall be considered persons. (5) years, upon the expiration of PTE 95–87 on September 21, 2000. events of default for purposes of this Temporary Nature of Exemption section: (1) The lessee’s failure to pay 5. The applicant represents that each Effective Dates: The proposed any amounts due hereunder within five of the transactions involving the Plan’s exemption, if granted, will be temporary days after receipt of written notice from acquisition of the Leases would have and will be effective from September 21, the Plan’s independent fiduciary, or the satisfied the conditions of PTE 85–68 2000 through September 21, 2005 with lessee’s failure to pay any amounts due (i.e., the class exemption for customer respect to the Plan’s future purchases of notes), but for the fact that these were hereunder within 30 days after payment Leases. The Plan may hold the Leases becomes past due, if earlier; (2) the Leases and not Notes. The applicant acquired pursuant to the terms of the further represents that the conditions of lessee’s failure to perform any other exemption subsequent to the end of the PTE 95–87 (i.e., the current individual obligation under this agreement within five year period. exemption for Leases) have been ten days of receipt of written notice satisfied and will continue to be from the Plan’s independent fiduciary; Summary of Facts And Representations satisfied with respect to future (3) abandonment of the equipment by 1. The Plan is a profit sharing plan purchases by the Plan of Leases. The the lessee; (4) the lessee’s cessation of which currently has 502 participants applicant specifies that the conditions business; (5) the commencement of any and assets with an approximate of PTE 95–87 have been satisfied in the proceeding in bankruptcy, receivership aggregate fair market value of following manner: or insolvency or assignment for the $34,303,504. Rust, which does business (a) Prior to the purchase of any Lease, benefit of creditors by the lessee; (6) as ‘‘Rust Tractor Co.’’ in Albuquerque, the transaction has been reviewed by false representation by the lessee as to New Mexico, is in the business of Mr. Charles R. Seward, C.P.A., an its credit or financial standing; (7) selling heavy construction equipment. independent certified public accountant attachment or execution levied on The Plan’s trustee is Wells Fargo Bank who is the Plan’s independent fiduciary lessee’s property; or (8) use of the New Mexico, N.A. (the Bank). with respect to this series of equipment by third parties without 2. On April 3, 1985, the Department transactions. Mr. Seward performs no lessor’s prior written consent. published Prohibited Transaction Class other services for either Rust or the F. The Plan receives adequate security Exemption 85–68 (PTE 85–68, 50 FR Plan. On-going review of the for the Lease. For purposes of this 13293) which permits, under certain performance of the customer-obligor is exemption, the term adequate security conditions, a plan to purchase and hold performed by the Bank, the Plan’s means that the Lease is secured by a customer notes from an employer of independent trustee. In the event that a perfected security interest in the leased employees covered by the plan. The default in payment occurs, Rust is property which will name the Plan as applicant represents that the Plan has notified by the Bank and an immediate the secured party. acquired and held many such customer repurchase is effected for cash; G. Insurance against loss or damage to notes (i.e., the Notes) from Rust since (b) The transactions have been on the leased property from fire or other 1985 in compliance with the terms and terms at least as favorable to the Plan as hazards is procured and maintained by conditions of PTE 85–68.9 an arm’s-length transaction with an 3. In addition to the Notes, the Plan unrelated party. The Plan’s independent 7 According to section 3(26) of the Act, the term also acquired from Rust, from December fiduciary, Mr. Seward, has represented ‘‘current Value’’ means fair market value where 30, 1985 through September 21, 1995, that each transaction that he has available and otherwise the fair market value as approximately 76 Leases. These Leases approved for the Plan involving a Note determined in good faith by a trustee or a named are secured leases which were accepted fiduciary pursuant to the terms of the plan and in or Lease has been in the best interests accordance with regulations of the Secretary [of by Rust in the normal course of its of the Plan and its participants. Mr. Labor], assuming an orderly liquidation at the time Seward further represents that each of such determination. 9 In this proposed exemption, the Department 8 ‘‘Payout value’’ of a Lease is defined as the price expresses no opinion with respect to the such transaction has been for a price that the lessee would pay at any point in time to applicability of PTE 85–68 to the Plan’s acquisition and on terms and conditions no less obtain title to the leased property. and holding of such Notes. favorable to the Plan, and in many

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57396 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices respects more favorable, than such (c) Upon default, Rust may accelerate 2570, Subpart B (55 FR 32836, 32847, transactions have in the past been the lessee/purchaser’s obligations and August 10, 1990.) If the exemption is engaged in between Rust and third party immediately regain possession of the granted, the sanctions resulting from the financial institutions. Mr. Seward subject equipment; application of section 4975 of the Code, represents that due to the high rate of (d) In the event of default under either by reason of section 4975(c)(1)(A) return on these Notes/Leases, they are transaction, Rust is entitled to its through (E) of the Code, shall not apply excellent investments which bear no enforcement costs, including reasonable to the proposed sale of certain risk of loss since Rust has guaranteed attorneys’ fees; unimproved real property (the Land) by the repurchase of any Note/Lease which (e) Both types of transactions contain the Plan to Richard E. Lobenherz (Mr. might default; warranty disclaimers and sell/lease the Lobenherz), a disqualified person with (c) At no time has the value of the subject equipment ‘‘AS IS WHERE IS’’ respect to the Plan,10 provided that the Notes/Leases held by the Plan with no express or implied warranties following conditions are satisfied: approached 50% of the Plan’s assets. In except the pass-through of the (a) The proposed sale will be a one- accordance with PTE 95–87, less than manufacturer’s warranties; time transaction for cash; 25% of the Plan assets has been and will (f) When either a Note or a Lease is (b) The Plan will receive the current be involved in these transactions. As of sold to the Plan, an identical form of fair market value for the Land December 31, 1999, the Notes/Leases guarantee is executed by Rust in favor established at the time of the sale by a comprised only 4.1% of the Plan’s of the Plan as required by PTE 85–68. qualified, independent appraiser; assets. At no time have the Notes/Leases In the few transactions involving Notes (c) The Plan will pay no real estate of any one customer exceeded 10% of sold to the Plan which have gone into expenses or commissions associated the Plan’s assets. With respect to Notes default (prior to the issuance by the with the sale; and Department of PTE 95–87), Rust has and Leases acquired by the Plan (d) The sale will provide the Plan performed under its guarantees and the subsequent to the publication of this with greater liquidity and further Plan has suffered no loss; proposed exemption, the applicant diversification of the Plan’s assets. (g) Under New Mexico law, there is represents that the value of such Notes no practical difference in the rights and Summary of Facts and Representations and Leases in the aggregate will obligations of Rust between the subject 1. The Plan, which was originally constitute no more than 25% of the total Lease transactions and sales known as the ‘‘Richard E. Lobenherz value of Plan assets. At no time will the transactions involving Notes. The Keogh Plan’’ (the Keogh Plan), was Notes/Leases of any one customer essential terms and conditions of the established on April 5, 1986 by Mr. exceed 10% of the Plan’s assets. two types of transactions are identical. Lobenherz, who was the sole sponsor, (d) Rust will continue to guarantee 7. In summary, the applicant trustee and participant. In 1991, the immediate repayment of any defaulted represents that the proposed sales of the Keogh Plan was converted and restated obligation. The applicant represents that Leases by the Employer to the Plan will as the current Plan. At the time of there have been zero defaults of the meet the requirements of section 408(a) conversion, Mr. Lobenherz flied an Leases since the issuance of PTE 95–87; of the Act, because: (a) The sales will be application with the Internal Revenue (e) The Plan will continue to receive limited to a five year period and will be Service (the Service) and subsequently a perfected security interest in the limited to 25% of Plan assets, with the obtained a Favorable Determination tangible personal property purchased additional condition that no more than Letter from the Service with respect to from Rust in return for the Note/Lease; 10% of Plan assets can be invested in the qualifications of the current Plan. (f) The obligor is required to insure the Leases or Notes of any one customer; 2. As of December 31, 1999, the Plan the collateral against fire and other (b) the decision to purchase a Lease will had $786,209 in net assets available for hazards; and be made by Mr. Seward acting as benefits. Mr. Lobenherz is the sponsor, (g) None of the terms of the Notes/ independent fiduciary for the Plan, and trustee, and the only participant in the Leases will extend beyond the 60 month the customer/obligor’s performance Plan. He is also a sole proprietor, who period applicable to Notes secured by under the Lease will be monitored by is an independent contractor and real heavy equipment. Mr. Seward and the Bank on behalf of estate broker licensed in the State of 6. The applicant represents that the the Plan; (c) perfected security interests Michigan. Recently, Mr. Lobenherz Leases create essentially the same risk will be filed on the equipment related retained an independent party, Citizens and obligations on the parties as a sale to each Lease; and (d) Rust will agree to Bank and Trust (CBT) of Saginaw, transaction, and thus pose no greater indemnify the Plan against any loss Michigan, to serve as the Plan’s risk of loss to the Plan than in the case related to the Leases and to repurchase custodian, trustee and investment of the acquisition of a Note which is any Leases that are in default. manager. subject to PTE 85–68. To date, the Plan FOR FURTHER INFORMATION CONTACT: Mr. 3. In May of 1998, the Plan purchased has suffered no loss on any of the Gary Lefkowitz of the Department, the Land from the Bruce K. Shanahan subject Lease transactions. Before telephone (202) 219–8881. (This is not Trust, an unrelated third party, for entering into either a Note or Lease, a toll-free number.) $60,000 in cash. The Land was acquired Rust performs the same type of due by the Plan for capital appreciation diligence and requests the same type of Richard E. Lobenherz Profit Sharing purposes and it was considered by Mr. financial information from the Plan (the Plan), Located in Charlevoix, Lobenherz to be a good long-term prospective purchaser/lessee. The Michigan investment. The Land consists of agreements governing the transactions [Application No. D–10895] approximately 80 acres of vacant are very similar in that: Proposed Exemption (a) Both transactions provide for 10 Because Mr. Lobenherz is the sole owner of the monthly installments to pay for the use The Department is considering Plan sponsor and the only participant in the Plan, and possession of the equipment; granting an exemption under the there is no jurisdiction under Title I of the Employee Retirement Income Security Act of 1974 (b) Financing statements are filed by authority of section 4975(c)(2) of the (the Act) pursuant to 29 CFR 2510.3–3(b). However, Rust in connection with both Code and in accordance with the there is jurisdiction under Title II of the Act transactions; procedures set forth in 29 CFR Part pursuant to section 4975 of the Code.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00088 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57397 agricultural land that is located in Hayes above the fair market value of the Land at (202) 219–8883. (This is not a toll-free Township, Charlevoix County, is merited for purposes of a sale of the number.) Michigan. The Land is legally described Land to Mr. Lobenherz. I.B.E.W. LU 567 Electrical Joint as: By letter dated June 28, 2000, Mr. Smith stated that he was aware that the Apprenticeship and Training Trust ‘‘That portion of the west 1⁄2 of the Fund (the Training Plan) and Money 1 Appraisal was being submitted by the northwest ⁄4 of Section 17, Town 34 North, applicant to the Department as part of Purchase Retirement Plan of Local 567, Range 7 West, lying North of U.S.-31, and I.B.E.W (the M/P Plan) (collectively, the also; that part of the Northwest 1⁄4 of the the exemption request described herein. Plans), Located in Falmouth, MA Southwest 1⁄4 of Section 17, Town 34 North, In that letter, Mr. Smith also indicated Range 7 West, lying north of Highway U.S.- that the value of the Land had not [Application Nos. L–10906 and D– 31.’’ changed since his original valuation. 10907, respectively.] 6. CBT, as the Plan’s newly appointed The Land is adjacent to Big Rock Proposed Exemption Nuclear Power Plant, which is presently custodian, trustee and investment in the second year of a five year manager, has requested that the Plan The Department is considering decommissions program, and the divest itself of the Land because it is granting an exemption under the Charlevoix Country Club (the Club), of non-income producing. Therefore, the authority of section 408(a) of the Act (or which Mr. Lobenherz is a 15% applicant requests an administrative ERISA) and section 4975(c)(2) of the shareholder.11 At the time of purchase, exemption from the Department which Code and in accordance with the the Land represented approximately will allow Mr. Lobenherz to purchase procedures set forth in 29 CFR Part 15% of the Plan’s total assets. As of the Land from the Plan in a one-time 2570, Subpart B (55 FR 32836, 32847, December 31, 1999, the Land cash transaction. The applicant August 10, 1990.) If the exemption is represented approximately 8.9% of the represents that the proposed transaction granted, the restrictions of sections total value of the Plan’s assets. will be in the best interest and 406(a), 406(b)(1) and (b)(2) of the Act 4. The applicant represents that the protective of the Plan because the Plan and the sanctions resulting from the Land has not produced any income will pay no real estate commissions or application of section 4975 of the Code, since it was acquired by the Plan. In expenses (including transfer taxes) by reason of section 4975(c)(1)(A) addition, the applicant states that the associated with the sale. In addition, through (E) of the Code, shall not apply, Land has not been used by or leased to Mr. Lobenherz will pay the Plan the effective August 31, 2000, to the leases anyone, including disqualified persons. current fair market value of the Land, as (the Leases) of certain office space and Furthermore, the Plan has paid determined by Mr. Smith in an updated supplemental facilities (the Leased aggregate real estate taxes for the Land appraisal at the time of the sale. Further, Space) to the Plans by Local 567 in the total amount of $3,112.45. The the sale of the Land will increase the I.B.E.W. Building Corporation (the Plan also paid $300 for one appraisal, liquidity of the Plan’s portfolio, provide Building Corporation), an entity which which was dated February 8, 2000 (the the Plan with the opportunity to is wholly owned by Local 567 of the Appraisal), as discussed below. reinvest the proceeds of the sale in International Brotherhood of Electrical Therefore, the Plan’s total acquisition investments that will yield greater Workers (the Union), a party in interest and holding costs in connection with its returns, and permit greater with respect to the Plans, provided that ownership of the Land is $63,412.45. diversification of the Plan’s assets. the following conditions are satisfied: 5. The Land was appraised as of 7. In summary, the applicant (1) The terms of the Leases are at least February 8, 2000 (i.e., the Appraisal), by represents that the proposed transaction as favorable to the Plans as those A. Kenneth Smith (Mr. Smith), GRI, will satisfy the statutory criteria for an obtainable in an arm’s length who is an independent state certified administrative exemption under section transaction with an unrelated party; real estate appraiser in the State of 4975(c)(2) of the Code because: (2) A qualified, independent appraiser Michigan. Mr. Smith is employed with (a) The proposed sale will be a one- determines annually the fair market Mid-Michigan Engineering & Survey time transaction for cash; rental value of the Leased Space; (b) The Plan will receive the current Co., a real estate appraisal and (3) The Lease payments are adjusted fair market value for the Land consultation business located in Big annually by an independent fiduciary to established at the time of the sale by a Rapids, Michigan. assure that such Lease payments are not qualified, independent appraiser; In determining the fair market value greater than the fair market rental of the of the Land, Mr. Smith relied primarily (c) The Plan will pay no real estate expenses or commissions associated Leased Space. The Lease payments are on the Sales Comparison Approach. On reduced, if the fair market rental value, the basis of the Appraisal, Mr. Smith with the sale; and (d) The sale will provide the Plan as determined by the independent placed the fair market value of the Land with greater liquidity, an opportunity to fiduciary, decreases; at $70,000, as of February 8, 2000. The achieve greater investment returns, and (4) An independent fiduciary applicant represents that Mr. Smith will permit further diversification of the determines that the transactions are maintains that the Land’s adjacency to Plan’s assets. appropriate for the Plans and in the best the Club does not merit a premium interest of the Plans’ participants and above fair market value. In this regard, Notice to Interested Persons beneficiaries; Mr. Smith considered, among other Because Mr. Lobenherz is the sole (5) The independent fiduciary things, that the Club passed on the participant in the Plan, it has been monitors the terms of the transactions opportunity to acquire the Land at an determined that there is no need to and conditions of this exemption, if earlier time, and also the Club is not in distribute the notice of proposed granted, at all times, and takes whatever the financial position to expand. Thus, exemption to interested persons. actions are necessary and proper to even though Mr. Lobenherz is a 15% Comments and requests for a hearing are enforce the Plans’ rights under the shareholder of the Club, no premium due thirty (30) days from the date of Leases and protect the participants and publication of the notice of proposed beneficiaries of the Plans. (Such 11 It is represented that the Club has nine other exemption in the Federal Register. independent fiduciary duties also shareholders aside from Mr. Lobenherz. These shareholders are not related to Mr. Lobenherz or the FOR FURTHER INFORMATION CONTACT: include, but are not limited to, Plan. Ekaterina A. Uzlyan of the Department negotiating any required amendments to

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57398 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices the Leases on behalf of the Plans to Employer Trustees for the M/P Plan are been promulgated thereunder (see 29 make certain the terms of the Leases are Mr. Driscoll, David Bradbury and John CFR 2550.408b–2). commercially reasonable.); and Penney. The Employer Trustees are not Moreover, the applicants believe that (6) The annual fair market rental affiliated either with the Union or the the other space in Building II, which has amount for the Leased Space will not Building Corporation. been used by the Training Plan for exceed 5% of each of the Plan’s total 4. The applicants represent that the training-related purposes, is covered by assets. Training Plan required space for its Prohibited Transaction Class Exemption EFFECTIVE DATE: If granted, this proposed administrative offices and training (PTCE) 78–6 (43 FR 23024, May 30, exemption will be effective as of August facilities. Similarly, the M/P Plan also 1978). PTCE 78–6 permits certain lease 31, 2000. required office space for its transactions involving collectively bargained multiple employer Summary of Facts and Representations administrative personnel. Therefore, on August 31, 2000, the Building apprenticeship and training plans, 1. The Training Plan, which operates Corporation acquired a 10 year old two- provided the conditions therein are under a formal Trust Agreement dated unit warehouse building (Building I) met.12 January 1, 1994, is a collectively- from Atlantis Development Building 7. The applicants state that the bargained multi-employer joint Corporation (Atlantis), an unrelated Training Plan wished to relocate and apprenticeship training plan. The party, for $425,000. Building I is located consolidate its office space and training Training Plan is sponsored by the at 238 Goddard Road, Lewiston, Maine. facilities in one location. Previously, members of the Electrical Contractors It was purchased by the Building training and educational classes were Association of Greater Boston Inc.— Corporation as a replacement for held in rented facilities over the entire Portland, Maine Division of the Boston another building located at 240 Gray State of Maine, and such programs were Chapter, N.E.C.A. (the Employers), Road, Falmouth, Maine (Building II), constrained by the time and space which have negotiated the collective which the Building Corporation intends limitations of such facilities. Therefore, employment contract with the Union. to sell to an unrelated party by the applicants believed that Building I, The Training Plan provides training and September 30, 2000. rather than Building II, would provide educational benefits to electrical a central geographic location for the 5. The applicants state that both Plans apprentices and journeymen. Such Training Plan’s administrative offices currently occupy space in Building II, benefits are funded by contributions and training facilities. which also houses administrative offices made by the Employers to the Training Similarly, the applicants note that the of the Union and serves as the Union Plan, pursuant to certain collective M/P Plan required additional meeting hall. The applicants note that bargaining agreements between the administrative office space. Thus, Union and the Employers. As of August the M/P Plan’s use of Building II is the Building I’s central geographic location 31, 1999, the Training Plan had 87 subject of a prior administrative and proximity to other Union facilities participants and $178,149 in net assets exemption granted by the Department and services used by participants in the available for benefits. which is known as Prohibited M/P Plan were thought by the 2. The M/P Plan, which was Transaction Exemption (PTE) 94–16, (59 applicants to make it an ideal location established on June 1, 1981, is a defined FR 8027, February 17, 1994). PTE 94–16 for office space for such Plan. contribution, participant-directed plan permits, in relevant part, the leasing of Therefore, the applicants request an that is sponsored by the Employers. The 360 square feet of office space in administrative exemption from the M/P Plan provides retirement benefits Building II by the Building Corporation Department to permit, effective August that are funded by contributions made to the M/P Plan. The applicants state 31, 2000, the Leases, by the Building by the Employers pursuant to certain that although the Lease would Corporation to the Plans, of certain collective bargaining agreements constitute the payment by the M/P Plan office space and supplemental facilities between the Union and the Employers. for office space to a party in interest space (i.e., the Leased Space) in As of August 31, 1999, the M/P Plan had within the meaning of section 408(b)(2) Building I. The applicants represent that 564 participants, all of whom are of the Act and the lease would the participation by the Union Trustees members of the Union. As of March 31, otherwise meet the requirements of 29 for both plans in the decision to have 1999, the M/P Plan had $14,570,601 in CFR 2550.408b–2, and be statutorily the respective Plans engage in the net assets available for benefits. exempt from section 406(a) of the Act, Leases does not permit that portion of 3. The Training Plan is administered further exemptive relief was required the Leased Space between the Plans and by six trustees (the Trustees), three of because the Union Trustees of the M/P the Building Corporation pertaining to whom are appointed by the Union Plan participated in the decision to have office space from otherwise meeting the (Union Trustees) and three of whom are the M/P Plan engage in the Lease in requirements of section 408(b)(2) of the appointed by the Employers (the violation of section 406(b)(2) of the Act. Act and the Department’s regulations Employer Trustees). The Union Trustees The applicants represent that the M/P relating thereto. The applicants explain with respect to the Training Plan are Plan has complied with all of the terms that the Trust documents for the Plans Milton McBreairty (Mr. McBreairty), and conditions of PTE 94–16 since the require that a majority of the Plans’ John Stevens and Kevin Murphy. The exemption was granted. Trustees, which includes at least one Employer Trustees for the Training Plan 6. In addition, the applicants explain Union Trustee from each Plan, vote to are Thomas Driscoll (Mr. Driscoll), that the Training Plan leased office cause the Plans to enter into any Mario Gowell and Steve Stewart. The space in Building II from the Building transaction, such as the subject Leases. Employer Trustees are not affiliated Corporation and state that the Training However, if the Union Trustees for both with either the Union or the Building Plan used certain other space for Corporation. training-related purposes. The 12 The Department expresses no opinion herein The M/P Plan is also administered by applicants represent that the Training on whether the Training Plan’s leasing or use of three Union Trustees and three Plan’s leasing of office space in Building space in Building II has complied with the conditions required under PTCE 78–6 or provisions Employer Trustees. The Union Trustees II satisfies the requirements for statutory of section 408(b)(2) of the Act. The Department for the M/P Plan are Mr. McBreairty, exemptive relief under section 408(b)(2) notes that the appropriate Training Plan fiduciaries Donald Berry and Gene Ellis. The of the Act and the regulations that have must make such determinations.

VerDate 112000 21:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm01 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57399

Plans exercise their fiduciary authority transaction with an unrelated party. lease with Atlantis on September 1, to cause the Plans to enter into the Further, the Leases may be terminated 1999 for a five year term. This lease, Leases, the applicants state that the by the Plans without penalty, on sixty which was terminated when the transactions may violate section days prior written notice to the Building Building Corporation purchased 406(b)(2) of the Act because of the Corporation, should any provision of Building I from Atlantis on August 31, adverse interests of the Plans and the such Leases become disadvantageous to 2000, required the Building Corporation Building Corporation. the Plans. to pay Atlantis $4.50 per square foot in Again, the Department expresses no In addition, the Leases contain rent and it contained a 3% escalator opinion herein on whether each Lease specific provisions designed to be provision for increasing the rental constitutes the payment by a plan for beneficial to the Plans, such as the amount each year. The Building office space to a party in interest under tenant’s right to a ten-day written notice Corporation was also responsible for circumstances which would be of payment default, and the tenant’s paying its pro rata share of the common statutorily exempt from the prohibitions right to take action on behalf of the area expenses. of section 406(a) of the Act by reason of defaulting landlord and set off such In the Study, Mr. Diskin concluded section 408(b)(2) of the Act. costs against the rent. The applicants that as of October 6, 1999, the current 8. The Training Plan is initially note that these conditions cannot be fair market rent for space in Building I leasing 1,949 square feet of space in obtained in the open market without under a triple net lease would range Building I from the Building having to pay a higher rental to reflect between $4.25 and $4.50 per square Corporation. However, it is anticipated the increased costs and risks to the foot. that upon the termination of an landlord. 11. The Trustees of each Plan have unrelated third party’s lease in Building 10. On October 12, 1999, Brian D. also retained Maineland to serve as the I on June 30, 2001, the Training Plan Diskin (Mr. Diskin), a Certified General independent fiduciary for the Plans in will expand and reconfigure part of Appraiser, who is employed by connection with the subject Leases. On Building I so that the Training Plan will Maineland Appraisal Consultants of October 25, 1999, the Plans’ Trustees have 8,600 square feet for office space Portland, Maine (Maineland) as an signed a Fiduciary Engagement and training facilities. independent commercial real estate Agreement (the Agreement) with The M/P Plan is initially leasing 400 appraiser, completed a competitive Maineland whereby Maineland agreed square feet of space in Building I for its rental market study of Building I (the to: (a) Evaluate the fair market rental administrative offices. It is also Study). As stated above, Building I was value of Building I; (b) review, on behalf anticipated that this Plan will lease an constructed at its present location (i.e., of the Plans, the provisions of each additional 800 square feet in Building I 238 Goddard Road, Lewiston, Maine) in Lease (and any proposed amendments for its administrative offices once 1990, and it consists of a manufacturing thereto), and make a determination and certain unrelated third parties terminate warehouse containing two units. recommendation to the Trustees their respective leases in Building I. Mr. Diskin relied on the Market whether such Leases would be in the 9. Both the Training Plan Trustees Comparison Approach to determine the best interest and protective of the Plans; and the M/P Plan Trustees negotiated fair market rental value of Building I. and (c) monitor the Lease transactions at with the Building Corporation the Mr. Diskin considered rental amounts least annually (or more frequently, upon respective leasing agreements for their being charged for other warehouse/ written request by a Trustee) to ensure Plans. In this regard, each Lease is a industrial properties in the same that the rental amounts for the Leased triple-net lease having an initial term of geographic area as Building I, and he Space remain at fair market rental for a five years which commenced on determined that the market rents for Building I, and the Leases continue to August 31, 2000, and two consecutive such properties there ranged from $4 to be protective and in the best interest of five year renewal terms. Rent is being $6 per square foot, depending upon the Plans. paid monthly in advance under the such factors as location, size and utility In the Agreement, Maineland states Leases, and will equal the fair market of the particular facility. that it has been advised by legal counsel rental value of the Leased Space as In the Study, Mr. Diskin noted that regarding its fiduciary obligations under determined by a qualified, independent there were two tenants in Building I: RF ERISA, and it understands and accepts appraiser. Currently, the Leases specify Technologies (RF) 13 and the Building its duties as an ERISA fiduciary on that the Training Plan will pay $730.09 Corporation, both of which leased space behalf of the Plans with respect to the per month ($8,761 per year) in rent and from Atlantis, the former owner, until Leases. the M/P Plan will pay $150 per month the August 31, 2000 sale of Building I 12. In a letter dated December 16, ($1,800 per year) in rent. These monthly to the Building Corporation. Mr. Diskin 1999, Frank R. Montello, the president rentals reflect the values prior to the explained that RF’s original lease, of Maineland (Mr. Montello), has made reconfiguration. The rental amounts will which commenced on April 4, 1994, specific representations regarding be increased following the was in its fourth renewal period, which Maineland’s functions as the Plans’ reconfiguration. is set to expire on June 30, 2001. Mr. independent fiduciary for the Leases. The applicants represent that the Diskin indicated that RF’s lease Mr. Montello states that Maineland is annual fair market rental amount under provides for a rental payment of $4.25 completely independent of the Plans, the Leases will involve approximately per square foot. In addition, he the Union, the Employers and other one percent (1%) of the M/P Plan’s total explained that this lease is triple net entities affiliated with the Plans. Mr. assets and less than five percent (5%) of and requires RF to pay its pro rata share Montello also states that the fees the Training Plan’s total assets. of common area expenses. received by Maineland will not exceed However, in no event will the annual Mr. Diskin also noted that the one percent (1%) of Maineland’s annual fair market rental amount for the Leased Building Corporation had entered into a gross income (including all appraisal Space exceed five percent (5%) of each fees) for each fiscal year that Maineland Plan’s total assets. 13 The applicants state that RF, a manufacturing acts as the Plans’ independent fiduciary business that currently occupies approximately Other terms of the Leases will be at one-half of Building I, is not a party in interest with for the Leases. least as favorable to the Plans as the respect to either Plan, and is otherwise unrelated to Based on the Study completed by Mr. terms obtainable in an arm’s length the Plans, the Employers and the Union. Diskin (described in paragraph 10

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57400 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices above), Mr. Montello has deemed the the future to appoint the Successor to General Information Leases to be administratively feasible, replace Maineland, the applicants will protective of the Plans and in the best notify the Department sixty (60) days in The attention of interested persons is interest of the Plans. In this regard, advance of the appointment of the directed to the following: under the terms of the Leases, the Plans Successor. Any Successor will have the (1) The fact that a transaction is the have the right to terminate the Leases responsibilities, experience and subject of an exemption under section upon sixty (60) days advance written independence similar to those of 408(a) of the Act and/or section notice to the Building Corporation. Such Maineland. 4975(c)(2) of the Code does not relieve termination will be without penalty. 14. In summary, the applicants a fiduciary or other party in interest or Mr. Montello states that the represent that the transactions satisfy disqualified person from certain other Agreement requires Maineland to the statutory criteria for an exemption provisions of the Act and/or the Code, reevaluate the terms of the Leases upon under section 408(a) of the Act because: a written request from the Plans’ (a) The terms of the Leases are at least including any prohibited transaction Trustees. After reconfiguration of the as favorable to the Plans as those provisions to which the exemption does spaces in Building I, Maineland will obtainable in an arm’s-length not apply and the general fiduciary evaluate the fairness of the rental transaction with an unrelated party; responsibility provisions of section 404 amounts and the commercial (b) Maineland, as the Plans’ of the Act, which, among other things, reasonableness of the Leases to ensure independent fiduciary, has determined require a fiduciary to discharge his that the Plans’ interests continue to be and will make subsequent duties respecting the plan solely in the protected under the terms of the Leases. determinations, whenever appropriate, interest of the participants and The applicants maintain that the that the terms and conditions of the beneficiaries of the plan and in a reconfiguration cost for the space is Leases are in the best interest and prudent fashion in accordance with anticipated to be nominal (i.e., no more protective of the Plans; section 404(a)(1)(b) of the Act; nor does than a few thousand dollars). (c) The fair market rental amount of it affect the requirement of section 13. The Agreement requires Building I and the Leased Space has 401(a) of the Code that the plan must Maineland to reevaluate any proposed been determined and will be operate for the exclusive benefit of the amendment to a Lease. In a second letter determined by a qualified, independent employees of the employer maintaining to the Department dated June 13, 2000, appraiser; the plan and their beneficiaries; Mr. Montello has confirmed that the (d) The annual fair market rental Agreement gives Maineland, as the amount for the Leased Space does not (2) Before an exemption may be independent fiduciary, authority to take exceed and will not exceed 5% of each granted under section 408(a) of the Act any actions which may be necessary to of the Plan’s total assets; and and/or section 4975(c)(2) of the Code, protect the interest of the Plans and the (e) Maineland, as the independent the Department must find that the Plans’ participants and beneficiaries fiduciary, has monitored and will exemption is administratively feasible, with respect to the Lease transactions. continue to monitor the terms and in the interests of the plan and of its This authority includes directing the conditions of the Leases, at all times, participants and beneficiaries, and amendment or termination of either and will take whatever actions are protective of the rights of participants Lease, if Maineland, as the independent necessary and proper to enforce the and beneficiaries of the plan; Plans’ rights thereunder. fiduciary, determines that the terms of (3) The proposed exemptions, if such Leases cease being commercially Notice To Interested Persons granted, will be supplemental to, and reasonable for the Plans. Mr. Montello states that these provisions in the The applicants represent that they not in derogation of, any other Agreement will protect each Plan’s will distribute, by first class mail, a provisions of the Act and/or the Code, interests in the event that the Building copy of the notice of pendency of this including statutory or administrative Corporation wishes to amend the Lease proposed exemption (the Notice) within exemptions and transitional rules. or adjust the amount of rent charged seven (7) days of the date such Notice Furthermore, the fact that a transaction after the necessary space in Building I is published in the Federal Register. is subject to an administrative or is reconfigured. Such Notice will be given to all statutory exemption is not dispositive of However, the applicants represent, interested persons, including all whether the transaction is in fact a and Maineland will ensure, that the participants in the Plans, all employees prohibited transaction; and in the Plans, and all Union members. rents paid by the Plans for the Leased (4) The proposed exemptions, if The distribution to interested persons Space will remain at an amount equal granted, will be subject to the express shall include a copy of the Notice, as to the fair market value of the Leased condition that the material facts and Space. In addition, the annual fair published in the Federal Register, and representations contained in each market rental amount paid by the Plans a supplemental statement, as required application are true and complete, and for the Leased Space will, at no time, pursuant to 29 CFR 2570.43(b)(2), which exceed 5% of each Plan’s total assets, shall inform interested persons of their that each application accurately and will not adversely affect either right to comment on and/or request a describes all material terms of the Plan’s ability to make necessary hearing with respect to the proposed transaction which is the subject of the payments for benefits or expenses exemption. exemption. required under the terms of the Plans. Comments and requests for a public Signed at Washington, DC, this 18th day of Maineland represents that it will hearing with respect to the proposed September, 2000. direct the Trustees whether the Plans exemption are due within thirty-seven Ivan Strasfeld, should either terminate or renew the (37) days following the publication of the Notice in the Federal Register. Director of Exemption Determinations, Leases for each five year extension Pension and Welfare Benefits Administration, period. In this regard, the applicants FOR FURTHER INFORMATION CONTACT: U.S. Department of Labor. make a request regarding a successor Ekaterina A. Uzlyan of the Department, [FR Doc. 00–24387 Filed 9–21–00; 8:45 am] independent fiduciary (the Successor). telephone (202) 219–8883. (This is not Specifically, if it becomes necessary in a toll-free number). BILLING CODE 4510±29±P

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57401

DEPARTMENT OF LABOR NATIONAL AERONAUTICS AND NATIONAL AERONAUTICS AND SPACE ADMINISTRATION SPACE ADMINISTRATION Pension and Welfare Benefits Administration [Notice 00±114] [Notice 00±116] [Prohibited Transaction Exemption 2000± NASA Advisory Council (NAC), Space 45; Exemption Application Nos. D±10809 NASA Advisory Council, Life and Science Advisory Committee (SScAC), and D±10865] Microgravity Sciences and Astronomical Search for Origins and Applications Advisory Committee, Planetary Systems (ORIGINS); Grant of Individual Exemption to Meeting Subcommittee Meeting Amend and Replace Prohibited Transaction Exemption (PTE) 99±15, AGENCY: National Aeronautics and AGENCY: National Aeronautics and Involving Salomon Smith Barney Inc. Space Administration. Space Administration. (Salomon Smith Barney), Located in ACTION: Notice of meeting. ACTION: Notice of meeting. New York, NY SUMMARY: In accordance with the SUMMARY: In accordance with the AGENCY: Pension and Welfare Benefits Federal Advisory Committee Act, Pub. Federal Advisory Committee Act, Pub. Administration, U.S. Department of L. 92–463, as amended, the National L. 92–463, as amended, the National Labor (the Department). Aeronautics and Space Administration Aeronautics and Space Administration ACTION: Notice of Technical Correction. announces a meeting of the NASA announces a forthcoming meeting of the On September 7, 2000, the Advisory Council, Life and Microgravity NASA Advisory Council, Space Science Department published in the Federal Sciences and Applications Advisory Advisory Committee ORIGINS Register (65 FR 54315) a final Committee. Subcommittee. DATES: exemption which amends and replaces DATES: Thursday, October 19, 2000, 10 Monday, October 16, 2000, 8:30 PTE 99–15 (64 FR 1648, April 5, 1999), a.m. to 5 p.m.; and Friday, October 20, a.m. to 5 p.m.; Tuesday, October 17, an exemption granted to Salomon Smith 2000, 8 a.m. to 12 Noon. 2000, 8:30 a.m. to 5 p.m. Barney. PTE 99–15 relates to the ADDRESSES: National Aeronautics and ADDRESSES: National Aeronautics and operation of the TRAK Personalized Space Administration, 300 E Street, Space Administration Headquarters, 300 Investment Advisory Service product SW., Conference Room 7H46, E Street, SW., MIC–3, Room 3H46, (the TRAK Program) and the Trust for Washington, DC, 20546. Washington, DC 20546. Consulting Group Capital Markets FOR FURTHER INFORMATION CONTACT: Dr. Funds (the Consulting Group). FOR FURTHER INFORMATION CONTACT: Dr. Anne L. Kinney, Code S, National On page 54316 of the grant notice, the Stephen C. Davison, Code UG, National Aeronautics and Space Administration, last sentence of the third paragraph of Aeronautics and Space Administration, Washington, DC 20546, 202/358–2150. the SUPPLEMENTARY INFORMATION, Washington, DC 20546, 202/358–0647. SUPPLEMENTARY INFORMATION: The erroneously refers to an effective date of SUPPLEMENTARY INFORMATION: The meeting will be open to the public up July 10, 2000 with respect to Section meeting will be open to the public up to the capacity of the room. The agenda III(d) of the grant notice. Thus, the to the seating capacity of the room. The for the meeting includes the following sentence should be revised to read as agenda for the meeting is as follows: topics: follows: • Action Status • Progress with Space Interferometry The Final Exemption is effective as of • OLMSA Performance Against FY Mission April 1, 2000 with respect to the 2000 Targets • Finder Program amendments to Sections II(i) and III(b) of the • Space Studies Board Update • Nexus grant notice and the inclusion of new Section • • Origins Technology III(d) of the grant notice. Status of ISS Program • • Update on Alpha Magnetic Large Binocular Telescope It is imperative that the meeting be Also on page 54316 of the grant Spectrometer notice, clause (c) of Footnote 1, should held on these dates to accommodate the • Radiation Health and Safety be revised as follows to describe more scheduling priorities of the key • ISS Non-Governmental accurately the purpose of the automated participants. Visitors will be requested Organization Status reallocation option: to sign a visitor’s register. • Overview of the Proposed New (c) adopted an automated reallocation Organization for Code U Dated: September 18, 2000. option under the TRAK Program which • Beth M. McCormick, would afford an Independent Plan Fiduciary Code U Research Plans • Subcommittee Reports Advisory Committee Management Officer, the option of having his or her asset National Aeronautics and Space allocation adjusted automatically whenever • Future LMSAAC Schedule Administration. the Consulting Group changes an allocation • Discussion of Committee Findings model; and Recommendations [FR Doc. 00–24400 Filed 9–21–00; 8:45 am] BILLING CODE 7510±01±P FOR FURTHER INFORMATION CONTACT: Ms. It is imperative that the meeting be Jan D. Broady of the Department at (202) held on this date to accommodate the 219–8881. (This is not a toll-free scheduling priorities of the key NATIONAL AERONAUTICS AND number.) participants. Visitors will be requested SPACE ADMINISTRATION to sign a visitor’s register. Signed at Washington, DC, this 18th day of September, 2000. Dated: September 18, 2000. [Notice 00±115] Ivan L. Strasfeld, Beth M. McCormick, NASA Advisory Council (NAC), Space Director of Exemption Determinations, Advisory Committee Management Officer, Science Advisory Committee (SScAC); Pension and Welfare Benefits Administration, National Aeronautics and Space Department of Labor. Administration. Meeting [FR Doc. 00–24388 Filed 9–21–00; 8:45 am] [FR Doc. 00–24402 Filed 9–21–00; 8:45 am] AGENCY: National Aeronautics and BILLING CODE 4510±29±M BILLING CODE 7510±01±P Space Administration.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57402 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

ACTION: Notice of meeting. Mechanical Systems, Room 545, (703) 292– Reason for Closing: The proposals being 8360. reviewed include information of a SUMMARY: In accordance with the Purpose of Meeting: To provide advice and proprietary or confidential nature, including Federal Advisory Committee Act, Pub. recommendations concerning Career technical information; financial data, such as L. 92–463, as amended, the National proposals submitted to NSF for financial salaries; and personal information Aeronautics and Space Administration support. concerning individuals associated with the Agenda: To review and evaluate announces a forthcoming meeting of the proposals. These matters are exempt under 5 nominations for the FY’01 Sensor U.S.C. 552b(c), (4) and (6) of the Government NASA Advisory Council, Space Science Technologies for Civil and Mechanical in the Sunshine Act. Advisory Committee, Astrobiology Task Systems Review Panel Career proposals as Force. part of the selection process for awards. Dated: September 19, 2000. DATES: Monday, October 30, 2000, 8:15 Date/Time: November 2–3, 2000; 8:00 a.m. Karen J. York, a.m. to 5:30 p.m.; and Tuesday, October to 5:00 p.m. Committee Manager Officer. 31, 2000, 8:15 a.m. to 5:30 p.m. Place: NSF, 4201 Wilson Boulevard, Room [FR Doc. 00–24404 Filed 9–21–00; 8:45 am] 530, Arlington, Virginia 22230. ADDRESSES: Ames Research Center, BILLING CODE 7555±01±M Building 3 Conference Center, Moffett Contact Person: Dr. Alison Flatau, Program Director, Dynamic Systems and Control, Field, CA. Sensor Technologies for Civil and FOR FURTHER INFORMATION CONTACT: Dr. Mechanical Systems, Room 545, (703) 292– NATIONAL SCIENCE FOUNDATION Anne Kinney, Code S, National 8360. Special Emphasis Panel in Aeronautics and Space Administration, Purpose of Meeting: To provide advice and Mathematical Sciences; Notice of Washington, DC 20546, 202/358–2150. recommendations concerning Career proposals submitted to NSF for financial Meeting SUPPLEMENTARY INFORMATION: The support. meeting will be open to the public up Agenda: To review and evaluate In accordance with the Federal to the capacity of the room. The agenda nominations for the FY’01 Dynamic Systems Advisory Committee Act (Pub. L. 92– for the meeting is as follows: and Control Review Panel Career proposals 463, as amended), the National Science • Astrobiology at NASA Status as part of the selection process for awards. Foundation announces the following • NAI Status and Science Reason for Closing: The proposals being meeting. reviewed include information of a • Astrobiology at Ames Name: Special Emphasis Panel in proprietary or confidential nature, including • NARL and the Ames Research Park Mathematical Sciences (1204). technical information; financial data, such as • Date/Time: February 15-17, 2001, 8 am— Technology NRA and ASTEP salaries and personal information concerning • 4:30 pm. Technology Plan for Mars and individuals associated with the proposals. Place: National Science Foundation, 4201 Beyond These matters are exempt under 5 U.S.C. Wilson Blvd, Rooms 1020 and 1060, • The New Mars Architecture 552b(c), (4) and (6) of the Government in the Arlington, VA. • Senior Review Process and Sunshine Act. Type of Meeting: Closed. Astrobiology • Dated: September 19, 2000. Contact Person: Harry Warchall, Program New Initiatives in AB. Director, National Science Foundation, 4201 It is imperative that the meeting be Karen J. York, Wilson Boulevard, Arlington, VA 22230. held on these dates to accommodate the Committee Management Officer. (701) 292–4861. scheduling priorities of the key [FR Doc. 00–24407 Filed 9–21–00; 8:45 am] Purpose of Meeting: To provide advice and participants. Visitors will be requested BILLING CODE 7555±01±M recommendations concerning proposals to sign a visitor’s register. submitted to NSF for finally support. Agenda: To review an evaluate proposals Beth M. McCormick, NATIONAL SCIENCE FOUNDATION concerning the Applied Partial Differential Advisory Committee Management Officer, Equations Panel as part of the selection National Aeronautics and Space Earth Sciences Proposal Review process for awards. Reason for Closing: The proposals being Administration. Panel; Notice of Meeting [FR Doc. 00–24401 Filed 9–21–00; 8:45 am] reviewed include information of a proprietary or confidential nature, including BILLING CODE 7510±01±P In accordance with the Federal Advisory Committee Act (Pub. L. 92– technical information; financial data, such as 463, as amended), the National Science salaries and personal information concerning individuals associated with the proposals. NATIONAL SCIENCE FOUNDATION Foundation announces the following These matters are exempt under 5 U.S.C. meeting. 552b(c), (4) and (6) of the Government in the Special Emphasis Panel in Civil and Name: Earth Sciences Proposal Review Sunshine Act. Mechanical Systems; Notice of Panel (1569). Meetings Date/Time: October 18–20, 2000; 8:30 a.m. Dated: September 19, 2000. to 5 p.m. Karen J. York, In accordance with the Federal Place: National Science Foundation, 4201 Committee Management Officer. Advisory Committee Act (Pub. L. 92– Wilson Blvd., Room 380, Arlington, VA. [FR Doc. 00–24408 Filed 9–21–00; 8:45 am] 463, as amended), the National Science Type of Meeting: Closed. BILLING CODE 7555±01±M Foundation announces the following Contact Person: Dr. Leonard E. Johnson, closed meetings of the Special Emphasis Program Director, Continental Dynamics Panel in Civil and Mechanical Systems Program, Division of Earth Sciences, Room 785, National Science Foundation, 4201 NATIONAL SCIENCE FOUNDATION (1205): Wilson Blvd., Arlington, VA 22230; Date/Time: October 27, 2000; 8:00 a.m. to Telephone: (703) 292–4749. Special Emphasis Panel in 5:00 p.m. Purpose of Meeting: To provide advice and Mathematical Sciences; Notice of Place: NSF, 4201 Wilson Boulevard, Room recommendations concerning proposals Meeting 530, Arlington, Virginia 22230. submitted to NSF for financial support. Contact Person: Dr. Alison Flatau, Program Agenda: To review and evaluate In accordance with the Federal Director, Dynamic Systems and Control, Continental Dynamics proposals as part of Advisory Committee Act (Pub. L. 92– Sensor Technologies for Civil and the selection process for awards. 463, as amended), the National Science

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57403

Foundation announces the following Dated: September 19, 2000. Date and Time: October 16, 17 and 18, meeting. Karen J. York, 2000, 8:30 a.m.–6 p.m. Place: NSF, Room 320, 4201 Wilson Blvd., Name: Special Emphasis Panel in Committee Management Officer. Arlington, Virginia. Mathematical Sciences (1204). [FR Doc. 00–24410 Filed 9–21–00; 8:45 am] Date/Time: March 8–10, 2001, 8:00 a.m.– Type of Meeting: Part-Open. BILLING CODE 7555±01±M 4:30 p.m. Contact Person: Dr. Sharman O’Neill, Place: National Science Foundation, 4201 Program Director, Integrative Plant Biology , Wilson Blvd, Rooms 1020 and 1060, Division of Integrative Biology and Arlington, VA. NATIONAL SCIENCE FOUNDATION Neuroscience, Room 685N, National Science Contact Person: Thomas Fogwell, Program Foundation, 4201 Wilson Boulevard, Director: (703) 292–4878. David Kopriva, Advisory Panel for Neuroscience; Arlington, VA 22230, Telephone: (703) 292– Program Director: (703) 292–4879. National Notice of Meeting 7888. Science Foundation, 4201 Wilson Boulevard, Purpose of Meeting: To provide advice and Arlington, VA 22230. In accordance with the Federal recommendations concerning proposals Purpose of Meeting: To provide advice and Advisory Committee Act (Pub. L. 92– submitted to NSF for financial support. recommendations concerning proposals 463, as amended), the National Science Minutes: May be obtained from the contact submitted to NSF for financial support. Foundation announces the following person listed above. Agenda: To review and evaluate proposals meeting: Agenda: Open Session: October 17, 2000, concerning the Fluid Dynamics Panel as part 4 p.m. to 5 p.m.—discussion on research Name: Advisory Panel for Neuroscience of the selection process for awards. trends, opportunities and assessment (1158). Reason for Closing: The proposals being procedures in Integrative Plant Biology. Date and Time: November 13–15, 2000; 8 reviewed include information of a Closed Session: October 16, 2000, 8:30 a.m. to 5 p.m. proprietary or confidential nature, including a.m.–6 p.m.; October 17, 2000, 8:30 a.m. to Place: Room 630, 4201 Wilson Boulevard, technical information; financial data, such as 4 p.m. and 5 p.m. to 6 p.m.; and October 18, Arlington, VA. salaries and personal information concerning 2000, 8:30 a.m. to 6 p.m. To review and Type of Meeting: Part-Open. individuals associated with the proposals. evaluate Integrative Plant Biology proposals Contact Person: Dr. Carol Van Haresveldt, These matters are exempt under 5 U.S.C. as part of the selection process for wards. Program Director, Behavioral Neuroscience; 552b(c), (4) and (6) of the Government in the Reason for Closing: The proposals being Dr. Christopher Platt, Program Director, Sunshine Act. reviewed include information of a Computational Neuroscience; Division of proprietary of confidential nature, including Dated: September 19, 2000. Integrative Biology and Neuroscience, Suite technical information; financial data, such as 685, National Science Foundation, 4201 Karen J. York, salaries; and personal information Wilson Blvd., Arlington, VA 22230. Committee Management Officer. concerning individuals associated with the Telephone: (703) 292–8423. [FR Doc. 00–24409 Filed 9–21–00; 8:45 am] Purpose of Meeting: To provide advice and proposals. These mattes are exempt under 5 BILLING CODE 7555±01±M recommendations concerning proposals U.S.C. 552b(c), (4) and (6) of the Government submitted to NSF for financial support. in the Sunshine Act. Minutes: May be obtained from the contact Dated: September 19, 2000. NATIONAL SCIENCE FOUNDATION person listed above. Karen J. York, Agenda: Open Session: November 15, Special Emphasis Panel in 2000; 10 a.m. to 11 a.m., to discuss goals and Committee Meeting Officer. Mathematical Sciences; Notice of assessment procedures. Closed Session: [FR Doc. 00–24406 Filed 9–21–00; 8:45 am] Meeting November 13–14; 8 a.m. to 5 p.m.; November BILLING CODE 7555±01±M 15, 8 a.m. to 10 a.m., and 11 a.m. to 5 p.m. In accordance with the Federal To review and evaluate Behavioral & Advisory Committee Act (Pub. L. 92– Computational Neuroscience proposals as NATIONAL SCIENCE FOUNDATION 463, as amended), the National Science part of the selection process for awards. Reasons for Closing: The proposals being Foundation announces the following Advisory Panel for Physiology and reviewed include information of a Ethology; Notice of Meeting meeting. proprietary or confidential nature, including Name: Special Emphasis Panel in technical information; financial data, such as In accordance with the Federal Mathematical Sciences (1204). salaries; and personal information Advisory Committee Act (Pub. L. 92– Date/Time: March 1–3, 2001, 8 am—4:30 concerning individuals associated with the 463; as amended), the National Science proposals. These matters are exempt under 5 pm. Foundation (NSF) announces the Place: National Science Foundation, 4201 U.S.C. 552b(c), (4) and (6) of the Government Wilson Blvd., Rooms 1020 and 1060, in the Sunshine Act. following meeting. Arlington, VA. Dated: September 19, 2000. Name: Advisory Panel for Physiology and Ethology (1160). Type of Meeting: Closed. Karen J. York, Contact Person: Harry Warchall, Program Date and Time: October 23–25, 2000; 8:30 Director, National Science Foundation, 4201 Committee Meeting Officer. a.m.–6:00 p.m. Wilson Boulevard, Arlington, VA 22230. [FR Doc. 00–24403 Filed 9–21–00; 8:45 am] Place: NSF, Room 390, 4201 Wilson Blvd., (703) 292–4861. BILLING CODE 7555±01±M Arlington, Virginia. Purpose of Meeting: To provide advice and Type of Meeting: Part-Open. recommendations concerning proposals Contact Person: Dr. William E. Zamer, submitted to NSF for finanacial support. NATIONAL SCIENCE FOUNDATION Program Director, Integrative Animal Agenda: To review and evaluate proposals Biology, Division of Integrative Biology and concerning the Materials & Mechanics Panel Advisory Panel for Physiology and Neuroscience, Room 685N, National Science as part of the selection process for awards. Ethology; Notice of Meeting Foundation, 4201 Wilson Boulevard, Reason for Closing: The proposals being Arlington, VA 22230, Telephone: (703) 292– reviewed include information of a In accordance with the Federal 8421. proprietary or confidential nature, including Advisory Committee Act (Pub. L. 92– Purpose of Meeting: To provide advice and technical information; financial data, such as 463, as amended), the National Science recommendations concerning proposals salaries and personal information concerning Foundation (NSF) announces the submitted to NSF for financial support. individuals associated with the proposals. Minutes: May be obtained from the contact These matters are exempt under 5 U.S.C. following meeting. person listed above. 552b(c), (4) and (6) of the Government in the Name: Advisory Panel for Physiology and Agenda: Open Session: October 25, 2000. Sunshine Act. Ethology (1160). 10 a.m. to 11:00 a.m.—discussion on research

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57404 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices trends, opportunities and assessment NUCLEAR REGULATORY SER which approved the methodology procedures in Integrative Animal Biology. COMMISSION contained in ‘‘BWR [Boiling-Water Reactor] Closed Session: October 23, 2000, 8:30 a.m. Vessel and Internals Project BWR Core Spray to 6:00 p.m., October 24, 2000, 8:30 a.m. to [Docket No. 50±219] Internals Inspection and Flaw Evaluation 6:00 p.m.; and October 25, 2000, 8:30 a.m. to Guidelines’’ (BWRVIP–18). Oyster Creek was 10:00 a.m. and from 11:00 a.m. to 6:00 p.m. AmerGen Energy Company, LLC; an active participant in the development of to review and evaluate Integrative Animal Notice of Consideration of Issuance of the guidelines and has committed to use Biology proposals as part of the selection Amendment to Facility Operating them as a License condition. In addition, the process for awards. License, Proposed No Significant inspection results will be submitted to the Reason for Closing: The proposals being NRC as part of the ASME [American Society reviewed include information, of a Hazards Consideration Determination, of Mechanical Engineers] Section XI ISI proprietary or confidential nature, including and Opportunity for a Hearing [Inservice Inspection] Summary as required technical information financial data, such as by the BWRVIP–18 Guidelines. The salaries; and personal information The U.S. Nuclear Regulatory probability of an accident is not increased by concerning individuals associated with the Commission (the Commission) is this change of inspection methodology. proposals. These matters are exempt under 5 considering issuance of an amendment With no physical changes to the plant or U.S.C. 552b(c), (4) and (6) of the Government to Facility Operating License No. DPR– any operating parameter and the use of a in the Sunshine Act. 16 issued to AmerGen Energy Company, formally approved inspection methodology, Dated: September 19, 2000. LLC (the licensee) for operation of the the consequences of any postulated accident Karen J. York, Oyster Creek Nuclear Generating Station are not increased. 2. Will operation of the facility in Committee Meeting Officer. located in Ocean County, New Jersey. The proposed amendment would accordance with the proposed amendment [FR Doc. 00–24411 Filed 9–21–00; 8:45 am] create the possibility of a new or different delete the reporting requirement for the BILLING CODE 7555±01±M [kind of] accident from any accident core spray sparger inspection. previously evaluated? Before issuance of the proposed The core spray spargers and the other NATIONAL SCIENCE FOUNDATION license amendment, the Commission components of the Core Spray System will will have made findings required by the not be modified by this change. The function Advisory Committee for Small Atomic Energy Act of 1954, as amended of the Core Spray System is to provide an Business Industrial Innovation; Notice (the Act) and the Commission’s alternate supply of cooling water, that is of Meeting regulations. independent of the Feedwater System, in the The Commission has made a event of an accident. This change will incorporate into the Oyster Creek License a In accordance with the Federal proposed determination that the Advisory Committee Act (Pub. L. 92– commitment to inspect the core spray amendment request involves no spargers and other reactor internals during 463, as amended), the National Science significant hazards consideration. Under Foundation announces the following each refueling outage in accordance with a the Commission’s regulations in 10 CFR methodology approved for all BWRs by the meeting: 50.92, this means that operation of the NRC. The function and operation of the Core Name: Advisory Committee for Small facility in accordance with the proposed Spray System are not affected by this change Business Industrial Innovation (61). amendment would not (1) involve a in inspection methodology. Therefore, the Date/Time: October 6 and 20, 2000; 8:30 significant increase in the probability or possibility of a new or different [kind of] a.m.–5 p.m. consequences of an accident previously accident not previously analyzed is not Place: NSF, 4201 Wilson Blvd., Rooms 130, created. 360 and 370, Arlington, VA. evaluated; or (2) create the possibility of 3. Will operation of the facility in Type of Meeting: Closed. a new or different kind of accident from accordance with the proposed amendment Contact Person: Joseph Hennessey, Acting any accident previously evaluated; or involve a significant reduction in a margin of Director, Small Business Innovation Research (3) involve a significant reduction in a safety? and Small Business Technology Transfer margin of safety. As required by 10 CFR In the SER supporting Amendment 47 to Programs, Room 590, Division of Design, 50.91(a), the licensee has provided its the Oyster Creek Technical Specifications, Manufacturing, and Industrial Innovation, analysis of the issue of no significant dated May 15, 1980, the staff found the National Science Foundation, 4201 Wilson licensee’s design and installation of the Boulevard, VA 22230. Telephone (703) 292– hazards consideration, which is presented below: repair bracket assemblies were in accordance 7069. with currently accepted engineering Purpose of Meeting: To provide advice and 1. Will operation of the facility in practices. Further, the analyses of the recommendations concerning proposals accordance with the proposed amendment structural loads imposed by static, seismic submitted to NSF for financial support. involve a significant increase in the and thermal loadings demonstrated the Agenda: To review and evaluate proposals probability or consequences of an accident bracket assembly’s ability to limit the crack submitted to the Small Business Innovation previously evaluated? opening to within an acceptable range should Research (SBIR) and Small Business This change does not add components or an existing crack propagate around the pipe Technology Transfer (STTR) Programs as part make any other physical change to the plant. circumference. The inspection requirement of the selection process for awards. The change involves inspection was imposed to ensure that any new cracks Reason for Closing: The proposals being methodology. In the SER supporting or propagation of existing cracks would be reviewed include information of a Amendment 70 to the Oyster Creek Technical discovered as soon as possible so corrective proprietary or confidential nature, including Specifications, dated January 26, 1984, the action could be taken. This change does not technical information; financial data, such as staff required that future inspections of all affect the interval between inspections but salaries, and personal information accessible surfaces and welds of both core imposes a standardized, comprehensive concerning individuals associated with the spray spargers and repair assemblies be methodology approved by the NRC. proposals. These matters are exempt under 5 performed at each refueling outage. In order Therefore, the proposed change does not U.S.C. 552b(c), (4) and (6) of the Government to ensure that meaningful comparisons with involve a significant reduction in the margin in the Sunshine Act. previous inspections could be made, the staff of safety. required such inspections be performed in Dated: September 19, 2000. The NRC staff has reviewed the Karen J. York, accordance with a method acceptable to them. To comply with that requirement, prior licensee’s analysis and, based on this Committee Management Officer. to each refueling outage, Oyster Creek review, it appears that the three [FR Doc. 00–24405 Filed 9–21–00; 8:45 am] submitted a detailed inspection plan. On standards of 10 CFR 50.92(c) are BILLING CODE 7555±01±M December 2, 1999, the NRC staff issued an satisfied. Therefore, the NRC staff

VerDate 112000 20:29 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57405 proposes to determine that the which is available at the Commission’s those facts or expert opinion. Petitioner amendment request involves no Public Document Room, the Gelman must provide sufficient information to significant hazards consideration. Building, 2120 L Street, NW., show that a genuine dispute exists with The Commission is seeking public Washington, DC, and accessible the applicant on a material issue of law comments on this proposed electronically through the ADAMS or fact. Contentions shall be limited to determination. Any comments received Public Electronic Reading Room link at matters within the scope of the within 30 days after the date of the NRC Web site (http://www.nrc.gov). amendment under consideration. The publication of this notice will be If a request for a hearing or petition for contention must be one which, if considered in making any final leave to intervene is filed by the above proven, would entitle the petitioner to determination. date, the Commission or an Atomic relief. A petitioner who fails to file such Normally, the Commission will not Safety and Licensing Board, designated a supplement which satisfies these issue the amendment until the by the Commission or by the Chairman requirements with respect to at least one expiration of the 30-day notice period. of the Atomic Safety and Licensing contention will not be permitted to However, should circumstances change Board Panel, will rule on the request participate as a party. during the notice period such that and/or petition; and the Secretary or the Those permitted to intervene become failure to act in a timely way would designated Atomic Safety and Licensing parties to the proceeding, subject to any result, for example, in derating or Board will issue a notice of hearing or limitations in the order granting leave to shutdown of the facility, the an appropriate order. intervene, and have the opportunity to Commission may issue the license As required by 10 CFR 2.714, a participate fully in the conduct of the amendment before the expiration of the petition for leave to intervene shall set hearing, including the opportunity to 30-day notice period, provided that its forth with particularity the interest of present evidence and cross-examine final determination is that the the petitioner in the proceeding, and witnesses. amendment involves no significant how that interest may be affected by the If a hearing is requested, the hazards consideration. The final results of the proceeding. The petition Commission will make a final determination will consider all public should specifically explain the reasons determination on the issue of no and State comments received. Should why intervention should be permitted significant hazards consideration. The the Commission take this action, it will with particular reference to the final determination will serve to decide publish in the Federal Register a notice following factors: (1) The nature of the when the hearing is held. of issuance and provide for opportunity petitioner’s right under the Act to be If the final determination is that the for a hearing after issuance. The made party to the proceeding; (2) the amendment request involves no Commission expects that the need to nature and extent of the petitioner’s significant hazards consideration, the take this action will occur very property, financial, or other interest in Commission may issue the amendment infrequently. the proceeding; and (3) the possible and make it immediately effective, Written comments may be submitted effect of any order which may be notwithstanding the request for a by mail to the Chief, Rules and entered in the proceeding on the hearing. Any hearing held would take Directives Branch, Division of petitioner’s interest. The petition should place after issuance of the amendment. Administrative Services, Office of also identify the specific aspect(s) of the Administration, U.S. Nuclear Regulatory subject matter of the proceeding as to If the final determination is that the Commission, Washington, DC 20555– which petitioner wishes to intervene. amendment request involves a 0001, and should cite the publication Any person who has filed a petition for significant hazards consideration, any date and page number of this Federal leave to intervene or who has been hearing held would take place before Register notice. Written comments may admitted as a party may amend the the issuance of any amendment. also be delivered to Room 6D59, Two petition without requesting leave of the A request for a hearing or a petition White Flint North, 11545 Rockville Board up to 15 days prior to the first for leave to intervene must be filed with Pike, Rockville, Maryland, from 7:30 prehearing conference scheduled in the the Secretary of the Commission, U.S. a.m. to 4:15 p.m. Federal workdays. proceeding, but such an amended Nuclear Regulatory Commission, Copies of written comments received petition must satisfy the specificity Washington, DC 20555–0001, Attention: may be examined at the NRC Public requirements described above. Rulemakings and Adjudications Staff, or Document Room, the Gelman Building, Not later than 15 days prior to the first may be delivered to the Commission’s 2120 L Street, NW., Washington, DC. prehearing conference scheduled in the Public Document Room, the Gelman The filing of requests for hearing and proceeding, a petitioner shall file a Building, 2120 L Street, NW., petitions for leave to intervene is supplement to the petition to intervene Washington, DC, by the above date. A discussed below. which must include a list of the copy of the petition should also be sent By October 23, 2000, the licensee may contentions which are sought to be to the Office of the General Counsel, file a request for a hearing with respect litigated in the matter. Each contention U.S. Nuclear Regulatory Commission, to issuance of the amendment to the must consist of a specific statement of Washington, DC 20555–0001, and to subject facility operating license and the issue of law or fact to be raised or Kevin P. Gallen, Esquire, Morgan, Lewis any person whose interest may be controverted. In addition, the petitioner & Bockius LLP, 1800 M Street NW., affected by this proceeding and who shall provide a brief explanation of the Washington, DC 20036–5869, attorney wishes to participate as a party in the bases of the contention and a concise for the licensee. proceeding must file a written request statement of the alleged facts or expert Nontimely filings of petitions for for a hearing and a petition for leave to opinion which support the contention leave to intervene, amended petitions, intervene. Requests for a hearing and a and on which the petitioner intends to supplemental petitions and/or requests petition for leave to intervene shall be rely in proving the contention at the for hearing will not be entertained filed in accordance with the hearing. The petitioner must also absent a determination by the Commission’s ‘‘Rules of Practice for provide references to those specific Commission, the presiding officer or the Domestic Licensing Proceedings’’ in 10 sources and documents of which the presiding Atomic Safety and Licensing CFR Part 2. Interested persons should petitioner is aware and on which the Board that the petition and/or request consult a current copy of 10 CFR 2.714 petitioner intends to rely to establish should be granted based upon a

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57406 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices balancing of the factors specified in 10 a new or different kind of accident from standards of 10 CFR 50.92(c) are CFR 2.714(a)(1)(i)–(v) and 2.714(d). any accident previously evaluated; or satisfied. Therefore, the NRC staff For further details with respect to this (3) involve a significant reduction in a proposes to determine that the action, see the application for margin of safety. As required by 10 CFR amendment request involves no amendment dated March 21, 2000, as 50.91(a), the licensee has provided its significant hazards consideration. supplemented on June 14, 2000, which analysis of the issue of no significant The Commission is seeking public is available for public inspection at the hazards consideration, which is comments on this proposed Commission’s Public Document Room, presented below: determination. Any comments received within 30 days after the date of the Gelman Building, 2120 L Street, 1. The proposed TS change does not NW., Washington, DC, and accessible involve a significant increase in the publication of this notice will be electronically through the ADAMS probability or consequences of an accident considered in making any final Public Electronic Reading Room link at previously evaluated. determination. the NRC Web site (http://www.nrc.gov). The derivation of the Cycle 18 SLMCPR for Normally, the Commission will not Oyster Creek for incorporation into the TS, issue the amendment until the Dated at Rockville, Maryland, this 18th day and its use to determine cycle-specific expiration of the 30-day notice period. of September 2000. thermal limits, has been performed using However, should circumstances change For the Nuclear Regulatory Commission. NRC-approved methods. Additionally, during the notice period such that Helen N. Pastis, interim implementing procedures, which failure to act in a timely way would incorporate cycle-specific parameters, have Senior Project Manager, Section 1, Project result, for example, in derating or Directorate I Division of Licensing Project been used. Based on the use of these calculations, the Cycle 18 SLMCPR of 1.09 shutdown of the facility, the Management, Office of Nuclear Reactor Commission may issue the license Regulation. will not increase the probability or consequences of an accident. amendment before the expiration of the [FR Doc. 00–24440 Filed 9–21–00; 8:45 am] The basis of the MCPR Safety Limit 30-day notice period, provided that its BILLING CODE 7590±01±P calculation is to ensure that greater than final determination is that the 99.9% of all fuel rods in the core avoid amendment involves no significant transition boiling if the limit is not violated. hazards consideration. The final NUCLEAR REGULATORY A SLMCPR of 1.09 preserves adequate determination will consider all public COMMISSION margin to transition boiling and fuel damage in the event of a postulated accident. The and State comments received. Should [Docket No. 50±219] probability of fuel damage is not increased. the Commission take this action, it will Therefore, the proposed TS change does publish in the Federal Register a notice AmerGen Energy Company, LLC; not involve an increase in the probability or of issuance and provide for opportunity Notice of Consideration of Issuance of consequences of an accident previously for a hearing after issuance. The Amendment to Facility Operating evaluated. Commission expects that the need to License, Proposed No Significant 2. The proposed TS change does not create take this action will occur very Hazards Consideration Determination, the possibility of a new or different kind of infrequently. and Opportunity for a Hearing accident from any accident previously Written comments may be submitted evaluated. by mail to the Chief, Rules and The U.S. Nuclear Regulatory The MCPR Safety Limit is a Technical Directives Branch, Division of Specification numerical value designed to Commission (the Commission) is Administrative Services, Office of considering issuance of an amendment ensure that fuel damage from transition boiling does not occur as a result of the Administration, U.S. Nuclear Regulatory to Facility Operating License No. DPR– limiting postulated accident. The limit Commission, Washington, DC 20555– 16 issued to AmerGen Energy Company, cannot create the possibility of any new type 0001, and should cite the publication LLC (the licensee) for operation of the of accident. The Cycle 18 SLMCPR has been date and page number of this Federal Oyster Creek Nuclear Generating Station calculated using NRC-approved methods. Register notice. Written comments may located in Ocean County, New Jersey. Additionally, interim procedures, which also be delivered to Room 6D59, Two The proposed amendment would incorporate cycle-specific parameters, have White Flint North, 11545 Rockville revise the Technical Specifications been used. Therefore, the proposed TS Pike, Rockville, Maryland, from 7:30 change does not create the possibility of a (TSs) to establish that the existing Safety a.m. to 4:15 p.m. Federal workdays. Limit Minimum Critical Power Ratio new or different kind of accident, from any accident previously evaluated. Copies of written comments received (SLMCPR) contained in TS 2.1.A is 3. The proposed TS change does not may be examined at the NRC Public applicable for the next operating cycle involve a significant reduction in a margin of Document Room, the Gelman Building, (Cycle 18). safety. 2120 L Street, NW., Washington, DC. Before issuance of the proposed The margin of safety as defined in the TS The filing of requests for hearing and license amendment, the Commission Bases will remain the same. The Cycle 18 petitions for leave to intervene is will have made findings required by the SLMCPR is calculated using NRC-approved discussed below. Atomic Energy Act of 1954, as amended methods, which are in accordance with the By October 23, 2000, the licensee may (the Act) and the Commission’s current fuel design and licensing criteria. file a request for a hearing with respect regulations. Additionally, interim implementing to issuance of the amendment to the procedures, which incorporate cycle-specific The Commission has made a parameters, have been used. The MCPR subject facility operating license and proposed determination that the Safety Limit remains high enough to ensure any person whose interest may be amendment request involves no that greater that 99.9% of all fuel rods in the affected by this proceeding and who significant hazards consideration. Under core will avoid transition boiling if the limit wishes to participate as a party in the the Commission’s regulations in 10 CFR is not violated, thereby preserving fuel proceeding must file a written request 50.92, this means that operation of the cladding integrity. Therefore, the proposed for a hearing and a petition for leave to facility in accordance with the proposed TS change does not involve a reduction in a intervene. Requests for a hearing and a amendment would not (1) involve a margin of safety. petition for leave to intervene shall be significant increase in the probability or The NRC staff has reviewed the filed in accordance with the consequences of an accident previously licensee’s analysis and, based on this Commission’s ‘‘Rules of Practice for evaluated; or (2) create the possibility of review, it appears that the three Domestic Licensing Proceedings’’ in 10

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57407

CFR Part 2. Interested persons should petitioner is aware and on which the should be granted based upon a consult a current copy of 10 CFR 2.714 petitioner intends to rely to establish balancing of the factors specified in 10 which is available at the Commission’s those facts or expert opinion. Petitioner CFR 2.714(a)(1)(i)–(v) and 2.714(d). Public Document Room, the Gelman must provide sufficient information to For further details with respect to this Building, 2120 L Street, NW., show that a genuine dispute exists with action, see the application for Washington, DC, and accessible the applicant on a material issue of law amendment dated June 30, 2000, which electronically through the ADAMS or fact. Contentions shall be limited to is available for public inspection at the Public Electronic Reading Room link at matters within the scope of the Commission’s Public Document Room, the NRC Web site (http://www.nrc.gov). amendment under consideration. The the Gelman Building, 2120 L Street, If a request for a hearing or petition for contention must be one which, if NW., Washington, DC, and accessible leave to intervene is filed by the above proven, would entitle the petitioner to electronically through the ADAMS date, the Commission or an Atomic relief. A petitioner who fails to file such Public Electronic Reading Room link at Safety and Licensing Board, designated a supplement which satisfies these the NRC Web site (http://www.nrc.gov). by the Commission or by the Chairman requirements with respect to at least one Dated at Rockville, Maryland, this 18th day of the Atomic Safety and Licensing contention will not be permitted to of September 2000. Board Panel, will rule on the request participate as a party. For the Nuclear Regulatory Commission. and/or petition; and the Secretary or the Those permitted to intervene become Helen N. Pastis, parties to the proceeding, subject to any designated Atomic Safety and Licensing Senior Project Manager, Section 1, Project Board will issue a notice of hearing or limitations in the order granting leave to Directorate 1, Division of Licensing Project an appropriate order. intervene, and have the opportunity to Management, Office of Nuclear Reactor As required by 10 CFR 2.714, a participate fully in the conduct of the Regulation. petition for leave to intervene shall set hearing, including the opportunity to [FR Doc. 00–24441 Filed 9–21–00; 8:45 am] forth with particularity the interest of present evidence and cross-examine BILLING CODE 7590±01±P the petitioner in the proceeding, and witnesses. how that interest may be affected by the If a hearing is requested, the results of the proceeding. The petition Commission will make a final NUCLEAR REGULATORY should specifically explain the reasons determination on the issue of no COMMISSION why intervention should be permitted significant hazards consideration. The with particular reference to the final determination will serve to decide [Docket No. 72±2] when the hearing is held. following factors: (1) The nature of the Virginia Electric and Power Company If the final determination is that the petitioner’s right under the Act to be Issuance of Environmental amendment request involves no made party to the proceeding; (2) the Assessment and Finding of No significant hazards consideration, the nature and extent of the petitioner’s Significant Impact Regarding the Commission may issue the amendment property, financial, or other interest in Proposed Amendment to Revise and make it immediately effective, the proceeding; and (3) the possible Technical Specifications of License notwithstanding the request for a effect of any order which may be No. SNM±2501 entered in the proceeding on the hearing. Any hearing held would take petitioner’s interest. The petition should place after issuance of the amendment. The U.S. Nuclear Regulatory also identify the specific aspect(s) of the If the final determination is that the Commission (NRC or Commission) is subject matter of the proceeding as to amendment request involves a considering issuance of an amendment, which petitioner wishes to intervene. significant hazards consideration, any pursuant to 10 CFR 72.56, to Special Any person who has filed a petition for hearing held would take place before Nuclear Material License No. 2501 leave to intervene or who has been the issuance of any amendment. (SNM–2501) held by Virginia Electric admitted as a party may amend the A request for a hearing or a petition and Power Company (Virginia Power) petition without requesting leave of the for leave to intervene must be filed with for the Surry independent spent fuel Board up to 15 days prior to the first the Secretary of the Commission, U.S. storage installation (ISFSI). The prehearing conference scheduled in the Nuclear Regulatory Commission, requested amendment would revise the proceeding, but such an amended Washington, DC 20555–0001, Attention: Technical Specifications (TS) of SNM– petition must satisfy the specificity Rulemakings and Adjudications Staff, or 2501 to specifically permit the use of requirements described above. may be delivered to the Commission’s the TN–32 storage cask to store spent Not later than 15 days prior to the first Public Document Room, the Gelman fuel with a higher initial enrichment prehearing conference scheduled in the Building, 2120 L Street, NW., and burnup than currently specified in proceeding, a petitioner shall file a Washington, DC, by the above date. A the TS for the Surry ISFSI. supplement to the petition to intervene copy of the petition should also be sent which must include a list of the to the Office of the General Counsel, Environmental Assessment (EA) contentions which are sought to be U.S. Nuclear Regulatory Commission, Identification of Proposed Action: By litigated in the matter. Each contention Washington, DC 20555–0001, and to letter dated November 15, 1999, as must consist of a specific statement of Kevin P. Gallen, Esquire, Morgan, Lewis supplemented, Virginia Power the issue of law or fact to be raised or & Bockius LLP, 1800 M Street, NW., requested an amendment to revise the controverted. In addition, the petitioner Washington, DC 20036–5869, attorney TS of SNM–2501 for the Surry ISFSI. shall provide a brief explanation of the for the licensee. The changes would specifically permit bases of the contention and a concise Nontimely filings of petitions for the use of the TN–32 storage cask to statement of the alleged facts or expert leave to intervene, amended petitions, store spent fuel with a higher initial opinion which support the contention supplemental petitions and/or requests enrichment and burnup than currently and on which the petitioner intends to for hearing will not be entertained specified in the TS. Currently the TS for rely in proving the contention at the absent a determination by the the Surry ISFSI limit the fuel to be hearing. The petitioner must also Commission, the presiding officer or the stored in the TN–32 to the following: provide references to those specific presiding Atomic Safety and Licensing initial enrichment of ≤ 3.85 % (wt U- sources and documents of which the Board that the petition and/or request 235), assembly average burnup of ≤

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57408 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

40,000 MWD/MTU, and heat generation Based on the occupational and public prepare an environmental impact of ≤ 0.847 Kw/assembly. This dose analysis results, there are no statement for the proposed exemption. amendment requests the limits be significant radiological environmental For further details with respect to this amended to match those approved for impacts associated with the proposed action, see the amendment application the TN–32 storage cask per the action. dated November 15, 1999, as Certificate of Compliance (CoC) and The amendment only affects the supplemented. In accordance with 10 Safety Evaluation Report (SER) issued in requirements associated with the CFR 2.790 of the NRC’s ‘‘Rules of March 2000. Those approved limits are content of the casks and does not affect Practice,’’ a copy of the application, as as follows: initial enrichment of ≤ non-radiological plant effluents or any supplemented, will be available 4.05% (wt U–235), assembly average other aspects of the environment. electronically for public inspection in burnup ≤ 45,000 MWD/MTU, and heat Therefore, there are no significant non- the NRC Public Document Room, 2120 generation of ≤ 1.02 Kw/assembly. radiological environmental impacts L Street NW. (Lower Level), Need for the Proposed Action: The associated with the proposed action. Washington, DC, or from the Publically proposed action is necessary to allow Accordingly, the Commission Available Records (PARS) components continued storage of spent fuel in dry concludes that there are no significant of the NRC’s document system casks. Without this amendment Surry environmental impacts associated with (ADAMS). ADAMS is accessible from will be unable to load spent fuel in TN– the proposed action. the NRC Web site at http://www.nrc.gov/ 32 casks because their remaining fuel Alternative to the Proposed Action: NRC/ADAMS/index.html (the Public has the higher enrichment and burnup. The alternative to the proposed action Electronic Reading Room). If unable to store spent fuel in TN–32’s, would be to deny the request for Surry will not be able to retain full core amendment (i.e., the ‘‘no-action’’ Dated at Rockville, Maryland, this 8th day of September 2000. offload capability. Surry would alternative). Denial of the proposed eventually have to find an alternate action would result in Surry storing For the Nuclear Regulatory Commission. means to store fuel, or shut down. spent fuel in the spent fuel pool. E. William Brach, Environmental Impacts of the Without dry cask storage, Surry would Director, Spent Fuel Project Office, Office of Proposed Action: The NRC has lose the capability to maintain full core Nuclear Material Safety and Safeguards. completed its evaluation of the offload and eventually would have to [FR Doc. 00–24363 Filed 9–21–00; 8:45 am] proposed action and concludes that shut down due to lack of storage space. BILLING CODE 7590±01±P granting the request for amendment to Increased storage in the spent fuel allow the storage of spent fuel pool could potentially lead to greater assemblies with burnup and initial occupational exposure than dry cask enrichment of up to 45,000 MWD/MTU storage due to the proximity of workers POSTAL RATE COMMISSION and 4.05% (wt U–235), respectively, in to the fuel. The environmental impacts TN–32 casks used at the Surry ISFSI, of the alternative action could be greater Sunshine Act Meetings will not increase the probability or than the proposed action. NAME OF AGENCY: Postal Rate consequence of accidents beyond that Given that the alternative action of bounded by previous analysis. In March denying the approval for amendment Commission. 2000, the NRC issued a CoC and SER for has no lesser environmental impacts TIME AND DATE: Daily, or as needed, the TN–32 allowing storage of spent fuel associated with it, and considering that starting after 9:30 a.m., from September in the TN–32 under a general license, the proposed action would result in 25, 2000, through November 8, 2000. with the higher enrichment and burnup, storage of fuel in the TN–32 casks at PLACE: Commission conference room, resulting in no significant Surry ISFSI as already approved for 1333 H Street, NW., Suite 300, environmental impact. No changes are storage under a general license, the Washington, DC 20268–0001. being made in the types of any effluents Commission concludes that the STATUS: Closed. that may be released offsite. With regard preferred alternative is to grant this MATTERS TO BE CONSIDERED: to radiological impacts, the addition of amendment. Recommendations in Docket No. higher burnup and initial enrichment Agencies and Persons Consulted: On R2000–1. spent fuel assemblies was calculated to August 18, 2000, Mr. Les Foldese of the yield an average surface dose rate of 224 Virginia Department of Health, CONTACT PERSON FOR MORE INFORMATION: mrem/hour at the TN–32 cask side Radiological Health Programs, was Stephen L. Sharfman, General Counsel, surface. A reevaluation of occupational contacted regarding the proposed action Postal Rate Commission, Suite 300, doses based on actual operating and had no concerns. 1333 H Street, NW, Washington, DC experience from loading 39 casks, 20268–0001, 202–789–6820. Finding of No Significant Impact indicates that the overall exposure to Dated: September 19, 2000. workers during cask loading, transport, The environmental impacts of the Margaret P. Crenshaw, and emplacement will decrease from the proposed action have been reviewed in Secretary. accordance with the requirements set original estimate of 21.2 person-rem to [FR Doc. 00–24548 Filed 9–20–00; 12:39 pm] 11.9 person-rem. The dose to the closest forth in 10 CFR Part 51. Based upon the BILLING CODE 7710±FN±M real receptor due to Surry ISFSI foregoing Environmental Assessment, operations was calculated to be 6×10¥1 the Commission finds that the proposed mrem/year. This dose is several orders- action of granting an amendment to of-magnitude below natural background permit the use of the TN–32 dry storage POSTAL SERVICE BOARD OF radiation levels and is an insignificant cask to store spent fuel with a higher GOVERNORS amount when compared to the 10 CFR initial enrichment (≤ 4.05% wt U–235) Part 72.104 whole-body dose limit of 25 and burnup (≤ 45,000 MWD/MTU) at Sunshine Act Meeting mrem/year. The annual whole-body the Surry ISFSI will not significantly dose to the closest real receptor from all impact the quality of the human TIMES AND DATES: 9 a.m., Monday, Surry operations is 16 mrem, which is environment. Accordingly, the October 2, 2000; 8:30 a.m., Tuesday, below the 10 CFR Part 72.104 limit. Commission has determined not to October 3, 2000.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57409

PLACE: San Diego, California, at the San (Chairman Dyhrkopp) Services, Inc. (‘‘Services’’), both located Diego Marriott Hotel, 333 West Harbor 5. Preliminary FY 2002 Appropriation at 222 West Washington Avenue, Drive, in the Marina Ballroom D. Request. (Mr. Richard Strasser) Madison, Wisconsin 53703; and two of 6. Capital Investments. its public utility subsidiary companies, STATUS: October 2 (Closed); October 3 a. Champaign, Illinois, Processing and (Open). Distribution Facility Expansion. (Mr. IES Utilities, Inc. (‘‘IES’’), Alliant Energy MATTERS TO BE CONSIDERED: Monday, Danny Jackson) Tower, Cedar Rapids, Iowa 52401 and October 2—9 a.m. (Closed) b. Stamford, Connecticut—New Springdale Interstate Power Company (‘‘IPC’’), 1000 1. Finance Performance. Station Additional Funding. (Ms. Diane Main Street S.E., P.O. Box 769, 2. Fiscal Year 2001 Integrated Financial Plan. Van Loozen) Dubuque, Iowa 52004 (together, 3. Establish/Deploy Process. 7. Report on the San Diego District. ‘‘Applicants’’), have filed a post- 4. Fiscal Year 2001 Economic Value Added 8. Tentative Agenda for the November 13–14, effective amendment under sections (EVA) Variable Pay Program. 2000, meeting in Washington, DC 6(a), 7, 9(a), 10, 12(b), 32 and 33 of the 5. EEO Settlement Authority. [FR Doc. 00–24589 Filed 9–20–00; 3:07 pm] Act and rules 43, 45, and 53 under the 6. Personnel Matters. BILLING CODE 7710±12±M Act to their application-declaration 7. Compensation Issues. previously filed under the Act. Tuesday, October 3—8:30 a.m. (Open) By order dated December 18, 1998 1. Minutes of the Previous Meeting, August SECURITIES AND EXCHANGE (HCAR No. 26956) (‘‘Financing Order’’), 28–29, 2000. COMMISSION the Commission authorized, among 2. Remarks of the Postmaster General and [Release No. 35±27230] other things, Alliant Energy to issue and CEO. sell from time to time through December 3. Board of Governors Calendar Year 2001 Filings Under the Public Utility Holding 31, 2000, commercial paper and/or Meeting Schedule. Company Act of 1935, as Amended notes at market based rates (‘‘Short- 4. Office of the Governors FY 2001 Budget. Term Debt’’) in an aggregate principal 5. Preliminary FY 2002 Appropriation (``Act'') Request. amount at any time outstanding of up to September 15, 2000. 6. Capital Investments. $750 million. The Financing Order a. Champaign, Illinois, Processing and Notice is hereby given that the authorized Alliant Energy to use $450 Distribution Facility Expansion. following filing(s) has/have been made million of the proceeds of the Short- b. Stamford, Connecticut–New Springdale with the Commission pursuant to Term Debt to fund its utility subsidiary Station Additional Funding. provisions of the Act and rules money pool (‘‘Utility Money Pool’’), and 7. Report on the San Diego District. promulgated under the Act. All to use up to $300 million of the 8. Tentative Agenda for the November 13–14, interested persons are referred to the remaining Short-Term Debt to fund 2000, meeting in Washington, DC. application(s) and/or declaration(s) for investments in ‘‘exempt wholesale CONTACT PERSON FOR MORE INFORMATION: complete statements of the proposed generators’’ (‘‘EWGs’’) and ‘‘foreign David G. Hunter, Secretary of the Board, transaction(s) summarized below. The utility companies’’ (‘‘FUCOs’’), as those U.S. Postal Service, 475 L’Enfant Plaza, application(s) and/or declaration(s) and terms are defined in sections 32 and 33 SW., Washington, DC 20260–1000. any amendment(s) is/are available for of the Act. In addition, the Financing Telephone (202) 268–4800. public inspection through the Order authorized Alliant Energy’s David G. Hunter, Commission’s Branch of Public operating company subsidiaries, IES Secretary. Reference. and IPC, to make borrowings under and Interested persons wishing to invest surplus funds in the Utility Tentative Agenda comment or request a hearing on the Money Pool.1 Finally, the Financing application(s) and/or declaration(s) Monday Session, October 2—9 a.m. Order authorized Alliant Energy to enter should submit their views in writing by into guarantees, obtain letters of credit, (Closed)—San Diego Marriott in Marina October 10, 2000, to the Secretary, enter into expense agreements or Ballroom D Securities and Exchange Commission, otherwise provide credit support 1. Financial Performance. (Mr. Richard Washington, DC 20549–0609, and serve (‘‘Guarantees’’) for its nonutility Strasser) a copy on the relevant applicant(s) and/ subsidiaries in an aggregate amount not 2. Fiscal Year 2001 Integrated Financial Plan. or declarant(s) at the address(es) to exceed $600 million outstanding at (Mr. Richard Strasser) specified below. Proof of service (by any one time.2 3. Establish/Deploy Process. (Mr. Patrick affidavit or, in the case of an attorney at The Applicants now request that the Donahoe) law, by certificate) should be filed with Commission modify certain aspects of 4. Fiscal Year 2001 EVA Variable Pay the request. Any request for hearing the Financing Order and extend the Program. (Ms. Yvonne Maguire) should identify specifically the issues of authorization period from December 31, 5. Overview of the Sales Organization. (Ms. Gail Sonnenberg) facts or law that are disputed. A person 2000 to June 30, 2004 (‘‘Authorization 6. Briefing on Advertising. (Mr. Allen Kane) who so requests will be notified of any Period’’). Specifically, Alliant Energy 7. EEO Settlement Authority. (Ms. Mary hearing, if ordered, and will receive a Anne Gibbons) copy of any notice or order issued in the 1 The Financing Order limited Utility Money Pool 8. Personnel Matters. matter. After October 10, 2000, the borrowing to annual outstanding amounts of $150 9. Compensation Issues. million for IES and $72 million for IPC. application(s) and/or declaration(s), as 2 Alliant Energy Resources, Inc. (‘‘AER’’), a Tuesday Session, October 3—8:30 a.m. filed or as amended, may be granted subsidiary nonutility holding company of Alliant and/or permitted to become effective. Energy, maintains a separate commercial paper (Open)—San Diego Marriott in Marina program and bank credit facilities totaling $600 Ballroom D Alliant Energy Corporation, et al. (70– million to fund a separate nonutility money pool 1. Minutes of the Previous Meeting, August 9317) (‘‘Nonutility Money Pool’’) maintained for the 28–29, 2000. benefit of Alliant Energy’s direct and indirect Alliant Energy Corporation (‘‘Alliant nonutility subsidiaries other than Services. As 2. Remarks of the Postmaster General and noted in the Financing Order, AER’s financing CEO. (Mr. William Henderson) Energy’’) (formerly, Interstate Energy Corporation), a registered holding arrangements are exempt from Commission review 3. Board of Governors Calendar Year 2001 under rule 52(b). Similarly, borrowings by members Budget. (Chairman Dyhrkopp) company, and its service company of the Nonutility Money Pool also are exempt under 4. Office of the Governors FY 2001 Budget. subsidiary, Alliant Energy Corporate rule 52(b).

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00101 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57410 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices proposes to increase from $750 million Commissioners, Counsel to the Among the issues likely to be argued to $1 billion the aggregate amount of Commissioners, the Secretary to the are the following: this type of Short-Term Debt it may Commission, and recording secretaries 1. Whether Peat Marwick’s loan to have outstanding at any one time. will attend the closed meetings. Certain PORTA’s president was the only Further, Alliant Energy requests the staff member who have an interest in independence impairing circumstance Commission to authorize the use of the matters may also be present. involved in this case; proceeds from the Short-Term Debt to The General Counsel of the 2. Whether Peat Marwick acted fund the Utility Money Pool in an Commission, or his designee, has recklessly with respect to any aggregate principal amount outstanding certified that, in his opinion, one or independence impairing circumstances at any one time that will not exceed more of the exemptions set forth in 5 involved in this case; and $475 million in 2001 and $525 million U.S.C. 552b(c)(4), (8), (9)(A) and (10) 3. Whether, and what, sanctions are for the remainder of the Authorization and 17 CFR 200.402(a)(4), (8), (9)(A) and appropriate remedies in this case. Period. Alliant Energy also requests that (10), permit consideration for the For further information, contact Rada the Commission eliminate the separate scheduled matters at the closed meeting. L. Potts at (202) 942–0961. The subject matters of the closed $300 million limitation on the use of The subject matter of the closed Short-Term Debt proceeds to make meeting scheduled Wednesday, September 27, 2000 will be: meeting scheduled for Thursday, interim investments in EWGs and September 28, 2000 will be: 3 Institution and settlement of FUCOs. Finally, IES and IPC propose, Post argument discussion through the Authorization Period, to injunctive actions; and Institution and settlement of At times, changes in Commission borrow from Alliant Energy and each administrative proceedings and priorities require alterations in the other, and to lend to each other, all enforcement nature. scheduling of meeting items. For further under the Utility Money Pool, in The subject matter of the open information and to ascertain what, if outstanding principal amounts of up to meeting scheduled for Thursday, any, matters have been added, deleted $150 million for IES and $100 million September 28, 2000 will be: or postponed, please contact: for IPC.4 The Commission will hear oral The Office of the Secretary at (202) The Applicants state that all other argument on an appeal by the Division 942–7070. terms, conditions, limitations and of Enforcement and the Office of the Dated: September 20, 2000. reporting obligations contained in the Chief Accountant from an initial Financing Order will apply to the decision of an administrative law judge Jonathan G. Katz, proposed transactions. Services will in the matter of KPMG Peat Marwick Secretary. continue to administer the Utility and LLP (‘‘Peat Marwick’’). [FR Doc. 00–24590 Filed 9–20–00; 3:48 pm] Nonutility Money Pools under the This case involves allegations that BILLING CODE 8010±01±M existing terms of the money pool certain circumstances impaired Peat agreements, as previously approved by Marwick’s independence from an audit the Commission. client, Porta Systems Corp. (‘‘PORTA’’). SECURITIES AND EXCHANGE For the Commission by the Division of The law judge found that only one of COMMISSION Investment Management, pursuant to these circumstances—Peat Marwick’s delegated authority. loan to PORTA’s president—impaired [Release No. 34±43284; File No. SR±Amex± Margaret H. McFarland, Peat Marwick’s independence. Because 00±07] Deputy Secretary. generally accepted auditing standards Self-Regulatory Organizations; Order [FR Doc. 00–24349 Filed 9–21–00; 8:45 am] (GAAS) require that auditors be Approving Proposed Rule Change by BILLING CODE 8010±01±M independent from audit clients, the law judge concluded that Peat Marwick the American Stock Exchange LLC violated the requirement in Rule 2–02 of Relating to the Amendment of Rule 126 SECURITIES AND EXCHANGE Regulation S–X that an accountant’s on a Pilot Program Basis COMMISSION report accurately ‘‘state whether the September 12, 2000. audit was made in accordance’’ with Sunshine Act Meeting GAAS. The law judge also concluded I. Introduction Notice is hereby given, pursuant to that, because Peat Marwick was not On February 3, 2000, the American the provisions of the Government in the independent at the time it certified Stock Exchange LLC (‘‘Amex’’ or Sunshine Act, Pub. L. 94–409, that the financial statements filed by PORTA as ‘‘Exchange’’) filed with the Securities Securities and Exchange Commission part of its 1995 annual report, Peat and Exchange Commission will hold the following meetings during Marwick caused PORTA to violate (‘‘Commission’’), pursuant to section the week of September 25, 2000. Section 13(a) of the Securities Exchange 19(b)(1) of the Securities Exchange Act Closed meetings will be held on Act of 1934 and Rule 13a–1 thereunder. of 1934,1 and Rule 19b–4 thereunder,2 a Wednesday, September 27, 2000 at The law judge did not conclude, proposed rule change to implement a 11:00 a.m. and Thursday, September 28, however, that Peat Marwick had six month pilot program for processing 2000 at 3:00 p.m. An open meeting will engaged in improper professional electronically transmitted orders for be held on Thursday, September 28, conduct within the meaning of Rule equities traded on the Exchange 2000 at 2:00 p.m. in Room 1C30. 102(e) of the Commission’s Rules of (‘‘eQPrioritysm’’). The proposed rule Practice. The law judge dismissed the change was published for comment in 3 Alliant Energy represents that all EWG and proceeding insofar as it alleged that Peat the Federal Register on June 7, 2000. 3 FUCO investments will comply with rule 53(a) Marwick engaged in improper No comments were received on the under the Act. professional conduct under Rule 102(e) 4 Alliant Energy’s other utility subsidiary, and denied the Division’s request for Wisconsin Power & Light Company and Services 1 15 U.S.C. 78s(b)(1). are members of the Utility Money Pool, but their entry of a cease and desist order against 2 17 CFR 240.19b–4. borrowings are exempt from Commission review Peat Marwick under Section 21C of the 3 See Securities Exchange Act Release No. 42834 under rules 52 (a) and (b), respectively. Exchange Act. (May 26, 2000), 65 FR 36183 (June 7, 2000).

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00102 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57411 proposal. This order approves the will only apply to the common stock of general, to protect investors and the proposed rule change. business corporations admitted to public interest. dealings, because the Exchange believes II. Description of the Proposal The Commission specifically finds that it would be inappropriate to apply that the proposed rule change would The proposed rule change would add the program to options and equity a new Commentary .03 to Amex Rule modify the Exchange’s existing auction derivatives as the Amex is not the price market rules in a way that should help 126, which governs the precedence of discovery market for those securities assure that electronic orders sent to the bids and offers. The Exchange states that and the value of the underlying Exchange from off the Amex floor will proposed Commentary .03 is intended instruments may change very-rapidly. have an improved opportunity to to assure investors who send electronic The Exchange also states that the orders to the Exchange that their orders program should not apply to openings interact with the published Amex quote. will be filled at either: the Amex and reopenings because openings In particular, the Commission finds that Published Quote (‘‘APQ’’) 4 at the time involve a balancing of supply and the proposed rule change will help the specialist announces the order, up to demand to reach a consensus price that, prevent two scenarios under which the the depth of the quote; or at an by definition, is the best execution. Exchange’s existing auction market improved price. The Exchange believes Moreover, the program will not apply to rules may not always permit electronic that this will encourage investors and ‘‘clean-up’’ sales of blocks because the orders an ideal opportunity to interact order flow providers to send orders to Exchange believes that the current with the Amex quote: a scenario in the Amex. procedure for affecting a clean-up sale at which on-floor traders could trade Proposed Commentary .03 specifically a single price outside the APQ is fairest against the Amex quote while the applies to the handling of round lot, to all parties. specialist is attempting to obtain price regular way orders for common stock The Exchange’s current auction improvement for the electronic order, sent to the Exchange electronically, at market rules do not guarantee that an and a scenario in which the execution all times other than openings, incoming electronic order will interact of part of an electronic order could put reopenings, or instances where a block against the APQ. For example, when an floor interest on parity with the is sold at a ‘‘clean up’’ price. The electronic order arrives on the remainder of the electronic order. The commentary specifies that when a Exchange, the specialist in the security Commission finds that the proposed specialist’s order book receives the will announce a crossing market in an rule change should provide greater electronic order, the specialist shall attempt to provide price improvement assurance that electronic orders sent to announce the order to the crowd, and to the order. Although that procedure the Amex floor will have the the order will establish priority with gives floor brokers an opportunity to opportunity to interact with the Amex respect to all other bids and offers. Upon that announcement, members execute the electronic order at an quote, without having to make any whose bids or offers are incorporated improved price, the procedure may also findings about whether either of those into the APQ may not withdraw or permit a floor broker to trade against the practices currently occurs on the Amex modify those bids and offers except to APQ despite the presence of the floor. provide price improvement to the electronic order. Moreover, if an The Commission further finds that the electronic order. Once the specialist electronic order is filled in part at an proposed rule change contains announces the order, the specialist and improved price, current practice reasonable exceptions for openings and members of the crowd will have a brief potentially allows floor brokers to reopenings and for blocks sold at interact with the APQ on parity with the opportunity to provide price cleanup price, because the proposed unfilled remainder of the electronic improvement. If the electronic order is priority rules are not needed in those order. The Amex believes that filled in part at an improved price, that circumstances. Moreover, the Commentary .03 addresses the sale would not remove bids and offers, Commission also finds that it is perception that trading may occur in and the incoming order retains priority reasonable for Amex to continue to over other bids and offers up to the full that manner when an electronic order arrives on the floor of the Exchange. 5 apply its existing auction market size APO (less any interest that procedures to those portions of an provided price improvement). If the III. Discussion electronic order that are larger than the incoming order is larger than the size Amex quote. displayed in the APQ, the unfilled The Commission finds that proposed portion will be handled according to the rule change is consistent with section Finally, the Commission finds that it 6 customary auction market procedures. 6(b)(5) of the Act. Section 6(b)(5) is reasonable for the Exchange to The Exchange states that it believes requires, among other things, that the implement this proposal for a six month eQPrioritysm will provide investors with rules of an exchange be designed to pilot period, to permit the Exchange to the optimal combination of price prevent fraudulent and manipulative assess the costs and the benefits of the improvement possibilities with speed acts and practices, to promote just and program. Continuation of this program and certainty of execution. The equitable principles of trade, to remove beyond that six month period would Exchange also notes that the proposed the impediments to and perfect the require the Exchange to file another eQPrioritysm program is not limited to mechanism of a free and open market proposed rule change. 7 institutional size orders. The program and a national market system, and, in 7 The Commission expects that the Exchange will 4 The Amex states that the APQ is the best bid 5 Conversations between Bill Floyd-Jones, monitor the effect of the proposed rule change on or offer that Amex conveys to the Consolidated Assistant General Counsel, Arne Michelson, Senior trading behavior on Amex, paying particular Quotation System. Conversation between Bill Vice President, Laurence McDonald, Managing attention to its effect on stocks that are traded in Floyd-Jones, Assistant General Counsel, Arne Director, Lauren Brophy, Vice President, Amex, and a decimal environment, and convey those results to Michelson, Senior Vice President, Laurence Joshua Kans, Special counsel, Madge Hamilton, the Commission before the pilot period ends. McDonald, Managing Director, Lauren Brophy, Vice Special Counsel, Division, Commission, March 31, Among other things, the Exchange should examine President, Amex, and Joshua Kans, Special Counsel, 2000 and April 5, 2000. whether the rule change affects the ability of Madge Hamilton, Special Counsel, Division of 6 In approving this proposal, the Commission has electronic orders to interact with the APQ, and Market Regulation (‘‘Division’’), Commission, April considered its impact on efficiency, competition, whether the rule change affects limit order 5, 2000. and capital formation. 15 U.S.C. 78c(f) execution on Amex.

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57412 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

It is Therefore Ordered, pursuant to may be examined at the places specified III. Date of Effectiveness of the section 19(b)(2) of the Act, 8 that the in Item IV below. The ISE has prepared Proposed Rule Change and Timing for proposed rule change (SR–Amex–00– summaries, set forth in Sections A, B, Commission Action 07) is hereby approved until March 12, and C below, of the most significant 2001. aspects of such statements. Because the foregoing rule change establishes or changes a due, fee, or For the Commission, by the Division of A. Self-Regulatory Organization’s other charge imposed by the Exchange, Market Regulation, pursuant to delegated Statement of the Purpose of, and authority. 9 it has become effective pursuant to Statutory Basis for, the Proposed Rule 5 Margaret H. McFarland, section 19(b)(3)(A)(ii) of the Act and Change subparagraph (f)(2) of Rule 19b–4 Deputy Secretary. 1. Purpose thereunder.6 At any time within 60 days [FR Doc. 00–24350 Filed 9–21–00; 8:45 am] of the filing of the proposed rule change, BILLING CODE 8010±01±M The purpose of the rule change is to the Commission may summarily adopt a monthly rental fee for computer abrogate such rule change if it appears equipment ISE supplies to members that SECURITIES AND EXCHANGE to the Commission that such action is enables members to communicate with COMMISSION necessary or appropriate in the pubic the Exchange. The Exchange is adopting interest, for the protection of investors, [Release No. 34±43298; File No. SR±ISE± a monthly fee of $1,400 for members or otherwise in furtherance of the 00±06] that receive a cabinet (consisting of purposes of the Act. various components) and $200 for Self-Regulatory Organizations; Notice members that only receive a router from IV. Solicitation of Comments of Filing and Immediate Effectiveness the Exchange. These fees will be used to of Proposed Rule Change by the Interested persons are invited to cover the costs of the equipment to the submit written data, views, and International Securities Exchange LLC, Exchange. Relating to Equipment Rental Fees and arguments concerning the foregoing, Annual Access Fee The ISE also is clarifying that the including whether the proposed rule annual access fee for primary and change is consistent with the Act. September 15, 2000. competitive market makers currently Persons making written submissions Pursuant to section 19(b)(1) of the contained in its fee schedule is applied should file six copies thereof with the Securities Exchange Act of 1934 on a per-membership basis. In the case Secretary, Securities and Exchange (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 where a single member firm has Commission, 450 Fifth Street, NW., notice is hereby given that on August 3, multiple ISE memberships, the annual Washington, DC 20549–0609. Copies of 2000, the International Securities access fee is charged for each the submission, all subsequent Exchange LLC (‘‘ISE’’ or ‘‘Exchange’’) membership. For example, if a single amendments, all written statements filed with the Securities and Exchange member firm is both an electronic with respect to the proposed rule Commission (‘‘Commission’’) the access member and a competitive change that are filed with the proposed rule change as described in market maker, the firm is subject to the Commission, and all written Items I, II, and III below, which Items annual access fee for both memberships. communications relating to the have been prepared by the Exchange. Also, if a firm owns multiple market proposed rule change between the The Commission is publishing this maker memberships, it is subject to an Commission and any person, other than notice to solicit comments on the annual access fee for each of those those that may be withheld from the proposed rule change from interested memberships. public in accordance with the persons. 2. Statutory Basis provisions of 5 U.S.C. 552, will be I. Self-Regulatory Organization’s available for inspection and copying at The ISE believes that the proposed Statement of the Terms of Substance of the Commission’s Public Reference rule change is consistent with section the Proposed Rule Change Room. Copies of such filing will also be 6(b) of the Act,3 in general, and furthers available for inspection and copying at The ISE proposes to adopt monthly the objectives of section 6(b)(4) of the the principal office of the Exchange. All rental fees for computer equipment that Act,4 in particular, in that it is designed submissions should refer to the File No. ISE supplies to its members. The ISE to provide for the equitable allocation of SR–ISE–00–06 and should be submitted also is clarifying that it applies its reasonable dues, fees, and other charges by October 13, 2000. existing annual access fee for among ISE members and other persons For the Commission, by the Division of competitive and primary market makers using its facilities. on a per membership basis. Market Regulation, pursuant to delegated B. Self-Regulatory Organization’s authority.7 II. Self-Regulatory Organization’s Statement on Burden on Competition Margaret H. McFarland, Statement of the Purpose of, and Deputy Secretary. Statutory Basis for, the Proposed Rule The Exchange does not believe that [FR Doc. 00–24351 Filed 9–21–00; 8:45 am] Change the proposed rule change will impose any burden on competition. BILLING CODE 8010±01±M In its filing with the Commission, the ISE included statements concerning the C. Self-Regulatory Organization’s 5 15 U.S.C. 78s(b)(3)(A)(ii). purpose of and basis for the proposed Statement on Comments on the 6 17 CFR 240.19b–4(f)(2). At the Exchange’s rule change and discussed any Proposed Rule Change Received From request, the inadvertent citation to paragraph (e) of comments it received on the proposed Members, Participants, or Others Rule 19b–4 in the filing originally received by the rule change. The text of these statements Commission on August 3, 2000, has been changed Written comments were neither to the correct citation—paragraph (f)(2). Telephone conversation between Katherine Simmons, Vice 8 solicited nor received. 15 U.S.C. 78s(b)(2). President and Associate General Counsel, ISE, and 9 17 CFR 200.30–3(a)(12). Geoffrey Pemble, Attorney, Division of Market 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78f(b). Regulation, Commission, on September 15, 2000. 2 17 CFR 240.19b–4. 4 15 U.S.C. 78f(b)(4). 7 240 CFR 200.30–3(a)(12).

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57413

SECURITIES AND EXCHANGE After the appointment of an arbitrator arbitrator form rendering an objective COMMISSION and prior to the commencement of the and impartial determination described earlier of (A) the first pre-hearing in paragraph (a) is a continuing duty [Release No. 34±43291; File No. SR±NASD± 00±34] conference or (B) the first hearing, if the that requires a person who accepts Director or a party objects to the appointment as an arbitrator to disclose, Self-Regulatory Organizations; Notice continued service of the arbitrator, the at any stage of the arbitration, any such of Filing of Proposed Rule Change by Director shall determine if the arbitrator interests, relationships, or the National Association of Securities should be disqualified. If the Director circumstances that arise, or are recalled Dealers, Inc. Relating to the Authority sends a notice to the parties that the or discovered. of the Director of Arbitration to arbitrator shall be disqualified, the (d) Removal by Director Remove Arbitrators for Cause arbitrator will be disqualified unless the [Prior to the commencement of the parties unanimously agree otherwise in earlier of (1) the first pre-hearing September 14, 2000. writing and notify the Director not later conference or (2) the first hearing, the] Pursuant to section 19(b)(1) of the than 15 days after the Director sent the (1) The Director may remove an Securities Exchange Act of 1934 notice. arbitrator based on information that is 1 2 (‘‘Act’’) and Rule 19b–4 thereunder, (2) [Authority of Director to Disqualify required to be disclosed pursuant to this notice is hereby given that on June 13, Ceases] Removal by Director Rule. 2000, the National Association of After the commencement of the (2) After the commencement of the Securities Dealers, Inc. (‘‘NASD’’ or earlier of (A) the first pre-hearing earlier of (A) the first pre-hearing ‘‘Association’’), through its wholly conference or (B) the first hearing, the conference or (B) the first hearing, the owned subsidiary NASD Dispute Director[’s authority to] may remove an Director may remove an arbitrator based Resolution, Inc. (‘‘NASD Dispute arbitrator from an arbitration panel only on information not known to the Resolution’’), filed with the Securities [ceases] based on information that is parties when the arbitrator was selected. and Exchange Commission required to be disclosed pursuant to The Director’s authority under this (‘‘Commission’’ or ‘‘SEC’’) the proposed Rule 10312 and that was not previously subparagraph (2) may be exercised only rule change as described in Items I, II, disclosed. by the Director or the President of NASD and III below, which Items have been (3) Unchanged. Dispute Resolution. (e) Unchanged. prepared by NASD Dispute Resolution. (e) [Prior to the commencement of the On July 28, 2000, NASD Dispute * * * * * earlier of (1) the first pre-hearing Resolution submitted Amendment No. 1 conference or (2) the first hearing, t]The 3 10312. Disclosures Required of to the proposed rule change. The Arbitrators and Director’s Authority to Director shall inform the parties to an Commission is publishing this notice of Disqualify arbitration proceeding of any the rule change, as amended, to solicit (a) Each arbitrator shall be required to information disclosed to the Director comments on the proposed rule change under this Rule unless either the from interested persons. disclose to the Director of Arbitration any circumstances which might arbitrator who disclosed the information I. Self-Regulatory Organization’s preclude such arbitrator form rendering withdraws voluntarily as soon as the Statement of the Terms of Substance of an objective and impartial arbitrator learns of any interest, [or] the Proposed Rule Change determination. Each arbitrator shall relationship, or circumstances described in paragraph (a) that might preclude the NASD Dispute Resolution proposes to disclose: arbitrator from rendering an objective amend NASD Rules 10308 and 10312 to (1) Any direct or indirect financial or and impartial determination in the provide authority for the Director of personal interest in the outcome of the proceeding, or the Director removes the Arbitration (‘‘Director’’) to remove arbitration; arbitrator. arbitrators for cause after hearings have (2) Any existing or past financial, [(f) After the commencement of the begun. Below is the text of the proposed business, professional, family, [or] earlier of (1) the first pre-hearing rule change. Proposed new language is social, or other relationships or conference or (2) the first hearing, the italicized; proposed deletions are in circumstances that are likely to affect Director’s authority to remove an brackets. impartiality or might reasonably create an appearance of partiality or bias. arbitrator from an arbitration panel 10000. CODE OF ARBITRATION Persons requested to serve as arbitrators ceases. During this period, the Director PROCEDURE should disclose any such relationships shall inform the parties of any * * * * * or circumstances that they [personally] information disclosed by an arbitrator have with any party or its counsel, or under this Rule.] 10308. Selection of Arbitrators with any individual whom they have * * * * * (a)–(c) Unchanged. been told will be a witness. They should (d) Disqualification and Removal of II. Self-Regulatory Organization’s also disclose any such relationship or Statement of the Purpose of, and Arbitrator Due to Conflict of Interest or circumstances involving members of Bias. Statutory Basis for, the Proposed Rule their families or their current Change (1) Disqualification by Director employers, partners, or business associates. In its filing with the Commission, 1 15 U.S.C. 78s(b)(1). (b) Persons who are requested to NASD Dispute Resolution included 2 17 CFR 240.19b–4. accept appointment as arbitrators statements concerning the purpose of 3 See letter from Jean I. Feeney, Special Advisor to the President, NASD Dispute Resolution, to should make a reasonable effort to and basis for the proposed rule change Katherine A. England, Assistant Director, Division inform themselves of any interest, [or] and discussed any comments it received of Market Regulation (‘‘Division’’), Commission, relationships or circumstances on the proposed rule change. The text dated July 27, 2000. In Amendment No. 1, NASD described in paragraph (a) above. of these statements may be examined at Regulation clarifies certain portions of the description of the proposed rule change and makes (c) The obligation to disclose the places specified in Item IV below. technical amendments to the text of the proposed interests, relationships, or NASD Dispute Resolution has prepared rule language. circumstances that might preclude an summaries, set forth in Sections A, B,

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57414 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices and C below, of the most significant receive information about any In summary, when a for-cause aspects of such statements. arbitrators appointed by extending the objection is raised after the first pre- list, and have the right to object as hearing or hearing session, the arbitrator A. Self-Regulatory Organization’s provided in Rule 10308(d)(1), which is can only be removed where (1) he or she Statement of the Purpose of, and similar to the former challenge for cause agrees to step down, or (2) all the parties Statutory Basis for, the Proposed Rule agree that the arbitrator should be Change procedure under Rule 10311. Rule 10308(c)(4)(A) provides that the removed. Failing that, an aggrieved 1. Purpose Director appoints arbitrators ‘‘subject to party’s only recourse is to seek judicial The Code of Arbitration Procedure availability and disqualification.’’ intervention, which increases the (‘‘Code’’) presently providezs that the ‘‘Availability’’ refers to the arbitrator’s party’s legal expenses, and which could authority of the Director of Arbitration ability to serve on the case in the reduce confidence in the fairness and 7 to remove an arbitrator for cause ceases desired location during the relevant efficiency of the arbitration process. after the earlier of the first pre-hearing time period. ‘‘Disqualification’’ could NASD Dispute Resolution believes conference or the first hearing. The occur either when a disqualifying fact is that an alternative dispute resolution proposed rule change would amend the revealed to the Director after the parties forum should be able to resolve all issues relating to an arbitration without Code to eliminate this restriction, and to have completed the striking and ranking forcing the parties to go to court. As allow the Director to remove an process, or when the Director consults presently written, the Code does not arbitrator for sufficient cause shown at with a ranked candidate just prior to permit the Director to remove an any juncture, where there is a challenge appointment and the candidate, upon arbitrator for cause after the first pre- based on information not known to the hearing more case-specific information, hearing or hearing session has parties at the time of the arbitrator’s reveals information that the Director’s commenced, no matter how egregious appointment. staff determines is a basis for the circumstances. Accordingly, NASD disqualification. In the latter case, the 2. Background and Discussion Dispute Resolution proposes that the Director would either drop the arbitrator In order to protect the integrity of the Code be amended to permit the Director or disclose the information to the to remove an arbitrator for cause at any process and to ensure the impartiality of parties. arbitrators, Rule 10312(a) requires that time, if there is a challenge to the arbitrators make full disclosure of Under Rule 10312(c), an arbitrator’s arbitrator based on information not certain enumerated interests, disclosure obligation continues known to the parties when the arbitrator relationships, and circumstances, as throughout the arbitration. If a was appointed. In addition, NASD well as ‘‘any circumstances which might disqualifying fact comes to light after a Dispute Resolution proposes certain preclude such arbitrator from rendering panel has been appointed, Rules minor language changes to clarify that an objective and impartial 10308(d) and 10312(d) permit the both relationships and circumstances determination.’’ Prior to implementation Director to remove an arbitrator based must be disclosed if they fit within the of the Neutral List Selection System on such information before the earlier of criteria of Rule 10312, and that the Rule (‘‘list selection’’) in November 1998, the the first pre-hearing conference or the is not limited to personal relationships 6 Code required the Director to inform the first hearing. Once one of these events and circumstances of the arbitrator, as parties of information disclosed by the occurs, Rules 10308(d)(2) and 10312(f) described in more detail below. arbitrator at least 15 days before the first specifically state that the Director’s NASD Dispute Resolution believes hearing. Parties were allowed one authority to remove an arbitrator ceases. there are four major reasons for the peremptory challenge and unlimited Nevertheless, Rule 10312(f) requires proposed rule change: challenges for cause under Rule 10311.4 the Director to inform the parties of any Under the list selection method, Rule potentially disqualifying information 7 In Commonwealth Coatings Corp. v. Continental Casualty Co., 393 U.S. 145, 151 (footnote omitted) 10311 no longer applies. Rather, Rule disclosed after the first pre-hearing or (1968), which vacated an award because of an 10308(b)(6) requires the Director to send hearing session. At that point, however, arbitrator’s failure to disclose a business the parties the employment history and a party can no longer use a challenge for relationship with one of the parties, Justices White other background information about the cause to remove the arbitrator. Rather, and Marshall noted in their concurring opinion: arbitrators on their lists. The parties the parties can only attempt to resolve The arbitration process functions best when an amicable and trusting atmosphere is preserved and may request additional information. the matter themselves, which can be there is voluntary compliance with the decree, Then, as provided in Rule 10308(c), difficult in the adversarial setting of an without need for judicial enforcement. This end is they may strike arbitrators from the list ongoing arbitration. The parties may best served by establishing an atmosphere of for any reason, and rank those who agree that the arbitrator be removed, in frankness at the outset, through disclosure by the arbitrator of any financial transactions which he has 5 remain. The Director (or his staff) which case the arbitration may continue had or is negotiating with either of the parties. In consolidates the parties’ lists in ranking with the two remaining arbitrators or a many cases the arbitrator might believe the business order and, if the number of arbitrators replacement may be appointed under relationship to be so insubstantial that to make a available to serve from the consolidated Rule 10313. If all the parties do not point of revealing it would suggest he is indeed easily swayed, and perhaps a partisan of that party. list is not sufficient to fill a panel, the agree, a party objecting to the continued But if the law requires the disclosure, no such Director uses NLSS to extend the list service of the arbitrator may make a imputation can arise. And it is far better that the and appoints one or more additional formal request for the arbitrator to relationship be disclosed at the outset, when the arbitrators to complete the panel. Parties recuse himself or herself; however, the parties are free to reject the arbitrator or accept him with knowledge of the relationship and continuing arbitrator may decline the request. The faith in his objectivity, than to have the relationship 4 The standard for circumstances that would be Director may suggest that the arbitrator come to light after the arbitration, when a considered ‘‘for cause’’ would be the same as the withdraw voluntarily, but may not suspicious or disgruntled party can seize on it as general disclosure standard contained in Rule remove the arbitrator. a pretext for invalidating the award. The judiciary 10312: ‘‘any circumstances which might preclude should minimize its role in arbitration as judge of such arbitrator from rendering an objective and the arbitrator’s impartiality. That role is best impartial determination.’’ 6 Rule 10308(d) states that either the Director or consigned to the parties, who are the architects of 5 Rule 10103 provides that the duties and a party may object to the continued service of the their own arbitration process, and are far better functions of the director may be delegated, as arbitrator, whereas Rule 10312(d) does not indicate informed of the prevailing ethical standards and appropriate. that a specific objection is required. reputations within their business.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57415

The present rule is no longer JAMS,11 whose rules permit the obtained from some other source, that necessary. The present rule language administering organization to remove an should have been disclosed by the reflects a long-standing policy of the arbitrator for cause at any time in the arbitrator. Consistent with the rules of NASD and all other SROs that arbitration process. other dispute resolution forums, NASD administer securities arbitration, that The present rule invites delay and Dispute Resolution proposes to amend the Director may not remove an administrative disruption. The present the Code to permit the Director to arbitrator after the hearings have rule invites delays in the process, while entertain for-cause challenges based on commenced. In addition, the Securities parties wrestle with the issue of for- sources in addition to the arbitrator. Industry Conference on Arbitration cause challenges to sitting arbitrators, Therefore, the proposed changes would (SICA) adopted an amendment to the and perhaps seek judicial intervention. allow the Director to remove an Uniform Code of Arbitration at its In the NASD Dispute Resolution forum, arbitrator based on information that is meeting on March 14, 2000, which is there have been situations in which required to be disclosed pursuant to analogous to this proposed rule change.8 viable for-cause challenges were raised Rule 10312 and that was not previously That policy was designed, in part, to after the Director’s authority to remove disclosed. eliminate any perception that member arbitrators ceased. Under current rules, Some users of the arbitration forum firms could influence the composition the Director would be unable to rule on may be concerned about giving more of the panel after hearings have the merits of such challenges, despite power to NASD Dispute Resolution staff commenced. The proposed amendment clear substantive grounds supporting to remove arbitrators who were selected reflects the greater acceptance that removal, and the prevailing party would by the parties. To address that concern, arbitration now enjoys. In addition, the be subject to the risk of having the the proposed rule change provides that corporate separation of the market and award vacated on grounds of evident the only persons who can remove regulation functions, and the spin-off of partiality. 12 arbitrators under the proposed the NASD Regulation Office of Dispute The arbitrator should not be the only amendments will be the Director and Resolution as a separate company 9 source of information. Rule 10312 of the the President (following the spin-off), to increase the independence of the Code can be interpreted to limit the whom he reports. This authority cannot Director and diminish the need for the Director’s authority to challenges based be delegated. In addition, as discussed present rule. on information disclosed by the above, removal can only be based on The present rule is inconsistent with arbitrator under that rule. This could information that was required to be the concept of administered arbitration. prevent the Director from entertaining a disclosed pursuant to Rule 10312 and NASD Dispute Resolution offers an challenge based on information, that was not known to the parties at the ‘‘administered’’ arbitration system, in time the arbitrator was appointed. that the parties submit their dispute to communicate the information to the parties and, if it deems it appropriate to do so, to the arbitrator b. Description of Proposed Amendments NASD Dispute Resolution for complete and others. NASD Dispute Resolution proposes to administration of the dispute, from (b) Upon objection of a party to the continued filing a claim to issuance of an award. service of a neutral arbitrator, the AAA shall amend Rule 10308, the list selection One of the key benefits of administered determine whether the arbitrator should be rule, to provide that the authority of the arbitration is the ability to have all disqualified and shall inform the parties of its Director to disqualify or remove decision, which shall be conclusive. arbitrator does not end when the first ancillary issues relating to the 11 The Procedures for Securities Arbitrations arbitration—such as removal of Administered by JAMS Under the Securities pre-hearing or hearing session begins. arbitrators for cause—resolved without Industry Conference on Arbitration Non-SRO Pilot Rather, proposed Rule 10308(b)(2) recourse to the courts. Moreover, the Program (Website visited June 1, 2000) http:// provides that, after that first session, the www.jamsadr.com/arbitrationrules/ present rule is inconsistent with the Director may remove an arbitrator from securitiesarab.htm#13. Disclosure, provide: an arbitration panel based on approaches of other major dispute Section 13. Disclosure and Challenge Procedure resolution forums, such as the American Any person appointed as an arbitrator must information that is required to be Arbitration Association (‘‘AAA’’) 10 and disclose to JAMS any circumstance likely to affect disclosed pursuant to Rule 10312 and impartiality, including any bias or any financial or that was not previously disclosed. personal interest in the result of the arbitration or 8 Section 11 of the Uniform Code of Arbitration, NASD Dispute Resolution proposes to any past or present relationship with the parties or Disclosures Required by Arbitrations, was revised their representatives. Upon receipt of such amend Rule 10312, the arbitrator to read as follows: information from the arbitrator or other source, disclosure rule, in several places. NASD (e) Once the hearings have commenced, the JAMS will communicate the information to the Dispute Resolution proposes to amend Director may remove an arbitrator based only on parties and, if it deems it appropriate to do so, to Rule 10312(a)(2) to include any existing information required to be disclosed under the arbitrator and others. Upon objection of a party subsection (a), not known to the parties when the to the continued service of an arbitrator, JAMS will or past financial, business, professional, arbitrator was selected. The Director’s authority determine whether the arbitrator should be family, social, or other relationships or under this subsection (e) may not be delegated. disqualified and will inform the parties of its circumstances that are likely to affect 9 See Exchange Act Release No. 41971 (Sept. 30, decision, which will be conclusive. 1999) (File No. SR–NASD–99–21), 64 FR 55793 impartiality or might reasonably create 12 Under the Federal Arbitration Act, courts may an appearance of partiality or bias. (Oct. 14, 1999), which approved creation of a new vacate arbitration awards for, among other reasons, dispute resolution subsidiary, NASD Dispute ‘‘evident partiality or corruption in the arbitrators.’’ NASD Dispute Resolution proposes to Resolution, Inc. That subsidiary began operations 9 U.S.C. Sec. 10(a)(2). See e.g., Wages v. Smith delete the word ‘‘personally’’ from Rule on July 9, 2000. Barney Harris Upham & Co., 937 P.2d 715 (Ariz. Ct. 10312(a)(2), as it might be read too 10 The Commercial Dispute Resolution App. 1997), in which the court vacated an award narrowly, and to add the phrase ‘‘or Procedures of the AAA (January 1, 1999), provides to investors of $950,000 plus costs and fees, where as follows: the chair of an arbitration panel declined to rescue circumstances’’ to paragraphs (b) and (e) R–19. Disclosure and Challenge Procedure himself after it was learned that he had represented of Rule 10312. This will clarify that the (a) Any person appointed as a neutral arbitrator claimants in a similar matter against a predecessor arbitrator is required to disclose any shall disclose to the AAA any circumstance likely of the respondent firm; the court found that the relationships or circumstances that to affect impartiality or independence, including arbitrator’s later harsh rulings against respondent 13 any bias or any financial or personal interest in the showed evident partiality. See also Schmitz v. might fit under Rule 10312. result of the arbitration or any past or present Zilveti et al., 20 F.3d 1043, 1049 (9th Cir. 1994) (‘‘A relationship with the parties or their finding of evident partiality in one arbitrator 13 The deletion of the word ‘‘personally’’ was also representatives. Upon receipt of such information generally requires vacatur of the arbitration made to the Uniform Code of Arbitration at SICA’s from the arbitrator or another source, the AAA shall award.’’). Continued

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57416 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

NASD Dispute Resolution also appropriate in furtherance of the SECURITIES AND EXCHANGE proposes to amend Rule 10312 to purposes of the Act. COMMISSION provide, as in Rule 10308, that the C. Self-Regulatory Organization’s [Release No. 34±43293; File No. SR±PCX± Director’s authority to remove Statement on Comments on the 99±36] arbitrators does not cease with the first Proposed Rule Change Received From pre-hearing or hearing session. There Members, Participants, or Others Self-Regulatory Organizations; Order are two restrictions on the exercise of Granting Approval to Proposed Rule this authority, however, once such Written comments were neither Change and Amendment No. 1 by the sessions have begun. Proposed Rule solicited nor received. Pacific Exchange, Inc. Relating to 10312(d)(2) provides that, after the III. Date of Effectiveness of the Options Trading Rules earlier of the first pre-hearing Proposed Rule Change and Timing for conference or the first hearing, the September 14, 2000. Commission Action Director may remove an arbitrator based I. Introduction only on information not known to the Within 35 days of the date of On October 1, 1999, the Pacific parties when the arbitrator was selected. publication of this notice in the Federal Exchange, Inc. (‘‘PCX’’ or ‘‘Exchange’’) This provision is intended to prevent Register or within such longer period (i) submitted to the Securities and parties from raising challenges late in as the Commission may designate up to Exchange Commission (‘‘SEC’’ or the process which could have been 90 days of such date if it finds such ‘‘Commissiion’’), pursuant to section raised at the outset. Rule 10312(d)(2) longer period to be appropriate and 19(b)(1) of the Securities Exchange Act also will provide that the Director’s publishes its reasons for so finding or of 1934 (‘‘Act’’) 1 and Rule 19b–4 authority under this subparagraph may (ii) as to which the self-regulatory thereunder,2 a proposed rule change to only be exercised by the Director or by organization consents, the Commission modify its options trading rules. the President of NASD Dispute will: Amendment No. 1 was filed with the Resolution. 14 (A) By order approve such proposed Commission on March 28, 2000.3 The Finally, NASD Dispute Resolution rule change, or proposed rule change was published for proposes to amend Rule 10312(e) (B) Institute proceedings to determine comment in the Federal Register on consistently with the above changes, to whether the proposed rule change April 4, 2000.4 No comments were delete language limiting the time within should be disapproved. received on the proposal. This order which the Director may remove approves the proposal, as amended. arbitrators for cause; and Rule 10312(f) IV. Solicitation of Comments is deleted as no longer necessary in light Interested persons are invited to II. Description of the Proposal of the proceeding changes. submit written data, views, and The proposed rule change would 2. Statutory Basis arguments concerning the foregoing, make the following changes to the text including whether the proposed rule is of the PCX rules on options trading. NASD Dispute Resolution believes consistent with the Act. Persons making A. Definition of Term ‘‘Option Issue’’ that the proposed rule change is written submissions should file six consistent with the provisions of section The proposal would adopt new Rule 15 copies thereof with the Secretary, 15A(b)(6) of the Act, which requires, Securities and Exchange Commission, 6.1(b)(12) to define the term ‘‘option among other things, that the 450 Fifth Street, NW., Washington, DC issue’’ as ‘‘the option contract overlying Association’s rules must be designed to 20549–0609. Copies of the submission, a particular underlying security.’’ The prevent fraudulent and manipulative all subsequent amendments, all written Exchange notes that the commonly-used acts and practices, to promote just and statements with respect to the proposed term ‘‘issue’’ appears in several equitable principles of trade, and, in rule change that are filed with the locations in the PCX Rulels.5 The general, to protect investors and the Commission, and all written Exchange believes that the term ‘‘issue’’ public interest. The NASD believes that communications relating to the means the same as ‘‘option’’ or ‘‘option the proposed rule change will protect proposed rule change between the contract’’ when used, for example, as in the public interest by providing a Commission and any person, other than PCX Rule 6.65(a), which states: procedure to remove an arbitrator for those that may be withheld from the ‘‘Trading on the Exchange in any option sufficient cause shown at any time in an public in accordance with the contract shall be halted or suspended arbitration, where the challenge is based provisions of 5 U.S.C. 552, will be on information not known to the parties available for inspection and copying in 1 15 U.S.C. 78s(b)(1). at the time of the arbitrator’s the Commission’s Public Reference 2 17 CFR 240.19b–4. appointment. 3 In Amendment No. 1, the Exchange withdrew Room. Copies of such filing will also be the proposed changes to PCX Rule 6.6 because the B. Self-Regulatory Organization’s available for inspection and copying at changes were previously made and approved in Statement on Burden on Competition the principal office of the NASA. All Securities Exchange Act Release No. 40875 submissions should refer to File No. (December 31, 1998), 64 FR 1842 (January 12, 1999). NASD Dispute Resolution does not SR–NASD–00–34 and should be See letter from Michael D. Pierson, Director- believe that the proposed rule change Regulatory Policy, PCX, to Heather Traeger, submitted by October 13, 2000. will result in any burden on Attorney, Division of Market Regulation, SEC, on For the Commission, by the Division of March 27, 2000 (‘‘Amendment No. 1’’). competition that it not necessary or 4 Market Regulation, pursuant to delegated Securities Exchange Act Release No. 42590 authority.16 (March 29, 2000), 65 FR 17690. March 14, 2000 meeting. See supra note 8. The 5 See, e.g., PCX Rule 6.8 Com. .08(a) (‘‘If a firm word ‘‘addition’’ was removed from this sentence Margaret H. McFarland, desires to facilitate customer orders in the XYZ and replaced with the word ‘‘deletion.’’ Telephone option issue * * *.’’); PCX Rule 6.28(a)(9) (‘‘the conversation between Jean I. Feeney, Special Deputy Secretary. permissible size of orders that may be Advisor to the President, NASD Dispute Resolution, [FR Doc. 00–24389 Filed 9–21–00; 8:45 am] automaticallay executed’’ may be increased ‘‘in a and Joseph Corcoran, Attorney, Division, BILLING CODE 8010±01±M particular issue, or for all option issues.* * *’’); PCX Commission, on September 14, 2000. Rule 6.82(e) (‘‘[t]he allocation of option issues to 14 Id. LMMs shall be effected by the Options Allocation 15 15 U.S.C. 78o–3(b)(6). 16 17 CFR 200.30–3(a)(12). Committee.* * *’’).

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00108 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57417

whenever * * *.’’ However, the PCX Rule 5.2(a) either does not apply to sell twenty option contracts enters a Exchange believes that the use of the options trading 9 or is superfluous.10 trading crowd and calls for a market. terms ‘‘option’’ and ‘‘option contract’’ • PCX Rule 5.6(a)—‘‘Bids—Offers— Next, assume that there are two would often result in ambiguities that Quotations.’’ 11 The Exchange believes responses: (1) A floor broker holding an the use of ‘‘issue’’ would not create. that PCX Rule 6.74 12 adequately covers ‘‘all or none’’ order for twenty contracts While the term ‘‘class of options’’ is the meaning of bids and offers as for a customer bids $3, and (2) a market used in many PCX Rules to refer applied to options trading. Further the maker bids $3. Under current practices generally to options overlying a Exchange believes that the part of PCX and consistent with PCX Rule 6.75(a), if Rule 5.6 covering the display of bids particular underlying security,6 the the broker were first to vocalize a bid, and offers on other market centers is Exchanges believes that the use of the the broker would have first priority to superfluous in light of PCX Rule 6.73, execute the order.16 However, if PCX term ‘‘class’’ can be ambiguous because which provides the requirements for Rule 5.6(c) were applied, the market it may refer either to a ‘‘put class’’ or a bids and offers to have standing on the 7 maker’s bid would have priority, even if ‘‘call class.’’ Accordingly, the proposed Options Floor.13 Moreover, bids and it were made second in sequence. The rule change would formally adopt the offers are not displayed on the Options Exchange believes that PCX Rule 6.75 definition of the term ‘‘option issue.’’ Floor for Intermarket Trading System should prevail over PCX Rule 5.6(c), in B. General Rules Applicable to Options (‘‘ITS’’) purposes. accordance with current practices. • PCX Rule 5.6(b)—‘‘Regular Way.’’ 14 • Trading PCX Rule 5.8(d)—‘‘Simultaneous The Exchange believes that the current Bids and Offers.’’ 17 The Exchange notes PCX Rule 6.1 sets forth a list of cross-reference to this equity trading that simultaneous bids and offers are general PCX trading rules that are rule is also superfluous because, unlike not recognized in the general rules on applicable, by cross-reference, to settlement of equity securities, priority of bids and offers for options Exchange transactions in option settlement of option contracts is not contracts. The Exchange believes that contracts. Most of these rules relate based on a distinction between ‘‘regular PCX Rules 6.75 and 6.76 are exhaustive way’’ and ‘‘non-regular way.’’ and that the cross-reference to Rule primarily to the trading of equity • 15 PCX Rule 5.6(c)—‘‘All or None.’’ 5.8(d) is erroneous. securities on the Exchange. The The Exchange believes that the cross- • proposed rule change would remove PCX Rule 5.8(h)—‘‘Marking Stop reference to this equity trading rule is Loss Orders.’’ 18 This rule covers the PCX Rules 5.2(a), 5.6(a)–(c), 5.8(d), erroneous and inconsistent with current manual handling of stop loss orders. 5.8(h), 5.12(a) and 5.13(a)–(b) from that practices. For example, assume that a The Exchange believes that the list. Each of the cross-references to be floor broker who is holding an order to procedure covered by this rule is removed is discussed below: unnecessary and that the responsibility • PCX Rule 5.2(a)—‘‘Types of 9 ‘‘GTX’’ orders are not recognized on the Options of floor brokers to use due diligence in 8 Floor. See PCX Rule 5.25(f) (‘‘GTX Orders Under P/ Orders.’’ The Exchange believes that COAST’’). their handling of orders, as codified in the first part of this rule—the part 10 The Exchange believes that the order ticket the rules on option trading, is stating that all orders on the Exchange requirement of PCX Rule 5.2(a) is superfluous sufficient.19 must be ‘‘day,’’ ‘‘immediate or cancel’’ because current PCX Rules 6.67–6.69 expressly • PCX Rule 5.12(A)—‘‘Seller cover the use of order tickets for option orders. Responsible for Recording.’’ 20 The or ‘‘good ’til canceled’’—applies to 11 PCX Rule 5.6(a) states: ‘‘Bids and offers shall options trading, and accordingly, the be for one trading unit or multiples thereof to Exchange believes that the specific proposed rule change would adopt PCX constitute an Exchange quotation. Bids and offers procedures currently set forth for Rule 6.62, Commentary .01, to in other market centers which may be displayed on reporting options transactions—codified the Floor for the purpose of ITS or other purposes in PCX Rule 6.69 and OFPA G–12— incorporate this part of the rule into the shall have no standing in the trading crowd on the rules on options trading. However, the Floor.’’ adequately address this procedure and Exchange believes that the remainder of 12 PCX Rule 6.74 states: ‘‘Unless otherwise that the cross-reference to PCX Rule specified, all bids or offers made on the floor shall 5.12 is unhelpful and unnecessary. be deemed to be for one option contract unless a • PCX Rule 5.13(a)–(b)— 6 See, e.g., PCX Rule 6.4(a) (‘‘After a particular specific number is expressed in the bid or offer. A ‘‘Comparisons.’’ 21 The Exchange class of option * * * has been opened for trading bid or offer for more than one option contract shall * * *.’’); PCX Rule 6.37(c) (‘‘Whenever a Market be deemed to be for that amount or any lesser 16 Maker enters the trading crowd for a class of number of option contracts, unless specified PCX Rule 6.75(a) provides in part that ‘‘If two or more bids represent the highest price * * * options in which he does not hold a Primary otherwise.’’ priority shall be afforded to such bids in the Appointment * * *’’); PCX Rule 6.64, Com. .02 13 PCX Rule 6.73 states: ‘‘Bids and offers to be effective must be made at the post by public outcry, sequence in which they are made.’’ (‘‘For those opotion classes and within such time 17 PCX Rule 5.8(d) states: ‘‘When bids or offers are periods as the Options Floor Trading Committee except that bids and offers made by the Order Book Official shall be effective if displayed in a visible made simultaneously, or when it is impossible to may designate * * *.’’). manner in accordance with PCX Rule 6.55. All bids determine clearly the order of time in which they 7 PCX Rule 6.1(a)(10) states that ‘‘[t]he term ‘class and offers shall be general ones and shall not be were made, all such bids or offers shall be on parity, of options’ means all option contracts of the same specified for acceptance by particular members.’’ except as noted in Rule 5.8(e).’’ type of option covering the same underlying stock’’ 14 PCX Rule 5.6(b) states: ‘‘Bids and offers made 18 PCX Rule 5.8(h) states: ‘‘All stop loss orders (emphasis added), while the term ‘‘type of option’’ without stated conditions shall be considered to be must clearly indicate in writing that they are such is defined in PCX Rule 6.1(a)(7) to mean ‘‘the ‘regular way.’ ‘Regular way’ bids or offers have and, in addition, the amount and the price of the classification of an option contract as either a put priority over conditional bids or offers.’’ stock appearing at the top of the buy and sell ticket or call (emphasis added).’’ Therefore, the term 15 PCX Rule 5.6(c) states: ‘‘A bid or offer may be must be circled.’’ 19 ‘‘class’’ may refer to either a put class or a call class made ‘all or none’; however, regular bids or offers See PCX Rule 6.46 (‘‘Responsibilities of Floor of option contracts. at equal or better prices shall have priority. No ‘all Brokers’’). 20 PCX Rule 5.12(a) states: ‘‘The seller shall be 8 PCX Rule 5.2(a) states: ‘‘All orders on the or none’ transaction in round lots may be effected unless all regular bids or offers at equal or better responsible for transactions being properly recorded Exchange must either be ‘day,’ ‘immediate or prices are executed thereby or simultaneously or by the floor reporters.’’ cancel,’ ‘good ’til canceled’ (‘GTC’), or ‘good ’til unless the holders of such regular bids or offers 21 PCX Rule 5.13(a) states: ‘‘Every transaction on canceled that are eligible for execution in the post— consent thereto. All bids and offers, unless the Exchange must be compared as provided herein 1:00 p.m. auction market trading and closing price specifically made ‘all or none,’ shall be subject to unless the same shall have been officially removed protection sessions’ (‘GTX’). Each class of orders split-up without objection except that in no case from the record in accordance with Exchange must be recorded on the proper ticket provided may a division of stock be made of less than round rules.’’ PCX Rule 5.13(b), Comparison Ticket, states therefore.’’ lots except by mutual consent.’’ Continued

VerDate 112000 21:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm01 PsN: 22SEN1 57418 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices believes that PCX Options Rule 6.16 E. Complaints From Floor Members change also would remove provisions adequately covers the Exchange The proposal would eliminate OFPA the Exchange believes are erroneous on procedures for comparison of trade E–5 25 and OFPA E–6 26 and replace it the specific expiration month that may information and that the cross-reference with new PCX Rule 6.2(f), which be added at the commencement of to PCX Rules 5.13(a)–(b) is superfluous. advises options floor members as to trading of a particular issue and at the where they may direct complaints time a previous month’s series expires. C. Trading Floor Badges concerning situations arising on or The rule currently states that three months will normally be opened, with The proposed rule change would relating to the Options Trading Floor. Specifically, the proposed rule would the first expiration month being within eliminate provisions currently set forth approximately three months thereafter, in OFPA F–1 and F–6 relating to trading state that Floor Members may direct complaints concerning situations arising the second month being approximately floor badges on the Options Floor that three months after the first and the third the Exchange believes are superfluous on or relating to the Options Trading Floor to the Options Surveillance being approximately three months after and unnecessary.22 The proposal also Department or to the Enforcement the second. In addition, the rule states would redesignate the remaining text of Department so that appropriate follow- that additional series of the same class those as paragraphs (d)(1) and (d)(2) of up action may be taken. may be opened for trading on the PCX Rule 6.2. Exchange at or about the time a prior F. Series of Options Open for Trading series expires, and the expiration month D. Visitors to the Options Floor The proposal would update PCX Rule of each such series shall normally be The proposal would redesignate 6.4(a) 27 so that it will conform with approximately nine months following OFPA F–2 as PCX Rule 6.2(e) (‘‘Visitors current Exchange practices by changing the expiration of such series. However, on the Options Floor’’). The proposal from three to four the number of the current industry practice is normally also would eliminate subsection 6 of different expiration months that will to add four expiration months, the first two being the two nearest months, and OFPA F–2, which limits the number of normally be opened at the the third and fourth being the next two visitors and lengths of time during commencement of trading a particular option issue.28 The proposed rule months of the quarterly cycle previously which visitors are permitted on the designated by the Exchange for that Options Floor.23 In addition, the 25 OFPA E–5 states: specific issue.29 When a previous proposal would make technical changes ‘‘A Member of the Options Floor with a expiration month’s series expires, a new to OFPA F–2 and eliminate superfluous complaint concerning a situation arising on or expiration month is added to assure that provisions, including a summary of the relating to the Floor, should: (1) Notify the there are always four expiration months. provisions of current PCX Rule 6.2(a).24 Surveillance Department of the circumstances involved, and (2) subsequent to such notification, G. Verification of Compared Trades Finally, the proposal would add a new submit the complaint in writing to the Surveillance provision to PCX Rule 6.2(e), stating Director. If the concerned Member believes it The proposal would reduce the that a group of visitors comprising more necessary for the Surveillance Department to amount of time during which members personally review or rectify the situation, a member than fifteen persons may not enter the of the Department will immediately come to the or their representatives are required to Trading Floor without prior approval of Floor. A study will be conducted on all matters remain available on the trading floor the Chair or Vice Chair of the Options referred to the Surveillance Department pursuant to after the Trade Processing Department this floor Procedure Advice. Upon completion of closes. The reduction would be based Floor Trading Committee. such study, the Member(s) filing the complaint will be informed of the conclusion (i.e., filed closed or on the number of transactions processed per trading day. Specifically, the ‘‘The comparison ticket shall contain and constitute referred to the Compliance Department for further a record of the name, quantity and price of the review or action). A written report of each study proposed rule change would require securities traded and the names of the buying and will be submitted to the Options Floor Trading that members or their representatives be Committee. General Information regarding such selling members from which daily transaction study may be given to concerned Members; available after Trade Processing closes sheets will be prepared for member firms.’’ however, the specific details shall remain for 30 to 60 minutes, depending on the 22 The provisions being eliminated include the confidential.’’ number of transactions involved. following: 26 OFPA E–6 states: ‘‘Rule 6.45 requires that each Floor Broker shall Currently, members or their ‘‘Upon receipt of a written complaint from a representatives are required by PCX have in effect a Letter of Authorization that has member of the Options Floor, the Compliance been issued for such Floor Broker by a clearing Department shall commence an investigation into Rule 6.17, Commentary .01 to remain member, and Section 77 of Rule VI requires that the allegations contained in such complaint. The available after the close as follows: each Market Maker shall have in effect a Letter of Compliance Department may, among other things, when fewer than 8,000 transactions on Guarantee which has been issued for such market interview the Complainant, and any witnesses and the Exchange have occurred, 45 maker by a clearing firm.’’ (OFPA F–6) parties to the action which gave rise to the 23 Subsection of OFPA F–2 currently provides: complaint. The Compliance Department may minutes; but when more than 8,000 ‘‘The inviting member or member organization floor request a written response from the parties involved trades have occurred, one hour and 15 manager may not sign in more than four guests at and any witnesses. Upon the Compliance minutes. Under the proposal, these any given time. Visitors may remain on the Options Department obtaining the facts pertinent to the times would be modified as follows: 0– Trading Floor a maximum of two hours during the issue, a written recommendation will be drafted trading session and one-half hour after it. Visitors, and presented to the Options Floor Trading 8,000 transactions, 30 minutes; 8,000– except those referred to in paragraph #4 above, may Committee. After the Options Floor Trading 12,000 transactions, 45 minutes; and not be allowed on the Options Trading Floor more Committee has received the written over 12,000 transactions, 60 minutes. than five times in a calendar month, regardless of recommendation of the Compliance Department, The Exchange believes that the new the duration of each visit.’’ the item should be placed on the Committee’s requirements are more reasonable and 24 This part of OFPA F–2 states: ‘‘Rule 6.2(a) agenda for discussion, and final action, insofar as limits admission to the Floor to members, the Options Floor Trading Committee is concerned. better reflect the Exchange’s needs. employees of the Exchange, clerks or messengers The Compliance Department may, in addition, employed by members, and such other persons as commence Disciplinary Proceedings based upon H. Resolution of Uncompared Trades may be provided for in the Rules. Pursuant to this any violation of the Pacific Exchange Constitution, The proposal would modify PCX Rule Rule, the Exchange encourages the presence of Rules, Commentaries or procedures uncovered 6.21 by changing the basis for appropriate visitors on the Options Trading Floor, during the investigation of the complaint.’’ but it is deemed necessary to strictly enforce certain 27 The proposal would also fix a typographical establishing a loss as the result of an procedures governing the admission to the Floor of error in PCX Rule 6.4(e). such visitors.’’ 28 Cf. CBOE Rule 5.5, Interp. & Policy .03. 29 Id.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00110 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57419 uncompared trade so that it will be the relating to fast market and unusual SECURITIES AND EXCHANGE opening price on the business day market conditions. In addition, the COMMISSION following the trade date. Currently, the proposal adds as paragraph (b)(5) a basis is the lesser of either the opening cross-reference to the current [Release No. 34±43292; File No. SR±Phlx± price on the business day following the requirement that market makers have 00±74] trade date or the price at which the under Rule 6.37(f) to trade a minimum uncompared trade was closed. After of one contract based on quoted markets Self-Regulatory Organizations; Notice careful consideration and review of this during fast markets. The proposal would of Filing of Proposed Rule Change by proposal by Exchange members and specify in new paragraph (b)(6) that the Philadelphia Stock Exchange, Inc. member firms, the Exchange proposes regular trading procedures will be Relating to the Exchange's Liability in this change in an effort to simplify and resumed when two floor officials Connection With the Administration of make uniform the administration of determine that the conditions Its Proprietary Indices pricing uncompared trades.30 The supporting the fast market no longer proposal also would require that notice September 14, 2000. of uncompared trades must be provided exist. Finally, it would remove, as no later than the scheduled unnecessary, the current provision Pursuant to section 19(b)(1) of the allowing floor officials to assign Securities Exchange Act of 1934 commencement of trading (unless a 1 2 floor official directs otherwise). The brokerage responsibilities for particular (‘‘Act’’) and Rule 19b–4 thereunder, Exchange believes that the current time series to specific floor brokers in the notice is hereby given that on August 4, requirement—15 minutes from the trading crowd during fast markets. 2000, the Philadelphia Stock Exchange, Inc. (‘‘Phlx’’ or ‘‘Exchange’’) filed with scheduled commencement of trading— III. Discussion is overly flexible. the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) The Commission finds that the I. Reports of Open Exercise Positions the proposed rule change as described proposed rule change is consistent with in Items I, II, and III below, which Items The proposal would clarify and the requirements of the Act and the have been prepared by the Phlx. The simplify PCX Rule 6.27, which currently rules and regulations thereunder requires member organizations to file Commission is publishing this notice to applicable to a national securities certain reports on open positions with solicit comments on the proposed rule exchange, and in particular, with the the Exchange. The proposed rule change 32 change from interested persons. would include the last sentence of PCX requirements of Section 6(b). The Rule 6.27, the text of commentary .01 to proposal would modify certain rules I. Self-Regulatory Organization’s that rule, and eliminate commentaries relating to options trading on the PCX Statement of the Terms of Substance of .01, .02 and .03.31 As amended, PCX by clarifying existing provisions, the Proposed Rule Change Rule 6.27 would provide that the eliminating unnecessary provisions, and codifying current policies and The Exchange proposes to amend Exchange may require each member Phlx Rule 1102A, Limitation of organization to file with the Exchange a procedures. By clarifying and updating its rules and obligations for market Exchange Liability, to add to the report, as of the 15th of each month, of limitation of the Exchange’s liability, in participants, the Commission believes all open positions resulting from the connection with its administration of exercise of options contracts in accounts the proposal is consistent with the Act Phlx proprietary indexes, negligent acts carried by a member organization. It and will promote just and equitable or omissions. Below is the text of the would then incorporate current principles of trade, foster cooperation proposed rule change. Additions are Commentary .01 into the rule by adding and coordination with persons engaged italicized; deletions are in brackets. that such reports, when required, must in regulating, clearing, settling, be filed no later than the second processing information with respect to, Rule 1102A Limitation of Exchange business day following the day as of and facilitating transactions in Liability which the report is made. securities, and protect investors and the Neither the Exchange, the Reporting J. Fast Markets public interest.33 Authority nor any agent of the Exchange shall have any liability for damages, claims, The proposal would change PCX Rule IV. Conclusion losses or expenses caused by any errors, 6.28 by redesignating OFPA G–9 as omissions, or delays in calculating or paragraph (b) of PCX Rule 6.28. It Is Therefore Ordered, pursuant to section 19(b)(2) of the Act,34 that the disseminating the current index value or the Currently, OFPA G–9 lists procedures closing index value resulting from any proposed rule change (SR–PCX–99–36), that become effective in a fast market negligent act or omission by the Exchange or situation. The Exchange proposes this as amended, is approved. any [an] act, condition or cause beyond the change to simplify and consolidate rules For the Commission, by the Division of reasonable control of the Exchange, Market Regulation, pursuant to delegated including, but not limited to, an act of God; 30 Cf. CBOE Rule 6.61, Interp. & Policy .01. authority.35 fire; flood; extraordinary weather conditions; 31 Commentary .02 provides: ‘‘An open exercise war; insurrection; riot; strike; accident; action position shall include any position with respect to Margaret H. McFarland, which the Options Clearing Corporation has Deputy Secretary of government; communications or power assigned an exercise notice to the member failure; equipment or software malfunction; [FR Doc. 00–24353 Filed 9–21–00; 8:45 am] organization and the member organization has not any error, omission or delay in the reports of delivered the shares of the underlying stock in BILLING CODE 8010±01±M transactions in one or more underlying accordance with the Rules of the Options Clearing Corporation and these Rules.’’ Commentary .03 securities; or any error, omission or delay in 32 provides: ‘‘All such reports shall be delivered to the 15 U.S.C. 78f(b). the reports of the current index value or the Department of Member Organizations of the 33 In approving this rule, the Commission has closing index value by the Exchange or the Exchange.’’ The Exchange does not believe that a considered the proposed rule’s impact on Reporting Authority. specific department needs to be identified in this efficiency, competition, and capital formation. 15 rule and, in any event, member firms are currently U.S.C. 78c(f). on notice that such reports must be filed with the 34 15 U.S.C. 78s(b)(2). 1 15 U.S.C. 78s(b)(1). Department of Options Surveillance. 35 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00111 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57420 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

II. Self-Regulatory Organization’s negligent conduct, in addition to IV. Solicitation of Comments Statement of the Purpose of, and conduct beyond the Exchange’s The Commission invites interested Statutory Basis for, the Proposed Rule reasonable control, currently covered by persons to submit written data, views, Change Phlx Rule 1102A. Other exchanges, and arguments concerning the In its filing with the Commission, the including the American Stock Exchange foregoing, including whether the 4 Phlx included statements concerning (‘‘Amex’’), disclaim liability for proposed rule change is consistent with the purpose of, and basis for, the negligent conduct in connection with the Act. Persons making written proposed rule change and discussed any their index operations. Further, the submissions should file six copies comments it received on the proposed Exchange acknowledges that Phlx Rule thereof with the Secretary, Securities rule change. The text of these statements 1102A cannot be relied upon by the and Exchange Commission, 450 Fifth may be examined at the places specified Exchange to limit its liability to non- Street, NW., Washington, DC 20549– in Item IV below. The Phlx has prepared members or for any intentional or 0609. Copies of the submission, all summaries, set forth in Sections A, B, negligent violation of federal securities subsequent amendments, all written and C below, of the most significant laws. statements with respect to the proposed aspects of such statements. 2. Statutory Basis rule change that are filed with the Commission, and all written A. Self-Regulatory Organization’s For these reasons, the proposed rule communications relating to the Statement of the Purpose of, and change is consistent with Section 8 of proposed rule change between the Statutory Basis for, the Proposed Rule the Act in general, and with section Commission and any person, other than Change 6(b)(5) 5 of the Act specifically, in that those that may be withheld from the it is designed to perfect the mechanisms 1. Purpose public in accordance with the of a free and open market and a national provisions of 5 U.S.C. 552, will be The purpose of the proposed rule market system, to promote just and available for inspection and copying in change is to expand the limitation of the equitable principles of trade, and to the Commission’s Public Reference Exchange’s liability in connection with protect investors and the public interest, Room. Copies of such filing will also be its administration of Phlx proprietary by defining the scope of the Exchange’s available for inspection and copying at indices. The Exchange currently lists liability, thereby, putting investors on and trades options on a number of the principal office of the Phlx. All notice that the Exchange is not liable for proprietary indices, and new indices submissions should refer to File No. negligent conduct in connection with its continue to be developed from time to SR–Phlx–00–74 and should be administration of Phlx proprietary time.3 There is a great deal of work submitted by October 13, 2000. indices, in addition to conduct beyond involved in the daily calculation and the Exchange’s reasonable control, For the Commission, by the Division of dissemination of these indices. While currently covered by Rule 1102A. Market Regulation, pursuant to delegated much of such work is automated, authority.6 manual input is still required. Thus, the B. Self-Regulatory Organization’s Margaret H. McFarland, potential for human error exists which Statement on Burden on Competition Deputy Secretary. exposes the Exchange to a risk of The Phlx does not believe that the [FR Doc. 00–24352 Filed 9–21–00; 8:45 am] liability. Potential human errors include proposed rule change will impose any BILLING CODE 8010±01±M inputting a symbol or index value burden on competition. incorrectly or missing a corporate action that has an effect on the index. C. Self-Regulatory Organization’s Currently Phlx Rule 1102A disclaims Statement on Comments on the SOCIAL SECURITY ADMINISTRATION Exchange liability for damages caused Proposed Rule Change Received From Ticket to Work and Work Incentives by errors, omissions or delays in the Members, Participants, or Others Advisory Panel Meeting calculation or dissemination of any No written comments were solicited AGENCY: index value resulting from any conduct or received with respect to the proposed Social Security Administration beyond the reasonable control of the rule change. (SSA). Exchange. This includes an act of God, ACTION: Notice of meeting cancellation. a power failure, or any error, omission III. Date of Effectiveness of the or delay in the reported price of the Proposed Rule Change and Timing for DATES: September 26–27, 9 a.m.–5 p.m. underlying security. However, these Commission Action ADDRESSES: Embassy Suites Hotel, 1900 disclaimer provisions are arguably Within 35 days of the date of Diagonal Road, Alexandria VA 22314, ambiguous with respect to whether the publication of this notice in the Federal 703–684–5900. Exchange remains potentially liable for Register or within such longer period (i) SUPPLEMENTARY INFORMATION: Meeting damages caused by any human error or as the Commission may designate up to Cancelled: In accordance with section omission by an Exchange employee in 90 days of such date if it finds such 10(a)(2) of the Federal Advisory connection with the performance of the longer period to be appropriate and Committee Act, SSA announced a Exchange’s index responsibilities. The publishes its reasons for so finding or meeting of the Ticket to Work and Work proposed amendment to Phlx Rule (ii) as to which the self-regulatory Incentives Advisory Panel (the Panel). 1102A would make clear that the organization consists, the Commission The Ticket to Work and Work Exchange disclaims liability for will: Incentives Improvement Act of 1999 (A) By order approve such proposed (TWWIIA), Public Law 106–170, 3 The Exchange’s proprietary indices currently establishes the Panel to advise the include: Computer Box Maker Index (BMX), Phlx rule change, or Oil Service Index (OSX), Gold-Silver Index (XAU), (B) Institute proceedings to determine Commissioner of Social Security, the National Over-the-Counter Index (XOC), Phlx Forest whether the proposed rule change President and the Congress on issues and Paper Products Sector Index (FPP), Over-the- should be disapproved. related to work incentives programs, Counter Prime Index (OTC), Utility Index (UTY), Semiconductor Index (SOX), TheStreet.com planning and assistance for individuals Internet Sector Index (DOT) and Wireless Telecom 4 See Amex Rule 902C. Sector Index (YLS). 5 15 U.S.C. 78f(b)(5). 6 17 CFR 200.30–3(a)(12).

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57421 with disabilities as provided under 400 Seventh Street SW., Washington, requirements for inspections of OSVs section 101(f)(2)(A) of TWWIIA. DC 20590–0001, or deliver them to room appear in 46 CFR Part 126. The meeting of the Panel scheduled PL–401, located on the Plaza Level of Respondents: Owners and operators for September 26–27, 2000 in the Nassif Building at the same address of vessels. Alexandria, Virginia is cancelled. Please between 9 a.m. and 5 p.m., Monday Frequency: On occasion. disregard the notice and agenda through Friday, except Federal holidays. Burden: The estimated burden is 143 published in the Federal Register on The telephone number is 202–366– hours a year. September 12, 2000. 9329. 2. Title: Waterfront Facilities The Panel will reschedule a public The DMS maintains the public docket Handling Liquefied Natural Gas and meeting pending the publication of the for this request. Comments will become Liquefied Hazardous Gas. Notice of Proposed Rulemaking (NPRM) part of this docket and will be available OMB Control Number: 2115–0552. Summary: Liquefied Natural Gas to implement TWWIIA. Public comment for inspection or copying in room PL– (LNG) and other Liquefied Hazardous will be taken on the NPRM at a future 401, located on the Plaza Level of the Gases (LHGs) present a risk to the public meeting that will be announced in the Nassif Building at the above address when handled at waterfront facilities. Federal Register. For updates on these between 9 a.m. and 5 p.m., Monday These rules should either prevent and other related meetings, check the through Friday, except Federal holidays. accidental releases at waterfront web site of SSA’s Office of Employment You may also access this docket on the facilities or mitigate their results. They Support Programs at http:// Internet at http://dms.dot.gov. are necessary to promote and verify www.ssa.gov/work/ResourcesToolkit/ Copies of the complete ICRs are resourcestoolkit.html for future compliance with safety standards. available through this docket on the Need: 33 CFR Part 127 prescribes scheduling of the Panel’s public Internet at http://dms.dot.gov and also meetings. safety standards for design, from Commandant (G–CIM–2), U.S. construction, equipment, operations, Dated: September 19, 2000. Coast Guard Headquarters, room 6106 maintenance, personnel training, and Susan M. Daniels, (Attn: Barbara Davis), 2100 Second fire protection at waterfront facilities Deputy Commissioner for Disability and Street SW., Washington, DC 20593– handling LNG or LHG. Income Security Programs. 0001. The telephone number is 202– Respondents: Owners and operators [FR Doc. 00–24536 Filed 9–21–00; 8:45 am] 267–2326. of waterfront facilities that transfer LNG BILLING CODE 4191±02±P FOR FURTHER INFORMATION CONTACT: or LHG. Barbara Davis, Office of Information Frequency: On occasion. Management, 202–267–2326, for Burden: The estimated burden is DEPARTMENT OF TRANSPORTATION questions on this document; Dorothy 3,272 hours a year. Walker, Chief, Documentary Services 3. Title: Working Freeboard of Hopper Coast Guard Division, U.S. Department of Dredges—Load Lines and Stability. Transportation, 202–366–9330, for OMB Control Number: 2115–0565. [USCG 2000±7933] questions on the docket. Summary: This collection of information provides a mechanism for Collection of Information Under Request for Comments owners and operators of self-propelled Review by Office of Management and hopper dredges to request working Budget (OMB): OMB Control Numbers The Coast Guard encourages interested persons to submit written freeboards. 2115±0571, 2115±0552, 2115±0565, Need: 46 U.S.C. 3306 authorizes the 2115±0589, and 2115±0613 comments. Persons submitting comments should include their names U.S. Coast Guard to prescribe rules for AGENCY: Coast Guard, DOT. and addresses, identify this document the safety of navigation and vessels. ACTION: Request for comments. [USCG 2000–7933], and give the reason These rules ensure that self-propelled for the comments. Please submit all hopper dredges meet certain standards SUMMARY: In compliance with the comments and attachments in an for structure and stability. Respondents: Owners and operators Paperwork Reduction Act of 1995, the unbound format no larger than 81⁄2 by Coast Guard intends to seek the 11 inches, suitable for copying and of self-propelled hopper dredges. Frequency: On occasion. approval of OMB for the renewal of five electronic filing. Persons wanting Burden: The estimated burden is 46 Information Collection Requests (ICRs). acknowledgment of receipt of comments They comprise: (1) Alternative hours a year. should enclose stamped, self-addressed 4. Title: Plan Approval and Records Provisions for Reinspection of Offshore postcards or envelopes. Supply Vessels in Foreign Ports, (2) for Subdivision and Stability. Waterfront Facilities Handling Liquefied Information Collection Request OMB Control Number: 2115–0589. Summary: This collection of Natural Gas and Liquefied Hazardous 1. Title: Alternative Provisions for Gas, (3) Working Freeboard of Hopper information requires owners, operators, Reinspection of Offshore Supply Vessels or masters of certain inspected vessels Dredges—Load Lines and Stability, (4) in Foreign Ports. Plan Approval and Records for to obtain or post various documents as OMB Control Number: 2115–0571. part of the program of the Coast Guard Subdivision and Stability, and (5) Summary: This collection of Discharge of Refuse from Ships. Before for the safety of commercial vessels. information provides a mechanism for Need: 46 U.S.C. 3306 authorizes the submitting the ICRs to OMB, the Coast owners and operators of offshore supply Coast Guard to prescribe rules for the Guard is requesting comments on the vessels (OSVs) based overseas to submit safety of certain vessels. 46 CFR collections, described below. certified examination reports and Subchapter S contains the rules DATES: Comments must reach the Coast statements to the Coast Guard as regarding subdivision and stability. Guard on or before November 21, 2000. alternatives to reinspection by the Coast Respondents: Owners, operators, and ADDRESSES: You may mail comments to Guard. masters, of vessels. the Docket Management System (DMS) Need: 46 U.S.C. 3307 and 3308 Frequency: On occasion. [USCG 2000–7933], U.S. Department of require vessels subject to inspection to Burden: The estimated burden is Transportation (DOT), room PL–401, be examined on a periodic basis. The 10,003 hours a year.

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00113 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57422 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

5. Title: Discharge of Refuse from Summary of Collection of Dated: September 19, 2000. Ships. Information: This collection of Murray A. Bloom, OMB Control Number: 2115–0613. information is used to gather Acting Secretary. Summary: The Marine Plastic information regarding the location of [FR Doc. 00–24428 Filed 9–21–00; 8:45 am] Pollution Research and Control Act of U.S.-flag vessels and certain other U.S. BILLING CODE 4910±81±P 1987 requires the keeping of records on citizen-owned vessels for the purpose of the discharge of refuse by oceangoing Search and Rescue in the saving of lives commercial vessels that are 40 feet in at sea and for the marshalling of ships DEPARTMENT OF TRANSPORTATION length or more. The rules appear in 33 for National Defense and safety CFR 151.55. Maritime Administration Need: This collection of information purposes. This collection consists of is needed as part of the Coast Guard’s vessels that transmit their positions [Docket Number: MARAD±2000±7935] program for compliance with rules on through the following means: (1) Electronic mail via the internet sent by Requested Administrative Waiver of pollution prevention. the Coastwise Trade Laws Respondents: Owners, operators, satelite or HF radio; (2) AMVER/SEAS masters, and persons-in-charge of ‘‘compressed message’’ sent via AGENCY: Maritime Administration, vessels. INMARSAT–C; (3) HF telex via U.S. Department of Transportation. Frequency: On occasion. Coast Guard communications stations; ACTION: Invitation for public comments Burden: The estimated burden is (4) HF radio via U.S. contractual on a requested administrative waiver of 523,302 hours a year. agreement with Mobile Marine Radio; the Coastwise Trade Laws for the vessel Dated: September 15, 2000. (5) telex via either satelite or HF radio; Aboriginal. S.A. Richardson, and (6) telefacsimile directly to U.S. Acting Director of Information and Coast Guard AMVER Operations Center. SUMMARY: As authorized by Pub. L. 105– Technology. This location data is then read into a 383, the Secretary of Transportation, as [FR Doc. 00–24384 Filed 9–21–00; 8:45 am] database and is accessed only by the represented by the Maritime Administration (MARAD), is authorized BILLING CODE 4910±15±U U.S. Coast Guard and MARAD to determine the location of a particular to grant waivers of the U.S.-build ship. requirement of the coastwise laws under DEPARTMENT OF TRANSPORTATION certain circumstances. A request for Need and Use of the Information: such a waiver has been received by Maritime Administration This information collection is necessary MARAD. The vessel, and a description for maintaining a current plot of U.S.- [Docket No. MARAD±2000±7951] of the proposed service, is listed below. flag and U.S.-owned vessels in order to Interested parties may comment on the Information Collection Available for facilitate immediate marshalling of effect this action may have on U.S. Public Comments and ships for National Defense purposes and vessel builders or businesses in the U.S. Recommendations for the purpose of maintaining a current that use U.S.-flag vessels. If MARAD plot for Search and Rescue purposes for determines that in accordance with Pub. ACTION: Notice and request for safety of life at sea. L. 105–383 and MARAD’s regulations at comments. Description of Respondents: U.S.-flag 46 CFR Part 388 (65 FR 6905; February 11, 2000) that the issuance of the waiver SUMMARY: In accordance with the and U.S. citizen-owned vessels which are required to respond under current will have an unduly adverse effect on a Paperwork Reduction Act of 1995, this U.S.-vessel builder or a business that statute and regulation. notice announces the Maritime uses U.S.-flag vessels, a waiver will not Administration’s (MARAD) intentions Annual Responses: 32,480 responses. be granted. to request approval for three years of an Annual Burden: 2,598 hours. DATES: existing information collection entitled Submit comments on or before ‘‘Automated Mutual-Assistance Vessel Comments: Signed written comments October 23, 2000. Rescue System (AMVER).’’ should refer to the docket number that ADDRESSES: Comments should refer to DATES: Comments should be submitted appears at the top of this document and docket number MARAD–2000–7935. on or before November 21, 2000. must be submitted to the Docket Clerk, Written comments may be submitted by hand or by mail to the Docket Clerk, FOR FURTHER INFORMATION CONTACT: U.S. DOT Dockets, Room PL–401, 400 U.S. DOT Dockets, Room PL–401, Walter Lockland, Chief, Division of Seventh Street, SW, Washington, D.C. Department of Transportation, 400 7th Operations Support, Office of Ship 20590. Specifically, address whether St., S.W., Washington, D.C. 20590–0001. Operations, 400 Seventh Street, SW, this information collection is necessary You may also send comments Room 2123, Washington, D.C. 20590, for proper performance of the function electronically via the Internet at http:// telephone number—202–366–5735. of the agency and will have practical dmses.dot.gov/submit/. All comments Copies of this collection can also be utility, accuracy of the burden will become part of this docket and will obtained from that office. estimates, ways to minimize this be available for inspection and copying SUPPLEMENTARY INFORMATION: burden, and ways to enhance quality, at the above address between 10 a.m. Title of Collection: Automated utility, and clarity of the information to and 5 p.m., E.T., Monday through Mutual-Assistance Vessel Rescue be collected. All comments received Friday, except federal holidays. An System (AMVER). will be available for examination at the electronic version of this document and Type of Request: Three-year approval above address between 10 a.m. and 5 of an existing information collection. all documents entered into this docket p.m., et. Monday through Friday, except is available on the World Wide Web at OMB Control Number: 2133–0025. Federal Holidays. An electronic version Form Number: CG–4796 (MA) (Rev. http://dms.dot.gov. of this document is available on the 8–88). FOR FURTHER INFORMATION CONTACT: Expiration Date of Approval: Three World Wide Web at http://dms.dot.gov. Gordon Angell, U.S. Department of years from the date of approval. By Order of the Maritime Administrator. Transportation, Maritime

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00114 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57423

Administration, MAR–832 Room 7201, having no adverse effect on U.S. FOR FURTHER INFORMATION CONTACT: 400 Seventh Street, S.W., Washington, shipyards.’’ Gordon Angell, U.S. Department of DC 20590. Telephone 202–366–5129. Dated: September 19, 2000. Transportation, Maritime Administration, MAR–832 Room 7201, SUPPLEMENTARY INFORMATION: Title V of By Order of the Maritime Administrator. Pub. L. 105–383 provides authority to 400 Seventh Street, S.W., Washington, Murray A. Bloom, DC 20590. Telephone 202–366–5129. the Secretary of Transportation to Acting Secretary, Maritime Administration. administratively waive the U.S.-build SUPPLEMENTARY INFORMATION: Title V of [FR Doc. 00–24426 Filed 9–21–00; 8:45 am] requirements of the Jones Act, and other Pub. L. 105–383 provides authority to statutes, for small commercial passenger BILLING CODE 4910±81±P the Secretary of Transportation to vessels (no more than 12 passengers). administratively waive the U.S.-build requirements of the Jones Act, and other This authority has been delegated to the DEPARTMENT OF TRANSPORTATION Maritime Administration per 49 CFR statutes, for small commercial passenger § 1.66, Delegations to the Maritime Maritime Administration vessels (no more than 12 passengers). Administrator, as amended. By this This authority has been delegated to the notice, MARAD is publishing [Docket Number: MARAD±2000±7936] Maritime Administration per 49 CFR information on a vessel for which a § 1.66, Delegations to the Maritime Requested Administrative Waiver of Administrator, as amended. By this request for a U.S.-build waiver has been the Coastwise Trade Laws received, and for which MARAD notice, MARAD is publishing requests comments from interested AGENCY: Maritime Administration, information on a vessel for which a parties. Comments should refer to the Department of Transportation. request for a U.S.-build waiver has been docket number of this notice and the ACTION: Invitation for public comments received, and for which MARAD vessel name in order for MARAD to on a requested administrative waiver of requests comments from interested properly consider the comments. the Coastwise Trade Laws for the vessel parties. Comments should refer to the Comments should also state the Lucky Dog. docket number of this notice and the commenter’s interest in the waiver vessel name in order for MARAD to application, and address the waiver SUMMARY: As authorized by Pub. L. 105– properly consider the comments. criteria given in § 388.4 of MARAD’S 383, the Secretary of Transportation, as Comments should also state the regulations at 46 CFR Part 388. represented by the Maritime commenter’s interest in the waiver Administration (MARAD), is authorized application, and address the waiver Vessel Proposed for Waiver of the U.S.- to grant waivers of the U.S.-build criteria given in § 388.4 of MARAD’S Build Requirement requirement of the coastwise laws under regulations at 46 CFR part 388. (1) Name of vessel and owner for certain circumstances. A request for Vessel Proposed for Waiver of the U.S.- which waiver is requested. Name of such a waiver has been received by build Requirement: vessel: Aboriginal. Owner: Richard J. MARAD. The vessel, and a description (1) Name of vessel and owner for Connelly. of the proposed service, is listed below. which waiver is requested. Name of (2) Size, capacity and tonnage of Interested parties may comment on the effect this action may have on U.S. vessel: Lucky Dog. Owner: Relentless vessel. According to the applicant: ‘‘It is Charters Inc. 42 foot in length, capacity up to 12 vessel builders or businesses in the U.S. that use U.S.-flag vessels. If MARAD (2) Size, capacity and tonnage of people, weighs 38 net ton, pursuant to vessel. According to the applicant: ‘‘The determines that in accordance with Pub. 46 u.s.c.14502 State of RI.’’ vessel is 34 feet in length and 13 feet 7 L. 105–383 and MARAD’s regulations at (3) Intended use for vessel, including inches in breadth. Gross tonnage as 46 CFR Part 388 (65 FR 6905; February geographic region of intended operation determined by 46 CFR 69 subpart E is 11, 2000) that the issuance of the waiver and trade. According to the applicant: 21.65.’’ ‘‘My intent is to use this vessel for sport will have an unduly adverse effect on a (3) Intended use for vessel, including fishing charters, 6 people or less out of U.S.-vessel builder or a business that geographic region of intended operation Newport, RI. I will be fishing Newport uses U.S.-flag vessels, a waiver will not and trade. According to the applicant: and Block Island Sound and up to 100 be granted. ‘‘The intended use for the vessel is miles offshore. I also intend to fish DATES: Submit comments on or before operating as an uninspected passenger stickle rod and reel.’’ October 23, 2000. vessel pursuant to 46 CFR 10.205. This (4) Date and Place of construction and ADDRESSES: Comments should refer to regulation calls for a maximum of 6 (if applicable) rebuilding. Date of docket number MARAD–2000–7936. passengers and a range of no more than construction: 1987. Place of Written comments may be submitted by 100 miles from shore. Charter services construction: Taiwan, R.O.C. hand or by mail to the Docket Clerk, will be offered for the purpose of scuba (5) A statement on the impact this U.S. DOT Dockets, Room PL–401, diving and sport fishing. The geographic waiver will have on other commercial Department of Transportation, 400 7th region of operation will be the Gulf of passenger vessel operators. According to St., SW., Washington, DC 20590–0001. Mexico from Sarasota Florida to the applicant: ‘‘Currently there are You may also send comments Bayonet Point Florida, extending 100 approximately six other sportfishing electronically via the Internet at http:// miles into the gulf.’’ operators in the Newport, RI area. Due dmses.dot.gov/submit/. All comments (4) Date and Place of construction and to the large area I intend to fish, and the will become part of this docket and will (if applicable) rebuilding. Date of demand for charter boats in Newport; be available for inspection and copying construction: 1973. Place of my waiver should have no adverse at the above address between 10 a.m. construction: Omastrand Norway. impact.’’ and 5 p.m., e.t., Monday through Friday, (5) A statement on the impact this (6) A statement on the impact this except federal holidays. An electronic waiver will have on other commercial waiver will have on U.S. shipyards. version of this document and all passenger vessel operators. According to According to the applicant: ‘‘Also, the documents entered into this docket is the applicant: ‘‘I believe that granting U.S. shipyards would do any and all available on the World Wide Web at this waiver will not unduly adversely work or repairs on my vessel; therefore, http://dms.dot.gov. affect other commercial passenger vessel

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57424 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices operators. The area where I will be Anyone wishing to make an oral the Interstate Natural Gas Association of operating attracts numerous tourists statement or to participate by America; Office of Pipeline Safety from around the world, many of whom conference call should notify Mary Jo website materials; information currently are interested in fishing or diving local Cooney, (202) 366–4774, no later than available under the Freedom of waters. It has been my observation that October 5, 2000. Those wishing to make Information Act; and pending pipeline the demand for charter services far an oral statement must notify OPS of the legislative proposals for community exceeds the supply in this area. I topic of the statement and the time right-to-know. currently do not advertise and in spite requested for the presentation. Those Documents relating to this initiative of my low profile, I am solicited to wishing to participate by conference call may be viewed on the OPS website, charter nearly every week. Obviously, I will be notified of the call-in number ops.dot.gov. Click on Integrity decline since I lack the appropriate prior to the meeting. Management and then click on documentation.’’ Information on Services for Communications Rule. Scroll down to (6) A statement on the impact this Individuals With Disabilities: For view background documents. waiver will have on U.S. shipyards. information on facilities or services for Issued in Washington, DC on September According to the applicant: ‘‘I believe individuals with disabilities or to 18, 2000. that the impact to U.S. shipyards is request special assistance during the Jeffrey D. Wiese, positive. I do not think that a vessel that telephone conference calls, contact Manager, Program Development, Office of is 27 years old carries any impact on Mary-Jo Cooney at (202) 366–4774. Pipeline Safety. shipyards that produce new vessels. On FOR FURTHER INFORMATION CONTACT: [FR Doc. 00–24383 Filed 9–21–00; 8:45 am] the other hand, using this vessel for Mary Jo Cooney, OPS, (202) 366–4774. BILLING CODE 4910±60±P commercial use will necessitate SUPPLEMENTARY INFORMATION: refurbishment and repowering that will benefit U.S. shipyards that perform this Background Information DEPARTMENT OF TRANSPORTATION type of work.’’ In connection with the proposed rule Dated: September 19, 2000. on Pipeline Integrity Management in Surface Transportation Board By Order of the Maritime Administrator. High Consequence Areas, OPS plans to [STB Finance Docket No. 33925] Murray A. Bloom, propose related rules governing operator Acting Secretary, Maritime Administration. communications with local public Buffalo Ridge Regional Railroad [FR Doc. 00–24427 Filed 9–21–00; 8:45 am] officials and agencies. To assist in this AuthorityÐOperation ExemptionÐRail effort, the OPS Technical Advisory BILLING CODE 4910±81±P Line Between Manley and Worthington, Committees created an Integrity MN Management Communications DEPARTMENT OF TRANSPORTATION Subcommittee to focus on Buffalo Ridge Regional Railroad communications issues and to report Authority (BRRRA),1 a noncarrier, has Research and Special Programs back to the full Advisory Committee. filed a verified notice of exemption Administration OPS expanded this Subcommittee to (notice) under 49 CFR 1150.31 to form a team with equal representation operate over its own rail line between RSPA±00±7795 from the public, government agencies, milepost 0.0, at or near Agate, MN, and Pipeline Safety: Meeting of the and the pipeline industry, and to milepost 41.44, at or near Manley, MN, consolidate several related efforts. a distance of approximately 41.44 miles Integrity Management Communication 2 Team The Team will provide feedback, (line). In addition, BRRRA will operate, insight, and information to the Advisory pursuant to incidental trackage rights, AGENCY: Research and Special Programs Committee on the content and delivery over a 3.4-mile rail line owned by Union Administration, DOT. of information conveyed to local Pacific Railroad Company between ACTION: Notice of Integrity Management officials and the public about pipeline Agate and Worthington, MN, for a total Communication Team meeting. operations, systems, and the risks they of 44.84 miles.3 pose in or near high consequence areas. SUMMARY: 1 The Research and Special The Advisory Committee will provide BRRRA is a political subdivision of the State of Programs Administration’s (RSPA) Minnesota. pipeline communication 2 BRRRA’s line is a segment of a 65.6-mile rail Office of Pipeline Safety (OPS) hereby recommendations to OPS for gives notice that the Integrity line previously owned and abandoned by the consideration in drafting the Integrity Chicago and North Western Transportation Management Communication Team will Management Communications Company. See Chicago and North Western meet to discuss the content and delivery Transportation Company—Abandonment in Nobles rulemaking. The Team will also assist and Rock Counties, MN, and Minnehaha County, of pipeline information to be conveyed OPS in finalizing a primer to educate to local officials and members of the SD, Docket No. AB–1 (Sub-No. 202) (ICC served local officials on pipelines and their June 16, 1988). According to BRRRA, it acquired the public in or near high consequence operations. line after consummation of the abandonment in areas. Docket No. AB–1 (Sub-No. 202) but never operated The topics for discussion for this the line itself. DATES: The meeting will be held on meeting include discussions of the As noted in page 2 of the notice, BRRRA October 10, 2000, from 8:30 a.m. until following: Information that is needed by alternatively requested that, should the Board 5:00 p.m. various groups: landowners/tenants determine that BRRRA is an existing rail carrier, the ADDRESSES: Members of the public may along pipeline rights-of-way; local and notice of exemption for operation of the line should be deemed to be filed under 49 CFR 1150.41. Based attend the meeting at the Department of regional emergency response officials; on the representations made by BRRRA, use of the Transportation, Nassif Building, 400 excavators and the general public; exemption at 49 CFR 1150.31 from the requirements Seventh Street, SW., Room 3200, review of existing materials used by of 49 U.S.C. 10901 is appropriate. Washington, DC 20590. After team pipeline operators for public education; 3 Nobles Rock Railroad Co. (NRRC) currently provides common carrier rail service over the line members have discussed each topic, an results from a public awareness survey pursuant to Nobles Rock Railroad Co.—Lease and opportunity will be provided for the conducted by the American Petroleum Operation Exemption—Buffalo Ridge Regional public to make short statements. Institute and focus groups sponsored by Railroad Authority, Finance Docket No. 32368 (ICC

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57425

The transaction is expected to be rail carrier and that its annual revenues ADDRESSES: Comments should be consummated no earlier than the are not expected to exceed $5 million.1 directed to: Office of Airline September 15, 2000 effective date of the The transaction was expected to be Information, K–25, Room 4125, Bureau exemption. consummated on or after September 12, of Transportation Statistics, 400 Seventh If the notice contains false or 2000. Street, SW., Washington, DC 20590- misleading information, the exemption If the notice contains false or 0001, FAX NO. 366–3383 or EMAIL is void ab initio. Petitions to reopen the misleading information, the exemption [email protected]. proceeding to revoke the exemption is void ab initio. Petitions to revoke the COMMENTS: Comments should identify under 49 U.S.C. 10502(d) may be filed exemption under 49 U.S.C. 10502(d) the OMB # 2138–0041. Persons wishing at any time. The filing of a petition to may be filed at any time. The filing of the Department to acknowledge receipt reopen will not automatically stay the a petition to revoke will not of their comments must submit with transaction. automatically stay the transaction. those comments a self-addressed An original and 10 copies of all An original and 10 copies of all stamped postcard on which the pleadings, referring to STB Finance pleadings, referring to STB Finance following statement is made: Comments Docket No. 33925, must be filed with Docket No. 33927, must be filed with on OMB # 2138–0041. The postcard will the Office of the Secretary, Surface the Surface Transportation Board, Office be date/time stamped and returned. Transportation Board, Case Control of the Secretary, Case Control Unit, 1925 Unit, 1925 K Street, NW., Washington, K Street, NW., Washington, DC 20423– FOR FURTHER INFORMATION CONTACT: DC 20423–0001. In addition, a copy of 0001. In addition, one copy of each Bernie Stankus Office of Airline each pleading must be served on pleading must be served on Fritz R. Information, K–25, Room 4125, Bureau Thomas F. McFarland, Jr., Esq., Kahn, 1920 N Street, NW., 8th Floor, of Transportation Statistics, 400 Seventh McFarland & Herman, 20 North Wacker Washington, DC 20036–1601. Street, SW., Washington, DC 20590- Drive, Suite 1330, Chicago, IL 60606– Board decisions and notices are 0001, (202) 366–4387. available on our website at 2902. SUPPLEMENTARY INFORMATION: Board decisions and notices are ‘‘WWW.STB.DOT.GOV.’’ OMB Approval No. 2138–0041. available on our website at Decided: September 14, 2000. Title: Airline Service Quality ‘‘WWW.STB.DOT.GOV.’’ By the Board, David M. Konschnik, Performance. Decided: September 14, 2000. Director, Office of Proceedings. By the Board, David M. Konschnik, Vernon A. Williams, Type Of Review: Extension of a Director, Office of Proceedings. Secretary. currently approved collection. Vernon A. Williams, [FR Doc. 00–24166 Filed 9–21–00; 8:45 am] Respondents: Large air carriers that Secretary. BILLING CODE 4915±00±P account for at least one percent of [FR Doc. 00–24165 Filed 9–21–00; 8:45 am] domestic scheduled passenger revenues. BILLING CODE 4915±00±P Number of Respondents: 10. DEPARTMENT OF TRANSPORTATION Number of Responses: 120. Total Annual Burden: 2,280 hours. DEPARTMENT OF TRANSPORTATION Bureau of Transportation Statistics Needs and Uses: Since September Surface Transportation Board Agency Information Collection; 1987, carriers’ quality of service has Activity Under OMB Review; Airline been measured by BTS, resulting in the [STB Finance Docket No. 33927] Service Quality Performance overall improvement of service. The Department discloses the air carriers’ SMS Rail Service, Inc.ÐAcquisition AGENCY: Bureau of Transportation on-time performances and mishandled- and Operation ExemptionÐValero Statistics (BTS), DOT. Refining CompanyÐNew Jersey baggage rates to the public. Airline ACTION: Notice. passengers are able to make more SMS Rail Service, Inc. (SMS), a Class SUMMARY: In compliance with the informed carrier selection decisions III rail carrier, has filed a verified notice Paperwork Reduction Act of 1995, based on the quality of service provided of exemption under 49 CFR 1150.41 to Public Law 104–13, the Bureau of by individual air carriers. acquire, maintain and operate railroad Transportation Statistics invites the While overall air carrier delays have track within the 970-acre Paulsboro, NJ, general public, industry and other increased in the year 2000, the majority refinery of Valero Refining Company— governmental parties to comment on the of the increase is associated with an New Jersey (Valero), formerly the continuing need for and usefulness of increase in the number of aircraft refinery of Mobil Oil Corporation, DOT collecting data on the timeliness of departures at congested airports. pursuant to an agreement with Valero scheduled domestic passenger flights Because air carriers report gate- dated August 31, 2000. The trackage and the incidence of lost and damaged departure time, wheels-off time, wheels- extends northward from a connection baggage. The 10 largest domestic on time and gate-arrival time, the FAA 950 feet to the west of milepost 14 on passenger carriers report the data on a can use the data to identify bottle necks the Paulsboro Industrial Track of monthly basis. in the national air transport system. Consolidated Rail Corporation (Conrail), Commenters should address whether Since the FAA can identify aircraft a distance of approximately 5.8 miles in BTS accurately estimated the reporting types from the tail number reported by Gloucester County, NJ. SMS states that burden and if there are other ways to the air carriers, the FAA can also its projected revenues will not exceed enhance the quality, utility and clarity calculate the system capacity impacted those that would qualify it as a Class III of the information collected. by air traffic congestion and track the DATES: Written comments should be ripple effects of delays at hub airports. served Nov. 1, 1993). BRRRA states that NRRC The data can be used for airport design appears to have become insolvent or close to submitted by November 21, 2000. insolvency and that termination of its lease to change analysis, new equipment NRRC appears to be imminent. BRRRA further 1 SMS indicates that Conrail currently operates purchases, and the planning of new states that it now intends to operate the line itself. the rail line. runways or airports based on current or

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57426 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices projected airport delays and traffic Street, SW., Washington, DC 20590- SUMMARY: In compliance with the levels. 0001, (202) 366–4387. Paperwork Reduction Act of 1995, Public Law 104–13, the Bureau of Donald W. Bright, SUPPLEMENTAL INFORMATION: OMB Approval No.: 2138–0018. Transportation Statistics invites the Director, Office of Airline Information, general public, industry and other Bureau of Transportation Statistics. Title: Report of Passengers Denied Confirmed Space. governmental parties to comment on the [FR Doc. 00–24385 Filed 9–21–00; 8:45 am] Form No.: BTS Form 251. continuing need for and usefulness of BILLING CODE 4910±FE±P Type Of Review: Extension of a DOT requiring domestic all-cargo currently approved collection. carriers, that do not submit Form 41 DEPARTMENT OF TRANSPORTATION Respondents: Large U.S. and foreign reports, to file Form 291–A AStatement air carriers. of Operations and Statistics Summary Bureau of Transportation Statistics Number of Respondents: 120. for Section 41103 Operations* pursuant Number of Responses: 480. to 14 CFR 291.42. Form 291–A is used Agency Information Collection; Total Annual Burden: 2,220 hours. to monitor air-cargo activity on all-cargo Activity Under OMB Review; Report of Needs and Uses: BTS Form 251 is a flights. Passengers Denied Confirmed one page report on the number of DATES: Written comments should be SpaceÐBTS Form 251 passengers holding confirmed space that submitted by November 21, 2000. were voluntarily or involuntarily denied ADDRESSES: Comments should be AGENCY: Bureau of Transportation boarding. Carriers must report whether directed to: Office of Airline Statistics (BTS), DOT. the bumped passengers were provided Information, K–25, Room 4125, Bureau ACTION: Notice. alternate transportation and/or of Transportation Statistics, 400 Seventh compensation, and the amount of the SUMMARY: In compliance with the Street, SW., Washington, DC 20590– payment. The report allows the Paperwork Reduction Act of 1995, 0001, FAX NO. 366–3383 or E-MAIL Department to monitor the effectiveness Public Law 104–13, the Bureau of [email protected]. Transportation Statistics invites the of its oversales rule and take general public, industry and other enforcement action when necessary. Comments governmental parties to comment on the The involuntary denied-boarding rate Comments should identify the OMB # continuing need for and usefulness of has steadily decreased over the years 2138–0023. Persons wishing the DOT requiring U.S. and foreign air from 4.38 per 10,000 enplanements in Department to acknowledge receipt of carriers that operate scheduled 1980 to 1.08 for the first six months of their comments must submit with those passenger service with large aircraft to the year 2000. This decrease occurred at comments a self-addressed stamped submit reports on their oversales a time when air carrier load factors have postcard on which the following practices. Large aircraft are aircraft increased. These statistics demonstrate statement is made: Comments on OMB designed to carry over 60-seats. Carriers the effectiveness of the Avolunteer* #2138–0023. The postcard will be date/ submit the quarterly Form 251 ‘‘Report provision, which has reduced the need time stamped and returned. for more intrusive regulation. of Passengers Denied Confirmed Space.’’ FOR FURTHER INFORMATION CONTACT: The rate of denied boarding can be Carriers do not report oversales of Bernie Stankus Office of Airline examined as an air carrier continuing inbound international flights because Information, K–25, Room 4125, Bureau fitness factor. This rate provides an the protection provisions of 14 CFR part of Transportation Statistics, 400 Seventh insight into a carrier’s policy on treating 250 do not apply to these flights. The Street, SW., Washington, DC 20590– overbooked passengers and its Department uses Form 251 to monitor 0001, (202) 366–4387. the compliance by U.S. and foreign air compliance disposition. A rapid increase in the rate of denied boardings SUPPLEMENTARY INFORMATION: carriers to the oversales provisions of OMB Approval No. 2138–0023. Part 250. often is an indicator of operational difficulty. Title: Domestic Cargo Transportation DATES: Written comments should be Part 291. submitted by November 21, 2000. Because the rate of denied boarding is published in the Air Travel Consumer Form No.: BTS Form 291–A. ADDRESSES: Comments should be Report, travelers and travel agents can Type Of Review: Extension of a directed to: Office of Airline select carriers with low bumping currently approved collection. Information, K–25, Room 4125, Bureau incidents when booking a trip. Respondents: Certificated all-cargo air of Transportation Statistics, 400 Seventh carriers. Street, SW., Washington, DC 20590- Donald W. Bright, Number of Respondents: 1. 0001, FAX NO. 366–3383 or EMAIL Director, Office of Airline Information, Number of Responses: 1. [email protected]. Bureau of Transportation Statistics. Total Annual Burden: 12 hours. Needs and Uses: BTS Form 291–A Comments [FR Doc. 00–24386 Filed 9–21–00; 8:45 am] BILLING CODE 4910±FE±P financial data are reviewed in Comments should identify the OMB # connection with an air carrier’s 2138–0018. Persons wishing the operations when concerns arise as to a Department to acknowledge receipt of DEPARTMENT OF TRANSPORTATION carrier’s financial condition as their comments must submit with those evidenced by reported losses. Data comments a self-addressed stamped Bureau of Transportation Statistics comparisons are made between current postcard on which the following and past periods in order to assess the statement is made: Comments on OMB Agency Information Collection; current financial position. Financial # 2138–0018. The postcard will be date/ Activity Under OMB Review; Domestic trend lines are extended into the future time stamped and returned. Cargo TransportationÐPart 291 to evaluate the continued viability of the FOR FURTHER INFORMATION CONTACT: AGENCY: Bureau of Transportation air carrier. Bernie Stankus Office of Airline Statistics (BTS), DOT. Commercial all-cargo activity data are Information, K–25, Room 4125, Bureau used by the FAA in estimating the ACTION: Notice. of Transportation Statistics, 400 Seventh excise tax paid by shippers and held by

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57427 the all-cargo air carriers. Although a opinion on whether Federal law GLBA 4 preempts certain specific precise amount cannot be computed preempts certain provisions of a Rhode provisions of the Rhode Island Law. because of the limitations of the report, Island statute pertaining to insurance Section 104(d)(2)(A) of GLBA an estimation is possible for revenue sales by financial institutions. The OCC provides that ‘‘[i]n accordance with the budgeting purposes. published a notice and request for legal standards for preemption set forth comment on January 14, 1997.1 On in the decision of the Supreme Court of Donald W. Bright, March 18, 1997, the OCC extended the the United States in Barnett Bank of Director, Office of Airline Information, comment period until May 15, 1997,2 so Marion County, N.A. v. Nelson, 517 U.S. Bureau of Transportation Statistics. that interested persons could consider, 25 (1996), no State may, by statute, [FR Doc. 00–24429 Filed 9–21–00; 8:45 am] and comment on, the effect of a regulation, order, interpretation, or BILLING CODE 4910±FE±P regulation implementing the Rhode other action, prevent or significantly Island statute that was then under interfere with the ability of a depository consideration by the Rhode Island institution, or an affiliate thereof, to DEPARTMENT OF THE TREASURY Department of Business Regulation. engage, directly or indirectly, either by Throughout this time period, the itself or in conjunction with an affiliate Office of the Comptroller of the Congress was actively considering or any other person, in any insurance Currency various financial modernization bills sales, solicitation, or crossmarketing [Docket No. 00±18] containing provisions relevant to the activity.’’ However, State provisions are issues raised by the Requester. Congress not preempted pursuant to section 104 Notice of Request for Preemption passed such legislation—the Gramm- if they are substantially the same as but Determination Leach-Bliley Act (Pub. L. 106–102, 113 no more burdensome or restrictive than Stat. 1338)—in November 1999 (GLBA). any of the thirteen specific provisions— AGENCY: Office of the Comptroller of the On July 26, 2000, the Requester renewed or Safe Harbors—described in section Currency, Treasury. its request that the OCC issue an 104(d)(2)(B).5 The Requester asserts that ACTION: Notice and request for comment. opinion on whether or not Federal law, five specific provisions of the FIISA are now including the relevant provisions preempted and that none of the Safe SUMMARY: The Office of the Comptroller of GLBA, preempts certain provisions of Harbors protects these provisions. of the Currency (OCC) is publishing for Rhode Island Law.3 comment a written request for the OCC’s Anti-tying Prohibition Section 114 of the Riegle-Neal opinion about whether Federal law Interstate Banking and Branching The Requester contends that Federal preempts certain provisions of the Efficiency Act of 1994 (Pub. L. 103–328, law should preempt the anti-tying Financial Institutions Insurance Sales 108 Stat. 2338) generally requires the provisions in section 6 of the FIISA and Act (FIISA), enacted by the State of OCC to publish in the Federal Register its implementing regulation. Rhode Island in 1996. The purpose of a descriptive notice of certain requests Specifically, section 6 provides that: this notice and request for comment is that the OCC receives for preemption (a) No financial institution may offer a to provide interested persons with an opinions. 12 U.S.C. 43. Under section banking product or service, or fix or vary the opportunity to submit comments prior 114, the OCC must publish notice before conditions of this offer, on a condition or to the OCC’s issuance of a written it issues any opinion letter or requirement that the customer obtains opinion in this matter. interpretive rule concluding that insurance from the financial institution, or any particular insurance producer. DATES: Comments must be received on Federal law preempts the application to or before October 23, 2000. (b) No person shall require or imply that a national bank of any State law in four the purchase of an insurance product from a ADDRESSES: Comments should be sent to designated areas: community financial institution by a customer or the Communications Division, Office of reinvestment, consumer protection, fair prospective customer of the institution is the Comptroller of the Currency, 250 E lending, or the establishment of required as a condition of, or is in any way Street, SW., Third Floor, Attention: intrastate branches. Pursuant to section related to, the lending of money or extension Docket No. 00–18, Washington, DC 114, interested persons have at least 30 of credit, the establishment or maintenance 20219. You may submit comments days to submit written comments. of a trust account, the establishment or electronically to Without making a determination as to maintenance of a checking or savings account [email protected] or by or other deposit account, or the provision of whether section 114 applies to this services related to any of these activities. R.I. facsimile transmission to (202) 874– request, the OCC has decided that it is Gen. Laws 27–58–6. 5274. You can inspect and photocopy appropriate to use notice and comment The Requester contends that this the comments at the OCC’s Public procedures given the broad interest in prohibition is much broader than a Reference Room, 250 E Street, SW., the issues presented. The OCC will prohibition against coercive tying Washington, DC, between 9:00 a.m. and publish in the Federal Register any final because it prohibits a loan officer from 5:00 p.m. on business days. You can opinion letter we issue concluding that mentioning to a customer that insurance make an appointment to inspect the Federal law preempts the provisions of products may be available, at a comments by calling (202) 874–5043. the Rhode Island Law that are the discount, as part of a package of bank FOR FURTHER INFORMATION CONTACT: Jean subject of the request. services. The Requester further contends Campbell, Attorney, or Stuart Feldstein, Description of the Request for OCC that these prohibitions are more Assistant Director, Legislative and Preemption Opinion burdensome and restrictive than Safe Regulatory Activities Division, (202) Harbor (viii) and frustrate, hamper, 874–5090. The OCC has been asked to provide its views on whether section 104 of the SUPPLEMENTARY INFORMATION: 4 113 Stat. 1338, 1352–59 (November 12, 1999) (to be codified at U.S.C. 6701). Background 1 62 FR 1950 (January 14, 1997). 5 The thirteen Safe Harbors are enumerated in 2 62 FR 12883 (March 18, 1997). clauses (i) through (xiii) of section 104(d)(2)(B). In 1996, the Financial Institutions 3 This notice refers to the statutory provisions and Each Safe Harbor is referred to in this notice by Insurance Association (Requester) filed their implementing regulations, where applicable, clause. Thus, Safe Harbor (viii) refers to seciton with the OCC a request for the OCC’s collectively as the Rhode Island Law. 104(d)(2)(B)(viii).

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00119 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57428 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices impair or interfere with a national programs as well as bank-owned physically separated from the banking bank’s ability to exercise its insurance agencies with dedicated agents and activities of the institution. Specifically, powers. ‘‘platform programs,’’ and damage section 12 provides that: marketing and sales techniques such as Sales Force Restrictions The place of solicitation or sale of remote or direct marketing and retail- insurance by any financial institution shall Section 8 of the FIISA, and its face-to-face programs. be from an office physically separated from implementing regulation, prohibits bank The Requester contends that section the banking activities of the institution. employees with lending or deposit 10 of the FIISA is not substantially the Physical separation shall not be defined as a taking responsibilities from soliciting same as and is more burdensome and separate building. The commissioner shall and selling insurance. Specifically, restrictive than Safe Harbor (vi) and have the authority to promulgate rules to section 8 provides that: implement this section pursuant to § 27–58– would prevent or significantly interfere 4. Solicitation for the purchase or sale of with a financial institution’s ability to insurance by a financial institution shall be exercise its insurance powers. (R.I. Gen. Laws 27–58–12.) conducted only by persons whose Insurance in Connection With a Loan The Requester contends that this responsibilities do not include loan requirement would prevent a trained transactions or other transactions involving Section 11 of the FIISA generally and licensed bank employee from the extension of credit, or the taking of requires that loan and insurance soliciting a sale of a life insurance deposits. For the purposes of this section applications be completed however, solicitation does not include product if the employee (1) was also a signage on the premises. (R.I. Gen. Laws 27– independently and through separate loan officer; (2) had an office not 58–8.) documents. Specifically, section 11 physically separated from core banking provides that: The Requester contends that this activities; (3) had just accepted a loan provision would prohibit a properly (a) If insurance is required as a condition application from the customer; or (4) state-licensed private banker from both of obtaining a loan, the credit and insurance had learned of the customer’s need for transactions shall be completed accepting deposits and selling insurance the product as a result of reading his independently and through separate loan application. Thus, the Requester products to a private banking customer. documents. The Requester further contends that this (b) A loan for premiums on required contends that none of the Safe Harbors prohibition would destroy ‘‘platform insurance shall not be included in the protects this requirement from programs’’ and those in which staff primary credit without the written consent of preemption, and that these limitations members work as dual employees, and the customer. would prevent or significantly interfere could limit the ability of certain (R.I. Gen. Laws 27–58–11.) with the financial institution’s ability to financial institutions, particularly exercise its authority to sell insurance. smaller ones, to exercise their insurance The Requester contends that the The Requester also contends that this powers. The Requester asserts that this requirement that loan and insurance requirement would impact small provision is more burdensome and transactions be completed institutions most severely. restrictive than any of the Safe Harbors ‘‘independently’’ as well as through separate documents will inconvenience Regulations Implementing the FIISA and would prevent or significantly Provisions interfere with the ability of a financial both the applicant and the financial institution to exercise its authority to institution involved in the two The Requester also asks the OCC to sell insurance. transactions by requiring the applicant address whether or not Federal law to make a separate trip to the bank, would preempt the regulations Confidential Customer Information complete a separate set of documents, implementing the State statutory Section 10 of the FIISA, and its and meet with more than one employee provisions for the same reasons implementing regulation, prohibits of the bank. The Requester contends described above. 6 In addition, the financial institutions from using or that this requirement is particularly Requester also specifically asks the OCC disclosing certain customer information burdensome when coupled with other to opine on whether a regulatory for the purpose of selling or soliciting requirements contained in the FIISA, provision that would confer on the insurance. Specifically, section 10 such as the requirements governing Rhode Island Department of Business provides that: physical location of insurance activities Regulation authority to examine the and sales force. insurance activities of the bank for (1)(b) ‘‘Nonpublic customer information’’ The Requester contends that this means information regarding a person that compliance with the Rhode Island has been derived from a record of a financial provision is not protected by any of the implementing regulations conflicts with institution, including information concerning Safe Harbors. The Requester asserts that Federal law. 7 The OCC invites the terms and conditions of insurance although Safe Harbor (xi) protects State comments on this provisions and all the coverage, insurance expirations, insurance laws requiring that credit and insurance implementing regulations, including claims, or insurance history of an individual. transactions be completed through how they interact with the FIISA Nonpublic customer information does not separate documents, the Safe Harbor provisions. include customer names, addresses or does not protect States laws that require telephone numbers. Request for Comments (2) No financial institution shall use any that the transactions be completed nonpublic customer information for the ‘‘independently.’’ Thus, the Requester The OCC requests comments on the purpose of selling or soliciting the purchase contends that this provision is not issues described above. of insurance or provide the nonpublic protected by any of the Safe Harbors and customer information to a third party for the would prevent or significantly interfere Dated: September 14, 2000. purpose of another’s sale or solicitation of the with the ability of a financial institution John D. Hawke, Jr., purchase of insurance. (R.I. Gen. Laws 27– to exercise its insurance powers. Comptroller of the Currency. 58–10.) Request for Comments The Requester contends that this Physical Separation of Insurance provision would prevent a bank from Activities The OCC requests comments on the using information it has obtained to Section 12 of the FIISA, and its issues described above. identify customer needs. The Requester implementing regulation, generally further contends that this provision permits financial institutions to solicit 6 R.I. Code R. 02–030–090 (2000). would hurt third party marketing and sell insurance only from an office 7 R.I. Code R. 02–030–090, § 3 (2000).

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00120 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57429

Dated: September 14, 2000. Estimated Time Per Respondent—Part opportunity to comment on proposed John D. Hawke, Jr., I: 1 hr., 46 min. and/or continuing information Comptroller of the Currency. Estimated Time Per Respondent— collections, as required by the [FR Doc. 00–24340 Filed 9–21–00; 8:45 am] Parts I and II: 7 hr., 8 min. Paperwork Reduction Act of 1995, Estimated Total Annual Burden BILLING CODE 4810±33±P Public Law 104–13 (44 U.S.C. Hours: 23,060. 3506(c)(2)(A)). Currently, the IRS is The following paragraph applies to all soliciting comments concerning Form DEPARTMENT OF THE TREASURY of the collections of information covered 8818, Optional Form To Record by this notice: Redemption of Series EE and I U.S. Internal Revenue Service An agency may not conduct or Savings Bonds Issued After 1989. sponsor, and a person is not required to DATES: Written comments should be Proposed Collection; Comment respond to, a collection of information received on or before November 21, Request for Form 8854 unless the collection of information 2000 to be assured of consideration. displays a valid OMB control number. AGENCY: Internal Revenue Service (IRS), ADDRESSES: Direct all written comments Books or records relating to a collection to Garrick R. Shear, Internal Revenue Treasury. of information must be retained as long ACTION: Notice and request for Service, room 5244, 1111 Constitution as their contents may become material Avenue NW., Washington, DC 20224. comments. in the administration of any internal FOR FURTHER INFORMATION CONTACT: revenue law. Generally, tax returns and SUMMARY: The Department of the Requests for additional information or tax return information are confidential, Treasury, as part of its continuing effort copies of the form and instructions as required by 26 U.S.C. 6103. to reduce paperwork and respondent should be directed to Martha R. Brinson, Request for Comments: Comments burden, invites the general public and (202) 622–3869, Internal Revenue submitted in response to this notice will other Federal agencies to take this Service, room 5244, 1111 Constitution be summarized and/or included in the opportunity to comment on proposed Avenue NW., Washington, DC 20224. request for OMB approval. All and/or continuing information SUPPLEMENTARY INFORMATION: comments will become a matter of collections, as required by the Title: Optional Form To Record public record. Comments are invited on: Paperwork Reduction Act of 1995, Redemption of Series EE and I U.S. (a) Whether the collection of Public Law 104–13 (44 U.S.C. Savings Bonds Issued After 1989. information is necessary for the proper 3506(c)(2)(A)). Currently, the IRS is OMB Number: 1545–1151. performance of the functions of the soliciting comments concerning Form Form Number: Form 8818. agency, including whether the 8854, Expatriation Information Abstract: Under Internal Revenue information shall have practical utility; Statement. Code section 135, if an individual (b) the accuracy of the agency’s estimate redeems U.S. savings bonds issued after DATES: Written comments should be of the burden of the collection of 1989 and pays qualified higher received on or before November 21, information; (c) ways to enhance the education expenses during the year, the 2000 to be assured of consideration. quality, utility, and clarity of the interest on the bonds is excludable from ADDRESSES: Direct all written comments information to be collected; (d) ways to income. Form 8818 can be used to keep to Garrick R. Shear, Internal Revenue minimize the burden of the collection of a record of the bonds cashed so that the Service, room 5244, 1111 Constitution information on respondents, including taxpayer can claim the proper interest Avenue NW., Washington, DC 20224. through the use of automated collection exclusion. FOR FURTHER INFORMATION CONTACT: techniques or other forms of information Current Actions: There are no changes Requests for additional information or technology; and (e) estimates of capital being made to the form at this time. copies of the form and instructions or start-up costs and costs of operation, Type of Review: Extension of a should be directed to Martha R. Brinson, maintenance, and purchase of services currently approved collection. (202) 622–3869, Internal Revenue to provide information. Affected Public: Individuals or Service, room 5244, 1111 Constitution Approved: September 18, 2000. households. Estimated Number of Respondents: Avenue NW., Washington, DC 20224. Garrick R. Shear, 50,000. SUPPLEMENTARY INFORMATION: IRS Reports Clearance Officer. Estimated Time Per Respondent: 38 Title: Expatriation Information [FR Doc. 00–24442 Filed 9–21–00; 8:45 am] min. Statement OMB Number: 1545–1567. BILLING CODE 4830±01±P Estimated Total Annual Burden Form Number: Form 8854. Hours: 32,000. Abstract: Internal Revenue Code The following paragraph applies to all Section 6039G requires persons who DEPARTMENT OF THE TREASURY of the collections of information covered lose U.S. citizenship to provide by this notice: information concerning citizenship, Internal Revenue Service An agency may not conduct or income tax liability, net worth, and net sponsor, and a person is not required to Proposed Collection; Comment assets. Form 8854 is used to report this respond to, a collection of information Request for Form 8818 information. unless the collection of information Current Actions: There are no changes AGENCY: Internal Revenue Service (IRS), displays a valid OMB control number. being made to the form at this time. Treasury. Books or records relating to a collection Type of Review: Extension of a ACTION: Notice and request for of information must be retained as long currently approved collection. comments. as their contents may become material Affected Public: Individuals or in the administration of any internal households. SUMMARY: The Department of the revenue law. Generally, tax returns and Estimated Number of Respondents— Treasury, as part of its continuing effort tax return information are confidential, Part I: 10,000. to reduce paperwork and respondent as required by 26 U.S.C. 6103. Estimated Number of Respondents— burden, invites the general public and Request for Comments: Comments Parts I and II: 1,000. other Federal agencies to take this submitted in response to this notice will

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57430 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices be summarized and/or included in the SUPPLEMENTARY INFORMATION: DEPARTMENT OF THE TREASURY request for OMB approval. All Title: Claim of Income Tax Return comments will become a matter of Preparer Penalties. Internal Revenue Service public record. Comments are invited on: OMB Number: 1545–0240. (a) Whether the collection of Form Number: Form 6118 Proposed Collection; Comment information is necessary for the proper Abstract: Form 6118 is used by tax Request for Form 2063 performance of the functions of the return preparers to file for a refund of AGENCY: Internal Revenue Service (IRS), agency, including whether the penalties incorrectly charged. The Treasury. information enables the IRS to process information shall have practical utility; ACTION: Notice and request for (b) the accuracy of the agency’s estimate the claim and have the refund issued to comments. of the burden of the collection of the tax return preparer. information; (c) ways to enhance the Current Actions: There are no changes SUMMARY: The Department of the quality, utility, and clarity of the being made to the form at this time. Treasury, as part of its continuing effort information to be collected; (d) ways to Type of Review: Extension of a to reduce paperwork and respondent minimize the burden of the collection of currently approved collection. burden, invites the general public and information on respondents, including Affected Public: Business or other for- other Federal agencies to take this through the use of automated collection profit organizations and individuals or opportunity to comment on proposed techniques or other forms of information households. and/or continuing information technology; and (e) estimates of capital Estimated Number of Respondents: collections, as required by the or start-up costs and costs of operation, 10,000. Paperwork Reduction Act of 1995, maintenance, and purchase of services Estimated Time Per Respondent: 1 hr., Public Law 104–13 (44 U.S.C. to provide information. 2 min. 3506(c)(2)(A)). Currently, the IRS is Estimated Total Annual Burden Approved: September 15, 2000. soliciting comments concerning Form Hours: 10,400. Garrick R. Shear, 2063, U.S. Departing Alien Income Tax The following paragraph applies to all Statement. IRS Reports Clearance Officer. of the collections of information covered DATES: Written comments should be [FR Doc. 00–24443 Filed 9–21–00; 8:45 am] by this notice: received on or before November 21, BILLING CODE 4830±01±P An agency may not conduct or 2000 to be assured of consideration. sponsor, and a person is not required to ADDRESSES: Direct all written comments respond to, a collection of information DEPARTMENT OF THE TREASURY to Garrick R. Shear, Internal Revenue unless the collection of information Service, room 5244, 1111 Constitution Internal Revenue Service displays a valid OMB control number. Avenue NW., Washington, DC 20224. Books or records relating to a collection FOR FURTHER INFORMATION CONTACT: of information must be retained as long Proposed Collection; Comment Requests for additional information or as their contents may become material Request for Form 6118. copies of the form and instructions in the administration of any internal should be directed to Martha R. Brinson, AGENCY: Internal Revenue Service (IRS), revenue law. Generally, tax returns and (202) 622–3869, Internal Revenue Treasury. tax return information are confidential, Service, room 5244, 1111 Constitution ACTION: Notice and request for as required by 26 U.S.C. 6103. Avenue NW., Washington, DC 20224. comments. Request for Comments: Comments submitted in response to this notice will SUPPLEMENTARY INFORMATION: SUMMARY: The Department of the be summarized and/or included in the Title: U.S. Departing Alien Income Treasury, as part of its continuing effort Tax Statement. request for OMB approval. All to reduce paperwork and respondent OMB Number: 1545–0138. comments will become a matter of burden, invites the general public and Form Number: Form 2063. public record. Comments are invited on: other Federal agencies to take this Abstract: Form 2063 is used by a (a) Whether the collection of opportunity to comment on proposed departing resident alien against whom a information is necessary for the proper and/or continuing information termination assessment has not been collections, as required by the performance of the functions of the made, or a departing nonresident alien Paperwork Reduction Act of 1995, agency, including whether the who has no taxable income from United Public Law 104–13 (44 U.S.C. information shall have practical utility; States sources, to certify that they have 3506(c)(2)(A)). Currently, the IRS is (b) the accuracy of the agency’s estimate satisfied all U.S. income tax obligations. soliciting comments concerning Form of the burden of the collection of The data is used by the IRS to certify 6118, Claim of Income Tax Return information; (c) ways to enhance the that departing aliens have complied Preparer Penalties. quality, utility, and clarity of the with U.S. income tax laws. information to be collected; (d) ways to DATES: Written comments should be Current Actions: There are no changes minimize the burden of the collection of received on or before November 21, being made to the form at this time. information on respondents, including 2000 to be assured of consideration. Type of Review: Extension of a through the use of automated collection currently approved collection. ADDRESSES: Direct all written comments techniques or other forms of information Affected Public: Individuals or to Garrick R. Shear, Internal Revenue technology; and (e) estimates of capital households. Service, room 5244, 1111 Constitution or start-up costs and costs of operation, Estimated Number of Respondents: Avenue NW., Washington, DC 20224. maintenance, and purchase of services 20,540 FOR FURTHER INFORMATION CONTACT: to provide information. Estimated Time Per Respondent: 50 Requests for additional information or min. Approved: September 15, 2000. copies of the form and instructions Estimated Total Annual Burden should be directed to Martha R. Brinson, Garrick R. Shear, Hours: 17,048 (202) 622–3869, Internal Revenue IRS Reports Clearance Officer. The following paragraph applies to all Service, room 5244, 1111 Constitution [FR Doc. 00–24444 Filed 9–21–00; 8:45 am] of the collections of information covered Avenue NW., Washington, DC 20224. BILLING CODE 4830±01±P by this notice:

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00122 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57431

An agency may not conduct or Prototype or Employer Sponsored public record. Comments are invited on: sponsor, and a person is not required to Individual Retirement Account. (a) Whether the collection of respond to, a collection of information DATES: Written comments should be information is necessary for the proper unless the collection of information received on or before November 21, performance of the functions of the displays a valid OMB control number. 2000 to be assured of consideration. agency, including whether the Books or records relating to a collection ADDRESSES: Direct all written comments information shall have practical utility; of information must be retained as long to Garrick R. Shear, Internal Revenue (b) the accuracy of the agency’s estimate as their contents may become material Service, room 5244, 1111 Constitution of the burden of the collection of in the administration of any internal Avenue NW., Washington, DC 20224. information; (c) ways to enhance the revenue law. Generally, tax returns and quality, utility, and clarity of the FOR FURTHER INFORMATION CONTACT: tax return information are confidential, information to be collected; (d) ways to Requests for additional information or as required by 26 U.S.C. 6103. minimize the burden of the collection of copies of the form and instructions information on respondents, including Request for Comments: Comments should be directed to Larnice Mack, through the use of automated collection submitted in response to this notice will (202) 622–3179, Internal Revenue techniques or other forms of information be summarized and/or included in the Service, room 5244, 1111 Constitution technology; and (e) estimates of capital request for OMB approval. All Avenue NW., Washington, DC 20224. comments will become a matter of or start-up costs and costs of operation, SUPPLEMENTARY INFORMATION: Title: public record. Comments are invited on: maintenance, and purchase of services Application for Approval of Prototype (a) Whether the collection of to provide information. or Employer Sponsored Individual information is necessary for the proper Retirement Account. Approved: September 14, 2000. performance of the functions of the OMB Number: 1545–0390. Garrick R. Shear, agency, including whether the Form Number: 5306. IRS Reports Clearance Officer. information shall have practical utility; Abstract: This application is used by [FR Doc. 00–24446 Filed 9–21–00; 8:45 am] (b) the accuracy of the agency’s estimate employers who want to establish an BILLING CODE 4830±01±P of the burden of the collection of individual retirement account trust to be information; (c) ways to enhance the used by their employees. The quality, utility, and clarity of the application is also used by banks and DEPARTMENT OF THE TREASURY information to be collected; (d) ways to insurance companies that want to minimize the burden of the collection of establish approved prototype individual Internal Revenue Service information on respondents, including retirement accounts or annuities. The through the use of automated collection data collected is used to determine if the Proposed Collection; Comment techniques or other forms of information individual retirement account trust or Request for Form 8082 technology; and (e) estimates of capital annuity contract meets the requirements AGENCY: Internal Revenue Service (IRS), or start-up costs and costs of operation, of Code section 408(a), 408(b), or 408(c) Treasury. maintenance, and purchase of services so that the IRS may issue an approval to provide information. ACTION: Notice and request for letter. comments. Approved: September 18, 2000. Current Actions: There are no changes Garrick R. Shear, being made to the form at this time. SUMMARY: The Department of the IRS Reports Clearance Officer. Type of Review: Extension of a Treasury, as part of its continuing effort [FR Doc. 00–24445 Filed 9–21–00; 8:45 am] currently approved collection. to reduce paperwork and respondent Affected Public: Business or other for- BILLING CODE 4830±01±P burden, invites the general public and profit organizations. other Federal agencies to take this Estimated Number of Respondents: opportunity to comment on proposed DEPARTMENT OF THE TREASURY 600. and/or continuing information Estimated Time Per Respondent: 12 collections, as required by the Internal Revenue Service hr., 58 min. Paperwork Reduction Act of 1995, Estimated Total Annual Burden Public Law 104–13(44 U.S.C. Proposed Collection; Comment Hours: 7,782. 3506(c)(2)(A)). Currently, the IRS is Request for Form 5306 The following paragraph applies to all soliciting comments concerning Form of the collections of information covered 8082, Notice of Inconsistent Treatment AGENCY: Internal Revenue Service (IRS), by this notice: or Administrative Adjustment Request Treasury. An agency may not conduct or (AAR). ACTION: Notice and request for sponsor, and a person is not required to DATES: Written comments should be respond to, a collection of information comments. received on or before November 21, unless the collection of information 2000 to be assured of consideration. SUMMARY: The Department of the displays a valid OMB control number. Treasury, as part of its continuing effort Books or records relating to a collection ADDRESSES: Direct all written comments to reduce paperwork and respondent of information must be retained as long to Garrick R. Shear, Internal Revenue burden, invites the general public and as their contents may become material Service, room 5244, 1111 Constitution other Federal agencies to take this in the administration of any internal Avenue NW., Washington, DC 20224. opportunity to comment on proposed revenue law. Generally, tax returns and FOR FURTHER INFORMATION CONTACT: and/or continuing information tax return information are confidential, Requests for additional information or collections, as required by the as required by 26 U.S.C. 6103. copies of the form and instructions Paperwork Reduction Act of 1995, Request for Comments: Comments should be directed to Larnice Mack, Public Law 104–13(44 U.S.C. submitted in response to this notice will (202) 622–3179, Internal Revenue 3506(c)(2)(A)). Currently, the IRS is be summarized and/or included in the Service, room 5244, 1111 Constitution soliciting comments concerning Form request for OMB approval. All Avenue NW., Washington, DC 20224. 5306, Application for Approval of comments will become a matter of SUPPLEMENTARY INFORMATION:

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00123 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57432 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Title: Notice of Inconsistent information on respondents, including Type of Review: Extension of a Treatment or Administrative through the use of automated collection currently approved collection. Adjustment Request (AAR). techniques or other forms of information Affected Public: Individuals or OMB Number: 1545–0790. technology; and (e) estimates of capital households. Form Number: 8082. or start-up costs and costs of operation, Estimated Number of Responses: 112. Abstract: A partner, S corporation maintenance, and purchase of services Estimated Time Per Response: 1 hr., shareholder, or the holder of a residual to provide information. 28 min. interest in a real estate mortgage Estimated Total Annual Burden Approved: September 15, 2000. investment conduit (REMIC) generally Hours: 165. Garrick R. Shear, must report items consistent with the The following paragraph applies to all way they were reported by the IRS Reports Clearance Officer. of the collections of information covered partnership or S corporation on [FR Doc. 00–24447 Filed 9–21–00; 8:45 am] by this notice: Schedule K–1 or by the REMIC on BILLING CODE 4830±01±P An agency may not conduct or Schedule Q. Also, an estate or domestic sponsor, and a person is not required to trust beneficiary, or a foreign trust respond to, a collection of information DEPARTMENT OF THE TREASURY owner or beneficiary, is subject to the unless the collection of information consistency reporting requirements for displays a valid OMB control number. Internal Revenue Service Books or records relating to a returns filed after August 5, 1997. Form collection of information must be 8082 is used to notify the IRS of any Proposed Collection; Comment retained as long as their contents may inconsistency between the tax treatment Request for Form CT±2 become material in the administration of items reported by the partner, of any internal revenue law. Generally, shareholder, etc., and the way the pass- AGENCY: Internal Revenue Service (IRS), tax returns and tax return information through entity treated and reported the Treasury. are confidential, as required by 26 same item on its tax return. ACTION: Notice and request for U.S.C. 6103. Current Actions: There are no changes comments. Request for Comments: Comments being made to the form at this time. SUMMARY: The Department of the submitted in response to this notice will Type of Review: Extension of a Treasury, as part of its continuing effort be summarized and/or included in the currently approved collection. Affected Public: Business or other for- to reduce paperwork and respondent request for OMB approval. All profit organizations, individuals, and burden, invites the general public and comments will become a matter of farms. other Federal agencies to take this public record. Comments are invited on: Estimated Number of Respondents: opportunity to comment on proposed (a) Whether the collection of 10,600. and/or continuing information information is necessary for the proper Estimated Time Per Respondent: 5 hr., collections, as required by the performance of the functions of the 48 min. Paperwork Reduction Act of 1995, agency, including whether the Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. information shall have practical utility; Hours: 61,480. 3506(c)(2)(A)). Currently, the IRS is (b) the accuracy of the agency’s estimate The following paragraph applies to all soliciting comments concerning Form of the burden of the collection of of the collections of information covered CT–2, Employee Representative’s information; (c) ways to enhance the by this notice: Quarterly Railroad Tax Return. quality, utility, and clarity of the An agency may not conduct or DATES: Written comments should be information to be collected; (d) ways to sponsor, and a person is not required to received on or before November 21, minimize the burden of the collection of respond to, a collection of information 2000 to be assured of consideration. information on respondents, including unless the collection of information ADDRESSES: Direct all written comments through the use of automated collection displays a valid OMB control number. to Garrick R. Shear, Internal Revenue techniques or other forms of information Books or records relating to a collection Service, room 5244, 1111 Constitution technology; and (e) estimates of capital of information must be retained as long Avenue NW., Washington, DC 20224. or start-up costs and costs of operation, as their contents may become material FOR FURTHER INFORMATION CONTACT: maintenance, and purchase of services in the administration of any internal Requests for additional information or to provide information. revenue law. Generally, tax returns and copies of the form and instructions Approved: September 14, 2000. tax return information are confidential, should be directed to Larnice Mack, Garrick R. Shear, as required by 26 U.S.C. 6103. (202) 622–3179, Internal Revenue IRS Reports Clearance Officer. Request for Comments: Comments Service, room 5244, 1111 Constitution [FR Doc. 00–24448 Filed 9–21–00; 8:45 am] submitted in response to this notice will Avenue NW., Washington, DC 20224. BILLING CODE 4830±01±P be summarized and/or included in the SUPPLEMENTARY INFORMATION: request for OMB approval. All Title: Employee Representative’s comments will become a matter of Quarterly Railroad Tax Return. DEPARTMENT OF THE TREASURY public record. Comments are invited on: OMB Number: 1545–0002. (a) Whether the collection of Form Number: Form CT–2. Internal Revenue Service information is necessary for the proper Abstract: Employee representatives performance of the functions of the file Form CT–2 quarterly to report Proposed Collection; Comment agency, including whether the compensation on which railroad Request for Forms 941, 941±PR, 941± information shall have practical utility; retirement taxes are due. The IRS uses SS, Schedule B (Form 941), and (b) the accuracy of the agency’s estimate this information to ensure that Schedule B (Form 941±PR) of the burden of the collection of employee representatives have paid the AGENCY: Internal Revenue Service (IRS), information; (c) ways to enhance the correct tax. Form CT–2 also transmits Treasury. quality, utility, and clarity of the the tax payment. ACTION: Notice and request for information to be collected; (d) ways to Current Actions: There are no changes comments. minimize the burden of the collection of being made to the form at this time.

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00124 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57433

SUMMARY: The Department of the Federal government, and state, local or to reduce paperwork and respondent Treasury, as part of its continuing effort tribal governments. burden, invites the general public and to reduce paperwork and respondent Estimated Number of Respondents: other Federal agencies to take this burden, invites the general public and 5,798,054. opportunity to comment on proposed other Federal agencies to take this Estimated Time Per Respondent: 54 and/or continuing information opportunity to comment on proposed hours, 29 minutes. collections, as required by the and/or continuing information Estimated Total Annual Burden Paperwork Reduction Act of 1995, collections, as required by the Hours: 315,935,261. Public Law 104–13 (44 U.S.C. Paperwork Reduction Act of 1995, The following paragraph applies to all 3506(c)(2)(A)). Currently, the IRS is Public Law 104–13 (44 U.S.C. of the collections of information covered soliciting comments concerning Form 3506(c)(2)(A)). Currently, the IRS is by this notice: 1138, Extension of Time for Payment of soliciting comments concerning Forms An agency may not conduct or Taxes by a Corporation Expecting a Net 941 (Employer’s Quarterly Federal Tax sponsor, and a person is not required to Operating Loss Carryback. Return), 941–PR (Planilla Para La respond to, a collection of information DATES: Written comments should be Declaracion Trimestral Del Patrono-La unless the collection of information received on or before November 21, Contribucion Federal Al Seguro Social displays a valid OMB control number. 2000 to be assured of consideration. Books or records relating to a collection Y Al Seguro Medicare), 941–SS ADDRESSES: Direct all written comments of information must be retained as long (Employer’s Quarterly Federal Tax to Garrick R. Shear, Internal Revenue as their contents may become material Return—American Samoa, Guam, the Service, room 5244, 1111 Constitution in the administration of any internal Commonwealth of the Northern Mariana Avenue NW., Washington, DC 20224. Islands, and the U.S. Virgin Islands), revenue law. Generally, tax returns and FOR FURTHER INFORMATION CONTACT: Schedule B (Form 941) (Employer’s tax return information are confidential, Requests for additional information or Record of Federal Tax Liability), and as required by 26 U.S.C. 6103. copies of the form and instructions Schedule B (Form 941–PR) (Registro Request for Comments should be directed to Larnice Mack, Suplementario De La Obligacion (202) 622–3179, Internal Revenue Contributiva Federal Del Patrono). Comments submitted in response to this notice will be summarized and/or Service, room 5244, 1111 Constitution DATES: Written comments should be included in the request for OMB Avenue NW., Washington, DC 20224. received on or before November 21, approval. All comments will become a SUPPLEMENTARY INFORMATION: 2000 to be assured of consideration. matter of public record. Comments are Title: Extension of Time for Payment ADDRESSES: Direct all written comments invited on: (a) Whether the collection of of Taxes by a Corporation Expecting a to Garrick R. Shear, Internal Revenue information is necessary for the proper Net Operating Loss Carryback. Service, room 5244, 1111 Constitution performance of the functions of the OMB Number: 1545–0135. Avenue NW., Washington, DC 20224. agency, including whether the Form Number: 1138. FOR FURTHER INFORMATION CONTACT: information shall have practical utility; Abstract: Form 1138 is filed by Requests for additional information or (b) the accuracy of the agency’s estimate corporations to request an extension of copies of these forms and instructions of the burden of the collection of time for the payment of taxes for a prior should be directed to Carol Savage, information; (c) ways to enhance the tax year when the corporation believes (202) 622–3945, Internal Revenue quality, utility, and clarity of the that it will have a net operating loss in Service, room 5242, 1111 Constitution information to be collected; (d) ways to the current tax year. The IRS uses Form Avenue NW., Washington, DC 20224. minimize the burden of the collection of 1138 to determine if the request should be granted. SUPPLEMENTARY INFORMATION: information on respondents, including Current Actions: There are no changes Title: Employer’s Quarterly Federal through the use of automated collection techniques or other forms of information being made to the form at this time. Tax Return. Type of Review: Extension of a OMB Number: 1545–0029. technology; and (e) estimates of capital or start-up costs and costs of operation, currently approved collection. Forms Number: 941, 941–PR, 941–SS, Affected Public: Business or other for- Schedule B (Form 941), and Schedule B maintenance, and purchase of services to provide information. profit organizations. (Form 941–PR). Estimated Number of Respondents: Abstract: Form 941 is used by Approved: September 15, 2000. 2,033 employers to report payments made to Garrick R. Shear, Estimated Time Per Respondent: 4 hr., employees subject to income and Social IRS Reports Clearance Officer. 50 min. Security/Medicare taxes and the [FR Doc. 00–24449 Filed 9–21–00; 8:45 am] Estimated Total Annual Burden amounts of these taxes. Form 941–PR is BILLING CODE 4830±01±P Hours: 9,819. used by employers in Puerto Rico to The following paragraph applies to all report Social Security and Medicare of the collections of information covered taxes only. Form 941–SS is used by DEPARTMENT OF THE TREASURY by this notice: employers in the U.S. possessions to An agency may not conduct or report Social Security and Medicare Internal Revenue Service sponsor, and a person is not required to taxes only. Schedule B is used by respond to, a collection of information Proposed Collection; Comment employers to record their employment unless the collection of information Request for Form 1138 tax liability. displays a valid OMB control number. Current Actions: There are no changes AGENCY: Internal Revenue Service (IRS), Books or records relating to a collection being made to these forms at this time. Treasury. of information must be retained as long Type of Review: Extension of a ACTION: Notice and request for as their contents may become material currently approved collection. comments. in the administration of any internal Affected Public: Businesses or other revenue law. Generally, tax returns and for-profit organizations, individuals or SUMMARY: The Department of the tax return information are confidential, households, not-for-profit institutions, Treasury, as part of its continuing effort as required by 26 U.S.C. 6103.

VerDate 112000 20:21 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00125 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm04 PsN: 22SEN1 57434 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

Request for Comments collection of information should be Estimated Number of Respondents: Comments submitted in response to received on or before November 21, 12,000. this notice will be summarized and/or 2000. Dated: August 25, 2000. included in the request for OMB ADDRESSES: Submit written comments By direction of the Acting Secretary. approval. All comments will become a on the collection of information to Donald L. Neilson, matter of public record. Comments are Nancy J. Kessinger, Veterans Benefits Director, Information Management Service. invited on: (a) Whether the collection of Administration (20S52), Department of [FR Doc. 00–24328 Filed 9–21–00; 8:45 am] information is necessary for the proper Veterans Affairs, 810 Vermont Avenue, BILLING CODE 8320±01±P performance of the functions of the NW., Washington, DC 20420. Please agency, including whether the refer to ‘‘OMB Control No. 2900–0176’’ information shall have practical utility; in any correspondence. DEPARTMENT OF VETERANS (b) the accuracy of the agency’s estimate FOR FURTHER INFORMATION CONTACT: AFFAIRS of the burden of the collection of Nancy J. Kessinger at (202) 273–7079 or information; (c) ways to enhance the [OMB Control No. 2900±0276] FAX (202) 275–5947. quality, utility, and clarity of the information to be collected; (d) ways to SUPPLEMENTARY INFORMATION: Under the Agency Information Collection minimize the burden of the collection of PRA of 1995 (Public Law 104–13; 44 Activities Under OMB Review U.S.C., 3501–3520), Federal agencies information on respondents, including AGENCY: Veterans Benefits must obtain approval from the Office of through the use of automated collection Administration, Department of Veterans Management and Budget (OMB) for each techniques or other forms of information Affairs. collection of information they conduct technology; and (e) estimates of capital ACTION: Notice. or start-up costs and costs of operation, or sponsor. This request for comment is maintenance, and purchase of services being made pursuant to Section SUMMARY: In compliance with the to provide information. 3506(c)(2)(A) of the PRA. Paperwork Reduction Act (PRA) of 1995 Approved: September 15, 2000. With respect to the following (44 U.S.C., 3501 et seq.), this notice collection of information, VBA invites Garrick R. Shear, announces that the Veterans Benefits comments on: (1) Whether the proposed IRS Reports Clearance Officer. Administration (VBA), Department of collection of information is necessary Veterans Affairs, has submitted the [FR Doc. 00–24450 Filed 9–21–00; 8:45 am] for the proper performance of VBA’s collection of information abstracted BILLING CODE 4830±01±P functions, including whether the below to the Office of Management and information will have practical utility; Budget (OMB) for review and comment. (2) the accuracy of VBA’s estimate of the The PRA submission describes the DEPARTMENT OF VETERANS burden of the proposed collection of nature of the information collection and AFFAIRS information; (3) ways to enhance the its expected cost and burden; it includes [OMB Control No. 2900±0176] quality, utility, and clarity of the the actual data collection instrument. information to be collected; and (4) DATES: Comments must be submitted on Proposed Information Collection ways to minimize the burden of the or before October 23, 2000. Activity: Proposed Collection; collection of information on FOR FURTHER INFORMATION OR A COPY OF Comment Request respondents, including through the use THE SUBMISSION CONTACT: Denise of automated collection techniques or AGENCY: Veterans Benefits McLamb, Information Management the use of other forms of information Administration, Department of Veterans Service (045A4), Department of technology. Affairs. Veterans Affairs, 810 Vermont Avenue, Title: Monthly Record of Training and ACTION: Notice. NW., Washington, DC 20420, (202) 273– Wages, VA Form 28–1905c. 8030 or FAX (202) 273–5981. Please SUMMARY: The Veterans Benefits OMB Control Number: 2900–0176. refer to ‘‘OMB Control No. 2900–0276.’’ Type of Review: Reinstatement, Administration (VBA), Department of SUPPLEMENTARY INFORMATION: Veterans Affairs (VA) is announcing an without change, of a previously Title: Manufactured Home Appraisal opportunity for public comment on the approved collection for which approval Report, VA Form 26–8712. proposed collection of information by has expired. OMB Control Number: 2900–0276. the agency. Under the Paperwork Abstract: A trainer uses the form as an Type of Review: Extension of a Reduction Act (PRA) of 1995, Federal outline for recording veterans’ progress currently approved collection. agencies are required to publish notice toward their rehabilitation goals as well Abstract: This form is used by VA fee in the Federal Register concerning each as recording veterans’ on-job training and staff appraisers to establish the proposed collection of information, monthly wages. Trainers report these reasonable value of used manufactured including each proposed reinstatement, wages on the form only at the beginning homes. The reasonable value is then without change, of a previously of the program and at any time the used: (1) To establish the maximum approved collection for which approval trainee’s wage rate changes. Following a loan amount a veteran may obtain for has expired, and allow 60 days for veteran’s completion of a vocational the purchase of a used manufactured public comment in response to the rehabilitation program, the trainer home unit; (2) to obtain information on notice. This notice solicits comments on submits the form to VA for review by the condition of the unit and its the information needed by VA to the veteran’s case manager. compliance with VA’s minimum monitor a program participant’s training Affected Public: Individuals or property requirements; and (3) in the to ensure that the participant is households, Business or other for-profit. event of foreclosure, to ascertain the progressing and learning the skills Estimated Annual Burden: 3,000 value of the unit for resale purposes for necessary to carry out the duties of the hours. use in computation of claims in occupational goal. Estimated Average Burden Per applicable cases. DATES: Written comments and Respondent: 15 minutes. An agency may not conduct or recommendations on the proposed Frequency of Response: Monthly. sponsor, and a person is not required to

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00126 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57435 respond to a collection of information Estimated Average Burden Per Room 10235, Washington, DC 20503 unless it displays a currently valid OMB Respondent: 90 minutes. (202) 395–4650. Please refer to ‘‘OMB control number. The Federal Register Frequency of Response: On occasion. Control No. 2900–0276’’ in any Notice with a 60-day comment period Estimated Number of Respondents: correspondence. soliciting comments on this collection 124. Dated: August 25, 2000. of information was published on June Send comments and By direction of the Acting Secretary. 20, 2000, at page 38318. recommendations concerning any Affected Public: Individuals or aspect of the information collection to Donald L. Neilson, Households and Business or other for- VA’s OMB Desk Officer, Allison Eydt, Director, Information Management Service. profit. OMB Human Resources and Housing [FR Doc. 00–24329 Filed 9–21–00; 8:45 am] Estimated Annual Burden: 1 hour. Branch, New Executive Office Building, BILLING CODE 8320±01±P

VerDate 112000 14:24 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00127 Fmt 4703 Sfmt 4703 E:\FR\FM\22SEN1.SGM pfrm03 PsN: 22SEN1 57436

Corrections Federal Register Vol. 65, No. 185

Friday, September 22, 2000

This section of the FEDERAL REGISTER contains editorial corrections of previously published Presidential, Rule, Proposed Rule, and Notice documents. These corrections are prepared by the Office of the Federal Register. Agency prepared corrections are issued as signed documents and appear in the appropriate document categories elsewhere in the issue.

THE PRESIDENT 3 CFR

Executive Order 13167 of September 15, 2000 Amendment to Executive Order 13147, Increasing the Membership of the White House Commission on Complementary and Alternative Medicine Policy Correction In Executive Order 13167 of September 15, 2000, in the issue of Wednesday, September 20, 2000, page 54079 should read 57079. [FR Doc. C0–24364 Filed 9–21–00; 8:45 am] BILLING CODE 1505±01±D

VerDate 112000 20:10 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4734 Sfmt 4734 E:\FR\FM\22SECX.SGM pfrm03 PsN: 22SECX Friday, September 22, 2000

Part II

Securities and Exchange Commission 17 CFR Parts 200, 275, and 279 Electronic Filing by Investment Advisers; Amendments To Form ADV; Final Rule

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57438 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

SECURITIES AND EXCHANGE U.S.C. 80b–1] (the Advisers Act or the filings of Form ADV unless the adviser COMMISSION Act). The Commission also is has been granted a hardship exemption. withdrawing rule 204–5 [17 CFR I. Discussion 17 CFR Parts 200, 275, and 279 275.204–5] and Forms 5–R, 6–R, 7–R, [Release No. IA±1897; 34±43282; File No. and ADV–Y2K [17 CFR 279.5, 279.6, In April, the Commission proposed S7±10±00] 279.7, and 279.9] under the Advisers amendments to the filing rules under Act. the Advisers Act as well as amendments RIN 3235±AD21 1 Table of Contents to Forms ADV and ADV–W. We Electronic Filing by Investment received over 70 comments on the Executive Summary 2 Advisers; Amendments To Form ADV proposed rules. Commenters I. Discussion overwhelmingly supported electronic AGENCY: Securities and Exchange A. The Investment Adviser Registration filing by advisers. Today we are Commission. Depository adopting those amendments, but are ACTION: Final rule. B. Transition to Electronic Filing deferring adoption of amendments to 1. Applicants For Registration as an Investment Adviser Part 2 of Form ADV for reasons we SUMMARY: The Commission is adopting describe below.3 new rules and rule amendments under 2. Advisers Currently Registered with the the Investment Advisers Act of 1940 to Commission A. The Investment Adviser Registration 3. Hardship Exemptions Depository require that advisers registered with the 4. Setting Up an IARD Account Commission make filings under the Act 5. Getting Help The Commission and the state with the Commission electronically C. Amendments to Form ADV securities authorities have created an through the Investment Adviser 1. Part 1 of Form ADV electronic filing system, the IARD, Registration Depository (IARD). The 2. Part 2 of Form ADV through which investment advisers will Commission is also adopting II. Effective Date make filings with us and the states over amendments to Forms ADV and ADV– III. Cost-Benefit Analysis the Internet. NASDR is building and W that prepare those forms for IV. Paperwork Reduction Act will operate the IARD under contracts electronic filing. The new rules V. Summary of Final Regulatory Flexibility Analysis with the Commission and the North implement our statutory mandate to VI. Statutory Authority American Securities Administrators create a one-stop electronic filing Text of Rule and Form Amendments Association (NASAA).4 NASDR will be system for investment advisers and to Form ADV responsible for certain ministerial tasks provide investors with a readily Form ADV–W as operator of the IARD, by will not act accessible database of information about Form ADV–H as a self-regulatory organization for investment advisers and persons Form ADV–NR advisers.5 associated with investment advisers. Executive Summary DATES: Effective October 10, 2000. The IARD will be ‘‘rolled out’’ in a The transition to electronic filing, The Commission is adopting new series of releases beginning early next beginning in January 2001, is discussed rules and rule amendments under the year. in Section I.B of the SUPPLEMENTARY Advisers Act to require registered • SEC-Registered Adviser Filings. INFORMATION section of this Release. investment advisers to make filings with Firms registered or applying for FOR FURTHER INFORMATION CONTACT: us electronically through the Investment registration with us will use the IARD Contact Jennifer B. McHugh, Special Advisers Registration Depository to file Forms ADV and ADV–W Counsel, or Jennifer L. Sawin, Special (IARD). The IARD, which will be Counsel, at (202) 942–0691, Office of operated by NASD Regulation, Inc. 1 Investment Advisers Act Release No. 1862. (Apr. Investment Adviser Regulation, Division (NASDR), will permit investment 5, 2000) [65 FR 20524 (Apr. 17, 2000)] (‘‘Proposing of Investment Management, Securities advisers to satisfy their filing obligations Release’’) under state and federal law with a single 2 A summary of comments prepared by our staff and Exchange Commission, 450 Fifth is available in our Public Reference Room in File Street, N.W., Washington, D.C. 20549– electronic filing made over the Internet. No. S7–10–00, and on our web site at www.sec.gov/ 0506. Visit the IARD page on our We are also amending Forms ADV rules/extra/iardsumm. website at www.sec.gov/iard, or email and ADV–W to update the forms and 3 We changed the numbering of the parts of Form ADV from Roman (Part I and II) to Arabic (Part 1 . We urge interested prepare them for electronic filing. The and Part 2) numbers. In this Release, however, we persons with access to the Internet to amendments to Form ADV primarily use Arabic numbers to refer to the parts fo Form review information about the IARD and affect Part 1 of the form. We are ADV before and after amendment. At some points, the new rules on our website before deferring, for later consideration, we refer separately to old Part II and proposed Part 2 in order to clarify which rules adviseers must contacting our staff. adoption of amendments to Part 2 of follow during an interim period. SUPPLEMENTARY INFORMATION: The Form ADV and related rules. 4 NASDR is a wholly-owned subsidiary of the Commission is adopting amendments to An applicant for registration as an National Association of Securities Dealers (NASD), rules 30–5 and 30–11 of the SEC’s adviser after January 1, 2001 must a self-regulatory organization which supervises broker-dealers that conduct a public business in Organization and Program Management submit its application electronically securities other than on an exchange of which the rules [17 CFR 200.30–5 and 200.30–11], through the IARD using amended Form broker-dealer is a member. NASAA represents the new rule 203–3 and Form ADV–H; ADV. Advisers registered with the 50 U.S. state securities authorities responsible for adopting amendments to rules 0–2, 0–7, Commission must transition to the administration of state securities laws, also known as ‘‘blue sky laws.’’ Currently, 49 states (all 203–1, 203–2, 203A–1, 203A–2, and electronic filing by submitting except Wyoming) and the District of Columbia, 204–1 [17 CFR 275.0–2, 275.0–7, amendments to their Form ADVs Guam, and Puerto Rico have investment adviser 275.203–1, 275.203–2, 275.203A–1, through the IARD during the first four statutes. See www.nasaa.org/search/ 275.203A–2, and 275.204–1]; and Form months of 2001 in accordance with a memberslinks.html. 5 In July, we formally designated NASDR as ADV, Form ADV–W, and Form 4–R [17 transition schedule we are today operator of the IARD. Investment Advisers Act CFR 279.1, 279.2, and 279.4] under the adopting. After April 2001, the Release No. 1888 (July 28, 2000) [65 FR 47807 (Aug. Investment Advisers Act of 1940 [15 Commission will no longer accept paper 3, 2000)].

VerDate 112000 20:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57439 beginning in January 2001.6 We have or an individual and obtain access to this interim period.16 We discuss Part II approved a schedule of filing fees that current information filed on Form ADV. and the interim rules in Section I.C.2 of NASDR will charge to support operation We expect the public disclosure this release. of the system,7 and are today adopting component of the IARD to begin B. Transition to Electronic Filing rules requiring all advisers to transition operating in mid-2001. In later system to electronic filing during the first four releases we hope to be able to expand The Commission is adopting, months of 2001.8 These rules and the the search capabilities of the public substantially as proposed, amendments transition schedule are described in access system so that investors may be to our filing rules to implement more detail in Section I.B of this able to search for an adviser that meets electronic filing and create a transition Release. certain other criteria, e.g., search for all process for advisers currently filing with SEC-registered advisers will be able to advisers that provide financial planning the Commission on paper. The make notice filings to, and submit filing services and have offices in a particular following sections describe the revised and other fees to, the states through the state. requirements both for applicants for IARD after January 1, 2001. The IARD In the Proposing Release, we registration under the Advisers Act and will automatically calculate the amount explained that we would block Internet for current registrants. Additional of the fees due and will remit funds to access to social security numbers and guidance may be found in the revised the states.9 SEC-registered advisers will sole proprietors’ home addresses instructions to Form ADV and our web need to fund their IARD accounts with reported on Form ADV.11 As urged by site. NASDR because the IARD will not some commenters, we will also block 1. Applicants for Registration as an accept filings if there are insufficient Internet disclosure of all private Investment Adviser funds on account to pay IARD filing fees residence addresses identified in the Persons applying for registration with and state fees. We discuss setting up an form,12 as well as ‘‘contact employee’’ the Commission as an investment IARD account in Section I.B.4 of this information reported on the form.13 adviser after January 1, 2001 must file Release. • Investment Adviser Representative 10 Form ADV, as amended, through the • State-Registered Adviser Filings. Filings. Advisers will also be able to use IARD.17 Paper filings on Form ADV will In January 2001, the IARD will also be the IARD for investment adviser be accepted only if the person has ready to accept filings of state-registered representative license filings and obtained a hardship exemption, advisers. State-registered advisers will renewals and to pay fees associated with described below.18 pay IARD filing fees based on the same those filings. This portion of the system schedule as SEC-registered advisers. We will not be operational until later in 2. Advisers Currently Registered With understand that all states will accept 2001. Because we do not separately the Commission filing of Forms ADV and ADV–W register or license advisers’ employees, Each adviser registered with the through the IARD and that some states we have not been involved in Commission on January 1, 2001 must re- may require state-registered advisers to development or deployment of this part file its Form ADV with us through the use the IARD. State-registered advisers of the IARD. IARD, using amended Form ADV, • that are unsure of the requirements of a Part 2 of Form ADV. The IARD will, during one of the first four months of state in which they are registered should in a later system release, accept Part 2 2001.19 All subsequent amendments contact the state securities authority. of Form ADV. As noted above, the must be made electronically, and if the • Public Access. The information Commission is not now adopting adviser should withdraw its registration, filed through the IARD will form a amendments to Part 2. Until we adopt database of information on advisers. revisions, advisers must continue to 16 Rule 203–1(b)(2). As a result, state securities Investors will be able to search the IARD deliver ‘‘old’’ Part II to prospective authorities may continue to require SEC–registered database using the name of the adviser clients and annually offer them to advisers to file with them a paper copy of the 14 adviser’s Part II of Form ADV. See section 307(a) clients under our brochure rule. As of The National Securities Markets Improvement 6 The following other forms under the Advisers proposed, we will not require advisers Act of 1996 (NSMIA), (Pub. L. No. 104–290, 110 Act will continue to be submitted to us on paper: Stat. 3438) (1996). Several commenters objected to Form ADV–E (Certificate of Accounting of Client to submit Part II of Form ADV to us this rule, arguing that states have no interest in the Securities and Funds in the Possession or Custody until the IARD is able to accept advisers’ brochures of SEC-registered advisers. We believe of an Investemnt Adviser); ADV–NR (Appointment 15 brochures electronically. Under the that states should continue to be able to require Part of Agent for Service of Process by Non-Resident rules we are adopting, however, Part II II during this hiatus in our requirements. Under our General Partner and Non-Resident Managing Agent will be considered filed with us during rule, a state is free to require Part II from all advisers of an Investment Adviser); and ADV–H that meet its jurisdictional requirements, from no (Application for a Temporary or Continuing advisers, or upon request. Hardship Exemption). In addition, advisers that are 11 As we explained in the Proposing Release, 17 Rule 203–1(b)(1) [17 CFR 275.203–1(b)(1)]. The institutional investment managers will continue to Form ADV will continue to request social security Advisers Act provides that, within 45 days after a make Form 13F filings through our EDGAR system. numbers of persons who have not been assigned a person files an application for registration with us, Form 13F filings are made by many firms other than CRD number. NASDR needs this information when we must either grant registration under the Act or investment advisers, and it would not be feasible assigning a CRD number to distinguish between institute a proceeding to determine whether to include these filings on the IARD. persons having the same name. Proposing Release, registration should be denied. Section 203(c)(2) [15 7 In Investment Advisers Act Release No. 1888, supra note 1, at note 77. U.S.C. 80b–3(c)(2)]. Under our rules, as today 12 supra note 5, we approved a schedule of filing fees We have revised each item and schedule of amended, an application for registration under the NASDAR will charge. The fee schedule is available Form ADV that requires an address to inquire Act is considered filed with us on the date that the on our web site at www.sec.gov/iard. whether the address reported is a private residence. application is accepted by the IARD. Rule 203–1(c) 8 Rule 204–1(b) [17 CFR 275 204–1(b)] Items 1.F and 1.G of Part 1A and Sections 1.F, 1.K [17 CFR 275.203–1(c)]. The IARD will only accept 9 An SEC-registered adviser must indicate in Item and 10 of Schedule D. filings that are complete and for which filing fees 2.B of Part 1A the states in which it has notice filing 13 The contact employee information is provided are paid. Some affiliated advisers have filed a single obligations. IARD will determine the amount of in response to Item 1.J of Form ADV. Commenters Form ADV to register all or some of the affiliates. state fees due from the adviser based on its expressed concern that the contact employee might Our experience is that such joint registrations do response. be inundated with phone calls that would more not work well since each adviser may have different 10 In this Release, we refer to both applicants for appropriately be directed elsewhere in the advisory responses to the same items. We will no longer registration as an adviser with a state securities firm. accept joint registration; each affiliate must file a authority and persons registered as an adviser with 14 Rule 204–3 [17 CFR 204–3]. separate application for registration. a state securities authority as ‘‘state-registered 15 Rules 203–1(b)(2) and 204–1(c) [17 CFR 18 See infra Section I.B.3. advisers.’’ 275.203–1(b)(2) and .204–1(c)]. 19 Rule 204–1(b).

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57440 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

Form ADV–W must be filed filing.26 The temporary hardship program, scheduled to begin next electronically.20 exemption is available automatically month, a small group of advisers will To facilitate a smooth transition to upon filing Form ADV–H. A continuing make filings through the IARD to test electronic filing, we have assigned each hardship exemption is available only to the system. Persons completing Form adviser registered with us to one of four an adviser that is a ‘‘small business’’ ADV on the IARD will be able to use an groups. Members of each group must and can demonstrate that filing on-line help function that our staff will file amendments to their registration electronically would create an undue update from time to time with answers forms by the end of one of the first four hardship (e.g., the adviser has no to frequently asked questions. We months of 2001.21 They must use computer and is unable to afford a filing recognize, however, that the IARD and revised Form ADV, and must file service).27 Although advisers requesting our rule amendments may raise electronically through the IARD unless a continuing hardship exemption will questions for persons filing for the first they have obtained a hardship submit Form ADV–H to NASDR, the time. Our staff and the staff of NASDR exemption. We have assigned each decision whether to grant an exemption will provide assistance to advisers adviser with a fiscal year ending in will be made by the Commission.28 during this transition period. We have December to one of the first three created a page on our web site to 4. Setting Up an IARD Account months by reference to its SEC filing provide information to advisers about number,22 which will permit those In order to file electronically, an electronic filing.31 We will use the IARD advisers to use the transitional filing to adviser must first request and obtain web page to post copies of forms, also satisfy their annual updating access to the IARD and set up an IARD instructions on gaining IARD access, requirement under our rules.23 We have account with NASDR. This fall, we will instructions on how to make an assigned advisers having fiscal years mail each SEC-registered adviser the electronic filing, and answers to ending in months other than December forms and instructions needed to set up frequently asked questions about the to the group that must file no later than an IARD user account with NASDR. IARD and electronic filing. We have the last day of April 2001.24 Advisers must complete these forms, established a hot line to answer sign them, and mail them back to 32 3. Hardship Exemptions questions, and the NASDR will NASDR. NASDR will then create the operate a help desk for advisers.33 An adviser may request one of two adviser’s IARD account for fee Before calling, we urge advisers and types of hardship exemptions by payments, assign the adviser a CRD their personnel to consult the submitting Form ADV–H (on paper) to number,29 and issue passwords for the instructions to Form ADV and our web NASDR.25A temporary hardship adviser’s authorized personnel. NASDR site. exemption permits the adviser to extend will also provide the adviser with C. Amendments to Form ADV the deadline for a filing for seven instructions on funding its IARD billing business days if unexpected difficulties, account; the adviser must fund its IARD Form ADV consists of two parts. The such as a computer malfunction or billing account by check or wire transfer first part asks for information about the electrical outage, prevent it from before it can make an electronic filing adviser and persons associated with the through the IARD.30 adviser, which provides us with 20 Rules 204–1(b)(4) and 203–2(b) [17 CFR information we need to make 275.204–1(b)(4) and 203–2(b)]. Form ADV–W is in 5. Getting Help registration decisions and manage our Appendix B to this Release. 21 Until an adviser makes its first electronic filing We designed the IARD with the regulatory and examinations program. it must comply with the updating requirements of assistance of an advisory industry The second part contains the our rules by making paper filings of Part 1 of Form committee whose members represented requirements for a written statement ADV with us, using ‘‘old’’ Form ADV, i.e., Form different types of advisory firms. The that advisers must provide to ADV that does not reflect the current amemdments. If an adviser should withdraw its registration before committee helped us design the IARD to prospective clients and annually offer to 34 making its first electronic filing on Form ADV, it be easy for advisers to use. Under a pilot clients under our rules. must file its Form ADV–W with us on paper. It may 1. Part 1 of Form ADV use either ‘‘old’’ Form ADV–W or Form ADV–W as 26 See rule 203–3(a) [17 CFR 275.203–3(a)]. Some we are amending it today. commenters on the proposed rule argued that seven We proposed substantial revisions to 22 If an adviser’s fiscal year (as reported in its days was inadequate. We are adopting the rule as Part 1 to accommodate electronic filing, current Form ADV) ends in December, the adviser proposed. As we noted in the Proposing Release, and to reflect changes in the advisory must transition to electronic filing by submitting an advisers facing a persistent filing impediment amendment to its Form ADV through the IARD no should make alternative filing arrangements, such industry and the laws regulating later than: as hiring a service bureau. investment advisers.35 We proposed to (i) Janaury 31, 2001, if the adviser’s SEC file 27 Rule 203–3(b) [17 CFR 275.203–3(b)]. An number is 801–1 through 801–36806; investment adviser generally is a small business if 31 The site address is . (ii) February 28, 2001, if the adviser’s SEC file it (a) manages assets of less than $25 million, (b) 32 Advisers registered with the Commission or number is 801–36807 through 801–54145; and has total assets of $5 million or less, and (c) is not applying for registration with the Commission can (iii) March 30, 2001, if the adviser’s SEC file in a control relationship with another investment call the Commission staff at (202) 942–0691 with number is 801–54146 or higher. adviser that is not a small business. Rule 0–7 [17 legal and regulatory questions relating to Forms Rule 204–1(b)(1) [17 CFR 275.204–1(b)(1)]. CFR 275.0–7]. Since SEC-registered advisers are ADV and ADV–W. 23 An adviser is required to update its registration primarily larger firms, we expect that few will 33 Advisers should call NASDR’s help desk at forms at least annually within 90 days of the end qualify for a continuing hardship exemption. (240) 386–4848 with questions about filling out of its fiscal year. Rule 204–1(a)(1). [17 CFR 204– 28 We are delegating authority to grant or deny a entitlement forms, setting up an IARD account, and 1(a)(1)]. continuing hardship exemption to our Division of using the IARD system. 24 Rule 204–1(b)(1)(ii) [17 CFR 275.204– Investment Management. See rule 30–5(e)(7) of our 34 Rule 204–3. Form ADV, as amended, is in 1(b)(1)(ii)]. Advisers are free to file as soon as they Organization and Program Management Rules. [17 Appendix A to this Release. complete the entitlement process with NASDR as CFR 200.30e–5(e)(7)]. 35 Form ADV will exist in both an electronic and described below. As a result, some advisers may 29 Advisers that already have a CRD account with a paper version. We have appended to this release have filing options. An adviser having a fiscal year NASDR will use that account. These firms, the paper version, which will only be filed by ending on October 31, for example, could submit however, must still complete the entitlement forms advisers that have received a continuing hardship an annual updating amendment to us on paper in and return them to NASDR in order to obtain IARD exemption. The electronic version of the form, January 2001 and then make subsequent electronic access. which will be available only through the IARD, will filing by the end of April 2001, or could transition 30 New applicants for SEC registration can obtain elicit the same information but will have minor to electronic filing early, by the end of January. copies of the entitlement forms from NASDR at differences necessary to reflect and, in some cases 25 Form ADV–H is in Appendix C to this Release. . take advantage of, an electronic environment.

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57441 reorganize Part 1 using simpler reported on a DRP. Advisers must now Form ADV. Deferment will allow us language, and introduce the items with report actions of foreign courts and time to fully consider the many brief explanations of why we need the regulatory authorities,39 cease-and- comments we received on our proposed information. We proposed substantial desist orders issued by the revisions to Part II. We have left the revisions to the schedules to Part 1, on Commission,40 and military court (old) form, Part II, in place and are also which advisers must provide convictions, misdemeanor perjury retaining the current rules on delivery of information about control persons and convictions, and convictions for old Part II. As a result, advisers must details about disciplinary events. conspiracy to commit certain offenses.41 continue to provide prospective clients Finally, we proposed to divide Part 1 Advisers must only report disciplinary with (old) Part II of Form ADV or a further into two parts, segregating those events occurring within the last ten brochure containing at least the same items to which all advisers must years,42 and, by checking a box on the required information.44 Advisers also respond (Part 1A) from those additional appropriate DRP, advisers can remove must maintain an updated copy of their items to which only state-registered from their current Form ADV (old) Part II in their files, and must advisers must respond (Part 1B).36 disciplinary events reported for provide it to the Commission staff upon Many of the commenters on Part 1A advisory affiliates no longer associated request. However, we are not requiring requested technical changes or with the firm. advisers to submit these documents to suggested that we clarify some of the We proposed to expand the current us until we have acted on the Part 2 language. These comments have led us requirement that advisers report certain amendments and the IARD is ready to to make several minor changes to the pending criminal proceedings to require accept (new) Part 2 brochures Instructions, Glossary of Terms,37 and disclosure of any felony charges, and electronically.45 We will notify advisers Items38 that we believe improve the certain misdemeanor charges, brought when the IARD is ready and will form. The most significant changes we against the adviser or an advisory provide a grace period before advisers proposed to Part 1A involved Item 11, affiliate during the preceding ten years. are required to file (new) Part 2 which requires disclosure of Many commenters opposed this change, brochures. disciplinary information about the pointing out that it would require A consequence of our decision not to adviser and certain of its advisory disclosure even when the charges were require an adviser to submit its old Part personnel. We are adopting this item later dropped or the person acquitted. II of Form ADV to us during this interim substantially as proposed with one We have decided to require SEC- period is that our updating requirements change urged by commenters. registered advisers to disclose only will no longer apply.46 However, under Item 11 requires that each adviser pending charges, as currently required the Advisers Act’s anti-fraud rules, responding affirmatively to a by the form.43 advisers are prohibited from materially disciplinary question complete a 2. Part 2 of Form ADV misleading their clients, and thus have Disclosure Reporting Page (DRP). Part an obligation not to provide their clients As noted above, we are deferring 1A has three DRPs, one each for with a materially misleading Part II or adoption of amendments to Part 2 of criminal, civil, and regulatory actions. brochure.47 Therefore, even though our Advisers must complete a separate DRP updating rules may no longer apply, an 39 Items 11.A, 11.B, and 11.D of Part 1A. for each reported event; the DRPs elicit adviser continues to have an obligation details regarding the disciplinary events 40 Item 11.C(5) of Part A. 41 to update the disclosure it provides to in a structured format and replace Item 11.A.(1) and 11.B. These changes further conform Form ADV’s disciplinary questions to clients to avoid misleading them.48 current Schedules D and E. Item 11 those of Form BD. See Form BD Amendments, includes an expanded list of Securities Exchagne Act Release No. 35224 (Jan. 12, II. Effective Date disciplinary events that must be 1995) [60 FR 4040 (Jan. 19, 1995)] (proposing), and Form BD Amendments, Securities Exchange Act The effective date for the rules and Release No. 37431 (July 12, 1996) [61 FR 37357 rule amendments is October 10, 2000. 36 Part 1B was prepared by NASAA on behalf of (July 18, 1996)] (adopting). Advisers need not report Under the Administrative Procedure state securities authorities. Completion of this part a finding by a self-regulatory organization that the of Form ADV is a requirement of state law (and not adviser violated a ‘‘minor’’ rule if the sanction Act, we may establish an effective date SEC rules). imposed consists of a fine of $2,500 or less and the less than 30 days after the publication 37 We deleted terms that would have been used sanctioned person does not contest the fine. Item of these rules if we find good cause to only in new Part 2 and added a definition of 11.E.(2). See Securities Exchange Act Release No. do so.49 Mandatory filing through the ‘‘employee,’’ which is used in Item 5. As noted, 30958 (July 27, 1992) [57 FR 34028 (July 31, 1992)] infra note 38, we omitted the reference to (making a similar change to Form BD). The rule IARD system will not begin until ‘‘independent contractors’’ in Item 5 because the must have been designated as ‘‘minor’’ under a plan January 1, 2001. Until January 1, 2001, term could be construed to include persons who approved by the Commission. did not provide advice on the adviser’s behalf. 42 Each DRP contains a box where the adviser can 44 Rule 204–3. Sponsors of wrap fee programs Instead, the item relies on the defined term indicate that the DRP should be removed from the must also continue to prepare and deliver (and ‘‘employee,’’ which inlcudes independent ADV record because the event or proceeding offer) wrap fee brochures in accordance with rule contractors that perform advisory functions on occurred more than ten years ago. Checking this 204–3 and Schedule H of Form ADV. behalf of the adviser. In addition, we modified the item will remove the DRP from the adviser’s current 45 Rules 203–1(b)(2) and 204–1(c). definitions of ‘‘advisory affiliate’’ and ‘‘related Form ADV. The ten-year limit applies only to 46 Currently, the updating requirements appear in person,’’ which are used in Items 7, 8, 9, and 11. disciplinary information required by Item 11 of Part These modifications do not change from current 1A. Under the Advisers Act’s anti-fraud rules, the text of rule 204–1, and specify that an adviser Form ADV the persons and firms that are ‘‘advisory advisers may be required to inform clients about is required to amend its Form ADV if any response affiliates’’ and ‘‘related persons’’ of advisers; the disciplinary events that occurred more than ten to old Part II becomes materially inaccurate. Rule modifications only clarify the definitions. years ago. See rule 206(4)–4(a)(2) [17 CFR 204–1(b)(1). Today’s amendments, however, remove 38 We have revised (i) Item 1.I to clarify which 275.206(4)–4(a)(2)]. In addition, state securities most of those requirements from rule 204–1 to Form web addresses must be provided on Schedule D; (ii) authorities will continue to require state-registered ADV itself. Rule 204–1(a)(2), as amended, [17 CFR Item 5 to delete references to ‘‘independent advisers to report some events that are more than 275.204–1(a)(2)]. The updating requirements contractors’’; (iii) Item 5.B.(3) to ask only for the ten years old. contained in Form ADV, as we are adopting it today, apply to new Part 1A but not old Part II. The number of solicitors that are not employees of the 43 Each DRP contains a box where the adviser can adviser; and (iv) Item 7 to ask whether the adviser indicate that the DRP should be removed from the Form ADV instructions do not address updating or a related person is a general partner of a limited adviser’s current Form ADV if the ‘‘pending’’ event Part 2. 47 partnership or a manager of a limited liability is no longer pending because it was resolved in the Section 206 [15 U.S.C. 80b–6] company and to limit the item to investment-related adviser’s or the advisory affiliate’s favor. The state 48 See Note to paragraph (b)(2) of rule 203–1 and limited partnerships and investment-related limited securities authorities have decided to require state- Note to paragraph (c) of rule 204–1. liability companies. registered advisers to report criminal charges. 49 5 U.S.C. 553(d)(3).

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00005 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57442 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations the rules will only affect the only additional information that new on-line glossary allows advisers’ approximately 100 advisers that have Part 1A requires is information that personnel to refer to explanations of key volunteered to participate in the IARD’s should be readily available to an terms while completing Form ADV, and pilot program and submit their Form adviser. We do not believe the revisions an on-line ‘‘help’’ function answers ADV through the system before to Form ADV–W impose additional frequently-asked questions and provides mandatory filing begins. Due to the costs on advisers. guidance on completing the form.55 voluntary nature of use of the new • Benefits. We believe that electronic When an adviser prepares an system until January 1, 2001, no filing will yield substantially greater amendment to its Form ADV, the IARD investment advisers will be benefits to advisers and to investors, will fill in most of the items from the disadvantaged by effectiveness of these including allowing us to establish the adviser’s previous IARD filings, rules with less than 30 days’ notice. public access system that Congress reducing the adviser’s time (and mandated in NSMIA.51 therefore expense) in completing the III. Cost-Benefit Analysis Electronic filing will eliminate many amendment. Further, the IARD will In the Proposing Release, we carefully costs advisers currently incur in filing allow advisers that also are registered as analyzed the costs and benefits of our their Form ADV. Today, advisers must broker-dealers to complete schedules to proposals and requested comment and prepare registration materials on paper, their Form ADV by ‘‘linking’’ to parallel data regarding the costs and benefits of copy them, and submit the paper copies responses in their Form BD already on the rule and form amendments on to both the SEC and states. Many of file.56 These firms should recognize individual advisers and on the industry these paper copies must be manually additional cost savings by avoiding as a whole. As noted above, most signed and notarized. Correcting a entering certain data twice. commenters strongly favored electronic mistake requires the adviser to repeat We have adopted a continuing filing and several asserted that the entire process. The IARD, in hardship exemption, considering that electronic filing would result in contrast, will permit the adviser to not all advisers may have Internet efficiencies and would ease the satisfy all of its filing obligations by access. We have provided the regulatory burden on advisers. Others, submitting a single electronic filing exemption for advisers that are small however, disagreed with our cost- prepared using a personal computer in businesses and are unable to file benefit analysis in the Proposing its office. On the IARD, an adviser will through the IARD without undue Release, and felt that the benefits of be able to correct mistakes by simply burden and expense.57 electronic filing would not justify the typing over incorrect information and The IARD also has the potential to 52 overall costs.50 re-sending the electronic submission. speed the registration process for After reviewing the comments, and Today, advisers must determine the investment adviser representatives of evaluating information about the amount of filing fees due to each state, SEC-registered advisers. Registration of potential costs and benefits that has prepare checks and mail them so that investment adviser representatives on 53 come to our attention since we proposed they are delivered in a timely manner. the IARD will be a matter for state these rules, we have concluded that the Errors can result in penalties or cause securities authorities; we do not register benefits of electronic filing and the disruptions in business. The IARD, in or license investment adviser related rule amendments justify their contrast, will eliminate these costs by representatives. Our experience with the costs. automatically determining the amount CRD system, however, provides an • Costs. The amendments implement of filing fees owed and debiting the analogy. Our understanding of how electronic filing through the IARD. As adviser’s account when those fees are broker-dealer agent filings on the CRD we discussed in the Proposing Release, due. We believe these benefits will system are processed suggests that electronic filing will impose certain justify the filing fees and other expenses electronic filings on the IARD for for advisers registered with the investment adviser representatives are costs on advisers. Advisers will need to Commission.54 likely to be more efficient and cost become familiar with the IARD and will Revised Form ADV and the IARD effective than the current system of pay filing fees to NASDR. Since we system also benefit advisers by offering paper filings. published our proposals, we have additional ways to reduce costs. An Electronic filing also will produce approved NASDR’s schedule of filing adviser may save a partially completed substantial benefits for investors. First, fees, and the costs our rules will impose form as a ‘‘draft’’ that the adviser can and most important, the information on on advisers have become clearer. access and complete at a later time. An these filings will be available for Annual filing fees will range from $100 investors to view, quickly and without for advisers with less than $25 million 51 Section 306 of NSMIA, supra, note 16. cost, on a web site.58 Investors will be of assets under management to $550 for 52 The IARD will also benefit advisers by able to determine, for example, whether advisers with more than $100 million of preventing them from making incomplete filings. a prospective adviser has reported assets under management. We estimate Submitting an incomplete filing is a common error by new advisers applying for registration, and is disciplinary events, what types of fees it that advisers registered with us will one that can substantially delay the registration charges, and whether the types of annually pay $2.5 million in filing fees. process and thus the business plans of applicants. advisory services it offers are designed The amendments revise Forms ADV 53 Postage expenses alone can cost an SEC- to meet their needs. As a result, and ADV–W. We believe SEC-registered registered firm $750 per year. This estimate assumes an average overnight mail cost of $10 per advisers will experience few additional 55 mailing in each of 50 states and an average of 1.5 See discussion of electronic filing help features costs in completing revised Part 1. The amendments filed per year ($10 × 50 × 1.5)=$750. supra at Section 1.B.5 of this Release. 54 We recognize that not every adviser will 56 Approximately 900 SEC-registered advisers 50 All of the commenters disagreeing with our experience net cost savings from one-stop electronic also are registered with us as broker-dealers. cost-benefit analysis raised concerns with our filing. In several areas, such as the sliding filing fee 57 See discussion of hardship exemptions supra at proposed revisions to advisers’ disclosure scale, we have recognized that some larger advisers Section 1.B.3 of this Release. requirements. As discussed earlier, we are not may benefit more from using the IARD than other, 58 Investment adviser information is publicly adopting those proposals at this time. One smaller firms. In balancing the costs and benefits of available from us, but until now we have been commenter suggested that the cost savings of one- the amendments we are adopting today, we must unable to provide this information to the public stop filing would be $100 or less per adviser, and look at the expected costs to all SEC-registered without charge. We currently charge $.24 per page would therefore be outweighed by the IARD filing firms, and we must also consider the benefits to for copies and, upon receipt of the required fee, fees. investors. mail the Form ADV to the requester.

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57443 investors—clients and potential existing disclosure obligations, which registration with us, as well as in clients—will be in a better position to are worded more generally.60 Moreover, managing our regulatory, examinations, make informed decisions. we are only requiring advisers to report and enforcement programs. The The added ‘‘sunlight’’ the web disciplinary events occurring in the past information will also form a database, disclosure will shine on advisers may ten years,61 and have removed easily accessible to investors, about have additional, secondary benefits. information about the educational and advisers and their personnel. Information from advisers’ filings will business background of employees. We Form ADV be available through a web site, and believe these changes will justify any easy availability of information about additional costs associated with As amended, rule 203–1 requires advisers and advisory affiliates may, for amendments to Part 1A. every applicant for investment adviser example, discourage advisers from Advisers will also benefit from the registration with the Commission to file engaging in certain practices or hiring revisions to Form ADV–W. In amended Form ADV through the IARD. Rule 204– certain persons (such as those with a Form ADV–W, the adviser must 1 requires each registered adviser to file disciplinary history or limited complete only those items needed to amendments to Form ADV through the 63 qualifications). Facilitating investors’ process its withdrawal. Form ADV–W IARD at least annually, and requires access to information may also result in will also become effective immediately, currently registered advisers to greater competition among advisers, rather than after a sixty-day ‘‘waiting transition to the IARD and the revised which may in turn lower prices or period,’’ thereby smoothing the form. We expect the efficiencies of filing encourage the development of different transition period for advisers switching through the IARD to, over time, reduce fee structures or different kinds of to state registration. the initial burdens associated with services that may benefit clients. These completing the revised Form ADV. IV. Paperwork Reduction Act The total burden for all advisers filing types of benefits are difficult to isolate 64 or to quantify, but our experience is that As explained in the Proposing current Form ADV is 19,448 hours. they are real and are often the result of Release, the rule and form amendments There are currently approximately 8,100 better disclosure. (including new rule 203–3 and new advisers registered with us, and, based Electronic filing will also give us Form ADV–H) that we are adopting on recent experience, the Commission better access to information about today contain several ‘‘collection of staff has now estimated that each year advisers to administer our regulatory information’’ requirements within the we receive approximately 1,000 new programs. We expect this information meaning of the Paperwork Reduction applications for registration as an will permit us to increase both the Act of 1995. In the Proposing Release, adviser. As discussed in the Proposing efficiency and effectiveness of our the Commission published notice Release, this increase in the number of programs and thus increase investor soliciting comment on the collection of respondents has increased the collection of information by 3,703 hours, protection. The IARD will permit us to information requirements. The 65 better monitor advisers’ failure to make Commission submitted the collection of independent of today’s amendments. The revised burden estimate for the required filings, identify advisers whose information requirements to the Office collection of information on Form ADV activities suggest a need for closer of Management and Budget (‘‘OMB’’) for reflects the amendments to the form as scrutiny, and manage our regulatory review in accordance with 44 U.S.C. well as the requirement that currently- programs. The IARD will generate 3507(d) and 5 CFR 1320.11.62 An registered advisers re-file their Form reports on the industry, its agency may not conduct or sponsor, and ADV electronically in order to transition characteristics and trends. These reports a person is not required to respond to, to use of the revised form and IARD will help us anticipate regulatory a collection of information unless it system. The revised collection of problems, allocate and reallocate our displays a currently valid control information also incorporates the resources, and more fully evaluate and number. To correct an error in the burden of current Schedule I to Form anticipate the implications of various proposed collection of information for ADV.66 regulatory actions we may consider Form ADV, the Commission has taking. submitted a PRA change worksheet to 63 As discussed in the Proposing Release, revised The revisions to Form ADV are also OMB. Modifications made to the Part 1A of Form ADV incorporates the collection of likely to benefit advisers. We have re- amendments as proposed do not affect information that previously appeared in Schedule drafted Part 1A in plain English, the collection of information. I to Form ADV. improved its organization, and added We use the information we require 64 The current burden assumes there would be 760 new applicants per year, and an average of 9.01 instructions to clarify some items. The from advisers to determine eligibility for hours for a new registrant to complete the form. The revised schedules make it much simpler current burden also assumes that 7,300 other for an adviser to provide information 60 Moreover, most advisers do not have advisers are registered with us, and assumes that about its control persons.59 While disciplinary events to report. advisers file an aggregate of 11,810 amendments smaller advisers may find these benefits 61 See discussion of disciplinary disclosure with us annually, at an average of 1.07 hours per requirements supra at Section C.1 of this Release. amendment. limited, larger advisers (particularly As discussed earlier, we also are no longer requiring 65 The 3,703 hours represents an increase advisers that are part of a larger, more advisers to report unsatisfied judgments or liens; independent of today’s amendments. We receive intricate corporate structure) should see bankruptcies; bond denials, payouts, or revocations; approximately 1,000 (not 760) new applications cost savings from the changes. The new or any ‘‘minor’’ rule violations. annually; and we have approximately 8,100 (not 62 44 U.S.C. 3501 to 3520. The titles for the 7,300) advisers registered with us. [(240 more new Disclosure Reporting Pages (DRPs) collections of information are ‘‘Form ADV’’; ‘‘Rule registrants per year × 9.01 hours) + [(800 more require substantially more detailed 203–2 and Form ADV–W’’; ‘‘Rule 203–3 and Form currently-registered advisers × 1.5 amendments) + information about disciplinary events ADV–H’’; and ‘‘Rule 0–2 and Form ADV–NR,’’ all (240 new applicants × 1 amendment)] × 1.07 hours than is specified in the current form, but under the Advisers Act. OMB approved the = 3,703 hours.] collection of information requirements, and the 66 The collection of information for amended the DRPs should serve mainly to clarify OMB control numbers are as follows: Form ADV, Form ADV also incorporates the burden of rule 3235–0049 (expires Jun. 30, 2003); Rule 203–2 and 206(4)–4, which requires advisers to disclose 59 An adviser generally will no longer be required Form ADV–W, 3235–0313 (expires Jun. 30, 2003); financial and disciplinary information to clients to report an indirect owner unless the indirect Rule 203–3 and Form ADV–H, 3235–0538 (expires and prospective clients. The current burden does owner own 25% of a direct owner. See Section Jun. 30, 2003); and Rule 0–2 and Form ADV–NR, not include these separately existing 6,755 burden II.D.1 of the Proposing Release, supra note 1. 3235–0240 (expires Jun. 30, 2003). Continued

VerDate 112000 20:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 57444 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

The Commission staff had estimated The collection of information burden 279.2. Responses are not kept an average burden increase for Form due to rulemaking for advisers to file confidential. The information collection ADV of 1.47 hours per adviser per year and complete the revised Form ADV is requirements are required for all for a 15-year period.67 This burden approximately 23,315 hours per year.72 advisers registered with the Commission increase reflected new registrants’ The total increase in the collection of once the transition period to electronic filings of revised Form ADV as well as information burden therefore is 27,018 filing is complete. currently-registered advisers’ IARD hours,73 and the total collection of Rule 0–2 and Form ADV–NR transition filings. Several commenters information burden for Form ADV is expressed concerns that the estimates therefore 46,466 hours.74 The Commission is amending rule 0– for initial completion of revised Form This collection of information appears 2, adding Form ADV–NR, and deleting ADV were too low, particularly for large at 17 CFR 275.203–1, 275.204–1, and Forms 4–R, 5–R, 6–R and 7–R. Rule 0– firms.68 The estimated hours are 279.1. Responses are not kept 2 permits service of process on non- averages that take into consideration confidential. The information collection resident advisers and on non-resident small advisers as well as those with requirements are required for all general partners or managing agents of thousands of employees. advisers registered with us or applying advisers by service on their agents. The The Commission has submitted a PRA for registration after January 1, 2001. amended Form ADV execution page for change worksheet to OMB to correct an Form ADV–W and Rule 203–2 non-resident advisers incorporates the error in the collection of information, substance of Forms 4–R through 6–R, which error may have contributed to The Commission is amending rule and designates the Secretary of the commenters’ concerns. The increase in 203–2 to (i) require advisers to file Form Commission, among others, as the burden due to the amendments was ADV–W through the IARD and (ii) make adviser’s agent for service of process; presented as the total burden of the adviser withdrawals effective upon accordingly, the paperwork burdens of filing.75 The Commission is also collection of information, omitting Forms 4–R through 6–R have been amending Form ADV–W to permit reference to the current burden to which incorporated into the collection of advisers filing for ‘‘partial withdrawals’’ the incremental hours were added. information requirements for Form to omit certain items that we do not As discussed in the Proposing ADV, discussed above. The substance of need from an adviser continuing in Release, the Commission staff has Form 7–R is contained in new Form business as a state-registered adviser. estimated that advisers will file a total ADV–NR. Form ADV–NR designates the The Commission staff has estimated that of 13,250 Form ADV amendments with Secretary of the Commission, among approximately 50 percent of advisers us each year.69 We anticipate that others, as the non-resident general filing for withdrawal will file for full electronic filing will reduce the partner’s or managing agent’s agent for withdrawal, incurring a burden of service of process. information collection burden of filing approximately 0.75 hours (45 minutes) The Commission staff has estimated an amendment to Form ADV by per response, and the remaining 50 70 that approximately 380 respondents approximately thirty percent, and the percent will file for partial withdrawal, each year will be subject to rule 0–2. Of estimated burden for Form ADV incurring a burden of approximately 71 these, approximately 285 respondents amendments is 9,938 hours per year. 0.25 hours (15 minutes) per response. will be non-resident advisers that will The weighted average total time for each now comply with rule 0–2 simply by hours per year. In the Proposing Release, we respondent to complete Form ADV–W proposed to incorporate the requirements of rule executing Form ADV. The remaining 95 as amended is estimated to be 0.5 hours 206(4)–4 into Part 2 of Form ADV and to withdraw respondents will be non-resident (30 minutes), a decrease from the one the rule. As discussed above, however, we are general partners or managing agents of deferring adoption of those proposals until later this hour required for the current form. year. Based on the Commission’s recent SEC-registered investment advisers, and 67 As discussed in the Proposing Release, to experience in processing investment must file Form ADV–NR with the estimate the annual burden associated with revised 78 adviser withdrawals, however, the Commission. The staff has estimated Form ADV, we amortized the burden of an adviser’s that preparing and filing Form ADV–NR initial preparation and filing of Form ADV over a Commission staff has estimated that 15-year period, which reflects the expected useful approximately 1,300 advisers withdraw will continue to require approximately life of the revised form. After its initial filing of from SEC registration each year, which one hour of the non-resident general 79 Form ADV through the IARD (whether as a new is an increase from the current burden.76 partner’s or managing agent’s time. registrant or for an existing registrant re-filing to The total estimated burden therefore is transition to the system), an adviser’s burden will The total collection of information generally be limited to amending the form as burden is estimated to be 650 hours.77 95 hours. needed. This collection of information is This collection of information is 68 Many of the concerns centered on proposed found at 17 CFR 275.203–2 and 17 CFR found at 17 CFR 275.0–2 and 17 CFR Parts 2A (the adviser’s narrative firm brochure) and 279.4. Responses are not kept 2B (brochure supplements for advisory personnel). As discussed earlier, we are deferring adoption of 72 9,938 hours attributable to amendments + confidential. The information collection × those proposals at this time. (1,000 new registrants 1.47 (amortized) hours) = requirements are required for each non- 69 As discussed in the Proposing Release, based 23,315 hours. resident adviser, and for each non- on the Commission’s recent experience it is 73 23,315 hours due to rulemaking + 3,703 hours resident general partner or managing due to an increase in the number of advisers = estimated that, each year, 890 new registrants and agent of any SEC-registered adviser. 10 multi-state advisers (i.e., advisers relying on the 27,018 total burden hours. multi-state exemption found at rule 203A–2(e) [17 74 19,448 + 27,018 = 46,466. Rule 203–3 and Form ADV–H CFR 275.203A–2(e)]) will each amend their Form 75 Rule 203–2 currently provides for a 60-day wait ADV 1 time; 100 advisers relying on rule 203A– before a withdrawal is effective. We are adopting new rule 203–3 and 2(d)[17 CFR 275.203A–2(d)] will each amend their 76 The Commission in the past received new Form ADV–H. Rule 203–3 requires Form ADV 2 times; and 8100 currently-registered approximately 616 notices of withdrawal on Form advisers requesting either a temporary advisers will amend their Form ADV, on average, ADV–W per year. 1.5 times. 77 (650 advisers filing for full withdrawal × .75 or continuing hardship exemption to 70 The revised collection of informatioin burden hours) + (650 advisers filing for partial withdrawal per amendment is 0.75 hours (current burden per × .25 hours) = 487.5 +162.5 = 650 hours. This 78 A non-resident general partner or managing amendment of 1.07 hours × .70 = .749 hours per represents a net increase from the current burden agent is required to file Form ADV–NR only once. amendment). of 616 hours, which was based on 616 respondents 79 One hour is the current burden for a response 71 13,250 responses × 0.75 hours = 9,937.5 hours. and one hour per response. to Form 4–R, 5–R, 6–R or 7–R.

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57445 submit the request on Form ADV–H. An A. Need for the Rule and Form in 1996 so that small advisers generally adviser requesting a temporary hardship Amendments are regulated by state regulators and not 87 is required to file Form ADV–H, As discussed in more detail in the the Commission. Those small advisers providing a brief explanation of the FRFA, and above, the rule and form that remain registered with us are nature and extent of the temporary amendments 85 are necessary to: (i) located in Wyoming (which does not technical difficulties. Form ADV–H Facilitate the development of a system have an investment adviser statute), or requires an adviser requesting a of electronic filing by investment are eligible for an exemption that continuing hardship exemption to advisers; (ii) update the registration permits SEC registration. Of the indicate the reasons the adviser is forms for advisers to reflect recent approximately 20,000 advisers in the unable to submit electronic filings legislative and regulatory developments; United States, approximately 8,100 without undue burden and expense.80 A and (iii) develop a database of (approximately 40%) are registered with continuing hardship exemption will be information about advisers that is easily us. Of those 8,100, the FRFA estimates that approximately 1,500 available only to an adviser that is a accessible to investors. (approximately 18%) qualify as small small entity.81 B. Significant Issues Raised by Public advisers. We have based this estimate Commission records indicate that Comment on registration information advisers file approximately 1,500 SEC-registered The Commission received 70 with the Commission. advisers are small entities. There are, comment letters in response to the D. Projected Reporting, Recordkeeping, therefore, approximately 1,500 potential Proposing Release. The commenters and Other Compliance Requirements respondents that could apply for a generally supported the proposal, continuing hardship exemption, and although some expressed concerns with The FRFA states that the rule and approximately 8,100 potential specific provisions, and some suggested form amendments impose certain respondents that could apply for a alternative approaches for addressing reporting and compliance requirements temporary hardship exemption.82 The particular issues. As discussed above, on small advisers, requiring them (i) to Commission staff has estimated that, the Commission has concluded that file electronically through the IARD and each year, 50 advisers will request a certain suggestions from commenters (ii) to use amended Form ADV when temporary hardship exemption and 20 are appropriate and has adopted the rule applying for registration (or amending will apply for a continuing hardship and form amendments with changes to an existing registration). These exemption. Form ADV–H and rule 203– reflect those suggestions. requirements are discussed more fully in the FRFA and Section II of the 3 have been estimated to create a The Commission specifically Proposing Release, and the burdens on collection of information burden of requested comment with respect to the small advisers are discussed below. approximately 60 minutes per IRFA. No comments were received respondent, for a total of 70 hours.83 specifically on the IRFA, but one 1. Electronic Filing Requirements commenter did urge the Commission to This collection of information is found The FRFA explains that electronic disregard any comments from Wyoming at 17 CFR 275.203–3 and 17 CFR 279.3. filing is likely to impose two types of advisers if the commenters argued that Responses are not kept confidential. The burdens on small advisers—filing fees the rule and form amendments would information collection requirements are and the time and expense of be burdensome. We did not receive any required only if the adviser seeks an familiarizing themselves with the comments from Wyoming advisers. exemption. system. Some commenters, however, did Filing Fees. The IARD system operator V. Summary of Final Regulatory address aspects of the proposed will charge filing fees to all advisers, Flexibility Analysis amendments that could potentially including small advisers.88 Small affect small businesses. The comments advisers will pay substantially smaller We have prepared a Final Regulatory received concerning those issues are fees than larger advisers. This sliding Flexibility Analysis (FRFA) in discussed below. accordance with section 3(a) of the scale is designed to minimize the Regulatory Flexibility Act (RFA) 84 C. Small Entities Subject to the Rules burdens of electronic filing on small regarding the amendments to Form ADV In developing the rule and form advisers while maintaining the and other rules and forms under the amendments, we have considered their economic viability of the IARD. It also Advisers Act. We prepared an Initial potential effect on small entities that recognizes that larger advisers, which Regulatory Flexibility Analysis (IRFA) may be affected, which is discussed in are more likely to have filing in conjunction with the Proposing the FRFA. The rule and form requirements in multiple states, will Release and made it available to the amendments will not affect most benefit more from the IARD than small advisers. public. We received no comments advisers that are small entities 86 (small Other Burdens. The FRFA explains specifically on the IRFA. advisers) because those advisers are registered with one or more state that, to use the IARD, small advisers 80 securities authorities rather than with See Form ADV–H in Appendix C of this 87 Title III of NSMIA, supra note 16. Release. The adviser applying for a continuing us. Congress amended the Advisers Act 88 Section 203A(d) of the Advisers Act [15 U.S.C. hardship exemption also must indicate the reasons 80b–3A(d)] authorizes us to designate NASDR as that the hardware and software needed for Internet 85 References to ‘‘rule and form amendments’’ operator of the filing system, and to require that access are unavailable, and propose a time period include new rule 203–3 and new Form ADV–H. advisers file through the system and pay filing fees. for which the exemption would be in effect. 86 For purposes of the Advisers Act and the RFA, The rules we are adopting will require advisers to 81 Rules 203–3 and 0–7. an investment adviser generally is a small entity if use the system and pay filing fees to NASDR, but 82 A temporary hardship exemption would be (a) it manages assets of less than $25 million do not themselves impose or authorize NASDR to available to advisers that submit electronic filings reported on its most recent Schedule I to Form impose any filing fee on advisers using the IARD. but are temporarily unable to do so. An adviser ADV, (b) it does not have total assets of $5 million Nonetheless, we have included these filing fees as using a continuing hardship exemption could not or more on the last day of the most recent fiscal part of our FRFA. In Investment Advisers Act apply for a temporary hardship exemption. year, and (c) it is not in a control relationship with Release No. 1888, supra note 5, we designated 83 (50 × 1) + (20 × 1) = 50 + 20 = 70 hours. another investment adviser that is not a small NASDR as operator of the IARD and approved 84 5 U.S.C. 603(a). entity. Rule 0–7. NASDR’s proposed filing fees.

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57446 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations must also establish an account with reorganized the form in a simpler proposed amendments to Part 2 would NASDR, familiarize themselves with the manner. We have re-drafted questions have required advisers to begin IARD’s filing rules, and obtain Internet that previously presented interpretive preparing and disseminating narrative access if they do not already have it. We difficulties for small advisers, and have brochures. The Commission has elected believe that these burdens are small and provided for an on-line ‘‘help’’ function to defer adoption of Part 2 and related that advisers will incur most of the costs that will provide easy access to answers rules until a later date. to questions advisers frequently ask when they first begin to use the IARD. E. Agency Action To Minimize Effect on about the form. Advisers using the Thereafter, using the IARD should Small Entities actually reduce regulatory burdens for system will also have easy on-line all advisers, including small advisers. access to the text of the Advisers Act The FRFA discusses the various Our information suggests that almost and our rules. Together, these features alternatives that the Commission all investment advisers, including small should substantially benefit small considered, in adopting the rule and advisers, currently have Internet access, advisers that may not have lawyers or form amendments, that might minimize and use the Internet for various other professional compliance the effect on small advisers, including purposes.89 Nonetheless, our rule and personnel or staff. (i) establishing different compliance or form amendments provide for a The FRFA concludes that, although reporting requirements or timetables continuing hardship exemption, small advisers will experience some that take into account the resources available only to small advisers. The modest start-up costs in using the IARD, available to small advisers; (ii) exemption will permit the adviser to over time the system will actually clarifying, consolidating, or simplifying continue submitting paper filings if reduce overall costs. As advisers compliance and reporting requirements using the IARD would impose an become more familiar with the IARD, for small advisers; (iii) using ‘‘unreasonable burden or expense.’’ 90 use of the system should substantially performance rather than design The operator of the IARD will convert reduce administrative costs associated standards; and (iv) exempting small the paper filing to electronic format and with making regulatory filings, and advisers from coverage of all or part of charge the adviser an additional fee to improve advisers’ compliance with the amended rules and forms. Regarding the first alternative, the cover conversion costs. The IARD will regulatory requirements, allowing them Commission considered establishing also accommodate advisers’ use of to reduce their dependence, in more different compliance or reporting commercial filing service bureaus, routine matters, on lawyers, compliance requirements for small advisers. As which we understand many small firms and others who assist them in explained in the FRFA, establishing advisers currently use to make meeting their regulatory obligations. different compliance or reporting regulatory filings. We have included 2. Amendments to Form ADV requirements would be inconsistent these alternative means of making with our mandate to provide a system filings to minimize the burdens the Part 1. The FRFA explains that the amendments to Part 1A of Form ADV of public disclosure of investment electronic filing rules will have on small adviser information. The FRFA states advisers. should have a minimal effect on small advisers. None of the new items that a small adviser will, by the nature Many small advisers today use filing of its business, likely spend fewer services because they cannot hire requests information that should not be readily available to the advisers. For resources in completing the new Form professional compliance staff, and do ADV, and will pay lower filing fees, not themselves have the knowledge, example, advisers must provide the e- mail address of a contact person (if she than a larger adviser. time, or expertise to understand the Regarding the second alternative, it details of the various federal and state has one), and the address of any web site the adviser sponsors. Further, does not appear that the rules and forms forms, deadlines, and fees. The IARD can be formatted differently for small will have a number of features designed because small advisers tend to have simpler business arrangements, fewer advisers and still achieve the stated to make it easy to complete Form ADV, objectives of the amendments. even if the user is unfamiliar with the control persons, and fewer employees, the burdens of completing Part 1A Nonetheless, the amendments clarify form. We have written the new and simplify the form for all advisers, instructions in plain English and should be significantly less for small advisers than for larger advisers. including small advisers. As discussed more fully in the FRFA, we are also 89 The FRFA acknowledges that small A 1998 industry survey of registered adding a new item to Form ADV to investment advisers noted that all respondents use advisers whose control persons have the Internet. According to the survey, advisers ‘‘new disciplinary histories will likely spend identify small advisers so we can better to the business or those with less than $100 million more resources than other advisers in assess the number of small advisers of assets under management are more active users completing the necessary DRPs for registered with us and the burdens our of the online channel than are higher-net-worth rules impose on them. [advisers].’’ See Phil Clark, Cerrulli Survey; reporting of disciplinary events. Based Advisers Flock to Internet for Research and Fund on information filed on current Form Regarding the third alternative, the Data, Fund Marketing Alert, July 6, 1998 at 1. In ADV, we estimate that only FRFA explains that the rules and forms 1999, the Institute of Certified Financial Planners approximately 14% of advisers will be would permit advisers to use (ICFP) and Morningstar also conducted a survey of performance rather than design financial planners and found that 99% of those required to report disciplinary surveyed had Internet access. See ICFP/ information, and thus most small standards in some instances. In other Morningstar, Work/Computer Environment Among advisers will be unaffected by this contexts, however, the use of RIAs (available in File No. S7–10–00). Those requirement.91 performance rather than design advisers that cannot submit electronic filings standards would be inconsistent with themselves can obtain the assistance of a filing Part 2. The Commission proposed service bureau—a firm that provides assistance to significant amendments to Part 2 of our statutory mandate to protect advisers and broker-dealers in preparing and Form ADV. These amendments would investors, as advisers must provide making regulatory filings. For advisers’ have imposed additional costs on certain registration information in a convenience, we will maintain a list of service uniform and quantifiable manner so that bureaus that offer assistance in making filings on advisers, including small advisers. The the IARD system. it is useful to our regulatory and 90 See Form ADV–H, infra Appendix C of this 91 The 14% estimate is based on responses to Item examination programs. Design Release. 11 of current Form ADV. standards, therefore, are necessary to

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57447 achieve many objectives of the amended We are amending rule 0–7 under U.S.C. 77s(a)], section 23(a) of the rules and forms. chapter 6 of title 5 of the United States Securities Exchange Act of 1934 [15 Regarding the fourth alternative, the Code (particularly section 601 of that U.S.C. 78w(a)], section 319(a) of the FRFA states that it would be chapter [5 U.S.C. 601]) and section Trust Indenture Act of 1939 [15 U.S.C. inconsistent with the purposes of the 211(a) of the Investment Advisers Act of 77sss(a)], section 38(a) of the Investment Advisers Act to exempt small advisers 1940 [15 U.S.C. 80b–11(a)]. Company Act of 1940 [15 U.S.C. 78a– from the amendments. As discussed, the We are amending rules 203–1 and 37(a)], and sections 203(c)(1), 204, and information advisers file will form a 203–2 under sections 203(c)(1), 204, and 211(a) of the Investment Advisers Act of publicly-accessible database, allowing 211(a) of the Investment Advisers Act of 1940 [15 U.S.C. 80b–3(c)(1), 80b–4, and investors to obtain information about, 1940 [15 U.S.C. 80b–3(c)(1), 80b–4, and 80b–11(a)]. among other things, the disciplinary 80b–11(a)]. We are removing and reserving rule We are amending rule 203A–1 under histories of an adviser and its personnel. 279.9 and removing Form ADV–Y2K sections 203A(a)(1)(A), 203A(c), and Clients and potential clients of small under section 211(a) of the Investment section 211(a) of the Investment advisers are entitled to obtain the same Advisers Act of 1940 [15 U.S.C. 80b– Advisers Act of 1940 [15 U.S.C. 80b– information, with the same ease, as 11(a)]. those of larger advisers, and exempting 3a(a)(1)(A), 80b–3a(c), and 80b–11(a)]. small advisers from any of the rule and We are amending rule 203A–2 under List of Subjects section 203A(c) of the Investment form amendments would be 17 CFR Part 200 inconsistent with a central purpose of Advisers Act of 1940 [15 U.S.C. 80b– the Advisers Act. 3a(c)]. Administrative practice and We have incorporated several We are amending rule 204–1 under procedure, Authority delegations features, such as the ‘‘help’’ function, sections 203(c)(1) and 204 of the (Government agencies) Investment Advisers Act of 1940 [15 intended to minimize the burden on 17 CFR Parts 275 and 279 small advisers. Small advisers can also U.S.C. 80b–3(c)(1) and 80b–4]. We are adopting new Form ADV–H apply for a continuing hardship under sections 203(c)(1), 204, and 211(a) Reporting and recordkeeping exemption from the electronic filing of the Investment Advisers Act of 1940 requirements, Securities. requirements, as discussed above. [15 U.S.C. 80b–3(c)(1), 80b–4, and 80b– The FRFA states that, having Text of Rule and Form Amendments 11(a)]. considered the above alternatives in the We are amending rule 279.1, Form For the reasons set out in the context of the proposed rule and form ADV, under section 19(a) of the preamble, Title 17, Chapter II of the amendments, and after taking into Securities Act of 1933 [15 U.S.C. 77s(a)], Code of Federal Regulations is amended account the resources available to small sections 23(a) and 28(e)(2) of the as follows: advisers and the potential burden the Securities Exchange Act of 1934 [15 rule and form amendments could place U.S.C. 78w(a) and 78bb(e)(2)], section PART 200ÐORGANIZATION; on investment advisers, the alternatives, 319(a) of the Trust Indenture Act of CONDUCT AND ETHICS; AND except as noted above, would not 1939 [15 U.S.C. 77sss(a)], section 38(a) INFORMATION AND REQUESTS accomplish the stated objectives of the of the Investment Company Act of 1940 rule and form amendments. [15 U.S.C. 78a–37(a)], and sections 1. The authority section for part 200 A copy of the FRFA is available for 203(c)(1), 204, and 211(a) of the continues to read in part as follows: public inspection in File No. S7–10–00, Investment Advisers Act of 1940 [15 Authority: 15 U.S.C. 77s, 78d–1, 78d–2, and a copy may be obtained by U.S.C. 80b–3(c)(1), 80b–4, and 80b– 78w, 78ll(d), 78mm, 79t, 77sss, 80a–37, 80b– contacting Jennifer Sawin, Special 11(a)]. 11, unless otherwise noted. Counsel, Securities and Exchange We are amending rule 279.2, Form * * * * * Commission, 450 5th Street, NW., ADV–W, under sections 203(c)(1), 204, Washington, DC 20549–0506. and 211(a) of the Investment Advisers 2. In § 200.30–5, the introductory text of paragraph (e) is revised and VI. Statutory Authority Act of 1940 [15 U.S.C. 80b–3(c)(1), 80b– 4, and 80b–11(a)]. paragraph (e)(7) is added to read as We are adopting new rule 203–3 We are amending rule 279.4, Form 4– follows: under sections 203(c)(1) and 211(a) of R, by replacing it with Form ADV–NR the Investment Advisers Act of 1940 [15 § 200.30±5 Delegation of authority to under section 19(a) of the Securities Act Director of Division of Investment U.S.C. 80b–3(c)(1) and 80b–11(a)]. of 1933 [15 U.S.C. 77s(a)], section 23(a) Management. We are amending rules 30–5 and 30– of the Securities Exchange Act of 1934 * * * * * 11 of our Organization and Program [15 U.S.C. 78w(a)], section 319(a) of the Management rules under sections 4A Trust Indenture Act of 1939 [15 U.S.C. (e) With respect to the Investment and 4B of the Securities Exchange Act 77sss(a)], section 38(a) of the Investment Advisers Act of 1940 (15 U.S.C. 80b–1 of 1934 [15 U.S.C. 78d–1 and 78d–2]. Company Act of 1940 [15 U.S.C. 78a– to 80b–22): We are amending rule 0–2 under 37(a)], and sections 203(c)(1), 204, and * * * * * section 19(a) of the Securities Act of 211(a) of the Investment Advisers Act of (7) Pursuant to section 203A(d) of the 1933 [15 U.S.C. 77s(a)], section 23(a) of 1940 [15 U.S.C. 80b–3(c)(1), 80b–4, and Act (15 U.S.C. 80b–3a(d)), to set the the Securities Exchange Act of 1934 [15 80b–11(a)]. terms of, and grant or deny as U.S.C. 78w(a)], section 319(a) of the We are withdrawing rule 204–5 under appropriate, continuing hardship Trust Indenture Act of 1939 [15 U.S.C. section 211(a) under the Investment exemptions under § 275.203–3 of this 77sss(a)], section 38(a) of the Investment Advisers Act of 1940 [15 U.S.C. 80b– chapter. Company Act of 1940 [15 U.S.C. 78a– 11(a)]. * * * * * 37(a)], and sections 203(c)(1), 204, and We are removing and reserving rules 211(a) of the Investment Advisers Act of 279.5, 279.6, and 279.7 and removing 3. Section 200.30–11 is amended by 1940 [15 U.S.C. 80b–3(c)(1), 80b–4, and Forms 5–R, 6–R, and 7–R under section revising paragraph (b)(2) to read as 80b–11(a)]. 19(a) of the Securities Act of 1933 [15 follows:

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57448 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

§ 200.30±11 Delegation of authority to (1) Managing agent means any person, to receive upon dissolution, or has Associate Executive Director of the Office including a trustee, who directs or contributed, 25 percent or more of the of Filings and Information Services. manages, or who participates in capital of the partnership. * * * * * directing or managing, the affairs of any (iii) A person is presumed to control (b) * * * unincorporated organization or a limited liability company (LLC) if the (2) Under section 203(h) of the Act (15 association other than a partnership. person: U.S.C. 80b–3(h)), to authorize the (2) Non-resident means: (A) Directly or indirectly has the right issuance of orders canceling (i) An individual who resides in any to vote 25 percent or more of a class of registrations of investment advisers, or place not subject to the jurisdiction of the interests of the LLC; pending applications for registration, if the United States; (B) Has the right to receive upon such investment advisers or applicants (ii) A corporation that is incorporated dissolution, or has contributed, 25 for registration are no longer in in or that has its principal office and percent or more of the capital of the existence or are not engaged in business place of business in any place not LLC; or as investment advisers. subject to the jurisdiction of the United (C) Is an elected manager of the LLC. * * * * * States; and (iv) A person is presumed to control (iii) A partnership or other a trust if the person is a trustee or PART 275ÐRULES AND unincorporated organization or managing agent of the trust. REGULATIONS, INVESTMENT association that has its principal office * * * * * ADVISERS ACT OF 1940 and place of business in any place not 7. Section 275.203–1 is revised to read subject to the jurisdiction of the United as follows: 4. The general authority citation for States. part 275 is revised to read as follows: (3) Principal office and place of § 275.203±1 Application for investment Authority: 15 U.S.C. 80b–2(a)(11)(F), 80b– business has the same meaning as in adviser registration. 2(a)(17), 80b–3, 80b–4, 80b–6(4), 80b–6a, § 275.203A–3(c) of this chapter. (a) Form ADV. To apply for 80b–11, unless otherwise noted. 6. In § 275.0–7, the introductory text registration with the Commission as an * * * * * of paragraphs (a) and (b) are republished investment adviser, you must complete 5. Section 275.0–2 is revised to read and paragraphs (a)(1) and (b)(1) are and file Form ADV (17 CFR 279.1) by as follows: revised to read as follows: following the instructions in the Form. (b) Electronic filing. (1) If you apply § 275.0±2 General procedures for serving § 275.0±7 Small entities under the non-residents. Investment Advisers Act for purposes of for registration after January 1, 2001, you must file electronically with the (a) General procedures for serving the Regulatory Flexibility Act. (a) For purposes of Commission Investment Adviser Registration process, pleadings, or other papers on Depository (IARD), unless you have non-resident investment advisers, rulemaking in accordance with the provisions of Chapter Six of the received a hardship exemption under general partners and managing agents. § 275.203–3. Under Forms ADV and ADV–NR [17 Administrative Procedure Act (5 U.S.C. CFR 279.1 and 279.4], a person may 601) and unless otherwise defined for Note to Paragraph (b)(1): Information on serve process, pleadings, or other papers purposes of a particular rulemaking how to file with the IARD is available on the on a non-resident investment adviser, or proceeding, the term ‘‘small business’’ Commission’s website at . non-resident managing agent of an the Investment Advisers Act of 1940 (2) You are not required to file with investment adviser by serving any or all means an investment adviser that: the Commission a copy of Part II of of its appointed agents: (1) Has assets under management, as Form ADV if you maintain a copy of (1) A person may serve a non-resident defined under Section 203A(a)(2) of the your Part II (and any brochure you investment adviser, non-resident Act (15 U.S.C. 80b–3a(a)(2)) and deliver to clients) in your files. The general partner, or non-resident reported on its annual updating copy maintained in your files is managing agent by furnishing the amendment to Form ADV (17 CFR considered filed with the Commission. Commission with one copy of the 279.1), of less than $25 million, or such process, pleadings, or papers, for each higher amount as the Commission may Note to Paragraph (b)(2): The Commission named party, and one additional copy by rule deem appropriate under Section has proposed, but not adopted, substantial for the Commission’s records. 203A(a)(1)(A) of the Act (15 U.S.C. 80b– changes to Part II of Form ADV. Thus, the (2) If process, pleadings, or other 3a(a)(1)(A)); rules for preparing, delivering, and offering Part II (or a brochure containing at least the papers are served on the Commission as * * * * * information contained in Part II) have not described in this section, the Secretary (b) For purposes of this section: changed. If you are an SEC-registered adviser, of the Commission (Secretary) will (1) Control means the power, directly however, you no longer have to file Part II promptly forward a copy to each named or indirectly, to direct the management with the Commission. Instead, you must keep party by registered or certified mail at or policies of a person, whether through a copy in your files, and update the that party’s last address filed with the ownership of securities, by contract, or information in your Part II whenever it Commission. otherwise. becomes materially inaccurate. If you are a (3) If the Secretary certifies that the (i) A person is presumed to control a State-registered adviser, State law may Commission was served with process, corporation if the person: continue to require you to file Part II with the pleadings, or other papers pursuant to appropriate State securities authority on (A) Directly or indirectly has the right paper, regardless of whether you are filing paragraph (a)(1) of this section and to vote 25 percent or more of a class of Part 1 on paper or through the IARD. forwarded these documents to a named the corporation’s voting securities; or party pursuant to paragraph (a)(2) of this (B) Has the power to sell or direct the (c) When filed. Each Form ADV is section, this certification constitutes sale of 25 percent or more of a class of considered filed with the Commission evidence of service upon that party. the corporation’s voting securities. upon acceptance by the IARD. (b) Definitions. For purposes of this (ii) A person is presumed to control (d) Filing fees. You must pay NASD section: a partnership if the person has the right Regulation, Inc. (NASDR) (the operator

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57449 of the IARD) a filing fee. The (2) Application procedures. To million of assets under management. If Commission has approved the amount request a temporary hardship the State where you maintain your of the filing fee. No portion of the filing exemption, you must: principal office and place of business fee is refundable. Your completed (i) File Form ADV–H (17 CFR 279.3) has enacted an investment adviser application for registration will not be in paper format with NASD Regulation, statute, you are not required to register accepted by NASDR, and thus will not Inc. (NASDR) no later than one business with the Commission, unless: be considered filed with the day after the filing that is the subject of (i) You have assets under management Commission, until you have paid the the ADV–H was due; and of at least $30,000,000, as reported on filing fee. (ii) Submit the filing that is the your Form ADV (17 CFR 279.1); or (ii) You are an investment adviser to 8. Section 275.203–2 is revised to read subject of the Form ADV–H in an investment company registered as follows: electronic format with the IARD no later than seven business days after the filing under the Investment Company Act of § 275.203±2 Withdrawal from investment was due. 1940 (15 U.S.C. 80a–1). adviser registration. (3) Effective date—upon filing. The (2) Exemption for investment advisers (a) Form ADV–W. You must file Form temporary hardship exemption will be having between $25 and $30 million of ADV–W (17 CFR 279.2) to withdraw granted when you file a completed Form assets under management. If the State from investment adviser registration ADV–H with NASDR. where you maintain your principal with the Commission (or to withdraw a (b) Continuing hardship exemption— office and place of business has enacted pending registration application). (1) Eligibility for exemption. If you are an investment adviser statute, you may register with the Commission if you (b) Electronic filing. Once you have a ‘‘small business’’ (as described in have assets under management of at filed your Form ADV (17 CFR 279.1) (or paragraph (b)(5) of this section), you least $25,000,000 but less than any amendments to Form ADV) may apply for a continuing hardship $30,000,000, as reported on your Form electronically with the Investment exemption. ADV (17 CFR 279.1). This paragraph Adviser Registration Depository (IARD), The period of the exemption may be no longer than one year after the date on (a)(2) shall not apply if: any Form ADV–W you file must be filed (i) You are an investment adviser to with the IARD, unless you have which you apply for the exemption. (2) Application procedures. To apply an investment company registered received a hardship exemption under under the Investment Company Act of § 275.203–3. for a continuing hardship exemption, you must file Form ADV–H with 1940 (15 U.S.C. 80a–1 to 80a–64); or (c) Effective date—upon filing. Each NASDR at least ten business days before (ii) You are eligible for an exemption Form ADV–W filed under this section is a filing is due. The Commission will described in § 275.203A–2 of this effective upon acceptance by the IARD, grant or deny your application within chapter. provided however that your investment ten business days after you file Form Note to Paragraphs (a)(1) and (a)(2): adviser registration will continue for a ADV–H. period of sixty days after acceptance Paragraphs (a)(1) and (a)(2) of this section (3) Effective date—upon approval. together make SEC registration optional for solely for the purpose of commencing a You are not exempt from the electronic certain investment advisers that have proceeding under section 203(e) of the filing requirements until and unless the between $25 and $30 million of assets under Act (15 U.S.C. 80b–3(e)). Commission approves your application. management. (d) Filing fees. You do not have to pay If the Commission approves your (b) Switching to or from SEC a fee to file Form ADV–W through the application, you may submit your IARD. registration—(1) State-registered filings to NASDR in paper format for the advisers—switching to SEC registration. (e) Form ADV–W is a report. Each period of time for which the exemption If you are registered with a State Form ADV–W required to be filed under is granted. securities authority, you must apply for this section is a ‘‘report’’ within the (4) Criteria for exemption. Your registration with the Commission within meaning of sections 204 and 207 of the application will be granted only if you 90 days of filing an annual updating Act (15 U.S.C. 80b–4 and 80b–7). are able to demonstrate that the amendment to your Form ADV 9. Section 275.203–3 is added to read electronic filing requirements of this reporting that you have at least $30 as follows: chapter are prohibitively burdensome or million of assets under management. expensive. (2) SEC-registered advisers—switching § 275.203±3 Hardship exemptions. (5) Small business. You are a ‘‘small to State registration. If you are registered This section provides two ‘‘hardship business’’ for purposes of this section if with the Commission and file an annual exemptions’’ from the requirement to you are required to answer Item 12 of updating amendment to your Form ADV make Advisers Act filings electronically Form ADV (17 CFR 279.1) and checked reporting that you no longer have $25 with the Investment Adviser ‘‘no’’ to each question in Item 12 that million of assets under management (or Registration Depository (IARD). you were required to answer. are not otherwise eligible for SEC (a) Temporary hardship exemption— Note to Paragraphs (a) and (b): NASDR registration), you must file Form ADV– (1) Eligibility for exemption. If you are will charge you an additional fee covering its W (17 CFR 279.2) to withdraw your SEC registered with the Commission as an cost to convert to electronic format a filing registration within 180 days of your investment adviser and submit made in reliance on a continuing hardship fiscal year end (unless you then have at electronic filings on the Investment exemption. least $25 million of assets under Adviser Registration Depository (IARD) 10. Section 275.203A–1 is revised to management or are otherwise eligible system, but have unanticipated read as follows: for SEC registration). During this period technical difficulties that prevent you while you are registered with both the from submitting a filing to the IARD § 275.203A±1 Eligibility for SEC Commission and one or more State system, you may request a temporary registration; switching to or from SEC securities authorities, the Investment hardship exemption from the registration. Advisers Act of 1940 and applicable requirements of this chapter to file (a) Eligibility for SEC registration—(1) State law will apply to your advisory electronically. Threshold for SEC registration—$30 activities.

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57450 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

11. Section 275.203A–2 is amended as adviser indicates on an annual updating (2) If you are an investment adviser follows: amendment to Form ADV that the whose registration application (filed on a. The introductory text is investment adviser would be required paper) was pending on January 1, 2001 republished; by the laws of fewer than 25 States to and became effective after that date, you b. In paragraph (b)(3), the phrase register as an investment adviser with must amend your Form ADV by ‘‘Schedule I’’ is revised to read ‘‘an the securities commissioners (or any electronically filing a completed Part 1A annual updating amendment’’; agencies or officers performing like of Form ADV (as amended effective c. The introductory text to paragraph functions) in the respective States, and October 10, 2000) with the IARD by (d) is republished; that the investment adviser would be April 30, 2001. d. Paragraphs (d)(2) and (d)(3) are prohibited by section 203A(a) of the Act (3) If you have received a continuing revised; (15 U.S.C. 80b–3a(a)) from registering hardship exemption under § 275.203–3, e. The introductory text to paragraph with the Commission, by filing a you must file a completed Part 1A of (e) is republished; and completed Form ADV–W within 180 Form ADV on paper with NASD f. Paragraphs (e)(2), (e)(3) and (e)(4) days of the adviser’s fiscal year end Regulation, Inc. (NASDR) when you are are revised to read as follows: (unless the adviser then has at least $25 required to amend your Form ADV by million of assets under management or the schedule in paragraph (b)(1) of this § 275.203A±2 Exemptions from prohibition section. on SEC registration. is otherwise eligible for SEC registration); and (4) If you have filed Part 1A of Form The prohibition of section 203A(a) of (4) Maintains in an easily accessible ADV with the IARD under paragraphs the Act (15 U.S.C. 80b–3a(a)) does not place a record of the States in which the (1) or (2) of this section, you must file apply to: investment adviser has determined it all subsequent amendments to Part 1A * * * * * would, but for the exemption, be of your Form ADV with the IARD. (d) Investment advisers expecting to required to register for a period of not (c) Special rule for Part II. You are not be eligible for SEC registration within less than five years from the filing of a required to file with the Commission a 120 days. An investment adviser that: Form ADV that includes a copy of Part II of Form ADV if you * * * * * representation that is based on such maintain a copy of your Part II (and any (2) Indicates on Schedule D of its record. brochure you deliver to clients) in your files. The copy maintained in your files Form ADV (17 CFR 279.1) that it will 12. Section 275.204–1 is revised to is considered filed with the withdraw from registration with the read as follows: Commission if, on the 120th day after Commission. the date the investment adviser’s § 275.204±1 Amendments to application Note to Paragraph (c): The Commission registration with the Commission for registration. has proposed, but not adopted, substantial becomes effective, the investment (a) When amendment is required. You changes to Part II of Form ADV. Thus, the adviser would be prohibited by section must amend your Form ADV (17 CFR rules for preparing, delivering, and offering 279.1): Part II (or a brochure containing at least the 203A(a) of the Act (15 U.S.C. 80b–3a(a)) information contained in Part II) have not from registering with the Commission; (1) At least annually, within 90 days changed. If you are an SEC-registered adviser, and of the end of your fiscal year; and however, you no longer have to file Part II (3) Notwithstanding § 275.203A– (2) More frequently, if required by the with the Commission. Instead, you must keep 1(b)(2) of this chapter, files a completed instructions to Form ADV. a copy in your files, and update the Form ADV–W (17 CFR 279.2) (b) Transition to electronic filing. (1) information in your Part II whenever it withdrawing from registration with the If you are an investment adviser becomes materially inaccurate. If you are a registered with the Commission on State-registered adviser, State law may Commission within 120 days after the continue to require you to file Part II with the date the investment adviser’s December 31, 2000, you must amend appropriate State securities authority on registration with the Commission your Form ADV by electronically filing paper, regardless of whether you are filing becomes effective. a completed Part 1A of Form ADV (as Part 1 on paper or through the IARD. amended effective October 10, 2000) (e) Multi-State investment advisers. (d) Filing fees. You must pay NASDR with the Investment Adviser An investment adviser that: (the operator of the IARD) an initial Registration Depository (IARD) * * * * * filing fee when you first electronically according to the following schedule: (2) Indicates on Schedule D of its file Part 1A of Form ADV pursuant to (i) If your fiscal year ends in Form ADV that the investment adviser sub-paragraph (b) of this section. After December, and has reviewed the applicable State and you pay the initial filing fee, you must (A) Your SEC registration number is federal laws and has concluded that, in pay an annual filing fee each time you 801–1 through 801–36806, you must file the case of an application for file your annual updating amendment. no later than January 31, 2001; registration with the Commission, it is No portion of either fee is refundable. (B) Your SEC registration number is required by the laws of 30 or more The Commission has approved the filing 801–36807 through 801–54145, you States to register as an investment fees. Your amended Form ADV will not must file no later than February 28, adviser with the State securities be accepted by NASDR, and thus will 2001; authorities in the respective States or, in not be considered filed with the (C) Your SEC registration number is the case of an amendment to Form ADV, Commission, until you have paid the 801–54146 or higher, you must file no it would be required by the laws of at filing fee. least 25 States to register as an later than March 30, 2001. (e) Amendments to Form ADV are investment adviser with the State (ii) If your fiscal year ends in any reports. Each amendment required to be securities authorities in the respective month other than December (i.e., filed under this section is a ‘‘report’’ States, within 90 days prior to the date January through November), you must within the meaning of sections 204 and of filing Form ADV; file no later than April 30, 2001. 207 of the Act (15 U.S.C. 80b–4 and (3) Undertakes on Schedule D of its Note to Paragraphs (a) and (b): Information 80b–7). Form ADV to withdraw from on how to file with the IARD is available on 13. Section 275.204–5 is removed and registration with the Commission if the our website at . reserved.

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57451

PART 279ÐFORMS PRESCRIBED § 279.9 [Removed and Reserved] • Schedule C is used by paper filers to update the information required by UNDER THE INVESTMENT ADVISERS 23. Section 279.9 and Form ADV–Y2K ACT OF 1940 Schedules A and B (see Instruction 14). are removed and reserved. • Schedule D asks for additional 14. The authority citation for Part 279 Note: Form ADV–Y2K does not appear in information for certain items in Part 1A. • continues to read as follows: the Code of Federal Regulations. Disclosure Reporting Pages (or ‘‘DRPs’’ ) ask for details about disciplinary events Authority: 15 U.S.C. 80b–1 to 80b–22. By the Commission. involving you or persons affiliated with you. 15. Form ADV (referenced in § 279.1) Dated: September 12, 2000. (These are considered schedules too.) • is revised. Margaret H. McFarland, Part 1B asks additional questions required by state securities authorities. Part Note: The text of Form ADV does not and Deputy Secretary. 1B contains three DRPs. If you are applying the amendments will not appear in the Code [Note: Appendixes A, B, C, and D will not for registration or are registered only with the of Federal Regulations. Form ADV is attached appear in the Code of Federal Regulations] SEC, you do not have to complete Part 1B. as Appendix A. Appendix A (If you are filing electronically and you do 16. Form ADV–W (referenced in not have to complete Part 1B, you will not § 279.2) is revised. Form ADV (Paper Version); UNIFORM see Part 1B.) APPLICATION FOR INVESTMENT • Part II is your current brochure. You Note: The text of Form ADV-W does not ADVISER REGISTRATION must continue to amend your brochure, and the amendments will not appear in the Form ADV: General Instructions deliver it to prospective clients, and annually Code of Federal Regulations. Form ADV–W offer it to current clients. See rule 204–3. You is attached as Appendix B. Read these instructions carefully before are not required to file amendments to Part filing Form ADV. Failure to follow these II with the SEC. 17. Section 279.3 and Form ADV–H instructions, properly complete the form, and are added as follows: pay all required fees may result in your filing Note: The SEC has proposed to amend Part Note: The text of Form ADV–H will not being returned to you. Electronic filers II of Form ADV. These changes, proposed as appear in the Code of Federal Regulations. should follow the instructions available on- Part 2, have not been adopted at this time. Form ADV–H is attached as Appendix C. line, which are different. Until the Commission adopts Part 2, the In these instructions and in the form, current brochure requirements are in effect, § 279.3 Form ADV±H, application for a ‘‘you’’ means the investment adviser (i.e., the except that you are no longer required to file temporary or continuing hardship advisory firm) applying for registration or amendments to Part II with the Commission. exemption. amending its registration. If you are a See rule 204–3. An investment adviser must file this ‘‘separately identifiable department or division’’ (SID) of a bank, ‘‘you’’ means the 4. When am I required to update my Form form under § 275.203–3 of this chapter ADV? to request a temporary hardship SID, rather than your bank, unless the instructions or the form provide otherwise. You must amend your Form ADV each exemption or apply for a continuing Terms that appear in italics are defined in the year by filing an annual updating hardship exemption. Glossary of Terms to Form ADV. amendment within 90 days after the end of 18. Form 4–R (referenced in § 279.4) your fiscal year. When you submit your 1. Where can I get more information on is removed. annual updating amendment, you must Form ADV, electronic filing, and the IARD? 19. Section 279.4 is revised and Form update your responses to all items. ADV–NR is added as follows: The SEC provides information about its In addition to your annual updating rules and the Advisers Act on its website: Note: Form ADV–NR will not appear in the amendment, you must amend your Form . ADV by filing additional amendments (other- Code of Federal Regulations. Form ADV–NR NASAA provides information about state is attached as Appendix D. than-annual amendments) promptly if: investment adviser laws and state rules, and • information you provided in response to how to contact a state securities authority, on § 279.4 Form ADV±NR, appointment of Items 1, 3, 9, or 11 of Part 1A or Items 1, 2.A. its website: . through 2.F., or 2.I. of Part 1B become agent for service of process by non- NASDR provides information about the resident general partner and non-resident inaccurate in any way; IARD and electronic filing on the IARD • information you provided in response to managing agent of an investment adviser. website: . Each non-resident general partner or Items 4, 8, or 10 of Part 1A or Item 2.G. of 2. What is Form ADV used for? Part 1B become materially inaccurate; or managing agent of an investment • information you provided in your adviser must file this form under Investment advisers use Form ADV to: • brochure becomes materially inaccurate. § 275.0–2 of this chapter. Register with the Securities and Exchange Commission If you are submitting an other-than-annual amendment, you are not required to update § 279.5 [Removed and Reserved] • Register with one or more state securities your responses to Items 2, 5, 6, 7, or 12 of 20. Section 279.5 and Form 5–R are authorities • Amend those registrations Part 1A or Items 2.H. or 2.J. of Part 1B even removed and reserved. if your responses to those items have become Note: Form 5–R does not appear in the 3. How is Form ADV organized? inaccurate. If you are amending Part II, do Code of Federal Regulations. • Part 1A asks a number of questions about not file the amendment with the SEC. you, your business practices, the persons Failure to update your Form ADV, as § 279.6 [Removed and Reserved] who own and control you, and the persons required by this instruction, is a violation of who provide investment advice on your SEC rule 204–1 and similar state rules and 21. Section 279.6 and Form 6–R are behalf. All advisers registering with the SEC could lead to your registration being removed and reserved. or any of the state securities authorities must revoked. complete Part 1A. Note: Form 6–R does not appear in the 5. Are there changes to the Part II Part 1A also contains several schedules Code of Federal Regulations. requirements? that supplement Part 1A. The items of Part The rules for preparing, delivering and § 279.7 [Removed and Reserved] 1A let you know which schedules you must complete. offering Part II have not changed. You can 22. Section 279.7 and Form 7–R are • Schedule A asks for information about still satisfy these requirements by delivering removed and reserved. your direct owners and executive officers. Part II or a brochure containing at least the Note: Form 7–R does not appear in the • Schedule B asks for information about information contained in Part II. If you are Code of Federal Regulations. your indirect owners. using Part II, you can continue to use

VerDate 112000 20:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00015 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 57452 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

Schedule F as a continuation sheet. If you • You are filing with the SEC (and If you are granted a continuing hardship check ‘‘yes’’ to Item 14 of Part II, prepare and submitting notice filings to any of the state exemption to file Form ADV on paper, file a balance sheet following instructions in securities authorities), or NASDR will enter your filing into the IARD Schedule G. The balance sheet information • You are filing with a state securities and your notice filings will be sent must be distributed to clients as part of your authority that requires or permits advisers to electronically to the state securities written disclosure statement (regardless of submit Form ADV through the IARD. authorities that you check on Item 2.B. of whether you use Part II or a brochure). To file electronically, go the IARD website Part 1A. If you are an SEC-registered adviser, (), which contain detailed however, you no longer have to file Part II instructions for advisers to follow when 11. I am registered with a state. When must with the SEC. Instead, you must keep a copy filing through the IARD. I switch to SEC registration? in your files, and provide it to SEC staff upon Complete Form ADV (Paper Version) on If you report on your annual updating request. You must update the information in paper if: amendment that your assets under • You are filing with the SEC or a state your Part II whenever it becomes materially management have increased to $30 million or securities authority that requires electronic inaccurate. You can do this by substituting more, you must register with the SEC within pages, or by affixing a ‘‘sticker’’ replacing the filing, but you have been granted a 90 days after you file that annual updating stale information. continuing hardship exemption. Hardship amendment. If your assets under If you are a state-registered adviser, you exemptions are described in Instruction 13. management increase to $25 million or more must continue to file Part II with the • You are filing with a state securities appropriate state securities authority on authority that permits (but does not require) but not $30 million, you may, but are not paper, regardless of whether you are filing electronic filing and you do not file required to, register with the SEC (assuming Part 1 on paper or electronically through the electronically. you are not otherwise required to register IARD. with the SEC). Once you register with the 9. How do I get started filing electronically? SEC, you are subject to SEC regulation, Note: The SEC has proposed, but not • First, get a copy of the IARD Entitlement adopted, substantial changes to Part II. regardless of whether you remain registered Package from the following web site: . Second, request access to investment adviser representatives, however, application or amendment? the IARD system for your firm by completing may be subject to registration in those states and submitting the IARD Entitlement You must sign the appropriate Execution in which the representative has a place of Package. The IARD Entitlement Package must business. See SEC rule 203A–1(b). For Page. There are three Execution Pages at the be submitted on paper. Mail the forms to: end of the form. Your initial application and additional information, consult the IARD Entitlement Requests, NASD investment adviser laws or the state all amendments to Form ADV must include Regulation, Inc., P.O. Box 9495, Gaithersburg, securities authority for the particular state in at least one Execution Page. MD 20898–9495. • which you are ‘‘doing business.’’ See General If you are applying for or amending your • When NASDR receives your Entitlement SEC registration, you must sign and submit Package, they will assign a CRD number Instruction 1. either a: (identification number for your firm) and a 12. I am registered with the SEC. When must • Domestic Investment Adviser Execution user I.D. code and password (identification I switch to registration with a state securities Page, if you (the advisory firm) are a resident number and system password for the authority? of the United States; or • individual(s) who will submit Form ADV Non-Resident Investment Adviser filings for your firm). Your firm may request If you report on your annual updating Execution Page, if you (the advisory firm) are an I.D. code and password for more than one amendment that you have assets under not a resident of the United States. management of less than $25 million and you • individual. The NASDR also will create a If you are applying for or amending your financial account for you from which the are not otherwise eligible to register with the registration with a state securities authority, IARD will deduct filing fees and any state SEC, you must withdraw from SEC you must sign and submit the State- fees you are required to pay. If you already registration within 180 days after the end of Registered Investment Adviser Execution have a CRD account with NASDR, it will also your fiscal year by filing Form ADV–W. You Page. serve as your IARD account; a separate should consult state law in the states that you 7. Who must sign my Form ADV or account will not be established. are doing business to determine if you are • amendment? Once you receive your CRD number, user required to register in these states. See I.D. code and password, and you have funded General Instruction 1. Until you file your The individual who signs the form your account, you are ready to file Form ADV–W with the SEC, you will remain depends upon your form of organization: electronically. subject to SEC regulation, and you also will • For a sole proprietorship, the sole • Questions regarding the Entitlement be subject to regulation in any states where proprietor. Process should be addressed to NASDR at • For a partnership, a general partner. you register. See SEC rule 203A–1(b). • 240.386.4848. For a corporation, an authorized 13. Are there filing fees? principal officer. 10. If I am applying for registration with the • For a ‘‘separately identifiable department SEC, or amending my SEC registration, how Yes. These fees go to support and maintain or division’’ (SID) of a bank, a principal do I make notice filings with the state securities the IARD. The IARD filing fees are in officer of your bank who is directly engaged authorities? addition to any registration or other fee that may be required by state law. You must pay in the management, direction or supervision If you are applying for registration with the an IARD filing fee for your initial application of your investment advisory activities. SEC or amending your SEC registration, one • and each annual updating amendment. For all others, an authorized individual or more state securities authorities may There is no filing fee for an other-than-annual who participates in managing or directing require you to provide them with copies of your affairs. your SEC filings. We call these filings ‘‘notice amendment or Form ADV–W. The IARD The signature does not have to be filings.’’ Your notice filings will be sent filing fee schedule is published at ; ; filing, should be a typed name. Item 2.B. of Part 1A. The state securities and . If you are submitting a paper filing under 8. How do I file my Form ADV? authorities to which you send notice filings may charge fees, which will be deducted a continuing hardship exemption (see Note: Until May 1, 2001, you must also from the account you establish with NASDR. Instruction 14), you are required to pay an consult the Form ADV Supplemental To determine which state securities additional fee. The amount of the additional Instructions for Transition to Electronic authorities require SEC-registered advisers to fee depends on whether you are filing Form Filing. submit notice filings and to pay fees, consult ADV or Form ADV–W. (There is no Complete Form ADV electronically using the relevant state investment adviser law or additional fee for filings made on Form the Investment Adviser Registration state securities authority. See General ADV–W.) The hardship filing fee schedule is Depository (IARD) if: Instruction 1. available at 240.386.4848.

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57453

14. What if I am not able to file instead of electronic filings, submit one Privacy Act System of Records Notice for electronically? manually signed Form ADV and one copy to these records. If you are required to file electronically but the appropriate state securities authorities. cannot do so, you may be eligible for one of Form ADV (Paper Version), Uniform two types of hardship exemptions from the 16. Who is required to file Form ADV–NR? Application for Investment Adviser electronic filing requirements. Every non-resident general partner and Registration • A temporary hardship exemption is managing agent of all SEC-registered Form ADV: Supplemental Instructions for available if you file electronically, but you advisers, whether or not the adviser is Transition to Electronic Filing encounter unexpected difficulties that resident in the United States, must file Form prevent you from making a timely filing with ADV–NR in connection with the adviser’s SEC Requirements the IARD, such as a computer malfunction or initial application. A general partner or SEC rules require advisers that are electrical outage. This exemption does not managing agent of an SEC-registered adviser registered or applying for registration with permit you to file on paper; instead, it who becomes a non-resident after the the SEC to file electronically. All extends the deadline for an electronic filing adviser’s initial application has been applications for registration filed after for seven business days. See SEC rule 203– submitted must file Form ADV–NR within 30 December 31, 2000 must be filed 3(a). days. Form ADV–NR must be filed on paper electronically through the IARD system. See • A continuing hardship exemption may (it cannot be filed electronically). SEC rule 203–1. be granted if you are a small business and Submit Form ADV–NR to the SEC at the If your SEC registration was made effective you can demonstrate that filing electronically following address: Securities and Exchange on or before December 31, 2000, you must would impose an undue hardship. You are a Commission, 450 5th Street, N.W., Mail Stop transition to electronic filing by submitting small business, and may be eligible for a A–2, Washington, DC 20549; Attn: Branch of an amendment to your Form ADV through continuing hardship exemption, if you are Registrations & Examinations the IARD during one of the first four months required to answer Item 12 of Part 1A Failure to file Form ADV–NR promptly of 2001. To facilitate an orderly transition, (because you have assets under management may delay SEC consideration of your initial registered advisers have been divided into of less than $25 million) and you are able to application. four groups. Members of each group will file respond ‘‘no’’ to each question in Item 12. amendments to their registration forms See SEC rule 0–7. Federal Information Law and Requirements during one of the four months. See SEC rule If you have been granted a continuing Advisers Act Sections 203(c), 204, 206 and 204–1. hardship exemption, you must complete and 211(a) authorize the SEC to collect the If your fiscal year ends in December and file the paper version of Form ADV with information required by Form ADV. The SEC NASDR. NASDR will enter your responses uses the information for regulatory purposes, your SEC 801 you must file by: into the IARD. As discussed in General including deciding whether to grant number is: Instruction 13, NASDR will charge you a fee registration. The SEC keeps files of the to reimburse it for the expense of data entry. information submitted on this form and • 801±1 through January 31, 2001 Before applying for a continuing hardship makes the information publicly available. 801±36806. exemption, consider engaging a firm that The SEC may reject forms that do not include • 801±36807 through February 28, 2001 assists investment advisers in making filings required information. By accepting a form, 801±54145. with the IARD. Check the SEC’s web site however, the SEC does not make a finding • 801±54146 and March 30, 2001 () to obtain a list that it has been completed or submitted higher. of firms that provide these services. correctly. Intentional misstatements or omissions constitute federal criminal If your fiscal year ends in any month other 15. I am eligible to file on paper. How do I violations under 18 U.S.C. § 1001 and 15 than December make a paper filing? U.S.C. § 80b–17. When filing on paper, you must: you must file by: • Type all of your responses. SEC’s Collection of Information • Include your name (the same name you An agency may not conduct or sponsor, April 30, 2001 provide in response to Item 1.A. of Part 1A) and a person is not required to respond to, and the date on every page. a collection of information unless it displays State Requirements • If you are amending your Form ADV: a currently valid control number. The • complete page 1 and circle the number Advisers Act authorizes the SEC to collect Check with the state securities authorities of any item for which you are changing your the information on Form ADV from of the states in which you have a filing response. applicants. See 15 U.S.C. §§ 80b–3(c)(1) and obligation to determine whether you can or • include your SEC 801-number (if you 80b–4. Filing the form is mandatory. must file Form ADV electronically through have one) and your CRD number (if you have The main purpose of this form is to enable the IARD. NASAA provides information one) on every page. the SEC to register investment advisers. about state investment adviser laws and state • complete the amended item in full and Every applicant for registration with the SEC rules, and how to contact a state securities circle the number of the item for which you as an adviser must file the form. See 17 authority, on its website: http:// are changing your response. C.F.R. § 275.203–1. The form is filed www.nasaa.org. • to amend Schedule A or Schedule B, annually by every adviser, no later than 90 Form ADV (Paper Version); Uniform complete and submit Schedule C. days after the end of its fiscal year, to amend Application for Investment Adviser Where you submit your paper filing its registration. It also is filed promptly Registration depends on why you are eligible to file on during the year to reflect material changes. paper: See 17 C.F.R. § 275.204–1. The SEC Form ADV: Instructions for Part 1A • If you are filing on paper because you maintains the information on the form and These instructions explain how to have been granted a continuing hardship makes it publicly available through the IARD. complete certain items in Part 1A of Form exemption, submit one manually signed Anyone may send the SEC comments on ADV. Form ADV and one copy to: IARD Document the accuracy of the burden estimate on page Processing, NASD Regulation, Inc., P.O. Box 1 of the form, as well as suggestions for 1. Item 1: Identifying Information 9495, Gaithersburg, MD 20898–9495. reducing the burden. The Office of If you are a ‘‘separately identifiable If you complete Form ADV on paper and Management and Budget has reviewed this department or division’’ (SID) of a bank, submit it to NASDR but you do not have a collection of information under 44 U.S.C. answer Item 1.A. with the full legal name of continuing hardship exemption, the § 3507. your bank, and answer Item 1.B. with your submission will be returned to you. The information contained in the form is own name (the name of the department or • If you are filing on paper because a state part of a system of records subject to the division) and all names under which you in which you are registered or applying for Privacy Act of 1974, as amended. The SEC conduct your advisory business. In addition, registration allows you to submit paper has published in the Federal Register the your principal office and place of business in

VerDate 112000 21:57 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00017 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 57454 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

Item 1.F. should be the principal office at advisory services at the end of the 12-month you must check box 11 in Item 2.A. You also which you conduct your advisory business. period. If you provided advisory services to must file a Form ADV–W to withdraw your In response to Item 1.I., the World Wide Web other plans during the 12-month period, but SEC registration. See Part 1A Instruction 2. site addresses you list on Schedule D should your employment or contract terminated h. Item 2.A(11): Adviser No Longer be sites that provide information about your before the end of the 12-month period, you Eligible to Remain Registered with the SEC. own activities, rather than general also may include the value of those assets. You must check box 11 if: information about your bank. e. Item 2.A(7): Affiliated Adviser. You may • you are registered with the SEC; check box 7 only if you are eligible for the • you are filing an annual updating 2. Item 2: SEC Registration affiliated adviser exemption from the amendment to Form ADV in which you If you are registered or applying for prohibition on SEC registration. See SEC rule indicate in response to Item 5.F(2)(c) that you registration with the SEC, you must indicate 203A–2(c). You are eligible for this have assets under management of less than in Item 2.A. why you are eligible to register exemption if you control, are controlled by, $25 million; and with the SEC by checking one or more boxes. or are under common control with an • you are not eligible to check any other a. Item 2.A(1): Adviser with Assets Under investment adviser that is registered with the box (other than box 11) in Item 2.A. (and are Management of $25 Million or More. You SEC, and you have the same principal office therefore no longer eligible to remain may check box 1 only if your response to and place of business as that other registered with the SEC). Item 5.F(2)(c) is $25 million or more. While investment adviser. If you check box 7, you You must withdraw from SEC registration you may register with the SEC if your assets also must complete Section 2.A(7) of within 180 days after the end of your fiscal under management are at least $25 million Schedule D. year by filing Form ADV–W. Until you file but less than $30 million, you must register f. Item 2.A(8): Newly-Formed Adviser. You your Form ADV–W, you will remain subject with the SEC if your assets under may check box 8 only if you are eligible for to SEC regulation, and you also will be management are $30 million or more. Part 1A the newly-formed-adviser exemption from subject to regulation in the states in which Instruction 5.b. explains how to calculate the prohibition on SEC registration. See SEC you register. See SEC rule 203A–1(b). your assets under management. rule 203A–2(d). You are eligible for this If you are a state-registered adviser and you exemption if: 3. Item 3: Form of Organization report on your annual updating amendment • immediately before you file your If you are a ‘‘separately identifiable that your assets under management increased application for registration with the SEC, you department or division’’ (SID) of a bank, to $25 million or more, you may register with were not registered or required to be answer Item 3.A. by checking ‘‘other.’’ In the the SEC. If your assets under management registered with the SEC or a state securities space provided, specify that you are a ‘‘SID increased to $30 million or more, you must authority; and of’’ and indicate the form of organization of register with the SEC within 90 days after • at the time of your formation, you have your bank. Answer Items 3.B. and 3.C. with you file that annual updating amendment. a reasonable expectation that within 120 days information about your bank. See SEC rule 203A–1(b) and Form ADV of registration you will be eligible for SEC General Instruction 10. registration. 4. Item 4: Successions b. Item 2.A(4): Adviser to an Investment If you check box 8, you also must complete a. Succession of an SEC-Registered Company. You may check box 4 only if you Section 2.A(8) of Schedule D. Adviser. If you (1) have taken over the currently provide advisory services under an You must file an amendment to Part 1A of business of an investment adviser or (2) have investment advisory contract to an your Form ADV that updates your response changed your structure or legal status (e.g. investment company registered under the to Item 2.A. within 120 days after the SEC form of organization or state of Investment Company Act of 1940 and the declares your registration effective. You may incorporation), a new organization has been investment company is operational (i.e., has not check box 8 on your amendment; since created, which has registration obligations assets and shareholders, other than just the this exemption is available only if you are under the Advisers Act. There are different organizing shareholders). See section not registered, you may not ‘‘re-rely’’ on this ways to fulfill these obligations. You may 203A(a)(1)(B) of the Advisers Act. Advising exemption. If you indicate on that rely on the registration provisions discussed investors about the merits of investing in amendment (by checking box 11) that you are in the General Instructions, or you may be mutual funds or recommending particular not eligible to register with the SEC, you also able to rely on special registration provisions mutual funds does not make you eligible to must at that same time file a Form ADV–W for ‘‘successors’’ to SEC-registered advisers, check this box. to withdraw your SEC registration. which may ease the transition to the c. Item 2.A(5): Nationally Recognized g. Item 2.A(9): Multi-State Adviser. You successor adviser’s registration. Statistical Rating Organization. You may may check box 9 only if you are eligible for To determine if you may rely on these check box 5 only if you are designated as a the multi-state adviser exemption from the provisions, review ‘‘Registration of nationally recognized statistical rating prohibition on SEC registration. See SEC rule Successors to Broker-Dealers and Investment organization pursuant to an application filed 203A–2(e). You are eligible for this Advisers,’’ Investment Advisers Act Release under paragraph (c)(13)(i) of SEC rule 15c3– exemption if you are required to register as No. 1357 (Dec. 28, 1992). If you have taken 1 under the Securities Exchange Act of 1934. an investment adviser with the securities over an adviser, follow Part 1A Instruction See SEC rule 203A–2(a). This designation authorities of 30 or more states. If you check 4.a(1), Succession by Application. If you generally is limited to rating agencies, such box 9, you must complete Section 2.A(9) of have changed your structure or legal status, as ’s and Standard & Poor’s. Schedule D. You must complete Section follow Part 1A Instruction 4.a(2), Succession d. Item 2.A(6): Pension Consultant. You 2.A(9) of Schedule D in each annual by Amendment. If either (1) you are a may check box 6 only if you are eligible for updating amendment you submit. ‘‘separately identifiable department or the pension consultant exemption from the If you check box 9, you also must: division’’ (SID) of a bank that is currently prohibition on SEC registration. • create and maintain a list of the states in registered as an investment adviser, and you • You are eligible for this exemption if you which, but for this exemption, you would be are taking over your bank’s advisory provided investment advice to employee required to register; business; or (2) you are a SID currently benefit plans, governmental plans, or church • update this list each time you submit an registered as an investment adviser, and your plans with respect to assets having an annual updating amendment in which you bank is taking over your advisory business, aggregate value of $50 million or more during continue to represent that you are eligible for then follow Part 1A Instruction 4.a(1), the 12-month period that ended within 90 this exemption; and Succession by Application. days of filing this Form ADV. You are not • maintain the list in an easily accessible (1) Succession by Application. If you are eligible for this exemption if you only advise place for a period of not less than five years not registered with the SEC as an adviser, plan participants on allocating their from each date on which you indicate that and you are acquiring or assuming investments within their pension plans. See you are eligible for the exemption. substantially all of the assets and liabilities SEC rule 203A–2(b). If, at the time you file your annual of the advisory business of an SEC-registered • To calculate the value of assets for updating amendment, you are required to adviser, file a new application for registration purposes of this exemption, aggregate the register in less than 25 states and you are not on Form ADV. You will receive new assets of the plans for which you provided otherwise eligible to register with the SEC, registration numbers. You must file the new

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00018 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57455 application within 30 days after the as securities. You may include securities provide are continuous and regular succession. On the application, make sure portfolios that are: supervisory or management services. The fact you check ‘‘yes’’ to Item 4.A., enter the date (a) your family or proprietary accounts that you make infrequent trades (e.g., based of the succession in Item 4.B., and complete (unless you are a sole proprietor, in which on a ‘‘buy and hold’’ strategy) does not mean Section 4 of Schedule D. case your personal assets must be excluded); your services are not ‘‘continuous and Until the SEC declares your new (b) accounts for which you receive no regular.’’ registration effective, you may rely on the compensation for your services; and Examples. You may provide continuous registration of the adviser you are acquiring, (c) accounts of clients who are not U.S. and regular supervisory or management but only if the adviser you are acquiring is residents. services for an account if you: no longer conducting advisory activities. (2) Value of Portfolio. Include the entire (a) have discretionary authority to allocate Once your new registration is effective, a value of each securities portfolio for which client assets among various mutual funds; Form ADV–W must be filed with the SEC to you provide continuous and regular (b) do not have discretionary authority, but withdraw the registration of the acquired supervisory or management services. If you provide the same allocation services, and adviser. provide continuous and regular supervisory satisfy the criteria set forth in Instruction (2) Succession by Amendment. If you are or management services for only a portion of 5.b(3); a new investment adviser formed solely as a a securities portfolio, include as assets under (c) allocate assets among other managers (a result of a change in form of organization, a management only that portion of the ‘‘manager of managers’’), but only if you have reorganization, or a change in the securities portfolio for which you provide discretionary authority to hire and fire composition of a partnership, and there has such services. Exclude, for example, the managers and reallocate assets among them; been no practical change in control or portion of an account: or management, you may amend the registration (a) under management by another person; (d) you are a broker-dealer and treat the of the registered investment adviser to reflect or account as a brokerage account, but only if these changes rather than file a new (b) that consists of real estate or businesses you have discretionary authority over the application. You will keep the same whose operations you ‘‘manage’’ on behalf of account. registration numbers, and you should not file a client but not as an investment. You do not provide continuous and regular a Form ADV–W. On the amendment, make Do not deduct securities purchased on supervisory or management services for an sure you check ‘‘yes’’ to Item 4.A., enter the margin. account if you: date of the succession in Item 4.B., and (3) Continuous and Regular Supervisory (a) provide market timing complete Section 4 of Schedule D. You must or Management Services. recommendations (i.e., to buy or sell), but submit the amendment within 30 days after General Criteria. You provide continuous have no ongoing management the change or reorganization. and regular supervisory or management responsibilities; b. Succession of a State-Registered services with respect to an account if: (b) provide only impersonal investment Adviser. If you (1) have taken over the (a) you have discretionary authority over advice (e.g., market newsletters); business of an investment adviser or (2) have and provide ongoing supervisory or (c) make an initial asset allocation, without changed your structure or legal status (e.g., management services with respect to the continuous and regular monitoring and form of organization or state of account; or reallocation; or incorporation), a new organization has been (b) you do not have discretionary authority (d) provide advice on an intermittent or created, which has registration obligations over the account, but you have ongoing periodic basis (such as upon client request, under state investment adviser laws. There responsibility to select or make in response to a market event, or on a specific may be different ways to fulfill these recommendations, based upon the needs of date (e.g., the account is reviewed and obligations. You should contact each state in the client, as to specific securities or other adjusted quarterly)). which you are registered to determine that investments the account may purchase or sell (4) Value of Assets Under Management. state’s requirements for successor and, if such recommendations are accepted Determine your assets under management registration. See Form ADV General by the client, you are responsible for based on the current market value of the Instruction 1. arranging or effecting the purchase or sale. assets as determined within 90 days prior to Factors. You should consider the following the date of filing this Form ADV. Determine 5. Item 5: Information About Your Advisory factors in evaluating whether you provide market value using the same method you Business continuous and regular supervisory or used to report account values to clientsor to a. Newly-Formed Advisers: Several management services to an account. calculate fees for investment advisory questions in Item 5 that ask about your (a) Terms of the advisory contract. If you services. advisory business assume that you have been agree in an advisory contract to provide (5) Example. This is an example of the operating your advisory business for some ongoing management services, this suggests method of determining whether a client time. Your response to these questions that you provide these services for the account may be included as assets under should reflect your current advisory business account. Other provisions in the contract, or management. (i.e., at the time you file your Form ADV), your actual management practices, however, A client’s portfolio consists of the with the following exceptions: may suggest otherwise. following: • base your response to Item 5.E. on the (b) Form of compensation. If you are types of compensation you expect to accept; compensated based on the average value of $ 6,000,000 stocks and bonds • base your response to Item 5.G. on the the client’s assets you manage over a $ 1,000,000 cash and cash equivalents types of advisory services you expect to specified period of time, that suggests that $ 3,000,000 non-securities (collectibles, provide during the next year; and you provide continuous and regular commodities, real estate, • skip Item 5.H. supervisory or management services for the etc.) b. Item 5.F: Calculating Your Assets Under account. If you receive compensation in a Management. In determining the amount of manner similar to either of the following, that $10,000,000 Total Assets your assets under management, include the suggests you do not provide continuous and securities portfolios for which you provide regular supervisory or management services First, is the account a securities portfolio? continuous and regular supervisory or for the account— The account is a securities portfolio because management services as of the date of filing (i) you are compensated based upon the securities as well as cash and cash this Form ADV. time spent with a client during a client visit; equivalents (which you have chosen to (1) Securities Portfolios. An account is a or include as securities) ($6,000,000 + securities portfolio if at least 50% of the total (ii) you are paid a retainer based on a $1,000,000 = $7,000,000) comprise at least value of the account consists of securities. percentage of assets covered by a financial 50% of the value of the account (here, 70%). For purposes of this 50% test, you may treat plan. (See Instruction 5.b(1)). cash and cash equivalents (i.e., bank (c) Management practices. The extent to Second, does the account receive deposits, certificates of deposit, bankers which you actively manage assets or provide continuous and regular supervisory or acceptances, and similar bank instruments) advice bears on whether the services you management services? The entire account is

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00019 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57456 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations managed on a discretionary basis and is a newly-formed adviser, base your response • A person is presumed to control a provided ongoing supervisory and to Item 2.I. on the way you expect to conduct partnership if the person has the right to management services, and therefore receives your business during the next year. receive upon dissolution, or has contributed, continuous and regular supervisory or 25 percent or more of the capital of the GLOSSARY OF TERMS management services. (See Instruction partnership. 5.b(3)). 1. Advisory Affiliate: Your advisory • A person is presumed to control a limited Third, what is the entire value of the affiliates are (1) all of your officers, partners, liability company (‘‘LLC’’) if the person: (i) account? The entire value of the account or directors (or any person performing similar directly or indirectly has the right to vote 25 ($10,000,000) is included in the calculation functions); (2) all persons directly or percent or more of a class of the interests of of the adviser’s total assets under indirectly controlling or controlled by you; and the LLC; (ii) has the right to receive upon management. (3) all of your current employees (other than dissolution, or has contributed, 25 percent or employees performing only clerical, more of the capital of the LLC; or (iii) is an Control Persons 6. Item 10: administrative, support or similar functions). elected manager of the LLC. If you are a ‘‘separately identifiable If you are a ‘‘separately identifiable • A person is presumed to control a trust department or division’’ (SID) of a bank, department or division’’ (SID) of a bank, your if the person is a trustee or managing agent of identify on Schedule A your bank’s executive advisory affiliates are: (1) all of your bank’s the trust. officers who are directly engaged in employees who perform your investment Used in: General Instructions; Part 1A, managing, directing, or supervising your advisory activities (other than clerical or Instructions, Items 2, 7, 10, 11, 12, Schedules investment advisory activities, and list any administrative employees); (2) all persons A, B, C, D; Regulatory DRP] other persons designated by your bank’s designated by your bank’s board of directors 6. Custody: Your firm has custody if it board of directors as responsible for the day- as responsible for the day-to-day conduct of directly or indirectly holds client funds or to-day conduct of your investment advisory your investment advisory activities securities, has any authority to obtain activities, including supervising employees (including supervising the employees who possession of them, or has the ability to performing investment advisory activities. perform investment advisory activities); (3) appropriate them. Your firm has custody, for all persons who directly or indirectly control example, if it has a general power of attorney 7. Additional Information. your bank, and all persons whom you control over a client's account or signatory power If you believe your response to an item in in connection with your investment advisory over a client's checking account. See Advisers activities; and (4) all other persons who Form ADV Part 1A requires further Act rule 206(4)-2. [Used in: Part 1A, Item 9; directly manage any of your investment explanation, or if you wish to provide Part 1B, Instructions, Item 2] advisory activities (including directing, additional information, you may do so on 7. Discretionary Authority: Your firm has supervising or performing your advisory Schedule D, in the Miscellaneous section. discretionary authority if it has the authority activities), all persons who directly or Completion of this section is optional. to decide which securities to purchase and indirectly control those management sell for the client. Your firm also has Form ADV (Paper Version); Uniform functions, and all persons whom you control discretionary authority if it has the authority Application for Investment Adviser in connection with those management to decide which investment advisers to retain Registration functions. [Used in: Part 1A, Item 11; Part 1B, on behalf of the client. [Used in: Part 1A, Item 2] Form ADV: Instructions for Part 1B 2. Annual Updating Amendment: Within Instructions, Item 8; Part 1B, Instructions] These instructions explain how to 90 days after your firm’s fiscal year end, your 8. Employee: This term includes an complete certain items in Part 1B of Form firm must file an ‘‘annual updating independent contractor who performs ADV. amendment,’’ which is an amendment to advisory functions on your behalf. [Used in: your firm’s Form ADV that reaffirms the Part 1A, Instructions, Items 1, 5, 7, 11] 1. Item 2.B: Bond Information eligibility information contained in Item 2 of 9. Enjoined: This term includes being Your home state may require you to Part 1A and updates the responses to any subject to a mandatory injunction, maintain a bond. For example, a bond may other item for which the information is no prohibitory injunction, preliminary be required if you have custody of or longer accurate. [Used in: General injunction, or a temporary restraining order. discretionary authority over your client’s Instructions; Part 1A Instructions, [Used in: Part 1A, Item 11; DRPs] funds or securities. A bond also may be Introductory Text, Item 2] 10. Felony: For jurisdictions that do not required if your home state requires you to 3. Charged: Being accused of a crime in a differentiate between a felony and a maintain a minimum net worth and you do formal complaint, information, or indictment misdemeanor, a felony is an offense not have that net worth. For additional (or equivalent formal charge). [Used in: Part punishable by a sentence of at least one year information concerning bond requirements, 1A, Item 11; DRPs] imprisonment and/or a fine of at least $1,000. you should consult your home state’s 4. Client: Any of your firm’s investment The term also includes a general court investment adviser laws or contact your advisory clients. This term includes clients . [Used in: Part 1A, Item 11; DRPs] home state’s securities authority. See Form from which your firm receives no 11. Foreign Financial Regulatory ADV General Instruction 1. compensation, such as members of your Authority: This term includes (1) a foreign family. If your firm also provides other securities authority; (2) another governmental 2. Item 2.H: Financial Planning Services services (e.g., accounting services), this term body or foreign equivalent of a self-regulatory Item 2.H. asks about financial planning does not include clients that are not organization empowered by a foreign services you have provided to your clients. investment advisory clients. [Used government to administer or enforce its laws This question assumes that you have been throughout Form ADV and Form ADV-W] relating to the regulation of investment- providing financial planning services for 5. Control: Control means the power, related activities; and (3) a foreign some time. Your response to this question directly or indirectly, to direct the membership organization, a function of should reflect your current advisory business management or policies of a person, whether which is to regulate the participation of its (i.e., at the time you file your Form ADV). If through ownership of securities, by contract, members in the activities listed above. [Used you are a newly-formed adviser, skip Item or otherwise. in: Part 1A, Items 1, 11; DRPs] 2.H. • Each of your firm’s officers, partners, or 12. Found: This term includes adverse directors exercising executive responsibility final actions, including consent decrees in Custody 3. Item 2.I: (or persons having similar status or functions) which the respondent has neither admitted Item 2.I. asks about practices that you is presumed to control your firm. nor denied the findings, but does not include engage in that may indicate whether you • A person is presumed to control a agreements, deficiency letters, examination have custody of client’s funds or securities. corporation if the person: (i) directly or reports, memoranda of understanding, letters This question assumes that you have been indirectly has the right to vote 25 percent or of caution, admonishments, and similar operating your advisory business for some more of a class of the corporation’s voting informal resolutions of matters. [Used in: time. Your response to this question should securities; or (ii) has the power to sell or Part 1A, Item 11; Part 1B, Item 2] reflect your current advisory business (i.e., at direct the sale of 25 percent or more of a class 13. Government Entity: Any state or the time you file your Form ADV). If you are of the corporation’s voting securities. political subdivision of a state, including (i)

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00020 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57457 any agency, authority, or instrumentality of 20. Managing Agent: A managing agent of that you manage is not a performance-based the state or political subdivision; (ii) a plan an investment adviser is any person, fee. [Used in: Part 1A, Item 5] or pool of assets controlled by the state or including a trustee, who directs or manages 28. Person: A natural person (an political subdivision or any agency, authority (or who participates in directing or individual) or a company. A company or instrumentality thereof; and (iii) any managing) the affairs of any unincorporated includes any partnership, corporation, trust, officer, agent, or employee of the state or organization or association that is not a limited liability company (’’LLC’’), limited political subdivision or any agency, authority partnership. [Used in: General Instructions; liability partnership (‘‘LLP’’), or other or instrumentality thereof, acting in their Form ADV–NR] organization. [Used throughout Form ADV official capacity. [Used in: Part 1A, Item 5] 21. Minor Rule Violation: A violation of a and Form ADV–W] 14. High Net Worth Individual: An self-regulatory organization rule that has been 29. Principal Place of Business or individual with at least $750,000 managed by designated as ‘‘minor’’ pursuant to a plan Principal Office and Place of Business: Your you, or whose net worth your firm reasonably approved by the SEC. A rule violation may firm’s executive office from which your believes exceeds $1,500,000, or who is a be designated as ‘‘minor’’ under a plan if the firm’s officers, partners, or managers direct, ‘‘qualified purchaser’’ as defined in section sanction imposed consists of a fine of $2,500 control, and coordinate the activities of your 2(a)(51)(A) of the Investment Company Act of or less, and if the sanctioned person does not firm. [Used in: Part 1A, Instructions, Items 1 1940. The net worth of an individual may contest the fine. (Check with the appropriate and 2; Schedule D; Form ADV–W, Item 1] include assets held jointly with his or her self-regulatory organization to determine if a 30. Proceeding: This term includes a spouse. [Used in: Part 1A, Item 5] particular rule violation has been designated formal administrative or civil action initiated 15. Home State: If your firm is registered as ‘‘minor’’ for these purposes.) [Used in: Part by a governmental agency, self-regulatory state securities authority, with a your firm’s 1A, Item 11] organization or foreign financial regulatory ‘‘home state’’ is the state where it maintains 22. Misdemeanor: For jurisdictions that do authority; a felony criminal indictment or its principal office and place of business. [Used not differentiate between a felony and a information (or equivalent formal charge); or in: Part 1B, Instructions] misdemeanor, a misdemeanor is an offense a misdemeanor criminal information (or 16. Impersonal Investment Advice: punishable by a sentence of less than one equivalent formal charge). This term does not Investment advisory services that do not year imprisonment and/or a fine of less than include other civil litigation, investigations, purport to meet the objectives or needs of $1,000. The term also includes a special or arrests or similar charges effected in the specific individuals or accounts. [Used in: court martial. [Used in: General Instructions; absence of a formal criminal indictment or Part 1A, Instructions] Part 1A, Item 11; DRPs] 17. Investment-Related: Activities that 23. NASDR CRD or CRD: The Web Central information (or equivalent formal charge). pertain to securities, commodities, banking, Registration Depository (‘‘CRD’’) system [Used in: Part 1A, Item 11; DRPs; Part 1B, insurance, or real estate (including, but not operated by the National Association of Item 2] limited to, acting as or being associated with Securities Dealers Regulation, Inc. 31. Related Person: Any advisory affiliate an investment adviser, broker-dealer, (‘‘NASDR’’) for the registration of broker- and any person that is under common control municipal securities dealer, government dealers and broker-dealer representatives. with your firm. [Used in: Part 1A, Items 7, securities broker or dealer, issuer, investment [Used in: Part 1A, Item 1; Form ADV–W, Item 8, 9; Schedule D; Form ADV–W, Item 3] company, futures sponsor, bank, or savings 1] 32. Self-Regulatory Organization or SRO: association). [Used in: Part 1A, Item 11; 24. Non-Resident: (a) an individual who Any national securities or commodities DRPs; Part 1B, Item 2] resides in any place not subject to the exchange, registered securities association, or 18. Involved: Engaging in any act or jurisdiction of the United States; (b) a registered clearing agency. For example, the omission, aiding, abetting, counseling, corporation incorporated in and having its Chicago Board of Trade (‘‘CBOT’’), National commanding, inducing, conspiring with or principal office and place of business in any Association of Securities Dealers, Inc. failing reasonably to supervise another in place not subject to the jurisdiction of the (‘‘NASD’’) and New York Stock Exchange doing an act. [Used in: Part 1A, Item 11] United States; and (c) a partnership or other (‘‘NYSE’’) are self-regulatory organizations. 19. Management Persons: Anyone with the unincorporated organization or association [Used in: Part 1A, Item 11; DRPs; Part 1B, power to exercise, directly or indirectly, a that has its principal office and place of business Item 2] controlling influence over your firm’s in any place not subject to the jurisdiction of 33. Sponsor: A sponsor of a wrap fee management or policies, or to determine the the United States. [Used in: General program sponsors, organizes, or administers general investment advice given to the clients Instructions; Form ADV–NR] the program or selects, or provides advice to of your firm. 25. Notice Filing: SEC-registered advisers clients regarding the selection of, other Generally, all of the following are may have to provide state securities authorities investment advisers in the program. [Used in: management persons: with copies of documents that are filed with Part 1A, Item 5; Schedule D] • Your firm’s principal executive officers, the SEC. These filings are referred to as 34. State Securities Authority: The such as your chief executive officer, chief ‘‘notice filings.’’ [Used in: General securities commission (or any agency or financial officer, chief operations officer, Instructions; Part 1A, Item 2; Execution office performing like functions) of any state chief legal officer, and chief compliance Page(s); Form ADV–W] of the United States, the District of Columbia, officer; your directors, general partners, or 26. Order: A written directive issued Puerto Rico, the Virgin Islands, or any other trustees; and other individuals with similar pursuant to statutory authority and possession of the United States. [Used status or performing similar functions; procedures, including an order of denial, throughout Form ADV] • The members of your firm’s investment exemption, suspension, or revocation. Unless 35. Wrap Fee Program: Any advisory committee or group that determines general included in an order, this term does not program under which a specified fee or fees investment advice to be given to clients; and include special stipulations, undertakings, or not based directly upon transactions in a • If your firm does not have an investment agreements relating to payments, limitations clients account is charged for investment committee or group, the individuals who on activity or other restrictions. [Used in: advisory services (which may include determine general investment advice Part 1A, Items 2 and 11; Schedule D; DRPs] portfolio management or advice concerning provided to clients (if there are more than 27. Performance-Based Fee: An investment the selection of other investment advisers) five people, you may limit your firm’s advisory fee based on a share of capital gains and the execution of client transactions. [Used response to their supervisors). [Used in: Part on, or capital appreciation of, client assets. A in: Part 1, Item 5; Schedule D] 1B, Item 2] fee that is based upon a percentage of assets BILLING CODE 8010±01±U

VerDate 112000 20:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 57458 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00022 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57459

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00023 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57460 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00024 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57461

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00025 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57462 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00026 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57463

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00027 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57464 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00028 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57465

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00029 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57466 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00030 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57467

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00031 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57468 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00032 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57469

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00033 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57470 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00034 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57471

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00035 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57472 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00036 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57473

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00037 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57474 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00038 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57475

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00039 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57476 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00040 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57477

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00041 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57478 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00042 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57479

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00043 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57480 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00044 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57481

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00045 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57482 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00046 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57483

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00047 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57484 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00048 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57485

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00049 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57486 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00050 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57487

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00051 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57488 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00052 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57489

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00053 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57490 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00054 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57491

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00055 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57492 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00056 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57493

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00057 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57494 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00058 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57495

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00059 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57496 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00060 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57497

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00061 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57498 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00062 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57499

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00063 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57500 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00064 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57501

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00065 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57502 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00066 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57503

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00067 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57504 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00068 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57505

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00069 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57506 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00070 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57507

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00071 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57508 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00072 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57509

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00073 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57510 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00074 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57511

BILLING CODE 8010±01±C

VerDate 112000 20:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00075 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 57512 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

Form ADV (Paper Version); Uniform Form ADV (Paper Version); Uniform inspection as required by law. Finally, I Application for Investment Adviser Application for Investment Adviser authorize any person having custody or Registration Registration possession of these books and records to Domestic Investment Adviser Execution Page State-Registered Investment Adviser make them available to federal and state regulatory representatives. You must complete the following Execution Page Signature: Execution Page to Form ADV. This execution You must complete the following lllllllllllllllllllll page must be signed and attached to your Execution Page to Form ADV. This execution Printed Name: initial application for SEC registration and all page must be signed and attached to your lllllllllllllllllllll amendments to registration. initial application for state registration and all amendments to registration. Adviser CRD Number: Appointment of Agent for Service of Process lllllllllllllllllllll By signing this Form ADV Execution Page, 1. Appointment of Agent for Service of Date: you, the undersigned adviser, irrevocably Process lllllllllllllllllllll appoint the Secretary of State or other legally By signing this form ADV Execution Page, Title: designated officer, of the state in which you you, the undersigned adviser, irrevocably lllllllllllllllllllll are submitting a notice filing, as your agents appoint the legally designated officers and to receive service, and agree that such their successors, of the state in which you Form ADV (Paper Version); Uniform persons may accept service on your behalf, maintain your principal office and place of Application for Investment Adviser of any notice, subpoena, summons, order business and any other state in which you are Registration instituting proceedings, demand for applying for registration or amending your NON-RESIDENT INVESTMENT ADVISER arbitration, or other process or papers, and registration, as your agents to receive service, EXECUTION PAGE 1 you further agree that such service may be and agree that such persons may accept made by registered or certified mail, in any service on your behalf, of any notice, You must complete the following federal or state action, administrative subpoena, summons, order instituting Execution Page to Form ADV. This execution proceeding or arbitration brought against you proceedings, demand for arbitration, or other page must be signed and attached to your in any place subject to the jurisdiction of the process or papers, and you further agree that initial application for SEC registration and all United States, if the action, proceeding or such service may be made by registered or amendments to registration. arbitration (a) arises out of any activity in certified mail, in any federal or state action, 1. Appointment of Agent for Service of connection with your investment advisory administrative proceeding or arbitration Process business that is subject to the jurisdiction of brought against you in any place subject to By signing this Form ADV Execution Page, the United States, and (b) is founded, directly the jurisdiction of the United States, if the or indirectly, upon the provisions of: (i) the action, proceeding or arbitration (a) arises out you, the undersigned adviser, irrevocably Securities Act of 1933, the Securities of any activity in connection with your appoint each of the Secretary of the SEC, and Exchange Act of 1934, the Trust Indenture investment advisory business that is subject the Secretary of State or other legally Act of 1939, the Investment Company Act of to the jurisdiction of the United States, and designated officer, of any other state in which 1940, or the Investment Advisers Act of 1940, (b) is founded, directly or indirectly, upon you are submitting a notice filing, as your or any rule or regulation under any of these the provisions of: (i) The Securities Act of agents to receive service, and agree that such acts, or (ii) the laws of the state in which you 1933, the Securities Exchange Act of 1934, persons may accept service on your behalf, maintain your principal office and place of the Trust Indenture Act of 1939, the of any notice, subpoena, summons, order business or of any state in which you Investment Company Act of 1940, or the instituting proceedings, demand for maintain your principal office and place of Investment Advisers Act of 1940, or any rule arbitration, or other process or papers, and business and any other state in which you are or regulation under any of these acts, or (ii) you further agree that such service may be submitting a notice filing. the laws of the state in which you maintain made by registered or certified mail, in any Signature your principal office and place of business or federal or state action, administrative I, the undersigned, sign this Form ADV on of any state in which you are applying for proceeding or arbitration brought against you behalf of, and with the authority of, the registration, or amending your registration. in any place subject to the jurisdiction of the investment adviser. The investment adviser 2. State-Registered Investment Adviser United States, if the action, proceeding or and I both certify, under penalty of perjury Affidavit arbitration (a) arises out of any activity in connection with your investment advisory under the laws of the United States of If you are subject to state regulation, by business that is subject to the jurisdiction of America, that the information and statements signing this Form ADV, you represent that, the United States, and (b) is founded, directly made in this ADV, including exhibits and you are in compliance with the registration any other information submitted, are true and requirements of the state in which you or indirectly, upon the provisions of: (i) The correct, and that I am signing this Form ADV maintain your principal place of business Securities Act of 1933, the Securities Execution Page as a free and voluntary act. and are in compliance with the bonding, Exchange Act of 1934, the Trust Indenture I certify that investment adviser will, capital, and recordkeeping requirements of Act of 1939, the Investment Company Act of within five days of a state’s request, provide that state. 1940, or the Investment Advisers Act of 1940, to that state a copy of the investment or any rule or regulation under any of these Signature adviser’s Form ADV Part II. acts, or (ii) the laws of any state in which you I certify that the adviser’s books and I, the undersigned, sign this Form ADV on are submitting a notice filing. records will be preserved and available for behalf of, and with the authority of, the 2. Appointment and Consent: Effect on inspection as required by law. Finally, I investment adviser. The investment adviser Partnerships authorize any person having custody or and I both certify, under penalty of perjury possession of these books and records to under the laws of the United States of If you are organized as a partnership, this make them available to federal and state America, that the information and statements irrevocable power of attorney and consent to regulatory representatives. made in this ADV, including exhibits and service of process will continue in effect if Signature: llllllllllllllll any other information submitted, are true and any partner withdraws from or is admitted to Printed Name: llllllllllllll correct, and that I am signing this Form ADV the partnership, provided that the admission Adviser CRD Number: llllllllll Execution Page as a free and voluntary act. or withdrawal does not create a new Date: llllllllllllllllll I certify that the adviser’s books and partnership. If the partnership dissolves, this Title: llllllllllllllllll records will be preserved and available for irrevocable power of

VerDate 112000 20:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00076 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57513 attorney and consent shall be in effect for any versa). Similarly, you would file for partial 5. How should I file my Form ADV–W? action brought against you or any of your withdrawal if you are a state-registered You are required to file Form ADV–W former partners. adviser and are withdrawing from some, but electronically on the IARD. 3. Non-Resident Investment Adviser not all, of the states with which you are In the event you are unable to submit an Undertaking Regarding Books and Records registered (or have an application for electronic filing, you must apply for a registration pending). By signing this Form ADV, you also agree temporary or continuing hardship exemption A full withdrawal is when you are pursuant to rule 203–3. If you can rely on a to provide, at your own expense, to the U.S. withdrawing from all of the jurisdictions Securities and Exchange Commission at its temporary or continuing hardship with which you are registered (or have an principal office in Washington D.C., at any exemption, you must mail one manually application pending). Regional or District Office of the If you are filing for partial withdrawal and signed Form ADV–W and one copy to: IARD Commission, or at any one of its offices in switching from SEC to state registration, you Document Processing, NASD Regulation, the United States, as specified by the must complete the Status Section, Items 1A Inc., P.O. Box 9495, Gaithersburg, MD Commission, correct, current, and complete through 1D, and the Execution Section. You 20898–9495. copies of any or all records that you are do not need to complete Items 1E through 8 Whether you file on the IARD or are required to maintain under Rule 204–2 under of Form ADV–W. permitted to submit paper filings, you must the Investment Advisers Act of 1940. This If you are filing for partial withdrawal and preserve in your records a copy of the Form undertaking shall be binding upon you, your switching from state to SEC registration, you ADV–W that you file with the SEC. heirs, successors and assigns, and any person must complete the entire Form ADV–W. 6. What are the Schedules to Form ADV– subject to your written irrevocable consents If you are registered only with the state or powers of attorney or any of your general W? securities authorities and withdrawing from partners and managing agents. Form ADV–W contains two Schedules, some, but not all, of the states where you are Schedule W1 and W2. Your answers to Form Signature registered, you must complete the entire ADV–W will determine whether you are I, the undersigned, sign this Form ADV on Form ADV–W. required to complete both Schedules, or only If you are filing for full withdrawal, you behalf of, and with the authority of, the non- Schedule W1. must complete the entire Form ADV–W. resident investment adviser. The investment Schedule W1 is a ‘‘continuing page’’ for adviser and I both certify, under penalty of 2. We are going out of business. Does this Item 5 and a ‘‘response page’’ for Item 8. The perjury under the laws of the United States change how we would answer particular names of individuals listed on Schedule W1 of America, that the information and questions on the Form ADV–W? must be given in full. If you have assigned statements made in this ADV, including Yes. The purpose of Item 1D is so that we exhibits and any other information can contact you if the Form ADV–W is advisory contracts to another person (as submitted, are true and correct, and that I am deficient or if we have questions. If you are indicated on Item 5 of Form ADV–W), you signing this Form ADV Execution Page as a going out of business, make sure you list in must complete Section 5 of Schedule W1. If free and voluntary act. Item 1D an address and phone number at you are filing for full withdrawal or you are I certify that the adviser’s books and which we can reach the contact employee. a state-registered investment adviser, you records will be preserved and available for 3. I am filing for partial withdrawal. How must provide the name of each person who inspection as required by law. Finally, I do I complete Item 2? has or will have custody or possession of authorize any person having custody or If you are ceasing advisory business in any your books and records, and each location possession of these books and records to of the jurisdictions from which you are where the records are or will be kept (Item make them available to federal and state withdrawing, check ‘‘yes.’’ On the next line, 8). You may have to complete multiple regulatory representatives. provide the date on which you are ceasing Schedule W1s, depending on the number of advisory business in these jurisdictions Signature: llllllllllllllll persons who have or will have custody or (however, if you cease conducting advisory Date: llllllllllllllllll possession of your books and records and/or llllllllllllll business on different dates in different Printed Name: the number of locations where your records llllllllllllllllll jurisdictions, you must complete a separate Title: are or will be kept. Instruction number seven, Adviser CRD Number: llllllllll Form ADV–W for each different date). The date you provide in this blank must be on or below, provides several examples that should APPENDIX B before the date you file Form ADV–W. Then, help you properly respond to Item 8 to Form provide the reasons you are filing for ADV–W. Form ADV–W (Paper Version); Notice of Schedule W2 requires basic financial Withdrawal From Registration as an withdrawal (regardless of whether you are information relating to your investment Investment Adviser filing for partial or complete withdrawal). You are permitted to ‘‘post-date’’ the Form advisory business. If you check ‘‘yes’’ to Instructions for Form ADV–W ADV–W to December 31 anytime between Items 3, 4, or 6, you are required to complete NOTE: Unless the context clearly indicates November 1 and December 31. You are Schedule W2. otherwise, all terms used in the Form have permitted to enter a cease date of December 7. Questions about Item 8. The following the same meaning as in the Investment 31 to avoid being charged state renewal fees examples are intended to assist you in Advisers Act of 1940 and in the General in jurisdictions form which you are completing Section 8 of Schedule W1 for any Rules and Regulations of the Commission withdrawing (the IARD does not operate persons who have or will have custody of thereunder (17 Code of Federal Regulations during the last week of each year and you are your books and records, and the location(s) 275). unable to make any filings during that time). at which those records are or will be kept. However, you cannot enter any date other 1. We would like to withdraw from a. After I withdraw from registration, two than December 31, and you can only enter a registration as an investment adviser. What persons (Persons A and B) will have custody do we need to do? December 31 cease date after November 1. of my books and records, but my books and You must determine whether you are filing 4. I have completed Form ADV–W and records will be kept at a single location. How for partial withdrawal or full withdrawal. filed it with the SEC. When will it become should I complete the Schedule W1? A partial withdrawal is when you are effective? withdrawing from investment adviser Your Form ADV–W will become effective You would complete two Schedules W1. registration with some, but not all, of the when it is filed with the SEC. However, your The first would list Person A, and the jurisdictions where you are registered (or Form ADV–W will not be deemed ‘‘filed’’ location at which your books and records have an application for registration pending). until the SEC receives it and determines that will be kept. You would complete a second For example, you would file for partial it is not deficient. The effective date of a Schedule W1 that would list Person B, and withdrawal if you are switching from state Form ADV–W filed with the state securities would list (again) the location at which your registration to SEC registration (or vice authorities may be different. books and records will be kept.

VerDate 112000 20:06 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00077 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm01 PsN: 22SER2 57514 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

b. After I withdraw from registration, only Copies of the Form ADV–W you file with SEC’s COLLECTION OF INFORMATION. one person will have custody of my books the SEC must be executed by a person you An agency may not conduct or sponsor, and and records, but they will be kept at three have authorized to file the Form. If you are a person is not required to respond to, a locations (Locations X, Y and Z). How should a sole proprietor, you must sign the Form; if collection of information unless it displays a I complete the Schedule W1? you are a partnership, a general partner must currently valid control number. Section You would complete three Schedules W1. sign the Form in the name of the partnership; 203(h) of the Advisers Act authorizes the The first would list the person that will have if you are an unincorporated organization or Commission to collect the information on custody of your books and records, and association that is not a partnership, the this Form from applicants. See 15 U.S.C. Location X. The second Schedule W1 would managing agent (an authorized person who §§ 80b–3(h). Filing of this Form is mandatory list (again) the person that has or will have directs or manages or who participates in the for an investment adviser to withdraw from custody of your books and records, and directing or managing of its affairs) must sign registration. The principal purpose of this Location Y. The third Schedule W1 would the Form in the name of the organization or collection of information is to enable the association; if you are a corporation, a list (again) the person that has or will have Commission to verify that the activities of an principal officer duly authorized must sign custody of your books and records, and investment adviser seeking to withdraw from the Form in the name of the corporation. If Location Z. registration do not require the investment an officer of any entity is signing the Form, c. After I withdraw from registration, two adviser to be registered and to determine the officer’s title must be given. whether terms and conditions should be people (Persons A and B) will have custody 9. What if I need more space to provide imposed upon a registrant’s withdrawal. The of my books and records, and my books and additional information? records will be kept at two locations If you are electronically, add any Commission will maintain files of the (Locations Y and Z). Each person would have additional information in the text box asking information on Form ADV–W, and will make custody of the books and records that are you to ‘‘describe the books and records kept the information publicly available. Any kept at both locations. how should I complete at this location.’’ If you are filing on paper, member of the public may direct to the the Schedule W1? use the reverse side of Schedule W1 to Commission any comments concerning the You would complete four Schedule W1. provide any additional information. accuracy of the burden estimate on page one The first would list Person A and Location 10. What if I do not follow these of Form ADV–W, and any suggestions for Y. The second Schedule W1 would list instructions when completing the Form reducing this burden. This collection of (again) Person A, and would list location Z. ADV–W? information has been reviewed by the Office The third Schedule W1 would list Person B If you do not prepare and execute the Form of Management and Budget in accordance and Location Y, and fourth Schedule W1 ADV–W as required by these instructions, with the clearance requirements of 44 U.S.C. would list Person B and Location Z. On each SEC staff may return the form to you for § 3507. The applicable Privacy Act system of Schedule W1, you should briefly describe the correction. The SEC’s acceptance of the records is SEC–2, and the routine uses of the records that are kept at each location (e.g., Form, however, is not a finding that you have records are set forth at 40 Federal Register business and trading records from 1996 filed the Form ADV–W as required or that the 39255 (Aug. 27, 1975) and 41 FR 5318 (Feb. through 1999). information submitted is true, correct or 5, 1976). 8. Who should sign the Form ADV–W complete. BILLING CODE 8010±01±U

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00078 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57515

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00079 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57516 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00080 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57517

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00081 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57518 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00082 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57519

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00083 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57520 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00084 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57521

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00085 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57522 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00086 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations 57523

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00087 Fmt 4701 Sfmt 4725 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 57524 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Rules and Regulations

[FR Doc. 00–23888 Filed 9–21–00; 8:45 am] BILLING CODE 8010±01±U

VerDate 112000 18:28 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00088 Fmt 4701 Sfmt 4700 E:\FR\FM\22SER2.SGM pfrm03 PsN: 22SER2 Friday, September 22, 2000

Part III

Department of Housing and Urban Development Statutorily Mandated Designation of Difficult Development Areas for Section 42 of the Internal Revenue Code of 1986; Notice

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 57526 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

DEPARTMENT OF HOUSING AND Census tracts published on June 25, either 20 percent of units must be rent- URBAN DEVELOPMENT 1998 (63 FR 34748), December 9, 1998 restricted and occupied by tenants with (63 FR 68115) and September 15, 1999 incomes no higher than 50 percent of [Docket No. FR±4401±N±04] (64 FR 50233) are not affected by this the Area Median Gross Income Statutorily Mandated Designation of notice. (‘‘AMGI’’), or 40 percent of units must be rent restricted and occupied by Difficult Development Areas for Background tenants with incomes no higher than 60 Section 42 of the Internal Revenue The U.S. Treasury Department and Code of 1986 percent of AMGI. The term ‘‘rent- the Internal Revenue Service (‘‘IRS’’) restricted’’ means that gross rent, AGENCY: Office of the Secretary, HUD. thereof are authorized to interpret and including an allowance for utilities, enforce the provisions of the Internal ACTION: Notice. cannot exceed 30 percent of the tenant’s Revenue Code of 1986 (the ‘‘Code’’), imputed income limitation (i.e., 50 SUMMARY: This document designates including the Low-Income Housing Tax percent or 60 percent of AMGI). The ‘‘Difficult Development Areas’’ for Credit (’’LIHTC’’) found at section 42 of rent and occupancy thresholds remain purposes of the Low-Income Housing the Code (26 U.S.C. 42) as amended. in effect for at least 15 years, and Tax Credit (‘‘LIHTC’’) under section 42 The Secretary of HUD is required to building owners are required to enter of the Internal Revenue Code of 1986 designate Difficult Development Areas into agreements to maintain the low (‘‘the Code’’). The United States by section 42(d)(5)(C) of the Code. income character of the building for at Department of Housing and Urban In order to assist in understanding least an additional 15 years. Development (‘‘HUD’’) makes new HUD’s mandated designation of The LIHTC reduces income tax Difficult Development Area Difficult Development Areas for use in liability dollar for dollar. It is taken designations annually. administering section 42 of the Code, a annually for a term of ten years and is summary of section 42 is provided. The FOR FURTHER INFORMATION CONTACT: intended to yield a present value of For following summary does not purport to questions on how areas are designated either (1) 70 percent of the ‘‘qualified bind the Treasury or the IRS in any way, basis’’ for new construction or and on geographic definitions: Steven nor does it purport to bind HUD, as Ehrlich, Economist, Division of substantial rehabilitation expenditures HUD has no authority to interpret or that are not federally subsidized (i.e., Economic Development and Public administer the Code, except in those Finance, Office of Policy Development financed with tax-exempt bonds or instances where it has a specific below-market federal loans), or (2) 30 and Research, Department of Housing delegation. percent of the qualified basis for the cost and Urban Development, 451 Seventh of acquiring certain existing projects or Street, S.W., Washington, D.C. 20410, Summary of Low Income Housing Tax projects that are federally subsidized. telephone (202) 708–0426, e-mail Credit The actual credit rates are adjusted [email protected]. For The LIHTC is a tax incentive intended monthly for projects placed in service specific legal questions pertaining to to increase the availability of low- after 1987 under procedures specified in section 42 and this notice: Harold J. income housing. Section 42 provides an section 42. Individuals can use the Gross, Senior Tax Attorney, Office of the income tax credit to owners of newly credit up to a deduction equivalent of General Counsel, Department of constructed or substantially $25,000. This equals $9,900 at the 39.6 Housing and Urban Development, 451 rehabilitated low-income rental housing percent maximum marginal tax rate. Seventh Street, S.W., Washington, D.C. projects. The dollar amount of the Individuals cannot use the credit against 20410, telephone (202) 708–3260, e-mail LIHTC available for allocation by each _ the alternative minimum tax. JERRY [email protected]. A text state (the ‘‘credit ceiling’’) is limited by Corporations, other than S or personal telephone is available for persons with population. Each state is allocated credit service corporations, can use the credit hearing or speech impairments at (202) based on $1.25 per resident. States may against ordinary income tax. They 708–9300. (These are not toll-free carry forward unused or returned credit cannot use the credit against the telephone numbers.) Additional copies derived from the credit ceiling for one alternative minimum tax. These of this notice are available through HUD year; if not used by then, credit goes corporations can also deduct the losses User at (800) 245–2691 for a small fee into a national pool to be allocated to from the project. to cover duplication and mailing costs. states as additional credit. State and The qualified basis represents the Copies Available Electronically: This local housing agencies allocate the product of the ‘‘applicable fraction’’ of notice and additional information about state’s credit ceiling among low-income the building and the ‘‘eligible basis’’ of Difficult Development Areas and housing buildings whose owners have the building. The applicable fraction is Qualified Census Tracts are available applied for the credit. Besides Section based on the number of low income electronically on the Internet (World 42 credits derived from the credit units in the building as a percentage of Wide Web) at http://www.huduser.org/ ceiling, States may also provide Section the total number of units, or based on datasets/qct.html. 42 credits to owners of buildings based the floor space of low income units as SUPPLEMENTARY INFORMATION: upon the percentage of certain building a percentage of the total floor space of costs financed by tax-exempt bond residential units in the building. The This Document proceeds. Credits provided under the eligible basis is the adjusted basis The designations of Difficult tax-exempt bond ‘‘volume cap’’ do not attributable to acquisition, Development Areas in this notice are reduce the credit available from the rehabilitation, or new construction costs based on fiscal year (‘‘FY’’) 2000 Fair credit ceiling. (depending on the type of LIHTC Market Rents (‘‘FMRs’’), FY 2000 The credit allocated to a building is involved). These costs include amounts income limits and 1990 census based on the cost of units placed in chargeable to capital account incurred population counts as explained below. service as low-income units under prior to the end of the first taxable year The corrected designations of Qualified certain minimum occupancy and in which the qualified low income Census Tracts published on May 1, 1995 maximum rent criteria. In general, a building is placed in service or, at the (60 FR 21246), as amended by the building must meet one of two election of the taxpayer, the end of the supplemental designations of Qualified thresholds to be eligible for the LIHTC: succeeding taxable year. In the case of

VerDate 112000 18:10 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4701 Sfmt 4703 E:\FR\FM\22SEN2.SGM pfrm08 PsN: 22SEN2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57527 buildings located in designated B. Application of Population Caps to for statistical purposes * * * OMB does not Qualified Census Tracts or designated Difficult Development Area take into account or attempt to anticipate any Difficult Development Areas, eligible Determinations nonstatistical uses that may be made of the definitions. * * * We recognize that some basis can be increased up to 130 percent In identifying Difficult Development legislation specifies the use of metropolitan of what it would otherwise be. This Areas and Qualified Census Tracts, areas for programmatic purposes, including means that the available credit also can HUD applied various caps, or allocating Federal funds. be increased by up to 30 percent. For limitations, as noted above. The HUD makes exceptions to OMB example, if the 70 percent credit is cumulative population of metropolitan definitions in calculating FMRs by available, it effectively could be Difficult Development Areas cannot deleting counties from metropolitan increased up to 91 percent. exceed 20 percent of the cumulative areas whose OMB definitions are Section 42 of the Code defines a population of all metropolitan areas and determined by HUD to be larger than Difficult Development Area as any area the cumulative population of their housing market areas. designated by the Secretary of HUD as nonmetropolitan Difficult Development The following counties are assigned an area that has high construction, land, Areas cannot exceed 20 percent of the their own FMRs and VLILs and and utility costs relative to the AMGI. cumulative population of all evaluated as if they were separate All designated Difficult Development nonmetropolitan counties. metropolitan areas for purposes of Areas in MSAs/PMSAs may not contain In applying these caps, HUD designating Difficult Development more than 20 percent of the aggregate established procedures to deal with how Areas. population of all MSAs/PMSAs, and all to treat small overruns of the caps. The designated areas not in metropolitan remainder of this section explains the Metropolitan Area and Counties Deleted areas may not contain more than 20 procedure. In general, HUD stops Chicago, IL: DeKalb, Grundy, and percent of the aggregate population of selecting areas when it is impossible to Kendall Counties. all non-metropolitan counties. choose another area without exceeding Cincinnati-Hamilton, OH–KY–IN: Explanation of HUD Designation the applicable cap. The only exceptions Brown County, Ohio; Gallatin, Grant, Methodology to this policy are when the next eligible and Pendleton Counties, Kentucky; and excluded area contains either a large Ohio County, Indiana. A. Difficult Development Areas absolute population or a large Dallas, TX: Henderson County. percentage of the total population, or Flagstaff, AZ–UT: Kane County, Utah. In developing the list of Difficult New Orleans, LA: St. James Parish. Development Areas, HUD compared the next excluded area’s ranking ratio as Washington, DC–MD–VA–WV: Clarke, incomes with housing costs. HUD used described above was identical (to four Culpeper, King George, and Warren 1990 Census data and the MSA/PMSA decimal places) to the last area selected, Counties, Virginia; and Berkely and definitions as published by the Office of and its inclusion resulted in only a Jefferson Counties, West Virginia. Management and Budget in OMB minor overrun of the cap. Thus for both Affected MSAs/PMSAs are assigned Bulletin No. 99–04 on June 30, 1999, the designated metropolitan and the indicator ‘‘(part)’’ in the list of with the exceptions described in section nonmetropolitan Difficult Development Metropolitan Difficult Development C., below. The basis for these Areas there may be a minimal overrun Areas. Any of the excluded counties comparisons was the FY 2000 HUD of the cap. HUD believes the designation designated as difficult development income limits for Very Low Income of these additional areas is consistent areas separately from their metropolitan households and Fair Market Rents with the intent of the legislation. Some areas are designated by the county (‘‘FMRs’’) used for the section 8 Housing latitude is justifiable because it is name. Assistance Payments Program. The impossible to determine whether the 20 Finally, in the New England states procedure used in making these percent cap has been exceeded, as long (Connecticut, Maine, Massachusetts, calculations follows: as the apparent excess is small, due to New Hampshire, Rhode Island, and 1. For each MSA/PMSA and each measurement error. Despite the care and Vermont) OMB defines MSAs/PMSAs non-metropolitan county, a ratio was effort involved in a decennial census, it according to county subdivisions or calculated. This calculation used the FY is recognized by the Census Bureau, and Minor Civil Divisions (‘‘MCDs’’) rather 2000 two-bedroom FMR and the FY all users of the data, that the population than county boundaries. Thus, when a 2000 four-person VLIL. The numerator counts for a given area and for the entire New England county is designated as a of the ratio was the area’s FY 2000 FMR. country are not precise. The extent of Nonmetropolitan Difficult Development The denominator of the ratio was the the measurement error is unknown. Area, only that part of the county (the monthly LIHTC income-based rent limit Thus, there can be errors in both the group of MCDs) not included in any calculated as 1⁄12 of 30 percent of 120 numerator and denominator of the ratio MSA/PMSA is the Nonmetropolitan percent of the area’s VLIL (where 120 of populations used in applying a 20 Difficult Development Area. Affected percent of the VLIL was rounded to the percent cap. In circumstances where a counties are assigned the indicator nearest $50 and not allowed to exceed strict application of a 20 percent cap ‘‘(part)’’ in the list of Nonmetropolitan 80 percent of the AMGI in areas where results in an anomalous situation, Difficult Development Areas. the VLIL is adjusted upward from its 50 recognition of the unavoidable For the convenience of readers of this percent of AMGI base). imprecision in the census data justifies notice, the geographic definitions of 2. The ratios of the FMR to the LIHTC accepting small variances above the 20 designated Metropolitan Difficult income-based rent limit were arrayed in percent limit. Development Areas and the MCDs descending order, separately, for MSAs/ C. Exceptions to OMB Definitions of included in Nonmetropolitan Difficult PMSAs and for non-metropolitan MSAs/PMSAs and Other Geographic Development Areas in the New England counties. Matters states are included in the list of Difficult 3. The Difficult Development Areas Development Areas. are those with the highest ratios As stated in OMB Bulletin 99–04 cumulative to 20 percent of the 1990 defining metropolitan areas: Future Designations population of all metropolitan areas and OMB establishes and maintains the Difficult Development Areas are of all non-metropolitan counties. definitions of the [Metropolitan Areas] solely designated annually as updated income

VerDate 112000 18:10 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4701 Sfmt 4703 E:\FR\FM\22SEN2.SGM pfrm08 PsN: 22SEN2 57528 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices and FMR data become available. the increase in basis otherwise accorded building sites. Therefore, this notice is Qualified Census Tracts will not be a project in this location because the categorically excluded from the redesignated until data from the 2000 bonds were issued BEFORE January 1, requirements of the National census become available unless changes 2001. Environmental Policy Act (42 U.S.C. in MSA/PMSA definitions are made by (Case B) Project ‘‘B’’ is located in a 4321 et seq.). OMB in the interim. newly-designated 2001 Difficult Development Area. Project ‘‘B’’ is Regulatory Flexibility Act Effective Date placed in service November 15, 2000. The Secretary, in accordance with the The list of Difficult Development The bonds which will support the Regulatory Flexibility Act (5 U.S.C. Areas and the supplemental list of permanent financing of Project ‘‘B’’ are 605(b)), has reviewed and approved this Qualified Census Tracts is effective for issued January 15, 2001. Project ‘‘B’’ IS notice and in so doing certifies that this allocations of credit made after NOT eligible for the increase in basis notice will not have a significant December 31, 2000. In the case of a otherwise accorded a project in this economic impact on a substantial building described in section 42(h)(4)(B) location because the project was placed number of small entities. The notice of the Code, the list is effective if the in service BEFORE January 1, 2001. involves the designation of ‘‘Difficult bonds are issued and the building is (Case C) Project ‘‘C’’ is located in an Development Areas’’ as required by placed in service after December 31, area which is a Difficult Development section 42 of the Code, as amended, for 2000. The corrected designations of Area in 2000, but IS NOT a Difficult use by political subdivisions of the Qualified Census Tracts published on Development Area in 2001. Bonds are States in allocating the LIHTC. This May 1, 1995 (60 FR 21246), as amended issued for Project ‘‘C’’ on October 30, notice places no new requirements on 2000, but Project ‘‘C’’ is not placed in by the supplemental designations of small entities. Qualified Census tracts published on service until March 30, 2001. Project ‘‘C’’ is eligible for the increase in basis Executive Order 13132, Federalism June 25, 1998 (63 FR 34748), December Executive Order 13132 (entitled 9, 1998 (63 FR 68115), and September available to projects located in 2000 Difficult Development Areas because ‘‘Federalism’’) prohibits, to the extent 15, 1999 (64 FR 50233) are not affected practicable and permitted by law, an by this notice. the first of the two events necessary for triggering the effective date for buildings agency from promulgating policies that Interpretive Examples for Effective Date described in section 42(h)(4)(B) of the have federalism implications and either Code (the two events being bonds issued impose substantial direct compliance For the convenience of readers of this costs on State and local governments notice, interpretive examples are and buildings placed in service) took place on October 30, 2000, a time when and are not required by statute, or provided below to illustrate the preempt State law, unless the relevant consequences of the effective date in project ‘‘C’’ was located in a Difficult Development Area. requirements of section 6 of the areas that gain or lose Difficult Executive Order are met. This notice Development Area status with respect to Findings and Certifications does not have federalism implications projects described in section 42(h)(4)(B) Environmental Impact and does not impose substantial direct of the Code. The examples are equally compliance costs on State and local applicable to Qualified Census Tract In accordance with 24 CFR 50.19(c)(6) governments or preempt State law designations. of the Department’s regulations, the within the meaning of the Executive (Case A) Project ‘‘A’’ is located in a policies and procedures contained in Order. newly-designated 2001 Difficult this notice provide for the establishment Development Area. Bonds are issued for of fiscal requirements or procedures Dated: September 15, 2000. Project ‘‘A’’ on November 1, 2000, and which do not constitute a development Andrew Cuomo, Project ‘‘A’’ is placed in service March decision that affects the physical Secretary. 1, 2001. Project ‘‘A’’ IS NOT eligible for condition of specific project areas or BILLING CODE 4210±62±P

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4701 Sfmt 4703 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57529

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00005 Fmt 4701 Sfmt 4725 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 57530 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00006 Fmt 4701 Sfmt 4725 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57531

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00007 Fmt 4701 Sfmt 4725 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 57532 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00008 Fmt 4701 Sfmt 4725 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57533

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00009 Fmt 4701 Sfmt 4725 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 57534 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00010 Fmt 4701 Sfmt 4725 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Notices 57535

[FR Doc. 00–24286 Filed 9–21–00; 8:45 am] BILLING CODE 4210±62±C

VerDate 112000 14:52 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00011 Fmt 4701 Sfmt 4703 E:\FR\FM\22SEN2.SGM pfrm04 PsN: 22SEN2 i

Reader Aids Federal Register Vol. 65, No. 185 Friday, September 22, 2000

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING SEPTEMBER

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202±523±5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 523±5227 3 CFR 245...... 53889 Presidential Documents Administrative Orders: 9 CFR Executive orders and proclamations 523±5227 Memorandums: 94...... 56774 September 11, 2000...... 56209 The United States Government Manual 523±5227 98...... 56775 Presidential Determinations: 318...... 53531 Presidential Other Services 381...... 53531 Determination No. Proposed Rules: Electronic and on-line services (voice) 523±4534 99±36 of September 71...... 57106 Privacy Act Compilation 523±3187 10, 1999 75...... 56807 Public Laws Update Service (numbers, dates, etc.) 523±6641 (see Presidential 85...... 57106 TTY for the deaf-and-hard-of-hearing 523±5229 Determination No. 206...... 53653 2000±29 of 317...... 56262 September 12, 2000) ELECTRONIC RESEARCH 381...... 56262 No. 00±29 of 390...... 56503 World Wide Web September 12, 2000 ...... 55883 10 CFR Full text of the daily Federal Register, CFR and other Proclamations: publications: 1...... 54948 7336...... 53887 2...... 54948 http://www.access.gpo.gov/nara 7337...... 54397 19...... 54948 Federal Register information and research tools, including Public 7338...... 56457 30...... 54948 Inspection List, indexes, and links to GPO Access: 7339...... 56459 40...... 54948 7340...... 56761 50...... 54948 http://www.nara.gov/fedreg 7341...... 56767 51...... 54948 E-mail 7342...... 56769 70...... 54948, 56211 7343...... 56771 72...... 53533 PENS (Public Law Electronic Notification Service) is an E-mail Executive Orders: 430...... 56740 service for notification of recently enacted Public Laws. To 5327 (Revoked in part subscribe, send E-mail to by PLO 7461)...... 54297 12 CFR [email protected] 13147 (Amended by 612...... 54742 with the text message: EO 13167)...... 57079 614...... 54742 13167...... 57079 702...... 55439 subscribe PUBLAWS-L your name 709...... 55439 Use [email protected] only to subscribe or unsubscribe to 5 CFR 747...... 57277 PENS. We cannot respond to specific inquiries. 532...... 55431 1710...... 55169 2635...... 55076 Reference questions. Send questions and comments about the Proposed Rules: Federal Register system to: Proposed Rules: 32...... 57292 2635...... 53650 741...... 55464 [email protected] 2640...... 53942 The Federal Register staff cannot interpret specific documents or 13 CFR 7 CFR regulations. 121...... 53533 246...... 53523 301 ...... 53528, 54139, 54741, 14 CFR FEDERAL REGISTER PAGES AND DATE, SEPTEMBER 54943, 55431 23...... 55848, 56779 53157±53522...... 1 457...... 56773 25...... 55443, 55848 53523±53888...... 5 905...... 55885 33...... 55848 920...... 54945 53889±54138...... 6 39 ...... 53157, 53158, 53161, 927...... 53531 53897, 54140, 54143, 54145, 54139±54396...... 7 929...... 55436 54403, 54407, 54409, 54743, 54397±54740...... 8 944...... 54945 55175, 55449, 55450, 55452, 54741±54942...... 11 1735...... 54399 55453, 55457, 55891, 56231, 54943±55168...... 12 Proposed Rules: 56233, 56236, 56780, 56783, 55169±55430...... 13 226...... 55102 56785, 57280, 57282 55431±55884...... 14 319...... 56803 71 ...... 53558, 54950, 54952, 55885±56208...... 15 932...... 54818 54953, 55076, 56239, 56240, 56209±56456...... 18 983...... 53652 56466, 56468, 56788, 57081, 56457±56772...... 19 1218...... 57104 57285 56773±57080...... 20 1940...... 55784 95...... 54744 57081±57276...... 21 1945...... 54973 97 ...... 55458, 57081, 57087 121...... 56192 57277±57536...... 22 8 CFR 125...... 56192 204...... 53889 135...... 56192 214...... 56463 145...... 56192

VerDate 11-MAY-2000 19:38 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4712 Sfmt 4712 E:\FR\FM\22SECU.LOC pfrm11 PsN: 22SECU ii Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Reader Aids

400...... 56618 171...... 53565 4044...... 55894 19...... 55461 401...... 56618 172...... 53565 Proposed Rules: 21...... 55192 404...... 56618 178...... 56788 5...... 57270 405...... 56618 39 CFR 406...... 56618 20 CFR 30 CFR 20...... 55462, 56242 413...... 56618 404...... 54747 218...... 55187 Proposed Rules: 415...... 56618 416...... 54747 917...... 53909 111...... 53212, 56511 431...... 56618 655...... 57092 931...... 54791 40 CFR 433...... 56618 Proposed Rules: 435...... 56618 21 CFR 218...... 55476 9...... 55810 450...... 56670 7...... 56468 256...... 55476 51...... 56245 Proposed Rules: 10...... 56468 260...... 55476 52 ...... 53172, 53180, 53181, 23...... 56809 14...... 56468 943...... 54982 53595, 53599, 53602, 54413, 25...... 56992 19...... 56468 55193, 55196, 55201, 55910, 31 CFR 39 ...... 53199, 53201, 53203, 25...... 56468 56251, 56486, 56794, 56797 53205, 53206, 54182, 54184, 101...... 54686, 56468 1...... 56792 60...... 56798 54445, 54820, 54823, 54981, 107...... 56468 202...... 55427 62...... 53605 55466, 55468, 55470, 56264, 110...... 56468 203...... 55428 63 ...... 54419, 55810, 56798 56266, 56268, 56270, 56273, 114...... 56468 225...... 55429 80...... 53185, 54423 56275, 56276, 56506, 56507, 170...... 56468 344...... 55400 180 ...... 55911, 55921, 56253 260...... 56798 56509, 56811, 56814, 56817, 203...... 56480 380...... 55426 261...... 54955, 56798 56819, 57113, 57296, 57298 205...... 56480 32 CFR 264...... 56798 71 ...... 54824, 54825, 57116, 310...... 56468 265...... 567980 57300 312...... 56468 311...... 53168 266...... 56798 91...... 56992 701...... 53171 314...... 56468 270...... 56798 121...... 56992 316...... 56468 736...... 53589 762...... 53171 271...... 56798, 57287 125...... 56992 500...... 56468 300...... 56258 135...... 56992 510...... 54147, 55460 765...... 53171 Proposed Rules: 514...... 56468 770...... 53591 15 CFR Proposed Rules: 50...... 54828 520...... 53581 51...... 56844 738...... 55177 573...... 53167 326...... 53902 651...... 54348 52 ...... 53214, 53680, 53962, 742...... 55177 558 ...... 53581, 53582, 53583, 54820, 55205, 56278, 56284, 746...... 55177 54147, 54410, 54411, 55883 33 CFR 56856, 57127 774...... 55177 601...... 56468 62...... 53680 960...... 56241 803...... 56468 100...... 54150, 56484 117 ...... 54795, 54954, 56484, 63 ...... 55332, 55489, 55491 Proposed Rules: 814...... 56468 56793 80...... 53215, 54447 801...... 57117, 57119 860...... 56468 162...... 53593 81...... 54828 806...... 57121, 57123 Proposed Rules: 165 ...... 54152, 54153, 54795, 85...... 56844 101...... 56835 54797, 56484 141...... 55362 16 CFR 201...... 56511 167...... 53911 146...... 53218 868...... 57301 305...... 53163, 53165 401...... 56488 148...... 55684 1000...... 53167 896...... 57303 152...... 55929 Proposed Rules: 174...... 55929 Proposed Rules: 26...... 56843 22 CFR 260...... 56287 313...... 54186 161...... 56843 22...... 54148 261...... 55684, 56287 436...... 53946 165...... 56843 40...... 54412 268...... 55684, 56287 17 CFR 42...... 54412 34 CFR 271 ...... 55684, 56287, 56288, 57307 146...... 53559 203...... 54790 3...... 57286 300...... 54190, 56288 200...... 55180, 57438 19...... 57286 24 CFR 302...... 55684 240...... 53560 Proposed Rules: 5...... 55134 372...... 53681 275...... 57438 303...... 53808 279...... 57438 401...... 53899 41 CFR Proposed Rules: 903...... 55134 36 CFR 101-16...... 54965 30...... 53946 982...... 55134 51...... 54155 102-5...... 54965 210...... 54189 25 CFR 242...... 55190 Ch. 301 ...... 53470 240...... 54189 1010...... 55896 Proposed Rules: Proposed Rules: 42 CFR 18 CFR 103...... 53948 7...... 53208 36...... 53914 292...... 55471 385...... 57088 293...... 54190 36a...... 53914 Proposed Rules: 26 CFR 800...... 55928 447...... 55076 1304...... 56821 457...... 55076 1 ...... 53584, 53901, 57092 37 CFR Proposed Rules: 19 CFR 25...... 53587 Ch. 1 ...... 56791 52h...... 57132 602 ...... 53584, 56484, 57092 4...... 56788 1 ...... 54604, 56366, 56791, 405...... 53963 10...... 53565 Proposed Rules: 57024 410...... 55078 12...... 53565 1...... 56835 3...... 54604 414...... 55078 18...... 53565 5...... 54604, 57024 24...... 53565, 56790 28 CFR 10...... 54604 43 CFR 111...... 53565 Proposed Rules: Proposed Rules: Proposed Rules: 113...... 53565 16...... 53679 201...... 54984 3600...... 55864 114...... 53565 545...... 56840 256...... 54984 3610...... 55864 125...... 53565 550...... 56840, 57126 401...... 54826 3620...... 55864 134...... 53565 145...... 53565 29 CFR 38 CFR 44 CFR 162...... 53565 4022...... 55894 8...... 54798 Ch. I ...... 53914

VerDate 11-MAY-2000 19:38 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4712 Sfmt 4712 E:\FR\FM\22SECU.LOC pfrm11 PsN: 22SECU Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Reader Aids iii

65...... 53915 53640, 54176, 54804, 54805, Proposed Rules: 50 CFR 55924, 55925, 55926, 56799, 2...... 54940 67...... 53917 17...... 54177, 57242 295...... 53914 56800 13...... 54936 20 ...... 53190, 53492, 53936 Proposed Rules: 74...... 53610, 54155 22...... 54104 25...... 56396 67...... 53964 76...... 53610 25...... 54936 78...... 54155 31...... 54940 32...... 56396 45 CFR 79 ...... 54176, 54805, 56801 32...... 56454 100...... 55190 35...... 54940 2543...... 53608 90...... 53641 300...... 54969 95...... 53190 52 ...... 54104, 54936, 56454 600...... 53646 46 CFR 100...... 53610 204...... 54985 622 ...... 55203, 56500, 56801 101...... 54155 213...... 56858 Proposed Rules: 635...... 54970 Proposed Rules: 442...... 54986 401...... 55206 1811...... 56859 648 ...... 53648, 53940, 55926 20...... 56752, 56757 660 ...... 53646, 53648, 54178, 47 CFR 27...... 57266 49 CFR 54817, 56801 73 ...... 53690, 53973, 53974, Ch. I ...... 55923 192...... 54441 679 ...... 53197, 53198, 54179, 54192, 54832, 54833, 55930, 1 ...... 53610, 54799, 56261 195...... 54441 54180, 54971, 56502 56857, 56858 2...... 54155 593...... 56489 90...... 55931 Proposed Rules: 11...... 53610, 54155 594...... 56497 17 ...... 53222, 53691, 53974, 21...... 53610 Proposed Rules: 48 CFR 54472, 54892, 56530, 57136 24...... 53624 23...... 54454 600...... 54833 25...... 53610, 54155 209...... 54988 26...... 54454 622...... 54474, 57158 27...... 57267 1503...... 57101 385...... 56521 51...... 54433, 57291 1552...... 57101 386...... 56521 648...... 54987 52...... 53189 1828...... 54439 565...... 53219 660 ...... 53692, 54475, 55214, 64...... 54799 1845...... 54813 571...... 55212 55495, 57308 73 ...... 53610, 53638, 53639, 1852...... 54439, 54813 1244...... 54471 679...... 56860

VerDate 11-MAY-2000 19:38 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4712 Sfmt 4712 E:\FR\FM\22SECU.LOC pfrm11 PsN: 22SECU iv Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Reader Aids

REMINDERS Global Technical EDUCATION DEPARTMENT FEDERAL The items in this list were Regulations, 1998 Postsecondary education: COMMUNICATIONS editorially compiled as an aid agreement Federal Family Education COMMISSION to Federal Register users. implementation; agency Loan Program and Digital television stations; table Inclusion or exclusion from policy goals and public William D. Ford Federal of assignments: this list has no legal participation; policy Direct Loan Program; Maine; comments due by 9- significance. statement; published 8-23- comments due by 9-25- 25-00; published 8-7-00 00 00; published 8-10-00 Radio services, special: RULES GOING INTO Higher Education Act; Title Private land mobile COMMENTS DUE NEXT IV programs; application, EFFECT SEPTEMBER 22, servicesÐ WEEK reapplication, and 2000 certification processes; Public safety 700 MHz streamlining, etc.; band; comments due by COMMERCE DEPARTMENT AGRICULTURE 9-25-00; published 8-25- DEPARTMENT comments due by 9-25- National Oceanic and 00; published 8-10-00 00 Agricultural Marketing Radio stations; table of Atmospheric Administration ENVIRONMENTAL Service assignments: Fishery conservation and PROTECTION AGENCY management: Oranges, grapefruit, Vermont; comments due by tangerines, and tangelos Air pollutants, hazardous; Caribbean, Gulf, and South national emission standards: 9-25-00; published 8-24- grown inÐ 00 Atlantic fisheriesÐ Polymers and resinsÐ South Atlantic snapper- Florida; comments due by Television broadcasting: Compliance date (Group grouper; published 8-23- 9-25-00; published 9-15- IV); indefinite stay; Cable television systemsÐ 00 00 comments due by 9-28- Multichannel video and COMMERCE DEPARTMENT EDUCATION DEPARTMENT 00; published 8-29-00 cable television service; Official seal and national National Oceanic and Compliance date (Group 1998 biennial review; security information Atmospheric Administration IV); indefinite stay; comments due by 9-26- procedures; published 9-22- Land Remote Sensing Policy comments due by 9-28- 00; published 9-5-00 00 Act of 1992: 00; published 8-29-00 GENERAL SERVICES ENVIRONMENTAL Private land remote-sensing Air quality implementation ADMINISTRATION PROTECTION AGENCY space systems; licensing plans; approval and Federal Acquisition Regulation Air programs: requirements; comments promulgation; various (FAR): Ambient air quality due by 9-29-00; published States: Civilian Agency Acquisition standards, nationalÐ 7-31-00 California; comments due by Council and Defense Astaris-Idaho LLC Marine mammals: 9-28-00; published 8-29- Acquisition Regulations elemental phosphorus Incidental takingÐ 00 Council; definitions for facility, ID; Fort Hall North Pacific Acoustic Indiana; comments due by classified acquisitions; PM-10 nonattainment Laboratory; low 9-28-00; published 8-29- comments due by 9-26- area; published 8-23-00 frequency sound source 00 00; published 7-28-00 FEDERAL operation; comments Air quality implementation Final contract voucher COMMUNICATIONS due by 9-25-00; plans; √A√approval and submission; comments COMMISSION published 8-24-00 promulgation; various due by 9-25-00; published Freedom of Information Act; COMMODITY FUTURES States; air quality planning 7-27-00 implementation: TRADING COMMISSION purposes; designation of North American Industry Fee schedule; published 8- Commodity Exchange Act: areas: Classification System; 23-00 Futures commission Michigan; comments due by comments due by 9-25- INTERIOR DEPARTMENT merchants and introducing 9-29-00; published 8-30- 00; published 7-26-00 00 Land Management Bureau brokers; minimum financial HEALTH AND HUMAN General management: requirements Superfund program: SERVICES DEPARTMENT Public administrative Capital charge on National oil and hazardous Food and Drug proceduresÐ unsecured receivables substances contingency Administration Local governments; planÐ due from foreign Biological products: financial assistance; brokers; comments due National priorities list Payments in Lieu of by 9-27-00; published update; comments due In vivo radiopharmaceuticals Taxes for entitlement 8-28-00 by 9-25-00; published used for diagnosis and lands; published 8-23- monitoringÐ DEFENSE DEPARTMENT 7-27-00 00 Medical imaging drugs Federal Acquisition Regulation National priorities list TRANSPORTATION and biologics, (FAR): update; comments due DEPARTMENT by 9-28-00; published development; evaluation Civilian Agency Acquisition Federal Aviation 8-28-00 and approval; industry Council and Defense guidance; comments Administration National priorities list Acquisition Regulations due by 9-29-00; Airworthiness directives: update; comments due Council; definitions for published 7-31-00 Allison Engine Co.; classified acquisitions; by 9-28-00; published INTERIOR DEPARTMENT published 9-7-00 comments due by 9-26- 8-28-00 Fairchild; published 9-1-00 00; published 7-28-00 FARM CREDIT Fish and Wildlife Service Raytheon; published 9-7-00 Final contract voucher ADMINISTRATION Endangered and threatened Rolls-Royce plc; published submission; comments Farm credit system: species: 9-7-00 due by 9-25-00; published Loan policies and Critical habitat TRANSPORTATION 7-27-00 operationsÐ designationsÐ DEPARTMENT North American Industry Loan purchases and Spectacled eider and National Highway Traffic Classification System; sales; definitions; Steller's eider; Safety Administration comments due by 9-25- comments due by 9-25- comments due by 9-25- Rulemaking procedures: 00; published 7-26-00 00; published 7-26-00 00; published 8-24-00

VerDate 11-MAY-2000 19:38 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4712 Sfmt 4711 E:\FR\FM\22SECU.LOC pfrm11 PsN: 22SECU Federal Register / Vol. 65, No. 185 / Friday, September 22, 2000 / Reader Aids v

Southwestern Washington/ Priority Mail Global Class D and Class E session of Congress which Columbia River coastal Guaranteed; enhanced airspace; comments due by have become Federal laws. It cutthroat trout; take expedited service from 9-29-00; published 8-9-00 may be used in conjunction prohibitions clarification; selected U.S.locations to Class D and Class E with ``P L U S'' (Public Laws comments due by 9-29- selected European airspace; correction; Update Service) on 202±523± 00; published 9-6-00 countries and China; comments due by 9-29-00; 6641. This list is also INTERIOR DEPARTMENT amendment; comments published 8-21-00 available online at http:// due by 9-27-00; published www.nara.gov/fedreg. Hearings and Appeals Class D and Class E4 8-28-00 Office, Interior Department airspace; comments due by 9-28-00; published 8-29-00 Hearings and appeals SECURITIES AND The text of laws is not Class E airspace; comments procedures: EXCHANGE COMMISSION published in the Federal due by 9-29-00; published Register but may be ordered Surface coal mining; award Securities, etc.: 8-23-00 in ``slip law'' (individual of costs and expenses; Auditor independence TRANSPORTATION pamphlet) form from the petitions; comments due requirements; comments DEPARTMENT Superintendent of Documents, by 9-26-00; published 7- due by 9-25-00; published U.S. Government Printing 28-00 7-12-00 Federal Highway Administration Office, Washington, DC 20402 JUSTICE DEPARTMENT TRANSPORTATION (phone, 202±512±1808). The DEPARTMENT Transportation Equity Act for Drug Enforcement 21st Century; text will also be made Administration Coast Guard implementation: available on the Internet from Prescriptions: Drawbridge operations: Engineering services; State GPO Access at http:// Facsimile transmission for Connecticut; comments due transportation www.access.gpo.gov/nara/ patients enrolled in by 9-30-00; published 4- departments; index.html. Some laws may hospice programs; 27-00 administrative costs not yet be available. comments due by 9-25- Louisiana; comments due by eligibility; comments due 00; published 7-25-00 9-27-00; published 8-28- by 9-25-00; published 7- H.R. 4040/P.L. 106±265 NATIONAL AERONAUTICS 00 26-00 AND SPACE Massachusetts; comments TRANSPORTATION To amend title 5, United ADMINISTRATION due by 9-30-00; published DEPARTMENT States Code, to provide for the establishment of a Federal Acquisition Regulation 4-27-00 National Highway Traffic Safety Administration program under which long- (FAR): TRANSPORTATION term care insurance is made Civilian Agency Acquisition DEPARTMENT Motor vehicle safety standards: available to Federal Council and Defense Federal Aviation employees, members of the Acquisition Regulations Administration School bus safety; small business impacts; uniformed services, and Council; definitins for Air carrier certification and comments due by 9-29- civilian and military retirees, classified acquisitions; operations: 00; published 9-13-00 provide for the correction of comments due by 9-26- Airbus airplanes; digital flight retirement coverage errors TREASURY DEPARTMENT 00; published 7-28-00 data recorder under chapters 83 and 84 of Alcohol, Tobacco and Final contract voucher requirements; revisions; such title, and for other Firearms Bureau submission; comments comments due by 9-25- purposes. (Sept. 19, 2000; due by 9-25-00; published 00; published 8-24-00 Alcohol; viticultural area 114 Stat. 762) designations: 7-27-00 Airworthiness directives: Fair Play, El Dorado Last List August 23, 2000 North American Industry Aerospatiale; comments due Classification System; County, CA; comments by 9-28-00; published 8- due by 9-25-00; published comments due by 9-25- 29-00 00; published 7-26-00 7-25-00 Airbus; comments due by 9- TREASURY DEPARTMENT NUCLEAR REGULATORY 25-00; published 8-24-00 Public Laws Electronic COMMISSION Currency and foreign Boeing; comments due by transactions; financial Notification Service Radioactive material packaging 9-25-00; published 7-25- reporting and recordkeeping (PENS) and transportation: 00 requirements: International Atomic Energy British Aerospace; Bank Secrecy Act; Agency transportation comments due by 9-28- implementationÐ PENS is a free electronic mail safety standards 00; published 8-29-00 Currency transactions notification service of newly compatibility, etc.; reporting requirement; Dornier; comments due by enacted public laws. To comments due by 9-30- exemptions; comments 9-28-00; published 8-29- subscribe, go to www.gsa.gov/ 00; published 7-17-00 due by 9-26-00; 00 archives/publaws-l.html or Rulemaking petitions: published 7-28-00 Empresa Brasileira de send E-mail to Union of Concerned Aeronautica, S.A.; VETERANS AFFAIRS [email protected] with Scientists; comments due comments due by 9-28- DEPARTMENT the following text message: by 9-25-00; published 7- 00; published 8-29-00 Adjudication; pensions, 10-00 Empressa Brasileira de compensation, dependency, SUBSCRIBE PUBLAWS-L Spent nuclear fuel and high- Aeronautica S.A.; etc.: Your Name. level radoactive waste; comments due by 9-29- Signature by mark; independent storage; comments due by 9-25- 00; published 8-15-00 Note: This service is strictly licening requirements: 00; published 7-26-00 McDonnell Douglas; for E-mail notification of new FuelSolutions addition; comments due by 9-25- laws. The text of laws is not comments due by 9-25- 00; published 7-27-00 available through this service. 00; published 7-11-00 LIST OF PUBLIC LAWS Raytheon; comments due by PENS cannot respond to POSTAL SERVICE 9-25-00; published 8-10- This is a continuing list of specific inquiries sent to this International Mail Manual: 00 public bills from the current address.

VerDate 11-MAY-2000 19:38 Sep 21, 2000 Jkt 190000 PO 00000 Frm 00005 Fmt 4712 Sfmt 4711 E:\FR\FM\22SECU.LOC pfrm11 PsN: 22SECU