8–25–08 Monday Vol. 73 No. 165 Aug. 25, 2008

Pages 49933–50178

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Contents Federal Register Vol. 73, No. 165

Monday, August 25, 2008

Agriculture Department Energy Department See Animal and Plant Health Inspection Service See Federal Energy Regulatory Commission See Food and Nutrition Service PROPOSED RULES See Forest Service Energy Conservation Program for Commercial and See Natural Resources Conservation Service Industrial Equipment: See Rural Business-Cooperative Service Energy Conservation Standards for Commercial Ice-Cream Freezers, et al., 50072–50137 Animal and Plant Health Inspection Service NOTICES RULES Environmental Impact Statements; Intent to Prepare, etc.: Brucellosis in Cattle; State and Area Classifications; Texas, Abengoa Biorefinery Project near Hugoton, KS, 50001– 49933 50003 NOTICES Meetings: Availability of an Environmental Assessment and Finding Environmental Management Site-Specific Advisory Board of No Significant Impact: Chairs, 50004 Control Russian Knapweed, 49982–49983 Nuclear Energy Advisory Committee, 50004 Records of Decision: Antitrust Division Nuclear Weapons Nonproliferation Policy Concerning NOTICES Foreign Research Reactor Spent Nuclear Fuel; National Cooperative Research and Production Act; Notice Proposed, 50004–50006 Pursuant to Section 6(a): Alliance for Sustainable Air Transportation, Inc., 50055 Environmental Protection Agency Children and Families Administration RULES NOTICES Approval and Promulgation of Air Quality Implementation Agency Information Collection Activities; Proposals, Plans: Submissions, and Approvals, 50020–50024 Pennsylvania; Determination of Attainment of Fine Particle Standard, 49949–49950 Coast Guard Approval and Promulgation of Implementation Plans and NOTICES Operating Permits Program: Meetings: Iowa, 49950–49955 Amendments to the International Mobile Satellite PROPOSED RULES Organization (IMSO) Convention, 50049–50050 Approval and Promulgation of Implementation Plans and Operating Permits Program: Commerce Department Iowa, 49981 See Foreign-Trade Zones Board NOTICES See International Trade Administration North American Free Trade Agreement Technical Working See National Oceanic and Atmospheric Administration Group on Pesticides; Proposed Five-Year Strategy, 2008-2013; Notice of Availability Defense Department Correction, 50008 NOTICES 36(b)(1) Arms Sales Notification, 49995–50000 Agency Information Collection Activities; Proposals, Farm Credit Administration Submissions, and Approvals, 50000–50001 NOTICES Meetings; Sunshine Act, 50008 Drug Enforcement Administration NOTICES Federal Aviation Administration Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals, 50055–50057 Modifications of Area Navigation Routes: Q-110 and Jet Route J-73; Florida, 49933–49934 Election Assistance Commission NOTICES NOTICES Waiver of Aeronautical Land-Use Assurance: Agency Information Collection Activities; Proposals, Greater Beardstown Airport, Beardstown, IL, 50064 Submissions, and Approvals, 50140 Mansfield Lahm International Airport, Mansfield, OH, Procedural Manual for the Election Assistance 50064–50065 Commissions Voting System Test Laboratory Program, 50140–50172 Federal Communications Commission Employment and Training Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Amended Revised Determination on Remand: Submissions, and Approvals, 50008–50015 Fairchild Semiconductor International Including On-Site Radio Broadcasting Services: Leased Workers from Manpower, Inc.; Mountain Top, AM or FM Proposals to Change the Community of PA, 50058 License, 50015

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Federal Emergency Management Agency General Services Administration NOTICES RULES Agency Information Collection Activities; Proposals, Federal Management Regulation: Submissions, and Approvals, 50050 Mail Management, 49955–49962 NOTICES Federal Energy Regulatory Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 50000–50001 Combined Notice of Filings, 50006–50008 Health and Human Services Department See Children and Families Administration Federal Highway Administration See Food and Drug Administration NOTICES See Indian Health Service Buy America Waiver Notification, 50065 See National Institutes of Health

Federal Motor Carrier Safety Administration Homeland Security Department NOTICES See Coast Guard Commercial Driver’s License Standards; Application for See Federal Emergency Management Agency Exemption: See U.S. Customs and Border Protection Isuzu Motors America, Inc., 50065–50067 Meetings: Indian Health Service Motor Carrier Safety Advisory Committee Public Meeting, NOTICES 50067 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 50036–50038 Federal Railroad Administration Privacy Act; Systems of Records, 50038–50045 NOTICES Petition for Waiver of Compliance: Interior Department Harsco Track Technologies, 50067–50068 See Land Management Bureau See Minerals Management Service See National Park Service Federal Reserve System See Reclamation Bureau NOTICES Formations of, Acquisitions by, and Mergers of Bank Internal Revenue Service Holding Companies, 50015–50016 PROPOSED RULES Proposals to Engage in Permissible Nonbanking Activities Alcohol Fuel and Biodiesel; Renewable Diesel; Alternative or to Acquire Companies that are Engaged in Fuel; Diesel-Water Fuel Emulsion; Taxable Fuel Permissible Nonbanking Activities, 50016 Definitions; Excise Tax Returns; Correction, 49981 Regulations Enabling Elections for Certain Transactions Federal Retirement Thrift Investment Board under Section 336(e), 49965–49981 NOTICES Privacy Act; Systems of Records, 50016–50020 International Trade Administration NOTICES Food and Drug Administration Partial Rescission of Antidumping Duty Administrative RULES Review: FDA Regulations; Technical Amendment, 49941–49943 Wooden Bedroom Furniture from the People’s Republic NOTICES of China, 49990–49993 Agency Information Collection Activities; Proposals, Preliminary Results of the Antidumping Duty Submissions, and Approvals, 50024–50032 Administrative Review; Extension of Time Limit: Over the Counter Cough and Cold Medications for Pediatric Certain Cased Pencils from the People’s Republic of Use; Notice of Public Hearing, 50033–50036 China, 49993–49994

Food and Nutrition Service Justice Department NOTICES See Antitrust Division Agency Information Collection Activities; Proposals, See Drug Enforcement Administration Submissions, and Approvals, 49983 Labor Department See Employment and Training Administration Foreign-Trade Zones Board See Occupational Safety and Health Administration NOTICES NOTICES Application for Subzone Status: Request for Comments on Labor Capacity-Building Efforts: Cornell Dubilier Marketing, Inc. (Electrolytic Capacitors); Dominican Republic - Central America - United States Foreign Trade Zone 38 - Spartanburg County, SC, Free Trade Agreement, 50057–50058 49990 Land Management Bureau Forest Service NOTICES NOTICES Meetings: Proposed New Fee Sites: Front Range Resource Advisory Council, 50050–50051 Federal Lands Recreation Enhancement Act (Title VIII, Realty Action: Pub. L. 108-447), 49983–49984 Proposed Sale of Public Land, Idaho, 50052

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Proposed Sale of Public Land, Idaho; Termination of a Natural Resources Conservation Service Multiple Use Classification on a Portion of These NOTICES Lands, 50051–50052 Finding of No Significant Impact: North Forest Acres Levee/Road Project City of Seward, Alaska, 49984 Legal Services Corporation NOTICES Nuclear Regulatory Commission Request for Comments - LSC Budget Request for (FY 2010), PROPOSED RULES 50060 Natural Resources Defense Council; Receipt of Petition for Rulemaking; Reopening of Public Comment Period, Minerals Management Service 49965 RULES NOTICES Electronic Payment of Fees for Outer Continental Shelf Meetings: Activities, 49943–49949 Steering Committee on Multimedia Environmental NOTICES Modeling, 50060–50061 Meetings: Withdrawal of Application for Amendment to Facility Royalty Policy Committee, 50052–50053 Operating License: Florida Power Corp., 50061

National Aeronautics and Space Administration Occupational Safety and Health Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 50000–50001 Advisory Committee on Construction Safety and Health and ACCSH Work Groups, 50058–50060 National Archives and Records Administration NOTICES Peace Corps Meetings: RULES Advisory Committee on the Records of Congress, 50060 Claims against the Government under the Federal Tort Claims Act, 49943

National Institutes of Health Personnel Management Office NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Nonforeign Area Cost-of-Living Allowances; 2007 Interim Submissions, and Approvals, 50045–50046 Adjustments: Meetings: Alaska and Puerto Rico, 50174–50175 Center for Scientific Review, 50046–50048 NOTICES National Cancer Advisory Board; Amended, 50048 Nonforeign Area Cost-of-Living Allowances: National Center on Minority Health and Health 2007 Interim Adjustments, 50176–50177 Disparities, 50048 National Institute of Allergy and Infectious Diseases, Reclamation Bureau 50049 NOTICES Environmental Impact Statements; Availability, etc.: National Oceanic and Atmospheric Administration Southern Delivery System Project, CO, 50055 RULES Fisheries of the Exclusive Economic Zone Off Alaska: Rural Business-Cooperative Service Greenland Turbot in the Bering Sea and Aleutian Islands NOTICES Management Area, 49963 Request for Proposals; FY 2008 Funding Opportunity for Groundfish Fisheries in the Gulf of Alaska, 49963–49964 Research on the Economic Impact of Cooperatives, Reallocation of Pacific Cod in the Bering Sea and 49985–49990 Aleutian Islands Management Area, 49962 NOTICES Securities and Exchange Commission Closure of Administrative Appeals Decision Record; Notice NOTICES of Stay: Self-Regulatory Organizations; Proposed Rule Changes: Federal Consistency Appeal by Foothill/Eastern New York Stock Exchange LLC, 50061–50063 Transportation Corridor Agency, 49994 Fisheries of the Northeast Region: Small Business Administration Fisheries of the Southeast Region; Highly Migratory NOTICES Species, 49994–49995 Meetings: Audit and Financial Management Advisory Committee, 50063 National Park Service NOTICES Thrift Supervision Office Environmental Impact Statements; Availability, etc.: NOTICES Sylvan Pass Management, Yellowstone and Grand Teton Amendment of a Savings Association’s Bylaws, 50068 National Parks and the John D. Rockefeller, Jr. Memorial Parkway, WY, 50053–50054 Transportation Department National Register of Historic Places; Notification of Pending See Federal Aviation Administration Nominations and Related Actions, 50054–50055 See Federal Highway Administration

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See Federal Motor Carrier Safety Administration See Federal Railroad Administration Separate Parts In This Issue Treasury Department See Internal Revenue Service Part II See Thrift Supervision Office Energy Department, 50072–50137 RULES Entry Requirements for Certain Softwood Lumber Products Part III Exported from any Country into the United States, 49934–49939 Election Assistance Commission, 50140–50172 First Sale Declaration Requirement, 49939–49941 Part IV U.S. Customs and Border Protection Personnel Management Office, 50174–50177 RULES Entry Requirements for Certain Softwood Lumber Products Exported from any Country into the United States, Reader Aids 49934–49939 Consult the Reader Aids section at the end of this issue for First Sale Declaration Requirement, 49939–49941 phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws. Veterans Affairs Department NOTICES To subscribe to the Federal Register Table of Contents Meetings: LISTSERV electronic mailing list, go to http:// National Research Advisory Council, 50068 listserv.access.gpo.gov and select Online mailing list Research Advisory Committee on Gulf War Veterans archives, FEDREGTOC-L, Join or leave the list (or change Illnesses, 50068–50069 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

5 CFR Proposed Rules: 591...... 50174 9 CFR 78...... 49933 10 CFR Proposed Rules: 50...... 49965 431...... 50072 14 CFR 71...... 49933 19 CFR 12...... 49934 141...... 49939 163...... 49934 21 CFR 16...... 49941 610...... 49941 640...... 49941 812...... 49941 814...... 49941 822...... 49941 860...... 49941 22 CFR 304...... 49943 26 CFR Proposed Rules: 1...... 49965 48...... 49981 30 CFR 203...... 49943 250...... 49943 251...... 49943 256...... 49943 280...... 49943 281...... 49943 290...... 49943 40 CFR 52 (2 documents) ...... 49949, 49950 70...... 49950 Proposed Rules: 52...... 49981 70...... 49981 41 CFR 102-192...... 49955 50 CFR 679 (3 documents) ...... 49962, 49963

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Rules and Regulations Federal Register Vol. 73, No. 165

Monday, August 25, 2008

This section of the FEDERAL REGISTER effectiveness of a brucellosis control and DEPARTMENT OF TRANSPORTATION contains regulatory documents having general eradication program. The classifications applicability and legal effect, most of which are Class Free, Class A, Class B, and Federal Aviation Administration are keyed to and codified in the Code of Class C. States or areas that do not meet Federal Regulations, which is published under the minimum standards for Class C are 14 CFR Part 71 50 titles pursuant to 44 U.S.C. 1510. required to be placed under Federal [Docket No. FAA–2008–0187; Airspace The Code of Federal Regulations is sold by quarantine. Docket No. 07–ASO–27] the Superintendent of Documents. Prices of In an interim rule 1 effective and new books are listed in the first FEDERAL published in the Federal Register on Modification of Area Navigation Route REGISTER issue of each week. February 1, 2008 (73 FR 6007–6008, Q–110 and Jet Route J–73; Florida Docket No. APHIS–2008–0003), we AGENCY: Federal Aviation amended the regulations by changing Administration (FAA), DOT. DEPARTMENT OF AGRICULTURE the classification of the State of Texas from Class A to Class Free. That action ACTION: Final rule; correction. Animal and Plant Health Inspection relieved certain restrictions on the Service SUMMARY: This action corrects a final interstate movement of cattle from rule published in the Federal Register Texas. 9 CFR Part 78 on July 30, 2008; Airspace Docket No. Comments on the interim rule were 07–ASO–27, FAA Docket No. FAA– [Docket No. APHIS–2008–0003] required to be received on or before 2008–0187. In that rule, an error was April 1, 2008. We received one made in the navigation aid radials stated Brucellosis in Cattle; State and Area comment by that date, from an industry in the description for jet route J–73. This Classifications; Texas organization. The commenter supported action corrects that error. The the action taken in the interim rule to description of area navigation route Q– AGENCY: Animal and Plant Health classify Texas as a Class Free State. Inspection Service, USDA. 110 is correct as published in the rule. Therefore, for the reasons given in the DATES: Effective Date: 0901 UTC, ACTION: Affirmation of interim rule as interim rule and in this document, we September 25, 2008. The Director of the final rule. are adopting the interim rule as a final Federal Register approves this rule without change. SUMMARY: We are adopting as a final incorporation by reference action under This action also affirms the 1 CFR part 51, subject to the annual rule, without change, an interim rule information contained in the interim that amended the brucellosis regulations revision of FAA Order 7400.9 and rule concerning Executive Order 12866 publication of conforming amendments. concerning the interstate movement of and the Regulatory Flexibility Act, FOR FURTHER INFORMATION CONTACT: Paul cattle by changing the classification of Executive Orders 12372 and 12988, and Gallant, Airspace and Rules Group, Texas from Class A to Class Free. We the Paperwork Reduction Act. Office of System Operations Airspace determined that Texas meets the Further, for this action, the Office of and AIM, Federal Aviation standards for Class Free status. The Management and Budget has waived its Administration, 800 Independence interim rule relieved certain restrictions review under Executive Order 12866. on the interstate movement of cattle Avenue, SW., Washington, DC 20591; from Texas. List of Subjects in 9 CFR Part 78 telephone: (202) 267–8783. DATES: Effective on August 25, 2008, we Animal diseases, Bison, Cattle, Hogs, SUPPLEMENTARY INFORMATION: are adopting as a final rule the interim Quarantine, Reporting and History rule published at 73 FR 6007–6008 on recordkeeping requirements, On July 30, 2008, a final rule for February 1, 2008. Transportation. Airspace Docket No. 07–ASO–27, FAA FOR FURTHER INFORMATION CONTACT: Dr. PART 78—BRUCELLOSIS Docket No. FAA–2008–0187 was Debbi A. Donch, National Brucellosis published in the Federal Register (73 Epidemiologist, Ruminant Health I Accordingly, we are adopting as a FR 44147) to modify area navigation Programs Staff, National Center for final rule, without change, the interim route Q–110 and jet route J–73. The Animal Health Programs, VS, APHIS, rule that amended 9 CFR part 78 and legal description for J–73 contained an 4700 River Road Unit 43, Riverdale, MD that was published at 73 FR 6007–6008 error in the radials used to form an 20737–1231; (301) 734–5952. on February 1, 2008. intersection on the route between the La SUPPLEMENTARY INFORMATION: Done in Washington, DC, this 19th day of Belle, FL, very high frequency omnidirectional range/tactical air Background August 2008. Kevin Shea, navigation (VORTAC) aid and the Brucellosis is a contagious disease Lakeland, FL, VORTAC. The rule affecting animals and humans, caused Acting Administrator, Animal and Plant Health Inspection Service. incorrectly described the point as: by bacteria of the genus Brucella. ‘‘* * * INT Labelle 314° and Lakeland, The brucellosis regulations, contained [FR Doc. E8–19624 Filed 8–22–08; 8:45 am] FL 162° radials. * * *’’ The correct in 9 CFR part 78 (referred to below as BILLING CODE 3410–34–P version should read ‘‘* * * INT Labelle the regulations), provide a system for 313° and Lakeland, FL 161° radials. 1 To view the interim rule and the comment we classifying States or portions of States received, go to http://www.regulations.gov/ * * *’’ This action corrects the error. according to the rate of Brucella fdmspublic/component/ The description of route Q–110 is infection present and the general main?main=DocketDetail&d=APHIS-2008-0003. correct as published in the rule.

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Correction to Final Rule by section 3301 of Title III, Subtitle D, by calling Joseph Clark at (202) 572– of the Food, Conservation, and Energy 8768. I Accordingly, pursuant to the authority Act of 2008 (Pub. L. 110–246, enacted delegated to me, the legal description as FOR FURTHER INFORMATION CONTACT: June 18, 2008). Within Title VIII, section published in the Federal Register on Joseph M. Rees, Director, Trade 803 requires the President to establish July 30, 2008 (73 FR 44147), Airspace Agreements and Communications and maintain an importer declaration Docket No. 07–ASO–27, FAA Docket Division, Office of International Trade, program with respect to the importation No. FAA–2008–0187, and incorporated Tel: (202) 863–6065. of certain softwood lumber and by reference in 14 CFR 71.1, is corrected softwood lumber products and SUPPLEMENTARY INFORMATION: as follows: prescribes special entry requirements Public Participation § 71.1 [Amended] whereby importers must submit the export price, estimated export charge, if Interested persons are invited to Paragraph 2004 Jet Routes. any, and an importer declaration with participate in this rulemaking by * * * * * the entry summary. There are also new submitting written data, views, or I On page 44148 correct the legal recordkeeping requirements applicable arguments on all aspects of the interim description for J–73, to read as follows: to certain imports of softwood lumber rule. Customs and Border Protection J–73 [Corrected] home packages and kits which are (CBP) also invites comments that relate subject to declaration requirements, but to the economic, environmental, or From Dolphin, FL; LaBelle, FL; INT Labelle federalism effects that might result from 313° and Lakeland, FL, 161° radials; which are not subject to the softwood Lakeland; Seminole, FL; La Grange, GA; lumber importer declaration program of this interim rule. Comments that will Nashville, TN; Pocket City, IN; to section 803 of the Act. These interim provide the most assistance to CBP in Northbrook, IL. amendments set forth the procedural developing these procedures will * * * * * and documentation requirements reference a specific portion of the interim rule, explain the reason for any Issued in Washington, DC, on August 13, necessary to implement the entry requirements specified in the statute. recommended change, and include data, 2008. information, or authority that supports DATES: This interim rule is effective on Edith V. Parish, such recommended change. Manager, Airspace and Rules Group. September 18, 2008. Comments must be [FR Doc. E8–19276 Filed 8–22–08; 8:45 am] received on or before October 24, 2008. Background ADDRESSES BILLING CODE 4910–13–P : You may submit comments, I. Softwood Lumber Act of 2008: identified by docket number, by one of Importer Declaration Program the following methods: • Federal eRulemaking Portal: http:// Section 3301, within Title III, Subtitle DEPARTMENT OF HOMELAND D, of the Food, Conservation, and SECURITY www.regulations.gov. Follow the instructions for submitting comments Energy Act of 2008 (Pub. L. 110–246) Bureau of Customs and Border via Docket No. USCBP 2008–0052. was enacted June 18, 2008, and amends • Protection Mail: Trade and Commercial the Tariff Act of 1930 (19 U.S.C. 1202 Regulations Branch, Regulations and et seq.) by adding a new Title VIII, DEPARTMENT OF THE TREASURY Rulings, U.S. Customs and Border entitled the ‘‘Softwood Lumber Act of Protection, 1300 Pennsylvania Avenue, 2008’’ (‘‘the Act’’). The Act requires the [Docket No. USCBP–2008–0052; CBP Dec. NW. (Mint Annex), Washington, DC President to establish and maintain an 08–32] 20229. importer declaration program with respect to the importation of certain 19 CFR Parts 12 and 163 Instructions: All submissions received must include the agency name and softwood lumber and softwood lumber RIN 1505–AB98 docket number for this rulemaking. All products and prescribes special entry comments received will be posted requirements whereby importers must Entry Requirements for Certain without change to http:// provide the export price, estimated Softwood Lumber Products Exported www.regulations.gov, including any export charge, if any, and an importer From Any Country Into the United personal information provided. For declaration with the entry summary States detailed instructions on submitting documentation. The Act also imposes AGENCIES: Customs and Border comments and additional information new recordkeeping requirements Protection, Department of Homeland on the rulemaking process, see the applicable to certain imports of Security; Department of the Treasury. ‘‘Public Participation’’ heading of the softwood lumber home packages and kits. ACTION: Interim rule; solicitation of SUPPLEMENTARY INFORMATION section of Title VIII is comprised of sections 801 comments. this document. Docket: For access to the docket to through 809, which set forth the SUMMARY: This document sets forth read background documents or components of the softwood lumber interim amendments to title 19 of the comments received, go to http:// importer declaration program. These Code of Federal Regulations (CFR) that www.regulations.gov. Submitted sections, in pertinent part: prescribe special entry requirements comments may also be inspected during • Define certain terms and phrases applicable to certain softwood lumber regular business days between the hours applicable to the program (section 802). and softwood lumber products exported of 9 a.m. and 4:30 p.m. at the Trade and • Prescribe entry requirements and from any country into the United States. Commercial Regulations Branch, the establishment of an electronic The softwood lumber and softwood Regulations and Rulings, Office of record thereof (section 803). lumber products subject to these interim International Trade, U.S. Customs and • Establish the scope of the program entry requirements are those described Border Protection, 799 9th Street, NW., and require the importer to retain and in section 804(a) within Title VIII 5th Floor, Washington, DC. produce documentation pertaining to (Softwood Lumber Act of 2008 or ‘‘the Arrangements to inspect submitted the entry of certain softwood lumber Act’’) of the Tariff Act of 1930, as added comments should be made in advance home packages and kits (section 804).

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• Require the Department of Department of Commerce, pursuant to (4) Coniferous wood flooring Commerce to make monthly section 805, to the export price; and (including strips and friezes for parquet determinations as to export charges to • An importer declaration that flooring, not assembled) continuously be collected by a country of export from verifies that ‘‘the person has made shaped (tongued, grooved, rabbeted, exporters of covered softwood lumber appropriate inquiry, including seeking chamfered, v-jointed, beaded, molded, products to ensure compliance with any appropriate documentation from the rounded, or the like) along any of its international agreements entered into by exporter and consulting the edges or faces, whether or not planed, that country and the United States determinations published by the Under sanded, or finger-jointed; and (section 805). Secretary for International Trade of the (5) Coniferous drilled and notched • Require the Secretary of the Department of Commerce pursuant to lumber and angle cut lumber. Treasury to conduct reconciliations to section 805(b)’’ and, to the best of the In addition, any product classified ensure the proper implementation and person’s knowledge and belief, the under subheading 4409.10.05 of the operation of international agreements export price provided is determined in HTSUS that is continually shaped along entered into between a country of export accordance with the definition set forth its end or side edges, and unless of softwood lumber or softwood lumber in section 802(5), the export price excepted or excluded from the products described in section 804(a) and provided is consistent with the export declaration requirement, softwood the United States. The Secretary will price provided on the export permit, if lumber products that are stringers, reconcile: (1) The export price declared any, granted by the country of export, radius-cut box-spring frame by a United States importer pursuant to and the exporter has paid, or committed components, fence pickets, truss section 803(b)(1) with the export price to pay, all export charges due in components, pallet components, and reported to the United States by the accordance with the volume, export door and window frame parts classified country of export, if any; and (2) the price, and export charge rate or rates, if under subheading 4418.90.46.95, export price declared by a United States any, as calculated under an 4421.90.70.40, or 4421.90.97.40 of the importer pursuant to section 803(b)(1) international agreement entered into by HTSUS are covered by the Act. with the revised export price reported to the country of export and the United The following products are not the United States by the country of States and consistent with the export subject to the importer declaration export, if any (section 806). charge determinations published by the program established under section 803 • Require the Secretary of the Under Secretary for International Trade because they are defined as excluded Treasury to periodically verify the of the Department of Commerce. from the program: declarations made by a United States (1) Trusses and truss kits, properly III. Description of Softwood Lumber and importer pursuant to section 803(c), classified under subheading 4418.90 of Softwood Lumber Products Covered by including a determination as to whether the HTSUS; the Softwood Lumber Act of 2008 the export price declared by a United (2) I-joist beams; States importer is the same as the export Section 804 of the Act sets forth the (3) Assembled box-spring frames; (4) Pallets and pallet kits, properly price provided on the export permit, if scope of softwood lumber and softwood classified under subheading 4415.20 of any, issued by the country of export and lumber products covered by the HTSUS; whether the estimated export charge importer declaration program established under section 803. All (5) Garage doors; declared by a United States importer (6) Edge-glued wood, properly softwood lumber and softwood lumber pursuant to section 803(b)(2) is classified under subheading products classified under subheading consistent with the determination 4421.90.97.40 of the HTSUS; 4407.10.00, 4409.10.10, 4409.10.20, or published by the Under Secretary for (7) Complete door frames; International Trade of the Department of 4409.10.90 of the Harmonized Tariff (8) Complete window frames; Commerce pursuant to section 805(b) Schedule of the United States (HTSUS) (9) Furniture; (section 807). are subject to the importer declaration (10) Articles brought into the United • Prescribe applicable penalties program established under section 803 States temporarily and for which an (section 808). including the following softwood exemption from duty is claimed under • Require the submission of lumber, flooring, and siding: subchapter XIII of chapter 98 of the congressional reports by various (1) Coniferous wood, sawn or chipped HTSUS; and government entities (section 809). lengthwise, sliced or peeled, whether or (11) Household and personal effects. not planed, sanded, or finger-jointed, of Also, the following softwood lumber II. Softwood Lumber Act of 2008: Entry a thickness exceeding 6 millimeters; Requirements products are not subject to the importer (2) Coniferous wood siding (including declaration program established under Section 803 requires importers of strips and friezes for parquet flooring, section 803 because they are defined as covered softwood lumber and softwood not assembled) continuously shaped excepted from the program: lumber products (i.e., those products (tongued, grooved, rabbeted, chamfered, (1) Stringers (pallet components used described in section 804(a) of the Act) v-jointed, beaded, molded, rounded, or for runners), if the stringers have at least to submit to CBP certain data with the the like) along any of its edges or faces, two notches on the side, positioned at entry summary. The required entry whether or not planed, sanded, or equal distance from the center, to information consists of: finger-jointed; properly accommodate forklift blades; • The export price for each line of (3) Other coniferous wood (including and are properly classified under softwood lumber or softwood lumber strips and friezes for parquet flooring, subheading 4421.90.97.40 of the products (as defined in section 802(5)); not assembled) continuously shaped HTSUS; • The estimated export charge, if any, (tongued, grooved, rabbeted, chamfered, (2) Box-spring frame kits, if the kits applicable to each line of softwood v-jointed, beaded, molded, rounded, or contain two wooden side rails; two lumber or softwood lumber products as the like) along any of its edges or faces wooden end (or top) rails; and varying calculated by applying the percentage (other than wood moldings and wood numbers of wooden slats; and the side determined and published by the Under dowel rods) whether or not planed, rails and the end rails are radius-cut at Secretary for International Trade of the sanded, or finger-jointed; both ends. Box spring frame kits must

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be individually packaged, and contain drywall, and roof shingles specified in products for which a Certificate of the exact number of wooden the plan, design, or blueprint; (iii) prior Origin has been issued from Canada’s components needed to make the box- to importation, the package or kit is sold Maritime Lumber Bureau must be spring frame described on the entry to a United States retailer that sells submitted to CBP in paper. See 19 CFR documents, with no further processing complete home packages or kits 12.140(c)). The new interim amendment required. None of the components pursuant to a valid purchase contract also requires importers of softwood contained in the package may exceed referencing the particular home design, lumber home packages and kits one inch in actual thickness or 83 plan, or blueprint, and the contract is described in section 804(c)(7)(A)(i) inches in length. signed by a customer not affiliated with through (iv) of the Act to retain, and (3) Radius-cut box-spring frame the importer; and (iv) softwood lumber provide to CBP upon request, certain components, not exceeding one inch in products entered as part of the package documentation pertaining to, inter alia, actual thickness or 83 inches in length, or kit, whether in a single entry or design plans, purchase contracts, and ready for assembly without further multiple entries on multiple days, are to part listings. processing, if radius cuts are present on be used solely for the construction of It is noted that section 803(b)(1) and both ends of the boards and are the single family home specified by the (2) of the Act require that information substantial cuts so as to completely home design, plan, or blueprint regarding the export price and estimated round one corner. matching the CBP import entry. export charge be submitted for ‘‘each (4) Fence pickets requiring no further For each entry of softwood lumber shipment.’’ Accordingly, the interim processing and properly classified products contained in a single family amendment requires that the requisite under subheading 4421.90.70 of the home package for which the importer information associated with each HTSUS, one inch or less in actual declares that these four requirements are shipment be included on a single line thickness, up to eight inches wide, and met, the importer must retain and make on the entry summary. six feet or less in length, and having available to CBP upon request the finials or decorative cuttings that clearly following documentation: V. Recordkeeping Requirements identify them as fence pickets (in the (1) A copy of the appropriate home Any substantiating documentation case of dog-eared fence pickets, the design, plan, or blueprint matching the that supports an importer’s softwood corners of the boards shall be cut off so customs entry in the United States; lumber declaration, and copies of the as to remove pieces of wood in the (2) A purchase contract from a retailer softwood lumber home packages and shape of isosceles right angle triangles of home kits or packages signed by a kits documentation, are subject to the with sides measuring 3⁄4 of an inch or customer not affiliated with the recordkeeping provisions set forth in more). importer; part 163 of title 19 to the CFR. (5) Lumber originating in the United (3) A listing of all parts in the package The ‘‘List of Records Required for the States that is exported to another or kit being entered into the United Entry of Merchandise’’ set forth in the country for minor processing and States that conforms to the home design, Appendix to part 163 of title 19 of the imported into the United States if the plan, or blueprint for which such parts CFR (19 CFR part 163) is amended by processing occurring in another country are being imported; and this document to include the softwood is limited to kiln drying, planing to (4) If a single contract involves lumber home packages and kits create smooth-to-size board, and multiple entries, an identification of all documentation requirement mandated sanding; and the importer establishes to the items required to be listed under by the Act, as well as any substantiating CBP’s satisfaction upon entry that the item (3) that are included in each documentation that supports an lumber originated in the United States. individual shipment. importer’s softwood lumber declaration. (6) Any softwood lumber or softwood IV. Interim Amendments at 19 CFR This document amends section IV of the lumber product that originated in the Appendix by adding a new § 12.142 that United States, if the importer, exporter, 12.142 To Promulgate Softwood Lumber Importer Declaration Program lists softwood lumber home packages foreign processor, or original United and kits documentation and any States producer establishes to CBP’s In accordance with the Act’s substantiating documentation that satisfaction upon entry that the requirements, this document makes supports an importer’s softwood lumber softwood lumber entered and interim amendments to part 12 of title importer declaration as new entry documented as originating in the United 19 of the CFR to provide an appropriate records. States was first produced in the United regulatory basis with respect to States; and shipments of softwood lumber and VI. Penalties (7) Softwood lumber or softwood softwood lumber products for the Failure to timely provide the required lumber products contained in a single collection of export price, estimated softwood lumber entry data will family home package or kit, regardless export charge, if any, importer constitute a breach of the terms of the of the classification under the HTSUS, declaration and, if applicable, softwood importer’s bond under § 113.62(b) of if the importer declares that the lumber home packages and kits title 19 of the CFR (19 CFR 113.62) and following requirements have been met: documentation. could give rise to a claim for liquidated (i) The package or kit constitutes a full The interim amendments to 19 CFR damages under the bond equal to the package of the number of wooden pieces part 12 set forth in this document add value of the merchandise involved in specified in the plan, design, or a new § 12.142 (19 CFR 12.142) which the default. blueprint necessary to produce a home requires the importer to electronically of at least 700 square feet produced to transmit the export price, the estimated VII. Other Applicable Entry a specified plan, design, or blueprint; export charge, if any, and the importer Requirements (ii) the package or kit contains all declaration on the entry summary in The softwood lumber entry data necessary internal and external doors any case in which softwood lumber or elements required by these interim and windows, nails, screws, glue, softwood lumber products described in regulations are not otherwise collected subfloor, sheathing, beams, posts, and section 804(a) of the Act are imported by CBP at time of entry and are in connectors; and if included in the into the United States (entries of addition to the entry and entry summary purchase contract, the decking, trim, softwood lumber and softwood lumber information otherwise required for

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importation into the United States as export price, estimated export charge, if maintenance, and purchase of services per section 484 of the Tariff Act of 1930, any, and an importer declaration with to provide information. as amended (19 U.S.C. 1484). the entry summary information or, Signing Authority In addition, imports of softwood where applicable, to submit additional lumber or softwood lumber products documentation required for home This document is being issued in from Canada may also be subject to packages and kits. The likely accordance with 19 CFR 0.1(a)(1). § 12.140 of title 19 to the Code of respondents are business organizations List of Subjects Federal Regulations (19 CFR 12.140), including importers and brokers. which sets forth the entry requirements The collection of information 19 CFR Part 12 prescribed by the Softwood Lumber associated with the entry summary Bonds, Customs duties and Agreement entered into between the documentation (CBP Form 7501) was inspection, Entry of merchandise, Governments of the United States and previously approved by the Office of Imports, Prohibited merchandise, Canada on September 12, 2006 (‘‘SLA Management and Budget under control Reporting and recordkeeping 2006’’). In this regard, it is also noted number 1651–0052. In accordance with requirements, Restricted merchandise. that even those importers of softwood the Paperwork Reduction Act of 1995 lumber and softwood lumber products (44 U.S.C. 3507), CBP has submitted to 19 CFR Part 163 that are exempt from the terms of 19 OMB for review the following Customs duties and inspection, CFR 12.140 remain subject to the adjustments to the information provided Reporting and recordkeeping softwood lumber entry requirements to OMB for the previously approved requirements. contained in 19 CFR 12.142. OMB control number to account for the changes in this interim rule. An agency Amendment to the Regulations Inapplicability of Notice and Delayed may not conduct or sponsor, and a Effective Date Requirements I For the reasons stated above, parts 12 person is not required to respond to, a Pursuant to 5 U.S.C. 553(b)(B) and and 163 of title 19 of the Code of collection of information unless it Federal Regulations (19 CFR parts 12 (d)(3), CBP has determined that it would displays a valid control number be impracticable and contrary to the and 163) are amended as set forth assigned by OMB. below. public interest to delay publication of Estimated annual reporting and/or this rule in final form pending an recordkeeping burden: 266,000 hours. PART 12—SPECIAL CLASSES OF opportunity for public comment and Number of responses per respondent MERCHANDISE that there is good cause for this interim and/or recordkeeper: 1,905. rule to become effective upon providing Estimated number of respondents I 1. The authority citation for part 12 less then 30 days notice. These interim and/or recordkeepers: 210. continues and a new specific authority amendments conform the regulations to Estimated annual frequency of for § 12.142 is added to read in part as the entry requirements set forth in Title responses: 400,000. follows: Estimated time per response: 40 VIII of the Tariff Act of 1930, as Authority: 5 U.S.C. 301; 19 U.S.C. 66, 1202 amended (19 U.S.C. 1202 et seq.), which minutes (.333 hours). (General Note 3(i), Harmonized Tariff go into effect August 18, 2008, and Comments on the collection of Schedule of the United States (HTSUS)), inform the public of the procedures information should be sent to the Office 1624; of Management and Budget, Attention: necessary to comply with the statutory * * * * * requirements. For these reasons, Desk Officer for the Department of the § 12.142 also issued under 19 U.S.C. 1484; pursuant to the provisions of 5 U.S.C. Treasury, Office of Information and section 3301 of Pub. L. 110–246. Regulatory Affairs, Washington, DC 553(d)(3), CBP finds that there is good * * * * * cause for dispensing with a 30-day 20503. A copy should also be sent to the delayed effective date. Trade and Commercial Regulations § 12.140 [Undesignated center heading Branch, Regulations and Rulings, Office amended] Regulatory Flexibility Act and of International Trade, Customs and I 2. The undesignated center heading Executive Order 12866 Border Protection, 1300 Pennsylvania ‘‘Softwood Lumber from Canada’’ Because no notice of proposed Avenue, NW. (Mint Annex), preceding § 12.140 is amended by rulemaking is required for this interim Washington, DC 20229. Comments removing the words ‘‘from Canada’’. rule, the provisions of the Regulatory should be submitted within the time I 3. A new § 12.142 is added to read as Flexibility Act (5 U.S.C. 601 et seq.) do frame that comments are due regarding follows: not apply. Further, these amendments the substance of the interim rule. do not meet the criteria for a Comments are invited on: (a) Whether § 12.142 Entry of softwood lumber and ‘‘significant regulatory action’’ as the collection of information is softwood lumber products from any specified in E.O. 12866. necessary for the proper performance of country into the United States. the functions of the agency, including (a) In general. This section, pursuant Paperwork Reduction Act whether the information will have to the ‘‘Softwood Lumber Act of 2008’’ The collections of information in this practical utility; (b) the accuracy of the (‘‘the Act’’) (Title VIII of the Tariff Act document are contained in § 12.142(c) agency’s estimate of the burden of the of 1930, as amended (19 U.S.C. 1202 et and (d) (19 CFR 12.142(c) and (d)). This collection of the information; (c) ways to seq.)), prescribes entry requirements information is used by CBP to fulfill its enhance the quality, utility, and clarity applicable to certain imports of information collection obligations under of the information to be collected; (d) softwood lumber and softwood lumber Title VIII of the Tariff Act of 1930, as ways to minimize the burden of the products exported from any country added by section 3301 within Title III, collection of information on into the United States. Subtitle D, of the Food, Conservation, respondents, including through the use (b) Softwood lumber products and Energy Act of 2008 (Pub. L. 110– of automated collection techniques or covered. The softwood lumber and 246), whereby importers of certain other forms of information technology; softwood lumber products covered by softwood lumber and softwood lumber and (e) estimates of capital or startup this section are those products products are required to submit the costs and costs of operations, described in section 804(a) of Title VIII

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of the Tariff Act of 1930, as amended cannot be determined, the export price export charge, if any, to be collected by (19 U.S.C. 1202 et seq.). will be the market price for the identical the country (including any political (c) Entry requirements for shipments softwood lumber or softwood lumber subdivision of the country) from which subject to the importer declaration product sold in an arm’s-length the softwood lumber or softwood program. For each shipment of softwood transaction in the country of export at lumber product was exported pursuant lumber or softwood lumber products approximately the same time as the to an international agreement entered described in section 804(a) of Title VIII exported softwood lumber or softwood into by that country and the United to the Tariff Act of 1930, as amended, lumber product. The market price will States as calculated by applying the (19 U.S.C. 1202 et seq.) that is entered be determined in the following order of percentage determined and published or withdrawn from warehouse for preference: by the Under Secretary for International consumption, in the customs territory of (1) The market price for the softwood Trade of the Department of Commerce the United States, the following lumber or softwood lumber product sold to the export price. Any applicable information must be electronically at substantially the same level of trade estimated export charge must be submitted to CBP (except that, pursuant (as described in 19 CFR 351.412(c)) as expressed in U.S. dollars and reported to 19 CFR 12.140(c), entries of softwood the exported softwood lumber or on the entry summary in the designated lumber and softwood lumber products softwood lumber product but in space. for which a Certificate of Origin has different quantities. (ii) For purposes of this paragraph, the been issued from Canada’s Maritime (2) The market price for the softwood terms ‘‘estimated export charge’’ or Lumber Bureau must be submitted to lumber or softwood lumber product sold ‘‘export charge’’ mean any tax, charge, CBP in paper): at a different level of trade (as defined or other fee collected by the country (1) Export price. Each importer must in 19 CFR 351.412(c)) than the exported from which softwood lumber or a provide the export price, expressed in softwood lumber or softwood lumber softwood lumber product, as described U.S. dollars, on the entry summary in product but in similar quantities. in section 804(a) within Title VIII of the the designated space provided on the (3) The market price for the softwood Tariff Act of 1930 (19 U.S.C. 1202 et CBP Form 7501. lumber or softwood lumber product sold seq.), as amended, is exported pursuant (i) For purposes of this section, at a different level of trade (as defined to an international agreement entered ‘‘export price’’ means one of the in 19 CFR 351.412(c)) than the exported into by that country and the United following: softwood lumber or softwood lumber States. (A) In the case of softwood lumber or product and in different quantities. (3) Importer declaration. (i) Each a softwood lumber product that has (ii) For purposes of paragraph (c)(1) of importer, except as provided in undergone only primary processing, the this section, the following definitions paragraph (c)(3)(ii) of this section, must value that would be determined F.O.B. apply: provide a softwood lumber declaration at the facility where the product (A) F.O.B. The term ‘‘F.O.B.’’ means a on the electronic entry summary by underwent the last primary processing value consisting of all charges payable entering the letter code ‘‘Y’’ in the first before export. by a purchaser, including those charges space of the field designated for the (B) In the case of softwood lumber or incurred in the placement of estimated export charge data. a softwood lumber product that merchandise on board of a conveyance (ii) Each importer of softwood lumber underwent the last remanufacturing for shipment, but does not include the and softwood lumber products for before export by a manufacturer who actual shipping charges or any which a Certificate of Origin has been does not hold tenure rights provided by applicable export charges. issued from Canada’s Maritime Lumber the country of export, did not acquire (B) Related to the person. The term Bureau must provide a softwood lumber standing timber directly from the ‘‘related to the person’’ means: declaration on the paper entry summary country of export, and is not related to (1) A person bears a relationship to by entering the letter code ‘‘Y’’ in the the person who holds tenure rights or such other person described in section first space of the field designated for the acquired standing timber directly from 152(a) of the Internal Revenue Code of estimated export charge. See 19 CFR the country of export, the value that 1986; 12.140(c), would be determined F.O.B. at the (2) A person bears a relationship to (iii) The letter code ‘‘Y’’ represents the facility where the softwood lumber or such person described in section 267(b) importer’s declaration to CBP that: softwood lumber product underwent the of the Internal Revenue Code of 1986, (A) The importer has made last primary processing. except that ‘‘5 percent’’ will be appropriate inquiry, including seeking (C) In the case of softwood lumber or substituted for ‘‘50 percent’’ each place appropriate documentation from the a softwood lumber product that it appears; exporter and consulting the underwent the last remanufacturing (3) The person and such other person determinations published by the Under before export by a manufacturer who are part of a controlled group of Secretary for International Trade of the holds tenure rights provided by the corporations, as that term is defined in Department of Commerce pursuant to country of export, acquired standing section 1563(a) of the Internal Revenue section 805(b) of Title VIII of the Tariff timber directly from the country of Code of 1986, except that ‘‘5 percent’’ Act of 1930, as amended (19 U.S.C. 1202 export, or is related to the person who will be substituted for ‘‘80 percent’’ et seq.); and holds tenure rights or acquired standing each place it appears; (B) To the best of the person’s timber directly from the country of (4) The person is an officer or director knowledge and belief: export, the value that would be of such other person; or (1) The export price provided is determined F.O.B. at the facility where (5) The person is the employer of such determined in accordance with the the softwood lumber or softwood other person. definition set forth in section 802(5) of lumber product underwent the last (C) Tenure rights. The term ‘‘tenure Title VIII of the Tariff Act of 1930, as processing before export. rights’’ means rights to harvest timber amended (19 U.S.C. 1202 et seq.); (D) In the case of softwood lumber or from public land granted by the country (2) The export price provided is a softwood lumber product described in of export. consistent with the export price paragraphs (c)(1)(i)(A), (B) or (C) of this (2) Estimated export charge. (i) Each provided on the export permit, if any, section for which an F.O.B. value importer must provide the estimated granted by the country of export; and

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(3) The exporter has paid, or PART 163—RECORDKEEPING merchandise is determined on the basis committed to pay, all export charges of the ‘‘first or earlier sale’’ of goods— due in accordance with the volume, I 4. The authority citation for part 163 the first sale in which the goods are export price, and export charge rate or continues to read as follows: ‘‘sold for exportation to the United rates, if any, as calculated under an Authority: 5 U.S.C. 301; 19 U.S.C. 66, States’’ or any other sale earlier than the international agreement entered into by 1484, 1508, 1509, 1510, 1624. last sale prior to the introduction of the the country of export and the United I 5. The Appendix to part 163 is merchandise into the United States. CBP States and consistent with the export amended by adding, in numerical order, will then report the frequency of the use charge determinations published by the a listing for § 12.142 under section IV to of the ‘‘first sale’’ rule and other Under Secretary for International Trade read as follows: associated data to the International of the Department of Commerce. Trade Commission (ITC) on a monthly Appendix to Part 163—Interim (a)(1)(A) basis. (iv) Any substantiating List documentation that supports an DATES: This interim rule is effective on importer’s softwood lumber declaration * * * * * August 20, 2008. Comments must be is subject to the recordkeeping IV. * * * received on or before October 24, 2008. provisions set forth in part 163 of title § 12.142 Softwood Lumber Importer ADDRESSES: You may submit comments, 19 to the CFR. Declaration Supporting Documentation, identified by docket number, by one of Softwood Lumber Home Packages and Kits the following methods: (d) Entry requirements for home • packages and kits—(1) Declaration and Documentation. Federal eRulemaking Portal: http:// required documentation. Home * * * * * www.regulations.gov. Follow the packages and kits as described in instructions for submitting comments W. Ralph Basham, via docket number USCBP–2008–0062. section 804(c)(7)(A)(i) through (iv) of the • Title VIII of the Tariff Act of 1930, as Commissioner, U.S. Customs and Border Mail: Trade and Commercial Protection. amended (19 U.S.C. 1202 et seq.) are not Regulations Branch, U.S. Customs and subject to the entry requirements set Approved: August 20, 2008. Border Protection, 1300 Pennsylvania forth in paragraph (c) of this section. Timothy E. Skud, Avenue, NW., (Mint Annex), However, the importer is required to Deputy Assistant Secretary of the Treasury. Washington, DC 20229. Instructions: All submissions received make a declaration pursuant to section [FR Doc. E8–19641 Filed 8–22–08; 8:45 am] must include the agency name and 804(c)(7)(B) and is required to retain BILLING CODE 9111–14–P docket number for this rulemaking. All and produce upon demand by CBP, the comments received will be posted following documentation: DEPARTMENT OF HOMELAND without change to http:// (i) A copy of the appropriate home SECURITY www.regulations.gov, including any design, plan, or blueprint matching the personal information provided. For customs entry in the United States. Bureau of Customs and Border detailed instructions on submitting (ii) A purchase contract from a retailer Protection comments and additional information of home kits or packages signed by a on the rulemaking process, see the customer not affiliated with the DEPARTMENT OF THE TREASURY ‘‘Public Participation’’ heading of the importer. SUPPLEMENTARY INFORMATION section of (iii) A listing of all parts in the 19 CFR Part 141 this document. Docket: For access to the docket to package or kit being entered into the [Docket No. USCBP–2008–0062] United States that conforms to the home read background documents or design, plan, or blueprint for which RIN 1505–AB96; CBP Dec. 08–31 comments received, go to http:// such parts are being imported. www.regulations.gov. Submitted First Sale Declaration Requirement comments may also be inspected on (iv) If a single contract involved AGENCIES: Customs and Border regular business days between the hours multiple entries, an identification of all of 9 a.m. and 4:30 p.m. at the Trade and the items required to be listed under Protection, Department of Homeland Security; Department of the Treasury. Commercial Regulations Branch, Office paragraph (d)(1)(iii) of this section that of International Trade, Regulations and ACTION: Interim rule; solicitation of are included in each individual Rulings, Customs and Border Protection, comments. shipment. 799 9th Street, NW. (5th Floor), (2) Records and retention. There is no SUMMARY: This document establishes an Washington, DC. Arrangements to requirement to present physical copies importer declaration requirement inspect submitted comments should be of the softwood lumber home packages pursuant to section 15422(a) of the made in advance by calling Mr. Joseph and kits documentation to CBP at the Food, Conservation, and Energy Act of Clark at (202) 572–8768. time of filing the entry summary; 2008 to assist Customs and Border FOR FURTHER INFORMATION CONTACT: however copies must be maintained in Protection (CBP) in gathering Monika Brenner, Valuation and Special accordance with the applicable information for all goods entered for Programs Branch, Regulations and recordkeeping provisions set forth in consumption or withdrawn from Rulings, Office of International Trade, part 163 of title 19 to the CFR. warehouse for consumption on the (202) 572–8835. (e) Other softwood lumber entry transaction valuation of goods imported SUPPLEMENTARY INFORMATION: requirements. Other entry requirements into the United States. Effective for a may be applicable to certain imports of one-year period beginning August 20, Public Participation softwood lumber or softwood lumber 2008, all importers will be required to Interested persons are invited to from Canada. Importers are advised to provide a declaration to CBP at the time participate in this rulemaking by refer to § 12.140 (19 CFR 12.140) of this of filing a consumption entry when, in submitting written data, views, or chapter for information regarding a series of sequential sales, the arguments on all aspects of the interim applicability and entry requirements. transaction value of the imported rule. Customs and Border Protection

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(CBP) also invites comments that relate • ITC must submit a report to the consultation with the TSN, that it will to the economic, environmental, or House Ways and Means Committee and require importers to provide one data federalism effects that might result from the Senate Finance Committee within element. this interim rule. Comments that will 90 days of receipt of CBP’s final In order to implement the above provide the most assistance will monthly report. requirement of the Act, importers will reference a specific portion of the • A ‘‘sense of Congress’’ provision be required to insert a single code on interim rule, explain the reason for any advises that CBP not amend its CBP Form 7501 at the line-item level, recommended change, and include data, interpretation of ‘‘sold for exportation to indicating when first sale was used to information, or authority that support the United States’’ for purposes of determine the value of the imported such recommended change. applying the transaction value of the merchandise. An importer will be imported merchandise in a series of required to enter an ‘‘F’’ next to the Background sales before January 1, 2011. Beginning declared value if the value of the The value of merchandise imported on January 1, 2011, CBP may propose to merchandise is based on transaction into the United States is determined change its interpretation only if CBP: (1) value, and the transaction value of the primarily under transaction value which Consults with and provides notice to the merchandise is based on the price paid the U.S. value law, set forth in 19 U.S.C. committees noted above not less than by the buyer in the ‘‘first or earlier sale.’’ 1401a, defines as ‘‘the price actually 180 days prior to proposing a change This special indicator code will enable paid or payable for the merchandise and not less than 90 days prior to CBP to fulfill its information collection when sold for exportation to the United publishing a change; (2) consults with, obligation under the Act. provides notice to, and takes into States’’ plus specified additions to that Inapplicability of Notice and Delayed consideration views expressed by the amount. 19 U.S.C. 1401a(b)(1). The Effective Date Requirements phrase ‘‘sold for exportation to the Commercial Operations Advisory United States’’ is not defined in 19 Committee not less than 120 days prior Pursuant to 5 U.S.C. 553(b)(B) and U.S.C. 1401a, nor in the implementing to proposing a change and not less than (d)(3), CBP has determined that it would regulations set forth in part 152 of title 60 days prior to publishing a change; be impracticable and contrary to the 19 of the Code of Federal Regulations and (3) receives the explicit approval of public interest to delay publication of (19 CFR part 152). the Secretary of the Treasury prior to this rule in final form pending an publishing a change. CBP should also opportunity for public comment and Notice of Proposed Interpretation take into consideration the ITC report that there is good cause for this interim On January 24, 2008, CBP published before publishing any change to the rule to become effective immediately in the Federal Register (73 FR 4254) a expression ‘‘sold for exportation to the upon publication. These interim notice informing interested parties that United States.’’ amendments to 19 CFR 141.61(g) conform the regulations to the CBP proposed a new interpretation of Required Information on Entry information collection requirements set the expression ‘‘sold for exportation to Summary (CBP Form 7501) the United States’’ for purposes of forth in section 15422(a) of the Food, In addition to the entry and entry Conservation, and Energy Act of 2008, applying the transaction value method summary information otherwise of valuation in a series of sales Public Law 110–234, 122 Stat. 1547 (19 required for importation into the United U.S.C. 1484 note), which is effective importation scenario. Under this States, as per section 484 of the Tariff proposed new interpretation in a August 20, 2008. These interim Act of 1930, as amended (19 U.S.C. amendments inform the public of the transaction involving a series of sales, 1484), the Act obligates CBP to require the price paid in the last sale occurring procedures necessary to comply with that a U.S. importer of merchandise the statutory requirements. For these prior to the introduction of the goods provide a declaration at the time of into the United States, instead of an reasons, pursuant to the provisions of 5 entry of the merchandise on the entry U.S.C. 553(d)(3), CBP finds that there is earlier sale, would be considered the summary form, CBP Form 7501, as to price actually paid or payable for the good cause for dispensing with a whether the value of the imported delayed effective date. imported goods when sold for merchandise was determined on the exportation to the United States. CBP is basis of the price paid by the buyer in Regulatory Flexibility Act and withdrawing the notice of proposed the ‘‘first or earlier sale.’’ Executive Order 12866 interpretation. On June 10, 2008, CBP participated in Because no notice of proposed Food, Conservation, and Energy Act of a teleconference call with members of rulemaking is required for this interim 2008 the Trade Support Network (TSN), a rule, the provisions of the Regulatory group of private-sector trade Flexibility Act (5 U.S.C. 601 et seq.) do On May 22, 2008, Congress passed the representatives that provides CBP with not apply. Further, these interim Food, Conservation, and Energy Act of input on the development of Customs amendments do not meet the criteria for 2008 (the ‘‘Act’’), Public Law 110–234, Modernization projects. Participants in a ‘‘significant regulatory action’’ as 122 Stat. 1547 (19 U.S.C. 1484 note). the call discussed various ways to specified in E.O. 12866. Section 15422 of the Act, in pertinent indicate when customs value is based part, requires: on the ‘‘first sale’’ on CBP Form 7501. Paperwork Reduction Act • CBP must collect a declaration as to Initially, CBP had considered requiring The collections of information in this whether the transaction value of the importers to provide three data elements document are contained in § 141.61(g) imported merchandise is determined on on CBP Form 7501. During the (19 CFR 141.61(g)). This information is the basis of the price paid in the first or teleconference, CBP agreed with TSN used by CBP to fulfill its information earlier sale occurring prior to the members that requiring importers to collection obligations under section introduction of the merchandise into the provide as few data elements as possible 15422(a) of the Food, Conservation, and United States. would be the most efficient and least Energy Act of 2008, Public Law 110– • CBP must provide the collected burdensome manner in which to 234, 122 Stat. 1547 (19 U.S.C. 1484 information to the ITC on a monthly implement the declaration requirement. note), which mandates that CBP require basis. CBP has concluded, based upon its a U.S. importer of merchandise to

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provide information at the time of entry merchandise is determined on the basis and 21 CFR 822.8 to correct an of the merchandise on the entry of the price paid by the buyer in a sale inadvertent omission of the mailing summary form, CBP Form 7501, as to occurring earlier than the last sale prior address for CDRH. Submissions whether the value of the imported to the introduction of the merchandise regarding a medical device must be sent merchandise was determined on the into the United States. to the address of the appropriate center basis of the price paid by the buyer in that has regulatory responsibility for the W. Ralph Basham, the ‘‘first or earlier sale.’’ The likely medical device. Therefore, FDA is respondents are business organizations Commissioner, U.S. Customs and Border updating these regulations to include Protection. including importers and brokers. An address information for all appropriate agency may not conduct or sponsor, and Approved: August 20, 2008. centers. a person is not required to respond to, Timothy E. Skud, Publication of this document a collection of information unless it Deputy Assistant Secretary of the Treasury. constitutes final action under the displays a valid control number [FR Doc. E8–19640 Filed 8–20–08; 4:15 pm] Administrative Procedures Act (5 U.S.C. assigned by OMB. This collection of BILLING CODE 9111–14–P 553). FDA has determined that notice information falls under the previously and public comment are unnecessary approved collection 1651–0022 for the because this amendment to the Entry Summary, CBP Form 7501. DEPARTMENT OF HEALTH AND regulations provides only technical Signing Authority HUMAN SERVICES changes to correct an inaccurate citation and typographical errors, and to update This document is being issued in Food and Drug Administration mailing addresses and other accordance with § 0.1(a)(1) of title 19 of information, and is nonsubstantive. the Code of Federal Regulations (19 CFR 21 CFR Parts 16, 610, 640, 812, 814, 0.1(a)(1)) pertaining to the authority of 822, and 860 List of Subjects the Secretary of the Treasury (or his/her [Docket No. FDA–2008–N–0423] 21 CFR Part 16 delegate) to approve regulations related to certain customs revenue functions. Administrative practice and FDA Regulations; Technical procedure. List of Subjects in 19 CFR Part 141 Amendment 21 CFR Part 610 Customs duties and inspection, Entry AGENCY: Food and Drug Administration, of merchandise, Reporting and HHS. Biologics, Labeling, Reporting and recordkeeping requirements. recordkeeping requirements. ACTION: Final rule; technical Amendments to the Regulations amendment. 21 CFR Part 640 I For the reasons stated above, part 141 SUMMARY: The Food and Drug Blood, Labeling, Reporting and of title 19 of the Code of Federal Administration (FDA) is amending a recordkeeping requirements. Regulations (19 CFR part 141) is regulatory hearing process regulation to 21 CFR Part 812 amended as set forth below. correct an inaccurate citation, and regulations pertaining to biological Health records, Medical devices, PART 141—ENTRY OF MERCHANDISE products to correct two typographical Medical research, Reporting and recordkeeping requirements. I 1. The general authority citation for errors. FDA is also amending certain part 141 continues to read, and the medical device regulations to include 21 CFR Part 814 references to and mailing address specific authority for § 141.16 is added, Administrative practice and to read as follows: information for the Center for Biologics Evaluation and Research (CBER), Center procedure, Confidential business Authority: 19 U.S.C. 66, 1448, 1484, 1624. for Drug Evaluation and Research information, Medical devices, Medical * * * * * (CDER), and Center for Devices and research, Reporting and recordkeeping Section 141.61 also issued under sec. Radiological Health (CDRH). This action requirements. 15422(a), Pub. L. 110–234, 122 Stat. 1547 (19 is being taken to ensure the accuracy of U.S.C. 1484 note) and 19 U.S.C. 1401a. 21 CFR Part 822 FDA’s regulations. * * * * * Medical devices, Reporting and DATES: This rule is effective August 25, I recordkeeping requirements. 2. Section 141.61 is amended by 2008. adding a new paragraph (g) to read as FOR FURTHER INFORMATION CONTACT: 21 CFR Part 860 follows: Denise Sa´nchez, Center for Biologics Administrative practice and § 141.61 Completion of entry and entry Evaluation and Research (HFM–17), procedure, Medical devices. summary documentation. Food and Drug Administration, 1401 I Therefore, under the Federal Food, * * * * * Rockville Pike, suite 200N, Rockville, Drug, and Cosmetic Act, and Public (g) Declaration of value. Pursuant to MD 20852–1448, 301–827–6210. Health Service Act, and under authority section 15422(a) of the Food, SUPPLEMENTARY INFORMATION: delegated to the Commissioner of Food Conservation, and Energy Act of 2008 I. Background and Drugs, 21 CFR parts 16, 610, 640, (Pub. L. 110–234), for all goods entered 812, 814, 822, and 860 are amended as for consumption or withdrawn from FDA is amending 21 CFR 16.1 to follows: warehouse for consumption from correct an inaccurate citation and is August 20, 2008 through August 19, amending 21 CFR 610.51 and 21 CFR PART 16—REGULATORY HEARING 2009, an importer of merchandise must 640.53 to correct typographical errors. BEFORE THE FOOD AND DRUG enter an ‘‘F’’ next to the declared value FDA is also amending its medical ADMINISTRATION on CBP Form 7501, or the electronic device regulations in 21 CFR 812, 814, filing equivalent, when the declared and 860 to include references to and I 1. The authority citation for 21 CFR transaction value of the imported mailing addresses for CBER and CDER, part 16 continues to read as follows:

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Authority: 15 U.S.C. 1451–1461; 21 U.S.C. PART 814—PREMARKET APPROVAL (3) For devices regulated by the 141–149, 321–394, 467f, 679, 821, 1034; 28 OF MEDICAL DEVICES Center for Drug Evaluation and U.S.C. 2112; 42 U.S.C. 201–262, 263b, 364. Research, send this information to the I 9. The authority citation for 21 CFR § 16.1 [Amended] Central Document Control Room, Center part 814 continues to read as follows: for Drug Evaluation and Research, Food I 2. Section 16.1 is amended in Authority: 21 U.S.C. 351, 352, 353, 360, and Drug Administration, 5901–B paragraph (b)(2), by removing 360c–360j, 371, 372, 373, 374, 375, 379, 379e, Ammendale Rd., Beltsville, MD 20705– ‘‘§ 1270.15(e)’’ and adding in its place 381. 1266. ‘‘§ 1270.43(e)’’. I 10. Section 814.42 is amended by revising the fourth sentence of PART 822—POSTMARKET PART 610—GENERAL BIOLOGICAL paragraph (d)(2) to read as follows: SURVEILLANCE PRODUCTS STANDARDS § 814.42 Filing a PMA. I 13. The authority citation for 21 CFR I 3. The authority citation for 21 CFR * * * * * part 822 continues to read as follows: part 610 continues to read as follows: (d) * * * Authority: 21 U.S.C. 331, 352, 360i, 360l, (2) * * * If FDA does not reverse its Authority: 21 U.S.C. 321, 331, 351, 352, 371, 374. decision not to file the PMA, the 353, 355, 360, 360c, 360d, 360h, 360i, 371, I 14. Section 822.8 is amended by applicant may request reconsideration 372, 374, 381; 42 U.S.C. 216, 262, 263, 263a, adding a sentence after the first sentence of the decision from the Director of the 264. to read as follows: Center for Devices and Radiological § 610.53 [Amended] Health, the Director of the Center for § 822.8 When, where, and how must I I 4. Section 610.53 is amended in Biologics Evaluation and Research, or submit my postmarket surveillance plan? paragraph (c) in the table, under column the Director of the Center for Drug * * * For devices regulated by the A, by removing the words Evaluation and Research, as applicable. Center for Devices and Radiological ‘‘Cryoprecipitated AFH’’ and adding in *** Health, send three copies of your their place ‘‘Cryoprecipitated AHF.’’ * * * * * submission to the Postmarket I 11. Section 814.100 is amended by Surveillance Document Center (HFZ– PART 640—ADDITIONAL STANDARDS revising paragraph (c)(2) to read as 541), Epidemiology Branch, Center for FOR HUMAN BLOOD AND BLOOD follows: Devices and Radiological Health, Food PRODUCTS and Drug Administration, 9200 § 814.100 Purpose and scope. Corporate Blvd., Rockville, MD 20850– I 5. The authority citation for 21 CFR * * * * * 3229. * * * part 640 continues to read as follows: (c) * * * (2) Submitting an HDE to the Office of PART 860—MEDICAL DEVICE Authority: 21 U.S.C. 321, 351, 352, 353, Device Evaluation (ODE), Center for CLASSIFICATION PROCEDURES 355, 360, 371; 42 U.S.C. 216, 262, 263, 263a, 264. Devices and Radiological Health (CDRH), the Center for Biologics I 15. The authority citation for 21 CFR § 640.51 [Amended] Evaluation and Research (CBER), or the part 860 continues to read as follows: Center for Drug Evaluation and Research I 6. Section 640.51 is amended in Authority: 21 U.S.C. 360c, 360d, 360e, (CDER), as applicable. 360i, 360j, 371, 374. paragraph (b) by removing the word I ‘‘Plasmaphersis’’ and adding in its place * * * * * 16. Section 860.7 is amended by ‘‘Plasmapheresis.’’ I 12. Section 814.104 is amended by revising paragraph (g)(4) to read as revising paragraph (d) to read as follows: PART 812—INVESTIGATIONAL follows: § 860.7 Determination of safety and DEVICE EXEMPTIONS § 814.104 Original applications. effectiveness. I 7. The authority citation for 21 CFR * * * * * * * * * * (g) * * * part 812 continues to read as follows: (d) Address for submissions and correspondence. Copies of all original (4) Required information that has Authority: 21 U.S.C. 331, 351, 352, 353, HDEs amendments and supplements, as been submitted previously to the Center 355, 360, 360c–360f, 360h–360j, 371, 372, well as any correspondence relating to for Devices and Radiological Health, the 374, 379e, 381, 382, 383; 42 U.S.C. 216, 241, an HDE, must be sent or delivered to the Center for Biologics Evaluation and 262, 263b–263n. following: Research, or the Center for Drug I 8. Section 812.20 is amended by (1) For devices regulated by the Evaluation and Research, as applicable, revising paragraph (d) to read as Center for Devices and Radiological need not be resubmitted, but may be follows: Health, send this information to the incorporated by reference. Document Mail Center (HFZ–401), § 812.20 Application. I 17. Section 860.123 is amended by Office of Device Evaluation, Center for revising paragraph (b)(1) to read as * * * * * Devices and Radiological Health, Food follows: (d) Information previously submitted. and Drug Administration, 9200 Information previously submitted to the Corporate Blvd., Rockville, MD 20850. § 860.123 Reclassification petition: Center for Devices and Radiological (2) For devices regulated by the Content and form. Health, the Center for Biologics Center for Biologics Evaluation and * * * * * Evaluation and Research, or the Center Research, send this information to the (b) * * * for Drug Evaluation and Research, as Document Control Center (HFM–99), (1) For devices regulated by the applicable, in accordance with this Center for Biologics Evaluation and Center for Devices and Radiological chapter ordinarily need not be Research, Food and Drug Health, addressed to the Food and Drug resubmitted, but may be incorporated by Administration, 1401 Rockville Pike, Administration, Center for Devices and reference. suite 200N, Rockville, MD 20852–1448. Radiological Health, Regulations Staff

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(HFZ–215), 1350 Piccard Dr., Rockville, authority for deciding claims worth less Financial Officer will make the written MD 20857; for devices regulated by the than $5,000. determination. Center for Biologics Evaluation and This rule amends section 304.10(b) to Dated: August 18, 2008. provide that the Chief Financial Officer Research, addressed to the Document Tyler Posey, Control Center (HFM–99), Center for will make final determinations for General Counsel. Biologics Evaluation and Research, claims worth less than $5,000. Food and Drug Administration, 1401 [FR Doc. E8–19642 Filed 8–22–08; 8:45 am] Executive Order 12866 Rockville Pike, suite 200N, Rockville, BILLING CODE 6015–01–P MD 20852–1448; for devices regulated This regulation has been determined by the Center for Drug Evaluation and to be non-significant within the Research, addressed to the Central meaning of Executive Order 12866. DEPARTMENT OF THE INTERIOR Document Control Room, Center for Regulatory Flexibility Act of 1980 (5 Minerals Management Service Drug Evaluation and Research, Food U.S.C. 605(b)) and Drug Administration, 5901–B 30 CFR Parts 203, 250, 251, 256, 280, Ammendale Rd., Beltsville, MD 20705– This regulatory action will not have a 281, and 290 1266, as applicable. significant adverse impact on a substantial number of small entities. * * * * * [Docket ID: MMS–2007–OMM–0065] Dated: August 18, 2008. Unfunded Mandates Act of 1995 (Sec. RIN 1010–AD43 Jeffrey Shuren, 202, Pub. L. 104–4) Electronic Payment of Fees for Outer Associate Commissioner for Policy and This regulatory action does not Planning. contain a Federal mandate that will Continental Shelf Activities [FR Doc. E8–19654 Filed 8–22–08; 8:45 am] result in the expenditure by state, local, AGENCY: Minerals Management Service BILLING CODE 4160–01–S and tribal governments, in aggregate, or (MMS), Interior. by the private sector of $100 million or ACTION: Final rule. more in any one year. PEACE CORPS Paperwork Reduction Act of 1995 (44 SUMMARY: This final rule requires that U.S.C., Chapter 35) all lessees, operators, permittees, and 22 CFR Part 304 right-of-way holders pay all fees for This regulatory action will not impose processing plans, applications, and RIN 0420–AA23 any additional reporting or permits electronically. This rule will aid recordkeeping requirements under the industry in payment processing and Claims Against the Government Under Paperwork Reduction Act. the Federal Tort Claims Act reduce payment processing errors. This Federalism (Executive Order 13132) rule will improve MMS processing AGENCY: Peace Corps. efficiency and facilitate the correction of This regulatory action does not have industry payment errors. The MMS will ACTION: Final rule. Federalism implications, as set forth in not accept checks, money orders, or Executive Order 13132. It will not have SUMMARY: The Peace Corps is revising cashier’s checks for payment of fees substantial direct effects on the States, its regulation concerning claims filed after the effective date of this final rule. on the relationship between the national under the Federal Tort Claims Act, to The final rule also adjusts certain cost government and the States, or on the make the regulation internally recovery fees for inflation. consistent with another provision distribution of power and responsibilities among the various DATES: Effective Date: This rule becomes stating that the Chief Financial Officer effective on September 24, 2008. has authority to approve claims for levels of government. FOR FURTHER INFORMATION CONTACT: Kirk amounts under $5000. List of Subjects in 22 CFR Part 304 Malstrom, Office of Offshore Regulatory DATES: The final rule is effective Claims. Programs, Regulations and Standards September 24, 2008. I Accordingly, Peace Corps amends 22 Branch, (703) 787–1751. FOR FURTHER INFORMATION CONTACT: CFR part 304 as follows: SUPPLEMENTARY INFORMATION: Nancy G. Miller, Associate General Counsel, Office of the General Counsel, PART 304—CLAIMS AGAINST THE Background 202–692–2150. GOVERNMENT UNDER THE FEDERAL The MMS published a proposed rule SUPPLEMENTARY INFORMATION: The Peace TORT CLAIMS ACT on December 21, 2007 (72 FR 72648), Corps published a proposed rule on July that would require all lessees, operators, I 1. The authority citation for part 304 9, 2008, for public review and comment. pipeline right-of-way (ROW) holders, continues to read as follows: See 73 FR 39270, (July 9, 2008). The and permittees to submit payments for Peace Corps received no public Authority: 28 U.S.C. 2672; 22 U.S.C. cost recovery service fees electronically. comments and the Agency has made no 2503(b); E.O. 12137, as amended. The comment period for the proposed further revisions. Therefore, this rule is I 2. Amend § 304.10 by revising rule closed February 19, 2008, and final and will be effective on the date paragraph (b) to read as follows: Chevron submitted the one and only stated above. comment on the proposed rule. The On March 16, 2007, Peace Corps § 304.10 Review of claim. commenter supports the concept of revised 22 CFR 304.7 to provide that the * * * * * submitting fees electronically through Chief Financial Officer ‘‘has the (b) After legal review and Pay.gov. The commenter stated authority to adjust, determine, recommendation by the General concerns about only using Pay.gov and compromise, and settle claims for less Counsel, the Director of the Peace Corps provided rule language to allow than $5,000.’’ This final rule will rectify will make a written determination on alternatives for a different payment an omission in sec. 304.10 which did the claim, unless the claim is worth less portal if so needed. The MMS believes not refer to the Chief Financial Officer’s than $5,000, in which case the Chief Pay.gov to be the best option for paying

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electronically. Pay.gov is the U.S. different address than application, and 30 CFR 250.125(a). The proposed rule Treasury’s government-wide collection closing an account shortly after the clearly states that the final rule will portal which was developed specifically check is sent to MMS. Check payment contain the updated fees. The following for Federal agencies to process errors can result in delay or lead to explains the methodology used to collections electronically using Internet denial of an application or permit due update the fees for inflation. technologies. to non-payment. Rectifying a check There are two sets of fees that are The MMS proposed the rulemaking to payment error requires additional time adjusted. The first set of fees is from the improve the application and fee process and expense from industry, MMS, or 2005 cost recovery rule published and to alleviate industry payment errors both. Electronic payments are more August 25, 2005 (70 FR 49871), and the associated with non-electronic efficient and less prone to mistakes than second set of fees is from the 2006 cost payments. Most errors encountered are check payments. recovery rule published July 19, 2006 associated with check payments. This final rule has the same (71 FR 40904). The fees in the 2005 cost Examples of check payment errors requirements as the proposed rule, with recovery rule have been adjusted with include incorrect date, incorrect the exception of updating the cost inflation rates from 2005–2007 as shown payment amount, check sent to a recovery fees for inflation as allowed by in the following formula:

2005 Cost 2005 Cost 2005 Annual Recovery Fee Recovery Fee Inflation Rate Adjusted Fee 2006 AIR of Adjusted Fee 2007 AIR of Adjusted for Amount + (AIR) of = for 2005 AIR + 3.16% = for 2006 AIR + 2.66% = 2007 AIR (Current Fee) 3.23% (Updated Fee)

To update the 2005 cost recovery rule 3.16 percent. Finally, we used that latest recovery rule fees increase by fees, we started with the 2005 fee adjusted amount and increased it by the approximately 9 percent. amount and increased it by the 2005 2007 inflation rate of 2.66 percent. The The fees in the 2006 cost recovery inflation rate of 3.23 percent. We then results were rounded to the nearest rule are updated with inflation rates used that adjusted amount and dollar and are part of the new fee from 2006 and 2007 as shown in the increased it by the 2006 inflation rate of amounts in this rule. The 2005 cost following formula:

2006 Cost Recovery 2006 Annual Inflation 2006 Cost Recovery Fee Amount + Rate = Adjusted Fee for 2006 + 2007 AIR of 2.66% = Fee Adjusted for 2007 (Current Fee) (AIR) of 3.16% AIR AIR (Updated Fee)

To update the 2006 cost recovery rule Procedural Matters expanding electronic government or ‘‘E- fees, we used the fee amount set in the Government.’’ Regulatory Planning and Review 2006 rule and increased it by the 2006 (Executive Order (E.O.) 12866) (3) This final rule will not alter the inflation rate of 3.16 percent. We then budgetary effects of entitlements, grants, used that adjusted rate and increased it This final rule is not a significant rule user fees or loan programs, or the rights by the 2007 inflation rate of 2.66 as defined by E.O. 12866 and is not or obligations of their recipients. percent. The results were rounded to the subject to review under E.O. 12866. (4) This final rule will not raise novel nearest dollar and are part of the new (1) This final rule will not have an legal or policy issues. annual effect of $100 million or more on fee amounts in this rule. The 2006 cost Regulatory Flexibility Act recovery rule fees increase by the economy. It will not adversely affect approximately 6 percent. in a material way the economy, The Department of the Interior productivity, competition, jobs, the certifies that this final rule will not have The inflation rates are calculated from environment, public health or safety, or a significant economic effect on a the percent difference between the gross State, local, or tribal governments or substantial number of small entities domestic product for one year and the communities. This final rule will under the Regulatory Flexibility Act (5 previous year as contained in the require all fees be paid electronically U.S.C. 601 et seq.). Bureau of Economic Analysis (BEA) through Pay.gov and adjust certain cost The changes in the rule will affect Table 1.1.9., Implicit Price Deflators for recovery fees by inflation only. This lessees, operators of leases, pipeline Gross Domestic Product. The 2007 rulemaking does slightly increase costs right-of-way (ROW) holders in the OCS, inflation rate of 2.66 percent is current due to inflation of the cost recovery fees; and permittees. This could include as of the March 27, 2008, BEA table. We however, the total annual increase in about 130 active Federal oil and gas expect BEA to revise the rate during fees industry-wide is estimated at lessees, 88 pipeline ROW holders, and future updates and, as in the last few $800,000. No new equipment is 10 geophysical companies. Small years, we expect revisions to be upward. required by this rulemaking. lessees that operate under this rule Even if BEA revises the inflation rate, (2) This final rule will not create a mostly fall under the Small Business MMS will retain the published fee serious inconsistency or otherwise Administration’s (SBA) North American schedule until the next update or fee interfere with an action taken or Industry Classification System (NAICS) recalculation. The MMS also made a planned by another agency. By requiring Codes 211111, Crude Petroleum and few minor additional changes to the electronic payment through the Pay.gov Natural Gas Extraction, and 213111, proposed rule for clarity. system, MMS is supporting the Drilling Oil and Gas Wells. For these President’s Management Agenda of NAICS code classifications, a small

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company is one with fewer than 500 enforcement actions. The Ombudsman reviewed to eliminate errors and employees. Based on these criteria, an will annually evaluate the enforcement ambiguity, be written to minimize estimated 70 percent of these companies activities and rate each agency’s litigation, and promote simplification are considered small. responsiveness to small business. If you and burden reduction; and A pipeline ROW holder (non- wish to comment on the actions of (b) Meets the criteria of section 3(b)(2) producer) is a small entity if it is a MMS, call 1–888–734–3247. You may requiring that all regulations be written liquid pipeline company with fewer comment to the Small Business in clear language and contain clear legal than 1,500 employees, or a natural gas Administration without fear of standards. pipeline company with gross annual retaliation. Consultation With Indian Tribes (E.O. receipts of $6.5 million or less. We 13175) estimate that 18 entities could be Small Business Regulatory Enforcement categorized as small independent Fairness Act Under the criteria in E.O. 13175, we pipeline companies in the sense that The final rule is not a major rule have evaluated this rule and determined they provide transportation services for under 5 U.S.C. 804(2) of the Small that it has no substantial direct effects several non-major oil or gas producers. Business Regulatory Enforcement on federally recognized Indian tribes. These companies are classified by Fairness Act. This final rule: There are no Indian or tribal lands in NAICS codes 486110, Pipeline a. Will not have an annual effect on the OCS. the economy of $100 million or more. Transportation of Crude Oil, and Paperwork Reduction Act 486210, Pipeline Transportation of b. Will not cause a major increase in Natural Gas. costs or prices for consumers, The rule contains no new reporting or The SBA classifies geophysical individual industries, Federal, State, or recordkeeping requirements, and an surveying and mapping service local government agencies, or Office of Management and Budget companies under the NAICS Code geographic regions. (OMB) submission under section 541360. The criteria for determining a c. Will not have significant adverse 3507(d) of the Paperwork Reduction Act small entity for this classification code effects on competition, employment, (PRA 44 U.S.C. 3507(a)) is not required. is annual receipts of less than $4.5 investment, productivity, innovation, or The PRA provides that an agency may million. All of the 10 geophysical the ability of U.S.-based enterprises to not conduct or sponsor a collection of companies potentially affected by this compete with foreign-based enterprises. information unless it displays a final rule have annual receipts greater Unfunded Mandates Reform Act currently valid OMB control number. than $4.5 million. Until OMB approves a collection of There are 228 companies affected by This final rule will not impose an information and assigns a control this proposed rule, of which 109 would unfunded mandate on State, local, or number, you are not required to be considered small businesses. This tribal governments or the private sector respond. The regulations will specify rule, therefore, affects a substantial of more than $100 million per year. The that all operators, lessees, and ROW number of small entities. final rule will not have a significant or holders must now use Pay.gov for every The changes in the rule will not have unique effect on State, local, or tribal fee that will be submitted to MMS. The a significant economic effect on a governments or the private sector. A revisions in this rulemaking refer to, but substantial number of small entities. statement containing the information do not change, information collection There is no credit card or automated required by the Unfunded Mandates requirements in numerous current clearing house (ACH) fee for using Reform Act (2 U.S.C. 1531 et seq.) is not regulations. The OMB approved the Pay.gov. We do not expect any company required. referenced information collection to incur significant other costs because Takings Implication Assessment (E.O. requirements under OMB Control no special software or other equipment 12630) Numbers 1010–0071, 1010–0114, 1010– is required to pay through Pay.gov or Under the criteria in E.O. 12630, this 0151, 1010–0141, 1010–0067, 1010– ACH. We have no information that any rule does not have significant takings 0043, 1010–0059, 1010–0149, 1010– company will incur any costs associated implications. The rule is not a 0050, 1010–0051, 1010–0086, 1010– with accounting processes, changes in governmental action capable of 0142, 1010–0048, 1010–0006, and 1010– business procedures, or other interference with constitutionally 0072, respectively. compliance costs. protected property rights. A Takings Also, the cost recovery fees are being National Environmental Policy Act Implication Assessment is not required. updated with only a small percentage This final rule does not constitute a rate accounting for inflation only. In the Federalism (E.O. 13132) major Federal action significantly fiscal year 2007, MMS collected Under the criteria in E.O. 13132, this affecting the quality of the human approximately $12 million in cost rule does not have federalism environment. The MMS has analyzed recovery fees from industry. After a implications. This rule will not this rule under the criteria of the simple economic analysis, once the fees substantially and directly affect the National Environmental Policy Act, 516 are adjusted for inflation there will only relationship between the Federal and Departmental Manual (DM) 2.3, and 516 be an industry-wide estimated annual State governments. To the extent that DM 2, Appendix 1, and determined that increase of $800,000. The increases in State and local governments have a role it falls within the categorical exclusion fees are negligible compared to the costs in OCS activities, this rule will not for ‘‘regulations * * * that are of an of operating on the OCS and will not affect that role. A Federalism administrative, financial, legal, stop a company of any size from Assessment is not required. technical, or procedural nature.’’ The operating on the OCS. MMS Categorical Exclusion Review for Your comments are important. The Civil Justice Reform (E.O. 12988) this action concluded that the Small Business and Agriculture This final rule complies with the provisions of this rule are Regulatory Enforcement Ombudsman requirements of E.O. 12988. administrative. Furthermore, MMS and 10 Regional Fairness Boards were Specifically, this rule: concluded that the rulemaking does not established to receive comments from (a) Meets the criteria of section 3(a) involve an extraordinary circumstance small businesses about Federal agency requiring that all regulations be set forth in 516 DM 2, Appendix 2. For

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these reasons, preparation of an 30 CFR Part 250 I 2. Revise § 203.3 and its heading to environmental assessment or read as follows: environmental impact statement is not Administrative practice and required. procedure, Continental shelf, Pipelines, § 203.3 Do I have to pay a fee to request Public lands—mineral resources, Public royalty relief? Data Quality Act lands—rights-of-way, Reporting and When you submit an application or In developing this rule we did not recordkeeping requirements. ask for a preview assessment, you must conduct or use a study, experiment, or 30 CFR Part 251 include a fee to reimburse us for our survey requiring peer review under the costs of processing your application or Data Quality Act (Pub. L. 106–554, app. Continental shelf, Public lands— assessment. Federal policy and law C § 515, 114 Stat. 2763, 2763A–153– mineral resources, Reporting and require us to recover the cost of services 154). recordkeeping requirements. that confer special benefits to identifiable non-Federal recipients. The Effects on the Energy Supply (E.O. 30 CFR Part 256 Independent Offices Appropriation Act 13211) Administrative practice and (31 U.S.C. 9701), Office of Management This rule is not a significant energy procedure, Public lands—mineral and Budget Circular A–25, and the action under the definition in E.O. resources, Reporting and recordkeeping Omnibus Appropriations Bill (Pub. L. 13211. A Statement of Energy Effects is requirements. 104–134, 110 Stat. 1321, April 26, 1996) not required. 30 CFR Part 280 authorize us to collect these fees. Clarity of This Regulation (a) We will specify the necessary fees Continental Shelf, Public lands— for each of the types of royalty relief We are required by E.O. 12866, E.O. mineral resources, Reporting and applications and possible MMS audits 12988, and by the Presidential recordkeeping requirements. in a Notice to Lessees. We will Memorandum of June 1, 1998, to write periodically update the fees to reflect 30 CFR Part 281 all rules in plain language. This means changes in costs, as well as provide that each rule we publish must: Administrative practice and other information necessary to (a) Be logically organized; procedure, Continental shelf, Public administer royalty relief. (b) Use the active voice to address lands—mineral resources, Reporting readers directly; (b) You must file all payments (c) Use clear language rather than and recordkeeping requirements. electronically through the Pay.gov Web site and you must include a copy of the jargon; 30 CFR Part 290 (d) Be divided into short sections and Pay.gov confirmation receipt page with sentences; and Administrative practice and your application or assessment. The (e) Use lists and tables wherever procedure. Pay.gov Web site may be accessed possible. Dated: August 8, 2008. through a link on the MMS Offshore If you feel that we have not met these C. Stephen Allred, Web site at: http://www.mms.gov/ offshore/ homepage or directly through requirements, send us comments by one Assistant Secretary—Land and Minerals of the methods listed in the ADDRESSES Management. Pay.gov at: https://www.pay.gov/ section. To better help us revise the paygov/. rule, your comments should be as I For the reasons stated in the preamble, specific as possible. For example, you the Minerals Management Service PART 250—OIL AND GAS AND should tell us the numbers of the (MMS) amends 30 CFR parts 203, 250, SULPHUR OPERATIONS IN THE sections or paragraphs that you find 251, 256, 280, 281, and 290 as follows: OUTER CONTINENTAL SHELF unclear, which sections or sentences are PART 203—RELIEF OR REDUCTION IN I 3. The authority citation for part 250 too long, the sections where you feel ROYALTY RATES continues to read as follows: lists or tables would be useful, etc. Authority: 31 U.S.C. 9701, 43 U.S.C. 1334. List of Subjects I 1. The authority citation for part 203 is revised to read as follows: I 4. Revise the table in § 250.125(a) to 30 CFR Part 203 Authority: 25 U.S.C. 396; 25 U.S.C. 2107; read as follows: Continental shelf, Mineral royalties, 30 U.S.C. 189, 241; 30 U.S.C. 359; 30 U.S.C. Oil and gas exploration, Public lands— 1023; 30 U.S.C. 1751; 31 U.S.C. 9701; and 43 § 250.125 Service fees. mineral resources. U.S.C. 1334. (a) * * *

SERVICE FEE TABLE

Service—processing of the following: Fee amount 30 CFR citation

(1) Change in Designation of Operator ...... $164 ...... § 250.143(d). (2) Right-of-Use and Easement for State lessee ...... $2,569 ...... § 250.165. (3) Suspension of Operations/Suspension of Production $1,968 ...... § 250.171(e). (SOO/SOP) Request. (4) Exploration Plan (EP) ...... $3,442 for each surface location; no fee for revisions ... § 250.211(d). (5) Development and Production Plan (DPP) or Develop- $3,971 for each well proposed; no fee for revisions ...... § 250.241(e). ment Operations Coordination Document (DOCD). (6) Deepwater Operations Plan ...... $3,336 ...... § 250.292(p). (7) Conservation Information Document ...... $25,629 ...... § 250.296(a).

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SERVICE FEE TABLE—Continued

Service—processing of the following: Fee amount 30 CFR citation

(8) Application for Permit to Drill (APD; Form MMS–123) $1,959 for initial applications only; no fee for revisions § 250.410(d); § 250.411; § 250.460; § 250.513(b); § 250.515; § 250.1605; § 250.1617(a); § 250.1622. (9) Application for Permit to Modify (APM; Form MMS– $116 ...... § 250.460; § 250.465(b); 124). § 250.513(b); § 250.515; § 250.613(b); § 250.615; § 250.1618(a); § 250.1622; § 250.1704(g). (10) New Facility Production Safety System Application $5,030 A component is a piece of equipment or ancil- § 250.802(e). for facility with more than 125 components. lary system that is protected by one or more of the safety devices required by API RP 14C (incorporated by reference as specified in § 250.198); $13,238 ad- ditional fee will be charged if MMS deems it nec- essary to visit a facility offshore, and $6,884 to visit a facility in a shipyard. (11) New Facility Production Safety System Application $1,218 Additional fee of $8,313 will be charged if MMS § 250.802(e). for facility with 25–125 components. deems it necessary to visit a facility offshore, and $4,766 to visit a facility in a shipyard. (12) New Facility Production Safety System Application $604 ...... § 250.802(e). for facility with fewer than 25 components. (13) Production Safety System Application—Modification $561 ...... § 250.802(e). with more than 125 components reviewed. (14) Production Safety System Application—Modification $201 ...... § 250.802(e). with 25–125 components reviewed. (15) Production Safety System Application—Modification $85 ...... § 250.802(e). with fewer than 25 components reviewed. (16) Platform Application—Installation—Under the Plat- $21,075 ...... § 250.905(k). form Verification Program. (17) Platform Application—Installation—Fixed Structure $3,018 ...... § 250.905(k). Under the Platform Approval Program. (18) Platform Application—Installation—Caisson/Well $1,536 ...... § 250.905(k). Protector. (19) Platform Application—Modification/Repair ...... $3,601 ...... § 250.905(k). (20) New Pipeline Application (Lease Term) ...... $3,283 ...... § 250.1000(b). (21) Pipeline Application—Modification (Lease Term) ..... $1,906 ...... § 250.1000(b). (22) Pipeline Application—Modification (ROW) ...... $3,865 ...... § 250.1000(b). (23) Pipeline Repair Notification ...... $360 ...... § 250.1008(e). (24) Pipeline Right-of-Way (ROW) Grant Application ...... $2,569 ...... § 250.1015(a). (25) Pipeline Conversion of Lease Term to ROW ...... $219 ...... § 250.1015(a). (26) Pipeline ROW Assignment ...... $186 ...... § 250.1018(b). (27) 500 Feet From Lease/Unit Line Production Request $3,608 ...... § 250.1101(f). (28) Gas Cap Production Request ...... $4,592 ...... § 250.1101(f). (29) Downhole Commingling Request ...... $5,357 ...... § 250.1106(d). (30) Complex Surface Commingling and Measurement $3,760 ...... § 250.1202(a); Application. § 250.1203(b); § 250.1204(a). (31) Simple Surface Commingling and Measurement Ap- $1,271 ...... § 250.1202(a); plication. § 250.1203(b); § 250.1204(a). (32) Voluntary Unitization Proposal or Unit Expansion .... $11,698 ...... § 250.1303(d). (33) Unitization Revision ...... $831 ...... § 250.1303(d). (34) Application to Remove a Platform or Other Facility $4,342 ...... § 250.1727. (35) Application to Decommission a Pipeline (Lease $1,059 ...... § 250.1751(a) or Term). § 250.1752(a). (36) Application to Decommission a Pipeline (ROW) ...... $2,012 ...... § 250.1751(a) or § 250.1752(a).

* * * * * Pay.gov Web site may be accessed system, which directs you through through a link on the MMS Offshore Pay.gov. I 5. Revise § 250.126 to read as follows: Web site at: http://www.mms.gov/ (b) For applications not submitted offshore/ homepage or directly through electronically through eWell, you must § 250.126 Electronic payment instructions. Pay.gov at: https://www.pay.gov/ use credit card or automated clearing You must file all payments paygov/. house (ACH) payments through the electronically through Pay.gov. This (a) If you submitted an application Pay.gov Web site, and you must include includes, but is not limited to, all OCS through eWell, you must use the a copy of the Pay.gov confirmation applications or filing fee payments. The interactive payment feature in that receipt page with your application.

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I 6. Revise § 250.160(h) to read as PART 251—GEOLOGICAL AND electronically through Pay.gov at: follows: GEOPHYSICAL (G&G) EXPLORATIONS https://www.pay.gov/paygov/, and you OF THE OUTER CONTINENTAL SHELF must include a copy of the Pay.gov § 250.160 When will MMS grant me a right- confirmation receipt page with your of-use and easement, and what I requirements must I meet? 7. The authority citation for part 251 application. is revised to read as follows: * * * * * * * * * * (h) You may make the rental Authority: 31 U.S.C. 9701, 43 U.S.C. 1334. PART 256—LEASING OF SULPHUR OR payments required by paragraph (g)(1) I 8. Revise § 251.5(a) to read as follows: OIL AND GAS IN THE OUTER and (g)(2) of this section on an annual CONTINENTAL SHELF basis, for a 5-year period, or for § 251.5 Applying for permits or filing multiples of 5 years. You must make the Notices. I 9. The authority citation for part 256 first payment electronically through (a) Permits. You must submit a signed is revised to read as follows: Pay.gov and you must include a copy of original and three copies of the MMS the Pay.gov confirmation receipt page permit application form (Form MMS– Authority: 31 U.S.C. 9701, 42 U.S.C. 6213, with your right-of-use and easement 327). The form includes names of 43 U.S.C. 1334. application. You must make all persons; the type, location, purpose, and subsequent payments before the dates of activity; and environmental and I 10. Revise the table in § 256.63(a) to respective time periods begin. other information. A nonrefundable read as follows: * * * * * service fee of $2,012 must be paid (a) * * *

SERVICE FEE TABLE

30 CFR Service Fee amount citation

(1) Record Title/Operating Rights (Transfer) ...... $186 § 256.64 (2) Non-required Document Filing ...... 27 § 256.64

* * * * * Authority: 31 U.S.C. 9701, 43 U.S.C. 1334. § 281.41 Requirements for filing for I transfers. 11. Revise § 256.64(a)(8) to read as I 13. Revise § 280.12(a) to read as follows: follows: (a) * * * § 256.64 How to file transfers. (2) An application for approval of any § 280.12 What must I include in my instrument required to be filed will not * * * * * application or notification? (a) * * * be accepted unless a nonrefundable fee (8) You must pay electronically (a) Permits. You must submit to the of $50 is paid electronically through through Pay.gov at: https:// Regional Director a signed original and Pay.gov at: https://www.pay.gov/ www.pay.gov/paygov/ the service fee three copies of the permit application paygov/ and a copy of the Pay.gov listed in § 256.63 of this subpart and form (Form MMS–134) at least 30 days confirmation receipt page is included you must include a copy of the Pay.gov before the startup date for activities in with your application. For any confirmation receipt page with your the permit area. If unusual document you are not required to file by application for approval of any circumstances prevent you from these regulations but which you submit instrument of transfer you are required meeting this deadline, you must for record purposes, you must also pay to file (Record Title/Operating Rights immediately contact the Regional electronically through Pay.gov a (Transfer) Fee). Where multiple Director to arrange an acceptable nonrefundable fee of $50 per lease transfers of interest are included in a deadline. The form includes names of affected, and you must include a copy single instrument, a separate fee applies persons; the type, location, purpose, and of the Pay.gov confirmation receipt page to each individual transfer of interest. dates of activity; and environmental and with your document. Such documents For any document you are not required other information. A nonrefundable may be rejected at the discretion of the to file by these regulations but which service fee of $2,012 must be paid authorized officer. you submit for record purposes, you electronically through Pay.gov at: * * * * * must also pay electronically through https://www.pay.gov/paygov/, and you Pay.gov the service fee listed in § 256.63 must include a copy of the Pay.gov PART 290—APPEAL PROCEDURES (Non-required Document Filing Fee) per confirmation receipt page with your lease affected, and you must include a application. I 16. The authority citation for part 290 copy of the Pay.gov confirmation receipt * * * * * is revised to read as follows: page with your document. Such Authority: 5 U.S.C. 301; 25 U.S.C. 396, documents may be rejected at the PART 281—LEASING OF MINERALS 2107; 30 U.S.C. 189, 359, 1023, 1701 et seq., discretion of the authorized officer. OTHER THAN OIL, GAS, AND 1751(a); 31 U.S.C. 3716, 9701; and 43 U.S.C. * * * * * SULPHUR IN THE OUTER 1334. CONTINENTAL SHELF PART 280—PROSPECTING FOR I 17. Revise § 290.4(b) to read as MINERALS OTHER THAN OIL, GAS, I 14. The authority citation for part 281 follows: is revised to read as follows: AND SULPHUR ON THE OUTER § 290.4 How do I file an appeal? CONTINENTAL SHELF Authority: 31 U.S.C. 9701, 43 U.S.C. 1334. * * * * * I 12. The authority citation for part 280 I 15. Revise § 281.41(a)(2) to read as (b) A nonrefundable processing fee of is revised to read as follows: follows: $150 paid with the Notice of Appeal.

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(1) You must pay electronically SUPPLEMENTARY INFORMATION: 30 days after publication if the rule through Pay.gov at: https:// Throughout this document whenever ‘‘grants or recognizes an exemption or www.pay.gov/paygov/, and you must ‘‘we’’, ‘‘us’’, or ‘‘our’’ is used, we mean relieves a restriction’’ and 5 U.S.C. include a copy of the Pay.gov EPA. 553(d)(3), which allows an effective date confirmation receipt page with your Organization of this document. The less than 30 days after publication ‘‘as Notice of Appeal. following outline is provided to aid in otherwise provided by the agency for (2) You cannot extend the 60-day locating information in this preamble. good cause found and published with period for payment of the processing I. What Action Is EPA Taking? the rule.’’ As noted above, this fee. II. What Is the Effect of This Action? determination of attainment suspends [FR Doc. E8–19373 Filed 8–22–08; 8:45 am] III. When Is This Action Effective? the requirements for the Harrisburg IV. Final Action BILLING CODE 4310–MR–P V. Statutory and Executive Order Reviews nonattainment area to submit an attainment demonstration and I. What Action Is EPA Taking? associated reasonably available ENVIRONMENTAL PROTECTION EPA is determining that the measures, a reasonable further progress AGENCY Harrisburg-Lebanon-Carlisle, plan, contingency measures, and any Pennsylvania nonattainment area other planning SIPs related to 40 CFR Part 52 (Harrisburg Nonattainment Area) for the attainment of the standard for so long as 1997 PM2.5 NAAQS has attained the the area continues to attain the 1997 [EPA–R03–OAR–2008–0257; FRL–8707–3] 1997 PM2.5 NAAQS. This determination PM2.5 NAAQS. The suspension of these Approval and Promulgation of Air is based upon quality assured, quality requirements is sufficient reason to Quality Implementation Plans; controlled and certified ambient air allow an expedited effective date of this Pennsylvania; Determination of monitoring data that show the area has rule under 5 U.S.C. 553(d)(1). In Attainment of Fine Particle Standard monitored attainment of the 1997 PM2.5 addition, the Harrisburg nonattainment NAAQS since the 2004–2006 area’s suspension from these AGENCY: Environmental Protection monitoring period, and monitoring data requirements provide good cause to Agency (EPA). that continue to show attainment of the make this rule effective on the date of ACTION: Final rule. 1997 PM2.5 NAAQS based on the 2005– publication of this action in the Federal 2007 data. In addition, quality Register, pursuant to 5 U.S.C. 553(d)(3). SUMMARY: EPA is determining that the controlled and quality assured The purpose of the 30-day waiting Harrisburg-Lebanon-Carlisle, monitoring data submitted during the period prescribed in 5 U.S.C. 553(d) is Pennsylvania nonattainment area for the calendar year 2008, which are available to give affected parties a reasonable time 1997 fine particle (PM2.5) National in the EPA AQS database, but not yet Ambient Air Quality Standard (NAAQS) certified, show this area continues to to adjust their behavior and prepare before the final rule takes effect. Where, has attained the 1997 PM2.5 NAAQS. attain the 1997 PM2.5 NAAQS. as here, the final rule suspends DATES: Effective Date: This final rule is Other specific requirements of the effective on August 25, 2008. determination and the rationale for requirements rather than imposing EPA’s proposed action are explained in obligations, affected parties, such as the ADDRESSES: EPA has established a Commonwealth of Pennsylvania, do not docket for this action under Docket ID the notice of proposed rulemaking need time to adjust and prepare before Number EPA–R03–OAR–2008–0257. All (NPR) published on June 13, 2008 (73 the rule takes effect. documents in the docket are listed in FR 33755) and will not be restated here. No public comments were received in the http://www.regulations.gov Web IV. Final Action site. Although listed in the electronic response to the NPR. docket, some information is not publicly II. What Is the Effect of This Action? EPA is determining that the Harrisburg nonattainment area for the available, i.e., confidential business This final action, in accordance with 1997 PM NAAQS has attained the information (CBI) or other information 40 CFR 51.1004(c), suspends the 2.5 whose disclosure is restricted by statute. requirements for this area to submit 1997 PM2.5 NAAQS. This determination Certain other material, such as attainment demonstrations and is based upon quality assured, quality copyrighted material, is not placed on associated reasonably available control controlled, and certified ambient air the Internet and will be publicly measures, reasonable further progress monitoring data that show that the area available only in hard copy form. plans, contingency measures, and other has monitored attainment of the 1997 Publicly available docket materials are planning state implementation plans PM2.5 NAAQS since the 2004–2006 available either electronically through (SIPs) related to attainment of the 1997 monitoring period, and continues to http://www.regulations.gov or in hard PM2.5 NAAQS for so long as the area monitor attainment of the standard copy for public inspection during continues to attain the 1997 PM2.5 based on the 2005–2007 data. This final normal business hours at the Air NAAQS. action, in accordance with 40 CFR Protection Division, U.S. Environmental 51.1004(c), will suspend the III. When Is This Action Effective? Protection Agency, Region III, 1650 requirements for this area to submit Arch Street, Philadelphia, Pennsylvania EPA finds that there is good cause for attainment demonstrations and 19103. Copies of the State submittal are this approval to become effective on the associated reasonably available control available at the Pennsylvania date of publication of this action in the measures, reasonable further progress Department of Environmental Federal Register, because a delayed plans, contingency measures, and other Protection, Bureau of Air Quality effective date is unnecessary due to the Control, P.O. Box 8468, 400 Market planning SIPs related to attainment of nature of the approval. The expedited the 1997 PM NAAQS for so long as Street, Harrisburg, Pennsylvania 17105. effective date for this action is 2.5 the area continues to attain the 1997 FOR FURTHER INFORMATION CONTACT: Rose authorized under both 5 U.S.C. PM NAAQS. Quinto, (215) 814–2182, or by e-mail at 553(d)(1), which provides that rule 2.5 [email protected]. actions may become effective less than

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V. Statutory and Executive Order be inconsistent with applicable law for Dated: August 12, 2008 Reviews EPA, when determining the attainment W.T. Wisniewski, status of an area, to use voluntary A. General Requirements Acting Regional Administrator, Region III. consensus standards in place of I 40 CFR part 52 is amended as follows: Under Executive Order 12866 (58 FR promulgated air quality standards and 51735, October 4, 1993), this action is monitoring procedures otherwise PART 52—[AMENDED] not a ‘‘significant regulatory action’’ and satisfying the provisions of the CAA. I 1. The authority citation for part 52 therefore is not subject to review by the This rule does not impose an continues to read as follows: Office of Management and Budget. For information collection burden under the this reason, this action is not subject to provisions of the Paper Reduction Act of Authority: 42 U.S.C. 7401 et seq. Executive Order 13211, ‘‘Actions 1995 (44 U.S.C. 3501 et seq.). Concerning Regulations That Under Executive Order 12898, EPA Subpart NN—Pennsylvania Significantly Affect Energy Supply, finds that this rule involves a Distribution, or Use’’ (66 FR 28355, May I determination of attainment based on 2. Section 52.2059 is amended by 22, 2001). This action makes a air quality data and will not have adding paragraph (c) to read as follows: determination based on air quality data, disproportionately high and adverse and would, if finalized, result in the § 52.2059 Control strategy: Particulate human health or environmental effects matter. suspension of certain Federal on any communities in the area, requirements. Accordingly, the * * * * * Administrator certifies that this rule including minority and low-income (c) Determination of Attainment. EPA will not have a significant economic communities. has determined, as of August 25, 2008, impact on a substantial number of small B. Submission to Congress and the the Harrisburg-Lebanon-Carlisle, entities under the Regulatory Flexibility Comptroller General Pennsylvania nonattainment area for the Act (5 U.S.C. 601 et seq.). Because this 1997 PM2.5 NAAQS has attained the rule makes a determination based on air The Congressional Review Act, 5 1997 PM2.5 NAAQS. This quality data, and results in the U.S.C. 801 et seq., as added by the Small determination, in accordance with 40 suspension of certain Federal Business Regulatory Enforcement CFR 52.1004(c), suspends the requirements, it does not contain any Fairness Act of 1996, generally provides requirements for this area to submit an unfunded mandate or significantly or that before a rule may take effect, the attainment demonstration and uniquely affect small governments, as agency promulgating the rule must associated reasonably available described in the Unfunded Mandates submit a rule report, which includes a measures, a reasonable further progress Reform Act of 1995 (Pub. L. 104–4). copy of the rule, to each House of the plan, contingency measures, and other This rule also does not have tribal Congress and to the Comptroller General planning SIPs related to attainment of applications because it will not have a of the United States. EPA will submit a the standard for as long as the area substantial direct effect on one or more report containing this action and other continues to attain the 1997 PM2.5 Indian tribes, on the relationship required information to the U.S. Senate, NAAQS. between the Federal Government and the U.S. House of Representatives, and Indian tribes, or on the distribution of the Comptroller General of the United [FR Doc. E8–19421 Filed 8–22–08; 8:45 am] power and responsibilities between the States prior to publication of the rule in BILLING CODE 6560–50–P Federal Government and Indian tribes, the Federal Register. A major rule as specified by Executive Order 13175 cannot take effect until 60 days after it ENVIRONMENTAL PROTECTION (65 FR 67249, November 9, 2000). This is published in the Federal Register. AGENCY action also does not have Federalism This action is not a ‘‘major rule’’ as defined by 5 U.S.C. 804(2). implications because it does not have 40 CFR Parts 52 and 70 substantial direct effects on the States, C. Petitions for Judicial Review on the relationship between the national [EPA–R07–OAR–2008–0403; FRL–8707–7] government and the States, or on the Under section 307(b)(1) of the CAA, distribution of power and petitions for judicial review of this Approval and Promulgation of responsibilities among the various action must be filed in the United States Implementation Plans and Operating levels of government, as specified in Court of Appeals for the appropriate Permits Program; State of Iowa Executive Order 13132 (64 FR 43255, circuit by October 24, 2008. Filing a AGENCY: Environmental Protection August 10, 1999), because it merely petition for reconsideration by the Agency (EPA). makes a determination based on air Administrator of this final rule does not ACTION: Direct final rule. quality data and results in the affect the finality of this action for the suspension of certain Federal purposes of judicial review nor does it SUMMARY: EPA is approving a revision to requirements, and does not alter the extend the time within which a petition the Iowa State Implementation Plan relationship or the distribution of power for judicial review may be filed, and (SIP) and Operating Permits Program and responsibilities established in the shall not postpone the effectiveness of submitted by the state of Iowa for the CAA. This rule also is not subject to such rule or action. This action, purpose of modifying and clarifying Executive Order 13045 ‘‘Protection of pertaining to the Harrisburg requirements for certain types of grain Children from Environmental Health nonattainment area clean data elevators. Specifically, the new rule Risks’’ (62 FR 19885, April 23, 1997) determination, may not be challenged revises the SIP to add special because it determines that air quality in later in proceedings to enforce its requirements for grain elevators, and the the affected area is meeting Federal requirements. (See section 307(b)(2).) associated chapters for definitions and emission standards will be revised standards. List of Subjects in 40 CFR Part 52 The requirements of section 12(d) of accordingly. The Iowa Department of the National Technology Transfer and Environmental protection, Air Natural Resources (IDNR) is requiring Advancement Act of 1995 (15 U.S.C. pollution control, Incorporation by that owners or operators of grain 272 note) do not apply because it would reference, Particulate matter. elevators apply best management

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practices and comply with the fugitive encryption, and be free of any defects or documents and supporting information dust standard, as well as emission viruses. such as emission inventories, controls specified in required Docket: All documents in the docket monitoring networks, and modeling construction permits. These strategies are listed in the http:// demonstrations. will protect the ambient air and www.regulations.gov index. Although What is the Federal approval process listed in the index, some information is minimize the impact of emissions from for a SIP? each of the facilities. not publicly available, i.e., CBI or other DATES: This direct final rule will be information whose disclosure is In order for state regulations to be effective October 24, 2008, without restricted by statute. Certain other incorporated into the Federally- further notice, unless EPA receives material, such as copyrighted material, enforceable SIP, states must formally adverse comment by September 24, will be publicly available only in hard adopt the regulations and control 2008. If EPA receives adverse comment, copy form. Publicly available docket strategies consistent with state and we will publish a timely withdrawal of materials are available either Federal requirements. This process the direct final rule in the Federal electronically in http:// generally includes a public notice, Register informing the public that the www.regulations.gov or in hard copy at public hearing, public comment period, rule will not take effect. the Environmental Protection Agency, and a formal adoption by a state- Air Planning and Development Branch, authorized rulemaking body. ADDRESSES: Submit your comments, Once a state rule, regulation, or identified by Docket ID No. EPA–R07– 901 North 5th Street, Kansas City, Kansas 66101. The Regional Office’s control strategy is adopted, the state OAR–2008–0403, by one of the submits it to us for inclusion into the following methods: official hours of business are Monday through Friday, 8 to 4:30 excluding SIP. We must provide public notice and 1. http://www.regulations.gov. Follow seek additional public comment the on-line instructions for submitting Federal holidays. The interested persons wanting to examine these documents regarding the proposed Federal action comments. on the state submission. If adverse 2. E-mail: [email protected]. should make an appointment with the office at least 24 hours in advance. comments are received, they must be 3. Mail or Hand Delivery: Heather addressed prior to any final Federal Hamilton, Environmental Protection FOR FURTHER INFORMATION CONTACT: Heather Hamilton at (913) 551–7039, or action by us. Agency, Air Planning and Development All state regulations and supporting by e-mail at [email protected]. Branch, 901 North 5th Street, Kansas information approved by EPA under City, Kansas 66101. SUPPLEMENTARY INFORMATION: section 110 of the CAA are incorporated Instructions: Direct your comments to Throughout this document whenever into the Federally-approved SIP. Docket ID No. EPA–R07–OAR–2008– ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean Records of such SIP actions are 0403. EPA’s policy is that all comments EPA. This section provides additional maintained in the Code of Federal received will be included in the public information by addressing the following Regulations (CFR) at title 40, part 52, docket without change and may be questions: entitled ‘‘Approval and Promulgation of made available online at http:// What is a SIP? Implementation Plans.’’ The actual state www.regulations.gov, including any What is the Federal approval process for a regulations which are approved are not personal information provided, unless SIP? reproduced in their entirety in the CFR the comment includes information What does Federal approval of a state outright but are ‘‘incorporated by claimed to be Confidential Business regulation mean to me? reference,’’ which means that we have Information (CBI) or other information What is a Part 70 operating permits program? What is the Federal approval process for the approved a given state regulation with whose disclosure is restricted by statute. a specific effective date. Do not submit through http:// operating permits program? www.regulations.gov or e-mail What is being addressed in this document? What does Federal approval of a state Have the requirements for approval of a SIP regulation mean to me? information that you consider to be CBI revision and a Part 70 revision been met? or otherwise protected. The http:// What action is EPA taking? Enforcement of the state regulation www.regulations.gov Web site is an before and after it is incorporated into ‘‘anonymous access’’ system, which What is a SIP? the Federally-approved SIP is primarily means EPA will not know your identity Section 110 of the Clean Air Act a state responsibility. However, after the or contact information unless you (CAA) requires states to develop air regulation is Federally approved, we are provide it in the body of your comment. pollution regulations and control authorized to take enforcement action If you send an e-mail comment directly strategies to ensure that state air quality against violators. Citizens are also to EPA without going through http:// meets the national ambient air quality offered legal recourse to address www.regulations.gov, your e-mail standards established by EPA. These violations as described in section 304 of address will be automatically captured ambient standards are established under the CAA. and included as part of the comment section 109 of the CAA, and they that is placed in the public docket and currently address six criteria pollutants. What is the Part 70 operating permits made available on the Internet. If you These pollutants are: Carbon monoxide, program? submit an electronic comment, EPA nitrogen dioxide, ozone, lead, The CAA Amendments of 1990 recommends that you include your particulate matter, and sulfur dioxide. require all states to develop operating name and other contact information in Each state must submit these permits programs that meet certain the body of your comment and with any regulations and control strategies to us Federal criteria. In implementing this disk or CD–ROM you submit. If EPA for approval and incorporation into the program, the states are to require certain cannot read your comment due to Federally-enforceable SIP. sources of air pollution to obtain technical difficulties and cannot contact Each Federally-approved SIP protects permits that contain all applicable you for clarification, EPA may not be air quality primarily by addressing air requirements under the CAA. One able to consider your comment. pollution at its point of origin. These purpose of the part 70 operating permits Electronic files should avoid the use of SIPs can be extensive, containing state program is to improve enforcement by special characters, any form of regulations or other enforceable issuing each source a single permit that

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consolidates all of the applicable CAA What is being addressed in this An owner or operator of a Group 1 requirements into a Federally- document? facility is required to provide enforceable document. By consolidating This rule revision modifies registration with PTE calculations and all of the applicable requirements for a requirements for certain types of grain to retain a record of the previous five facility into one document, the source, elevators by adding a new rule to the calendar years of total annual grain the public, and the permitting Iowa Administrative Code (IAC) with handled. The calculation of the facility’s authorities can more easily determine special requirements for these facilities. potential PM10 is required to be what CAA requirements apply and how The rule amendments define each type submitted to IDNR annually by January compliance with those requirements is of facility, and also specify the 31 for the previous calendar year. If determined. permitting requirements, emissions additions, removals or modifications to equipment are performed, emissions calculation methodology, emissions Sources required to obtain an will be calculated prior to any changes reporting and record keeping, and best operating permit under this program and if emissions increase to 15 tpy or management practices for controlling air include ‘‘major’’ sources of air pollution more, the owner or operator shall pollution. A particulate matter (PM) and certain other sources specified in comply with requirements set forth in emission standard for bin vents located the CAA or in our implementing Groups 2 to 4 as applicable prior to at country grain elevators is described in regulations. For example, all sources making the additions, removals or subrule 23.4(7). Affected facilities are regulated under the acid rain program, modifications. The same procedures also required to comply with the regardless of size, must obtain permits. will apply if the owner or operator fugitive dust standard to further Examples of major sources include changes the facility classification or minimize emissions. The deadline for those that emit 100 tons per year or permanent grain storage capacity. affected facilities to comply with the more of volatile organic compounds, The owner or operator of a Group 2 new requirements was March 31, 2008. carbon monoxide, lead, sulfur dioxide, facility, in lieu of obtaining source- The associated definitions are being specific air construction permits for nitrogen dioxide, or PM10; those that revised or added to IAC 567 Chapters 20 emit 10 tons per year of any single each piece of emissions equipment, may and 22 as follows: Country grain submit a Group 2 permit application hazardous air pollutant (HAP) elevator, country grain terminal (specifically listed under the CAA); or with PTE calculations on IDNR- elevator, feed mill equipment, grain, provided forms; and, if qualified, may those that emit 25 tons per year or more grain processing, grain storage elevator, of a combination of HAPs. operate under a permit by rule. If one grain terminal elevator, permanent or more construction permits exist, it Revisions to the state operating storage capacity and potential to emit. remains in full force and effect and is permits program are also subject to The new rule added into IAC 567 not invalidated by subsequent submittal public notice, comment, and our Chapter 22.10(455B) applies to of a Group 2 permit application approval. permitting requirements for country pursuant to this rule. Restrictions on grain elevators, country grain terminal equipment included in a previously- What is the Federal approval process elevators, grain terminal elevators and issued construction permit may be for an operating permits program? feed mill equipment. Compliance with incorporated into a Group 2 permit on the new requirements does not alleviate In order for state regulations to be a case-by-case basis by IDNR. Records any affected person’s duty to comply will be maintained as specified in the included in the Federally-enforceable with any applicable state or Federal Title V operating permits program, Group 2 permit. If additions, removals, regulations. In particular, the emission or modifications to equipment are states must formally adopt regulations standards set forth in 567 Chapter 23, consistent with state and Federal performed, emissions changes due to including the regulations for grain these actions will be calculated prior to requirements. This process generally elevators contained in 40 CFR Part 60 any changes; and if emissions increase includes a public notice, public hearing, Subpart DD, as adopted by the state, beyond 50 tpy or more, the owner or public comment period, and a formal may apply. operator must comply with adoption by a state-authorized Also added to IAC 567–22.10(455B) requirements set forth in Groups 3 or 4 rulemaking body. are methods for calculating potential to (source categories requiring source- Once a state rule, regulation, or emit (PTE) for PM and PM10 for the four specific permits, as discussed below) as control strategy is adopted, the state subject facilities: Country grain applicable, prior to making the submits it to us for inclusion into the elevators; country grain terminal additions, removals or modifications. As approved operating permits program. elevators; grain terminal elevators, and with Group 1, the same procedures will We must provide public notice and seek feed mill equipment. apply if the owner or operator changes additional public comment regarding Grain elevators are classified in four the facility classification or permanent the proposed Federal action on the state groups as follows: Group 1—facilities grain storage capacity. submission. If adverse comments are with PTE less than 15 tons per year The owner or operator of a Group 3 received, they must be addressed prior (tpy); Group 2—facilities with PTE facility must obtain the required source- greater than or equal to 15 tpy and less to any final Federal action by us. specific construction permits as than or equal to 50 tpy; Group 3— specified under existing subrule 22.1(1). All state regulations and supporting facilities with PTE more than 50 tpy and Owners or operators of new facilities information approved by EPA under not more than 100 tpy, and Group 4— must obtain the required permits prior section 502 of the CAA, including facilities that emit greater than or equal to construction or reconstruction of a revisions to the state program, are to 100 tpy. facility. Records will be maintained as included in the Federally-approved These categories of grain elevators are specified in the Group 3 permit. If operating permits program. Records of described below. As explained below, additions, removals or modifications to such actions are maintained in the CFR EPA has reviewed the rules changes and equipment are performed, emissions at Title 40, part 70, appendix A, entitled has determined that they do not result will be calculated prior to any changes; ‘‘Approval Status of State and Local in an impermissible relaxation of the and, if emissions increase to 100 tpy or Operating Permits Programs.’’ SIP under CAA Section 110(l). more, the owner or operator must

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comply with the requirements set forth particulate matter emissions). These Have the requirements for approval of for Group 4 facilities, as applicable, sources obtain standardized permits. a SIP revision and a Part 70 revision prior to making the additions, removals The state retains the ability to require been met? or modifications. The same procedures source-specific air quality analyses from The state submittal has met the public will apply if the owner or operator these sources if the Group 2 application, notice requirements for SIP submissions changes the facility classification or or other information, indicates that a in accordance with 40 CFR 51.102. The permanent grain storage capacity. If the particular source might adversely submittal also satisfied the PTE for PM or PM triggers major 10 impact air quality. EPA concludes there completeness criteria of 40 CFR Part 51, source permitting, the owner or operator are sufficient safeguards in the rule to appendix V. In addition, as explained must comply with the requirements of ensure that Group 2 sources will not above and in more detail in the 567 Chapter 33 (PSD) as applicable. adversely impact air quality. technical support document which is Fugitive emissions as defined in 567– part of this docket, these revisions meet 33.3(1) are included in the PTE The rule requires that Groups 3 and the substantive SIP requirements of the calculation for determining PSD 4 sources obtain traditional source- CAA, including section 110 and applicability. The owner or operator specific permits. Therefore, there is no shall keep records of annual grain substantive change from the current SIP implementing regulations. These revisions are minor clarifications, handled at the facility and annual PTE for sources in these groups. emissions on site for a period of five updates, and corrections which do not As feed mill equipment does not fall affect the stringency of existing years. under the grain elevator classifications, The owner or operator of a Group 4 requirements. These revisions are also facility is required to obtain source- a separate section of the new rule sets consistent with applicable EPA specific construction permits as forth the requirements with regard to requirements in Title V of the CAA and specified under subrule 22.1(1) in the permitting, emissions inventory, 40 CFR Part 70. operating permits, and prevention of current SIP. The owner or operator of a What action is EPA taking? new facility shall obtain the required significant deterioration applicability. permits prior to construction or These requirements generally entail no EPA is approving the request to reconstruction of a facility. Records will change from the current SIP. amend the Iowa SIP and Operating Permits Program to approve the be maintained as specified in the Group EPA is also approving a revision to modification of requirements for certain 4 permit. If the PTE for PM or PM10 Chapter 23 of the IAC with regard to triggers major source permitting, the types of grain elevators. These grain handling and processing plants. modifications will not adversely affect owner or operator must comply with the The revision states that the owner or requirements of 567 Chapter 33 (PSD) as the air quality in the state of Iowa and operator of equipment at a permanent will not relax the SIP. The state applicable. Fugitive emissions as installation shall not cause, allow or defined in 567–33.3(1) are included in provided adequate justification to this permit the particulate matter discharged the PTE calculation for determining PSD effect. We are processing this action as to the atmosphere to exceed 0.1 grain applicability. The owner or operator a direct final action because the shall keep records of annual grain per dry standard cubic foot of exhaust revisions make routine changes to the handled at the facility and annual PTE gas with the following exception: existing rules which are emissions on site for a period of five Particulate matter discharged to the noncontroversial. Therefore, we do not years. The owner or operator of a Group atmosphere from a grain bin vent at a anticipate any adverse comments. 4 facility shall apply for an operating country grain elevator shall not exceed Please note that if EPA receives adverse permit for the facility if the annual PTE 1.0 grain per dry standard cubic foot of comment on part of this rule and if that for PM or PM10 is equal to or greater exhaust gas; particulate matter part can be severed from the remainder than 100 tpy as specified in rules 567– discharged from a grain bin vent at a of the rule, EPA may adopt as final 22.100(455B) through 567– country grain terminal elevator or a those parts of the rule that are not the 22.300(455B), which are part of the grain terminal elevator constructed subject of an adverse comment. currently-approved Title V program. before March 31, 2008, shall not exceed Statutory and Executive Order Reviews Fugitive emissions in the calculations 1.0 grain per dry standard cubic foot of Under Executive Order 12866 (58 FR will be included if the PTE for PM10 is exhaust gas, and particulate matter 51735, October 4, 1993), this action is greater than 100 tpy. discharged from a grain bin vent at a not a ‘‘significant regulatory action’’ and The rule revision means that Group 1 country grain terminal elevator or a therefore is not subject to review by the sources (sources emitting less than 15 grain terminal elevator constructed after Office of Management and Budget. For tpy of PM or PM10) will not be required March 31, 2008, shall not exceed 0.1 to obtain source-specific permits if they this reason, this action is also not grain per dry standard cubic foot of adequately demonstrate that emissions subject to Executive Order 13211, exhaust gas. IDNR provided an analysis are less than that threshold. The state ‘‘Actions Concerning Regulations That of PM emissions which showed that PM has submitted a demonstration that Significantly Affect Energy Supply, grain elevators of this size would not emissions would be less than 5 tpy at a Distribution, or Use’’ (66 FR 28355, May adversely impact air quality. EPA facility with 35 million bushels per year 22, 2001). This action merely approves believes the state has shown that throughput rate. The throughput is on state law as meeting Federal sources of this size would not be the upper end of the throughput range requirements and imposes no additional expected to adversely impact air quality. for the majority of the grain elevators requirements beyond those imposed by Group 2 sources (sources emitting that will be affected by the rules; and state law. Accordingly, the between 15 and 50 tpy) are not required based on the analysis of PM emissions, Administrator certifies that this rule to obtain source-specific permits if they the revision would not be expected to will not have a significant economic operate in accordance with the adversely impact air quality. EPA has impact on a substantial number of small requirements of the rule (for example, determined that the state’s analysis of entities under the Regulatory Flexibility requiring implementation of best this rule change meets the requirements Act (5 U.S.C. 601 et seq.). Because this management practices for controlling of CAA section 110(l). rule approves pre-existing requirements

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under state law and does not impose It would thus be inconsistent with enforce its requirements. (See section any additional enforceable duty beyond applicable law for EPA, when it reviews 307(b)(2).) that required by state law, it does not a SIP submission, to use VCS in place List of Subjects contain any unfunded mandate or of a SIP submission that otherwise significantly or uniquely affect small satisfies the provisions of the CAA. 40 CFR Part 52 governments, as described in the Thus, the requirements of section 12(d) Environmental protection, Air Unfunded Mandates Reform Act of 1995 of the National Technology Transfer and pollution control, Carbon monoxide, (Pub. L. 104–4). Advancement Act of 1995 (15 U.S.C. Incorporation by reference, This rule also does not have tribal 272 note) do not apply. This rule does implications because it will not have a Intergovernmental relations, Lead, not impose an information collection Nitrogen dioxide, Ozone, Particulate substantial direct effect on one or more burden under the provisions of the Indian tribes, on the relationship matter, Reporting and recordkeeping Paperwork Reduction Act of 1995 (44 requirements, Sulfur oxides, Volatile between the Federal Government and U.S.C. 3501 et seq.). Indian tribes, or on the distribution of organic compounds. The Congressional Review Act, 5 power and responsibilities between the U.S.C. 801 et seq., as added by the Small 40 CFR Part 70 Federal Government and Indian tribes, Business Regulatory Enforcement Administrative practice and as specified by Executive Order 13175 (65 FR 67249, November 9, 2000). This Fairness Act of 1996, generally provides procedure, Air pollution control, action also does not have Federalism that before a rule may take effect, the Intergovernmental relations, Operating implications because it does not have agency promulgating the rule must permits, Reporting and recordkeeping substantial direct effects on the States, submit a rule report, which includes a requirements. on the relationship between the national copy of the rule, to each House of the Dated: August 15, 2008. government and the States, or on the Congress and to the Comptroller General John B. Askew, of the United States. EPA will submit a distribution of power and Regional Administrator, Region 7. report containing this rule and other responsibilities among the various I Chapter I, title 40 of the Code of levels of government, as specified in required information to the U.S. Senate, the U.S. House of Representatives, and Federal Regulations is amended as Executive Order 13132 (64 FR 43255, follows: August 10, 1999). This action merely the Comptroller General of the United States prior to publication of the rule in approves a state rule implementing a PART 52—[AMENDED] Federal standard, and does not alter the the Federal Register. A major rule relationship or the distribution of power cannot take effect until 60 days after it I 1. The authority citation for part 52 and responsibilities established in the is published in the Federal Register. continues to read as follows: This action is not a ‘‘major rule’’ as CAA. This rule also is not subject to Authority: 42 U.S.C. 7401 et seq. Executive Order 13045, ‘‘Protection of defined by 5 U.S.C. 804(2). Children from Environmental Health Under section 307(b)(1) of the CAA, Subpart Q—Iowa Risks and Safety Risks’’ (62 FR 19885, petitions for judicial review of this April 23, 1997), because it approves a action must be filed in the United States I 2. In § 52.820(c) the table is amended state rule implementing a Federal Court of Appeals for the appropriate by: standard. circuit by October 24, 2008. Filing a I a. Revising entries for 567–20.2; 567– In reviewing SIP and Title V petition for reconsideration by the 22.1 and 567–23.4; and submissions, EPA’s role is to approve Administrator of this final rule does not I b. Adding in numerical order 567– state choices, provided that they meet affect the finality of this rule for the 22.10. the criteria of the CAA. In this context, purposes of judicial review nor does it The revisions and addition read as in the absence of a prior existing extend the time within which a petition follows: requirement for the State to use for judicial review may be filed, and voluntary consensus standards (VCS), shall not postpone the effectiveness of § 52.820 Identification of plan. EPA has no authority to disapprove a such rule or action. This action may not * * * * * SIP submission for failure to use VCS. be challenged later in proceedings to (c) * * *

EPA-APPROVED IOWA REGULATIONS

State effective Iowa citation Title date EPA approval date Explanation

Iowa Department of Natural Resources Environmental Protection Commission [567]

Chapter 20—Scope of Title—Definitions—Forms—Rules of Practice

******* 567–20.2 ...... Definitions ...... 03/19/2008 08/25/2008 [insert FR The definitions for anaer- page number where the obic lagoon, odor, odor- document begins]. ous substance, and odorous substance source are not SIP ap- proved.

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EPA-APPROVED IOWA REGULATIONS—Continued

State effective Iowa citation Title date EPA approval date Explanation

*******

Chapter 22—Controlling Pollution

567–22.1 ...... Permits Required for New or Ex- 03/19/2008 08/25/2008 [insert FR isting Stationary Sources. page number where the document begins].

*******

567–22.10 ...... Permitting Requirements for 03/19/2008 08/25/2008 [insert FR Country Grain Elevators, Coun- page number where the try Grain Terminal Elevators, document begins]. Grain Terminal Elevators and Feed Mill Equipment.

*******

Chapter 23—Emission Standards for Contaminants

*******

567–23.4 ...... Specific Processes ...... 03/19/2008 08/25/2008 [insert FR Subrule 23.4(10) is not page number where the SIP-approved. document begins].

*******

* * * * * GENERAL SERVICES SUPPLEMENTARY INFORMATION: ADMINISTRATION PART 70—[AMENDED] A. Background 41 CFR Part 102–192 On May 29, 2001, the General I Services Administration (GSA) 3. The authority citation for part 70 [FMR Amendment 2008–06; FMR Case continues to read as follows: 2003–102–1; Docket 2008–0001; Sequence published a proposed rule for mail 4] management in the Federal Register (66 Authority: 42 U.S.C. 7401 et seq. FR 29067). After considering all RIN 3090–AH13 comments received on the proposed I 4. Appendix A to Part 70 is amended rule, GSA published an interim rule for by adding paragraph (j) under ‘‘Iowa’’ to Federal Management Regulation; FMR mail management in the Federal read as follows: Case 2003–102–1; Mail Management Register, which was effective on its Appendix A to Part 70—Approval AGENCY: Office of Governmentwide publication date, June 6, 2002 (67 FR Status of State and Local Operating Policy, GSA. 38896). GSA chose to publish an interim rule Permits Programs ACTION: Final rule. in 2002 because we recognized that * * * * * SUMMARY: The General Services experience would identify some Iowa Administration is amending the Federal elements of the interim rule that would * * * * * Management Regulation (FMR) by need to be changed. This final rule (j) The Iowa Department of Natural revising the current mail management reflects that experience. Resources submitted for program approval policy. This final rule incorporates The significant changes between this rule 567–22.100(455B) on April 8, 2008. The changes made to the current interim final rule and the interim rule are: state effective date was March 19, 2008. rule. 1. This final rule removes Appendix These revisions to the Iowa program are A, titled ‘‘Large Agency Mailers.’’ The DATES: This final rule is effective August approved effective October 24, 2008. list of agencies that qualify as large, as 25, 2008. defined in this regulation, changes * * * * * FOR FURTHER INFORMATION CONTACT: For slightly every year. GSA has [FR Doc. E8–19519 Filed 8–22–08; 8:45 am] clarification of content, contact Derrick determined, therefore, that it is better to BILLING CODE 6560–50–P Miliner, Office of Governmentwide publish this list on its web site, Policy, Mail Management Policy, at www.gsa.gov/mailpolicy, rather than in (202) 273–3564, or e-mail at this regulation. [email protected]. The Regulatory 2. This final rule removes Appendix Secretariat, Room 4041, GS Building, B titled ‘‘Mail Center Security Plan.’’ Washington, DC 20405, at (202) 501– GSA has determined that this final rule 4755 for information pertaining to status should contain only the basic or publication schedules. Please cite requirements for security plans, and that FMR case 2003–102–1. any additional guidance should be

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provided through its web site, deviation requests related to this issue. Subpart B—Financial Requirements for All www.gsa.gov/mailpolicy. Best practices At the same time, this final rule allows Agencies in mail center security evolve too deviations that have not reached their 102.192.50 What payment processes are we quickly for inclusion in the FMR. See expiration dates to continue in effect required to use? Subpart C for the minimum until they expire. 102–192.55 Why must we use these requirements for security plans and commercial payment processes? B. Executive Order 12866 102–192.60 How do we implement these policies. GSA has determined that this final commercial payment processes? 3. This final rule removes the 102–192.65 What features must our finance minimum size for facilities to have rule is not a significant rule for the systems have to track mail costs? written mail security plans. The Mail purposes of Executive Order 12866 of Regulation Interagency Working Group September 30, 1993. Subpart C—Security Requirements for All decided that any facility processing mail Agencies C. Regulatory Flexibility Act must have a written security plan, 102–192.70 What security policies and regardless of its size, and GSA has This final rule is not expected to have plans must we have? adopted that finding in this regulation. a significant economic impact on a 102–192.75 Why must we have written 4. This final rule removes from the substantial number of small entities security policies and plans? within the meaning of the Regulatory 102–192.80 How do we develop written definition of ‘‘mail’’ packages of any security policies and plans? size or weight containing parts and Flexibility Act, 5 U.S.C. 601, et seq. Subpart D—Reporting Requirements supplies issued from materiel D. Paperwork Reduction Act distribution centers. Packages up to 70 102.192.85 Who must report to GSA pounds containing paper, publications, The Paperwork Reduction Act does annually? and similar materials are still included not apply because this final rule does 102.192.90 What must we include in our in the definition of mail. GSA has made not impose recordkeeping or annual mail management report to GSA? this change at the request of several information collection requirements, or 102–192.95 Why does GSA require annual mail management reports? agencies, including the Department of the collection of information from offerors, contractors, or members of the 102–192.100 How do we submit our annual Defense and the National Aeronautics mail management report to GSA? and Space Administration. Parts and public which require the approval of the 102–192.105 When must we submit our supplies are not ‘‘records,’’ as Office of Management and Budget annual mail management report to GSA? envisioned by the Federal Records (OMB) under 44 U.S.C. 3501, et seq. Subpart E—Performance Measurement Management Amendments of 1976 (44 E. Small Business Regulatory Requirements U.S.C. 2901–2904), which provides the Enforcement Fairness Act authority for this Part. 102–192.110 At what level(s) in our agency 5. This final rule reestablishes the This final rule is exempt from must we have performance measures? Congressional review prescribed under 102–192.115 Why must we use requirement that every agency must performance measures? have an agency mail manager and must 5 U.S.C. 801 since it relates solely to have a mail center manager at every agency management and personnel. Subpart F—Agency Mail Manager Requirements Federal facility that processes mail; this List of Subjects in 41 CFR Part 102–192 rule was first established in part 101–9 102–192.120 Must we have an agency mail of the Federal Property Management Government contracts, Mail, manager? Regulation (FPMR) (41 CFR part 101–9) Performance measurement, Records 102.192.125 What is the appropriate and was inadvertently not included in management, Reporting and managerial level for an agency mail recordkeeping requirements, Security. manager? the interim rule. 102–192.130 What are your general 6. This final rule moves the due date Dated: May 21, 2008. responsibilities as an agency mail for the annual mail management reports David L. Bibb, manager? from March 30 to January 15. Acting Administrator of General Services. 7. The interim rule required that all Subpart G—Mail Center Manager I For the reasons set forth in the agencies begin using commercial Requirements preamble, 41 CFR chapter 102 is payment processes for mail and stop 102–192.135 Must we have a mail center amended by revising part 102–192 of using the United States Postal Service manager at our facility? Subchapter G to read as follows: (USPS) Official Mail Accounting 102.192.140 What are your general responsibilities as a Federal mail center System. Many agencies are currently PART 102–192—MAIL MANAGEMENT manager? operating under temporary deviations that give them additional time to meet Subpart A—Introduction to this Part Subpart H—Program Level Mail this requirement. When GSA amended Sec. Responsibilities 41 CFR part 102–192 to change the date 102–192.5 What does this part cover? 102–192.145 Which program levels should for this requirement to December 31, 102–192.10 What authority governs this have a mail manager? 2003, it also stated that ‘‘all deviation part? 102–192.150 What are your general 102–192.15 How are ‘‘I’’, ‘‘you’’, ‘‘me’’, responsibilities as a program level mail requests will be required to include a ‘‘we’’, and ‘‘us’’ used in this part? manager? discussion of how the agency has 102–192.20 How are ‘‘must’’ and ‘‘should’’ implemented, or plans to implement, an used in this part? Subpart I—Other Agency Responsibilities accountable system for making postage 102–192.25 Does this part apply to me? 102–192.155 What should our agency-wide payments.’’ This final rule requires that, 102–192.30 What types of mail does this mail management policy statement in their annual report, all large agencies part apply to? cover? discuss how they are implementing an 102–192.35 What definitions apply to this 102–192.160 What less costly alternatives accountable system for postage part? to expedited mail and couriers should 102–192.40 Where can we obtain more your agency-wide mail management payments, or how they plan to do so. It information about the classes of mail? policy address? also requires that all agencies discuss 102–192.45 How can we request a deviation 102–192.165 What authorities must I follow how they plan to implement an from these requirements, and who can when contracting out all or part of the accountable system for postage in any approve it? mail function?

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Subpart J—GSA’s Responsibilities and through a mail center; this includes Mail and overnight and two-day Services envelopes, publications, postal cards, delivery by other service providers. 102–192.170 What are GSA’s bulk mail, expedited mail, and Facility mail manager means the responsibilities in mail management? individual packages up to 70 pounds person responsible for mail in a specific 102–192.175 What types of support does that contain paper or publications; and Federal facility. There may be many GSA offer to Federal agency mail (2) Materials carried by agency facility mail managers within a Federal management programs? personnel, contractors, the United States agency. Authority: 44 U.S.C. 2904; 40 U.S.C. Postal Service (USPS), and all other Federal agency (or agency), as defined 121(c). carriers of such items. in 44 U.S.C. 2901(14), means— (b) This part does not apply to (1) Any executive department as Subpart A—Introduction to this Part shipments of parts or supplies from a defined in 5 U.S.C. 101; (2) Any wholly owned Government § 102–192.5 What does this part cover? materiel distribution center (a material distribution center is a warehouse that corporation as defined in 31 U.S.C. This part prescribes policy and maintains and distributes an inventory 9101; requirements for the effective, of parts and supplies). (3) Any independent establishment in economical, and secure management of the executive branch as defined in 5 incoming, internal, and outgoing mail in § 102–192.35 What definitions apply to this U.S.C. 104; and Federal agencies. part? (4) Any establishment in the The following definitions apply to legislative branch, except the Senate, § 102–192.10 What authority governs this the House of Representatives, the part? this part: Accountable mail means any mail for Architect of the Capitol, and all This part is governed by Section 2 of which the service provider and the mail activities under the direction of the Public Law 94–575, the Federal Records center must maintain a record that Architect of the Capitol. Management Amendments of 1976 (44 shows where the mail piece is at any Federal facility (or facility) means any U.S.C. 2901–2904), as amended, that given time and when and where it was office building, installation, base, etc., requires the Administrator of General delivered; examples include USPS where Federal agency employees work; Services to provide guidance and registered mail and all expedited mail this includes any facility where the assistance to Federal agencies on (see definition below). Federal government pays postage records management and defines the Agency mail manager means the expenses even though few or no Federal processing of mail by Federal agencies person who manages the overall mail employees are involved in processing as a records management activity. communications program of a Federal the mail. Incoming mail means any mail that § 102–192.15 How are ‘‘I’’, ‘‘you’’, ‘‘me’’, agency. ‘‘we’’, and ‘‘us’’ used in this part? Class of mail means one of the five comes into a facility delivered by any categories of domestic mail as defined service provider, such as the USPS, In this part, ‘‘I’’, ‘‘me’’, and ‘‘you’’ (in United Parcel Service (UPS), FedEx, or its singular sense) refer to agency mail by the United States Postal Service (USPS) in the Domestic Mail Manual, DHL. managers and/or facility mail managers. Internal mail means mail generated (C100 through C600.1.z). These are: The context makes it clear which usage within a Federal facility that is is intended in each case. ‘‘We’’, ‘‘us’’, (1) Express mail. (2) First class (includes priority mail). delivered within that facility or to a and ‘‘you’’ (in its plural sense) refer to nearby facility of the same agency, so your Federal agency. (3) Periodicals. (4) Standard mail (e.g., bulk marketing long as it is delivered by agency § 102–192.20 How are ‘‘must’’ and mail). personnel or a dedicated agency ‘‘should’’ used in this part? (5) Package services. contractor. Large agency means a Federal agency In this part— Commingling means combining outgoing mail from one facility or whose total payments to all mail service (a) ‘‘Must’’ identifies steps that providers exceed $1 million per fiscal Federal agencies are required to take; agency with outgoing mail from at least one other source. year. and Mail means the types of mail Commercial payment processes (b) ‘‘Should’’ identifies steps that the described in § 102–192.30. General Services Administration (GSA) means mechanisms for paying for USPS Mail center means an organization recommends. postage that are essentially the same as and/or place, within or associated with those used by private sector mailers. Note to § 102–192.20: In their internal a Federal facility, where incoming and/ policy statements, agencies may require steps This means paying for postage before or outgoing Federal mail is processed. that GSA recommends. However, agencies the postage is used (which the U.S. Mail costs means direct or allocated may not change required steps into non- Treasury has determined is appropriate expenses for postage and all other mail mandatory recommendations. for USPS postage). For meter or permit costs (e.g., payments to service mail, this also means sending money to providers, mail center personnel costs, § 102–192.25 Does this part apply to me? the USPS via Electronic Funds Transfer mail center overhead, etc.). Yes, this part applies to you if you (EFT) transactions to commercial banks Mail piece design means laying out work in mail management in a Federal designated by the USPS as their and printing items to be mailed so that agency, as defined in § 102–192.35. financial agents. For stamps and other they can be processed efficiently and USPS services, this means paying the effectively by automated mail- § 102–192.30 What types of mail does this USPS directly via cash, charge card, processing equipment. part apply to? debit card, and money order, depending Official Mail Accounting System (a) This part applies to all materials on the specific service being purchased. (OMAS) means the U.S. Postal Service’s that might pass through a Federal mail Expedited mail means mail government-specific system used to center, including— designated for delivery more quickly track postage used by many Federal (1) All internal, incoming, and than the USPS’s normal delivery times agencies. outgoing materials, regardless of (which vary by class of mail). Examples Outgoing mail means mail generated whether or not they currently pass of expedited mail include USPS Express within a Federal facility that is going

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outside that facility and is delivered by § 102–192.45 How can we request a Postage, which can be found at a service provider. deviation from these requirements, and who www.gsa.gov/mailpolicy. can approve it? Personal mail means incoming or See §§ 102–2.60 through 102–2.110 of § 102–192.65 What features must our outgoing mail that is not related to finance systems have to keep track of mail official business of the Federal this chapter to request a deviation from costs? the requirements of this part. The government. All agencies must have an Postage means money due or paid to authority rests with the Administrator of General Services and those to whom the accountable system for making postage any service provider for the delivery of payments; that is, a system that allocates mail. Administrator has delegated such authority. postage expenses at the program level Presort means a mail preparation within the agency and then makes process used to receive a discounted Subpart B—Financial Requirements for program level managers accountable for mailing rate by sorting mail according to All Agencies obligating and tracking those expenses. USPS standards. The agency will have to determine the Program level means a subsidiary part § 102–192.50 What payment processes are appropriate program level for this of a Federal agency that generates a we required to use? requirement, because the level at which significant quantity of outgoing mail All payments to the United States it is cost-beneficial differs widely. The (‘‘significant’’ in this context is relative Postal Service or authorized service agency’s finance system(s) should track to the overall size of the agency’s mail providers must be made using all mail costs separately to the program budget; half of a small annual mail commercial payment processes. level or below, and should— budget may not be significant in a small (a) Agencies may no longer use the (a) Show allocations and expenses for agency, whereas one-tenth or less might Intergovernmental Payment and postage and all other mail costs (e.g., be significant in a large agency). The Collection Payment (IPAC) process payments to service providers, mail term program level may apply to an associated with the Official Mail center personnel costs, mail center agency organizational entity, program, Accounting System (OMAS), except overhead, etc.) separate from all other or project. where GSA has approved a temporary administrative expenses; Program level mail manager is the deviation for a specific agency, office, or (b) Allow mail centers to establish person at the program level responsible component. systems to charge their customers for for mail policy implementation, (b) Any deviation related to the mail costs; and (c) Identify and charge mail costs that operations, and financial management; requirements of this section that has not are part of printing contracts to the the program level counterpart of the reached its expiration date on the program level. agency mail manager. effective date of this rule will continue Service provider means any agency or in effect until it expires. Note to § 102–192.65: To better accomplish company that delivers mail. Some (c) Any new deviation request, or any these goals listed in this section, you should maintain separate accounts with the USPS examples of service providers are USPS, request to extend an existing deviation, must include a plan for the agency to and all other service providers for mail, as UPS, FedEx, DHL, courier services, the defined by this Part. Shipment of non-mail Military Postal Service Agency, the implement an accountable system for items should be arranged and paid for Department of State’s Diplomatic Pouch postage, as discussed in § 102–192.65. through other accounts. This will make it and Mail Division, and other Federal (d) GSA provides detailed guidance possible for your annual mail management agencies providing mail services. on commercial payment processes and report to reflect only amounts paid for mail, Special services means those mail accountability on its web site, as defined in § 102–192.35. services that require extra payment over www.gsa.gov/mailpolicy. Subpart C—Security Requirements for basic postage; e.g., certified mail, § 102–192.55 Why must we use these business reply mail, registered mail, commercial payment processes? All Agencies merchandise return service, certificates Federal agencies are required to use § 102–192.70 What security policies and of mailing, return receipts, and delivery commercial payment processes because plans must we have? confirmation. commercial payment requires obligation (a) You must have a written mail Unauthorized use of agency postage of the money before the postage is used security policy that applies throughout means the use of penalty or commercial (by contrast, use of the OMAS system the agency. mail stamps, meter impressions, or allows the postage use and the (b) You also must have a written mail other postage indicia for personal or obligation of funds to occur almost security plan for each facility that unofficial use. entirely independently of each other). processes mail, regardless of the Worksharing means ways of Requiring the program level manager facility’s mail volume. processing outgoing mail that qualify for who generates the mail to obligate the (c) If a contract that is in place on reduced postage rates; examples include money before the postage is used makes August 25, 2008 does not fully meet the presorting, bar coding, consolidating, it much more likely that the same requirements of this section, the and commingling. program level manager will be contract must be modified to meet the accountable for the money, thereby requirement for a security plan within § 102–192.40 Where can we obtain more one year of August 25, 2008, unless the information about the classes of mail? encouraging good judgment in using postage. contract will expire prior to that date. You can learn more about mail classes (d) The scope and level of detail of in the Domestic Mail Manual (DMM). § 102–192.60 How do we implement these each facility mail security plan should The DMM is available online at http:// commercial payment processes? be commensurate with the size and pe.usps.gov/default.asp or you can Guidance on implementing a responsibilities of each facility. For order a copy from the Superintendent of compliant payment process is in the small facilities, you may provide a Documents, U.S. Government Printing GSA Policy Advisory, Guidelines for general, standardized plan that is used Office, P.O. Box 371954, Pittsburgh, PA Federal Agencies On Converting to in many similar locations. For larger 15250–7954. Commercial Payment Systems for locations, you must develop a plan that

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is specifically tailored to the threats and plan must address the following how the postage expense is paid (e.g., risks at your location. Agencies are free topics— GSA’s Federal Acquisition Service to determine for themselves which (a) Risk assessment; (FAS) produces a publication called facilities are ‘‘smaller’’ and which are (b) Plan to protect staff and all other ‘‘Marketips,’’ which provides ‘‘larger’’ for the purposes of this section, occupants of agency facilities from information about supplies and services so long as the basic requirement for a hazards that might be delivered in the available through GSA sources. GSA security plan is met at every facility. mail; should include the postage that it uses (e) All mail facility managers should (c) Operating procedures; to mail Marketips in the amounts that it report annually the status of their (d) Plan to provide a visible mail reports, even though a printing facility mail security plans to agency screening operation; company actually prints and mails the headquarters. At a minimum, this report (e) Training mail center personnel; publication); should assure that the facility mail (f) Testing and rehearsing responses to (c) Report actual results for the security plan complies with the various emergency situations by agency performance measures in use at the requirements of this part, including personnel; agency and facility levels; annual review by a subject matter expert (g) Managing threats; (d) Describe your agency’s and regular rehearsal of responses to (h) Communications plan; accomplishments and plans to improve various emergency situations by facility (i) Occupant Emergency Plan (OEP); the economy and efficiency of mail personnel. (j) Continuity of Operations Plan operations in the current and future years; (f) An outside security professional (COOP); and (k) Annual reviews. (e) Identify how many Federal who has expertise in mail center employees and contractors work in your security should review the agency’s Note to § 102–192.80: The agency mail agency’s mail operations nationwide, mail security plan annually. Review of manager and facility manager(s) need not prepare all of these plans themselves. They and the number that have achieved facility mail security plans can be industry certifications (e.g. Certified accomplished by outside subject matter should participate actively in the development and implementation of each of Mail and Distributions Systems experts such as agency security these elements, but other parts of the agency Manager, Executive Mail Center personnel. If these experts are not or outside security professionals should take Manager, Mailpiece Quality Control available within your agency, seek the lead in their respective areas of expertise. Specialist, Certified Mail Manager); assistance from the Postal Inspection (f) Describe your agency’s approach to Service or other Federal authorities. Subpart D—Reporting Requirements ensuring that program level officials are § 102–192.75 Why must we have written accountable for postage; and § 102–192.85 Who must report to GSA security policies and plans? (g) Verify that a competent expert has annually? reviewed your agency security policies All Federal mail programs must Large agencies (all agencies that and the mail security plan for each identify, prioritize, and coordinate the spend in excess of $1 million each fiscal facility within the past year, or explain protection of all mail processing year in total payments to mail service what steps your agency has taken in this facilities in order to prevent, deter, and providers) must provide a Mail regard. mitigate the effects of deliberate efforts Management Report to GSA by January to destroy, incapacitate, or exploit the Note to § 102–192.90: GSA is launching a 15th of each year. If your agency is a long-term initiative to improve the usefulness mail center or the national mail cabinet-level or independent agency, the of data collected through the annual mail infrastructure. Homeland Security agency mail manager must compile all management reports. The reports for each Presidential Directive HSPD–7 requires offices (or components) and submit one succeeding fiscal year will require an all agencies to protect key resources report for the department or agency as incrementally broader set of data, working from terrorist attacks, and this is spelled a whole (e.g., the Department of Defense towards measures that will give agency out in the Postal and Shipping Sector or the Department of Health and Human management a much clearer picture of the Plan, which is part of the National Services). efficiency and effectiveness of their mail Infrastructure Protection Plan (NIPP) programs. The additional data will prescribed by HSPD–7. All Federal mail § 102–192.90 What must we include in our eventually require agencies to track cost per piece for all outgoing Federal mail. centers are key resources under that annual mail management report to GSA? plan. Details on the Postal and Shipping Your annual report must— (a) Identify your agency mail manager; § 102–192.95 Why does GSA require Sector Plan are not publicly available. annual mail management reports? Federal employees needing access to the in addition you must promptly report GSA requires annual agency mail plan should contact the Department of the name of the agency mail manager whenever there is a change of the management reports to— Homeland Security (DHS) at (a) Ensure that Federal agencies have person serving in this role. [email protected]. the policies, procedures, and data to (b) State the total amounts paid to manage their mail operations efficiently § 102–192.80 How do we develop written each service provider during the security policies and plans? and effectively; previous fiscal year: (b) Ensure that appropriate security Agency mail managers must (1) These amounts should include measures are in place; and coordinate with their agency security only amounts paid for mail; not (c) Allow GSA to fulfill its service and/or the Federal Protective amounts paid to any service provider to responsibilities under the Federal Service to develop agency mail security ship parts and supplies from a materiel Records Act, especially with regards to policies and plans. The Federal distribution center (see the definition of sharing best practices, training, Protective Service has, working with the mail in § 102–192.30). standards, and guidelines. Interagency Security Committee which (2) These amounts should include all it chairs, developed standards for postage costs associated with mailing § 102–192.100 How do we submit our building construction and management, printed materials, regardless of whether annual mail management report to GSA? including standards for mail centers. At the printing is accomplished by the If your agency is a large agency, as a minimum, the agency mail security agency or a contractor, and regardless of defined in § 102–192.35, you must

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submit annual reports using the GSA § 102–192.130 What are your general (a) Implement policies and web-based Electronic Performance responsibilities as an agency mail procedures developed by the agency Support Tool (EPST). Agency mail manager? mail manager, including cost control managers and other authorized users In addition to carrying out the procedures; will receive training from GSA on how responsibilities in Subparts B, C, D, and (b) Improve, streamline, and reduce to use the EPST. E of this part, an agency mail manager the cost of mail practices and should— procedures by continually reviewing § 102–192.105 When must we submit our (a) Establish written policies and work processes throughout the facility annual mail management report to GSA? procedures to provide timely and cost and seeking opportunities for cost- Beginning with the report covering effective dispatch and delivery of mail; effective change; Fiscal Year 2009, your annual report (b) Ensure agency-wide awareness (c) Work closely with all facility will be due on January 15th of each year and compliance with standards and personnel, especially printing for the previous fiscal year. operational procedures established by specialists and the program level users all service providers used by the agency; who develop large mailings, to Subpart E—Performance Measurement (c) Set policies for expedited mail, minimize postage and associated Requirements mass mailings, mailing lists, and printing expenses through improved couriers; mail piece design, electronic § 102–192.110 At what level(s) in our (d) Seek opportunities to implement transmission of data in lieu of mail, agency must we have performance cost-effective improvements and to measures? reducing the number of handwritten enhance performance of the agency’s addresses on outgoing mail, and other You must have performance measures mission; appropriate measures; for mail operations at the agency level (e) Develop and direct agency (d) Ensure that all addresses on and in all facilities and for all program programs and plans for proper and cost- mailing lists have been validated using levels that spend more than $1 million effective use of transportation, USPS-approved tools such as ancillary per year on postage. GSA provides a list equipment, and supplies used for mail; endorsements, CASS-certified software, of suggested performance measures, as (f) Ensure that facility and program Move Update, and NCOAlink (more part of the format for the annual report. level mail personnel receive appropriate information can be found on the United You may also find these measures on certifications and training in order to States Postal Service website at GSA’s web site, at www.gsa.gov/ successfully perform their assigned www.usps.com); mailpolicy. duties; (e) Keep current on new technologies (g) Promote professional certification that could be applied to reduce agency § 102–192.115 Why must we use for mail managers and mail center performance measures? mailing costs; employees; (f) Collaborate and maintain Performance measures gauge the (h) Ensure that expedited mail and professional relationships with the success of your mail management plans couriers are used only when authorized USPS and all other service providers; and processes by comparing by the Private Express Statutes (39 (g) Establish performance measures performance over time and among U.S.C. 601–606) and when necessary and goals for mail center operations, organizations. Performance measures— and cost-effective; such as a maximum time for processing (i) Establish written policies and (a) Help define goals and objectives; and delivery of incoming mail; procedures to minimize incoming and (h) Ensure that expedited mail and (b) Enhance resource allocation; and outgoing personal mail; couriers are used only when authorized (c) Provide accountability. (j) Provide guidance to agency by the Private Express Statutes (39 correspondence managers on U.S.C. 601–606) and when necessary Subpart F—Agency Mail Manager correspondence management decisions and cost-effective; Requirements such as development and design of (i) Manage all incoming and outgoing § 102–192.120 Must we have an agency mailing materials including Business mail processing activities at the facility, mail manager? Reply Mail, letterhead, and mail piece including all regularly scheduled, small design; and package, and expedited service Yes, every Federal agency as defined (k) Represent the agency in its providers, couriers, equipment and in § 102–192.35 must have an agency relations with mail service providers personnel; mail manager. Agencies that are not (usually as a Contracting Officer’s (j) Be attentive to unauthorized use, ‘‘large agencies’’ as defined in § 102– Technical Representative), other agency loss, or theft of postage, including any 192.35 may not need a full-time person mail managers, and the GSA Office of unauthorized use of penalty or in this position. Governmentwide Policy. commercial mail stamps, meter Note to § 102–192.120: GSA will post the impressions or other postage indicia, names and official contact information for all Subpart G—Mail Center Manager and immediately report such incidents large agency mail managers on its web site Requirements to the agency Inspector General, internal located at www.gsa.gov/mailpolicy. § 102–192.135 Must we have a mail center security office, the Postal Inspection manager at our facility? Service, or other appropriate authority; § 102–192.125 What is the appropriate (k) Track incoming packages and managerial level for an agency mail Yes, every facility that has more than manager? two full time people dedicated to accountable mail; processing mail must have a mail center (l) Provide training to mail center The agency mail manager should be at manager. employees at all levels on cost-effective a managerial level that enables him or mailing practices for incoming, her to speak for the agency and fulfill § 102–192.140 What are your general outgoing, and internal mail, as well as the requirements of Subparts B, C, D, E, responsibilities as a Federal mail center mail security; and F of this part. GSA recommends manager? (m) Provide opportunities for training professional mail certification for A Federal mail center manager leading to professional certification for agency mail managers. should— mail center personnel;

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(n) Ensure that outgoing mail meets reduce your mailing costs or make your Note (1) to § 102–92.155 (l) and (m): Every all the standards established by your use of mail more effective; agency should establish specific policies for service provider(s) for weight, size, (f) Coordinating all of your program’s incoming and outgoing personal mail. In hazardous materials content, etc.; large mailings and associated print jobs general, personal mail should be discouraged (o) Ensure that your facility has a to ensure that the most efficient and or prohibited. However, an agency may establish a policy to accept and process written security plan, and implement effective procedures are used; personal mail for personnel living on a that plan; (g) Providing mail training Federal facility, personnel stationed outside (p) Establish, publish, and maintain opportunities to your program level the United States, or personnel in other consistency in the facility’s mail personnel; situations who would otherwise suffer delivery and pickup times, based on (h) Collaborating with agency finance hardship. need for service as established through officials to establish procedures for study of mail volumes and service timely processing of funds owed to Note (2) to § 102–92.155 (l) and (m): requirements; service providers; and Mailing costs associated with filing travel (q) Collaborate with agency finance (i) Reporting total amounts paid to vouchers, and the payment of Government officials to establish procedures for each service provider during the sponsored travel card billings, are considered to be ‘‘incidental expenses’’ covered by the timely processing of funds owed to previous fiscal year to the agency mail traveler’s ‘‘per diem allowance,’’ as provided service providers; and manager (See § 102–192.90(b)(1) for for in the Federal Travel Regulation (41 CFR (r) Report all information necessary more information). 300–3.1). Such mailing costs must, therefore, for your agency’s annual mail be paid out of the employee’s per diem management report. Subpart I—Other Agency allowance. Responsibilities Subpart H—Program Level Mail Note (3) to § 102–92.155 (l) and (m): Every Responsibilities § 102–192.155 What should our agency- reasonable attempt must be made to deliver wide mail management policy statement first class mail, priority mail, and express § 102–192.145 Which program levels cover? mail (regardless of carrier), or to return it to should have a mail manager? You should have a written, agency- the sender if the addressee cannot be Every program level within a Federal wide mail management policy statement identified. On the other hand, agencies may agency that generates a significant that, at a minimum, addresses— establish written policies that permit quantity of outgoing mail should have (a) Mail center security, as discussed discarding of unwanted periodicals, bulk in §§ 102–192.70, 102–192.75 and 102– mail, and bound printed matter under its own mail manager. Each agency must specified circumstances. decide which programs will have a full- 192.80; time or part-time mail manager. In (b) Your expectations regarding program level accountability, postage § 102–192.160 What less costly making this determination, the agency alternatives to expedited mail and couriers should consider the total volume of expenditure data, and commercial should your agency-wide mail management outgoing mail that is put into the mail payment processes; policy address? (c) Your approach to performance stream by the program itself or by Your policy statement should address measurement and performance printers, presort contractors, or others the following alternatives to expedited on the program’s behalf. management for mail; (d) Centralized mail processing, mail and couriers: (a) Electronic transmission via e-mail. § 102–192.150 What are your general worksharing, consolidation, and (b) Facsimile transmission. responsibilities as a program level mail commingling to obtain postage savings; (c) Internet. manager? (e) Tracking incoming packages and Your responsibilities at the program accountable mail; § 102–192.165 What authorities must I level include— (f) Maintaining centralized control of follow when contracting out all or part of (a) Working closely with the agency outgoing mail, especially outgoing the mail function? mail manager and mail center managers express packages and letters; Any contract for a mail function must who handle significant quantities of (g) Tracking and managing mail costs require compliance with— mail or print functions for your within printing contracts; (a) This part (41 CFR part 102–192); program, as well as mail technical (h) Training and professional (b) The Private Express Statutes (39 experts; certification for mail center managers U.S.C. 601–606); (b) Ensuring that your program and employees; (c) All agency policies, procedures, complies with all applicable mail (i) Addressing, including machine and plans, including the agency-wide policies and procedures, including this readability, formatting, use of correct mail security plan and, if applicable, part; street addresses, and minimizing use of facility mail security plans; and (c) Coordinating with your program hand-written addresses; (d) All applicable acquisition statutes personnel to minimize postage and (j) Ensuring that a USPS mail piece and regulations. associated printing expenses through design analyst is consulted when improved mail piece design, electronic creating a new mail piece; Subpart J—GSA’s Responsibilities and transmission of data in lieu of mail, and (k) Reviewing large mailings by mail Services other appropriate measures; managers before they are sent to (d) Ensuring that all addresses on printing or a print contractor; § 102–192.170 What are GSA’s mailing lists have been validated using (l) Acceptance and processing of responsibilities in mail management? USPS-approved tools such as ancillary incoming and outgoing personal mail; 44 U.S.C § 2904(b) directs the endorsements, CASS-certified software, (m) Limiting unsolicited mail and Administrator of General Services to Move Update, and NCOAlink (more mail addressed to unknown persons and provide guidance and assistance to information can be found on the United former employees; and Federal agencies to ensure economical States Postal Service website at (n) Reporting all activities to include and efficient records management. 44 www.usps.com); all postage costs associated with U.S.C. § 2901(2) and (4) (C) define the (e) Keeping current on new mailing, printing, and materials, to the processing of mail by Federal agencies technologies and practices that could agency mail manager. as part of records management. In

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carrying out its responsibilities under DEPARTMENT OF COMMERCE from the catcher vessels greater than or the Act, GSA is required to— equal to 60 feet (≥ 18.3 m) length LOA National Oceanic and Atmospheric (a) Promulgate standards, procedures, using hook-and-line gear allocation to Administration and guidelines; the B season allocation for vessels using jig gear. (b) Conduct research to improve 50 CFR Part 679 practices and programs; The harvest specifications for Pacific [Docket No. 071106673–8011–02] cod included in the harvest (c) Collect and disseminate RIN 0648–XJ94 specifications for groundfish in the information on training programs, BSAI (73 FR 10160, February 26, 2008) technological developments, etc.; Fisheries of the Exclusive Economic are revised as follows: 177 mt to the B (d) Establish an interagency Zone Off Alaska; Reallocation of season allocation for vessels using jig committee (i.e., the Interagency Mail Pacific Cod in the Bering Sea and gear and 153 mt to catcher vessels ≥ 60 Policy Council) to provide an exchange Aleutian Islands Management Area feet (18.3 m) LOA using hook-and-line of information among Federal agencies; gear. AGENCY: National Marine Fisheries (e) Conduct studies, inspections, or Service (NMFS), National Oceanic and Classification surveys; Atmospheric Administration (NOAA), This action responds to the best (f) Promote economy and efficiency in Commerce. available information recently obtained the selection and utilization of space, ACTION: Temporary rule; reallocation. from the fishery. The Assistant staff, equipment, and supplies; and SUMMARY: NMFS is reallocating the Administrator for Fisheries, NOAA (g) In the event of an emergency, projected unused amount of Pacific cod (AA), finds good cause to waive the communicate with agencies. from catcher vessels greater than or requirement to provide prior notice and equal to 60 feet (≥ 18.3 meters (m)) opportunity for public comment § 102–192.175 What types of support does length overall (LOA) using hook-and- pursuant to the authority set forth at 5 GSA offer to Federal agency mail U.S.C. 553(b)(B) as such requirement is management programs? line gear to the B season allocation for vessels using jig gear in the Bering Sea impracticable and contrary to the public GSA supports Federal agency mail and Aleutian Islands management area interest. This requirement is management programs by— (BSAI). This action is necessary to allow impracticable and contrary to the public interest as it would prevent NMFS from (a) Assisting in the development of the 2008 total allowable catch (TAC) of Pacific cod to be harvested. responding to the most recent fisheries agency policy and guidance in mail data in a timely fashion and would DATES: Effective August 19, 2008, management and mail operations; delay the reallocation of Pacific cod through 2400 hrs, Alaska local time (b) Identifying better business from catcher vessels ≥ 60 feet (18.3 m) (A.l.t.), December 31, 2008. practices and sharing them with Federal LOA using hook-and-line gear to the B FOR FURTHER INFORMATION CONTACT: agencies; season allocation for vessels using jig Mary Furuness, 907–586–7228. gear. Since the fishery is currently open, (c) Developing and providing access SUPPLEMENTARY INFORMATION: NMFS to a Governmentwide management it is important to immediately inform manages the groundfish fishery in the the industry as to the revised information system for mail; BSAI according to the Fishery allocations. Immediate notification is (d) Helping agencies develop Management Plan for Groundfish of the necessary to allow for the orderly performance measures and management Bering Sea and Aleutian Islands conduct and efficient operation of this information systems for mail; Management Area (FMP) prepared by fishery, to allow the industry to plan for (e) Maintaining a current list of the North Pacific Fishery Management the fishing season, and to avoid Council under authority of the agency mail managers; potential disruption to the fishing fleet Magnuson-Stevens Fishery as well as processors. NMFS was unable (f) Establishing, developing and Conservation and Management Act. to publish a notice providing time for maintaining interagency mail Regulations governing fishing by U.S. public comment because the most committees; vessels in accordance with the FMP recent, relevant data only became (g) Maintaining liaison with the USPS appear at subpart H of 50 CFR part 600 available as of August 18, 2008. and 50 CFR part 679. and other service providers at the The AA also finds good cause to national level; The 2008 Pacific cod TAC specified for catcher vessels greater than or equal waive the 30-day delay in the effective (h) Maintaining a web site for mail to 60 feet (≥ 18.3 m) LOA using hook- date of this action under 5 U.S.C. communications policy; and and-line gear in the BSAI is 303 metric 553(d)(3). This finding is based upon (i) Serving as a point of contact for tons (mt) as established by the final the reasons provided above for waiver of mail issues. 2008 and 2009 harvest specifications for prior notice and opportunity for public groundfish in the BSAI (73 FR 10160, comment. Note to § 102–192.180: You may contact This action is required by § 679.20 GSA at: General Services Administration, February 26, 2008). The Acting Administrator, Alaska and is exempt from review under Office of Governmentwide Policy, Mail Region, NMFS, has determined that Executive Order 12866. Management Policy Division (MTT), 1800 F catcher vessels greater than or equal to Street, NW., STE 1221, Washington, DC ≥ Authority: 16 U.S.C. 1801 et seq. 20405; or e-mail: [email protected]. 60 feet ( 18.3 m) length LOA using hook-and-line gear will not be able to Dated: August 19, 2008. [FR Doc. E8–19506 Filed 8–22–08; 8:45 am] harvest 150 mt of the 2008 Pacific cod Emily H. Menashes, BILLING CODE 6820–14–S TAC allocated to those vessels under Acting Director, Office of Sustainable § 679.20(a)(7)(ii)(A)(3). Therefore, in Fisheries, National Marine Fisheries Service. accordance with § 679.20(a)(7)(iii)(A), [FR Doc. E8–19578 Filed 8–19–08; 4:15 pm] NMFS allocates 150 mt of Pacific cod BILLING CODE 3510–22–S

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DEPARTMENT OF COMMERCE Classification overfishing level and acceptable This action responds to the best biological catch for the ‘‘other species’’ National Oceanic and Atmospheric available information recently obtained category in the Gulf of Alaska as part of Administration from the fishery. The Assistant the annual groundfish harvest Administrator for Fisheries, NOAA, specifications process. The ‘‘other 50 CFR Part 679 (AA), finds good cause to waive the species’’ category in the Gulf of Alaska consists of sharks, sculpins, squid, and [Docket No. 071106673–8011–02] requirement to provide prior notice and opportunity for public comment octopus. Amendment 79 is necessary to RIN 0648–XJ95 pursuant to the authority set forth at 5 allow the Council and NMFS to U.S.C. 553(b)(B) as such requirement is incorporate the best and most recent Fisheries of the Exclusive Economic impracticable and contrary to the public scientific and socioeconomic Zone Off Alaska; Greenland Turbot in interest. This requirement is information for the specification of the the Bering Sea and Aleutian Islands impracticable and contrary to the public ‘‘other species’’ total allowable catch, Management Area interest as it would prevent NMFS from acceptable biological catch, and overfishing level. This action is responding to the most recent fisheries AGENCY: National Marine Fisheries intended to promote the goals and data in a timely fashion and would Service (NMFS), National Oceanic and objectives of the Magnuson-Stevens delay the prohibition of retention of Atmospheric Administration (NOAA), Fishery Conservation and Management Greenland turbot in the Bering Sea Commerce. Act, the FMP, and other applicable subarea of the BSAI. NMFS was unable ACTION: laws. Temporary rule; prohibition of to publish a notice providing time for retention. public comment because the most DATES: This agency decision is effective on August 20, 2008. SUMMARY: NMFS is prohibiting retention recent, relevant data only became of Greenland turbot in the Bering Sea available as of August 18, 2008. ADDRESSES: Copies of Amendment 79 subarea of the Bering Sea and Aleutian The AA also finds good cause to and the Environmental Assessment (EA) Islands management area (BSAI). This waive the 30-day delay in the effective for this action may be obtained from the action is necessary because the 2008 date of this action under 5 U.S.C. NMFS Alaska Region at 709 West 9th total allowable catch (TAC) of 553(d)(3). This finding is based upon Street, Room 420A, Juneau, AK 99802, Greenland turbot in the Bering Sea the reasons provided above for waiver of or from the Alaska Region website at subarea of the BSAI has been reached. prior notice and opportunity for public http://alaskafisheries.noaa.gov/. comment. FOR FURTHER INFORMATION CONTACT: DATES: Effective 1200 hrs, Alaska local This action is required by § 679.20 Jennifer Hogan, 907–586–7228. time (A.l.t.), August 19, 2008, though and is exempt from review under 2400 hrs, A.l.t., December 31, 2008. SUPPLEMENTARY INFORMATION: The Executive Order 12866. Magnuson-Stevens Fishery FOR FURTHER INFORMATION CONTACT: Authority: 16 U.S.C. 1801 et seq. Conservation and Management Act Jennifer Hogan, 907–586–7228. Dated: August 19, 2008. (Magnuson-Stevens Act) requires that SUPPLEMENTARY INFORMATION: NMFS each regional fishery management Emily H. Menashes, manages the groundfish fishery in the council submit any fishery management BSAI exclusive economic zone Acting Director, Office of Sustainable plan or fishery management plan Fisheries, National Marine Fisheries Service. according to the Fishery Management amendment it prepares to NMFS for Plan for Groundfish of the Bering Sea [FR Doc. E8–19576 Filed 8–19–08; 4:15 pm] review and approval, disapproval, or and Aleutian Islands Management Area BILLING CODE 3510–22–S partial approval by the Secretary of (FMP) prepared by the North Pacific Commerce. The Magnuson-Stevens Act Fishery Management Council under also requires that NMFS, upon receiving DEPARTMENT OF COMMERCE authority of the Magnuson-Stevens a fisheries management plan Fishery Conservation and Management National Oceanic and Atmospheric amendment, immediately publish a Act. Regulations governing fishing by Administration notice in the Federal Register U.S. vessels in accordance with the FMP announcing that the amendment is appear at subpart H of 50 CFR part 600 50 CFR Part 679 available for public review and and 50 CFR part 679. comment. The 2008 Greenland turbot TAC in RIN 0648–XH70 The Council submitted Amendment the Bering Sea subarea of the BSAI is 79 to NMFS on May 19, 2008. The 1,563 metric tons (mt) as established by Fisheries of the Exclusive Economic notice of availability for Amendment 79 the 2008 and 2009 final harvest Zone Off Alaska; Groundfish Fisheries was published in the Federal Register specifications for groundfish in the in the Gulf of Alaska on May 29, 2008 (73 FR 30875). The BSAI (73 FR 10160, February 26, 2008) AGENCY: National Marine Fisheries public comment period closed on July and the reallocation on July 14, 2008 (73 Service (NMFS), National Oceanic and 28, 2008. NMFS received no comments FR 40193). Atmospheric Administration (NOAA), on the proposed amendment. In accordance with § 679.20(d)(2), the Commerce. In April 2008, the Council Administrator, Alaska Region, NMFS ACTION: Final rule; agency decision. unanimously recommended (Regional Administrator), has Amendment 79 to the FMP. The determined that the 2008 TAC of SUMMARY: NMFS announces the purpose of Amendment 79 is to provide Greenland turbot in the Bering Sea Commerce Secretary’s approval of a sound biological basis for the setting subarea of the BSAI has been reached. Amendment 79 to the Fishery of the ‘‘other species’’ total allowable Therefore, NMFS is requiring that Management Plan for Groundfish of the catch (TAC) and to provide for an Greenland turbot caught in the Bering Gulf of Alaska (FMP). Amendment 79 annual review of the stock status of the Sea subarea of the BSAI be treated as amends the FMP and requires the North ‘‘other species’’ category to further prohibited species in accordance with Pacific Fishery Management Council reduce the risk of overfishing the § 679.21(b). (Council) to recommend an aggregate species in this category. Amendment 79

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authorizes the Council to recommend an intended to comply with the Magnuson- biological catch, and total allowable aggregate overfishing level (OFL) and Stevens Act, particularly National catch for the ‘‘other species’’ category acceptable biological catch (ABC) for the Standard 1 and section 303(a), and other will be presented in the proposed 2009 ‘‘other species’’ category in the Gulf of applicable laws. and 2010 harvest specifications. Alaska as part of the annual groundfish An EA was prepared for Amendment Dated: August 20, 2008. harvest specifications process. The 79 that describes the management revised process allows the Council to background, the purpose and need for Samuel D. Rauch III, incorporate the best and most recent action, the management alternatives, Deputy Assistant Administrator for scientific and socioeconomic and the environmental and Regulatory Programs, National Marine information and public testimony in its socioeconomic impacts of the Fisheries Service. recommendation for an annual ‘‘other alternatives (see ADDRESSES). The [FR Doc. E8–19665 Filed 8–22–08; 8:45 am] species’’ TAC. Amendment 79 is aggregate overfishing level, acceptable BILLING CODE 3510–22–S

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Proposed Rules Federal Register Vol. 73, No. 165

Monday, August 25, 2008

This section of the FEDERAL REGISTER submitted in writing or in electronic Office of Administration, U.S. Nuclear contains notices to the public of the proposed form will be made available for public Regulatory Commission, Washington, issuance of rules and regulations. The inspection. Personal information, such DC 20555–0001, telephone 301–415– purpose of these notices is to give interested as your name, address, telephone 6863, toll-free 1–800–368–5642, or by persons an opportunity to participate in the number, e-mail address, etc., will not be e-mail to [email protected]. rule making prior to the adoption of the final rules. removed from your submission. FOR FURTHER INFORMATION CONTACT: Federal eRulemaking Portal: Go to Michael T. Lesar, Chief, Rulemaking, http://www.regulations.gov and search Directives and Editing Branch, Division NUCLEAR REGULATORY for documents filed under Docket ID of Administrative Services, Office of COMMISSION [NRC–2008–0279]. Address questions Administration, U.S. Nuclear Regulatory about NRC dockets to Carol Gallagher, Commission, Washington, DC 20555– 10 CFR Part 50 301–415–5905; e-mail 0001, telephone 301–415–7163 or toll- [Docket No. PRM–50–90; NRC–2008–0279] [email protected]. free 1–800–368–5642. Mail comments to: Secretary, U.S. For the U.S. Nuclear Regulatory Natural Resources Defense Council; Nuclear Regulatory Commission, Commission. Washington, DC 20555–0001, ATTN: Receipt of Petition for Rulemaking; Dated at Rockville, Maryland, this 19th day Reopening of Public Comment Period Rulemakings and Adjudications Staff. of August 2008. E-mail comments to: Annette L. Vietti-Cook, AGENCY: Nuclear Regulatory [email protected]. If you Commission. do not receive a reply e-mail confirming Secretary of the Commission. ACTION: Petition for rulemaking; that we have received your comments, [FR Doc. E8–19609 Filed 8–22–08; 8:45 am] reopening of public comment period. contact us directly at 301–415–1677. BILLING CODE 7590–01–P Hand deliver comments to: 11555 SUMMARY: On May 27, 2008 (73 FR Rockville Pike, Rockville, Maryland 30321), the Nuclear Regulatory 20852, between 7:30 a.m. and 4:15 p.m. DEPARTMENT OF THE TREASURY Commission (NRC) published for public Federal workdays, telephone number comment a notice of receipt of a petition 301–415–1677. Internal Revenue Service for rulemaking, dated March 24, 2008, Fax comments to: Secretary, U.S. which was filed with the Commission Nuclear Regulatory Commission at 301– 26 CFR Part 1 by Thomas B. Cochran and Matthew G. 415–1101. Publicly available documents [REG–143544–04] McKinzie on behalf of the Natural related to this petition may be viewed Resources Defense Council. The petition RIN 1545–BD84 electronically on the public computers was docketed by the NRC on April 3, located at the NRC’s Public Document 2008, and has been assigned Docket No. Regulations Enabling Elections for Room (PDR), Room O1 F21, One White PRM–50–90. On August 4 and August 6, Certain Transactions Under Section Flint North, 11555 Rockville Pike, 2008, several external stakeholder 336(e) Rockville, Maryland. The PDR groups requested a 45 day extension of reproduction contractor will copy AGENCY: Internal Revenue Service (IRS), the public comment period owing to the documents for a fee. Selected Treasury. details provided in the initial petition, documents, including comments, may ACTION: Notice of proposed rulemaking. short initial comment period, be viewed and downloaded importance of the rulemaking, and the electronically via the Federal SUMMARY: This document contains need for directly impacted stakeholders eRulemaking Portal http:// proposed regulations under section to provide substantive comments to the www.regulations.gov. 336(e) of the Internal Revenue Code. rulemaking process. The NRC is Publicly available documents created These proposed regulations, when reopening the comment period on the or received at the NRC after November finalized, would permit taxpayers to petition for an additional 45 days from 1, 1999, are available electronically at make an election to treat certain sales, the original August 11, 2008 deadline. the NRC’s Electronic Reading Room at exchanges, and distributions of another The comment period closes on http://www.nrc.gov/reading-rm/ corporation’s stock as taxable sales of September 25, 2008. adams.html. From this site, the public that corporation’s assets. These DATES: The comment period has been can gain entry into the NRC’s proposed regulations will affect reopened and now expires on Agencywide Documents Access and corporations and their shareholders. September 25, 2008. Comments received Management System (ADAMS), which DATES: Written or electronic comments after this date will be considered if it is provides text and image files of NRC’s and requests for a public hearing must practical to do so, but the Commission public documents. If you do not have be received by November 24, 2008. is able to assure consideration only for access to ADAMS or if there are ADDRESSES: Send submissions to: comments received on or before this problems in accessing the documents CC:PA:LPD:PR (REG–143544–04), room date. located in ADAMS, contact the PDR 5203, Internal Revenue Service, P.O. ADDRESSES: You may submit comments Reference staff at 1–800–397–4209, Box 7604, Ben Franklin Station, on this petition by any one of the 301–415–4737 or by e-mail to Washington, DC 20044. Submissions following methods. Please include [email protected]. may be hand-delivered Monday through PRM–50–90 in the subject line of your A paper copy of the petition may be Friday between the hours of 8 a.m. and comments. Comments on petitions obtained by contacting Betty Golden, 4 p.m. to CC:PA:LPD:PR (REG–143544–

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04), Courier’s Desk, Internal Revenue assigned by the Office of Management related persons. For this purpose, Service, 1111 Constitution Avenue, and Budget. persons are related if stock in a NW., Washington, DC, or sent Books or records relating to a corporation owned by one of the electronically, via the Federal collection of information must be persons would be attributed to the other eRulemaking Portal at http:// retained as long as their contents may person under section 318(a), other than www.regulations.gov (IRS REG–143544– become material in the administration section 318(a)(4). See proposed § 1.336– 04). of any internal revenue law. Generally, 1(b)(11). The IRS and Treasury FOR FURTHER INFORMATION CONTACT: tax returns and tax return information Department continue to study the Concerning the proposed regulation, are confidential, as required by 26 possibility of making a section 336(e) Mark J. Weiss, (202) 622–7750; U.S.C. 6103. election available for such transactions. concerning submissions of comments Background and Explanation of Accordingly, comments are requested and the hearing, Richard Hurst, (202) Provisions regarding dispositions to related persons, including special rules needed 622–7180 (not toll-free numbers). Section 336(e) of the Internal Revenue SUPPLEMENTARY INFORMATION: to prevent the use of net operating Code (Code) authorizes the issuance of losses to offset liquidation gains, Paperwork Reduction Act regulations under which a corporation manipulation of earnings and profits, (seller) that owns stock in another and changes of accounting methods. See The collection of information corporation (target) meeting the contained in this notice of proposed H.R. Conf. Rep. No. 841, 99th Cong., 2d requirements of section 1504(a)(2) and Sess., Vol. II at 204 (1986). rulemaking has been submitted to the sells, exchanges, or distributes all of Office of Management and Budget for Additionally, these proposed such stock may make an election to treat regulations do not apply to transactions review in accordance with the the sale, exchange, or distribution of the Paperwork Reduction Act of 1995 (44 in which either the seller or the target target stock as a sale of all of target’s is a foreign corporation. The IRS and U.S.C. 3507(d)). Comments on the underlying assets. Section 336(e) was collection of information should be sent Treasury Department request comments enacted as part of the legislation regarding how the rules of the proposed to the Office of Management and repealing the General Utilities rule and, Budget, Attn: Desk Officer for the regulations should be modified to take like an election under section into account the policies of Department of Treasury, Office of 338(h)(10), is meant to provide international tax provisions if the Information and Regulatory Affairs, taxpayers relief from a potential proposed regulations were extended to Washington, DC 20503. Comments on multiple taxation at the corporate level apply to foreign sellers and/or foreign the collection of information should be of the same economic gain which can targets. For example, comments are received by October 24, 2008. result when a transfer of appreciated requested regarding: (1) How the The collection of information in this corporate stock is taxed to a corporation principles of section 338(h)(16) should proposed regulation is in proposed without providing a corresponding step- apply; (2) how the foreign tax allocation §§ 1.336–2(h) and 1.336–4(c)(4)). This up in the basis of the assets of the rule of § 1.338–9(d) should apply; (3) information is required by the IRS to corporation. See H.R. Conf. Rep. No. the characterization of the gain allow certain parties to make a section 841, 99th Cong., 2d Sess., Vol. II, 198, recognized on the deemed asset 336(e) election and for certain 204 (1986), 1986–3 C.B., Vol. 4, 198– disposition for purposes of section shareholders to make a gain recognition 207. election. The likely recordkeepers are 954(c)(1)(B); (4) whether special business or other for-profit institutions. A. Scope of the Proposed Regulations earnings and profits rules are necessary The estimated burden is as follows: Pursuant to section 336(e), regulations (see, for example, the rules described in Estimated total annual reporting and/ may authorize a section 336(e) election Prop. Treas. Reg. § 1.367(b)–8); and (5) or recordkeeping burden: 500 hours. in a broad set of circumstances. The IRS how the withholding tax provisions of Estimated average annual burden per and Treasury Department have limited section 1445 should apply to the respondent: 2 hours. the scope of these proposed regulations, deemed asset disposition (if relevant). Estimated number of respondents: however, in order to provide guidance The IRS and Treasury Department 250. to a large number of taxpayers in the continue to study issues related to Estimated annual frequency of most efficient manner possible. These elections made under section 338(g) in responses: Once. proposed regulations, when finalized, the international area. Comments are Comments concerning the accuracy of will provide the requirements and requested on issues in this area, this burden estimate and suggestions for mechanics for, and consequences of, including the interaction of section reducing this burden should be directed treating a stock sale, exchange, or 338(h)(16) with sections 902 and 960. to the Office of Management and distribution that would not otherwise be Absent the issuance of further Budget, Attn: Desk Officer for the eligible for a section 338 election as a guidance, it is intended that these Department of the Treasury, Office of deemed asset sale. regulations would provide the exclusive Information and Regulatory Affairs, The IRS and Treasury Department do means of making elections under Washington, DC 20503, with copies to not presently intend to authorize the section 336(e). See proposed § 1.336– the Internal Revenue Service, Attn: IRS making of section 336(e) elections under 2(a). Reports Clearance Officer, all the circumstances described within B. General Principles SE:W:CAR:MP:T:T:SP, Washington, DC the statutory grant of authority. 20224. Any such comments should be However, the IRS and Treasury 1. General Adoption of Section submitted not later than October 24, Department are interested in comments 338(h)(10) Principles 2008. regarding transactions beyond the scope The legislative history to section An agency may not conduct or of these proposed regulations for which 336(e) provides that principles similar sponsor, and a person is not required to such elections should be allowed and to those of section 338(h)(10) should respond to, a collection of information under what terms and conditions. For apply in the case of a section 336(e) unless the collection of information example, these proposed regulations do election. See H.R. Conf. Rep. No. 841, displays a valid control number not apply to transactions between 99th Cong., 2d Sess., Vol. II, at 204

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(1986). These proposed regulations 338(h)(10) election, a section 336(e) C. Sales or Exchanges of Target Stock implement such principles. election is available to a seller that In general, if a seller sells or Accordingly, except to the extent directly owns stock of target meeting the exchanges target stock in a qualified inconsistent with the purposes of requirements of section 1504(a)(2) and stock disposition, the treatment of old section 336(e) or as otherwise described, to sellers which are members of a target, seller, and purchaser are similar the results of a section 336(e) election consolidated group for the taxable year to the treatment of old target (old T), S, coincide with those of a section that includes the disposition date that in and P under section 338(h)(10). See 338(h)(10) election. Whenever possible, the aggregate own stock of target § 1.338(h)(10)–1. If an election is made these proposed regulations rely upon meeting the requirements of section under section 336(e), the seller and use the structure and principles 1504(a)(2). Because section 336(e) disregards the actual sale or exchange of established under section 338(h)(10) requires a corporate seller, the election target stock. Instead, target (old target) is and the underlying regulations. For is not available with respect to the stock treated as selling all of its assets to an example, these regulations refer to of an S corporation. See proposed unrelated corporation in a single principles under the section 338 § 1.336–1(b)(5). Cf. § 1.338(h)(10)– transaction at the close of the regulations regarding the allocation of 1(c)(1). disposition date (the deemed asset consideration, application of the asset disposition). Old target recognizes the and stock consistency rules, treatment These proposed regulations interpret deemed disposition tax consequences of minority shareholders, and the section 336(e) as requiring only that an from the deemed asset disposition availability of the section 453 amount of stock meeting the before the close of the disposition date installment method. In other instances, requirements of section 1504(a)(2) be definitions and concepts from section disposed of and not that every share of while it is a subsidiary of seller. After 338 and the underlying regulations have stock owned by the seller be disposed the deemed asset disposition, old target been modified to reflect principles of. Accordingly, the seller, or a member is then treated as liquidating into seller applicable to section 336(e). For of seller’s consolidated group, may which in most cases will be treated as example, these proposed regulations retain a portion of its target stock. See a distribution in complete liquidation to generally use the term ‘‘disposition’’ proposed §§ 1.336–2(b)(1)(v) and 1.336– which section 332 and section 336 or rather than ‘‘acquisition or purchase’’ 2(b)(2)(iv). Furthermore, these proposed 337 applies. Additionally, consistent with a section 338 election, the deemed and the term ‘‘sale, exchange, or regulations permit amounts of target purchase of the assets of old target by distribution’’ instead of ‘‘sale.’’ Thus, a stock sold, exchanged, and distributed new target constitutes a deemed qualified stock disposition is defined as to be aggregated for purposes of purchase of any subsidiary stock owned any transaction or series of transactions determining whether there has been a by target. Accordingly, a section 336(e) in which stock meeting the qualified stock disposition. For election is available for the deemed requirements of section 1504(a)(2) of a example, a domestic corporation’s sale domestic corporation is either sold, purchase of the stock of a target of 50 percent of target’s stock to an subsidiary if it constitutes a qualified exchanged, or distributed, or any unrelated person and a distribution to combination thereof, by another stock disposition. A section 336(e) its unrelated shareholders of the election generally does not change the domestic corporation in a disposition, remaining 50 percent within a 12-month within the meaning of proposed tax consequences of the acquisition to a period would constitute a qualified purchaser of target stock. § 1.336–1(b)(4), during the 12-month stock disposition. See proposed § 1.336– disposition period. See proposed 1(b)(5). D. Distributions of Target Stock Not § 1.336–1(b)(5). Described in Section 355(d)(2) or (e)(2) These proposed regulations also In contrast to section 338, which provide that a transaction that satisfies requires a corporate purchaser, these A section 336(e) election can be made the definition of both a qualified stock proposed regulations define a purchaser for a distribution of target stock, and the disposition and a qualified stock as any person or persons who receive legislative history to section 336(e) purchase (as defined in section stock of target in a qualified stock provides that ‘‘[t]he conferees do not 338(d)(3)) generally will be treated only disposition. Accordingly, a section intend this election to affect the manner as a qualified stock purchase and thus 336(e) election is available for sales, in which a corporation’s distribution to does not qualify for an election under exchanges, or distributions (or a its shareholders will be characterized these regulations. See proposed § 1.336– combination thereof) of target stock to for purposes of determining the 1(b)(5)(ii)). both corporate and non-corporate shareholder level income tax purchasers, provided that the target consequences.’’ H.R. Conf. Rep. No. 841, 2. Requirements for a Section 336(e) 99th Cong., 2d Sess., Vol. II, at 204 Election stock is not sold, exchanged, or distributed to a related person. See (1986). Accordingly, additional rules are Section 336(e) requires that a seller proposed §§ 1.336–1(b)(2) and 1.336– required to address distributions and to own stock in another corporation 1(b)(4)(i)(C). ensure that the income tax meeting the requirements of section consequences to a distributee are 1504(a)(2) and sell, exchange, or Any stock sold, exchanged, or generally the same as if a section 336(e) distribute all of such stock to qualify for distributed to a related party is not election was not made. a section 336(e) election. For purposes considered to be disposed of for Specifically, these proposed of these proposed regulations, a seller is purposes of determining whether there regulations provide that if seller (the a domestic corporation that makes a has been a qualified stock disposition. distributor) distributes old target stock qualified stock disposition and includes See proposed §§ 1.336–1(b)(4)(i)(C) and in the qualified stock disposition, seller a transferor and a distributor of target 1.336–1(b)(5)(i). Relatedness generally is is deemed to purchase from new target stock. See proposed § 1.336–1(b)(1). determined immediately after the sale, on the disposition date, immediately Generally, all members of a seller’s exchange, or distribution of target stock after the deemed liquidation of old consolidated group are treated as a occurs (see proposed §§ 1.336– target, the amount of stock distributed single seller. See proposed § 1.336– 1(b)(4)(iii), 1.336–1(b)(11), and 1.338– in the qualified stock disposition and to 2(g)(2). Thus, similar to a section 3(b)(3)). have distributed such new target stock

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to its shareholders. Seller recognizes no E. Section 355 Distributions controlled corporation generally retains tax attributes and earnings and profits. gain or loss on the distribution. See 1. Availability of Section 336(e) Election The IRS and Treasury Department proposed § 1.336–2(b)(1)(iv). The for Certain Section 355 Distributions distributee’s tax consequences generally believe that, except as necessary to carry shall be the same as if it received the The legislative history to section out the purposes of section 336(e), the target stock pursuant to the underlying 336(e) indicates that the election is section 355 consequences generally intended to be available for taxable distribution. However, the Federal should continue to apply in such a transactions. Specifically, the income tax consequences of the deemed transaction. For example, if the Conference Report provides that, controlled corporation were treated as a asset disposition and liquidation of ‘‘principles similar to those of section target may affect the distributee’s new corporation, with no earnings and 338(h)(10) may be applied to taxable profits, the controlled corporation may income tax consequences. For example, sales or distributions of controlled be able to distribute its assets to its if seller distributes the stock of target to corporation stock.’’ H.R. Conf. Rep. No. shareholders without recognizing any its shareholders in a qualified stock 841, 99th Cong., 2d Sess., Vol. II, at 204 dividend consequences under section disposition for which a section 336(e) (1986). The legislative history to section 301(c)(1). Therefore, to preserve the election is made, any increase in seller’s 355(e) provides that although there is no consequences of section 355 earnings and profits as a result of old adjustment to the basis of stock or assets distributions, the proposed regulations target’s deemed asset disposition and as a result of the recognition of gain provide special rules. liquidation into seller may alter the under section 355(e), ‘‘[t]here is no If a section 336(e) election is made for amount of the distribution to the intention to limit the otherwise a distribution of the controlled shareholders constituting a dividend applicable Treasury regulatory authority corporation stock in a transaction under section 301(c)(1) from the amount under section 336(e) of the Code.’’ H.R. described in section 355(d)(2) or that would have resulted if seller Conf. Rep. 220, 105th Cong., 1st Sess., 355(e)(2), the controlled corporation is recognized gain on the stock 531–532, footnote 13 (1997), 1997–4 treated as if it sold its assets to an distribution. See proposed § 1.336–2(c). C.B. Vol. 4, 531, 532. Accordingly, these unrelated person in the deemed asset proposed regulations would allow a disposition and then it reacquired those If a seller actually distributed stock of corporation that would otherwise assets (sale-to-self treatment). Following a subsidiary or assets under section 301, recognize the full amount of the gain the deemed asset disposition, the it generally would be prevented from realized with respect to a qualified stock controlled corporation (old target) is not recognizing any loss. See section 311(a). disposition resulting, in whole or in deemed to liquidate into the distributing The IRS and Treasury Department part, from a disposition described in corporation (seller). See proposed believe that it would be inconsistent section 355(d)(2) or (e)(2) to make a § 1.336–2(b)(2)(i)(A). Instead, the with the general treatment of section 336(e) election. Without a controlled corporation (old target) is distributions to allow losses to be section 336(e) election, such provisions treated as acquiring all of its assets from recognized on the section 336(e) may create a triple layer of taxation, one an unrelated person in a single, separate deemed asset disposition to the extent at the controlled corporation level, one transaction at the close of the the qualified stock disposition was the at the distributing corporation level and, disposition date, and then the result of a stock distribution. Therefore, ultimately, one at the shareholder level. distributing corporation is treated as under these proposed regulations, only Allowing a section 336(e) election in distributing the stock of the controlled a portion of the losses realized on the these circumstances limits taxation to corporation (old target) to its deemed asset disposition may be two layers, one at the controlled shareholders. See proposed § 1.336– recognized. The portion of any realized corporation level and one at the 2(b)(2)(ii) and (iii). Because no shareholder level when the controlled loss that may be recognized is based on liquidation of old target into seller is corporation stock is disposed of, and a fraction equal to the value of the target deemed to occur, the controlled thus is consistent with General Utilities corporation (old target) will generally stock sold or exchanged in the qualified repeal. retain the tax attributes it would have stock disposition on or before the 2. Special Rules for Distributions had if the section 336(e) election had disposition date over the total value of not been made. The proposed target stock disposed of in the qualified Described in Section 355(d)(2) or 355(e)(2) regulations further provide that the stock disposition on or before the controlled corporation (old target) will disposition date. In the case of a section Generally, a section 336(e) election, take the effects of the deemed asset 336(e) election for a subsidiary of target, like a section 338(h)(10) election, results disposition into account and increase or for purposes of determining the amount in a deemed sale of old target’s assets decrease its earnings and profits of loss that may be recognized by the followed by a liquidation of old target immediately before allocating earnings subsidiary on the deemed asset into seller, which if made in a and profits pursuant to § 1.312–10. See disposition, only the percentage of the transaction to which section 381 proposed § 1.336–2(b)(2)(vi). Finally, stock of the target subsidiary deemed applied, results in old target’s attributes the deemed sale and reacquisition of sold by target equal to the percentage of being transferred to the seller. target’s assets (and, in the case of a the stock of target sold or exchanged is Accordingly, consistent with a taxable parent-subsidiary chain of corporations considered to have been sold or asset acquisition, after the transaction making section 336(e) elections, a target exchanged. See proposed §§ 1.336– new target generally has no tax subsidiary’s assets) pursuant to the 2(b)(1)(i)(B)(2) and (3). Thus, losses attributes or earnings and profits, and deemed asset disposition will not cause realized in the deemed asset disposition holds its assets with a cost basis. In the transaction to fail to satisfy the contrast, a section 355 distribution is are not recognized to the extent the requirements of section 355. See generally tax-free to the distributing qualified stock disposition is proposed § 1.336–2(b)(2)(v). corporation’s shareholders, even if the Similar to a qualified stock attributable to the distribution of target transaction is described in section disposition resulting from a distribution stock. 355(d)(2) or 355(e)(2). Further, following not involving a transaction described in a section 355 distribution, the section 355(d)(2) or (e)(2), old target’s

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losses in the deemed asset disposition F. Aggregate Deemed Asset Disposition target should be readily identifiable will be recognized, but only in relation Price (ADADP) and Adjusted Grossed through mandatory SEC filings and to the amount of stock sold or Up Basis (AGUB) other sources. Thus, in order to balance exchanged in the qualified stock These proposed regulations create a a desire for precision with a practical disposition on or before the disposition new term, aggregate deemed asset application, nonrecently disposed stock date. See §§ 1.336–2(b)(2)(i)(B)(2) and disposition price (ADADP). These is defined as stock in a target (3). proposed regulations retain the term corporation which is held on the Notwithstanding the fact that the adjusted grossed up basis (AGUB) as disposition date by a purchaser or a sale-to-self treatment applies to a used in section 338. See § 1.338–5. In person related to a purchaser who owns, distribution of stock described in general, these proposed regulations treat on the disposition date, with the section 355(d)(2) or (e)(2), if old target ADADP and AGUB similarly to the way application of section 318(a), other than has any subsidiaries for which a section aggregate deemed sale price (ADSP) and section 318(a)(4), at least 10 percent of 336(e) election is made, the general AGUB are treated under the section 338 the total voting power or value of the deemed asset disposition methodology regulations. See proposed §§ 1.336–3 stock of target, and which is not recently shall apply. Accordingly, old target and 1.336–4. Old target recognizes all of disposed stock. See proposed § 1.336– subsidiary is treated as though it sold all the gain realized on the deemed transfer 1(b)(17). its assets to an unrelated person, new In general, proposed § 1.336–4 uses of its assets in exchange for the ADADP target subsidiary is deemed to purchase the same principles as paragraphs (b) and allocates the ADADP among the all its assets from an unrelated person, through (g) of § 1.338–5 to determine the assets held as of the disposition date (in and old target subsidiary is deemed to amount of AGUB for target and the the same manner as ADSP is allocated liquidate into old target. If the sale-to- consequences of a gain recognition self treatment was applied, target under §§ 1.338–6 and 1.338–7). See election. Proposed § 1.336–4(b) contains subsidiary’s attributes would remain proposed §§ 1.336–2(b)(1)(i) and 1.336– modifications to the principles of with target subsidiary. The IRS and 2(b)(2)(i). ADADP is calculated by § 1.338–5 to reflect the principles of Treasury Department do not believe that adding the grossed-up amount realized section 336(e). taxpayers should have the option of on the sale, exchange, or distribution of New target is treated as acquiring all whether the attributes become those of recently disposed target stock and the of its assets from an unrelated person in target, by doing an actual sale of target liabilities of old target. See proposed a single transaction at the close of the subsidiary’s assets followed by a § 1.336–3(b)(1). These proposed disposition date, but before the deemed liquidation of target subsidiary, or regulations account for the fact that liquidation (or, in the case of a remain with target subsidiary, by there is no actual amount realized in a transaction described in section making a section 336(e) election for distribution of stock by treating the 355(d)(2) or (e)(2), before the target subsidiary. Accordingly, the grossed-up amount realized on the sale, distribution) in exchange for an amount regulations apply the general deemed exchange, or distribution as including in equal to the AGUB as determined under asset disposition methodology for the amount realized the fair market proposed § 1.336–4. New target allocates section 336(e) elections for target value of recently disposed target stock the consideration deemed paid in the subsidiaries in a distribution of target distributed in the qualified stock same manner as new target would as stock described in section 355(d)(2) or disposition. See proposed § 1.336– described in §§ 1.338–6 and 1.338–7 in (e)(2). 3(c)(1)(i)(B). order to determine the basis in each of These proposed regulations also the transferred assets. See proposed 3. Intragroup Sales, Exchanges, or create a new term, nonrecently disposed §§ 1.336–2(b)(1)(ii) and 1.336–2(b)(2)(ii). Distributions Prior to External Sales, stock. The term nonrecently disposed In the case of a disposition described in Exchanges, or Distributions stock has a similar meaning to the term section 355(d)(2) or (e)(2), any reference Generally, if the stock of a target is nonrecently purchased stock in section to new target is treated as referring to transferred within an affiliated group 338(b)(6)(B). In a transaction for which old target in its capacity as the and then is further transferred outside a section 338 election is made, there is purchaser of assets pursuant to the the affiliated group, a section 336(e) only one purchasing corporation (or an section 336(e) election. See proposed election is not available for the affiliated group treated as a purchasing § 1.336–4(b)(4). intragroup transfer because a qualified corporation). Accordingly, in most Consistent with the principles of a stock disposition may not be made cases, it should be relatively easy to section 338(h)(10) election, any stock between related sellers and purchasers. determine the purchaser’s basis in retained by a seller or a member of Thus, stock level gain may be nonrecently purchased stock in order to seller’s consolidated group after the 12- recognized on the intragroup transfer. determine AGUB. However, in a section month disposition period is treated as While a section 336(e) election may be 336(e) election, there can be multiple acquired by the seller on the day after available for the external transfer, this purchasers or multiple distributees, the disposition date at its fair market election would result in the affiliated many of whom may have acquired small value. For this purpose, the fair market group recognizing gain both on target’s amounts of target stock prior to the 12- value of all the target stock equals the assets and the target stock, contrary to month disposition period. While a more grossed-up amount realized on the sale, the intent of these proposed regulations. precise determination of AGUB would exchange, or distribution of recently Comments are requested on how to require the determination of the basis of disposed stock. See proposed §§ 1.336– address this concern. Further, because all such stockholdings, the IRS and 2(b)(1)(v) and 1.336–2(b)(2)(iv). A section 355(f) provides that section 355 Treasury Department recognize that it minority shareholder (that is, a does not apply to an intragroup would often be impractical to require a shareholder that is neither the seller that distribution prior to an external seller to determine and track all the disposes of 80 percent of the voting distribution described in section purchasers (and distributees) possessing power and value of target stock nor a 355(e)(2), these comments should small amounts of nonrecently member of seller’s consolidated group) address the concerns that section 355(f) purchased stock. Generally, purchasers is generally not affected by a section is intended to address for distributions holding at least 10 percent of the total 336(e) election. Accordingly, such a described therein. voting power or value of the stock of minority shareholder that disposes of its

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target stock will recognize gain or loss to protect their interests in any purchase outstanding stock of target (other than on the stock without regard to the contract. Comments are requested the purchasing corporation’s section 336(e) election, and a minority regarding whether it is appropriate to nonrecently purchased stock) within the shareholder that retains its target stock allow such unilateral section 336(e) 12-month acquisition period on or retains its basis and holding period in elections in all cases. before the acquisition date, the formula its target stock. See proposed § 1.336– The information required on a section in the regulations will not result in the 2(d). 336(e) election statement is similar to purchasing corporation’s basis in each Under proposed § 1.336–4(c), a holder that required on Form 8023, Elections share of nonrecently purchased stock of nonrecently disposed stock may make Under Section 338 for Corporations equaling the average price of the a gain recognition election, similar to Making Qualified Stock Purchases. In recently purchased stock. Only if the the gain recognition election under the case of a gain recognition election, basis in the recently purchased stock is section 338, which treats the the section 336(e) election statement grossed-up (as provided by the Code) nonrecently disposed stock as being must include information pertaining to will such result be achieved. In fact, sold as of the disposition date. The gain the gain recognition election. § 1.338–5(g), Example 1, paragraph (v), recognition election is mandatory if a When finalized, these proposed in demonstrating the effect of a gain purchaser owns (after the application of regulations will permit taxpayers to recognition election, uses the grossed- the rules of section 318(a), other than make a protective section 336(e) up basis in the recently purchased section 318(a)(4)) 80 percent or more of election if they are unsure of whether a stock, not the non-grossed-up basis, the voting power or value of target transaction constitutes a qualified stock consistent with both the Code and the stock. See proposed §§ 1.336–1(b)(15) disposition. If such an election is made, intent of the regulation. Accordingly, and 1.336–4(c)(2). Cf. §§ 1.338(h)(10)– it will not have any effect if the § 1.338–5(d)(3)(ii) is corrected to use the 1(d)(1) and 1.338–5(d). Once made, a transaction does not constitute a grossed-up basis of recently purchased gain recognition election is irrevocable. qualified stock disposition but will stock in determining the basis amount, See proposed § 1.336–4(c)(1). The IRS otherwise be binding and irrevocable. rather than the non-grossed-up basis. and Treasury Department request See proposed § 1.336–2(j). I. Proposed Effective/Applicability Date comments on whether the rules H. Correction to § 1.338–5 regarding gain recognition elections in These proposed regulations are these proposed regulations are Section 338(b)(3)(A) authorizes proposed to apply to any qualified stock appropriate, and whether the gain regulations under which the purchasing disposition for which the disposition recognition election rules in regulations corporation may elect to step up its date is on or after the date these promulgated under section 338 should basis in nonrecently purchased stock regulations are published as final continue to apply. Also, see the (gain recognition election) to a ‘‘basis regulations in the Federal Register. ‘‘Correction to section 1.338–5’’ section amount.’’ Under section 338(b)(3)(B), Special Analyses of this preamble addressing a correction the basis amount is equal to the grossed- to the definition of the term basis up basis of the purchasing corporation’s It has been determined that this notice amount, the amount used in recently purchased stock multiplied by of proposed rulemaking is not a determining the purchasing a fraction, the numerator of which is the significant regulatory action as defined corporation’s gain on the deemed sale of percentage of target stock attributable to in Executive Order 12866. Therefore, a stock pursuant to the gain recognition the purchasing corporation’s regulatory assessment is not required. election and in determining AGUB. nonrecently purchased stock and the Further, it is hereby certified that these denominator of which is 100 percent proposed regulations will not have a G. Making the Section 336(e) Election minus the numerator amount. significant economic impact on a These proposed regulations provide Section 1.338–5(d) provides for the substantial number of small entities. that a section 336(e) election is made by above described gain recognition This certification is based on the fact seller attaching a statement to its timely election. Section 1.338–5(d)(3)(ii) that these regulations do not have a filed Federal income tax return for the provides that the basis amount is equal substantial economic impact because taxable year that includes the to the amount in § 1.338–5(c)(1) (the they merely provide for an election in disposition date. See proposed § 1.336– purchasing corporation’s basis in the context of certain sales, exchanges, 2(h). If the seller is a member of a recently purchased target stock and distributions of stock of consolidated group, the statement is determined without regard to corporations. Moreover, they are filed with the group’s consolidated acquisition costs) multiplied by a expected to apply predominantly to return. fraction, the numerator of which is the transactions involving larger businesses The IRS and Treasury Department percentage of target stock (by value, because the election is only applicable believe that it is appropriate to allow the determined on the acquisition date) for certain dispositions of stock of an seller (or the common parent of the attributable to the purchasing affiliated subsidiary. Accordingly, a seller’s consolidated group) to corporation’s nonrecently purchased Regulatory Flexibility Analysis under unilaterally make the section 336(e) target stock and the denominator of the Regulatory Flexibility Act (5 U.S.C. election. The IRS and Treasury which is 100 percent minus the chapter 6) is not required. Pursuant to Department believe that in a numerator amount. Section 1.338– section 7805(f) of the Code, this notice distribution of target stock, it would be 5(d)(3)(ii) goes on to state, ‘‘[t]hus, if of proposed rulemaking has been impractical to require each distributee, target has a single class of outstanding submitted to the Chief Counsel for who generally will hold relatively small stock, the purchasing corporation’s basis Advocacy of the Small Business percentages of the target stock, to join in in each share of nonrecently purchased Administration for comment on its the election. Further, the distributees’ target stock after the gain recognition impact on small business. interests should generally be protected election is equal to the average price per because of the distributing corporation’s share of the purchasing corporation’s Comments and Requests for Public fiduciary responsibilities to its recently purchased target stock.’’ Hearing shareholders. In the case of a sale or However, unless the purchasing Before these proposed regulations are exchange, the purchasers should be able corporation purchases all of the adopted as final regulations,

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consideration will be given to any (ii) Exception for disposition of stock in (3) Miscellaneous international provisions. written comments (a signed original and certain section 355 transactions. (i) Source and foreign tax credit. eight copies) or electronic comments (iii) Transactions with related persons. (ii) Allocation of foreign taxes. that are submitted timely to the IRS. In (iv) No consideration paid. (h) Making the section 336(e) election. (v) Disposed of stock reacquired by certain (i) [Reserved]. addition to the specific requests for persons. (j) Protective section 336(e) election. comments made elsewhere in this (5) Qualified stock disposition. (k) Examples. preamble, the IRS and Treasury (i) In general. § 1.336–3 Aggregate deemed asset Department request comments on the (ii) Overlap with qualified stock purchase. disposition price; various aspects of clarity of the proposed rules and how (A) In general. taxation of the deemed asset disposition. they can be made easier to understand. (B) Exception. (a) Scope. All comments will be available for (6) 12-month disposition period. (b) Determination of ADADP. (7) Disposition date. (1) General rule. public inspection and copying. A public (8) Disposition date assets. hearing may be scheduled if requested (2) Time and amount of ADADP. (9) Domestic corporation. (i) Original determination. in writing by any person who timely (10) Section 336(e) election. (ii) Redetermination of ADADP. submits written comments. If a public (11) Related persons. (c) Grossed-up amount realized on the sale, hearing is scheduled, notice of the date, (12) Liquidation. exchange, or distribution of recently time, and place of the hearing will be (13) Deemed asset disposition. disposed stock of target. published in the Federal Register. (14) Deemed disposition tax consequences. (1) Determination of amount. (15) 80-percent purchaser. (2) Example. Drafting Information (16) Recently disposed stock. (d) Liabilities of old target. (17) Nonrecently disposed stock. (1) In general. The principal author of these (c) Nomenclature. (2) Time and amount of liabilities. regulations is Mark J. Weiss of the Office § 1.336–2 Availability, mechanics, and (e) Deemed disposition tax consequences. of Associate Chief Counsel (Corporate). consequences of section 336(e) election. (f) Other rules apply in determining Other personnel from the IRS and (a) Availability of election. (b) Deemed transaction. ADADP. Treasury Department participated in § 1.336–4 Adjusted grossed-up basis. their development. (1) Dispositions not described in section 355(d)(2) or (e)(2). (a) Scope. List of Subjects in 26 CFR Part 1 (i) Old target—deemed asset disposition. (b) Modifications to the principles in § 1.338–5. Income taxes, Reporting and (A) In general. (B) Gains and losses. (1) Purchasing corporation; purchaser. recordkeeping requirements. (1) Gains. (2) Acquisition date; disposition date. (2) Losses. (3) Section 338 election; section 338(h)(10) Proposed Amendments to the election; section 336(e) election. Regulations (3) Examples. (C) Tiered targets. (4) New target; old target. Accordingly, 26 CFR part 1 is (ii) New target—deemed purchase. (5) Recently purchased stock; recently proposed to be amended as follows: (iii) Old target and seller—deemed disposed stock. liquidation. (6) Nonrecently purchased stock; PART 1—INCOME TAXES (A) In general. nonrecently disposed stock. (B) Tiered targets. (c) Gain recognition election. Paragraph 1. The authority citation (iv) Seller—distribution of target stock. (1) In general. for part 1 is amended by adding entries (v) Seller—retention of target stock. (2) 80-percent purchaser. in numerical order to read in part as (2) Dispositions described in section (3) Non-80-percent purchaser. follows: 355(d)(2) or (e)(2). (4) Gain recognition election statement. (i) Old target—deemed asset disposition. (d) Examples. Authority: 26 U.S.C. 7805 * * * (A) In general. § 1.336–5 Effective/applicability Date. Section 1.336–1 is also issued under 26 (B) Gains and losses. U.S.C. 336. * * * (1) Gains. § 1.336–1 General principles, Section 1.336–2 is also issued under 26 (2) Losses. nomenclature, and definitions for a section U.S.C. 336. * * * (3) Example. 336(e) election. Section 1.336–3 is also issued under 26 (C) Tiered targets. (a) Overview. Section 336(e) U.S.C. 336. * * * (ii) Old target—deemed purchase. Section 1.336–4 is also issued under 26 (A) In general. authorizes the promulgation of U.S.C. 336. * * * (B) Tiered targets. regulations under which, in certain Section 1.336–5 is also issued under 26 (iii) Seller—distribution of target stock. circumstances, a sale, exchange, or U.S.C. 336. * * * (A) In general. distribution of the stock of a subsidiary Par. 2. Sections 1.336–0 through (B) Tiered targets. may be treated as an asset sale. This 1.336–5 are added to read as follows: (iv) Seller—retention of target stock. section and §§ 1.336–2 through 1.336–5 (v) Qualification under section 355. provide the rules for and consequences (vi) Earnings and profits. § 1.336–0 Table of Contents. of making such election. This section (c) Purchaser. provides the definitions and This section lists captions contained in (d) Minority shareholders. §§ 1.336–1, 1.336–2, 1.336–3, 1.336–4, and (1) In general. nomenclature. Generally, except to the 1.336–5. (2) Sale, exchange, or distribution of target extent inconsistent with section 336(e), § 1.336–1 General principles, nomenclature, stock by a minority shareholder. the results of a section 336(e) election and definitions for a section 336(e) (3) Retention of target stock by a minority should coincide with those of a section election. shareholder. 338(h)(10) election. Accordingly, to the (a) Overview. (e) Treatment consistent with an actual extent not otherwise addressed in these (b) Definitions. asset disposition. regulations nor inconsistent with (1) Seller. (f) Treatment of target under other section 336(e), the principles of section (2) Purchaser. provisions of the Internal Revenue Code. (3) Target; target corporation; old target; (g) Special rules. 338 and the regulations under section new target. (1) Target as two corporations. 338 apply for purposes of these (4) Disposed of; disposition. (2) Treatment of members of a consolidated regulations. For example, § 1.338–8 (i) In general. group. (concerning asset and stock consistency)

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and § 1.338(h)(10)–1(d)(8) (concerning of this section, a distribution of stock to (8) Disposition date assets. the availability of the section 453 a person who is not a related person in Disposition date assets are the assets of installment method) may apply with a transaction in which the full amount the target held at the beginning of the respect to a section 336(e) election. of stock gain would be recognized day after the disposition date (but see (b) Definitions. For purposes of pursuant to section 355(d)(2) or (e)(2) § 1.338–1(d) (regarding certain §§ 1.336–1 through 1.336–5 (except as shall be considered a disposition. transactions on the disposition date)). otherwise provided): (iii) Transactions with related (9) Domestic corporation. The term (1) Seller. The term seller means any persons. In determining whether stock domestic corporation has the same domestic corporation that makes a is sold, exchanged, or distributed to a meaning as in § 1.338–2(c)(9). qualified stock disposition of stock of related person, the principles of section (10) Section 336(e) election. A section another corporation. A seller includes 338(h)(3)(C) and § 1.338–3(b)(3) shall 336(e) election is an election to apply both a transferor and a distributor of apply. section 336(e) to target. A section 336(e) target stock. Generally, all members of a (iv) No consideration paid. Stock in a election is made by making an election consolidated group that dispose of target target may be considered disposed of if, for target under § 1.336–2(h). stock are treated as a single seller. See under general principles of tax law, the (11) Related persons. Two persons are § 1.336–2(g)(2). seller is considered to sell, exchange, or related if stock of a corporation owned (2) Purchaser. The term purchaser distribute stock of the target by one of the persons would be means one or more persons that receive notwithstanding that no amount may be attributed under section 318(a), other the stock of another corporation in a paid for (or allocated to) the stock. than section 318(a)(4), to the other. (12) Liquidation. Any reference to a qualified stock disposition. A purchaser (v) Disposed of stock reacquired by liquidation is treated as a reference to includes both a transferee and a certain persons. Stock disposed of to the transfer described in § 1.336– distributee of target stock. another person under this section which (3) Target; target corporation; old 2(b)(1)(iii) notwithstanding its ultimate is reacquired by the seller or a member target; new target. The term target or characterization for Federal income tax of the seller’s consolidated group within target corporation means any domestic purposes. the 12-month disposition period shall corporation the stock of which is sold, (13) Deemed asset disposition. The not be considered as disposed of. exchanged, or distributed by another deemed sale of old target’s assets is, (5) Qualified stock disposition—(i) In domestic corporation in a qualified without regard to its characterization for general. The term qualified stock stock disposition. In the case of a Federal income tax purposes, referred to disposition means any transaction or transaction not described in section as the deemed asset disposition. series of transactions in which stock 355(d)(2) or (e)(2), ‘‘old target’’ refers to (14) Deemed disposition tax meeting the requirements of section target for periods ending on or before consequences. Deemed disposition tax 1504(a)(2) of a domestic corporation is the close of target’s disposition date and consequences refers to, in the aggregate, either sold, exchanged, or distributed, or ‘‘new target’’ refers to target for the Federal income tax consequences any combination thereof, by another subsequent periods. In the case of a (generally, the income, gain, deduction, domestic corporation in a disposition, transaction described in section and loss) of the deemed asset within the meaning of paragraph (b)(4) 355(d)(2) or (e)(2), ‘‘old target’’ refers to disposition. Deemed disposition tax of this section, during the 12-month target for periods ending on or before consequences also refers to the Federal disposition period. the disposition date as well as for income tax consequences of the transfer (ii) Overlap with qualified stock subsequent periods. of a particular asset in the deemed asset (4) Disposed of; disposition—(i) In purchase—(A) In general. Except as disposition. general. The term disposed of refers to provided in paragraph (b)(5)(ii)(B) of (15) 80-percent purchaser. An 80- a transfer of stock in a disposition. The this section, a transaction satisfying the percent purchaser is any purchaser that, term disposition means any sale, definition of a qualified stock after application of the attribution rules exchange, or distribution of stock, but disposition under paragraph (b)(5)(i) of of section 318(a), other than section only if— this section which also qualifies as a 318(a)(4), owns 80 percent or more of (A) The basis of the stock in the hands qualified stock purchase (as defined in the voting power or value of the target of the purchaser is not determined in section 338(d)(3)) will not be treated as corporation stock. whole or in part by reference to the a qualified stock disposition. (16) Recently disposed stock. The adjusted basis of such stock in the (B) Exception. If, as a result of the term recently disposed stock means any hands of the person from whom deemed sale of old target’s assets stock in the target corporation which is acquired or under section 1014(a) pursuant to a section 336(e) election, not held by a seller or a member of the (relating to property acquired from a there would be, but for paragraph seller’s consolidated group immediately decedent), (b)(5)(ii)(A) of this section, a qualified after the close of the disposition date (B) Except as provided in paragraph stock disposition of the stock of a and which was sold, exchanged, or (b)(4)(ii) of this section, the stock is not subsidiary of target, then paragraph distributed by a seller during the 12- sold, exchanged, or distributed in a (b)(5)(ii)(A) shall not apply. month disposition period. If, within the transaction to which section 351, 354, (6) 12-month disposition period. The 12-month disposition period, stock is 355, or 356 applies and is not sold, term 12-month disposition period sold, exchanged, or distributed, then exchanged, or distributed in any means the 12-month period beginning reacquired by a seller, and then sold, transaction described in regulations in with the date of the first sale, exchange, exchanged, or distributed again, only which the transferor does not recognize or distribution of stock included in a the last sale, exchange, or distribution of the entire amount of the gain or loss qualified stock disposition. the reacquired stock in the 12-month realized in the transaction, and (7) Disposition date. The term disposition period may be recently (C) The stock is not sold, exchanged, disposition date means, with respect to disposed stock. or distributed to a related person. any corporation, the first day on which (17) Nonrecently disposed stock. The (ii) Exception for disposition of stock there is a qualified stock disposition term nonrecently disposed stock means in certain section 355 transactions. with respect to the stock of such stock in the target corporation which is Notwithstanding paragraph (b)(4)(i)(B) corporation. held on the disposition date by a

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purchaser or a person related (as (B) Gains and losses—(1) Gains. month disposition period, a qualified stock described in § 1.336–1(b)(11)) to the Except as provided in § 1.338(h)(10)– disposition has occurred. July 1 of Year 1, the purchaser who owns, on the disposition 1(d)(8) (regarding the installment first date on which there was a qualified date, with the application of section method), old target shall recognize all of stock disposition with respect to the Target stock, is the disposition date. Old Target 318(a), other than section 318(a)(4), at the gain realized on the deemed asset recognizes all of its gain on the deemed asset least 10 percent of the total voting disposition. disposition. However, only 30 shares of power or value of the stock of target and (2) Losses. Old target shall recognize Target stock were sold or exchanged in the which is not recently disposed stock. loss, if any, on the deemed sale of each qualified stock disposition on or before the (c) Nomenclature. For purposes of of its assets with respect to the amount disposition date. Therefore, only a portion of §§ 1.336–1 through 1.336–5, except as of stock sold or exchanged in the the loss, if any, on the deemed sale of each otherwise provided, Parent, Seller, qualified stock disposition on or before of Target’s assets is recognized for Federal Target, Target Subsidiary, and Sub are the disposition date. Old target shall not income tax purposes. The portion of the loss recognized is equal to a fraction, the domestic corporations and A, B, C, and recognize loss on the deemed sale of D are individuals, none of whom are numerator of which is $3,000, the value, each of its assets with respect to the determined on July 1, the disposition date, of related to Parent, Seller, Target, Target amount of stock distributed in the the 30 shares sold by Seller in the qualified Subsidiary, Sub, or each other. qualified stock disposition on or before stock disposition on or before the disposition date, and the denominator of which is § 1.336–2 Availability, mechanics, and the disposition date. The amount of loss $8,000, the value of the Target stock on July consequences of section 336(e) election. recognized by old target with respect to 1, the disposition date, that was disposed of (a) Availability of election. A section an asset is the amount of loss realized on the deemed sale of the asset in the qualified stock disposition on or before 336(e) election is available if a seller the disposition date. Accordingly, only 37.5 makes a disposition of stock of another multiplied by a fraction (loss percent ($3,000/$8,000) of Old Target’s loss corporation (target) in a qualified stock recognition fraction). The numerator of (if any) with respect to each asset sold in the disposition (as defined in § 1.336– the loss recognition fraction is the value deemed asset disposition is recognized. 1(b)(5)). A section 336(e) election is of the target stock, determined on the irrevocable. A section 336(e) election is disposition date, sold or exchanged in Example 2. (i) Facts. The facts are the same not available for transactions described the qualified stock disposition on or as in Example 1 with the following additional facts: Target also owns 80 shares in section 336(e) that do not constitute before the disposition date. The denominator of the loss recognition of Target Subsidiary common stock, the only qualified stock dispositions, as defined class of Target Subsidiary common stock in § 1.336–1(b)(5). fraction is the total value of the target stock, determined on the disposition outstanding, and Seller owns the remaining (b) Deemed transaction—(1) 20 shares of Target Subsidiary stock. Seller, Dispositions not described in section date, disposed of in the qualified stock Target, and Target Subsidiary file a 355(d)(2) or (e)(2)—(i) Old target- disposition on or before the disposition consolidated Federal income tax return. Also deemed asset disposition—(A) In date. For purposes of determining the on July 1 of Year 1, Seller distributes 15 general. This paragraph (b)(1) provides amount of loss recognized by a shares of Target Subsidiary stock to its the Federal income tax consequences of subsidiary of old target for which a unrelated shareholders and sells 5 shares of a section 336(e) election made with section 336(e) election is made, only the Target Subsidiary stock to C for cash. The fraction of the old target subsidiary Target Subsidiary stock is worth $10 a share respect to a qualified stock disposition on July 1. A section 336(e) election is also not described, in whole or in part, in stock deemed sold in the deemed asset disposition of old target’s assets that is made with respect to the Target Subsidiary section 355(d)(2) or (e)(2). For the stock. Federal income tax consequences of a equal to the loss recognition fraction is (ii) Consequences. The consequences with section 336(e) election made with considered to have been sold or respect to the Target stock are the same as respect to a qualified stock disposition exchanged. In addition, to the extent old described in Example 1 except that no gain described, in whole or in part, in section target or a subsidiary of old target or loss is recognized by Target on the deemed 355(d)(2) or (e)(2), see paragraph (b)(2) otherwise recognizes losses from the sale of its Target Subsidiary stock. With of this section. In general, if a section deemed asset disposition, such losses respect to Target Subsidiary, because at least may be disallowed under other 80 percent of the Target Subsidiary stock ((80 336(e) election is made, the seller is + 15 +5)/100) was disposed of (or deemed treated as not having sold, exchanged, provisions of the Internal Revenue Code or general principles of tax law, in the disposed of) by members of Seller’s or distributed the stock disposed of in consolidated group within the 12-month the qualified stock disposition. Instead, same manner as if such assets were disposition period, a qualified stock old target is treated as selling its assets actually sold to an unrelated person. disposition of Target Subsidiary has to an unrelated person in a single (3) Examples. The following examples occurred. Old Target Subsidiary recognizes transaction at the close of the illustrate this paragraph (b)(1)(i)(B). all of its gain on the deemed asset disposition date (but before the deemed disposition. Notwithstanding that all 80 of liquidation described in paragraph Example 1. (i) Facts. Seller owns 98 of the Target’s shares in Target Subsidiary were 100 outstanding shares of Target common deemed sold in the deemed asset disposition (b)(1)(iii) of this section) in exchange for stock, the only class of Target stock of Target, only 37.5 percent of such shares the aggregate deemed asset disposition outstanding. On March 1 of Year 1, Seller were deemed sold as a result of a sale or price (ADADP) as determined under sells 30 shares of Target stock to A for cash. exchange of Target stock. Accordingly, in § 1.336–3. ADADP is allocated among On April 1 of Year 1, Seller sells 10 shares determining the amount of loss on each of the disposition date assets in the same of Target stock to R, a related individual. On Target Subsidiary’s assets that is recognized manner as ADSP is allocated under July 1 of Year 1, Seller distributes 50 shares in the deemed sale of its assets, only 37.5 §§ 1.338–6 and 1.338–7 in order to of target stock to its unrelated shareholders. percent of the 80 shares of Target Subsidiary determine the amount realized from On December 1 of Year 1, Seller sells 5 shares deemed sold by Target, 30 shares, are each of the sold assets. Old target of Target stock to B. Seller retains its considered to have been sold or exchanged remaining 3 shares of Target stock. The value by Target. Therefore, the amount of loss realizes the deemed disposition tax of the Target stock on July 1 equals $100 per recognized by Target Subsidiary is equal to consequences from the deemed asset share. A section 336(e) election is made. a fraction, the numerator of which is the sum disposition before the close of the (ii) Consequences. Because at least 80 of $300, the value, determined on July 1, the disposition date while old target is percent of the Target stock ((30 + 50 + 5)/100) disposition date, of the 30 shares of Target owned by seller. was disposed of by Seller within the 12- Subsidiary deemed sold by Target in the

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qualified stock disposition, and $50, the cancellation or redemption of all its described, in whole or in part, in section value, determined on July 1, the disposition stock in accordance with a plan of 355(d)(2) or (e)(2), old target is not date, of the 5 shares of Target Subsidiary liquidation, or part of a circular flow of deemed to liquidate. stock sold by Seller on or before the cash. In most cases, the transfer will be (B) Gains and losses—(1) Gains. disposition date, and the denominator of which is $1,000, the value of the Target treated as a distribution in complete Except as provided in § 1.338(h)(10)– Subsidiary stock on July 1, the disposition liquidation to which section 332 and 1(d)(8) (regarding the installment date, that was disposed of in the qualified section 336 or 337 applies. method), old target shall recognize all of stock disposition of Target Subsidiary on or (B) Tiered targets. In the case of the gain realized on the deemed asset before the disposition date. Accordingly, parent-subsidiary chains of corporations disposition. only 35 percent (($300 + $50)/($1,000)) of making section 336(e) elections, the (2) Losses. Old target shall recognize Old Target Subsidiary’s loss (if any) with deemed liquidation of a lower-tier loss, if any, on the deemed sale of each respect to each asset sold in the deemed asset subsidiary corporation is considered to of its assets with respect to the amount disposition is recognized. precede the deemed liquidation of a of stock sold or exchanged in the (C) Tiered targets. In the case of higher-tier subsidiary. qualified stock disposition on or before parent-subsidiary chains of corporations (iv) Seller—distribution of target the disposition date. Old target shall not making section 336(e) elections, the stock. In the case of a distribution of recognize loss on the deemed sale of deemed asset disposition of a higher-tier target stock in the qualified stock each of its assets with respect to the subsidiary is considered to precede the disposition, seller (the distributor) is amount of stock distributed in the deemed asset disposition of a lower-tier deemed to purchase from new target on qualified stock disposition on or before subsidiary. the disposition date, immediately after the disposition date. The amount of loss (ii) New target—deemed purchase. the deemed liquidation of old target, the recognized by old target with respect to New target is treated as acquiring all of amount of stock distributed in the an asset is the amount of loss realized its assets from an unrelated person in a qualified stock disposition and to have on the deemed sale of the asset single transaction at the close of the distributed such new target stock to its multiplied by a fraction (loss disposition date (but before the deemed shareholders. Seller recognizes no gain recognition fraction). The numerator of liquidation) in exchange for an amount or loss on the distribution of stock. the loss recognition fraction is the value equal to the adjusted grossed up basis (v) Seller—retention of target stock. If of the target stock, determined on the (AGUB) as determined under § 1.336–4. a seller retains any target stock after the disposition date, sold or exchanged in New target shall allocate the 12-month disposition period, the seller the qualified stock disposition on or consideration deemed paid in the is treated as purchasing the stock so before the disposition date. The transaction in the same manner as new retained from new target (new target denominator of the loss recognition target would under §§ 1.338–6 and stock) on the day after the disposition fraction is the total value of the target 1.338–7 in order to determine the basis date for its fair market value. The stock, determined on the disposition in each of the purchased assets. holding period for the retained stock date, disposed of in the qualified stock Notwithstanding paragraph (b)(1)(iii) of starts on the day after the disposition disposition on or before the disposition this section (deemed liquidation of old date. For purposes of this paragraph date. In addition, to the extent old target target), new target remains liable for the (b)(1)(v), the fair market value of all of otherwise recognizes losses from the tax liabilities of old target (including the the target stock equals the grossed-up deemed asset disposition, such losses tax liability for the deemed disposition amount realized on the sale, exchange, may be disallowed under other tax consequences). For example, new or distribution of recently disposed provisions of the Internal Revenue Code target remains liable for the tax stock of target (see § 1.336–3(c)). or general principles of tax law, in the liabilities of the members of any (2) Dispositions described in section same manner as if such assets were consolidated group that are attributable 355(d)(2) or (e)(2)—(i) Old target— actually sold to an unrelated person. to taxable years in which those deemed asset disposition—(A) In (3) Example. The following example corporations and old target joined in the general. This paragraph (b)(2) provides illustrates this paragraph (b)(2)(i)(B). same consolidated return. See § 1.1502– the Federal income tax consequences of 6(a). a section 336(e) election made with Example. (i) Facts. Seller owns 95 of the (iii) Old target and seller—deemed respect to a qualified stock disposition 100 outstanding shares of Target common liquidation—(A) In general. Old target resulting, in whole or in part, from a stock, the only class of Target stock outstanding. On January 1 of Year 1, Seller and seller are treated as if, before the disposition described in section sells 4 shares of Target stock to A for cash. close of the disposition date, after the 355(d)(2) or (e)(2). Old target is treated On February 1 of Year 1, Seller sells 5 shares deemed asset disposition described in as selling its assets to an unrelated of Target stock to R, a related individual. On paragraph (b)(1)(i)(A) of this section, person in a single transaction at the May 1 of Year 1, Seller distributes 6 shares and while owned by seller, old target close of the disposition date in exchange of Target stock to its unrelated shareholders transferred all of its assets to seller and for the ADADP as determined under in a distribution not described in section ceased to exist. The transfer from old § 1.336–3. ADADP is allocated among 355(d)(2) or (e)(2). In an unrelated target to seller is characterized for the disposition date assets in the same transaction, on July 1 of Year 1, Seller distributes its remaining 80 shares of Target Federal income tax purposes in the manner as ADSP is allocated under stock to its unrelated shareholders in a same manner as if the parties had §§ 1.338–6 and 1.338–7 in order to distribution described in section 355(d)(2) or actually engaged in the transactions determine the amount realized from (e)(2). The value of the Target stock on July deemed to occur because of this section each of the sold assets. Old target 1 equals $100 per share. A section 336(e) and taking into account other realizes the deemed disposition tax election is made. transactions that actually occurred or consequences from the deemed asset (ii) Consequences. Because at least 80 are deemed to occur. For example, the disposition before the close of the percent of the Target stock ((4 + 6 + 80)/100) transfer may be treated as a distribution disposition date while old target is was disposed of by Seller within the 12- month disposition period, a qualified stock in pursuance of a plan of reorganization, owned by seller. Unlike a section disposition has occurred. July 1 of Year 1, the a distribution in complete cancellation 338(h)(10) election or a section 336(e) first date on which there was a qualified or redemption of all its stock, one of a election made with respect to a stock disposition with respect to the Target series of distributions in complete qualified stock disposition not stock, is the disposition date. Old Target

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recognizes all of its gain on the deemed asset (B) Tiered targets. In the case of earnings and profits pursuant to the disposition. However, only 4 shares of Target parent-subsidiary chains of corporations deemed asset disposition will increase stock were sold or exchanged in the qualified making section 336(e) elections with or decrease, as the case may be, target’s stock disposition on or before the disposition respect to a qualified stock disposition earnings and profits immediately before date. Therefore, only a portion of the loss, if described, in whole or in part, in section any, on the deemed sale of each of Target’s the allocation described in § 1.312–10. assets is recognized for Federal income tax 355(d)(2) or (e)(2), the Federal income (c) Purchaser. Generally, the making purposes. The portion of the loss recognized tax consequences of the section 336(e) of a section 336(e) election will not is equal to a fraction, the numerator of which election for a subsidiary of target shall affect the Federal income tax is $400, the value, determined on July 1, the be determined under paragraph (b)(1) of consequences to which the purchaser disposition date, of the 4 shares sold by this section. The deemed liquidation of would have been subject with respect to Seller in the qualified stock disposition on or a lower-tier subsidiary corporation the acquisition of the target stock if a before the disposition date, and the pursuant to paragraph (b)(1)(iii) of this section 336(e) election was not made. denominator of which is $9,000 ($400 + $600 section is considered to precede the Thus, notwithstanding §§ 1.336– + $8,000), the total value of the Target stock deemed liquidation of a higher-tier 2(b)(1)(i)(A), 1.336–2(b)(1)(iv), and determined as of July 1, that was disposed of subsidiary. The deemed liquidation of in the qualified stock disposition on or before 1.336–2(b)(2)(iii)(A), the purchaser will the disposition date. Accordingly, only $400/ the highest tier subsidiary of target is still be treated as having purchased, $9,000 of Old Target’s loss (if any) with considered to precede the distribution received in an exchange, or received in respect to each asset sold in the deemed asset of old target stock described in a distribution, the stock of target so disposition is recognized. paragraph (b)(2)(iii)(A) of this section. acquired on the date actually acquired. (iv) Seller—retention of target stock. If (C) Tiered targets. In the case of However, see section 1223(1)(B) with a seller retains any target stock after the parent-subsidiary chains of corporations respect to the holding period for stock 12-month disposition period, the seller acquired pursuant to a distribution making section 336(e) elections, the is treated as having disposed of the old deemed asset disposition of a higher-tier qualifying under section 355 (or so target stock so retained, on the much of section 356 that relates to subsidiary is considered to precede the disposition date, in a transaction in deemed asset disposition of a lower-tier section 355). The Federal income tax which no gain or loss is recognized, and consequences of the deemed asset subsidiary. then, on the day after the disposition (ii) Old target—deemed purchase— disposition and liquidation of target date, purchasing the stock so retained may affect the purchaser’s (A) In general. Immediately after the from old target for its fair market value. deemed asset disposition described in consequences. For example, if seller The holding period for the retained distributes the stock of target to its paragraph (b)(2)(i)(A) of this section, old stock starts on the day after the target is treated as acquiring all of its shareholders in a qualified stock disposition date. For purposes of this disposition for which a section 336(e) assets from an unrelated person in a paragraph (b)(2)(iv), the fair market single, separate transaction at the close election is made, any increase in seller’s value of all of the target stock equals the earnings and profits as a result of old of the disposition date (but before the grossed-up amount realized on the sale, target’s deemed asset disposition and distribution described in paragraph exchange, or distribution of recently liquidation into seller may increase the (b)(2)(iii)(A) of this section) in exchange disposed stock of target (see § 1.336– amount of the distribution to the for an amount equal to the AGUB as 3(c)). determined under § 1.336–4. Old target (v) Qualification under section 355. shareholders constituting a dividend shall allocate the consideration deemed Old target’s deemed sale of all its assets under section 301(c)(1). paid in the transaction in the same to an unrelated person and old target’s (d) Minority shareholders—(1) In manner as new target would under deemed purchase of all its assets from general. This paragraph (d) describes §§ 1.338–6 and 1.338–7 in order to an unrelated person will not cause the the treatment of shareholders of old determine the basis in each of the distribution of old target to fail to satisfy target other than the seller (or a member purchased assets. the requirements of section 355. of seller’s consolidated group), whether (B) Tiered targets. In the case of Similarly, the deemed sale of all of the or not they sell, exchange, or distribute parent-subsidiary chains of corporations assets of a subsidiary of target to an their stock of target. A shareholder to making section 336(e) elections with unrelated person and the subsidiary’s which this paragraph (d) applies is respect to a qualified stock disposition deemed purchase of all its assets from referred to as a minority shareholder. described, in whole or in part, in section an unrelated person will not cause the (2) Sale, exchange, or distribution of 355(d)(2) or (e)(2), old target’s deemed distribution of old target to fail to satisfy target stock by a minority shareholder. purchase of all its assets is considered the requirements of section 355. For A minority shareholder recognizes gain to precede the deemed asset disposition purposes of applying section or loss (as permitted under the general of a lower-tier subsidiary. 355(a)(1)(D), seller is treated as having principles of tax law) on its sale, (iii) Seller—distribution of target disposed of any stock disposed of in the exchange, or distribution of target stock. stock—(A) In general. Immediately after qualified stock disposition on the date (3) Retention of target stock by a old target’s deemed purchase of its seller actually sold, exchanged, or minority shareholder. A minority assets described in paragraph (b)(2)(ii) distributed such stock. Further, seller’s shareholder who retains its target stock of this section, seller is treated as deemed disposition of retained old does not recognize gain or loss under distributing the stock of old target target stock under paragraph (b)(2)(iv) of this section with respect to its shares of actually distributed to its shareholders this section is disregarded for purposes target stock. The minority shareholder’s in the qualified stock disposition. No of applying section 355(a)(1)(D). basis and holding period for that target gain or loss is recognized by seller on (vi) Earnings and profits. The earnings stock are not affected by the section the distribution. Additionally, if stock of and profits of seller and target shall be 336(e) election. Notwithstanding the target is sold or exchanged as part of a determined pursuant to § 1.312–10 and, treatment to the minority shareholder, if qualified stock disposition described, in if applicable, § 1.1502–33(e). For this a section 336(e) election is made, target whole or in part, in section 355(d)(2) or purpose, target will not be treated as a will still be treated as disposing of all (e)(2), no gain or loss is recognized by newly created controlled corporation of its assets in the deemed asset seller on the sale or exchange. and any increase or decrease in target’s disposition.

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(e) Treatment consistent with an statement to its timely filed (including election under section 336(e) in actual asset disposition. Except as extensions) Federal income tax return connection with a transaction. Such an otherwise provided, no provision in this for the taxable year which includes the election will have no effect if the section shall produce a Federal income disposition date entitled ‘‘THIS IS AN transaction does not constitute a tax result under subtitle A of the ELECTION UNDER SECTION 336(e) TO qualified stock disposition, as defined Internal Revenue Code that would not TREAT THE DISPOSITION OF THE in § 1.336–1(b)(5), but will otherwise be occur if the parties had actually engaged STOCK OF [insert name and employer binding and irrevocable. in the transactions deemed to occur identification number of target] AS A (k) Examples. The following examples because of this section, taking into DEEMED SALE OF SUCH illustrate the provisions of this section. account other transactions that actually CORPORATION’S ASSETS.’’ If the Example 1. Sale of 100 percent of target occurred or are deemed to occur. See seller is a member of a consolidated stock. (i) Facts. Parent owns all 100 shares of § 1.338–1(a)(2) regarding the application group, the statement is filed with the Target’s only class of stock. The stock has a of other rules of law. Federal income tax return of the basis of $80 per share. Target’s only assets are (f) Treatment of target under other consolidated group. The seller must two parcels of land. Parcel 1 has a basis of provisions of the Internal Revenue Code. provide a copy of the statement to the $5,000 and Parcel 2 has a basis of $4,000. The provisions § 1.338–1(b) apply with target. The relevant information for each Target has no liabilities. On July 1 of Year 1, respect to the treatment of new target Parent sells all 100 shares of Target stock to consolidated group member that A for $100 per share. Parent incurs no selling after a section 336(e) election, treating disposes of target stock and each any reference to section 338 or costs and A incurs no acquisition costs. On member that retains target stock must be July 1, the value of Parcel 1 is $7,000 and the 338(h)(10) as a reference to section set forth individually, not in the value of Parcel 2 is $3,000. Parent makes a 336(e). aggregate. In the case of a section 336(e) section 336(e) election. (g) Special rules—(1) Target as two election for lower-tier targets, an (ii) Consequences. The sale of Target stock corporations. Although the target is a additional statement must be filed for constitutes a qualified stock disposition. July single corporation under corporate law, each lower-tier target. However, in 1 of Year 1 is the disposition date. if a section 336(e) election is made, preparing the statement, the seller of the Accordingly, pursuant to the section 336(e) then, except with respect to a election, for Federal income tax purposes, directly disposed of target shall be rather than treating Parent as selling the stock distribution described in section treated as the seller of the lower-tier 355(d)(2) or (e)(2) and as provided in of Target to A, the following events are target. The section 336(e) election deemed to occur. Target is treated as if, on § 1.338–1(b)(2), two separate statement must include: corporations, old target and new target, July 1, it sold all of its assets to an unrelated (1) The name, address, employer person in exchange for the ADADP, $10,000, generally are considered to exist for identification number (EIN), tax year, which is allocated $7,000 to Parcel 1 and purposes of subtitle A of the Internal and state of incorporation of the target $3,000 to Parcel 2 (see § 1.336–3 for the Revenue Code. corporation; determination and allocation of ADADP). (2) Treatment of members of a (2) The name, address, EIN, tax year, Target recognizes gain of $2,000 on Parcel 1 consolidated group. For purposes of and state of incorporation of the and loss of $1,000 on Parcel 2. New Target §§ 1.336–1 through 1.336–5, all seller(s); is then treated as acquiring all its assets from an unrelated person in a single transaction in members of the seller’s consolidated (3) The name, address, EIN (or Social group are treated as a single seller, exchange for the AGUB, $10,000 (see Security number), tax year, and state of § 1.336–4 for the determination of AGUB). regardless of whether the member incorporation (if any) of any 80-percent actually disposes of any stock. Old Target is treated as liquidating into purchaser; Parent immediately thereafter, distributing Accordingly, any dispositions of stock (4) The disposition date; the $10,000 deemed received in exchange for made by members of the same (5) The percentage of target stock that its assets in a transaction qualifying under consolidated group shall be treated as was disposed of by each seller in the section 332. Parent recognizes no gain or loss made by one corporation, and any stock qualified stock disposition; on the liquidation. A’s basis in New Target owned by members of the same (6) The percentage of target stock that stock equals $100 per share, the amount paid consolidated group and not disposed of was disposed of on the disposition date for the stock. will be treated as stock retained by the by each seller in the qualified stock Example 2. Sale of 80 percent of target seller. disposition; stock. (i) Facts. The facts are the same as in (3) Miscellaneous international (7) The percentage of target stock that Example 1 except that Parent only sells 80 provisions—(i) Source and foreign tax was sold or exchanged by each seller in shares of its Target stock to A and retains the other 20 shares. credit. The principles of section the qualified stock disposition on or 338(h)(16) apply to section 336(e) (ii) Consequences. The results are the same before the disposition date; as in Example 1 except that Parent also is elections for target corporations with (8) The percentage of target stock that treated as purchasing from New Target on foreign operations to ensure that the was distributed by each seller in the July 2, the day after the disposition date, the source and foreign tax credit limitation qualified stock disposition on or before 20 shares of Target stock (New Target stock) are properly determined. the disposition date; not actually sold to A, for their fair market (ii) Allocation of foreign taxes. If a (9) The percentage of target stock that value as determined under § 1.336–2(b)(1)(v), section 336(e) election is made for target was retained by each seller immediately $2,000 ($100 per share). and target’s taxable year under foreign after the 12-month disposition period; Example 3. Distribution of 100 percent of law (if any) does not close at the end of and target stock. (i) Facts. The facts are the same the disposition date, foreign income (10) Whether any purchaser made a as in Example 1 except that instead of Parent taxes attributable to the foreign taxable gain recognition election pursuant to selling 100 shares of Target stock to A, Parent income earned by the target during such § 1.336–4(c). A copy of the gain distributes 100 shares to its shareholders, all of whom are unrelated to Parent, in a foreign taxable year are allocated to old recognition election statement must be transaction that does not qualify under target and new target under the attached to the section 336(e) election section 355. principles of § 1.1502–76(b). statement. (ii) Consequences. The results are the same (h) Making the section 336(e) election. (i) [Reserved] as in Example 1 except that Target does not A section 336(e) election is made by the (j) Protective section 336(e) election. recognize the $1,000 of loss realized with seller attaching a section 336(e) election Taxpayers may make a protective respect to Parcel 2 (see § 1.336–

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2(b)(1)(i)(B)(2)) and on July 1, immediately which is $9,600, the value on July 1, of all acquiring all its assets from an unrelated after the deemed liquidation of Target, Parent of the Target shares disposed of in the person in a single transaction in exchange for is deemed to purchase from New Target 100 qualified stock disposition on or before the the AGUB, $10,000 (see § 1.336–4 for the shares of New Target stock and distribute disposition date. Thus, only $1,000 ($1,600 × determination of AGUB). Old Target is those New Target shares to its shareholders. ($6,000/$9,600)) of the loss on the deemed treated as liquidating into Parent and Sub Parent recognizes no gain or loss on the sale of Building 2 is recognized by Old immediately thereafter, distributing the deemed distribution of the shares under Target. New Target is then treated as $10,000 deemed received in exchange for its § 1.336–2(b)(1)(iv). The shareholders receive acquiring all its assets from an unrelated assets in a transaction qualifying under the New Target stock as a distribution person in a single transaction in exchange for section 332 (see § 1.1502–34). Neither Parent pursuant to section 301 and their basis in the the AGUB, $10,000 (see § 1.336–4 for the nor Sub recognize gain or loss on the New Target stock received is its fair market determination of AGUB). Old Target is liquidation. Parent is then treated as value pursuant to section 301(d). treated as liquidating into Parent purchasing from New Target on March 2, the Example 4. Distribution of 80 percent of immediately after the deemed asset day after the disposition date, the 20 shares target stock. (i) Facts. The facts are the same disposition, distributing the $10,000 deemed of Target stock (New Target stock) not as in Example 3 except that Parent received in exchange for its assets in a actually sold, for its fair market value as distributes only 80 shares of Target stock to transaction qualifying under section 332. determined under § 1.336–2(b)(1)(v), $2,000 its shareholders and retains the other 20 Parent recognizes no gain or loss on the ($100 per share). A is treated as having shares. liquidation. Parent is then deemed to purchased 30 shares of New Target stock on (ii) Consequences. The results are the same purchase 30 shares of New Target stock from February 1 of Year 1 at a cost of $2,400 ($80 as in Example 3 except that Parent is treated New Target on July 1, and distribute those 30 per share), the same as if no section 336(e) as purchasing on July 1 only 80 shares of New Target shares to its shareholders. Parent election had been made. B is treated as New Target stock and as distributing only 80 recognizes no gain or loss on the deemed having purchased 50 shares of New Target shares of New Target stock to its shareholders distribution of the 30 shares under § 1.336– stock on March 1 of Year 1 at a cost of $5,600 and then as purchasing (and retaining), on 2(b)(1)(iv). Parent is then deemed to purchase ($112 per share), the same as if no section July 2, the day after the disposition date, 20 (and retain), on July 2, the day after the 336(e) election had been made. shares of New Target stock at their fair disposition date, 20 shares of New Target Example 7. Sale of target stock by non- market value as determined under § 1.336– stock at their fair market value as determined consolidated group members. (i) Facts. The 2(b)(1)(v), $2,000 ($100 per share). under § 1.336–2(b)(1)(v), $2,000 ($100 per facts are the same as in Example 6 except that Example 5. Part sale, part distribution. (i) share). A is treated as having purchased the Parent, Sub, and Target do not join in the Facts. Parent owns all 100 shares of Target’s 50 shares of New Target stock on January 1 filing of a consolidated Federal income tax only class of stock. The stock has a basis of of Year 1 at a cost of $88 per share, the same return. A section 336(e) election is made. $80 per share. Target has two assets, both of as if no section 336(e) election had been (ii) Consequences. Because Parent and Sub which are buildings used in its business. made. Parent’s shareholders are treated as do not join in a consolidated Federal income Building 1 has a basis of $6,000 and Building receiving the New Target stock on July 1 of tax return and no single seller sells, 2 has a basis of $5,100. Target has no Year 1 as a distribution pursuant to section exchanges, or distributes Target stock liabilities. On January 1 of Year 1, Parent 301 and their basis in the New Target stock meeting the requirements of section sells 50 shares of Target to A for $88 per received is its fair market value pursuant to 1504(a)(2), the transaction does not constitute share. Parent incurred no selling costs with section 301(d), the same as if no section a qualified stock disposition. The section respect to the sale of Target stock and A 336(e) election had been made. 336(e) election made with respect to the incurred no acquisition costs with respect to Example 6. Sale of Target stock by disposition of Target stock has no effect. the purchase. On July 1 of Year 1, when the consolidated group members. (i) Facts. Example 8. Distribution of 80 percent of value of the Target stock is $120 per share, Parent owns all the stock of Sub and 50 of Target stock in complete redemption of a Parent distributes 30 shares of Target to its the 100 outstanding shares of Target stock. greater-than-50-percent shareholder. (i) unrelated shareholders. Parent retains the Sub owns the remaining 50 shares of Target Facts. A and B own 51 and 49 shares, remaining 20 shares. On July 1, the value of stock. Parent and Sub each hold their Target respectively, of Seller’s only class of stock. Building 1 is $7,800 and the value of stock with a basis of $80 per share. Target’s Seller owns all 100 shares of Target’s only Building 2 is $4,200. A section 336(e) assets have an aggregate basis of $9,000. class of stock. Seller distributes 80 shares of election is made. Target has no liabilities. Parent, Sub, and Target stock to A in complete redemption of (ii) Consequences. Because the sale of the Target file a consolidated Federal income tax A’s 51 shares of Seller in a transaction that 50 shares and the distribution of the 30 return. On February 1 of Year 1, Parent sells does not qualify under section 355. A section shares occurred within a 12-month 30 shares of its Target stock to A for $2,400. 336(e) election is made. disposition period, the 80 shares of Target On March 1 of Year 1, Sub sells all 50 shares (ii) Consequences. Prior to the redemption, stock sold and distributed were disposed of of its Target stock to B for $5,600. Neither Seller and A would be related persons in a qualified stock disposition. July 1 of Year Parent nor Sub incurred any selling costs. because, under section 318(a)(2)(C), any stock 1 is the disposition date. On July 1, Target Neither A nor B incurred any acquisition of a corporation that is owned by Seller is treated as if it sold its assets to an costs. A section 336(e) election is made. would be attributed to A because A owns 50 unrelated person in exchange for the ADADP, Assume that if the sale of the Target stock percent or more of the value of the stock of $10,000, which is allocated $6,500 to constitutes a qualified stock disposition, the Seller. However, for purposes of §§ 1.336–1 Building 1 and $3,500 to Building 2 (see value allocated to each of Target’s assets through 1.336–5, the determination of § 1.336–3 for the determination and under § 1.336–3 will exceed the asset’s basis. whether Seller and A are related is made allocation of ADADP). Target realizes and (ii) Consequences. Because Parent and Sub immediately after the redemption of A’s recognizes gain of $500 on the deemed sale are members of the same consolidated group, stock. See §§ 1.336–1(b)(4)(iii) and 1.338– of Building 1 ($6,500–$6,000). Target realizes their sale of Target stock is treated as made 3(b)(3)(ii)(A). After the redemption, A no loss of $1,600 on the deemed sale of Building by one seller (see paragraph (g)(2) of this longer owns any stock of Seller. Accordingly, 2 ($3,500–$5,100). However, pursuant to section), and the sales of Target stock A and Seller are not related persons, as § 1.336–2(b)(1)(i)(B)(2), because only a constitute a qualified stock disposition. defined in § 1.336–1(b)(11), and the portion of the stock disposed of in the March 1 of Year 1 is the disposition date. For distribution of Target stock constitutes a qualified stock disposition was sold or Federal income tax purposes, Parent and Sub qualified stock disposition. For Federal exchanged, only a portion of the loss on are not treated as selling the stock of Target income tax purposes, rather than Seller Building 2 is recognized. The amount of loss to A and B, respectively. Instead, the distributing the stock of Target to A, the recognized on Building 2 is the $1,600 loss following events are deemed to occur. Target following is deemed to occur. Target is realized multiplied by a fraction, the is treated as if, on March 1, it sold all its treated as if it sold its assets to an unrelated numerator of which is $6,000, the value on assets to unrelated person in exchange for the person. New Target is then treated as July 1, of the 50 shares that were sold in the ADADP, $10,000 (see § 1.336–3 for acquiring all its assets from an unrelated qualified stock disposition on or before the determination of ADADP), recognizing gain person in a single transaction. Immediately disposition date and the denominator of of $1,000. New Target is then treated as thereafter, Old Target is liquidated into Seller

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in a transaction qualifying under section 332. the deemed sale of each of its assets, other (2) Time and amount of ADADP—(i) Seller recognizes no gain or loss on the than the stock of Target Subsidiary. See Original determination. ADADP is liquidation. Seller is then treated as § 1.336–2(b)(2)(i)(B)(2). Old Target is then initially determined at the beginning of purchasing 80 shares of New Target stock treated as acquiring all of its assets from an the day after the disposition date of from New Target and then distributing the unrelated person in a single transaction in stock of New Target to A in exchange for A’s exchange for an amount equal to the AGUB, target. General principles of tax law 51 shares of Seller stock. Seller recognizes no as determined under § 1.336–4. apply in determining the timing and gain or loss on the distribution of New Target (iii) Consequences—Old Target Subsidiary amount of the elements of ADADP. stock pursuant to § 1.336–2(b)(1)(iv). Seller is deemed asset sale and liquidation. After Old (ii) Redetermination of ADADP. then treated as purchasing from New Target, Target’s deemed purchase of all of its assets, ADADP is redetermined at such time on the day after the disposition date, the 20 Old Target Subsidiary is then treated as if it and in such amount as an increase or shares of Target stock (New Target stock) not sold all of its assets to an unrelated person decrease would be required, under for the ADADP, determined under § 1.336–3. actually distributed, for its fair market value general principles of tax law, for the as determined under § 1.336–2(b)(1)(v). The Old Target Subsidiary recognizes gain, but Federal income tax consequences to A are the not loss, on the deemed sale of each of its elements of ADADP. For example, same as if no section 336(e) election had been assets. See § 1.336–2(b)(1)(i)(B)(2). New ADADP is redetermined because of an made. Target Subsidiary is then treated as acquiring increase or decrease in the amount Example 9. Pro-rata distribution of 80 all of its assets from an unrelated person in realized on the sale or exchange of percent of target stock. (i) Facts. A and B own a single transaction in exchange for an recently disposed stock of target or 60 and 40 shares, respectively, of Seller’s amount equal to the AGUB, as determined because liabilities not originally taken only class of stock. Seller owns all 100 shares under § 1.336–4. Old Target Subsidiary is into account in determining ADADP are then deemed to liquidate into Old Target of Target’s only class of stock. Seller subsequently taken into account. distributes 48 shares of Target stock to A and immediately thereafter, distributing the amount deemed received in exchange for its Increases or decreases with respect to 32 shares of Target stock to B in a transaction the elements of ADADP result in the that does not qualify under section 355. A assets, in a transaction qualifying under section 336(e) election is made. section 332. Old Target recognizes no gain or reallocation of ADADP among target’s (ii) Consequences. Any stock of a loss on the liquidation of Old Target assets in the same manner as ADSP corporation that is owned by Seller would be Subsidiary. under § 1.338–7. attributed to A under section 318(a)(2)(C) (iv) Consequences—Seller distribution of (c) Grossed-up amount realized on the because, after the distribution, A owns 50 Old Target. After the deemed liquidation of sale, exchange, or distribution of percent or more of the value of the stock of Old Target Subsidiary, Seller is then treated recently disposed stock of target—(1) as distributing the stock of Old Target to the Seller. Therefore, after the distribution, A Determination of amount. The grossed- and Seller are related persons, as defined in unrelated shareholders. Pursuant to paragraph (b)(2)(v) of this section, neither up amount realized on the sale, § 1.336–1(b)(11), and the distribution of exchange, or distribution of recently Target stock to A is not a disposition. Old Target’s and Old Target Subsidiary’s Because only 32 percent of the Target stock deemed sales of all their assets to unrelated disposed stock of target is an amount was sold, exchanged, or distributed to persons nor Old Target’s and New Target equal to— nonrelated persons, there has not been a Subsidiary’s deemed purchases of all their (i) The sum of (A) the amount realized qualified stock disposition. Accordingly, the assets from unrelated persons will cause the on the sale or exchange of recently section 336(e) election made with respect to distribution of Old Target to fail to satisfy the disposed stock of target, determined as requirements of section 355. The distributee the distribution of the Target stock has no if the seller(s) were required to use old effect. shareholders have the same Federal income tax consequences with respect to the receipt target’s accounting methods and Example 10. Distribution of target stock of the Target stock as if a section 336(e) characteristics and the installment described in section 355(e)(2). (i) Facts. Seller election had not been made. method were not available and owns all 100 shares of Target’s only class of determined without regard to the selling stock. Target owns all 100 shares of Target § 1.336–3 Aggregate deemed asset Subsidiary’s only class of stock. Seller costs taken into account under disposition price; various aspects of paragraph (c)(1)(iii) of this section and distributes all 100 shares of Target stock to taxation of the deemed asset disposition. (B) the fair market value of recently its shareholders, all of whom are unrelated to (a) Scope. This section provides rules Seller, in a distribution that qualifies under disposed stock of target, determined on section 355 (see paragraph (iv) of this under section 336(e) to determine the the date of each distribution, distributed Example 10). As part of the plan involving aggregate deemed asset disposition price in the qualified stock disposition; the distribution of the Target stock, the (ADADP) for target. ADADP is the (ii) Divided by the percentage of target shareholders of Seller sell all of the stock of amount for which old target is deemed stock (by value, determined on the Seller, and section 355(e)(2) applies to the to have sold all of its assets in the disposition date) attributable to the distribution. Section 336(e) elections are deemed asset disposition. ADADP is made with respect to Target and Target recently disposed stock; allocated among target’s assets in the (iii) Less the selling costs incurred by Subsidiary. same manner as ADSP is allocated (ii) Consequences—Old Target deemed the seller in connection with the sale or asset sale. Because the Target stock was under § 1.338–6 to determine the exchange of recently disposed stock that distributed to persons who are unrelated to amount for which each asset is deemed reduce its amount realized on the sale Seller, and the distribution is described in to have been sold. When a subsequent or exchange of the stock (for example, section 355(e)(2), the distribution constitutes increase or decrease is required under brokerage commissions and any similar a qualified stock disposition. See proposed general principles of tax law with costs to sell the stock). §§ 1.336–1(b)(4) and 1.336–1(b)(5). Target’s respect to an element of ADADP, the (2) Example. The following example deemed disposition of the stock of Target redetermined ADADP is allocated illustrates this paragraph (c): Subsidiary as a result of the section 336(e) among target’s assets in the same election also constitutes a qualified stock manner as redetermined ADSP is Example. Target has two classes of stock disposition. See § 1.336–1(b)(5)(ii). For outstanding, voting common stock and Federal income tax purposes, rather than allocated under § 1.338–7. preferred stock described in section Seller distributing the stock of Target to (b) Determination of ADADP—(1) 1504(a)(4). Seller owns all 100 shares of each unrelated shareholders, the following is General rule. ADADP is the sum of— class of stock. On March 1 of Year 1, Seller deemed to occur. Old Target is treated as if (i) The grossed-up amount realized on sells 10 shares of Target voting common it sold all of its assets to an unrelated person the sale, exchange, or distribution of stock to A for $75. On April 1 of Year 2, for the ADADP, determined under § 1.336–3. recently disposed stock of target; and Seller distributes 15 shares of voting common Old Target recognizes gain, but not loss, on (ii) The liabilities of old target. stock with a fair market value of $120 to B.

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On May 1 of Year 2, Seller distributes 10 amount realized as of the beginning of disposition date, as defined in § 1.336– shares of voting common stock with a fair the day after the disposition date, the 1(b)(7). market value of $110 to C. On July 1 of Year liability is not initially taken into (3) Section 338 election; section 2, Seller sells 55 shares of Target voting account in determining ADADP 338(h)(10) election; section 336(e) common stock to D for $550. On July 1 of election. Any reference to a ‘‘section 338 Year 2, the fair market value of all the Target (although it may be taken into account voting common stock is $1,000 ($10 per at some later date). election’’ or a ‘‘section 338(h)(10) share) and the fair market value of the (e) Deemed disposition tax election’’ shall be treated as a reference preferred stock is $600. Seller incurs $20 of consequences. Gain or loss on each asset to a section 336(e) election, as defined selling costs with respect to the sale to A and in the deemed asset disposition is in § 1.336–1(b)(10). $60 of selling costs with respect to the sale computed by reference to the ADADP (4) New target; old target. In the case to D. The grossed-up amount realized on the allocated to that asset. ADADP is of a disposition described in section sale, exchange, or distribution of recently allocated in the same manner as is 355(d)(2) or (e)(2), any reference to disposed stock of Target corporation is ADSP under § 1.338–6. Although ‘‘new target’’ shall be treated as a calculated as follows: The sum of the amount deemed disposition tax consequences reference to ‘‘old target’’ in its capacity realized on the sale or exchange of recently as the purchaser of assets pursuant to disposed stock sold or exchanged (without may increase or decrease ADADP by regard to selling costs) and the fair market creating or reducing a tax liability, the the section 336(e) election. value of the recently disposed stock amount of the tax liability itself may be (5) Recently purchased stock; recently distributed is $780 ($120 + $110 + $550) (the a function of the size of the deemed disposed stock. Any reference to 10 shares sold to A on March 1 of Year 1 is disposition tax consequences. Thus, recently purchased stock shall be not recently disposed stock because it was these determinations may require trial treated as a reference to recently not disposed of during the 12-month and error computations. disposed stock, as defined in § 1.336– disposition period). The percentage of Target (f) Other rules apply in determining 1(b)(16). In the case of a distribution of stock by value on the disposition date ADADP. ADADP may not be applied in stock, for purposes of determining the attributable to recently disposed stock equals such a way as to contravene other purchaser’s grossed-up basis of recently 50% ($800/($1,000 + $600). The grossed-up disposed stock, the purchaser’s basis in amount realized equals $1,500 (($780/.50) ¥ applicable rules. For example, a capital $60 selling costs). loss cannot be applied to reduce recently disposed stock shall be deemed ordinary income in calculating the tax to be such stock’s fair market value on (d) Liabilities of old target—(1) In liability on the deemed asset disposition the date it was acquired. general. In general, the liabilities of old for purposes of determining ADADP. (6) Nonrecently purchased stock; target are measured as of the beginning nonrecently disposed stock. Any of the day after the disposition date. § 1.336–4 Adjusted grossed-up basis. reference to nonrecently purchased However, if a target for which a section (a) Scope. Except as provided in stock shall be treated as a reference to 336(e) election is made engages in a paragraphs (b) and (c) of this section or nonrecently disposed stock, as defined transaction outside the ordinary course as the context otherwise requires, the in § 1.336–1(b)(17). of business on the disposition date after principles of paragraphs (b) through (g) (c) Gain recognition election—(1) In the event resulting in the qualified stock of § 1.338–5 apply in determining the general. Any holder of nonrecently disposition of the target or a higher-tier adjusted gross-up basis (AGUB) for disposed stock of target may make a corporation, the target and all persons target and the consequences of a gain gain recognition election. The gain related thereto (either before or after the recognition election. AGUB is the recognition election is irrevocable. Each qualified stock disposition) under amount for which new target is deemed owner of nonrecently disposed stock section 267(b) or section 707 must treat to have purchased all of its assets in the determines its basis amount, and the transaction for all Federal income deemed purchase under § 1.336– therefore, the gain recognized pursuant tax purposes as occurring at the 2(b)(1)(ii), or the amount for which old to the gain recognition election, by beginning of the day following the target is deemed to have purchased all applying §§ 1.338–5(c) and 1.338– transaction and after the deemed of its assets in the deemed purchase 5(d)(3)(ii) by reference to its own disposition by old target. In order to be under § 1.336–2(b)(2)(ii). AGUB is recently disposed stock and nonrecently taken into account in ADADP, a liability allocated among target’s assets in disposed stock, and not by reference to must be a liability of target that is accordance with § 1.338–6 to determine all recently disposed stock and properly taken into account in an the price at which the assets are deemed nonrecently disposed stock. amount realized under general to have been purchased. When a (2) 80-percent purchaser. If a section principles of tax law that would apply subsequent increase or decrease with 336(e) election is made for target, any if old target had sold its assets to an respect to an element of AGUB is 80-percent purchaser and all persons unrelated person for consideration that required under general principles of tax related to the 80-percent purchaser are included the discharge of its liabilities. law, redetermined AGUB is allocated automatically deemed to have made a See § 1.1001–2(a). Such liabilities may among target’s assets in accordance with gain recognition election for its include liabilities for the tax § 1.338–7. nonrecently disposed target stock. consequences resulting from the (b) Modifications to the principles in (3) Non-80-percent purchaser. A gain deemed asset disposition. § 1.338–5. Solely for purposes of recognition election is actually made by (2) Time and amount of liabilities. applying §§ 1.336–1 through 1.336–4, a non-80-percent purchaser by The time for taking into account the principles of § 1.338–5 are modified providing to the seller, and seller liabilities of old target in determining as follows— including with the section 336(e) ADADP and the amount of the liabilities (1) Purchasing corporation; election statement, a gain recognition taken into account is determined as if purchaser. Any reference to the election statement, as described in old target had sold its assets to an ‘‘purchasing corporation’’ shall be paragraph (c)(4) of this section. If a non- unrelated person for consideration that treated as a reference to a purchaser, as 80-percent purchaser makes a gain included the discharge of the liabilities defined in § 1.336–1(b)(2). recognition election, all related persons by the unrelated person. For example, if (2) Acquisition date; disposition date. to the non-80-percent purchaser must no amount of a target liability is Any reference to the ‘‘acquisition date’’ also make a gain recognition election. properly taken into account in an shall be treated as a reference to the Otherwise, the gain recognition election

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for the non-80-percent purchaser will $1011). New Target’s AGUB is $1051, the and adding a new paragraph (e) to read have no effect. sum of $1011, the grossed-up basis of as follows: (4) Gain recognition election recently disposed Target stock and $40 (8 × statement. A gain recognition election $5), A’s basis in his nonrecently disposed § 1.338–1 General principles; status of old target and new target. statement must include the following Target stock. Example 2. The facts are the same as in (a) * * * declarations (or substantially similar Example 1 except that A makes a gain declarations): (1) * * * However, if, as a result of recognition election. Pursuant to the gain the deemed purchase of old target’s (i) [Insert name, address, and taxpayer recognition election, A is treated as if it sold identifying number of person for whom on September 1 of Year 2, the disposition assets pursuant to a section 336(e) gain recognition election is actually date, its 8 shares of nonrecently disposed election, there would be both a qualified being made] has elected to recognize target stock for the basis amount, and A’s stock purchase and a qualified stock gain under § 1.336–4(c) with respect to basis in nonrecently disposed target stock disposition of the stock of a subsidiary [his, hers, or its] nonrecently disposed immediately after the deemed sale is the of the target, neither a section 338(g) basis amount. A’s basis amount equals his election nor a section 338(h)(10) stock. basis in his recently disposed Target stock (ii) [Insert name of person for whom election may be made with respect to without regard to acquisition costs, $700 (70 the qualified stock purchase of the gain recognition election is actually × $10), multiplied by a fraction, the being made] agrees to report any gain numerator of which is 100 minus 8, the subsidiary. Instead, a section 336(e) under the gain recognition election on percentage of the Target stock, by value, election may be made with respect to [his, hers, or its] Federal income tax determined on the disposition date, which is such purchase. See § 1.336–1(b)(5)(ii). return (including an amended return, if A’s nonrecently disposed Target stock, and *** necessary) for the taxable year that the denominator of which is 70, the * * * * * includes the disposition date of [insert percentage of the Target stock, by value, (c) * * * determined on the disposition date, disposed name and EIN of target corporation]. (1) In general. The rules of this of to A in the qualified stock disposition, paragraph (c) apply for purposes of (d) Examples. The following examples which is then multiplied by a fraction, the illustrate the provisions of this section. numerator of which is 8, the percentage of applying the regulations under sections 336(e), 338, and 1060. * * * Example 1. On January 1 of Year 1, Seller target stock, by value, determined on the owns 85 shares of Target stock, A owns 8 disposition date, attributable to A’s * * * * * shares, B owns 4 shares, and C owns the nonrecently disposed Target stock and the (e) Effective/applicability date. remaining 3 shares. Each of A’s 8 shares, B’s denominator of which is 100 minus the Paragraphs (a)(1) and (c)(1) of this 4 shares, and C’s 3 shares have a $5 basis. numerator amount. Accordingly, A’s basis section are applicable to any qualified × × Assume that Target has no liabilities. On July amount is $80 ($700 92/70 8/92). A stock disposition for which the 1 of Year 2, Seller sells 70 shares of Target therefore recognizes gain of $40 under the disposition date is on or after the date gain recognition election ($80 basis amount stock to A for $10 per share. On September of publication of the Treasury decision 1 of Year 2, Seller sells 5 shares of Target minus A’s $40 basis in his nonrecently stock to B and 5 shares of Target stock to C disposed stock prior to the gain recognition adopting these rules as final regulations for $14 per share. A incurs $25 of acquisition election). New Target’s AGUB is $1091, the in the Federal Register. costs, and B and C each incur $10 of sum of $1011, the grossed-up basis of all Par. 5. Section 1.338–5 is amended by acquisition costs in connection with their recently disposed Target stock and $80, A’s revising the first sentence in paragraph respective Year 2 purchases. These costs are basis in his nonrecently disposed Target (d)(3)(ii) and by adding a new paragraph capitalized in the basis of the Target stock. stock pursuant to the gain recognition (h) to read as follows: September 1 of Year 2 is the disposition date. election. Because A owns at least 10 percent of the § 1.338–5 Adjusted grossed-up basis. Target stock on September 1, the disposition § 1.336–5 Effective/Applicability date. * * * * * date, and A’s original 8 shares of Target stock The provisions of §§ 1.336–1 through (d) * * * owned on January 1 of Year 1 were not 1.336–4 apply to any qualified stock (3) * * * disposed of in the qualified stock disposition, disposition for which the disposition (ii) Basis amount. The basis amount is A’s original 8 shares of Target stock are date is on or after the date of publication equal to the amount determined by nonrecently disposed stock. Although B’s of the Treasury decision adopting these applying paragraphs (c)(1) and (2) of original 4 shares and C’s original 3 shares rules as final regulations in the Federal were not disposed of in the qualified stock this section (the purchasing disposition, because neither B nor C owns, Register. corporation’s grossed-up basis in with the application of section 318(a), other Par. 3. Section 1.338–0 is amended by recently purchased target stock at the than section 318(a)(4), at least 10 percent of adding entries for §§ 1.338–1(e) and beginning of the day after the the total voting power or value of Target 1.338–5(h) to read as follows: acquisition date determined without stock on the disposition date, their original § 1.338–0 Outline of topics. regard to the acquisition costs taken into shares are not nonrecently disposed stock. account in paragraph (c)(3) of this The grossed-up basis of recently disposed * * * * * section) multiplied by a fraction the Target stock is $1011, determined as follows: numerator of which is the percentage of The purchasers’ (A, B, and C) aggregate basis § 1.338–1 General principles; status of old in the recently disposed target stock, target and new target. target stock (by value, determined on determined without regard to acquisition * * * * * the acquisition date) attributable to the costs, is $840 ((70 × $10) + (5 × $14) + (5 × (e) Effective/applicability date. purchasing corporation’s nonrecently purchased target stock and the $14)). This amount is multiplied by a * * * * * fraction, the numerator of which is 100 denominator of which is 100 percent minus 8, the percentage of the Target stock § 1.338–5 Adjusted grossed-up basis. minus the numerator amount. * * * which is nonrecently disposed stock, and the * * * * * * * * * * denominator of which is 80, the percentage (h) Effective/applicability date. of Target stock disposed of in the qualified (h) Effective/applicability date. stock disposition ($840 × 92/80 = $966). This Par. 4. Section 1.338–1 is amended by Paragraph (d)(3)(ii) of this section is amount is then increased by the $45 of adding two new sentences after the applicable to any qualified stock acquisition costs incurred by A, B, and C to parenthetical that follows the third disposition for which the disposition arrive at the $1011 grossed-up basis of sentence of paragraph (a)(1), by revising date is on or after the date of publication recently disposed Target stock ($966 + $45 = the first sentence in paragraph (c)(1), of the Treasury decision adopting these

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rules as final regulations in the Federal Background as well as emission controls specified in Register. The correction notice that is the required construction permits. These strategies will protect the ambient air Linda E. Stiff, subject of this document is under section 4081 of the Internal Revenue and minimize the impact of emissions Deputy Commissioner for Services and from each of the facilities. Enforcement. Code. DATES: [FR Doc. E8–19603 Filed 8–22–08; 8:45 am] Comments on this proposed Need for Correction action must be received in writing by BILLING CODE 4830–01–P As published, the notice of proposed September 24, 2008. rulemaking (REG–155087–05) contains ADDRESSES: Submit your comments, DEPARTMENT OF THE TREASURY an error that may prove to be misleading identified by Docket ID No. EPA–R07– and is in need of clarification. OAR–2008–0403, by mail to Heather Internal Revenue Service Correction of Publication Hamilton, Environmental Protection Agency, Air Planning and Development 26 CFR Part 48 Accordingly, the publication of the Branch, 901 North 5th Street, Kansas notice of proposed rulemaking (REG– City, Kansas 66101. Comments may also 155087–05), which was the subject of [REG–155087–05] be submitted electronically or through FR Doc. E8–17270, is corrected as hand delivery/courier by following the follows: RIN 1545–BF17 detailed instructions in the ADDRESSES § 48.4081–1 [Corrected] section of the direct final rule located in Alcohol Fuel and Biodiesel; Renewable On page 43895, column 3, § 48.4081– the rules section of this Federal Diesel; Alternative Fuel; Diesel-Water 1(b), line 5 of the column, the language Register. Fuel Emulsion; Taxable Fuel ‘‘pursuant to section 211 of the Clear FOR FURTHER INFORMATION CONTACT: Definitions; Excise Tax Returns; Air’’ is corrected to read ‘‘pursuant to Heather Hamilton at (913) 551–7039, or Correction section 211 of the Clean Air’’. by e-mail at [email protected]. AGENCY: Internal Revenue Service (IRS), LaNita Van Dyke, SUPPLEMENTARY INFORMATION: In the Treasury. Chief, Publications and Regulations Branch, final rules section of the Federal Register, EPA is approving the state’s ACTION: Correction to notice of proposed Legal Processing Division, Associate Chief SIP revision and Title V revision as a rulemaking. Counsel (Procedure and Administration). [FR Doc. E8–19598 Filed 8–22–08; 8:45 am] direct final rule without prior proposal SUMMARY: This document contains a BILLING CODE 4830–01–P because the Agency views this as a correction to a notice of proposed noncontroversial revision amendment rulemaking (REG–155087–05) that was and anticipates no relevant adverse published in the Federal Register on ENVIRONMENTAL PROTECTION comments to this action. A detailed Tuesday, July 29, 2008 (73 FR 43890) AGENCY rationale for the approval is set forth in relating to credits and payments for the direct final rule. If no relevant alcohol mixtures, biodiesel mixtures, 40 CFR Parts 52 and 70 adverse comments are received in response to this action, no further renewable diesel mixtures, alternative [EPA–R07–OAR–2008–0403; FRL–8707–6] fuel mixtures, and alternative fuel sold activity is contemplated in relation to for use or used as a fuel, as well as Approval and Promulgation of this action. If EPA receives relevant proposed regulations relating to the Implementation Plans and Operating adverse comments, the direct final rule definition of gasoline and diesel fuel. Permits Program; State of Iowa will be withdrawn and all public These regulations reflect changes comments received will be addressed in made by the American Jobs Creation Act AGENCY: Environmental Protection a subsequent final rule based on this of 2004, the Energy Policy Act of 2005, Agency (EPA). proposed action. EPA will not institute the Safe, Accountable, Flexible, ACTION: Proposed rule. a second comment period on this action. Efficient Transportation Equity Act: A Any parties interested in commenting SUMMARY: EPA proposes to approve the Legacy for Users, and the Tax Technical on this action should do so at this time. State Implementation Plan (SIP) and Corrections Act of 2007. These Please note that if EPA receives adverse Operating Permits Program revision regulations affect producers of alcohol, comment on part of this rule and if that submitted by the state of Iowa for the biodiesel, and renewable diesel; part can be severed from the remainder purpose of modifying and clarifying producers of alcohol, biodiesel, of the rule, EPA may adopt as final requirements for certain types of grain renewable diesel, and alternative fuel those parts of the rule that are not the elevators. Specifically, the new rule mixtures; sellers and users of alternative subject of an adverse comment. For revises the SIP to add special fuel; and certain persons liable for the additional information, see the direct requirements for grain elevators, and the tax on removals, entries, or sales of final rule which is located in the rules associated chapters for definitions and gasoline or diesel fuel. section of this Federal Register. emission standards will be revised FOR FURTHER INFORMATION CONTACT: accordingly. The Iowa Department of Dated: August 15, 2008. Stephanie Bland, Taylor Cortright, or Natural Resources is requiring that John B. Askew, DeAnn Malone, (202) 622–3130 (not a owners or operators of grain elevators Regional Administrator, Region 7. toll-free number). apply best management practices and [FR Doc. E8–19518 Filed 8–22–08; 8:45 am] SUPPLEMENTARY INFORMATION: comply with the fugitive dust standard, BILLING CODE 6560–50–P

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Notices Federal Register Vol. 73, No. 165

Monday, August 25, 2008

This section of the FEDERAL REGISTER habitat and suppresses the growth of the biological control of Russian contains documents other than rules or other plants. knapweed. proposed rules that are applicable to the Russian knapweed has no known public. Notices of hearings and investigations, We solicited comments on the committee meetings, agency decisions and beneficial qualities. It is not utilized for environmental assessment for 30 days rulings, delegations of authority, filing of forage because of its bitter taste, and ending May 27, 2008. We did not petitions and applications and agency may cause neurological disorders in receive any comments by that date. statements of organization and functions are horses if consumed. The quality of flour In this document, we are advising the examples of documents appearing in this or other grain products that have been public of our decision and finding of no section. contaminated by Russian knapweed is significant impact regarding the release reduced due to the bitter taste it of the gall wasp Aulacidea acroptilonica imparts. Studies indicate that the spread as an agent for the biological control of DEPARTMENT OF AGRICULTURE of Russian knapweed may have a Russian knapweed. This decision is significant economic impact. Animal and Plant Health Inspection based upon the updated environmental Russian knapweed reproduces Service assessment, entitled ‘‘Field Release of primarily vegetatively from a primary Aulacidea acroptilonica (Hymenoptera: [Docket No. APHIS–2008–0042] vertical root with numerous lateral Cynipidae), an Insect for Biological roots. It is a strong competitor and Control of Russian Knapweed Control of Russian Knapweed; produces compounds that exclude other (Acroptilon repens), in the Continental Availability of an Environmental plant species. Russian knapweed seeds United States’’ (June 2008). This version Assessment and Finding of No may be spread through infested hay or of the environmental assessment Significant Impact crop seeds or through the movement of contains minor editorial changes and cattle, as the seeds are able to survive AGENCY: Animal and Plant Health addresses our compliance with the digestive system of these animals. Inspection Service, USDA. Executive Order 13175, which requires Estimated Russian knapweed acreage APHIS to consult with Indian Tribal ACTION: Notice. for the Western United States and governments regarding the proposed SUMMARY: We are advising the public Canada for the year 2000 totaled over release of Aulacidea acroptilonica. that an environmental assessment and 1,561,714 acres, with 80 percent of the The updated environmental finding of no significant impact has affected acreage located in the States of assessment and finding of no significant been prepared by the Animal and Plant Washington, Idaho, Colorado, and impact may be viewed on the Health Inspection Service relative to the Wyoming. Regulations.gov Web site (see footnote environmental release of the gall wasp Aulacidea acroptilonica is a small 1). Copies of the updated environmental Aulacidea acroptilonica for the gall-forming wasp that has been assessment and finding of no significant biological control of Russian knapweed demonstrated through specificity testing impact are also available for public (Acroptilon repens). The environmental and field observations reported in inspection at USDA, room 1141, South assessment documents our review and scientific literature to attack only Building, 14th Street and Independence analysis of environmental impact Russian knapweed. Gall induction Avenue SW., Washington, DC, between associated with, and alternatives to, the diverts nutrients from flower formation, 8 a.m. and 4:30 p.m., Monday through release of this biological control agent. seed production, and the normal growth Friday, except holidays. Persons Based on its finding of no significant of plant tissues, thus reducing the wishing to inspect copies are requested impact, the Animal and Plant Health plant’s competitive ability and seed to call ahead at (202) 690–2817 to Inspection Service has determined that production. facilitate entry into the reading room. an environmental impact statement On April 24, 2008, we published in You may request paper copies of the need not be prepared. the Federal Register (73 FR 22127– updated environmental assessment and FOR FURTHER INFORMATION CONTACT: Dr. 22128, Docket No. APHIS–2008–0042) a finding of no significant impact by Robert S. Johnson, Branch Chief, notice 1 in which we announced the calling or writing to the person listed Permits, Registrations, Imports and availability, for public review and under FOR FURTHER INFORMATION Manuals, PPQ, APHIS, 4700 River Road comment, of an environmental CONTACT. Please refer to the title of the Unit 133, Riverdale, MD 20737–1236; assessment entitled ‘‘Field Release of environmental assessment when (301) 734–5055. Aulacidea acroptilonica (Hymenoptera: requesting copies. SUPPLEMENTARY INFORMATION: Cynipidae), an Insect for Biological The environmental assessment has Control of Russian Knapweed been prepared in accordance with: (1) Background (Acroptilon repens), in the Continental The National Environmental Policy Act Russian knapweed (Acroptilon United States’’ (January 22, 2008) that of 1969 (NEPA), as amended (42 U.S.C. repens) is an aggressive, long-lived examined the potential environmental 4321 et seq.), (2) regulations of the perennial in the Asteraceae or impacts associated with the proposed Council on Environmental Quality for sunflower family that thrives in both use of A. acroptilonica as an agent for implementing the procedural provisions irrigated and arid environments, and in of NEPA (40 CFR parts 1500–1508), (3) cropland, pastures, rangeland, 1 To view the notice, the environmental USDA regulations implementing NEPA assessment, and the finding of no significant shrubland, and wasteland. It is difficult impact, go to http://www.regulations.gov/ (7 CFR part 1), and (4) APHIS’s NEPA to control in alfalfa, clover, other forage fdmspublic/component/ Implementing Procedures (7 CFR part crops, and pastures. It reduces wildlife main?main=DocketDetail&d=APHIS–2008–0042. 372).

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Done in Washington, DC, this 19th day of p.m., Monday through Friday) at 3101 Estimated Time per Response: .29. August 2008. Park Center Drive, Room 640, Estimated Total Reporting Annual Kevin Shea, Alexandria, Virginia 22302. Burden hours: 42,634.06. Acting Administrator, Animal and Plant All responses to this Notice will be Number of Recordkeepers: 10,501. Health Inspection Service. summarized and included in the request Estimated Number of Responses per [FR Doc. E8–19623 Filed 8–22–08; 8:45 am] for OMB approval, and will become a Respondent: 39. BILLING CODE 3410–34–P matter of public record. Estimated Total Annual Responses: FOR FURTHER INFORMATION CONTACT: 409,539. Requests for additional information or Estimated Time per Response: .17. DEPARTMENT OF AGRICULTURE copies of this information collection Estimated Total Annual should be directed to: Ms. Cynthia Long Recordkeeping Burden Hours: Food and Nutrition Service at the address above or telephone at 69,621.63. (703) 305–2590. Total Request Annual Reporting and Agency Information Collection SUPPLEMENTARY INFORMATION: Recordkeeping Burden Hours: Activities: Proposed Collection; Title: Special Milk Program. 112,255.69. Comment Request—Information OMB Number: 0584–0005. Dated: August 12, 2008. Collection for the Special Milk Program Expiration Date: March 31, 2009. for Children Type of Request: Extension of a Roberto Salazar, Administrator, Food and Nutrition Service. AGENCY: Food and Nutrition Service, currently approved collection. [FR Doc. E8–19668 Filed 8–22–08; 8:45 am] USDA. Abstract: Section 3 of the Child Nutrition Act (CNA) of 1966, (42 U.S.C. BILLING CODE 3410–30–P ACTION: Notice. 1772) authorizes the Special Milk SUMMARY: In accordance with the Program (SMP). It provides for the DEPARTMENT OF AGRICULTURE Paperwork Reduction Act of 1995, the appropriation of such sums as may be necessary to enable the Secretary of Food and Nutrition Service invites the Forest Service general public and other public agencies Agriculture to encourage the to comment on proposed information consumption of fluid milk by children Notice of Proposed New Fee Sites; collections. The proposed collection is in the United States in (1) nonprofit Federal Lands Recreation an extension of a currently approved schools of high school grade and under, Enhancement Act, (Title VIII, Pub. L. collection for the Special Milk Program and (2) nonprofit nursery schools, child 108–447) for Children. care centers, settlement houses, summer camps, and similar nonprofit AGENCY: Willamette National Forest, DATES: Comments on this notice must be institutions devoted to the care and received or postmarked by October 24, USDA Forest Service. training of children, which do not 2008. ACTION: Notice of Proposed New Fee participate in a food service program Site. ADDRESSES: Comments are invited on: authorized under the CNA or the (a) Whether the proposed collection of National School Lunch Act. SUMMARY: The Willamette National information is necessary for the proper Section 10 of the CNA (42 U.S.C. Forest is planning to charge a fee at performance of the functions of the 1779) requires the Secretary of Benson Lake Trailhead and adjacent agency, including whether the Agriculture to prescribe such Scott Lake Campground beginning the information will have practical utility; regulations as deemed necessary to summer of 2009. Benson Lake Trailhead (b) the accuracy of the agency’s estimate carry out this Act and the National was in the recreation fee demonstration of the burden of the proposed collection School Lunch Act. Pursuant to that project prior to 2005, and fees are being of information, including the validity of provision, the Secretary has issued 7 reestablished to help maintain facilities the methodology and assumptions used; CFR Part 215, which sets forth policies and services including toilet, picnic (c) ways to enhance the quality, utility and procedures for the administration tables, garbage collection, interpretive and clarity of the information to be and operation of the SMP. State and and informational signing, and visitor collected; and (d) ways to minimize the local operators of the SMP are required security. A $5 day use fee is being burden of collection of information on to meet Federal reporting and proposed and recreation passes would those who are to respond, including accountability requirements. The vast be honored including: The Northwest through the use of appropriate majority of reporting relates to Forest Pass, Interagency Passes and automated, electronic, mechanical or information regarding eligibility Golden Passports. other technological collection determinations of the children, the Implementation Date: New fees would techniques or other forms of information number of milk servings, and revenues begin in August 2009. technology. received from milk sales. State and local ADDRESSES: Comments may be sent to: Ms. Dallas Emch, Forest operators are also required to maintain Supervisor, Willamette National Forest, Cynthia Long, Director, Child Nutrition records regarding eligibility to operate Division, Food and Nutrition Service, 211 East 7th Avenue, Eugene, Oregon the program, review results, and 97401. USDA, 3101 Park Center Drive, Room accounts of revenues and expenditures. 638, Alexandria, Virginia 22302. Affected Public: 55 State agencies, FOR FURTHER INFORMATION CONTACT: Comments will also be accepted through 4,150 School food authorities/Sponsors, Sandy Ratliff, McKenzie River the Federal eRulemaking Portal. Go to 4,910 schools, 533 child care Recreation Staff at (541) 822–7238. http://www.regulations.gov, and follow institutions and 853 camps. Information about proposed fee changes the online instructions for submitting Estimated Number of Respondents: can also be found on the Willamette comments electronically. 10,501. National Forest Web site: http:// All written comment(s) will be open Estimated Number of Responses per www.fs.fed.us/r6/willamette. for public inspection at the office of the Respondent: 14. To send comments about fee Food and Nutrition Service during Estimated Total Annual Responses: proposals please submit by September regular business hours (8:30 a.m. to 5 147,014. 15, 2008 to: McKenzie River Ranger

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District. Attn: Recreation Fee Program, Evergreen, Suite 100, Palmer, Alaska comment, and State and Federal agency 57600 McKenzie Hwy, McKenzie 99645–6539. comments. A Finding of No Significant Bridge, OR 97413 or at http:// FOR FURTHER INFORMATION CONTACT: Phil Impact (FONSI) was issued based on the www.fs.fed.us/r6/willamette/recreation/ Naegele, 907–761–7758. preferred alternative and published in rea-feechange/. SUPPLEMENTARY INFORMATION: A limited the Federal Register (69 FR 2110–2111). SUPPLEMENTARY INFORMATION: The number of copies of the Environmental The Seward City Council and the Federal Recreation Lands Enhancement Assessment and the Supplemental residents of the effected areas raised Act (Title VII, Pub. L. 108–447) directed Environmental Assessment are available objections to the FONSI and the the Secretary of Agriculture to publish to fill single copy requests at the above preferred alternative. The objections a six month advance notice in the address. Copies of the environmental were based primarily on the close Federal Register whenever new documents are also available for review proximity of the dyke and road to the recreation fee areas are established. at the above address. residential subdivision. A decision was made to rescind the original FONSI and Once public involvement is complete, Dated: August 15, 2008. new fee proposals will he reviewed by prepare a Supplemental Environmental Robert N. Jones, the Pacific Northwest Recreation Analysis to address these concerns. Alaska State Conservationist, Natural Resource Advisory Committee (RRAC). Resources Conservation Service. The SEA assessed the impacts of an The RRAC will discuss and forward additional alignment further to the their recommendation to the Regional Finding of No Significant Impact north of the original alternatives Forester who makes the final decision The National Environmental Policy addressed in the EA. This alternative on behalf of the Secretary of Act of 1969 (NEPA) requires Federal had the support of the City and the Agriculture. Information about the agencies to examine the environmental nearby residents. This alternative also Pacific Northwest Recreation Resource impacts of all Federal actions affecting had greater adverse impacts (than the Advisory Committee, RRAC meeting the quality of the human environment. original routes) on the floodplain, dates and location can be found on the I have determined, based upon the wetlands, and Japanese Creek. Based on Region 6 (Oregon/Washington) Forest evaluation of impacts in the comments received from State and Service Web site at: http:// Environmental Assessment (EA) Federal agencies it was clear that the www.fs.fed.us/r6/passespermits/ prepared in 2003 and the Supplemental northerly route would require a more in- rrac.shtml. A tentative meeting is Environmental Assessment (SEA) depth study and in all probability scheduled for the end of October of prepared in 2007, that there would be would create the need for the 2008. no significant individual or cumulative preparation of an Environmental Impact Date: August 14, 2008. impacts on the quality of the human Statement (EIS) with no guarantee of Dallas Emch, environment as a result of implementing support for the City’s preferred alternative. For the purpose of Forest Supervisor. the North Forest Acres Levee/Road furthering the project, the Seward City [FR Doc. E8–19458 Filed 8–22–08; 8:45 am] Project in Seward, Alaska. The EA and SEA are attached hereto and made a part Council has dropped their objections to BILLING CODE 3410–11–M hereof. Based on the documented the preferred alternative identified in findings, I have determined that an the 2003 EA. DEPARTMENT OF AGRICULTURE Environmental Impact Statement is not The current preferred alternative is required. the same as the preferred alternative Natural Resources Conservation The city of Seward, Alaska, has identified in the 2003 EA with a slight Service experienced flood damage from the modification. The eastern half of the Resurrection River and Japanese Creek alignment has been moved slightly North Forest Acres Levee/Road Project several times in the past. Damages from further south so as to further reduce any City of Seward, AK the 1995 flood alone totaled 9.8 million impacts to those wetlands. The western dollars. A multi-agency task force half of the route remains as identified in AGENCY: Natural Resources recommended five complementary Conservation Service, USDA. the 2003 preferred alternative. This actions to minimize the risk of future alternative minimizes impact to the ACTION: Finding of No Significant damage. Three of these actions (a levee wetlands, minimizes encroachment on Impact. on Japanese Creek, dredging at the the floodplain, and results in no SUMMARY: Pursuant to Section 102(2)(c) mouth of the Resurrection River and significant rise of floodwaters in of the National Environmental Policy widening of the highway bridges) have Resurrection River. There are no stream Act of 1969; the Council on been completed. The North Forest crossings of Japanese Creek and no Environmental Quality regulations (40 Levee/Road Project, along with culverts or flood gates to operate and CFR part 1500); and the regulations of widening of the railroad bridges are the maintain. the Natural Resources Conservation final components of the flood control Based on the information presented in Service (7 CFR part 650); the Natural strategy. Congress has authorized the attached North Forest Levee/Road Resources Conservation Service, U.S. funding for this project in the Natural Project EA and SEA, I find that the Department of Agriculture, gives notice Resources Conservation Service (NRCS) proposed action is not a major Federal of a Finding of No Significant Impact budget. action significantly affecting the quality An Environmental Assessment was based on the Environmental Assessment of the human environment. Therefore, completed for this project in 2003. and its Supplemental for the North an EIS is not required. Based on the findings of the EA a Forest Acres Road/Levee Project. preferred alternative was selected (West Dated: August 15, 2008. DATES: The agency must receive 2b and East 3) as the best viable option Robert Jones, comments on or before September 26, of the eight considered, including the Alaska State Conservationist, Natural 2008. no-action. This decision was based on Resources Conservation Service. ADDRESSES: Natural Resources an analysis of the environmental [FR Doc. E8–19597 Filed 8–22–08; 8:45 am] Conservation Service, 800 West impacts for each alternative, public BILLING CODE 3410–16–P

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DEPARTMENT OF AGRICULTURE Submit electronic applications at conducted in USDA Rural Development http://www.grants.gov, following the cooperative research agreements RD– Rural Business-Cooperative Service instructions found on this Web site. 06–01 and RBS–07–31. As further FOR FURTHER INFORMATION CONTACT: Visit described below, data generated and Request for Proposals: Fiscal Year the program Web site at http:// results produced in cooperative research 2008 Funding Opportunity for www.rurdev.usda.gov/rbs/coops/ agreements RD–06–01 and RBS–07–31 Research on the Economic Impact of reic.htm, which contains application will be accessible to the institution Cooperatives guidance, including an Application awarded this cooperative research AGENCY: Rural Business-Cooperative Guide and application forms. Or you agreement. To the extent that this Service, USDA. may contact USDA Rural Development research program will generate further at (202) 720–8460 (TDD: (800) 877–8339 data, existing Web-based methodologies ACTION: Initial notice of request for Federal Information Relay Service). will be used to enable cooperatives to proposals. SUPPLEMENTARY INFORMATION: enter financial and other impact data on a periodic basis; apply the methodology SUMMARY: Rural Business-Cooperative Paperwork Reduction Act to collect data updates estimates of Service programs are administered economic impact of cooperatives; through USDA Rural Development. Under the Paperwork Reduction Act, analyze the impact of cooperatives on USDA Rural Development announces 44 U.S.C. 3501 et seq., OMB must local wealth creation and retention, and the availability of $491,535 in approve all ‘‘collections of information’’ analyze the total returns to investment competitive cooperative agreement by USDA Rural Development. The Act in cooperatives. Methodologies will funds for fiscal year (FY) 2008 to defines ‘‘collection of information’’ as a need to account for cooperative conduct research on the national requirement for ‘‘answers to * * * organizational complexity, such as a economic impact of all types of identical reporting or recordkeeping single organization’s several local, cooperatives. USDA Rural Development requirements imposed on ten or more regional, and national locations, as well hereby requests proposals from persons * * *.’’ (44 U.S.C. 3502(3)(A)). as sector differences. institutions of higher education Because the RFP is expected to receive The cooperative agreement proposal interested in applying for a less than 10 respondents, the Paperwork must address specifically, and in detail competitively awarded cooperative Reduction Act does not apply. sufficient to assess the effectiveness of research agreement. This funding is a Overview proposed work, how the following follow on to funding awarded in FY Federal Agency: Rural Business– deliverables will be provided: 2006 and FY 2007, the intent of which Cooperative Service. 1. An analysis of how and the extent was to encourage research on the critical Funding Opportunity Title: Research issue of the economic value of to which cooperatives facilitate the on the Economic Impact of creation and retention of wealth within cooperatives. Funding for FY 2008 is Cooperatives. expected to expand upon research the local communities they serve. The Announcement Type: Initial analysis should include the undertaken with FY 2006 and FY 2007 announcement. funds. identification of cooperative models and Catalog of Federal Domestic practices that could enhance DATES: Interested parties may submit Assistance Number: 10.778 cooperative contribution to local wealth Dates: You may submit completed completed applications for the creation. An estimate of cooperative applications for the cooperative cooperative agreement on paper or wealth creation should be made for the agreement on paper or electronically electronically according to the following U.S. and for each of the following four according to the following deadlines: deadlines: categories or classes of cooperatives: Paper copies must be received by Paper copies must be received by September 19, 2008, to be eligible for FY i. Commercial sales or marketing— September 19, 2008, to be eligible for FY includes farm supply and marketing, 2008 funding. Electronic copies must be 2008 funding. Late applications are not eligible for FY 2008 funding. grocery and consumer goods, business- received by September 19, 2008, to be to-business, the emerging ethanol and eligible for FY 2008 funding. Late Electronic copies must be received by September 19, 2008, to be eligible for FY biofuels related industry, and applications are not eligible for FY 2008 manufacturing. funding. 2008 funding. Late applications are not eligible for FY 2008 funding. ii. Social and public services— ADDRESSES: Applicants may obtain includes housing, health care, day care/ application forms, guides, and materials I. Funding Opportunity Description elder care, transportation, and for the cooperative agreement at http:// This solicitation is issued pursuant to educational services. www.rurdev.usda.gov/rbs/coops/ the Consolidated Appropriations Act, iii. Financial services—includes reic.htm or by contacting USDA Rural 2008 (Pub. L. 110–161) directing funds credit unions, banks, and mutual Development at (202) 720–8460, (TDD: ‘‘for a cooperative research agreement insurance. (800) 877–8339, Federal Information with a qualified academic institution to iv. Utilities—includes electric, Relay Service) and ask for the conduct research on the national telephone, water, waste, and other cooperative research agreement economic impact of all types of regulated utilities. application kit. cooperatives.’’ The Secretary of 2. An analysis of the total returns to Submit completed paper applications Agriculture has delegated the program’s investment in cooperatives, including for a cooperative agreement to USDA administration to USDA Rural returns to the cooperative businesses at Rural Development’s Cooperative Development. the enterprise level as well as the Programs, Attn: Cooperative Research, The primary objective of this impact of cooperative returns and Mail STOP 3250, Room 4016–South, cooperative research agreement program services to the cooperatives’ members at 1400 Independence Avenue, SW., is to facilitate university research on the their enterprise levels. Total returns to Washington, DC 20250–3250. The national economic impact of investment should be analyzed using phone number that should be used for cooperatives. This cooperative research the same classification scheme as FedEx packages is (202) 720–7558. agreement is a continuation of research describe in Deliverable 1 above.

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3. Development of sound viii. agricultural supplies and B. Cost Sharing or Matching methodologies to utilize available and services, Matching funds are not required but newly-generated data to identify and ix. public services (including are highly encouraged. Applicants must measure the economic impacts of transportation and education), verify in their applications that x. renewable energy, and cooperatives as to the following: matching funds are available for the i. Local and regional significance and xi. utilities. 6. The population of a database for time period of the agreement if the impact analysis using appropriate input- matching funds are required to complete output, social accounting matrix, and individual cooperative and summary data collected and additional data the project. Matching funds must be multiplier tools; provided by either the applicant or by ii. Differential economic impacts of generated as necessary to obtain a third party in the form of cash or in- cooperatives as compared to other types economic impacts as described in kind contributions. Matching funds of organizations performing the same deliverables 3 and 4 above. The must be spent on eligible expenses and general functions, including but not database is to be delivered to USDA must be from eligible sources. limited to (a) the differential impacts of Rural Development. USDA Rural local ownership versus ownership from Development will work with the grantee C. Other Eligibility Requirements to integrate data from this deliverable outside the region and (b) any special Indirect Cost Eligibility: Public Law into existing database applications. economic impacts generated by the 110–161, ‘‘Consolidated Appropriations 7. The performance of subcontracting patron-oriented characteristics of Act, 2008’’ continues the provision services, oversight, and financial cooperative businesses; which states ‘‘No funds appropriated by iii. Whether a non-cooperative controls for the overall project. 8. The submission of quarterly this Act may be used to pay negotiated business enterprise would exist in the indirect cost rates on cooperative local or regional economy if the progress reports and quarterly financial reports to USDA Rural Development; agreements or similar arrangements cooperative did not exist; between the United States Department iv. Displacement or replacement of and 9. The preparation and submission of of Agriculture and nonprofit institutions other businesses by cooperatives; in excess of 10 percent of the total direct v. Departure of a cooperative publishable quality written reports for cost of the agreement when the purpose including a cooperative’s replacement Deliverables 1 through 5 to USDA Rural of such cooperative arrangements is to by another type of business; and Development. carry out programs of mutual interest vi. Impact on local, regional, and USDA Rural Development will between the two parties.’’ Indirect costs national tax generation and on competitively award one cooperative in excess of 10 percent of the direct cost, infrastructure. agreement to fund the collection and therefore, will be ineligible for funding. 4. Because output of the FY 2006 analysis of data to determine the Activity Eligibility: A cooperative research will likely not be available national economic impact of agreement reflects a relationship before January 2009, USDA Rural cooperatives. An institution of higher between the United States Government Development will arrange for the education may subcontract or and an eligible recipient where the winner of this competition to obtain collaborate with others on the research principal purpose of the relationship is updates and preliminary data from the and data collection. A formal the transfer of money, property, University of Wisconsin, the FY 2006 consortium of academic institutions is services, or anything of value to the and FY 2007 award recipient, as allowed. eligible recipient to carry out the progress is being made on the FY 2006 Definitions desired research; and substantial and FY 2007 research. Data available to involvement is anticipated between the FY 2008 award recipient will The definitions at 7 CFR 3019.2 are USDA Rural Development acting for the include: incorporated by reference. United States Government and the i. number and headquarters location II. Award Information of cooperatives, eligible recipient during the ii. volume measures appropriate for Type of Award: Cooperative performance of the research in the each sector (revenues, dollar value, and Agreement. agreement. A cooperative agreement is other appropriate size indicators), Fiscal Year Funds: FY 2008. not a grant. Therefore, the project iii. number of persons impacted by Approximate Total Funding: proposed must include a description of the cooperative (members, patrons, or $491,535. USDA Rural Development’s substantial investors), and Approximate Number of Awards: 1. participation. USDA Rural Development Approximate Average Award: iv. number of full-time equivalent jobs may subsequently negotiate the nature $491,535. and other economic impact variables. of its participation before the Floor of Award Range: None. v. Cooperative data will be identified cooperative agreement is executed. Ceiling of Award Range: $491,535. using the North American Industry Applicants that propose budgets that Anticipated Award Date: September include more than 10 percent of total Classification System (NAICS). 25, 2008. 5. Economic impact analyses as project costs that are ineligible for the Budget Period Length: 24 months. program will be ineligible, and the described in deliverables 3 and 4 above Project Period Length: 24 months. to be conducted on a sector basis. application will not be considered for Sectors to be analyzed include: III. Eligibility Information funding. However, if an application with 10 percent or less of ineligible i. Housing, A. Eligible Applicants ii. health care, costs is selected for funding, all iii. daycare/elder care, Applicants must be institutions of ineligible costs must be removed from iv. financial services, higher education. Proposals may be the project and replaced with eligible v. grocery/consumer retail, submitted by public or private colleges activities or the amount of the award vi. business-to-business (wholesaling, or universities, research foundations will be reduced accordingly. manufacturing), maintained by a college or university, or Cooperative Agreement Period vii. agricultural marketing (including private nonprofit organizations funded Eligibility: Applications that have a organic and conventional), by a group of colleges or universities. timeframe of more than 24 months will

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be considered ineligible and will not be signature of an authorized combined activities are sufficient to considered for funding. Applications representative, the telephone number of estimate the national economic impact that request funds for a time period the authorized representative, and the of all types of cooperatives. ending after September 30, 2010, will date the form was signed. Other 8. Proposal Narrative. The narrative not be considered for funding. information requested on the form may must include the following information: Completeness Eligibility: Applications be applicable, but the above-listed i. Project Title. The title of the without sufficient information to information is required for an proposed project must be brief, not to determine eligibility will not be application to be considered complete. exceed 75 characters, yet describe the considered for funding. Applications The DUNS number is a nine-digit essentials of the project. It should match that are missing any required elements identification number, which uniquely the project title submitted on the SF– (in whole or in part) will not be identifies business entities. Applicants 424. The project title does not need to considered for funding. can receive a DUNS number at no cost appear on a separate page. It can be by accessing http://www.dnb.com/us/ or included on the title page and/or on the IV. Application and Submission calling (866) 705–5711. information sheet. Information 2. Form SF–424A, ‘‘Budget ii. Information Sheet. A separate one- A. Address To Request Application Information—Non-Construction page information sheet listing each of Package Programs.’’ In order for this form to be the evaluation criteria referenced in this considered complete, the applicant funding announcement followed by the If you plan to apply using a paper must fill out Sections A, B, C, and D. page numbers of all relevant material application, you can obtain the The applicant must include both contained in the proposal that address application package for this funding Federal and any matching funds to be or support each criterion. opportunity at http:// included. iii. Goals of the Project. A clear www.rurdev.usda.gov/rbs/coops/ 3. Form SF–424B, ‘‘Assurances—Non- statement of the ultimate goals of the reic.htm. If you plan to apply Construction Programs.’’ In order for project must be included. There must be electronically, you must visit http:// this form to be considered complete, the an explanation of how economic benefit www.grants.gov and follow the form must be signed by an authorized will be measured. instructions. official and include the title, name of iv. Workplan. The narrative must B. Content and Form of Submission applicant, and date. contain a description of the project and 4. Title Page. The title page must set forth the tasks involved in You may submit your application in include the title of the project as well as reasonable detail. The description paper or in an electronic format. You any other relevant identifying should specify the activity, who will may view the Application Guide at information. The length should not perform the activity, during what http://www.rurdev.usda.gov/rbs/coops/ exceed one page. timeframe the activity will take place, reic.htm. 5. Table of Contents. For ease of and the cost of the activity. Please note If you submit your application in locating information, each proposal that one of the proposal evaluation paper form, you must submit one signed must contain a detailed Table of criteria evaluates the workplan and original of your complete application Contents immediately following the title budget. Applicants should only submit along with two additional copies. page. the workplan and budget once, either in If you submit your application 6. Executive Summary. A summary of this section or as part of the workplan/ electronically, you must follow the the proposal, not to exceed one page, budget evaluation criterion discussion. instructions given at http:// must briefly describe the project, v. Proposal Evaluation Criteria. Each www.grants.gov. Applicants are advised including goals, tasks to be completed, of the proposal evaluation criteria to visit the site well in advance of the and other relevant information that referenced in this funding application deadline if they plan to provides a general overview of the announcement must be addressed, apply electronically to insure that they project. In the event an applicant specifically and individually, in have obtained the proper authentication submits more than one page for this narrative form. and have sufficient computer resources element, only the first page submitted 9. Certification of Judgment. to complete the application. will be considered. Applicants must certify that the United An application must contain all of the 7. Eligibility Discussion. A detailed States has not obtained a judgment following elements. Any application discussion, not to exceed four pages, against them. No Federal funds shall be that is missing any element or contains will describe how the applicant meets used to pay a judgment obtained by the an incomplete element will not be the eligibility requirements. In the event United States. It is suggested that considered for funding: that more than four pages are submitted, applicants use the following language 1. Form SF–424, ‘‘Application for only the first four pages will be for the certification. ‘‘[INSERT NAME Federal Assistance.’’ In order for this considered. OF APPLICANT] certifies that the form to be considered complete, it must i. Applicant Eligibility. The applicant United States has not obtained a contain the legal name of the applicant, must first describe how it meets the judgment against it.’’ A separate the applicant’s Dun and Bradstreet Data definition of an institution of higher signature is not required. Universal Numbering System (DUNS) education. 10. Verification of Matching Funds. number, the applicant’s complete ii. Purpose Eligibility. The applicant Applicants must provide a budget to mailing address, the name and must describe how the project purpose support the workplan showing all telephone number of a contact person, is eligible for funding. The project sources and uses of funds during the the employer identification number purpose is comprised of two project period. Applicants will be (EIN), the start and end dates of the components. First, the applicant must required to verify any and all matching project, the Federal funds requested, describe how the proposed project funds, both cash and in-kind. All other funds that will be used as consists of activities needed to proposed matching funds must be matching funds, an answer to the determine the national economic impact specifically documented in the question, ‘‘Is applicant delinquent on of all types of cooperatives. Second, the application. If the matching funds are to any Federal debt?’’, the name and applicant must demonstrate that the be provided by an in-kind contribution

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from the applicant, the application must Explanation of Deadlines: Paper following criteria by the application include a signed letter from an applications must be RECEIVED by the deadline will result in a determination authorized representative of the deadline date (see Section IV.F. for the of incomplete and the application will applicant verifying the goods or services address). Final electronic applications not be considered for funding. The total to be donated, when the goods and must be RECEIVED by http:// points available for the set of criteria are services will be donated, and the value www.grants.gov by the deadline date. If 100. of the goods or services. Applicants your application does not meet the 1. Relevance of the project proposal should note that only goods or services deadline above, it will not be (30 points). Proposals will be evaluated for which no expenditure is made can considered for funding. You will be on how directly they address the stated be considered in-kind. If the applicant notified whether or not your application objective of demonstrating economic is paying for goods and services as part was received on time. impact of all types of cooperatives in the of the matching funds contribution, the United States. Factors to be weighed by D. Intergovernmental Review of expenditure is considered a cash match, evaluators in scoring a proposal’s Applications and should be verified as such. If the relevance will include the: matching funds are to be provided by a Executive Order 12372, • Definition of clear and objective third party in cash, the application must Intergovernmental Review of Federal measures of impact; include a signed letter from that third Programs, does not apply to this • Definition of specific measurement party verifying how much cash will be program. strategies for obtaining impact measures donated and when it will be donated. E. Funding Restrictions from each major cooperative sector and Verification of funds donated outside each category of persons impacted by the proposed time period of the Funding restrictions apply to both cooperatives; and cooperative agreement will not be Federal funds and matching funds. • Description of sound data collection accepted. If the matching funds are to be Funds may only be used for activities and analysis methodology. related to determining the economic provided by a third party in-kind 2. Quality of Workplan (30 points). impact of cooperatives. donation, the application must include The quality evaluation criterion will be No funds made available under this a signed letter from the third party based on whether the proposal outlines verifying the goods or services to be solicitation shall be used to: 1. Pay for the preparation of the a sound plan of work that will meet the donated, when the goods and services cooperative agreement application; objectives in a timely and cost-efficient will be donated, and the value of the 2. Pay expenses not directly related to manner. Factors to be weighed by goods or services. Verification of in-kind the funded project; evaluators in scoring a proposal’s contributions donated outside the 3. Fund political or lobbying workplan will include: proposed time period of the cooperative activities; • How well the steps for carrying out agreement will not be accepted. 4. Fund any activities prohibited by 7 the work are defined; Verification of in-kind contributions CFR parts 3015 or 3019; • The logic of the sequence of that are over-valued will not be 5. Duplicate current services or proposed steps and the likelihood they accepted. The valuation process for the replace or substitute support previously will achieve their intended result; in-kind funds does not need to be provided; • The establishment of clear included in the application, especially if 6. Pay costs of the project incurred benchmarks and timetables to measure it is lengthy, but the applicant must be prior to the date of agreement approval; the progress of the project; able to demonstrate how the valuation or • The detail, accuracy, and was achieved at the time of notification 7. Pay any judgment or debt owed to reasonableness of the project’s proposed of tentative selection for the award. If the United States. budget; and the applicant cannot satisfactorily • F. Other Submission Requirements The ability to replicate measures demonstrate how the valuation was from the FY 2006 and FY 2007 funding determined, the award may not be You may submit your paper cycles. made. application for a cooperative agreement 3. Quality of personnel and If matching funds are in cash, they to USDA Rural Development’s management plan (20 points). The must be spent on goods and services Cooperative Programs, Attn: quality of the management plan and the that are eligible expenditures for this Cooperative Research, Mail STOP 3250, personnel involved in carrying out the cooperative agreement program. If Room 4016–South, 1400 Independence proposed project will evaluate the matching funds are in-kind Ave., SW., Washington, DC 20250–3250. capabilities of the individuals and contributions, the donated goods or The phone number that should be used institutions to implement the work plan services must be considered eligible for FedEx packages is (202) 720–7558. in an effective manner. Factors to be expenditures for this program. The You may also choose to submit your weighed by evaluators in scoring a matching funds must be spent or application electronically at http:// proposal’s personnel and management donated during the agreement period. www.grants.gov. Final applications may plan will include the: (See 7 CFR parts 3015 and 3019 for not be submitted by electronic mail, • Experience of project leaders and funds use eligibility rules.) facsimile, or by hand-delivery. Any the lead institution in managing If acceptable verification for all application submission in a non- complex research projects; proposed matching funds is missing electronic format must contain all • Demonstration of a clear from the application by the application required documents in one envelope. understanding of business models and deadline, the application will receive V. Application Review Information general economic development; zero points for the Funding Match part • Management controls, progress of the evaluation criteria. A. Criteria measurements, and reporting systems All eligible and complete applications within a structured project management C. Submission Dates and Times will be evaluated based on the following plan; and Application Deadline Date: criteria and maximum point allowances. • Experience and relevant skills of September 19, 2008. Failure to address any one of the researchers, consultants, and

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subcontractors assigned to carry out the five reviewers’ rankings. Final Reporting Requirements: You must specific roles in the project. award recommendation will be sent to provide USDA Rural Development with 4. Funding match and cooperative the Under Secretary for Rural an original or an electronic copy that community support (20 points). Points Development for final selection includes all required signatures of the will be awarded on the basis of the concurrence. following reports. The reports should be percentage match provided by the After the award selection is made, all submitted to the Agency contact listed applicant and the level of support for applicants will be notified of the status on your Cooperative Agreement. Failure the proposal from the cooperative of their applications by mail. The to submit satisfactory reports on time community as evidenced by awardee must meet all statutory and may result in suspension or termination contribution of resources to the match regulatory program requirements in of your award. and other indications of support. order to receive the award. In the event 1. Form SF–269 or SF–269A. A • Up to 20 points will be awarded for that an awardee cannot meet the ‘‘Financial Status Report,’’ listing matching funds provided by or arranged requirements, the award will be expenditures according to agreed upon for by the applicant. Two points will be withdrawn. budget categories, on a quarterly basis. awarded for each 5 percent match, up to Reporting periods end each December a maximum of 20 points for a 50 percent C. Anticipated Announcement and Award Dates 31, March 31, June 30, and September match. 30. Reports are due 30 days after the Award Date: The announcement of B. Review and Selection Process reporting period ends. award selection is expected to occur on 2. Quarterly performance reports that Each application will be initially or about September 25, 2008. compare accomplishments to the reviewed by Rural Development VI. Award Administration Information objectives stated in the proposal. personnel for eligibility and to Identify all tasks completed to date and determine whether all required A. Award Notices provide documentation supporting the elements are complete. A list of required The successful applicant will receive reported results. If the original schedule elements follows: a notification of tentative selection for provided in the workplan is not being • SF–424 • funding from USDA Rural Development. met, the report should discuss the SF–424A problems or delays that may affect • SF–424B The applicant must sign a mutually • agreed to cooperative agreement and completion of the project. Objectives for Title Page the next reporting period should be • Table of Contents comply with all applicable statutes, listed. Compliance with any special • Executive Summary regulations, and this notice before the condition on the use of award funds • Applicant Eligibility Discussion award will receive final approval. • Purpose Eligibility Discussion Unsuccessful applicants will receive should be discussed. Reporting periods • Project Title notification, including mediation end each December 31, March 31, June • Information Sheet procedures and appeal rights, by mail. 30, and September 30. Reports are due • Goals of the Project 30 days after the reporting period ends. • B. Administrative and National Policy Supporting documentation must also be Work Plan Requirements • Proposal Evaluation Criterion 1 submitted for completed tasks. The • Proposal Evaluation Criterion 2 This award is subject to 7 CFR parts supporting documentation for • Proposal Evaluation Criterion 3 3015 and 3019. These regulations may completed tasks include, but are not • Proposal Evaluation Criterion 4 be accessed at http:// limited to, questionnaire or interview • Certification of Judgment www.access.gpo.gov/nara/cfr/cfr-table- guides, publications of research • Verification of any Matching Funds search.html#page1. findings, summaries of data collected, Any incomplete or ineligible The following additional and any other documentation related to applications will not be further documentation requirements apply to how funds were spent. evaluated or considered for funding. the awardee selected for this program: 3. Final Project performance reports All eligible and complete proposals • Agency Approved Cooperative that compare accomplishments to the will be evaluated by a team of at least Agreement objectives stated in the proposal. three reviewers based on criteria 1 • Form RD 1940–1, ‘‘Request for Identify all tasks completed and provide through 4 described in paragraph A of Obligation of Funds’’ documentation supporting the reported this section. Reviewers will represent • Form AD–1047, ‘‘Certification results. If the original schedule provided the Rural Development broad mission Regarding Debarment, Suspension, and in the workplan was not met, the report area, and will include at least three Other Responsibility Matters-Primary must discuss the problems or delays employees of USDA. Covered Transactions’’ that affected completion of the project. Once the scores for criteria 1 through • Form AD–1048, ‘‘Certification Compliance with any special condition 4 have been independently completed Regarding Debarment, Suspension, on the use of award funds should be by the three reviewers, the scores will Ineligibility and Voluntary Exclusion- discussed. Supporting documentation be used to rank the proposals. If the Lower Tier Covered Transactions’’ for completed tasks must also be three reviewers rank the best proposal • Form AD–1049, ‘‘Certification submitted. The supporting differently then, with the aid of a Regarding a Drug-Free Workplace documentation for completed tasks facilitator, the three reviewers will Requirements (Grants)’’ include, but are not limited to, develop a consensus ranking. If the • Form RD 400–1, ‘‘Equal publications of research findings, three reviewers cannot reach a Opportunity Agreement’’ summaries of data collected, consensus, two additional reviewers • Form RD 400–4, ‘‘Assurance documentation of data and software will review the proposals and be added Agreement’’ delivered to USDA Rural Development, to the rankings. A final ranking will be Additional information on these and any other documentation related to obtained based on the consensus requirements can be found at http:// how funds were spent. The final rankings of the three member review www.rurdev.usda.gov/rbs/coops/ performance report is due within 90 panel, or, if appointed, the average of reic.htm. days of the completion of the project.

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VII. Agency Contacts Act, as amended (19 U.S.C. 81a–81u), DEPARTMENT OF COMMERCE For general questions about this and the regulations of the Board (15 CFR International Trade Administration announcement and for program part 400). It was formally filed on technical assistance, please contact the August 18, 2008. [A–570–890] USDA Rural Development’s Cooperative The CDM facility (308 employees/34 Programs, Mail STOP 3250, Room 4016– acres/152,520 sq.ft.) is located at 140 Wooden Bedroom Furniture from the South, 1400 Independence Avenue, Technology Place in Liberty (Pickens People’s Republic of China: Notice of SW., Washington, DC 20250–3250, County), South Carolina. The plant is Partial Rescission of Antidumping Telephone: (202) 720–8460 (TDD: (800) used to produce aluminum electrolytic Duty Administrative Review 877–8339 Federal Information Relay capacitors (up to 6,100 units annually) AGENCY: Import Administration, Service), e-mail: for export and the domestic market. The International Trade Administration, [email protected]. manufacturing process involves slitting, Department of Commerce. formation, winding, and electrolyte VIII. Non-Discrimination Statement SUMMARY: On March 7, 2008, the impregnation of etched aluminum foil Department of Commerce (‘‘the USDA prohibits discrimination in all using domestically–sourced material Department’’) initiated the third its programs and activities on the basis inputs and foreign–origin etched administrative review of the of race, color, national origin, age, aluminum foil (HTSUS 7607.19, 5.3%; antidumping duty order on wooden disability, and where applicable, sex, aluminum foil represents about 37% of bedroom furniture from the People’s marital status, familial status, parental finished capacitor value). Republic of China (‘‘PRC’’) covering the status, religion, sexual orientation, FTZ procedures would exempt CDM period January 1, 2007, through genetic information, political beliefs, from customs duty payments on the December 31, 2007. See Notice of reprisal, or because all or part of an foreign etched aluminum foil used in Initiation of Administrative Review of individual’s income is derived from any export production. On domestic the Antidumping Duty Order on public assistance program. (Not all shipments, the company could be able Wooden Bedroom Furniture from the prohibited bases apply to all programs.) to elect the duty rate that applies to People’s Republic of China, 73 FR 12387 Persons with disabilities who require finished aluminum electrolytic (March 7, 2008) (‘‘Initiation Notice’’). alternative means for communication of capacitors (duty free) for the foreign Between March 7 and June 5, 2008, program information (Braille, large etched aluminum foil. The application several parties withdrew their requests print, audiotape, etc.) should contact indicates that the savings from FTZ for review. Therefore, the Department is USDA’s TARGET Center at (202) 720– procedures would help improve the rescinding the administrative review of 2600 (voice and TDD). To file a facility’s international competitiveness. sales of wooden bedroom furniture with complaint of discrimination, write to respect to the entities for whom all USDA, Director, Office of Civil Rights, In accordance with the Board’s review requests have been withdrawn. regulations, Pierre Duy of the FTZ Staff 1400 Independence Avenue, SW., EFFECTIVE DATE: August 25, 2008. Washington, DC 20250–9410, or call is designated examiner to investigate the application and report to the Board. FOR FURTHER INFORMATION CONTACT: (800) 795–3272 (voice), or (202) 720– Robert Bolling, AD/CVD Operations, 6382 (TDD). ‘‘USDA is an equal Public comment is invited from Office 8, Import Administration, opportunity provider, employer, and interested parties. Submissions (original International Trade Administration, lender.’’ and 3 copies) shall be addressed to the U.S. Department of Commerce, 14th Dated: August 4, 2008. Board’s Executive Secretary at the Street and Constitution Avenue, NW, Ben Anderson, address below. The closing period for Washington, DC 20230; telephone: (202) Administrator, Rural Business-Cooperative their receipt is October 24, 2008. 482–3434. Service. Rebuttal comments in response to SUPPLEMENTARY INFORMATION: [FR Doc. E8–19599 Filed 8–22–08; 8:45 am] material submitted during the foregoing period may be submitted during the Background BILLING CODE 3410–XY–P subsequent 15-day period to November On January 4, 2005, the Department 10, 2008. published in the Federal Register the DEPARTMENT OF COMMERCE A copy of the application and antidumping duty order on wooden accompanying exhibits will be available bedroom furniture from the PRC. See Foreign–Trade Zones Board for public inspection at each of the Notice of Amended Final Determination of Sales at Less Than Fair Value and [Docket 46–2008] following locations: Office of the Port Director, U.S. Customs and Border Antidumping Duty Order: Wooden Foreign–Trade Zone 38 - Spartanburg Protection, 150–A West Phillips Road, Bedroom Furniture from the People’s County, SC, Application for Subzone Greer, SC 29650; and, Office of the Republic of China, 70 FR 329 (January Status, Cornell Dubilier Marketing, Inc. Executive Secretary, Foreign–Trade 4, 2005). On January 2, 2008, the (Electrolytic Capacitors) Zones Board, Room 2111, U.S. Department published a notice of Department of Commerce, 1401 opportunity to request an administrative An application has been submitted to Constitution Avenue, NW, Washington, review of the antidumping duty order the Foreign–Trade Zones Board (the DC 20230–0002. For further on wooden bedroom furniture from the Board) by the South Carolina State Ports information, contact Pierre Duy at PRC for the period January 1, 2007, Authority, grantee of FTZ 38, requesting [email protected], or (202) 482– through December 31, 2007. See special–purpose subzone status for the 1378. Antidumping or Countervailing Duty aluminum electrolytic capacitor Order, Finding, or Suspended Dated: August 19, 2008. manufacturing plant of Cornell Dubilier Investigation: Opportunity to Request Marketing, Inc. (CDM), located in Andrew McGilvray, Administrative Review, 73 FR 158 Liberty, South Carolina. The application Executive Secretary. (January 2, 2008). was submitted pursuant to the [FR Doc. E8–19643 Filed 8–22–08; 8:45 am] The Department received multiple provisions of the Foreign–Trade Zones BILLING CODE 3510–DS–S timely requests for review and on March

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7, 2008, in accordance with section • Dongguan Grand Style Furniture • Hang Hai Woodcrafts Art Factory 751(a) of Tariff Act of 1930, as amended Co., Ltd., Hong Kong DaZhi Co. Ltd. (‘‘the Act’’), published in the Federal Furniture Company Ltd. • Hong Yu Furniture (Shenzhen) Co., Register a notice of the initiation of the • Dongguan Great Reputation Ltd. antidumping duty administrative review Furniture Co., Ltd. • Hualing Furniture (China) Co., Ltd., of wooden bedroom furniture from the • Dongguan Hero Way Woodwork Co., Tony House Manufacture (China) PRC for the 2007 period of review. See Ltd., Hero Way Enterprises, Ltd., Co., Ltd., Buysell Investments Ltd., Initiation Notice. Dongguan Da Zhong Woodwork Tony House Industries Co., Ltd. Co., Ltd., Well Earth International • Hung Fai Wood Products Factory Partial Rescission of Review Ltd. Ltd. Pursuant to 19 CFR 351.213(d)(1), the • Dong Guan Hua Ban Furniture Co., • Inni Furniture Department will rescind an Ltd. • Jardine Enterprise, Ltd. administrative review, in whole or in • Dongguan Hung Sheng Artware • Jiangmen Kinwai Furniture part, if a party that requested a review Products Co., Ltd., Coronal Decoration Co., Ltd. withdraws the request within 90 days of Enterprise Co., Ltd. • Jiangmen Kinwai International the date of publication of the notice of • Dongguan Kin Feng Furniture Co., Furniture Co., Ltd. initiation. Because all requesting parties Ltd. • Jiangsu Weifu Group Company withdrew their respective requests for • Dongguan Kingstone Furniture Co., Fullhouse Furniture Manufacturing review of the following entities within Ltd., Kingstone Furniture Co., Ltd. Corp 90 days of the date of publication of the • Dongguan Liaobushangdun Huada • Jiangsu Xiangsheng Bedtime notice of initiation, the Department is Furniture Factory, Great Rich (HK) Furniture Co., Ltd., aka Xiangsheng rescinding this review with respect to Enterprises Co., Ltd. Jiangsu Bedtime Furniture Co., Ltd. these entities, in accordance with 19 • Dongguan Lung Dong Furniture Co., • Jiangsu Yuexing Furniture Group CFR 351.213(d)(1): Ltd., Dongguan Dong He Furniture Co., Ltd. • Ace Furniture & Crafts Ltd., Deqing Co., Ltd. • Jiedong Lehouse Furniture Co., Ltd. Ace Furniture & Crafts Ltd. • Dongguan New Technology Import • Kalanter (Hong Kong) Furniture • Alexandre International Corp., & Export Co., Ltd. Company Limited Southern Art Development Ltd., • Dongguan Singways Furniture Co., • King Kei Trading Co. Ltd., King Kei Alexandre Furniture (Shenzhen) Ltd. Furniture Factory, Jiu Ching Co. Ltd., Southern Art Furniture • Dongguan Sunpower Enterprise Co., Trading Co., Ltd. Factory Ltd. • King Wood Furniture Co., Ltd. • Art Heritage International Ltd., • Dongguan Sunrise Furniture Co., • King’s Way Furniture Industries Co., Super Art Furniture Co. Ltd., Taicang Sunrise Wood Industry Co., Ltd., Kingsyear, Ltd. • Artwork Metal & Plastic Co., Ltd., Ltd, Shanghai Sunrise Furniture Kuan Lin Furniture (Dong Guan) Jibson Industries Ltd., Always Loyal Co., Ltd., Fairmont Designs Co., Ltd., Kuan Lin Furniture International • Dongying Huanghekou Furniture Factory, Kuan Lin Furniture Co., • Baigou Crafts Factory of Fengkai Industry Co., Ltd. Ltd. • Beijing New Building Materials Co., • Dorbest Ltd., Rui Feng Woodwork • Kunshan Lee Wood Product Co., Ltd. (BNBM Co. Ltd.) Co., Ltd., Rui Feng Lumber Ltd. • Best King International Ltd. Development Co., Ltd., aka, Dorbest • Kunshan Summit Furniture Co. Ltd. • Billy Wood Industrial (Dong Guan), Ltd., Rui Feng Woodwork • Kunwa Enterprise Company Great Union Industrial (Dongguan) (Dongguan) Co., Ltd., Rui Feng • Langfang TianCheng Furniture Co., Co., Ltd., Time Faith Ltd. Lumber Development (Shenzhen) Ltd. • Changshu HTC Import & Export Co. Co., Ltd. • Leefu Wood (Dongguan) Co., Ltd. Ltd. • Eurosa (Kunshan) Co., Ltd., Eurosa King Rich International, Ltd. • Chen Meng Furniture (PTE) Co., Furniture Co., (PTE) Ltd. • Link Silver Ltd. (V.I.B.), Forward Ltd., Cheng Meng Decoration & • Ever Spring Furniture Co., Ltd. Win Enterprises Co. Ltd., Dongguan Furniture (Suzhou) Co., Ltd. S.Y.C. Family Enterprise Co., Ltd. Haoshun Furniture Ltd. • Chuan Fa Furniture Factory • Fine Furniture (Shanghai) Ltd. • Locke Furniture Factory, Kai Chan • Classic Furniture Global Co., Ltd. • Fortune Furniture Ltd. Furniture Co. Ltd., Kai Chan (Hong • Clearwise Co., Ltd. • Foshan Guanqiu Furniture Co., Ltd. Kong) Enterprise Ltd., Taiwan Kai • Dalian Guangming Furniture Co., • Furnmart Ltd. Chan Co. Ltd. Ltd. • Gaomi Yatai Wooden Ware Co., Ltd., • Longrange Furniture Co. Ltd. • Dalian Huafeng Furniture Co., Ltd. Team Prospect International Ltd., • Mei Jia Ju Furniture Industrial • Dalian Pretty Home Furniture Co., Money Gain International Co. Shenzhen Co., Ltd. Ltd. • Garri Furniture (Dong Guan) Co., • Nanhai Baiyi Woodwork Co. Ltd. • Der Cheng Wooden Works of Ltd., Molabile International, Inc. • Nanhai Jiantai Woodwork Co. Ltd., Factory Weei Geo Enterprise Co., Ltd. Fortune Glory Industrial, Ltd. (HK • Dong Guan Golden Fortune • Green River Wood (Dongguan) Ltd. Ltd.) Houseware Co., Ltd. • Guangdong New Four Seas • Nanjing Nanmu Furniture Co., Ltd. • Dongguan Cambridge Furniture Co., Furniture Manufacturing, Ltd. • Nantong Yangzi Furniture Co., Ltd. Ltd., Glory Oceanic Co., Ltd. • Guangming Group Wumahe • Nantong Yushi Furniture Co., Ltd. • Dongguan Chunsan Wood Products Furniture Co., Ltd. • Nathan International Ltd., Nathan Co., Ltd, Trendex Industries • Guangzhou Lucky Furniture Co., Rattan Factory Limited Ltd. • Ningbo Furniture Industries • Dongguan Creation Furniture Co., • Guangzhou Maria Yee Furnishings, Limited, Techniwood Industries Ltd., Creation Industries Co., Ltd. Ltd., Pyla HK Ltd., Maria Yee, Inc. Ltd., Ningbo Hengrun Furniture • Dongguan Dihao Furniture Co., Ltd. • Hainan Jong Bao Lumber Co., Ltd. Co., Ltd. • Dongguan Fortune Furniture Ltd. Jibbon Enterprise Co., Ltd. • Passwell Corporation, Pleasant

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Wave Ltd. Co. Ltd. antidumping duties shall be assessed at • Perfect Line Furniture Co., Ltd. • Superwood Co. Ltd., Lianjiang rates equal to the cash deposit of • Po Ying Industrial Co. Zongyu Art Products Co., Ltd. estimated antidumping duties required • Primewood International Co., Ltd., • T.J. Maxx International Co., Ltd. at the time of entry, or withdrawal from Prime Best International Co., Ltd., • Tarzan Furniture Industries, Ltd., warehouse, for consumption, in Prime Best Factory, Liang Huang Samso Industries Ltd. accordance with 19 CFR (Jiaxing) Enterprise Co., Ltd. • Teamway Furniture (Dong Guan) Co. 351.212(c)(1)(i). The Department will • Profit Force Limited Ltd., Brittomart Inc. issue appropriate assessment • PuTian JingGong Furniture Co., Ltd. • Tianjin First Wood Co., Ltd. instructions directly to CBP 15 days • Qingdao Beiyuan Industry Trading • Tianjin Fortune Furniture Co. Ltd. after the publication of this notice in the Co. Ltd. • Tianjin Master Home Furniture Federal Register. • Qingdao Beiyuan–Shengli Furniture • Tianjin Phu Shing Woodwork In addition, the Department is Co., Ltd. Enterprise Co., Ltd. rescinding this review with respect to • Qingdao Liangmu Co., Ltd. • Top Art Furniture Factory/Sanxiang the following entities which did not • Red Apple Trading Co., Ltd. Top Art Furniture/Ngai Kun receive a separate rate in any completed • Restonic (Dongguan) Furniture Ltd., Trading prior segment of this proceeding. For Restonic Far East (Samoa) Ltd. • Top Goal Development Co. purposes of initiation of this • Season Furniture Manufacturing • Tradewinds Furniture Ltd. administrative review, the Department Co., Season Industrial Development • Tube–Smith Enterprises accepted requests for review of these Co. (ZhangZhou) Co., Ltd., Tube–Smith entities based upon the premise that • Sen Yeong International Co. Ltd., Enterprise (Haimen) Co., Ltd., such entities would seek to demonstrate Sheh Hau International Trading Billionworth Enterprise, Ltd. in this review that they were, in law and Ltd. • Union Friend International Trade • in fact, separate from the PRC–wide Shanghai Jian Pu Export & Import Co., Ltd. entity, and therefore, entitled to a rate Co., Ltd. • U–Rich Furniture (ZhangZhou) Co., • separate from the rate established for the Shanghai Maoji Imp. & Exp. Co. Ltd. Ltd., U–Rich Furniture, Ltd. PRC–wide entity. However, as the • • Sheng Jing Wood Products (Beijing) Wan Bao Cheng Group Hong Kong requests for review of these entities have Co., Ltd., Telstar Enterprises Ltd. Co., Ltd. been withdrawn, these entities may be • • Shenyang Kunyu Wood Industry Wanhengtong Nueevder (Furniture) subject to this review as part of the Co., Ltd. Manufacture Co., Ltd., Dongguan 1 • single PRC–wide entity. Therefore, the Shenyang Shining Dongxing Wanhengtong Industry Co., Ltd. Department will provide assessment • Furniture Co., Ltd. Winmost Enterprises Limited instructions to CBP for the PRC–wide • Shenzhen Dafuhao Industrial • Woodworth Wooden Industries entity, which includes the following Development Co., Ltd. (Dong Guan) Co., Ltd. companies, after the final results of this • Shenzhen Forest Furniture Co., Ltd. • Xiamen Yongquan Sci–Tech administrative review. • Shenzhen Jiafa High Grade Development Co., Ltd. • Bao An Guan Lan Winmost Furniture Co., Ltd., Golden Lion • Xilinmen Group Co., Ltd. • Furniture Factory International Trading Ltd. Yangchun Hengli Co., Ltd. • Beijing MingYaFeng Furniture Co., • Shenzhen New Fudu Furniture Co., • Yichun Guangming Furniture Co., Ltd. Ltd. Ltd. • • • Best King International Ltd., Bouvrie Shenzhen Tiancheng Furniture Co., Yongxin Industrial (Holdings) International Limited Ltd., Winbuild Industrial Ltd., Red Limited • • C.F. Kent Co., Inc., C.F. Kent Apple Furniture Co., Ltd. Zhang Zhou Sanlong Wood Product Hospitality, Inc. Shanghai Kent • Shenzhen Wonderful Furniture Co., Co., Ltd. • Furniture Co., Ltd., and Shanghai Ltd. Zhangjiagang Daye Hotel Furniture Hospitality Product Mfg., Co., Ltd. • Shenzhen Xiande Furniture Factory Co., Ltd. • • • Conghua J.L. George Timber & Co., Shenzhen Xingli Furniture Co., Ltd. Zhangjiagang Zheng Yan Decoration Ltd. • Shing Mark Enterprise Co., Ltd., Co. Ltd. • • Contact Co., Ltd. Carven Industries Ltd. (BVI), Carven Zhangzhou Guohui Industrial & • Denny’s Furniture Associates Corp. Industries Limited (HK), Dongguan Trade Co. Ltd. • Der Cheng Furniture Co., Ltd. • Zhenxin Furniture Co., Ltd., Zhanjiang Sunwin Arts & Crafts Co., • Dongguan Huada Furniture Co., Ltd. Dongguan Yongpeng Furniture Co., Ltd. • Dongguan Mu Si Furniture Co., Ltd. • Ltd. Zhong Cheng Furniture Co., Ltd. • Dongguan Sea Eagle Furniture Co., • Shun Feng Furniture Co., Ltd. • Zhong Shan Fullwin Furniture Co., • Ltd. Sino Concord International Ltd. • Dongguan Wanhengtong Furniture • Corporation Zhongshan Fookyik Furniture Co., Co. Ltd. • Songgang Jasonwood Furniture Ltd. • Engmost Investments Limited Factory, Jasonwood Industrial Co., • Zhongshan Golden King Furniture • Evershine Enterprise, Ltd. Ltd. S.A. Industrial Co., Ltd. • Four Seas Furniture Manufacturing • Starwood Furniture Manufacturing • Zhoushan For–Strong Wood Co., Ltd. Co., Ltd. Ltd. • Gainwell Industries Limited • Starwood Industries Ltd. • Grand Style Furniture Co., Ltd. • Strongson Furniture (Shenzhen) Co., Assessment Ltd., Strongson Furniture Co., Ltd., The Department will instruct U.S. 1 If one of the companies remaining under review Strongson (HK) Co. Customs and Border Protection (‘‘CBP’’) does not qualify for a separate rate, all other • Sunforce Furniture (Hui–Yang) Co., to assess antidumping duties on all exporters of wooden bedroom furniture from the PRC that have not qualified for a separate rate are Ltd., SunFung Wooden Factory, appropriate entries for the above–named deemed to be covered by this review as part of the Sun Fung Co., Shin Feng Furniture entities. For those companies for which single PRC-wide entity of which the named Co. Ltd., Stupendous International this review has been rescinded, exporter is a part.

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• Guangdong Gainwell Industrial of antidumping duties prior to Republic of China, covering the period Furniture Co., Ltd. liquidation of the relevant entries December 1, 2006 through November • Hainan Rulai Furniture Co., Ltd. during this review period. Failure to 30, 2007. See Initiation of Antidumping • Hong Kong Boliya Industry comply with this requirement could and Countervailing Duty Administrative Development Co., Ltd. result in the Secretary’s assumption that Reviews and Request for Revocation in • Hong Kong Jingbi Group reimbursement of antidumping duties Part, 73 FR 4829 (January 28, 2008). The • Huizhou Jadom Furniture Co., Ltd., occurred and subsequent assessment of current deadline for the preliminary Jadom Furniture Co., Ltd. double antidumping duties. results of this administrative review is • Hwangho New Century Furniture September 2, 2008.1 (Dongguan) Corp. Ltd., Trade Rich Notification Regarding Administrative Furniture (Dongguan) Corp., Ltd. Protective Orders (‘‘APOs’’) Statutory Time Limits • Kong Fong Furniture, Kong Fong This notice also serves as a reminder Mao Iek Hong to parties subject to APOs of their Section 751(a)(3)(A) of the Tariff Act • Kunshan Junsen Furniture Co., Ltd. responsibility concerning the return or of 1930, as amended (‘‘the Act’’), • Nanjing Jardine Enterprise Ltd. destruction of proprietary information requires the Department of Commerce • Nantong Dongfang Orient Furniture disclosed under an APO in accordance (‘‘the Department’’) to issue the Co., Ltd. with 19 CFR 351.305, which continues preliminary results of an administrative • Nathan China Group to govern business proprietary review within 245 days after the last day • Ningbo Fubang Furniture Industries information in this segment of the of the anniversary month of an order for Limited proceeding. Timely written notification which a review is requested and the • Ningbo Techniwood Furniture of the return/destruction of APO final results of review within 120 days Industries Limited materials or conversion to judicial after the date on which the preliminary • Ningbo Furniture Industries protective order is hereby requested. results are published. If it is not Company Limited Failure to comply with the regulations • practicable to complete the review Northeast Lumber Co., Ltd. and terms of an APO is a violation within the time period, section • Passwell Wood Corporation which is subject to sanction. 751(a)(3)(A) of the Act allows the • Putian Ou Dian Furniture Co., Ltd. This notice is in accordance with • Shanghai Season Industry & Department to extend these deadlines to section 777(i)(1) of the Act, and 19 CFR a maximum of 365 days and 180 days, Commerce Co., Ltd. 351.213(d)(4). • Sino Concord (Zhangzhou) respectively. Dated: August 18, 2008. Furniture Co., Ltd. Extension of Time Limit for Preliminary • Edward C. Yang, Speedy International Ltd. Results • Starcorp Furniture Co., Ltd., Acting Deputy Assistant Secretary for Import Starcorp Furniture (Shanghai) Co., Administration. The Department requires additional Ltd., Orin Furniture (Shanghai) Co., [FR Doc. E8–19664 Filed 8–22–08; 8:45 am] time to review and analyze the sales and Ltd., Shanghai Star Furniture Co., BILLING CODE 3510–DS–S cost responses in this administrative Ltd., Shanghai XingDing Furniture review. Moreover, the Department Industrial Co., Ltd. requires additional time to analyze • DEPARTMENT OF COMMERCE Techniwood (Macao Commercial complex issues related to surrogate Offshore) Limited, value selections. Because the • International Trade Administration Time Crown (U.K.) International Department requires additional time to Ltd., China United International [C–570–827] analyze the information, issue Company supplemental questionnaires, and • Top Goal Furniture Co., Ltd. Certain Cased Pencils from the possibly verify the information, it is not (Shenzhen) People’s Republic of China: Extension • Tradewinds International Enterprise of Time Limit for Preliminary Results of practicable to complete this review Ltd. the Antidumping Duty Administrative within the originally anticipated time • Trendex Industries Limited (BVI) Review limit (i.e., by September 2, 2008). • Triple J Furniture Enterprises Co., Therefore, the Department is extending AGENCY: Import Administration, Mandarin Furniture (Shenzhen) the time limit for completion of the International Trade Administration, preliminary results by 112 days to not Co., Ltd. Department of Commerce. • Winky Top Ltd. later than December 22, 2008, in • Zhejiang NiannianHong Industrial EFFECTIVE DATE: August 25, 2008. accordance with section 751(a)(3)(A) of Co., Ltd. FOR FURTHER INFORMATION CONTACT: the Act. • Alexander Montoro at (202) 482–0238 or Zhongshan Fengheng Furniture Co., We are issuing and publishing this Ltd. Shane Subler at (202) 482–0189; AD/ • CVD Operations, Office 1, Import notice in accordance with sections Zhongshan Yiming Furniture Co. 751(a)(1) and 777(i)(1) of the Act. Ltd. Administration, International Trade • Zhongshan Youcheng Wooden Arts Administration, U.S. Department of & Crafts Co., Ltd. Commerce, 14th Street and Constitution 1 We note that Monday, September 1, 2008, is 245 The review will continue with respect Avenue, NW, Washington, DC 20230. days after December 31, 2007, the last day of the to all other entities identified in the SUPPLEMENTARY INFORMATION: anniversary month of the antidumping order for Initiation Notice. this proceeding. September 1, 2008, is Labor Day. Background When a deadline falls on a weekend or federal Notification to Importers On January 28, 2008, the Department holiday, the Department’s practice is to use the next business day as the appropriate deadline. See This notice serves as a final reminder published a notice of initiation of Notice of Clarification: Application of ‘‘Next to importers of their responsibility administrative review of the Business Day’’ Rule for Administrative under 19 CFR 351.402(f) to file a antidumping duty order on certain Determination Deadlines Pursuant to the Tariff Act certificate regarding the reimbursement cased pencils from the People’s of 1930, As Amended, 70 FR 24533 (May 10, 2005).

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Dated: August 18, 2008. to complete a consistency review or any addition, the Secretary has determined Edward C. Yang, clarifying information submitted by a that the highly migratory species Acting Deputy Assistant Secretaryfor Import party to the proceeding related to blacknose shark is overfished and Administration. information in the consolidated record overfishing is occurring. [FR Doc. E8–19663 Filed 8–22–08; 8:45 am] compiled by the lead Federal permitting FOR FURTHER INFORMATION CONTACT: BILLING CODE 3510–DS–S agency. 16 U.S.C. 1465(b)(3). Seanbob Kelly, telephone: (301) 713– The decision record is currently 2341. scheduled to close on August 25, 2008. DEPARTMENT OF COMMERCE After reviewing the decision record SUPPLEMENTARY INFORMATION: Pursuant developed to date, the Secretary has to sections 304(e)(2) and (e)(7) of the National Oceanic and Atmospheric decided to solicit supplemental and Magnuson–Stevens Fishery Administration clarifying information. In order to allow Conservation and Management Act receipt of this information, the Secretary (Magnuson–Stevens Act), 16 U.S.C. Federal Consistency Appeal by hereby stays closure of the decision 1854(e)(2) and (e)(7), and implementing Foothill/Eastern Transportation record until October 24, 2008. regulations at 50 CFR 600.310(e)(2), Corridor Agency Additional information about the TCA NMFS, on behalf of the Secretary, AGENCY: National Oceanic and Consistency Appeal and the CZMA notifies fishery management councils Atmospheric Administration (NOAA), appeals process is available from the when overfishing is occurring, a stock is Department of Commerce (Commerce). Department of Commerce CZMA approaching overfishing, a stock is appeals Web site http:// ACTION: Notice of stay—closure of overfished, a stock is approaching an www.ogc.doc.gov/czma.htm. administrative appeals decision record. overfished condition, or existing action Dated: August 20, 2008. taken to end previously identified SUMMARY: This announcement provides Joel La Bissonniere, overfishing or rebuilding a previously notice that the Secretary of Commerce Assistant General Counsel for Ocean Services. identified overfished stock or stock has stayed, for a period of 60 days, (Federal Domestic Assistance Catalog No. complex has not resulted in adequate closure of the decision record in an 11.419 Coastal Zone Management Program progress. administrative appeal filed by Foothill/ Assistance.) On June 20, 2008, the NMFS Eastern Transportation Corridor Agency [FR Doc. E8–19667 Filed 8–22–08; 8:45 am] approved Amendment 30A to the and its Board of Directors (TCA). BILLING CODE 3510–08–P Fishery Management Plan for the Reef DATES: The decision record for the Fish Resources of the Gulf of Mexico Foothill/Eastern Transportation and implemented it with a final rule Corridor Agency Consistency Appeal DEPARTMENT OF COMMERCE published in the Federal Register (73 will now close on October 24, 2008. FR 38139; July 3, 2008). Amendment ADDRESSES: Office of the General National Oceanic and Atmospheric 30A established management targets Counsel for Ocean Services, National Administration and thresholds for Gulf of Mexico gray Oceanic and Atmospheric RIN 0648–XJ31 triggerfish that were previously Administration, U.S. Department of undefined. Based on these new status Commerce, 1305 East-West Highway, Fisheries of the Northeast Region; determination criteria the NMFS found Silver Spring, MD 20910. Fisheries of the Southeast Region; that the Gulf of Mexico gray triggerfish FOR FURTHER INFORMATION CONTACT: Highly Migratory Species is overfished using an earlier stock assessment (SEDAR 9, 2006). Thomas Street or Gladys Miles, AGENCY: National Marine Fisheries Amendment 30A includes a rebuilding Attorney-Advisors, Office of the General Service (NMFS), National Oceanic and plan for Gulf of Mexico gray triggerfish. Counsel, via e-mail at Atmospheric Administration (NOAA), [email protected], or at (301) Commerce. On July 8, 2008, the NMFS Southeast 713–2967. Regional Administrator sent a letter ACTION: Notification of determination of notifying the South Atlantic Fishery SUPPLEMENTARY INFORMATION: On overfished and overfishing conditions. February 15, 2008, TCA filed notice of Management Council (South Atlantic an appeal with the Secretary of SUMMARY: This action serves as a notice Council) that South Atlantic red Commerce (Secretary), pursuant to the that NMFS, on behalf of the Secretary of snapper is overfished. The South Coastal Zone Management Act of 1972 Commerce (Secretary), has determined Atlantic Council must submit a (CZMA), 16 U.S.C. 1451 et seq., and that northeast smooth skate, South rebuilding plan for red snapper within implementing regulations found at 15 Atlantic red snapper, and Gulf of one year of that notification. C.F.R. Part 930, Subpart H. TCA Mexico gray triggerfish are overfished On July 21, 2008, the NMFS Northeast appealed an objection to its construction and that northeast thorny skate is Regional Administrator sent a letter of an extension to California State Route subject to overfishing. NMFS notified notifying the New England Fishery 241 in northern San Diego and southern the respective regional fishery Management Council (New England Orange Counties, California. management councils (Councils) Council) that smooth skate is overfished Under the CZMA, the Secretary must responsible for these fisheries of its and that thorny skate is undergoing close the decision record in an appeal determination. The Councils are overfishing. Thorny skate is currently 160 days after the notice of appeal is required to take action within 1 year under a rebuilding plan. The New published in the Federal Register. 16 following notification by NMFS that England Council must therefore ensure U.S.C. 1465. However, the CZMA overfishing is occurring, a stock is that overfishing is ended and that the authorizes the Secretary to stay closing approaching overfishing, a stock is stock rebuilds on schedule. Copies of the decision record for up to 60 days overfished, a stock is approaching an the notification letters sent to the fishery when the Secretary determines it overfished condition, or existing management councils for the necessary to receive, on an expedited remedial action taken to end overfishing aforementioned determinations are basis, any supplemental information or rebuild an overfished stock has not available at http://www.nmfs.noaa.gov/ specifically requested by the Secretary resulted in adequate progress. In sfa/statusoffisheries/SOSmain.htm.

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NMFS previously published the regulations at 50 CFR 600.310(e)(3)). ACTION: Notice. Secretary’s determination that blacknose Such action must be submitted to NMFS shark is overfished and subject to within 1 year of notification and may be SUMMARY: The Department of Defense is overfishing (73 FR 25665; May 7, 2008). in the form of a new fishery publishing the unclassified text of a It is included in this notice to provide management plan (FMP), an FMP section 36(b)( 1) arms sales notification. complete documentation of the amendment, or proposed regulations. This is published to fulfill the overfished and overfishing Dated: August 19, 2008. requirements of section 155 of Public determinations made between April 1, Alan D. Risenhoover, Law 104–164 dated 21 July 1996. 2008 and June 30, 2008. Within 1 year of a notification under Director, Office of Sustainable Fisheries, FOR FURTHER INFORMATION CONTACT: Ms. Magnuson–Stevens Act sections National Marine Fisheries Service. B. English, DSCA/DBO/CFM, (703) 601– 304(e)(2) or (e)(7), the respective [FR Doc. E8–19666 Filed 8–22–08; 8:45 am] 3740. Council must take remedial action in BILLING CODE 3510–22–S The following is a copy of a letter to response to the notification, to end the Speaker of the House of overfishing if overfishing is occurring; Representatives, Transmittals 08–80 rebuild an overfished stock or stock DEPARTMENT OF DEFENSE with attached transmittal, policy complex to the abundance that can justification, and Sensitivity of produce maximum sustainable yield Office of the Secretary Technology. within an appropriate time frame; prevent overfishing from occurring if a [Transmittal Nos. 08–80] Dated: August 15, 2008. Patricia L. Toppings, stock is approaching overfishing; and/or 36(b)(1) Arms Sales Notification prevent a stock from becoming OSD Federal Register Liaison Officer, overfished if it is approaching an AGENCY: Department of Defense, Defense Department of Defense. overfished condition (see implementing Security Cooperation Agency. BILLING CODE 5001–06–M

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[FR Doc. E8–19500 Filed 8–22–08; 8:45 am] concerning payment by electronic funds Electronic Funds Transfer, in all BILLING CODE 5001–06–C transfer. A request for public comments correspondence. was published in the Federal Register at FOR FURTHER INFORMATION CONTACT Ms. 73 FR 30611, May 28, 2008. No Meredith Murphy, Contract Policy DEPARTMENT OF DEFENSE comments were received. Division, GSA, (202) 208–6925. Public comments are particularly GENERAL SERVICES SUPPLEMENTARY INFORMATION: invited on: Whether this collection of ADMINISTRATION information is necessary for the proper A. Purpose performance of functions of the FAR, NATIONAL AERONAUTICS AND The FAR requires certain information and whether it will have practical SPACE ADMINISTRATION to be provided by contractors which utility; whether our estimate of the would enable the Government to make [OMB Control No. 9000–0144] public burden of this collection of payments under the contract by information is accurate, and based on electronic funds transfer (EFT). The Federal Acquisition Regulation; valid assumptions and methodology; information necessary to make the EFT Submission for OMB Review; Payment ways to enhance the quality, utility, and transaction is specified in clause by Electronic Funds Transfer clarity of the information to be 52.232–33, Payment by Electronic collected; and ways in which we can Funds Transfer—Central Contractor AGENCIES: Department of Defense (DOD), minimize the burden of the collection of Registration, which the contractor is General Services Administration (GSA), information on those who are to required to provide prior to award, and and National Aeronautics and Space respond, through the use of appropriate clause 52.232–34, Payment by Administration (NASA). technological collection techniques or Electronic Funds Transfer—Other than ACTION: Notice of request for public other forms of information technology. Central Contractor Registration, which comments regarding an extension to an DATES: Submit comments on or before requires EFT information to be provided existing OMB clearance (9000–0144). September 24, 2008. as specified by the agency to enable payment by EFT. SUMMARY: Under the provisions of the ADDRESSES: Submit comments regarding Paperwork Reduction Act of 1995 (44 this burden estimate or any other aspect B. Annual Reporting Burden U.S.C. Chapter 35), the Federal of this collection of information, Respondents: 14,000. Acquisition Regulation (FAR) including suggestions for reducing this Responses Per Respondent: 10. Secretariat will be submitting to the burden to the General Services Annual Responses: 140,000. Office of Management and Budget Administration, FAR Secretariat (VPR), Hours Per Response: .5. (OMB) a request to review and approve 1800 F Street, NW., Room 4041, Total Burden Hours: 70,000. an extension of a currently approved Washington, DC 20405. Please cite OMB Obtaining Copies of Proposals: information collection requirement Control No. 9000–0144, Payment by Requesters may obtain a copy of the

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information collection documents from postmarked by October 9, 2008, in ‘‘the goals of the biofuels and the General Services Administration, defining the scope of this EIS. bioproducts programs shall be to FAR Secretariat (VPR), Room 4041, 1800 Comments received or postmarked after develop, in partnership with industry F Street, NW, Washington, DC 20405, that date will be considered to the and institutes of higher education— telephone (202) 501–4755. Please cite extent practicable. A public scoping (1) Advanced biochemical and OMB Control No. 9000–0144, Payment meeting will be held in Memorial Hall thermochemical conversion by Electronic Funds Transfer, in all at the Stevens County Courthouse, technologies capable of making fuels correspondence. Hugoton, Kansas, on September 10, from lignocellulosic feedstocks that are Dated: August 15, 2008. 2008 from 6 p.m. to 8 p.m. Written and price-competitive with gasoline or oral comments will be given equal diesel in either internal combustion Al Matera, weight. engines or fuel cell-powered vehicles; Director, Office of Acquisition Policy. (2) Advanced biotechnology processes [FR Doc. E8–19669 Filed 8–22–08; 8:45 am] ADDRESSES: Written comments on the scope of the EIS should be directed to capable of making biofuels and BILLING CODE 6820–EP–S Kristin Kerwin at the U.S. Department bioproducts with emphasis on of Energy Golden Field Office, 1617 development of biorefinery technologies Cole Boulevard, Golden, Colorado using enzyme-based processing systems; DEPARTMENT OF ENERGY (3) Advanced biotechnology processes 80401. You may also contact Ms. capable of increasing energy production Kerwin by telephone at 303–275–4968, Notice of Intent To Prepare an from lignocellulosic feedstocks, with fascimilie at 303–275–4790, or e-mail: Environmental Impact Statement and emphasis on reducing the dependence [email protected]. Envelopes Notice of Wetlands Involvement for the of industry on fossil fuels in and the subject line of e-mails should be Abengoa Biorefinery Project Near manufacturing facilities; and labeled ‘‘Abengoa EIS Scoping Hugoton, KS (DOE/EIS 0407) (4) Other advanced processes that will Comments.’’ enable the development of cost-effective AGENCY: Office of Energy Efficiency and The public scoping meeting will be Renewable Energy, Department of held on September 10, 2008 from 6 p.m. bioproducts, including biofuels.’’ Section 932(d) provides that ‘‘the Energy (DOE). to 8 p.m. at the following location: Secretary shall carry out a program to Memorial Hall, Stevens County ACTION: Notice of intent to prepare an demonstrate the commercial application Courthouse, 200 East 6th St., Hugoton, environmental impact statement, of integrated biorefineries. The Kansas 67951–2606. conduct a public scoping meeting, and Secretary shall ensure geographical opportunity for public comment; Notice FOR FURTHER INFORMATION CONTACT: For distribution of biorefinery of Wetlands Involvement. information on the proposed project, demonstration under this subsection. information on how to comment, or to The Secretary shall not provide more SUMMARY: The U.S. Department of receive a copy of the draft EIS when it Energy (DOE) announces its intent to than $100,000,000 under this subsection is issued, contact Kristin Kerwin by any for any single biorefinery prepare an Environmental Impact of the means described in the Statement (EIS) pursuant to the National demonstration. In making awards under ADDRESSES section above. this subsection, the Secretary shall Environmental Policy Act of 1969 For further information on the DOE (NEPA) (42 U.S.C. 4321 et seq.), the encourage— Office of Energy Efficiency and (A) The demonstration of a wide Council on Environmental Quality Renewable Energy Integrated NEPA regulations (40 Code of Federal variety of lignocellulosic feedstocks; Biorefinery Program, contact Jacques (B) The commercial application of Regulations [CFR] Parts 1500–1508), Beaudry-Losique, Biomass Program biomass technologies for a variety of and the DOE NEPA regulations (10 CFR Manager, U.S. Department of Energy, uses, including— Part 1021) to assess the potential 1000 Independence Avenue, SW., EE– i. Liquid transportation fuels; environmental impacts of a project 2E, 5H–021, Washington, DC 20585, ii. High-value biobased chemicals; proposed by Abengoa Bioenergy telephone: 202–586–5188, facsimile: iii. Substitutes for petroleum-based Biomass of Kansas, LLC (ABBK), to 202–586–1640, e-mail: feedstocks and products; and construct and operate a biomass-to- [email protected]. iv. Energy in the form of electricity or ethanol and energy facility near For general information on the DOE useful heat; and Hugoton, Kansas (hereinafter termed NEPA process, please contact: Carol M. (C) The demonstration of the ‘‘Abengoa Biorefinery Project’’ or the Borgstrom, Director, Office of NEPA collection of treatment of a variety of ‘‘Project’’). DOE’s proposed action is to Policy and Compliance (GC–20), U.S. biomass feedstocks.’’ provide cost-share Federal funding to Department of Energy, 1000 Section 932(d) further directs the ABBK to construct and operate the Independence Avenue, SW., Secretary to solicit proposals for Project. DOE is issuing this Notice of Washington, DC 20585–0103; e-mail: demonstration of advanced biorefineries Intent to inform the public about the [email protected]; telephone: 202– and to select only proposals that proposed action; announce plans to 586–4600; leave a message at 1–800– demonstrate economic viability without conduct a public scoping meeting; 472–2756; or facsimile: 202–586–7031. Federal subsidy after initial invite public participation in the SUPPLEMENTARY INFORMATION: construction costs are paid and for scoping process; and solicit public Background and Need for Agency projects that are replicable. comments for consideration in Action: The Energy Policy Act of 2005 In implementing section 932, DOE’s establishing the scope of the EIS, (EPAct 2005), Section 932, directs the goal is to demonstrate that commercial- including the range of reasonable Secretary of Energy to conduct a scale integrated biorefineries that use a alternatives and the potential program of research, development, wide variety of lignocellulosic environmental impacts to be analyzed. demonstration, and commercial feedstocks (biomass), can operate DATES: The public scoping period begins application for bioenergy, including, profitably once constructed, and can be on August 25, 2008, and will continue integrated biorefineries that may replicated. Lignocellulosic feedstock through October 9, 2008. DOE will produce biopower, biofuels, and includes energy crops, corn fiber, wood consider all comments received or bioproducts. Section 932 provides that wastes, agricultural wastes such as corn

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stover, and certain municipal solid feedstocks (sorghum or corn) along with includes the combined facility footprint wastes. DOE notes that, while the distillers grains with solubles, which is of about 385 acres and a buffer area refining process for ethanol from a product. While the traditional grain- between the proposed biorefinery and biomass is more complex than the to-ethanol facility would be constructed the City of Hugoton to the east. Hugoton refining process for ethanol derived and operated with private funds, DOE has a population of about 3,700 and is from grain, cellulosic ethanol can yield plans to analyze the traditional grain-to- located in Stevens County in southwest a greater net energy benefit and result in ethanol facility as a connected action in KS. Land use in the area is primarily lower greenhouse gas emissions. the EIS. agricultural in nature with cropland Accordingly, DOE issued a funding Proposed Action: DOE is proposing to being the dominant use and grassland opportunity announcement for the provide approximately $61 million in being the secondary use. The area has construction and operation of Federal funding to ABBK for the diverse biomass feedstocks, numerous commercial-scale integrated construction and operation of a large cattle feedlots, and a variety of biorefineries intended to demonstrate commercial-scale biomass-to-ethanol grains grown locally. the use of a wide variety of cellulosic and energy facility near Hugoton, KS. The project site itself currently feedstocks. On February 28, 2007, DOE The total estimated cost (beyond the consists of row-cropped agricultural announced the selection of six initial award) for construction and land and is adjoined by grain elevators, biorefinery projects for negotiation of operation of the biomass-to-ethanol an asphalt plant, industrial park, and financial assistance awards. In that portion of the project is approximately airport to the south; golf course and announcement, DOE proposes to invest $190.5 million. agricultural land to the west; two up to $385 million in the six projects The biomass-to-ethanol facility would residences to the northwest; and over the next four years. process 400 dry metric tons per day of agricultural cropland to the north. Abengoa Bioenergy Biomass of biomass to produce approximately 12 About 65 % of the site would qualify as Kansas, LLC (ABBK) of Chesterfield, million gallons per year (MGPY) of prime farmland if it were irrigated. The Missouri, was one of the six applicants denatured ethanol. The biomass-to- proposed biorefinery site and additional competitively selected for negotiation of ethanol facility would utilize an buffer area to the east are currently award under DOE’s funding opportunity enzymatic hydrolysis process for zoned Agricultural, but the biorefinery announcement. Abengoa proposed an converting biomass feedstocks to location is proposed for a change to innovative approach to biorefinery ethanol and co-products, and a Heavy Industrial zoning. operations that involves production of a gasification technology to convert Infrastructure required to operate the biofuel and of energy in the form of biomass to synthesis gas. Biomass proposed biorefinery would include the steam that can be used to meet energy feedstock would be supplied from waste following: needs and displace fossil fuels such as products from the production of crops • Water, which would be supplied coal and natural gas. In addition, siting produced within a 30 mile radius of the from wells on-site and near the project the facility in Kansas would qualify facility, and may include sorghum site utilizing water rights acquired from Abengoa for state tax credits for stubble, corn stover, switchgrass, and local owners; biofuels, which would make the other opportunity feedstocks that are • Electricity, which would be brought biorefinery a more viable commercial available in the area. to the project site by Pioneer Electric operation. The traditional grain-to-ethanol from an existing substation located a DOE granted an initial award to ABBK process would use 32 million bushels of few miles to the north of the project site; to advance the conceptual design; to grain (sorghum and corn) to produce • Natural gas, which would be initiate the permitting process; and to approximately 88 MGPY of denatured brought through a lateral connection to support an environmental review under ethanol annually, two-thirds of which one of the nearby interstate pipelines or NEPA for ABBK’s proposed biomass-to- (i.e. that derived from sorghum) would through the local distribution company; ethanol-and-energy facility near qualify as Advanced Biofuels under • Wastewater treatment—wastewater Hugoton, KS. DOE requires that ABBK Section 207 of the Energy Independence would be treated on-site, non-contact fulfill these design, permitting, and and Security Act of 2007 (EISA) (Per cooling water will be used for irrigation; environmental review obligations prior EISA, Advanced Biofuels includes all • Railroad service would be provided to deciding whether to cofund the biofuels except corn-based ethanol). by the Cimarron Valley Short Line construction and operation phase of the Solids from the process will be which runs adjacent to the project site; project. The total anticipated cost of this converted to animal feed, resulting in and initial work is $37.5 million of which the production of up to 781,800 tons per • Road access would be via a truck DOE is funding 40% ($15 million) and year wet distillers grain with solubles bypass route that the City of Hugoton ABBK is providing 60% ($22.5 million). (WDGS). The facility will have the intends to construct prior to the As described below, DOE is now capability to dry up to 50 percent of the completion of the project. proposing to negotiate a second WDGS, producing a maximum of During construction, truck traffic to financial assistance agreement for 152,000 tons per year of dried distiller’s the site would be expected to average approximately $61 million for the grains with solubles (DDGS). The about 30 shipments a day. During construction and operation of the difference between the two sources of operations, truck traffic would be biomass to ethanol facility, whose animal feed is moisture; DDGS contains expected to increase to about 470 anticipated total cost is approximately approximately 10 percent moisture shipments a day. Most of the grain and $190.5 million. while WDGS contains approximately 65 biomass would be obtained from ABBK is also planning to construct percent moisture. growers located near the proposed and operate a traditional grain-to- The overall integrated biorefinery, facility, but about 8 million tons of grain ethanol production facility at the same comprising both the proposed biomass- would be shipped to the facility from site that would integrate the biomass-to- to-ethanol facility and the grain-to- non-local sources each year. ethanol facility into the overall facility. ethanol facility, would be capable of Alternatives: NEPA requires that This grain-to-ethanol facility would use producing about 100 MGPY of agencies evaluate reasonable a traditional starch conversion process denatured ethanol and would be located alternatives to the proposed action in an to produce ethanol from grain on approximately 800 acres, which EIS. To implement the requirements of

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EPAct 2005, Section 932(d), in a 6. Cultural Resources: Including statements will not be cross-examined separate, earlier proceeding DOE potential effects on historic and by other speakers. However, DOE conducted a competitive solicitation. archaeological resources and Native representatives may ask speakers DOE received 24 applications in the American tribal resources. questions to help ensure that DOE fully response to the solicitation. Of these, 7. Ecological Resources: Terrestrial understands their comments or nine did not comply with statutory and aquatic plants and animals suggestions. To request time to speak at requirements for eligibility under including state and Federally listed the meeting, please contact Kristin Section 932. DOE reviewed the threatened and endangered species and Kerwin via telephone, mail, fax or e- remaining 15 applications on their other protected resources. mail as listed in the ADDRESSES section merits and, having considered the 8. Health and safety impacts: of this Notice. Persons may also sign up objectives set forth in Section 932, Including construction-related safety to speak before the meeting at the selected six proposals, including and process-related safety associated reception desk at the entrance to the ABBK’s proposal for appropriate NEPA with handling and management of meeting and will be provided review. DOE selected ABBK’s proposal process chemicals. opportunities to speak after previously 9. Noise: Potential impacts resulting for negotiation of a funding agreement scheduled speakers have spoken, as from construction and operation of the in part because of its particular scale, time allows. To ensure that everyone proposed plant and from transportation location, and technology. who wishes to speak has a chance to do of feedstocks, process materials, and DOE will consider reasonable only so, five minutes will be allotted to each alternatives to the proposed action that plant byproducts. 10. Socioeconomic impacts: Potential speaker. Depending on the number of meet its purpose and need. Accordinly, persons requesting to speak, DOE may DOE proposes to analyze the following socioeconomic impacts of plant allow longer times for representatives of alternatives in detail in the EIS: (1) To construction and operation, including organizations. Persons wishing to speak provide federal funding for the Abengoa effects on public services and on behalf of an organization should Biorefinery Project as proposed by infrastructure resulting from the influx identify that organization when they ABBK (the Proposed Action); (2) to of construction personnel and plant provide federal funding for the Abengoa operating staff, and environmental sign up to speak. Biorefinery Project contingent on justice issues. A complete transcript of the public implementation of environmental 11. Aesthetic and scenic resources: scoping meeting will be retained by mitigation measures, which would be Potential visual effects associated with DOE and made available to the public determined based on the environmental plant structures and operations. for review via the Golden Field Office impact analysis in the EIS; and (3) to not 12. Cumulative impacts that result Online Public Reading Room at: http:// provide federal funding for the from the incremental impacts of the www.eere.energy.gov/golden/ proposed project (the No Action proposed plant when added to the other Reading_Room.aspx and during alternative). past, present, and reasonably business hours at the Department of Preliminary Identification of foreseeable future activities within the Energy, Freedom of Information Reading Environmental Issues: The purpose of regions of influence. This may include Room, Forrestal Building, Room 1E–90, this Notice is to solicit comments and potential impacts resulting from 1000 Independence Avenue, SW., suggestions for consideration in the widespread replication of this type of Washington, DC 20585–0001. preparation of the EIS. As background technology. Additional copies of the public scoping for public comment, this Notice 13. Global Climate Change: Potential meeting transcripts will be made contains a list of potential greenhouse gas emissions and impacts available during business hours at the environmental issues that DOE has on global climate change that may result following location: Stevens County tentatively identified for analysis. This from this project. Library, 500 S. Monroe Street, Hugoton, list identifies resource areas that may be Public Scoping Process: Interested Kansas 67951. affected by construction and operation agencies, organizations, Native American tribes, and members of the Draft EIS Schedule and Availability: of the proposed Project and that DOE The draft EIS is scheduled to be issued plans to analyze in the EIS. This list is public are encouraged to submit comments or suggestions concerning the in late 2008. The availability of the draft not intended to be all-inclusive or to EIS will be announced in the Federal imply any predetermination of impacts. content of the EIS, including the range of reasonable alternatives and the Register and local media. The draft EIS DOE welcomes comments on this list will be made available for public and other suggestions on the scope of potential environmental impacts to be analyzed. DOE invites oral comments inspection at the location listed above the EIS. and on the Internet. Comments on the 1. Water Resources: Potential impacts and suggestions at the public scoping Draft EIS will be considered in on surface and groundwater resources meeting. The public scoping period will preparing the Final EIS. and water quality, including effects of be open until October 9, 2008. water usage, wastewater management, Written comments should be sent to Interested parties who do not wish to storm water management. Kristin Kerwin as described in the submit comments at this time, but who 2. Potential impacts on apparent ADDRESSES section of this Notice. The would like to receive a copy of the draft isolated wetlands at the project site. public scoping meeting will be held at EIS should contact Kristin Kerwin as 3. Utility and transportation the location, date, and time listed in the provided in the ADDRESSES section of infrastructure requirements for delivery DATES and ADDRESSES sections of this this notice. notice. This meeting will be informal. A of feedstocks and process chemicals to Issued in Washington, DC, on this 19th day presiding officer designated by DOE will the facility and distribution of products of August, 2008. from the facility to the marketplace. establish procedures governing the 4. Land Use: Changes in land use, conduct of the meeting and an overview Alexander A. Karsner, including the proposed site and the of the proposed Project will be Assistant Secretary, Energy Efficiency and geographical area that will provide provided. The meeting will not be Renewable Energy. feedstock to the proposed facility. conducted as an evidentiary hearing, [FR Doc. E8–19633 Filed 8–22–08; 8:45 am] 5. Local and Regional Air Quality. and those who choose to make BILLING CODE 6450–01–P

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DEPARTMENT OF ENERGY contact E. Douglas Frost. Requests must of 12 individuals of diverse be received five days prior to the backgrounds selected for their technical Environmental Management Site- meeting and reasonable provision will expertise and experience, established Specific Advisory Board Chairs be made to include the presentation in records of distinguished professional the agenda. The Designated Federal service, and their knowledge of issues AGENCY: Department of Energy. Officer is empowered to conduct the that pertain to nuclear energy. ACTION: Notice of Open Meeting. meeting in a fashion that will facilitate Purpose of the Meeting: To inform the committee of recent developments and SUMMARY: This notice announces a the orderly conduct of business. meeting of the Environmental Individuals wishing to make public current status of research programs and Management Site-Specific Advisory comment will be provided a maximum projects pursued by the Department of Board (EM SSAB) Chairs. The Federal of five minutes to present their Energy’s Office of Nuclear Energy and Advisory Committee Act (Pub. L. No. comments. receive advice and comments in return 92–463, 86 Stat. 770) requires that Minutes: Minutes will be available by from the committee. Tentative Agenda: The meeting is public notice of this meeting be writing or calling E. Douglas Frost at the expected to include presentations that announced in the Federal Register. address or phone number listed above. Minutes will also be available at the cover such topics as the current status DATES: Tuesday, September 16, 2008, following Web site: http:// of the Global Nuclear Energy 8:30 a.m.–5 p.m.; Wednesday, www.em.doe.gov/stakepages/ Partnership (GNEP), Next Generation of September 17, 2008, 8:30 a.m.–5 p.m. ssabchairs.aspx. Nuclear Power, Nuclear Power 2010, ADDRESSES: Key Bridge Marriott, 1401 and Idaho National Laboratory. The Lee Highway, Arlington, Virginia, Issued at Washington, DC on August 19, 2008. agenda may change to accommodate Phone: (703) 524–6400, Fax: (703) 524– Rachel Samuel, committee business. For updates, one is 8964. directed the NEAC Web site: http:// Deputy Committee Management Officer. FOR FURTHER INFORMATION CONTACT: E. www.ne.doe.gov/neac/ Douglas Frost, Designated Federal [FR Doc. E8–19632 Filed 8–22–08; 8:45 am] neNeacOverview.html. Officer, U.S. Department of Energy, BILLING CODE 6450–01–P Public Participation: Individuals and 1000 Independence Avenue, SW., representatives of organizations who would like to offer comments and Washington, DC 20585; Phone: (202) DEPARTMENT OF ENERGY 586–5619. suggestions may do so on the day of the SUPPLEMENTARY INFORMATION: Nuclear Energy Advisory Committee meeting, Tuesday, September 23, 2008. Purpose of the Board: The purpose of Approximately one-half hour will be the Board is to make recommendations AGENCY: Department of Energy, Office of reserved for public comments. Time to DOE in the areas of environmental Nuclear Energy. allotted per speaker will depend on the restoration, waste management, and ACTION: Notice of Open Meeting. number who wish to speak but is not related activities. expected to exceed 5 minutes. Anyone SUMMARY: This notice announces a who is not able to make the meeting or Tentative Agenda Topics meeting of the Nuclear Energy Advisory has had insufficient time to address the Tuesday, September 16, 2008 Committee (NEAC). Federal Advisory committee is invited to send a written Committee Act (Pub. L. No. 94–463, 86 Æ statement to Dr. John Boger, 19901 Engineering and Technology Panel Stat. 770) requires that public notice of Germantown Rd, Germantown, MD and Roundtable Discussion these meetings be announced in the Æ 20874, or e-mail [email protected]. Communications and External Federal Register. Minutes: The minutes of the meeting Affairs Presentation and Roundtable DATES: Tuesday, September 23, 2008, 9 will be available by contacting Dr. John Discussion Æ a.m.–5:15 p.m. Boger at the address above or on the Waste and Materials Disposition Location: The meeting will be held at Department of Energy, Office of Nuclear Panel and Roundtable Discussion the L’Enfant Plaza Hotel located at 480 Energy Web site at http:// Wednesday, September 17, 2008 L’Enfant Plaza, SW., Washington, DC www.ne.doe.gov/neac/ 20024. neNeacOverview.html. Æ EM Update Presentation and Roundtable Discussion FOR FURTHER INFORMATION CONTACT: Dr. Issued in Washington, DC on August 19, Æ Round Robin: Top Three Site- John Boger, Designated Federal Officer, 2008. Specific Issues and EM SSAB U.S. Department of Energy, 19901 Rachel Samuel, Accomplishments Germantown Rd, Germantown, MD Deputy Committee Management Officer. Æ Strategic Planning and Transition 20874; telephone (301) 903–4495; e-mail [FR Doc. E8–19631 Filed 8–22–08; 8:45 am] Panel and Roundtable Discussion [email protected]. BILLING CODE 6450–01–P Æ EM SSAB Roundtable Discussion SUPPLEMENTARY INFORMATION: • Public Outreach and Recruitment Strategies Background: DEPARTMENT OF ENERGY • Annual Reports and Member The Nuclear Energy Advisory Surveys Committee (NEAC), formerly the Revised Record of Decision for the • Product Development Nuclear Energy Research Advisory Environmental Impact Statement on a Public Participation: The meeting is Committee (NERAC), was established in Proposed Nuclear Weapons open to the public. Written statements 1998 by the U.S. Department of Energy Nonproliferation Policy Concerning may be filed either before or after the (DOE) to provide expert advice on Foreign Research Reactor Spent meeting with the Designated Federal complex scientific, technical, and policy Nuclear Fuel Officer, E. Douglas Frost, at the address issues that arise in the planning, AGENCY: National Nuclear Security or telephone listed above. Individuals managing, and implementation of DOE’s Administration, Department of Energy. who wish to make oral statements civilian nuclear energy research ACTION: Revised Record of Decision. pertaining to agenda items should also programs. The committee is composed

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SUMMARY: The Department of Energy Section VII of the Record of Decision. at locations other than the port of entry (DOE) is further revising 1 the Record of The Record of Decision stated, ‘‘DOE into the United States. Decision (61 FR 25092; May 17, 1996) would take title to the foreign research Nuclear insurance pools covering on the Environmental Impact Statement reactor spent nuclear fuel and target individual reactor operators in countries on a Proposed Nuclear Weapons material that is shipped by sea after it with high-income economies have Nonproliferation Policy Concerning is unloaded from the ship at the port of begun to require additional coverage. Foreign Research Reactor Spent Nuclear entry * * * ’’ In its initial decision, DOE This rise in premiums affects, in Fuel (DOE/EIS–218, February 1996), to announced that eligible spent fuel that particular, some smaller foreign allow the United States to take title to is irradiated and discharged from research reactors in high-income spent nuclear fuel and target material reactors before May 13, 2006, is eligible economy countries that are in many from foreign research reactors located in for acceptance through May 12, 2009. cases operated by educational and countries of any income at locations DOE later extended the program for an research institutions that do not have other than the port of entry into the additional 10 years, until May 12, 2016, the funding to pay for additional United States. for irradiation of eligible fuel, and until coverage, estimated to cost FOR FURTHER INFORMATION CONTACT: For May 12, 2019, for fuel acceptance (69 FR approximately $50,000 per shipping further information on DOE’s Foreign 69901; December 1, 2004). participant. Since some smaller foreign Research Reactor Spent Nuclear Fuel DOE subsequently determined that research reactors would have significant Acceptance Program or this Revised the need may arise during difficulties obtaining additional Record of Decision, contact: Mr. implementation of the policy for the funding, they could decide not to Andrew Bieniawski, Assistant Deputy United States to take title to spent participate at all in future shipments. Administrator for Defense nuclear fuel and target material from One reactor in a high-income economy Nonproliferation, Office of Global foreign research reactors located in country recently refused to participate Threat Reduction (NA–21), U.S. countries with other-than-high-income in a shipment without reimbursement of Department of Energy, 1000 economies at locations other than the additional insurance costs. Independence Avenue, SW., port of entry into the United States. DOE anticipates that liability Washington, DC 20585, Attn: 955 Foreign governments had raised a insurance costs will continue to L’Enfant, 202–586–9215. concern in cases where transportation increase in the coming years for reactors For information on DOE’s National casks from multiple countries were on in countries of all incomes. If research Environmental Policy Act (NEPA) a single vessel regarding who would be reactors in high-income economy process, contact: Ms. Carol M. liable for any potential damage when countries are increasingly unable to Borgstrom, Director, Office of NEPA spent fuel from one country is in the participate in shipments due to lack of Policy and Compliance (GC–20), U.S. territory of another during the shipment. liability insurance, the program’s Department of Energy, 1000 DOE was informed that shipowners nonproliferation goal of repatriating Independence Avenue, SW., willing to transport spent nuclear fuel U.S.-origin highly enriched uranium Washington, DC 20585–0103, (202) 586– from these countries without coverage would be jeopardized. DOE’s experience since 1996 in taking 4600, or leave a message at (800) 472– under the Price-Anderson Act had not title to material from reactors in other- 2756. been identified. After determining that the point at which title to the spent than-high-income economy countries SUPPLEMENTARY INFORMATION: nuclear fuel and target material transfers has confirmed that the point at which Background from the reactor operator to the United title to the spent nuclear fuel and target material transfers from the reactor DOE, with the Department of State as States had no effect on the physical operator to the United States has no a cooperating agency, issued the processes that would take place under effect on the physical processes that Environmental Impact Statement on a the acceptance policy, and thus would take place under the acceptance policy. Proposed Nuclear Weapons not have any effect on the potential There are, for example, no changes in Nonproliferation Policy Concerning impacts to the environment, workers, or the applicable requirements or handling Foreign Research Reactor Spent Nuclear the public, DOE issued its Revision to practices that ensure worker and public Fuel (FRR SNF EIS, DOE/EIS–218) in the Record of Decision (61 FR 38720; safety and environmental protection. February 1996. The Record of Decision July 25, 1996) to allow DOE to take title Thus, the location of title change does was issued on May 13, 1996, and was to spent nuclear fuel and target material from foreign research reactors located in not have any effect on the potential published in the Federal Register on impacts to the environment. May 17, 1996 (61 FR 25092). In the FRR countries with other-than-high-income economies, as defined in the Final EIS, Therefore, in place of the current SNF EIS, DOE and the Department of policy that allows DOE to take title to State considered the potential impacts at locations other than the port of entry into the United States. This revised spent nuclear fuel or target material at of a proposed policy to manage U.S.- policy did not extend to reactors in a location other than the U.S. port of origin spent nuclear fuel and target countries with high-income economies, entry only from foreign research reactors material from foreign research reactors. since reactor operators in these in other-than-high-income-economy After consideration of public comments countries, at that time, were able to countries, DOE is herein revising the submitted on the Draft and Final EIS, provide sufficient liability insurance for Record of Decision to allow the title DOE, in consultation with the transporting their own spent nuclear transfer location for spent nuclear fuel Department of State, decided to fuel to the United States. or target material from reactors located implement the proposed policy as in countries of any income to be identified in the Preferred Alternative Reason for the Revision determined on a case-by-case basis by contained in the Final EIS, subject to Recently, the need has arisen during DOE, and the terms and conditions of additional stipulations specified in implementation of the policy for the the title transfer to be specified in DOE’s United States also to take title to spent individual contracts with the reactor 1 The Record of Decision was previously revised three times: July 25, 1996 (61 FR 38720); July 19, nuclear fuel and target material from operators. As with the policy in the 2000 (65 FR 44767); and December 1, 2004 (69 FR foreign research reactors located in prior Revised Record of Decision (61 FR 69901). countries with high-income economies 38720; July 25, 1996), title could

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transfer as early as the departure of the The approach for transfer of title Description: Natural Gas Pipeline loaded cask from the reactor site or at discussed in Section VII.E. permits DOE Company of America LLC submits the foreign port-of-origin, or as late as to take title to spent fuel at locations Original Sheet 477A et al. to FERC Gas entry into the United States. other than the U.S. port of entry, Tariff, Seventh Revised Volume 1, regardless of the income status of the effective 9/15/08. Decision country repatriating the spent fuel or Filed Date: 08/15/2008. For the reasons set forth above, target material to the United States. This Accession Number: 20080819–0109. Section VII (‘‘Decision’’) of the Record policy revision allows DOE, on a case- Comment Date: 5 p.m. Eastern Time of Decision (61 FR 25092; May 17, 1996) by-case basis, to extend Price-Anderson on Wednesday, August 27, 2008. as previously revised (61 FR 38720; July Act coverage and assume financial Docket Numbers: RP06–231–008. 25, 1996) is further revised by replacing responsibility for shipments from the RP06–365–006. the current Paragraph E with a new point at which DOE takes title. This Applicants: Norstar Operating, LLC v. Paragraph E to read as follows: removes the need for reactors for whom Columbia Gas Transmission E. The United States may take title to the sufficient liability insurance is Corporation. spent nuclear fuel and target material of unaffordable to purchase such insurance Description: Columbia Gas research reactors from countries of any for shipment to the U.S. port of entry. Transmission Corporation submits income at a location other than the port of This provision will provide a Second Substitute Fifth Revised Sheet entry into the United States. On a case-by- case basis, the United States will determine mechanism whereby liability coverage 406 to FERC Gas Tariff, Second Revised whether it is in its best interests, with regard can be provided for segments of the Volume 1, to be effective 6/1/07. to the execution of this policy, to take title transportation process that the reactor Filed Date: 08/18/2008. to certain spent nuclear fuel and target operators are unable themselves to Accession Number: 20080820–0101. material before it reaches the port of entry provide. In implementing this policy, Comment Date: 5 p.m. Eastern Time into the United States. The title transfer the Administrator for the National on Tuesday, September 02, 2008. location will be specified in the contract with Nuclear Security Administration must Docket Numbers: RP08–34–003. the affected reactor operator. In make, on a case-by-case basis, any implementing this policy, the Administrator Applicants: Kinder Morgan Illinois for the National Nuclear Security decision to accept title to foreign Pipeline LLC. Administration must make, on a case-by-case research reactor spent nuclear fuel Description: Kinder Morgan Illinois basis, any decision to accept title to foreign outside the United States. The authority Pipeline, LLC submits First Revised research reactor spent nuclear fuel outside to make this decision cannot be Sheet 213 et al. to FERC Gas Tariff, the United States. The authority to make this delegated. Original Volume 1, to be effective 9/15/ decision cannot be delegated. The revision of the Record of Decision 08. In addition, Section IX (‘‘Basis for the set forth in this Notice complies with Filed Date: 08/15/2008. Decision’’), Paragraph G (‘‘Title Transfer the requirements of the National Accession Number: 20080819–0110. Location’’) of the Record of Decision is Environmental Policy Act (42 U.S.C. Comment Date: 5 p.m. Eastern Time revised to read as follows: 4321 et seq.) and its implementing on Wednesday, August 27, 2008. G. Title Transfer Location—The alternative regulations at 40 CFR Parts 1500–1508 Docket Numbers: RP08–464–000. points at which DOE might take title to the and 10 CFR Part 1021. Because there are Applicants: Stingray Pipeline spent nuclear fuel and target material are no environmental impacts associated Company, L.L.C. discussed in Sections 2.2.1.4 and 2.2.2.4 of with changing the title transfer location, Description: Request for Extension of the Final EIS. The point at which title will no further environmental review is Time of Stingray Pipeline Company, be transferred has no effect on the physical required under the National L.L.C. processes that would take place, and thus will not have any effect on the impacts on Environmental Policy Act or Executive Filed Date: 07/30/2008. the environment, workers, or the public. Order 12114 (January 4, 1979) in order Accession Number: 20080730–5019. However, the point of title transfer does to effectuate the revision. Comment Date: 5 p.m. Eastern Time affect financial responsibility for risks Issued in Washington, DC, on August 13, on Monday, August 25, 2008. associated with the shipments. 2008. Docket Numbers: RP08–466–000. Under United States law, the Price- Thomas P. D’Agostino, Applicants: Mississippi Canyon Gas Anderson Act would provide Under Secretary for Nuclear Security and Pipeline, L.L.C. indemnification coverage for spent Administrator, National Nuclear Security Description: Request of Mississippi nuclear fuel and target material Administration. Canyon Gas Pipeline, L.L.C. for shipments from foreign research [FR Doc. E8–19630 Filed 8–22–08; 8:45 am] Extension of Time to Implement an reactors upon entry of material into the BILLING CODE 6450–01–P Electronic Short-Term Capacity Release United States regardless of when title is Bidding System. transferred to the United States. Filed Date: 07/30/2008. However, Price-Anderson coverage DEPARTMENT OF ENERGY Accession Number: 20080730–5023. outside U.S. territory is provided only if Comment Date: 5 p.m. Eastern Time the material is owned by, and used by, Federal Energy Regulatory on Monday, August 25, 2008. or under contract with the United Commission Docket Numbers: RP08–469–000. States. For countries with other-than- Applicants: Gulf South Pipeline high-income economies, DOE has Combined Notice of Filings Company, LP. provided Price-Anderson Act coverage August 20, 2008. Description: Request for Limited on a case-by-case basis per the Revised Waiver of Order No. 712 Take notice that the Commission has Record of Decision issued in 1996 (61 Implementation Date of Gulf South received the following Natural Gas FR 38720; July 25, 1996). Recently, Pipeline Company, LP. Pipeline Rate and Refund Report filings: reactor operators in countries with high- Filed Date: 07/30/2008. income economies have been unable to Docket Numbers: RP01–503–008. Accession Number: 20080730–5050. afford nuclear liability insurance due to Applicants: Natural Gas Pipeline Comment Date: 5 p.m. Eastern Time increasing costs. Company of America LLC. on Monday, August 25, 2008.

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Docket Numbers: RP08–495–001. Description: Wyoming Interstate Description: North Baja Pipeline, LLC Applicants: Texas Gas Transmission, Company, LTD submits Twenty-First submits Sixth Revised Sheet 4 to FERC LLC. Revised Sheet 48 to its FERC Gas Tariff, Gas Tariff, Original Volume 1, to be Description: Texas Gas Transmission, Second Revised 2. effective 10/1/08. LLC submits Second Revised Volume 1 Filed Date: 08/15/2008. Filed Date: 08/18/2008. et al. effective 9/1/08. Accession Number: 20080818–0225. Accession Number: 20080820–0105. Filed Date: 08/15/2008. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time Accession Number: 20080818–0218. on Wednesday, August 27, 2008. on Tuesday, September 02, 2008. Comment Date: 5 p.m. Eastern Time Docket Numbers: RP08–507–000. Docket Numbers: RP08–513–000. on Wednesday, August 27, 2008. Applicants: Dominion South Pipeline Applicants: Gas Transmission Docket Numbers: RP08–500–000. Company, LP. Northwest Corporation. Applicants: ANR Pipeline Company. Description: Dominion South Pipeline Description: Gas Transmission Description: ANR Pipeline Company Company, LP submits Third Revised Northwest Corp submits Fourteenth submits Fiftieth Revised Sheet 17 from Sheet 50 and 51 to FERC Gas Tariff, Revised Sheet 4 et al. to FERC Gas its FERC Gas Tariff, Second Revised 1 Original Volume 1, to be effective 10/1/ Tariff, Third Revised Volume 1–A, to be and Twenty-Second Sheet 14 from its 08. effective 10/1/08. FERC Gas Tariff 2 effective 10/1/08. Filed Date: 08/15/2008. Filed Date: 08/18/2008. Filed Date: 08/15/2008. Accession Number: 20080819–0108. Accession Number: 20080820–0106. Accession Number: 20080818–0219. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time on Wednesday, August 27, 2008. on Tuesday, September 02, 2008. on Wednesday, August 27, 2008. Docket Numbers: RP08–508–000. Docket Numbers: CP06–5–011. Docket Numbers: RP08–501–000. Applicants: Dominion Transmission, Applicants: Empire Pipeline, Inc. Applicants: ANR Storage Company. Inc. Description: Empire Pipeline, Inc Description: ANR Storage Company Description: Dominion Transmission, submits Substitute Original Sheet No. submits Thirteenth Revised Sheet 5 Inc submits its Thirty-Fifth Revised 130 to FERC Gas Tariff, Original Volume from its FERC Gas Tariff 1 and Fifteenth Sheet 31 et al. to FERC Gas Tariff, Third No. 1, in compliance with the Revised Sheet 1(a) from its FERC Gas Revised Volume 1. Commission’s 12/21/06 order. Tariff 2 effective 10/1/08. Filed Date: 08/15/2008. Filed Date: 08/18/2008. Filed Date: 08/15/2008. Accession Number: 20080819–0107. Accession Number: 20080820–0102. Accession Number: 20080818–0220. Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time on Wednesday, August 27, 2008. on Wednesday, August 27, 2008. on Wednesday, August 27, 2008. Docket Numbers: RP08–509–000. Docket Numbers: CP08–17–002. Docket Numbers: RP08–502–000. Applicants: Dominion Cove Point Applicants: Cimarron River Pipeline, Applicants: Cheyenne Plains Gas LNG, LP. LLC. Pipeline Company LLC. Description: Dominion Cove Point Description: Cimarron River Pipeline, Description: Cheyenne Plains Gas LNG, LP submits the Ninth Revised LLC submits Substitute Original Sheet Pipeline Company submits Original Sheet 5 et al. to FERC Gas Tariff, No. 17 of its proposed FERC Gas Tariff, Volume 1 et al. to its FERC Gas Tariff Original Volume 1. Original Volume No. 1, with an effective et al. effective 10/1/08. Filed Date: 08/15/2008. date of 9/1/08. Filed Date: 08/15/2008. Accession Number: 20080819–0106. Filed Date: 08/14/2008. Accession Number: 20080818–0221. Comment Date: 5 p.m. Eastern Time Accession Number: 20080818–0088. Comment Date: 5 p.m. Eastern Time on Wednesday, August 27, 2008. Comment Date: 5 p.m. Eastern Time on Wednesday, August 27, 2008. Docket Numbers: RP08–510–000. on Wednesday, August 27, 2008. Docket Numbers: RP08–504–000. Applicants: Blue Lake Gas Storage Any person desiring to intervene or to Applicants: El Paso Natural Gas Company. protest in any of the above proceedings Company. Description: Blue Lake Gas Storage must file in accordance with Rules 211 Description: El Paso Natural Gas Company submits Thirteenth Revised and 214 of the Commission’s Rules of Company submits First Revised Third Sheet 5 to FERC Gas Tariff, First Practice and Procedure (18 CFR 385.211 Revised Sheet 29.01 to its FERC Gas Revised Volume 1, to be effective 10/1/ and 385.214) on or before 5 p.m. Eastern Tariff, Second Revised 1–A. 08. time on the specified comment date. It Filed Date: 08/15/2008. Filed Date: 08/18/2008. is not necessary to separately intervene Accession Number: 20080818–0223. Accession Number: 20080820–0103. again in a subdocket related to a Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time compliance filing if you have previously on Wednesday, August 27, 2008. on Tuesday, September 02, 2008. intervened in the same docket. Protests Docket Numbers: RP08–505–000. Docket Numbers: RP08–511–000. will be considered by the Commission Applicants: Mojave Pipeline Applicants: Tuscarora Gas in determining the appropriate action to Company. Transmission Company. be taken, but will not serve to make Description: Mojave Pipeline Description: Tuscarora Gas protestants parties to the proceeding. Company submits Twenty-Second Transmission Company submits Tenth Anyone filing a motion to intervene or Revised Sheet 11 to its FERC Gas Tariff, Revised Sheet 4 et al. to FERC Gas protest must serve a copy of that Second Revised Volume 1. Tariff, Original Volume 1, to be effective document on the Applicant. In reference Filed Date: 08/15/2008. 10/1/08. to filings initiating a new proceeding, Accession Number: 20080818–0224. Filed Date: 08/18/2008. interventions or protests submitted on Comment Date: 5 p.m. Eastern Time Accession Number: 20080820–0104. or before the comment deadline need on Wednesday, August 27, 2008. Comment Date: 5 p.m. Eastern Time not be served on persons other than the Docket Numbers: RP08–506–000. on Tuesday, September 02, 2008. Applicant. Applicants: Wyoming Interstate Docket Numbers: RP08–512–000. The Commission encourages Company, Ltd. Applicants: North Baja Pipeline, LLC. electronic submission of protests and

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interventions in lieu of paper, using the SUMMARY: Notice is hereby given, following information collection(s), as FERC Online links at http:// pursuant to the Government in the required by the Paperwork Reduction www.ferc.gov. To facilitate electronic Sunshine Act (5 U.S.C. 552b(e)(3)), of Act of 1995, 44 U.S.C. 3501–3520. An service, persons with Internet access the regular meeting of the Farm Credit agency may not conduct or sponsor a who will eFile a document and/or be Administration Board (Board). collection of information unless it listed as a contact for an intervenor DATE AND TIME: The regular meeting of displays a currently valid control must create and validate an the Board will be held at the offices of number. No person shall be subject to eRegistration account using the the Farm Credit Administration in any penalty for failing to comply with eRegistration link. Select the eFiling McLean, Virginia, on September 11, a collection of information subject to the link to log on and submit the 2008, from 9 a.m. until such time as the Paperwork Reduction Act (PRA) that intervention or protests. Board concludes its business. does not display a valid control number. Persons unable to file electronically Comments are requested concerning (a) FOR FURTHER INFORMATION CONTACT: should submit an original and 14 copies Whether the proposed collection of Roland E. Smith, Secretary to the Farm of the intervention or protest to the information is necessary for the proper Credit Administration Board, (703) 883– Federal Energy Regulatory Commission, performance of the functions of the 4009, TTY (703) 883–4056. 888 First St. NE., Washington, DC Commission, including whether the 20426. ADDRESSES: Farm Credit information shall have practical utility; The filings in the above proceedings Administration, 1501 Farm Credit Drive, (b) the accuracy of the Commission’s are accessible in the Commission’s McLean, Virginia 22102–5090. burden estimate; (c) ways to enhance eLibrary system by clicking on the SUPPLEMENTARY INFORMATION: Parts of the quality, utility, and clarity of the appropriate link in the above list. They this meeting of the Board will be open information collected; and (d) ways to are also available for review in the to the public (limited space available), minimize the burden of the collection of Commission’s Public Reference Room in and parts will be closed to the public. information on the respondents, Washington, DC. There is an In order to increase the accessibility to including the use of automated eSubscription link on the Web site that Board meetings, persons requiring collection techniques or other forms of enables subscribers to receive e-mail assistance should make arrangements in information technology. notification when a document is added advance. The matters to be considered DATES: Persons wishing to comment on to a subscribed dockets(s). For at the meeting are: this information collection should assistance with any FERC Online submit comments October 24, 2008. If service, please e-mail Open Session you anticipate that you will be [email protected]. or call A. Approval of Minutes: submitting comments, but find it (866) 208–3676 (toll free). For TTY, call August 14, 2008. difficult to do so within the period of (202) 502–8659. B. New Business: • time allowed by this notice, you should Kimberly D. Bose, Bookletter on Director Candidate advise the contact listed below as soon Secretary. Disclosures. as possible. C. Reports: [FR Doc. E8–19644 Filed 8–22–08; 8:45 am] ADDRESSES: Direct all PRA comments to • Mission-Related Investments- Nicholas A. Fraser, Office of BILLING CODE 6717–01–P Annual Report. Management and Budget (OMB), (202) • FCS Building Association Quarterly 395–5887, or via fax at 202–395–5167, Report. or via the Internet at ENVIRONMENTAL PROTECTION Closed Session:* [email protected] and AGENCY • OSMO Supervisory and Oversight to [email protected], Federal Activities. [EPA–HQ–OPP–2008–0522; FRL–8373–3] Communications Commission (FCC). To *Session Closed-Exempt pursuant to 5 submit your comments by e-mail send North American Free Trade Agreement U.S.C. 552b(c)(8) and (9). Technical Working Group on them to: [email protected]. Pesticides; Proposed Five-Year Dated: August 21, 2008. To view a copy of this information Strategy, 2008-2013; Notice of Roland E. Smith, collection request (ICR) submitted to Availability Secretary, Farm Credit Administration Board. OMB: (1) Go to the Web page http:// [FR Doc. E8–19790 Filed 8–21–08; 4:15 pm] www.reginfo.gov/public/do/PRAMain, Correction (2) look for the section of the Web page BILLING CODE 6705–01–P In notice document E8–16381 called ‘‘Currently Under Review’’, (3) beginning on page 42798 in the issue of click the downward-pointing arrow in Wednesday, July 23, 2008, make the the ‘‘Select Agency’’ box below the FEDERAL COMMUNICATIONS ‘‘Currently Under Review’’ heading, (4) following correction: COMMISSION On page 42798, in the third column, select ‘‘Federal Communications under the DATES heading, in the second Notice of Public Information Commission’’ from the list of agencies line ‘‘August 18, 2008’’ should read Collection(s) Being Reviewed by the presented in the ‘‘Select Agency’’ box, ‘‘August 22, 2008’’. Federal Communications Commission (5) click the ‘‘Submit’’ button to the right of the ‘‘Select Agency’’ box and (6) [FR Doc. Z8–16381 Filed 8–22–08; 8:45 am] for Extension Under Delegated Authority, Comments Requested when the list of FCC ICRs currently BILLING CODE 1505–01–D under review appears, look for the title August 15, 2008. of this ICR (or its OMB Control Number, SUMMARY: The Federal Communications if there is one) and then click on the ICR FARM CREDIT ADMINISTRATION Commission, as part of its continuing Reference Number to view detailed information about this ICR. Farm Credit Administration Board; effort to reduce paperwork burden FOR FURTHER INFORMATION CONTACT: Regular Meeting invites the general public and other For Federal agencies to take this additional information, send an e-mail AGENCY: Farm Credit Administration. opportunity to comment on the to Judith B. Herman at 202–418–0214.

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SUPPLEMENTARY INFORMATION: amended letter of agreement that operations, as defined in 47 CFR OMB Control No.: 3060–0695. includes the new licensee’s signature 80.215(h) of the Commission’s rules. Title: Section 87.219, Automatic must be sign or automated Unicom The notification provided with the Operations. operations must cease. station’s license application is sufficient Form No.: N/A. The information will be used by to satisfy this requirement if no new Type of Review: Extension of a compliance personnel for enforcement television stations would be affected. currently approved collection. purposes and by licensees to clarify The information is used by Respondents: Business or other for- responsibility in operating Unicom. Commission staff and affected television profit. OMB Control No.: 3060–0740. stations to be aware of the location of Number of Respondents: 60 Title: Section 95.1015, Disclosure potential harmful interference from respondents; 60 responses. Policies. AMTS operations. If this information Estimated Time Per Response: .7 Form No.: N/A. was not available, the location of hours. Type of Review: Extension of a potential harmful interference from Frequency of Response: On occasion currently approved collection. AMTS operations would be negatively reporting requirement, recordkeeping Respondents: Business or other for- affected. requirement, and third party disclosure profit. requirement. Number of Respondents: 26 Federal Communications Commission. Obligation to Respond: Required to respondents; 26 responses. Marlene H. Dortch, obtain or retain benefits. Estimated Time Per Response: 1 hour. Secretary. Total Annual Burden: 42 hours. Frequency of Response: On occasion [FR Doc. E8–19548 Filed 8–22–08; 8:45 am] Annual Cost Burden: $6,468. reporting requirement, recordkeeping BILLING CODE 6712–01–P Privacy Act Impact Assessment: N/A. requirement, and third party disclosure Nature and Extent of Confidentiality: requirement. There is no need for confidentiality. Obligation to Respond: Required to FEDERAL COMMUNICATIONS Needs and Uses: This collection will obtain or retain benefits. COMMISSION be submitted as an extension (no change Total Annual Burden: 26 hours. in reporting requirements, Annual Cost Burden: $1,300. Notice of Public Information recordkeeping and/or third party Privacy Act Impact Assessment: N/A. Collection(s) Being Reviewed by the disclosure requirements) after this 60 Nature and Extent of Confidentiality: Federal Communications Commission day comment period to Office of There is no need for confidentiality. for Extension Under Delegated Management and Budget (OMB) in order Needs and Uses: This collection will Authority, Comments Requested to obtain the full three year clearance. be submitted as an extension (no change The Commission has adjusted the in reporting requirements, August 12, 2008. number of respondents and responses recordkeeping and/or third party SUMMARY: The Federal Communications due to an increase in the number of disclosure requirements) after this 60 Commission, as part of its continuing respondents for this information day comment period to Office of effort to reduce paperwork burden collection. Therefore, we are reporting a Management and Budget (OMB) in order invites the general public and other +7 hour adjustment in the total annual to obtain the full three year clearance. Federal agencies to take this burden. Manufacturers of Low Power Radio opportunity to comment on the Section 87.219 requires that if airports Service (LPRS) transmitters used for following information collection(s), as have control towers or Federal Aviation auditory assistance, health care required by the Paperwork Reduction Administration (FAA) flight service assistance, and law enforcement Act of 1995, 44 U.S.C. 3501–3520. An stations, and more than one licensee tracking purposes must include with agency may not conduct or sponsor a wants to have an automated each transmitting device the following collection of information unless it aeronautical advisory station (Unicom), statement: ‘‘This transmitter is displays a currently valid control they must write an agreement outlining authorized by rule under the Low Power number. No person shall be subject to who will be responsible for the Radio Service (47 CFR Part 95) and must any penalty for failing to comply with Unicom’s operation, sign the agreement not cause harmful interference to TV a collection of information subject to the and keep a copy of the agreement with reception or United States Navy Paperwork Reduction Act (PRA) that each licensee’s station authorization. SPASUR installations. You do not need does not display a valid control number. Specifically, only one automated an FCC license to operate this Comments are requested concerning (a) Unicom may be operated at an transmitter. This transmitter may only Whether the proposed collection of uncontrolled airport. Prior to the be used to provide: auditory assistance information is necessary for the proper operation of an automated Unicom at an to persons with disabilities, persons performance of the functions of the airport with more than one Unicom who require language translation, or Commission, including whether the licensee, all of the licensees at that persons in educational settings; health information shall have practical utility; airport must sign a letter of agreement care services to the ill; law enforcement (b) the accuracy of the Commission’s stating which licensee(s) control the tracking services under agreement with burden estimate; (c) ways to enhance automated Unicom operations, and, if a law enforcement agency; or automated the quality, utility, and clarity of the control is to be shared among several maritime telecommunications system information collected; and (d) ways to operators, how that control will be (AMTS) network control minimize the burden of the collection of divided or scheduled. The original or a communications. Two-way voice information on the respondents, copy of the letter of agreement must be communications and all other types of including the use of automated kept with each licensee’s station uses not mentioned above are expressly collection techniques or other forms of records. Within 90 days of the date prohibited.’’ information technology. upon which a new Unicom operator is Prior to operating a LPRS transmitter DATES: Persons wishing to comment on licensed at an airport where more than for AMTS purposes, an AMTS licensee this information collection should one Unicom is authorized, and an must notify, in writing, each television submit comments October 24, 2008. If automated Unicom is being operated, an station that may be affected by such you anticipate that you will be

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submitting comments, but find it notice (SORN), FCC/WTB–1, ‘‘Wireless In the Fifth Report and Order in FCC difficult to do so within the period of Services Licensing Records,’’ that covers 99–206, the Commission permitted time allowed by this notice, you should the collection, purpose(s), storage, price cap local exchange carriers (LECs) advise the contact listed below as soon safeguards, and disposal of the PII that to introduce new services on a as possible. individual private land mobile radio streamlined basis, without prior ADDRESSES: Direct all PRA comments to licensees maintain under 47 CFR approval. The Commission adopted Nicholas A. Fraser, Office of 90.129. rules to eliminate the public interest Management and Budget (OMB), (202) Needs and Uses: This collection will showing required by section 69.4(g) and 395–5887, or via fax at 202–395–5167, be submitted as an extension (no change eliminated the new services test (except or via the Internet at in reporting requirements) after this 60 in the case of loop-based new services) [email protected] and day comment period to Office of required under sections 69.49(f) and (g). to [email protected], Federal Management and Budget (OMB) in order These modifications eliminated delays Communications Commission (FCC). To to obtain the full three year clearance. that existed for the introduction of new submit your comments by e-mail send Section 90.129 requires that services as well as encouraging efficient applicants proposing to use transmitting them to: [email protected]. investment and innovation. To view a copy of this information equipment that is not type-certified by The information is used by the collection request (ICR) submitted to FCC laboratory personnel to provide a Commission to determine whether this description of the proposed equipment. OMB: (1) Go to the Web page http:// is in the public interest for the This assures that the equipment is www.reginfo.gov/public/do/PRAMain, incumbent LEC to offer a proposed new capable of performing within certain (2) look for the section of the Web page switched access service. tolerances that limit the interference called ‘‘Currently Under Review’’, (3) Federal Communications Commission. potential of the device. click the downward-pointing arrow in Additionally, this rule section Marlene H. Dortch, the ‘‘Select Agency’’ box below the requires that each application under this Secretary. ‘‘Currently Under Review’’ heading, (4) part that is received by the Commission, [FR Doc. E8–19549 Filed 8–22–08; 8:45 am] select ‘‘Federal Communications through the application process BILLING CODE 6712–01–P Commission’’ from the list of agencies outlined in 47 CFR part 1, subpart F, presented in the ‘‘Select Agency’’ box, must be accompanied by the applicable (5) click the ‘‘Submit’’ button to the supplementary information described in FEDERAL COMMUNICATIONS right of the ‘‘Select Agency’’ box and (6) the paragraphs in 47 CFR 90.129. The COMMISSION when the list of FCC ICRs currently information is used by FCC engineers to Notice of Public Information under review appears, look for the title determine the interference potential of of this ICR (or its OMB Control Number, Collection(s) Being Reviewed by the the proposed equipment. Federal Communications Commission if there is one) and then click on the ICR OMB Control No.: 3060–0770. Reference Number to view detailed Title: Sections 61.49 and 69.4, Price for Extension Under Delegated information about this ICR. Cap Performance Review for Local Authority, Comments Requested FOR FURTHER INFORMATION CONTACT: For Exchange Carriers, FCC 99–206 (New August 13, 2008. additional information, send an e-mail Services). SUMMARY: The Federal Communications to Judith B. Herman at 202–418–0214. Form No.: N/A. Commission, as part of its continuing SUPPLEMENTARY INFORMATION: Type of Review: Extension of a effort to reduce paperwork burden OMB Control No.: 3060–0223. currently approved collection. invites the general public and other Title: Section 90.129, Supplemental Respondents: Business or other for- Federal agencies to take this Information to be Routinely Submitted profit. opportunity to comment on the Number of Respondents: 21 with Applications, Non-type Accepted following information collection(s), as respondents; 21 responses. Equipment. Estimated Time per Response: 10 required by the Paperwork Reduction Form No.: N/A. hours. Act of 1995, 44 U.S.C. 3501–3520. An Type of Review: Extension of a Frequency of Response: On occasion agency may not conduct or sponsor a currently approved collection. reporting requirement. collection of information unless it Respondents: Individuals or Obligation To Respond: Required to displays a currently valid control households, business or other for-profit, obtain or retain benefits. number. No person shall be subject to not-for-profit institutions, and State, Total Annual Burden: 210 hours. any penalty for failing to comply with local or tribal governments. Annual Cost Burden: $16,275. a collection of information subject to the Number of Respondents: 10 Privacy Act Impact Assessment: N/A. Paperwork Reduction Act (PRA) that respondents; 10 responses. Nature and Extent of Confidentiality: does not display a valid control number. Estimated Time per Response: .33 There is no need for confidentiality. The Comments are requested concerning (a) hours. Commission is not requesting that the Whether the proposed collection of Frequency of Response: On occasion respondents submit confidential information is necessary for the proper reporting requirement. information to the FCC. However, performance of the functions of the Obligation To Respond: Required to respondents who wish to request Commission, including whether the obtain or retain benefits. confidential treatment of the information shall have practical utility; Total Annual Burden: 4 hours. information they believe to be (b) the accuracy of the Commission’s Annual Cost Burden: N/A. confidential, may do so under 47 CFR burden estimate; (c) ways to enhance Privacy Act Impact Assessment: Yes. 0.459 of the Commission’s rules. the quality, utility, and clarity of the Nature and Extent of Confidentiality: Needs and Uses: This collection will information collected; and (d) ways to There is no need for confidentiality. be submitted as an extension (no change minimize the burden of the collection of This information collection does in reporting requirements) after this 60 information on the respondents, contain personally identifiable day comment period to Office of including the use of automated information (PII) on individuals. The Management and Budget (OMB) in order collection techniques or other forms of FCC maintains a system of records to obtain the full three year clearance. information technology.

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DATES: Persons wishing to comment on Commission. If applicants want to related to the same transaction; (10) a this information collection should request confidential treatment of the statement of whether the applicants are submit comments October 24, 2008. If documents they submit to Commission, requesting special consideration you anticipate that you will be they may do so under 47 CFR 0.459 of because either party to the transaction is submitting comments, but find it the Commission’s rules. facing imminent business failure; (11) difficult to do so within the period of Needs and Uses: This collection will identification of any separately filed time allowed by this notice, you should be submitted as an extension (no change waiver request being sought in advise the contact listed below as soon in reporting requirements) after this 60 conjunction with the transaction; and day comment period to Office of as possible. (12) a statement showing how grant of Management and Budget (OMB) in order ADDRESSES: Direct all PRA comments to the application will serve the public Nicholas A. Fraser, Office of to obtain the full three year clearance. A Report and Order, FCC 02–78, interest, convenience, and necessity, Management and Budget (OMB), (202) including any additional information 395–5887, or via fax at 202–395–5167, adopted and released in March 2002 (Order), set forth the procedures for that may be necessary to show the effect or via the Internet at of the proposed transaction on [email protected] and common carriers requiring authorization under section 214 of the competition in domestic markets. Where to [email protected], Federal Communications Act of 1934, as an applicant wishes to file a joint Communications Commission (FCC). To amended, to acquire domestic interstate international section 214 transfer of submit your comments by email send transmission lines through a transfer of control application and domestic them to: [email protected]. To view a copy control. Under section 214 of the Act, of this information collection request section 214 transfer of control carriers must obtain FCC approval (ICR) submitted to OMB: (1) Go to the application, the applicant must submit before constructing, acquiring, or Web page http://www.reginfo.gov/ information that satisfies the operating an interstate transmission public/do/PRAMain, (2) look for the requirements of 47 CFR section 63.18. In line. Acquisitions involving interstate section of the Web page called the attachment to the international common carriers require affirmative application, the applicant must submit ‘‘Currently Under Review’’, (3) click the action by the Commission before the downward-pointing arrow in the ‘‘Select information described in 47 CFR section acquisition can occur. 63.04(a)(6)–(a)(12). Agency’’ box below the ‘‘Currently This information collection contains Under Review’’ heading, (4) select filing procedures for domestic transfer When the Commission, acting through ‘‘Federal Communications Commission’’ of control applications under sections the Wireline Competition Bureau, from the list of agencies presented in the 63.03 and 63.04. determines that applicants have ‘‘Select Agency’’ box, (5) click the (a) Section 63.03 and 63.04 requires submitted a complete application ‘‘Submit’’ button to the right of the domestic section 214 applications qualifying for streamlined treatment, it ‘‘Select Agency’’ box and (6) when the involving domestic transfers of control, shall issue a public notice commencing list of FCC ICRs currently under review at a minimum, should specify: (1) The a 30-day review period to consider appears, look for the title of this ICR (or name, address and telephone number of whether the transaction serves the its OMB Control Number, if there is one) each applicant; (2) the government, public interest, convenience and and then click on the ICR Reference state, or territory under the laws of necessity. Parties will have 14 days to Number to view detailed information which each corporate or partnership about this ICR. file any comments on the proposed applicant is organized; (3) the name, transaction, and applicants will be given FOR FURTHER INFORMATION CONTACT: For title, post office address, and telephone 7 days to respond. additional information, send an email to number of the officer or contact point, Judith B. Herman at 202–418–0214. such as legal counsel, to whom (b) Applicants are not required to file SUPPLEMENTARY INFORMATION: correspondence concerning the post-consummation notices of pro forma OMB Control No.: 3060–0989. application is to be addressed; (4) the transactions, except that a post Title: Sections 63.01, 63.03, 63.04, name, address, citizenship and transaction notice must be filed with the Procedures for Applicants Requiring principal business of any person or Commission within 30 days of a pro Section 214 Authorization for Domestic entity that directly or indirectly owns at forma transfer to a bankruptcy trustee or Interstate Transmission Lines Acquired least ten percent of the equity of the a debtor-in-possession. The notification Through Corporate Control. applicant, and the percentage of equity can be in the form of a letter (in Form No.: N/A. owned by each of those entities (to the duplicate to the Secretary, Federal Type of Review: Extension of a nearest one percent); (5) certification Communications Commission). The currently approved collection. pursuant to 47 CFR 1.2001 through letter or other form of notification must Respondents: Business or other for- 1.2003 that no party to the application also contain the information listed in profit. is subject to a denial of Federal benefits sections (a)(1) through (a)(4) of section Number of Respondents: 86 pursuant to section 5301 of the Anti- 63.04. A single letter may be filed for Drug Abuse Act of 1988; (6) a respondents; 86 responses. more than one such transfer of control. description of the transaction; (7) a Estimated Time Per Response: 1.5–12 The information will be used by the description of the geographic areas in hours. Commission to ensure that applicants Frequency of Response: On occasion which the transferor and transferee (and comply with the requirements of 47 reporting requirement. their affiliates) offer domestic Obligation to Respond: Mandatory. telecommunications services, and what U.S.C. 214. Total Annual Burden: 959 hours. services are provided in each area; (8) a Federal Communications Commission. Annual Cost Burden: $76,235. statement as to how the application fits Marlene H. Dortch, Privacy Act Impact Assessment: N/A. into one or more of the presumptive Secretary. Nature and Extent of Confidentiality: streamlined categories in section 63.03 [FR Doc. E8–19645 Filed 8–22–08; 8:45 am] There is no need for confidentiality. The or why it is otherwise appropriate for FCC is not requiring applicants to streamlined treatment; (9) identification BILLING CODE 6712–01–P submit confidential information to the of all other Commission applications

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FEDERAL COMMUNICATIONS and The National Association of State FEDERAL COMMUNICATIONS COMMISSION 9–1–1 Administrators. All other access COMMISSION to these reports must be sought pursuant Notice of Public Information to procedures set forth in 47 CFR 0.461. Notice of Public Information Collection(s) Approved by the Office of Notice of any requests for inspection of Collection(s) Approved by the Office of Management and Budget these reports will be provided to the Management and Budget filers of the reports pursuant to 47 CFR August 18, 2008. 0.461(d)(3). August 19, 2008. SUMMARY: The Federal Communications Needs and Uses: The Commission, in SUMMARY: The Federal Communications Commission has received Office of order to help fulfill its statutory Commission has received Office of Management and Budget (OMB) obligation to make wire and radio Management and Budget (OMB) approval for the following public communications services available to all approval for the following public information collection(s) pursuant to the people in the United States for the information collection(s) pursuant to the Paperwork Reduction Act of 1995 (44 purpose of the national defense and Paperwork Reduction Act of 1995 (44 U.S.C. 3501–3520). An agency may not promoting safety of life and property, U.S.C. 3501–3520). An agency may not conduct or sponsor a collection of released an Order (FCC 07–107) that conduct or sponsor a collection of information unless it displays a adopted a rule requiring analysis of 911 information unless it displays a currently valid OMB control number, and E911 networks and/or systems and currently valid OMB control number, and no person is required to respond to reports to the Commission on the and no person is required to respond to a collection of information unless it redundancy, resiliency and reliability of a collection of information unless it displays a currently valid OMB control those networks and/or systems (47 CFR displays a currently valid OMB control number. Comments concerning the 12.3). It is critical that Americans have number. Comments concerning the accuracy of the burden estimate(s) and access to a resilient and reliable 911 accuracy of the burden estimate(s) and any suggestions for reducing the burden system irrespective of the technology any suggestions for reducing the burden should be directed to the person listed used to provide the service. These should be directed to the person listed in the FOR FURTHER INFORMATION analyses and reports on the redundancy, in the FOR FURTHER INFORMATION CONTACT section below. resiliency, and dependability of 911 and CONTACT section below. FOR FURTHER INFORMATION CONTACT: E911 networks and systems will further FOR FURTHER INFORMATION CONTACT: Leslie Haney, [email protected], this goal. This requirement will serve Leslie Haney, [email protected], (202) 418–1002. the public interest and further the (202) 418–1002. SUPPLEMENTARY INFORMATION: Commission’s statutory mandate to SUPPLEMENTARY INFORMATION: OMB Control Number: 3060–1119. promote the safety of life and property OMB Control Number: 3060–0805. OMB Approval Date: August 12, 2008. through the use of wire and radio OMB Approval Date: July 2, 2008. Expiration Date: August 31, 2011. communication. See 47 U.S.C. 151. Expiration Date: July 31, 2011. Title: Information Collection This rule obligates local exchange Title: 700 MHz Eligibility, Regional regarding Redundancy, Resiliency and carriers (LECs), commercial mobile Planning Requirements, Interference Reliability of 911 and E911 Networks radio service (CMRS) providers that are Protection Criteria and 4.9 GHz and/or Systems as set forth in the required to comply with the wireless Guidelines (47 CFR 90.523, 90.527, Commission’s Rules (47 CFR 12.3). 911 rules set forth in Section 20.18 of 90.545, and 90.1211). Form No.: Not applicable. the Commission’s rules, and Form No.: Not applicable. Estimated Annual Burden: 74 interconnected Voice over Internet Estimated Annual Burden: 21,116 responses; 120 hours for local exchange Protocol (VoIP) service providers to responses; 2.89236 hours per response; carriers, 72 hours for commercial mobile analyze their 911 and E911 networks 61,075 hours total per year. radio service providers, and 40 hours for and/or systems and file a detailed report Obligation to Respond: Mandatory (47 interconnected Voice over Internet to the Commission on the redundancy, CFR 90.523); required to obtain or retain Protocol service providers per response; resiliency and reliability of those benefits (47 CFR 90.523, 90,527, and 7,792 hours total per year. networks and/or systems. LECs that 90.545); and voluntary. Obligation to Respond: Mandatory. meet the definition of a Class B Nature and Extent of Confidentiality: Nature and Extent of Confidentiality: company set forth in Section 32.11(b)(2) There is no need for confidentiality. These reports will contain sensitive data of the Commission’s rules, non- Needs and Uses: Section 90.523 and, for reasons of national security and nationwide commercial mobile radio requires that nongovernmental the prevention of competitive injury to service providers with no more than organizations that provide services reporting entities, Section 12.3 of the 500,000 subscribers at the end of 2001, which protect the safety of life or Commission’s rules specifically states and interconnected VoIP service property obtain a written statement from that all reports will be afforded providers with annual revenues below an authorizing state or local government confidential treatment. Data in these the revenue threshold established entity to support the nongovernmental reports will be considered confidential pursuant to Section 32.11 of the organization’s application for information that is exempt from routine Commission’s rules are exempt from assignment of 700 MHz frequencies. public disclosure under the Freedom of this rule. The reports are due 120 days Section 90.527 requires 700 MHz Information Act (FOIA) Exemption 4. from the date that the Commission or its regional planning committees to submit See 47 CFR 0.457 and 5 U.S.C. 552(b)(4); staff announces activation of the 911/ a plan for use of the 700 MHz general see also Homeland Security Presidential E911 network and system reporting use spectrum in the consolidated Directive 7, Part 10. These reports will process. narrowband segment 763–775 MHz and be shared pursuant to a protective order 793–805 MHz. It advocates a fair and with only the following three entities, if Federal Communications Commission. open process in developing allocation the entities file a request for the Marlene H. Dortch, assignments by requiring input from information: The National Emergency Secretary. eligible entities in the allocation Number Association, The Association of [FR Doc. E8–19648 Filed 8–22–08; 8:45 am] decisions and the application technical Public Safety Communications Officials, BILLING CODE 6712–01–P review/approval process. Entities that

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seek inclusion in the plan to obtain FEDERAL COMMUNICATIONS list of agencies presented in the ‘‘Select future licenses are considered third COMMISSION Agency’’ box, (5) click the ‘‘Submit’’ party respondents. Section 90.545 TV/ button to the right of the ‘‘Select DTV interference protection criteria, Notice of Public Information Agency’’ box, and (6) when the list of provides that public safety base, control Collection(s) Being Submitted for FCC ICRs currently under review and mobile transmitters in the 763–775 Review to the Office of Management appears, look for the title of this ICR (or MHz and 793–805 MHz band applicants and Budget its OMB Control Number, if there is one) select one of three ways to meet the TV/ August 14, 2008. and then click on the ICR Reference Number to view detailed information DTV interference protection SUMMARY: The Federal Communications requirements: (1) By utilizing Commission, as part of its continuing about this ICR. geographic separation in the rule; (2) effort to reduce paperwork burden FOR FURTHER INFORMATION CONTACT: For submitting an engineering study to invites the general public and other additional information, contact Judith B. justify other separations, or (3) obtain Federal agencies to take this Herman at 202–418–0214 or via the concurrence from applicable TV/DTV opportunity to comment on the Internet at [email protected]. station(s). Section 90.1211 authorizes following information collection(s), as SUPPLEMENTARY INFORMATION: the fifty-five 700 MHz regional planning required by the Paperwork Reduction OMB Control Number: 3060–0742. committees to develop and submit on a Act (PRA) of 1995, 44 U.S.C. 3501–3520. Title: Sections 52.21 through 52.33, voluntary basis a plan on guidelines for An agency may not conduct or sponsor Telephone Number Portability (47 CFR coordination procedures to facilitate the a collection of information unless it Part 52, Subpart C), CC Docket No. 95– shared use of 4940–4990 MHz (4.9 GHz) displays a currently valid control 116. number. No person shall be subject to Form No.: N/A. band. Applicants are granted a any penalty for failing to comply with Type of Review: Extension of a geographic area license for the entire a collection of information subject to the currently approved collection. fifty MHz of 4.9 GHz spectrum over a Paperwork Reduction Act (PRA) that Respondents: Business or other for- geographical area defined by the does not display a valid control number. profit. boundaries of their jurisdiction—city, Comments are requested concerning (a) Number of Respondents: 1,990 county or state. Accordingly, licensees whether the proposed collection of respondents; 1,990 responses. are required to coordinate their information is necessary for the proper Estimated Time Per Response: 2 operations in the shared band to avoid performance of the functions of the hours–50 hours. interference, a common practice when Commission, including whether the Frequency of Response: On occasion joint operations are conducted. information shall have practical utility; and one-time reporting requirements, Commission staff will use the (b) the accuracy of the Commission’s recordkeeping requirement, and third information to assign licenses, burden estimate; (c) ways to enhance party disclosure requirement. determine regional spectrum the quality, utility, and clarity of the Obligation to Respond: Required to requirements and to develop technical information collected; and (d) ways to obtain or retain benefits. minimize the burden of the collection of standards. The information will also be Total Annual Burden: 5,850 hours. information on the respondents, used to determine whether prospective Total Annual Cost: $91,000. including the use of automated Privacy Act Impact Assessment: N/A. licensees operate in compliance with collection techniques or other forms of Nature and Extent of Confidentiality: the Commission’s rules. Without such information technology. There is no need for confidentiality. The information, the Commission could not DATES: Written Paperwork Reduction Commission is not requesting accommodate regional requirements or Act (PRA) comments should be respondents to submit confidential provide for the efficient use of the submitted on or before October 24, information to the Commission. If the available frequencies. Information 2008. If you anticipate that you will be Commission requests respondents to provided to, or exchanged among, third submitting PRA comments, but find it submit information which the parties will be used to establish difficult to do so within the period of respondent believes is confidential, they eligibility and to prevent harmful time allowed by this notice, you should may request confidential treatment of interference. This information collection advise the FCC contact listed below as such information pursuant to Section request includes rules to govern the soon as possible. 0.459 of the Commission’s rules (see 47 operation and licensing of the 700 MHz ADDRESSES: Direct all PRA comments to CFR 0.459). and 4.9 GHz bands to ensure that Nicholas A. Fraser, Office of Needs and Uses: The Commission licensees continue to fulfill their Management and Budget, (202) 395– will submit this information collection statutory responsibilities in accordance 5887, or via fax at 202–395–5167 or via to the Office of Management and Budget with the Communications Act of 1934, internet at (OMB) as an extension after this 60 day as amended. Such information will [email protected] and comment period to obtain the full three continue to be used to minimize to [email protected], Federal year clearance from them. There is no interference, verify that applicants are Communications Commission, or an e- change to the reporting, recordkeeping legally and technically qualified to hold mail to [email protected]. To view a copy of and/or third party disclosure licenses, and to determine compliance this information collection request (ICR) requirements. However, the with Commission rules. submitted to OMB: (1) Go to the Web Commission is reporting an adjusted page http://www.reginfo.gov/public/do/ increase in the number of respondents Federal Communications Commission. PRAMain, (2) look for the section of the filing information with the Commission, Marlene H. Dortch, Web page called ‘‘Currently Under and the tariff and cost support estimate Secretary. Review’’, (3) click on the downward- has been reduced from 149 hours per [FR Doc. E8–19655 Filed 8–22–08; 8:45 am] pointing arrow in the ‘‘Select Agency’’ response to 50 hours per response. BILLING CODE 6712–01–P box below the ‘‘Currently Under Thereby, reducing the total annual Review’’ heading, (4) select ‘‘Federal burden by 8,483 hours. There are four Communications Commission’’ from the information collection requirements in

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this information collection subject to FEDERAL COMMUNICATIONS information collection request (ICR) OMB review and approval under the COMMISSION submitted to OMB: (1) go to the Web Paperwork Reduction Act. They are: (1) page http://www.reginfo.gov/public/do/ Requests for long-term number Public Information Collection PRAMain, (2) look for the section of the portability; (2) petitions to extend Requirement Submitted to OMB for Web page called ‘‘Currently Under implementation deadlines; (3) tariffs Review and Approval, Comments Review,’’ (3) click on the downward- and cost support; and (4) recordkeeping Requested pointing arrow in the ‘‘Select Agency’’ requirement. The reporting box below the ‘‘Currently Under August 19, 2008. requirements and recordkeeping Review’’ heading, (4) select ‘‘Federal SUMMARY: requirement are as follows: The Federal Communications Communications Commission’’ from the Commission, as part of its continuing (a) Requests for long-term number list of agencies presented in the ‘‘Select effort to reduce paperwork burdens, portability—Long-term number Agency’’ box, (5) click the ‘‘Submit’’ invites the general public and other portability (LNP) must be provide by button to the right of the ‘‘Select Federal agencies to take this Local Exchange Carriers (LECs) and Agency’’ box, (6) when the list of FCC opportunity to comment on the Commercial Mobile Radio Service ICRs currently under review appears, following information collections, as (CMRS) providers in switches for which look for the OMB control number of this required by the Paperwork Reduction another carrier has made a specific ICR and then click on the ICR Reference Act of 1995 (PRA), Public Law 104–13. request for number portability, Number. A copy of the FCC submission An agency may not conduct or sponsor according to the Commission’s to OMB will be displayed. a collection of information unless it deployment schedule. Wireline carriers displays a currently valid control SUPPLEMENTARY INFORMATION: began providing LNP in 1998. CMRS number. No person shall be subject to OMB Control Number: 3060–0854. providers began offering LNP in 2003. any penalty for failing to comply with Title: Truth-in-Billing Format, CC (b) Petitions to extend a collection of information subject to the Docket No. 98–170 and CG Docket No. implementation deadline—Carriers that PRA that does not display a valid 04–208. are unable to meet the deadlines for control number. Comments are Form Number: Not applicable. implementing a long-term number requested concerning (a) Whether the Type of Review: Extension of a portability solution are required to file proposed collection of information is currently approved collection. with the Commission at least 60 days in necessary for the proper performance of Respondents: Business or other for- advance of the deadline a petition to the functions of the Commission, profit entities. extend the time by which including whether the information shall Number of Respondents and implementation in its network will be have practical utility; (b) the accuracy of Responses: 5,588 respondents; 41,858 completed. the Commission’s burden estimate; (c) responses. (c) Tariffs and cost support— ways to enhance the quality, utility, and Estimated Time per Response: 2 to Incumbent LECs may recover their clarity of the information collected; and 243 hours. carrier-specific costs directly related to (d) ways to minimize the burden of the Frequency of Response: On occasion providing long-term number portability collection of information on the reporting requirement; Third party by establishing in tariffs filed with the respondents, including the use of disclosure requirement. Commission certain number portability automated collection techniques or Total Annual Burden: 3,872,876 charges. Incumbent LECs are required to other forms of information technology. hours. Total Annual Cost: $15,418,200. include many details in their cost DATES: Written PRA comments should Obligation to Respond: Required to support that are unique to the number be submitted on or before September 24, obtain or retain benefits. The statutory portability proceeding pursuant to the 2008. If you anticipate that you will be authority for this information collection Cost Classification Order. For instance, submitting comments, but find it is found at section 201(b) of the incumbent LECs must demonstrate that difficult to do so within the period of Communications Act of 1934, as any incremental overhead costs claimed time allowed by this notice, you should amended, 47 U.S.C. 201(b), and section in their cost support are actually new advise the contacts listed below as soon 258, 47 U.S.C. 258, Public Law No. 104– costs incremental to and resulting from as possible. the provision of long-term number 104, 110 Stat. 56. The Commission’s ADDRESSES: portability. Direct all PRA comments to implementing rules are codified at 47 Nicholas A. Fraser, Office of (d) Recordkeeping requirement— CFR 64.2400–01. Management and Budget, via Internet at Incumbent LECs are required to Nature and Extent of Confidentiality: [email protected] or via maintain records that detail both the An assurance of confidentiality is not fax at (202) 395–5167; and to Cathy nature and specific amount of these offered because this information Williams, Federal Communications carrier-specific costs that are directly collection does not require the Commission, Room 1–C823, 445 12th related to number portability, and those collection of personally identifiable Street, SW., Washington, DC 20554, or carrier-specific costs that are not information from individuals. via Internet at [email protected] directly related to number portability. Privacy Impact Assessment: No and/or [email protected]. Include in the The information collected and used impact(s). comments the OMB control number of Needs and Uses: On March 18, 2005, by the Commission to determine the collection as shown in the compliance with Section 251 of the the Commission released Truth-in- SUPPLEMENTARY INFORMATION section Billing and Billing Format; National Communications Act, as amended, and below. the Commission’s LNP orders and rules. Association of State Utility Consumer FOR FURTHER INFORMATION CONTACT: For Advocates’ Petition for Declaratory Federal Communications Commission. additional information or copies of the Ruling Regarding Truth-in-Billing, Marlene H. Dortch, information collection(s), contact Cathy Second Report and Order, Declaratory Secretary. Williams at (202) 418–2918, or via Ruling, and Second Further Notice of [FR Doc. E8–19660 Filed 8–22–08; 8:45 am] Internet at [email protected], and/ Proposed Rulemaking, CC Docket No. BILLING CODE 6712–01–P or [email protected]. To view a copy of this 98–170, CG Docket No. 04–208, 20 FCC

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Rcd 6448 (2005) (2005 Second Report MEDIA COMPANY, LLC, Station KGNT, From PONCA CITY, OK, To CHENEY, and Order and Second Further Notice); Facility ID 38274, BPH–20070119AFJ, KS; THE ST. LAWRENCE UNIVERSITY, published at 70 FR 29979 and 70 FR From FORT BRIDGER, WY, To Station WXLQ, Facility ID 176918, 30044, May 25, 2005, which SMITHFIELD, UT; FRANKLIN BMPED–20080813ABE, From determined, inter alia, that Commercial COMMUNICATIONS, INC., Station VERGENNES, VT, To BRISTOL, VT; Mobile Radio Service providers no WODB, Facility ID 54556, BPH– TICHENOR LICENSE CORPORATION, longer should be exempted from 47 CFR 20080724AAL, From DELAWARE, OH, Station KPTI, Facility ID 479, BPH– 64.2401(b), which requires billing To WESTERVILLE, OH; HORIZON 20080711AEC, From CRYSTAL BEACH, descriptions to be brief, clear, non- CHRISTIAN FELLOWSHIP, Station TX, To WINNIE, TX; WAMC, Station misleading and in plain language. The KHRW, Facility ID 166062, BMPH– WRUN, Facility ID 73969, BP– 2005 Second Further Notice proposed 20080718AHI, From WRIGHT, WY, To 20060202AAI, From UTICA, NY, To and sought comment on measures to RANCHESTER, WY; JODESHA NEW HARTFORD, NY; WHITE PARK enhance the ability of consumers to BROADCASTING, INC., Station KANY, BROADCASTING, INC., Station KHNA, make informed choices among Facility ID 164149, BPH–20080710AJA, Facility ID 166001, BMPH– competitive telecommunications service From OCEAN SHORES, WA, To 20070117AFI, From HANNA, WY, To providers. MONTESANO, WA; JODESHA WARREN AIR FORCE BASE, WY; Federal Communications Commission. BROADCASTING, INC., Station KSWW, XANA DUKE RADIO PARTNERS, LLC, Marlene H. Dortch, Facility ID 60544, BPH–20080710AJE, Station KZID, Facility ID 88203, BMPH– 20080116AAX, From OROFINO, ID, To Secretary. From MONTESANO, WA, To OCEAN CULDESAC, ID. [FR Doc. E8–19661 Filed 8–22–08; 8:45 am] SHORES, WA; M. KENT FRANDSON, DATES: Comments may be filed through BILLING CODE 6712–01–P Station KNYN, Facility ID 87470, BPH– 20070119AEV, From FRANKLIN , ID, October 24, 2008. To FORT BRIDGER, WY; MAGNUS, ADDRESSES: Federal Communications FEDERAL COMMUNICATIONS EDWARD F, Station NEW, Facility ID Commission, 445 Twelfth Street, SW., COMMISSION 165991, BMPH–20080519ABU, From Washington, DC 20554. WISHEK, ND, To LINTON, ND; MARIA FOR FURTHER INFORMATION CONTACT: Radio Broadcasting Services; AM or E. JUAREZ, Station KDIL, Facility ID Tung Bui, 202–418–2700. FM Proposals To Change The 161412, BMP–20080708AFX, From SUPPLEMENTARY INFORMATION: The full Community of License DILLON, MT, To TWIN FALLS, ID; text of these applications is available for AGENCY: Federal Communications MATINEE RADIO, LLC, Station KANM, inspection and copying during normal Commission. Facility ID 164213, BMPH– business hours in the Commission’s 20071106ABR, From MAGDALENA, Reference Center, 445 12th Street, SW., ACTION: Notice. NM, To SKYLINE–GANIPA, NM; NEW Washington, DC 20554 or electronically SUMMARY: The following applicants filed INSPIRATION BROADCASTING via the Media Bureau’s Consolidated AM or FM proposals to change the COMPANY, Station KFSH–FM, Facility Data Base System, http:// community of license: AMERICAN ID 2195, BPH–20080626ABS, From svartifoss2.fcc.gov/prod/cdbs/pubacc/ EDUCATIONAL BROADCASTING, ANAHEIM, CA, To LA MIRADA, CA; prod/cdbs_pa.htm . A copy of this INC., Station KLKA, Facility ID 82692, RADIO ONE LICENSES, LLC, Station application may also be purchased from BPED–20080627ABN, From GLOBE, WWIN–FM, Facility ID 54710, BPH– the Commission’s duplicating AZ, To CASA GRANDE, AZ; 20080701ACS, From GLEN BURNIE, contractor, Best Copy and Printing, Inc., CHRISTIAN BROADCASTING MD, To ARBUTUS, MD; 445 12th Street, SW., Room CY–B402, SYSTEM, LTD., Station WLCM, Facility RADIOACTIVE, LLC, Station WUPZ, Washington, DC, 20554, telephone 1– ID 42076, BMP–20080620AEG, From Facility ID 164243, BPH–20080619AIU, 800–378–3160 or http:// CHARLOTTE, MI, To HOLT, MI; From CRYSTAL FALLS, MI, To www.BCPIWEB.com. CITICASTERS LICENSES, L.P., Station CHOCOLAY TOWNSHIP, MI; Federal Communications Commission. WCKY–FM, Facility ID 70526, BPH– RADIOACTIVE, LLC, Station WTRW, James D. Bradshaw, 20080619AHQ, From TIFFIN, OH, To Facility ID 164253, BPH–20080716AGZ, Deputy Chief, Audio Division, Media Bureau. PEMBERVILLE, OH; COMMUNITY From TWO RIVERS, WI, To PUBLIC RADIO, INC., Station WIVL, GLENMORE, WI; RADIOJONES, LLC, [FR Doc. E8–19646 Filed 8–22–08; 8:45 am] Facility ID 122086, BMPED– Station WXRS–FM, Facility ID 36212, BILLING CODE 6712–01–P 20080703AGV, From PATTERSON, GA, BPH–20080724AAT, From To ATHENS, GA; EDUCATIONAL SWAINSBORO, GA, To PORTAL, GA; MEDIA FOUNDATION, Station KQBE, ROGER L. HOPPE, II, Station KLIM, FEDERAL RESERVE SYSTEM Facility ID 52035, BPH–20080617ADE, Facility ID 25185, BMP–20080613ACF, Formations of, Acquisitions by, and From ELLENSBURG, WA, To SELAH, From LIMON, CO, To BLACK FOREST, Mergers of Bank Holding Companies WA; EDUCATIONAL MEDIA CO; SAGA COMMUNICATIONS OF FOUNDATION, Station KAIC, Facility ILLINOIS, LLC, Station WXTT, Facility The companies listed in this notice ID 78758, BPED–20080627ABL, From ID 28195, BPH–20080811AAS, From have applied to the Board for approval, TUCSON, AZ, To MAMMOTH, AZ; DANVILLE, IL, To SAVOY, IL; pursuant to the Bank Holding Company ELECTRONIC APPLICATIONS RADIO SKYWEST MEDIA L.L.C., Station Act of 1956 (12 U.S.C. 1841 et seq.) SERVICE, INC., Station WBOO, Facility KXML, Facility ID 164259, BMPH– (BHC Act), Regulation Y (12 CFR Part ID 174726, BMPED–20080702AAK, 20080411AHN, From SALMON, ID, To 225), and all other applicable statutes From MORGANFIELD, KY, To FAIRFIELD, ID; SUN VALLEY RADIO, and regulations to become a bank WADESVILLE, IN; FINCH JR, DANIEL INC, Station KKEX, Facility ID 63834, holding company and/or to acquire the W, Station WSGD, Facility ID 165958, BPH–20070119AFG, From assets or the ownership of, control of, or BMPH–20080616ADB, From SMITHFIELD, UT, To PRESTON, ID; the power to vote shares of a bank or ARNOLDSBURG, WV, To TEAM RADIO LLC, Station KLOR–FM, bank holding company and all of the FAYETTEVILLE, WV; FRANDSEN Facility ID 52678, BPH–20080708AOL, banks and nonbanking companies

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owned by the bank holding company, related to banking and permissible for Counsel, Federal Retirement Thrift including the companies listed below. bank holding companies. Unless Investment Board, 1250 H Street, NW., The applications listed below, as well otherwise noted, these activities will be Washington, DC 20005. The Agency’s as other related filings required by the conducted throughout the United States. fax number is (202) 942–1676. Board, are available for immediate Each notice is available for inspection FOR FURTHER INFORMATION CONTACT: inspection at the Federal Reserve Bank at the Federal Reserve Bank indicated. Megan Graziano at (202) 942–1660. indicated. The applications also will be The notice also will be available for SUPPLEMENTARY INFORMATION: FRTIB–2, available for inspection at the offices of inspection at the offices of the Board of Personnel Security Files, updates the Board of Governors. Interested Governors. Interested persons may Agency systems of records so that they persons may express their views in express their views in writing on the are compliant with both HSPD–12 and writing on the standards enumerated in question whether the proposal complies the Privacy Act and conform to the the BHC Act (12 U.S.C. 1842(c)). If the with the standards of section 4 of the Privacy Act notices on the standard proposal also involves the acquisition of BHC Act. Additional information on all forms which are used to initiate the a nonbanking company, the review also bank holding companies may be HSPD–12 process. FRTIB–10, Identity includes whether the acquisition of the obtained from the National Information Management Systems, covers the nonbanking company complies with the Center website at www.ffiec.gov/nic/. HSPD–12 process after adjudication standards in section 4 of the BHC Act Unless otherwise noted, comments determines the individual can receive (12 U.S.C. 1843). Unless otherwise regarding the applications must be an identification card. FRTIB–10 noted, nonbanking activities will be received at the Reserve Bank indicated includes both mandatory and optional conducted throughout the United States. or the offices of the Board of Governors information necessary to the request for Additional information on all bank not later than September 19, 2008. a card, registration, verification, and holding companies may be obtained A. Federal Reserve Bank of issuance procedures, the index/database from the National Information Center Philadelphia (Michael E. Collins, Senior of active and invalid cards, and the website at www.ffiec.gov/nic/. Vice President) 100 North 6th Street, information stored on the cards. FRTIB– Unless otherwise noted, comments Philadelphia, Pennsylvania 19105– regarding each of these applications 10 may include records maintained by 1521: agencies of individuals who entered and must be received at the Reserve Bank 1. Harleysville National Corporation indicated or the offices of the Board of exited facilities or accessed systems. and Harleysville National Bank and The proposed system reports, as Governors not later than September 19, Trust Company, both of Harleysville, required by 5 U.S.C. 552a(r), of the 2008. Pennsylvania; to acquire Willow Privacy Act of 1974, as amended, were A. Federal Reserve Bank of Boston Financial Bancorp, Inc., Wayne, (Richard Walker, Community Affairs submitted to the House Committee on Pennsylvania, and thereby acquire Government Reform, the Senate Officer) P.O. Box 55882, Boston, Willow Financial Bank, Wayne, Massachusetts 02106–2204: Committee on Homeland Security and Pennsylvania, and thereby engage in Government Affairs, and the Office of 1. WebFive, MHC and WebFive operating a savings and loan association Financial Services, Inc., both of Management and Budget (OMB) pursuant to section 225.28(b)(4)(ii) of pursuant to paragraph 4c of Appendix I Webster, Massachusetts; to become bank Regulation Y. holding companies, by acquiring to OMB Circular No. A–130, ‘‘Federal Webster Five Cents Savings Bank, Board of Governors of the Federal Reserve Agency Responsibilities for Maintaining System, August 20, 2008. Webster, Massachusetts. Records About Individuals,’’ dated Robert deV. Frierson, February 8, 1996 (February 20, 1996, 61 Board of Governors of the Federal Reserve Deputy Secretary of the Board. FR 6427). System, August 20, 2008. [FR Doc. E8–19628 Filed 8–22–08; 8:45 am] Robert deV. Frierson, Thomas K. Emswiler, BILLING CODE 6210–01–S Deputy Secretary of the Board. General Counsel, Federal Retirement Thrift [FR Doc. E8–19629 Filed 8–22–08; 8:45 am] Investment Board. BILLING CODE 6210–01–S FEDERAL RETIREMENT THRIFT FRTIB–2 INVESTMENT BOARD SYSTEM NAME: FEDERAL RESERVE SYSTEM Privacy Act of 1974 Personnel Security Files. Notice of Proposals to Engage in AGENCY: Federal Retirement Thrift SYSTEM LOCATION: Permissible Nonbanking Activities or Investment Board. Federal Retirement Thrift Investment to Acquire Companies that are ACTION: Notice; initial publication of Board, 1250 H Street, NW., Washington, Engaged in Permissible Nonbanking systems of records. DC 20005. Activities SECURITY CLASSIFICATION: The companies listed in this notice SUMMARY: This notice is being published pursuant to the Privacy Act of 1974 (5 Most personnel identity verification have given notice under section 4 of the records are not classified. However, in Bank Holding Company Act (12 U.S.C. U.S.C. 552a), as amended, in order to update and create systems of records some cases, records of certain 1843) (BHC Act) and Regulation Y (12 individuals, or portions of some records, CFR Part 225) to engage de novo, or to established by a Federal agency containing information on individuals. may be classified in the interest of acquire or control voting securities or national security. assets of a company, including the EFFECTIVE DATE: This proposed action companies listed below, that engages will be effective without further notice CATEGORIES OF INDIVIDUALS COVERED BY THE either directly or through a subsidiary or on September 24, 2008 unless SYSTEM: other company, in a nonbanking activity comments are received which result in Individuals who require regular, that is listed in § 225.28 of Regulation Y a contrary determination. ongoing access to federal facilities, (12 CFR 225.28) or that the Board has ADDRESSES: Comments may be sent to information technology systems, or determined by Order to be closely Megan Graziano, Assistant General information classified in the interest of

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national security, including applicants security violations and supervisory To the National Archives and Records for employment or contracts, federal actions taken. Administration or to the General employees, contractors, students, Services Administration for records interns, volunteers, affiliates, ROUTINE USES OF RECORDS MAINTAINED IN THE management inspections conducted individuals authorized to perform or use SYSTEM, INCLUDING CATEGORIES OF USERS AND under 44 U.S.C. 2904 and 2906. THE PURPOSES OF SUCH USES: services provided in Agency, and To FRTIB contractors, grantees, or individuals formerly in any of these To the Department of Justice when: (a) volunteers who have been engaged to positions. The system also includes The FRTIB; (b) any employee of the assist the agency in the performance of individuals accused of security FRTIB in his or her official capacity; (c) a contract service, grant, cooperative violations or found in violation of any employee of the FRTIB in his or her agreement, or other activity related to security policies. individual capacity where the FRTIB or this system of records and who need to the Department of Justice has agreed to have access to the records in order to CATEGORIES OF RECORDS IN THE SYSTEM: represent the employee; or (d) the perform their activity. Recipients shall Name, former names, birth date, birth United States Government, is a party to be required to comply with the place, Social Security number, home litigation or has an interest in such requirements of the Privacy Act of 1974, address, phone numbers, employment litigation, and by careful review, the as amended, 5 U.S.C. 552a. history, residential history, education FRTIB determines that the records are To any source or potential source and degrees earned, names of associates both relevant and necessary to the from which information is requested in and references and their contact litigation and the use of such records by the course of an investigation information, citizenship, names of DOJ is therefore deemed by the FRTIB concerning the retention of an employee relatives, birth dates and places of to be for a purpose compatible with the or other personnel action (other than relatives, citizenship of relatives, names purpose for which the FRTIB collected hiring), or the retention of a security of relatives who work for the federal the records. clearance, contract, grant, license, or government, criminal history, mental To a court or adjudicative body in a other benefit, to the extent necessary to health history, drug use, financial proceeding when: (a) The FRTIB; (b) any identify the individual, inform the information, fingerprints, summary employee of the FRTIB in his or her source of the nature and purpose of the report of investigation, results of official capacity; (c) any employee of the investigation, and to identify the type of information requested. suitability decisions, level of security FRTIB in his or her individual capacity To a Federal, State, local, foreign, or clearance, date of issuance of security where the FRTIB or the Department of tribal or other public authority the fact Justice has agreed to represent the clearance, requests for appeal, witness that this system of records contains employee; or (d) the United States statements, investigator’s notes, tax information relevant to the retention of Government, is a party to litigation or return information, credit reports, an employee, the retention of a security has an interest in such litigation, and by security violations, circumstances of clearance, the letting of a contract, or careful review, the FRTIB determines violation, and agency action taken. the issuance or retention of a license, that the records are both relevant and Forms: SF–85, SF–85P, SF–86, SF–87, grant, or other benefit. The other agency necessary to the litigation and the use of FRTIB–2008. or licensing organization may then make such records is therefore deemed by the a request supported by the written AUTHORITY FOR MAINTENANCE OF THE SYSTEM: FRTIB to be for a purpose that is consent of the individual for the entire Depending upon the purpose of your compatible with the purpose for which record if it so chooses. No disclosure investigation, the Federal Retirement the FRTIB collected the records. will be made unless the information has Thrift Investment Board is authorized to Except as noted on Forms SF–85, SF– been determined to be sufficiently ask for this information under Executive 85P, SF–86, or FRTIB–2008, when a reliable to support a referral to another Orders 10450, 10865, 12333, and 12356; record on its face, or in conjunction office within the agency or to another sections 3301 and 9101 of title 5, U.S. with other records, indicates a violation Federal agency for criminal, civil, Code; sections 2165 and 2201 of title 42, or potential violation of law, whether administrative personnel or regulatory U.S. Code; sections 781 to 887 of title civil, criminal, or regulatory in nature, action. 50, U.S. Code; parts 5, 732, and 736 of and whether arising by general statute To the news media or the general title 5, Code of Federal Regulations; and or particular program statute, or by public, factual information the Homeland Security Presidential regulation, rule, or order issued disclosure of which would be in the Directive 12 Homeland Security pursuant thereto, disclosure may be public interest and which would not Presidential Directive (HSPD) 12, Policy made to the appropriate public constitute an unwarranted invasion of for a Common Identification Standard authority, whether Federal, foreign, personal privacy, consistent with for Federal Employees and Contractors, State, local, or tribal, or otherwise, Freedom of Information Act standards. August 27, 2004. responsible for enforcing, investigating To a Federal, State, or local agency, or or prosecuting such violation or charged other appropriate entities or PURPOSE(S): with enforcing or implementing the individuals, or through established The records in this system of records statute, or rule, regulation, or order liaison channels to selected foreign are used to document and support issued pursuant thereto, if the governments, in order to enable an decisions regarding clearance for access information disclosed is relevant to any intelligence agency to carry out its to classified information, the ability to enforcement, regulatory, investigative or responsibilities under the National receive and the suitability, eligibility, prosecutorial responsibility of the Security Act of 1947 as amended, the and fitness for service of applicants for receiving entity. CIA Act of 1949 as amended, Executive federal employment and contract To a Member of Congress or to a Order 12333 or any successor order, positions, including students, interns, or Congressional staff member in response applicable national security directives, volunteers to the extent their duties to an inquiry of the Congressional office or classified implementing procedures require access to federal facilities, made at the written request of the approved by the Attorney General and information, systems, or applications. constituent about whom the record is promulgated pursuant to such statutes, The records may be used to document maintained. orders or directives.

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To the Office of Management and CONTESTING RECORD PROCEDURES: SECURITY CLASSIFICATION: Budget when necessary to the review of Individuals wishing to request Most identity records are not private relief legislation pursuant to amendment of their records under the classified. However, in some cases, OMB Circular No. A–19. provisions of the Privacy Act should records of certain individuals, or portions of some records, may be POLICIES AND PRACTICES FOR STORING, contact the Chief Financial Officer. RETRIEVING, ACCESSING, RETAINING AND Individuals must furnish their full classified in the interest of national DISPOSING OF RECORDS IN THE SYSTEM: names for their records to be located security. and identified. Individuals should also STORAGE: reasonably identify the record, specify CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Records are stored on paper and the information they are contesting, electronically in a secure location. state the corrective action sought and Individuals who require regular, the reasons for the correction along with ongoing access to Agency facilities, RETRIEVABILITY: supporting justification showing why information technology systems, or Background investigation files are the record is not accurate, timely, information classified in the interest of retrieved by name, Social Security relevant, or complete. Rules regarding national security, including applicants number (SSN), or fingerprint. amendment of Privacy Act records for employment or contracts, federal employees, contractors, students, SAFEGUARDS: appear in 5 CFR part 1630. interns, volunteers, affiliates, and Records are maintained in secured RECORD SOURCE CATEGORIES: individuals formerly in any of these areas and electronic systems and are Information is obtained from a variety positions. The system also includes available only to authorized personnel individuals authorized to perform or use whose duties require access. of sources including the employee, contractor, or applicant via use of the services provided in agency facilities. RETENTION AND DISPOSAL: SF–85, SF–85P, SF–86, or FRTIB–2008, The system does not apply to occasional visitors or short-term guests These records are retained and and personal interviews; employers’ and to whom the Federal Retirement Thrift disposed of in accordance with General former employers’ records; FBI criminal Investment Board will issue temporary Records Schedule 18, item 22a, history records and other databases; identification and credentials. approved by the National Archives and financial institutions and credit reports; medical records and health care Records Administration (NARA). The CATEGORIES OF RECORDS IN THE SYSTEM: records are disposed in accordance with providers; educational institutions; Records maintained on individuals FRTIB disposal policies which call for interviews of witnesses such as issued credentials by the Federal burning or shredding or purging from neighbors, friends, co-workers, business Retirement Thrift Investment Board the Agency’s electronic record keeping associates, teachers, landlords, or family include the following data fields: Full systems. Records are destroyed upon members; tax records; and other public name, Social Security number; date of notification of death or not later than records. Security violation information birth; signature; image (photograph); five years after separation or transfer of is obtained from a variety of sources, fingerprints; hair color; eye color; employee to another agency or such as guard reports, security height; weight; organization/office of department, whichever is applicable. inspections, witnesses, supervisor’s reports, audit reports. assignment; company name; telephone SYSTEM MANAGERS AND ADDRESS: number; copy of background The Chief Financial officer maintains SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS investigation form; PIV card issue and OF THE PRIVACY ACT: the Agency’s electronic background expiration dates; personal identification information data and all other records in Upon publication of a final rule in the number (PIN); results of background FRTIB–2. The Chief Financial Officer Federal Register, this system of records investigation; PIV request form; PIV may be contacted in writing at 1250 H will be exempt in accordance with 5 registrar approval signature; PIV card Street, NW., Washington, DC 20005. U.S.C. 552a(k)(5). Information will be serial number; emergency responder withheld to the extent it identifies designation; copies of documents used NOTIFICATION PROCEDURE: witnesses promised confidentiality as a to verify identification or information Individuals seeking to determine condition of providing information derived from those documents such as whether this system of records contains during the course of the background document title, document issuing information about themselves should investigation. authority, document number, document send inquiries to the Chief Financial expiration date, document other Officer at Federal Retirement Thrift FRTIB–10 information); level of national security clearance and expiration date; computer Investment Board, 1250 H Street, NW., SYSTEM NAME: Washington, DC 20005. When system user name; user access and requesting notification of or access to Identity Management System (IDMS). permission rights, authentication records covered by FRTIB–2, an certificates; digital signature SYSTEM LOCATION: individual should provide his/her full information. name, date of birth, Social Security Federal Retirement Thrift Investment Records maintained on card holders number, and home address in order to Board, 1250 H Street, NW., Washington entering Federal Retirement Thrift establish identity. DC 20005. Some data covered by this Investment Board facilities or using system may be at Federal buildings and Federal Retirement Thrift Investment RECORDS ACCESS PROCEDURES: Federally-leased space where staffed Board systems include: Name, PIV Card Individuals wishing to request access guard-stations have been established in serial number; date, time, and location to records about themselves should facilities that have installed the Personal of entry and exit; company name; level contact the Chief Financial Officer. Identity Verification (PIV) system, as of national security clearance and Individuals must supply their full name well as the physical security offices or expiration date; digital signature for their records to be located and computer security offices of those information; computer networks/ identified. locations. applications/data accessed.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: FRTIB to be for a purpose that is private relief legislation pursuant to 5 U.S.C. 301; Federal Information compatible with the purpose for which OMB Circular No. A–19. Security Act (Pub. L. 104–106, sec. the agency collected the records. To a Federal, State, or local agency, or 5113); Electronic Government Act (Pub. Except as noted on Forms SF–85, SF– other appropriate entities or L. 104–347, sec. 203); the Paperwork 85P, SF–86, or FRTIB–2008, when a individuals, or through established Reduction Act of 1995 (44 U.S.C. 3501); record on its face, or in conjunction liaison channels to selected foreign and the Government Paperwork with other records, indicates a violation governments, in order to enable an Elimination Act (Pub. L. 105–277, 44 or potential violation of law, whether intelligence agency to carry out its U.S.C. 3504); Homeland Security civil, criminal, or regulatory in nature, responsibilities under the National Presidential Directive (HSPD) 12, Policy and whether arising by general statute Security Act of 1947 as amended, the for a Common Identification Standard or particular program statute, or by CIA Act of 1949 as amended, Executive for Federal Employees and Contractors, regulation, rule, or order issued Order 12333 or any successor order, August 27, 2004; Federal Property and pursuant thereto, disclosure may be applicable national security directives, Administrative Act of 1949, as made to the appropriate public or classified implementing procedures amended. authority, whether Federal, foreign, approved by the Attorney General and State, local, or tribal, or otherwise, promulgated pursuant to such statutes, PURPOSES: responsible for enforcing, investigating orders or directives. The primary purposes of the system or prosecuting such violation or charged To notify another federal agency are: (a) To ensure the safety and security with enforcing or implementing the when, or verify whether, a PIV card is of Federal Retirement Thrift Investment statute, or rule, regulation, or order no longer valid. Board facilities, systems, or information, issued pursuant thereto, if the To the news media or the general and our occupants and users; (b) To information disclosed is relevant to any public, factual information the verify that all persons entering federal enforcement, regulatory, investigative or disclosure of which would be in the facilities, using federal information prosecutorial responsibility of the public interest and which would not resources, or accessing classified receiving entity. constitute an unwarranted invasion of information are authorized to do so; (c) To a Member of Congress or to a personal privacy, consistent with to track and control PIV cards issued to Congressional staff member in response Freedom of Information Act standards. persons entering and exiting the to an inquiry of the Congressional office Note: Disclosures within the Federal facilities, using systems, or accessing made at the written request of the Retirement Thrift Investment Board of data classified information. constituent about whom the record is pertaining to date and time of entry and exit of an agency employee working in the ROUTINE USES OF RECORDS MAINTAINED IN THE maintained. District of Columbia may not be made to SYSTEM INCLUDING CATEGORIES OF USERS AND To the National Archives and Records supervisors, managers or any other persons THE PURPOSES OF SUCH USES: Administration or to the General (other than the individual to whom the Information about covered Services Administration for records information applies) to verify employee time individuals may be disclosed without management inspections conducted and attendance record for personnel actions consent as permitted by the Privacy Act under 44 U.S.C. 2904 and 2906. because 5 U.S.C. 6106 prohibits Federal of 1974, 5 U.S.C. 552a(b), and: To FRTIB contractors, grantees, or Executive agencies (other than the Bureau of To the Department of Justice when: (a) volunteers who have been engaged to Engraving and Printing) from using a The FRTIB; or (b) any employee of the assist the FRTIB in the performance of recording clock within the District of FRTIB in his or her official capacity; (c) a contract service, grant, cooperative Columbia, unless used as a part of a flexible schedule program under 5 U.S.C. 6120 et seq. any employee of the FRTIB in his or her agreement, or other activity related to this system of records and who need to individual capacity where the FRTIB or POLICIES AND PRACTICES FOR STORING, the Department of Justice has agreed to have access to the records in order to RETRIEVING, ACCESSING, RETAINING, AND represent the employee; or (d) the perform their activity. Recipients shall DISPOSING OF RECORDS IN THE SYSTEM: United States Government, is a party to be required to comply with the STORAGE: litigation or has an interest in such requirements of the Privacy Act of 1974, litigation, and by careful review, the as amended, 5 U.S.C. 552a. Records are stored on paper and FRTIB determines that the records are To a Federal, State, local, foreign, or electronically in a secure location. both relevant and necessary to the tribal or other public authority the fact RETRIEVABILITY: litigation and the use of such records by that this system of records contains Identity records are retrieved by DOJ is therefore deemed by the agency information relevant to the retention of name, Social Security number (SSN), or to be for a purpose compatible with the an employee, the retention of a security fingerprint. purpose for which the FRTIB collected clearance, the letting of a contract, or the records. the issuance or retention of a license, SAFEGUARDS: To a court or adjudicative body in a grant, or other benefit. The other agency Records are maintained in secured proceeding when: (a) The FRTIB; (b) any or licensing organization may then make areas and electronic systems and are employee of the FRTIB in his or her a request supported by the written available only to authorized personnel official capacity; (c) any employee of the consent of the individual for the entire whose duties require access. Access to FRTIB in his or her individual capacity record if it so chooses. No disclosure individuals working at guard stations where the FRTIB or the Department of will be made unless the information has will be password-protected; each person Justice has agreed to represent the been determined to be sufficiently granted access to the system at guard employee; or (d) the United States reliable to support a referral to another stations must be individually authorized Government, is a party to litigation or office within the agency or to another to use the system. A Privacy Act has an interest in such litigation, and by Federal agency for criminal, civil, Warning Notice will appear on the careful review, the FRTIB determines administrative personnel or regulatory monitor screen when records containing that the records are both relevant and action. information on individuals are first necessary to the litigation and the use of To the Office of Management and displayed. Data exchanged between the such records is therefore deemed by the Budget when necessary to the review of servers and the client PCs at the guard

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stations and badging office will be PIV Cards are destroyed by cross-cut financial institutions and credit reports; encrypted. Backup tapes will be stored shredding no later than 90 days after medical records and health care in a locked and controlled room in a deactivation. providers; educational institutions; secure, off-site location. An audit trail is interviews of witnesses such as SYSTEM MANAGERS AND ADDRESS: maintained and reviewed periodically neighbors, friends, co-workers, business to identify unauthorized access. Persons The Chief Financial Officer maintains associates, teachers, landlords, or family given roles in the PIV process will be the Agency’s electronic identity data members; tax records; and other public required to complete training specific to and all other records in FRTIB–10. The records. Security violation information their roles to ensure they are Chief Financial Officer may be is obtained from a variety of sources, knowledgeable about how to protect contacted in writing at 1250 H Street, such as guard reports, security individually identifiable information. NW., Washington, DC 20005. inspections, witnesses, supervisor’s reports, audit reports. RETENTION AND DISPOSAL: NOTIFICATION PROCEDURE: These records are retained and Individuals seeking to determine SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS disposed of in accordance with General whether this system of records contains OF THE PRIVACY ACT: Records Schedule 18, item 22a, information about themselves should Upon publication of a final rule in the approved by the National Archives and send inquiries to the Chief Financial Federal Register, this system of records Records Administration (NARA). The Officer at Federal Retirement Thrift will be exempt in accordance with 5 records are disposed in accordance with Investment Board, 1250 H Street, NW., U.S.C. 552a(k)(5). Information will be our disposal policies which call for Washington, DC 20005. When withheld to the extent it identifies burning or shredding or purging from requesting notification of or access to witnesses promised confidentiality as a the Agency’s electronic record keeping records covered by FRTIB–10, an condition of providing information systems. Records are destroyed upon individual should provide his/her full during the course of the background notification of death or not later than name, date of birth, social security investigation. five years after separation or transfer of number, and home address in order to [FR Doc. E8–19590 Filed 8–22–08; 8:45 am] employee to another agency or establish identity. BILLING CODE 6760–01–P department, whichever is applicable. RECORDS ACCESS PROCEDURES: Records relating to persons’ access Individuals wishing to request access covered by this system are retained in to records about themselves should accordance with General Records contact the Chief Financial Officer. DEPARTMENT OF HEALTH AND Schedule 18, Item 17 approved by the Individuals must supply their full HUMAN SERVICES National Archives and Records names for their records to be located Administration (NARA). The records are and identified. Administration for Children and disposed in accordance with our Families disposal policies which call for burning CONTESTING RECORD PROCEDURES: or shredding or purging from the Individuals wishing to request Submission for OMB Review; Agency’s electronic record keeping amendment of their records under the Comment Request systems. Unless retained for specific, provisions of the Privacy Act should ongoing security investigations, records contact the Chief Financial Officer. Title: Family Violence Prevention and are maintained for two years and then Individuals must furnish full name for Services: Grants to States; Native destroyed. their records to be located and American Tribes and Alaskan Native All other records relating to identified. Individuals should also Villages; and State Domestic Violence individuals are retained and disposed of reasonably identify the record, specify Coalitions. in accordance with General Records the information they are contesting, OMB No.: 0970–0280. Schedule 18, item 22a, approved by state the corrective action sought and Description: The Family Violence NARA. The records are disposed in the reasons for the correction along with Prevention and Services Act (FVPSA), accordance with our disposal policies supporting justification showing why as amended authorizes the Department which call for burning or shredding or the record is not accurate, timely, of Health and Human Services to award purging from the Agency’s electronic relevant, or complete. Rules regarding grants to States, Territories, Tribes and record keeping systems. Records are amendment of Privacy Act records Tribal organizations, and State Domestic destroyed upon notification of death or appear in 5 CFR part 1630. Violence Coalitions for family violence not later than five years after separation prevention and intervention activities. or transfer of employee, whichever is RECORD SOURCE CATEGORIES: The proposed information collection applicable. Information is obtained from a variety activities will be used to make grant In accordance with HSPD–12, PIV of sources including the employee, decisions and to monitor grant Cards are deactivated within 18 hours of contractor, or applicant via use of the performance. cardholder separation, loss of card, or SF–85, SF–85P, SF–86, or FRTIB–2008, Respondents: State agencies expiration. The information on PIV and personal interviews; employers’ and administering FVPSA grants; Tribal Cards is maintained in accordance with former employers’ records; FBI criminal governments and Tribal organizations; General Records Schedule 11, Item 4. history records and other databases; and State Domestic Violence Coalitions.

ANNUAL BURDEN ESTIMATES

Number of Average Instrument Number of responses per burden hours Total burden respondents respondent per response hours

FVPSA State Grant Application ...... 53 1 10 530 FVPSA Tribal Grant Application ...... 200 1 10 2,000

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ANNUAL BURDEN ESTIMATES—Continued

Number of Average Instrument Number of responses per burden hours Total burden respondents respondent per response hours

FVPSA State Domestic Violence Coalition Application ...... 52 1 10 520 FVPSA State Grant Performance Report ...... 53 1 15 795 FVPSA Tribal Grant Performance Report ...... 200 1 15 3,000

Estimated Total Annual Burden Dated: August 18, 2008. Responsible Fatherhood discretionary Hours: 6,845. Janean Chambers, grant programs. The performance Additional Information: Copies of the Reports Clearance Officer. measure data obtained from the grantees proposed collection may be obtained by [FR Doc. E8–19441 Filed 8–22–08; 8:45 am] will be used by OFA to report on the overall performance of this grant writing to the Administration for BILLING CODE 4184–01–M program and to inform the Program Children and Families, Office of Assessment Rating Tool (PART) process Administration, Office of Information DEPARTMENT OF HEALTH AND if the program is selected for PART Services, 370 L’Enfant Promenade, SW., HUMAN SERVICES review. Washington, DC 20447, Attn: ACF Data will be collected from all 123 Reports Clearance Officer. All requests Administration for Children and Healthy Marriage and 99 Responsible should be identified by the title of the Families Fatherhood grantees in the CPA information collection. E-mail address: program. Grantees will report on [email protected]. Proposed Information Collection program outputs and outcomes in such OMB Comment: OMB is required to Activity; Comment Request areas as participants improvement in make a decision concerning the Proposed Projects knowledge, skills, attitudes, and collection of information between 30 behaviors related to healthy marriage and 60 days after publication of this Title: Performance Measures for and responsible fatherhood. Grantees document in the Federal Register. Healthy Marriage and Promoting will be asked to input data for selected Responsible Fatherhood Grant Therefore, a comment is best assured of outputs and outcomes for activities Programs. having its full effect if OMB receives it funded under the grant. Grantees will OMB No.: New Collection. within 30 days of publication. Written extract data from program records and comments and recommendations for the Description: The Office of Family will report the data twice yearly through proposed information collection should Assistance (OFA), Administration for an on-line data collection tool. Training Children and Families (ACE), U.S. and assistance will be provided to be sent directly to the following: Office Department of Health and Human grantees to support this data collection of Management and Budget, Paperwork Services (HHS), intends to request process. Reduction Project, Fax: 202–395–6974, approval from the Office of Management Respondents: Office of Family Attn: Desk Officer for the and Budget (OMB) for the collection of Assistance Funded Healthy Marriage Administration for Children and performance measures from grantees for and Promoting Responsible Fatherhood Families. the Healthy Marriage and Promoting Grantees.

ANNUAL BURDEN ESTIMATES

Number of Average Instrument Number of responses per burden hours Total burden respondents respondent per response hours

Performance measure reporting form ...... 222 2 0.60 266.40

Estimated Total Annual Burden Officer. E-mail address: respondents, including through the use Hours: 266.40. [email protected]. All requests of automated collection techniques or In compliance with the requirements should be identified by the title of the other forms of information technology. of Section 506(c)(2)(A) of the Paperwork information collection. Consideration will be given to Reduction Act of 1995, the The Department specifically requests comments and suggestions submitted Administration for Children and comments on: (a) Whether the proposed within 60 days of this publication. Families is soliciting public comment collection of information is necessary Dated: August 18, 2008. on the specific aspects of the for the proper performance of the Robert Sargis, information collection described above. functions of the agency, including Copies of the proposed collection of whether the information shall have Reports Clearance Officer. information can be obtained and practical utility; (b) the accuracy of the [FR Doc. E8–19559 Filed 8–22–08; 8:45 am] comments may be forwarded by writing agency’s estimate of the burden of the BILLING CODE 4184–01–M to the Administration for Children and proposed collection of information; (c) Families, Office of Administration, the quality, utility, and clarity of the Office of Information Services, 370 information to be collected; and (d) L’Enfant Promenade, SW., Washington, ways to minimize the burden of the DC 20447, Attn: ACE Reports Clearance collection of information on

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DEPARTMENT OF HEALTH AND Description: The Runaway and the living, employment, education, and HUMAN SERVICES Homeless Youth Act (RHYA), as family situation of the youth before and amended by Public Law 106–71 (42 after their time in the TLP. This Administration for Children and U.S.C. 5701 et seq.), provides for the information will be used to better Families Transitional Living Program (TLP), a understand the most effective practices residential program lasting up to 18 in improving long-term outcomes of Proposed Information Collection months designed to prepare older youth in an effort to guide program Activity; Comment Request homeless youth ages 16–21 for a healthy improvements. and self-sufficient adulthood. Section Proposed Projects 119 of RHYA requires a study on the Respondents: (1) Youth ages 16–21 long-term housing outcomes of youth participating in Transitional Living Title: Evaluation of the Transitional after exiting the program. In addition to Programs and (2) the Executive Director Living Program (TLP). collecting information on housing and Program Manager representing TLP OMB No.: New Collection. outcomes, the study will also consider grantees.

ANNUAL BURDEN ESTIMATES

Number of re- Average burden Instrument Number of re- sponses per hours per re- Total burden spondents respondent sponse hours

Grantee Survey ...... 70 1 1 70 760 1 0 .50 380 760 1 0 .50 380 760 1 0 .50 380 760 1 0 .50 380

Estimated Total Annual Burden proposed collection of information; (c) in Families Receiving Payment in Hours: 1,590. the quality, utility, and clarity of the Excess of the Poverty Income Level from In compliance with the requirements information to be collected; and (d) a State Program Funded Under Part A of of Section 506(c)(2)(A) of the Paperwork ways to minimize the burden of the Title IV of the Social Security Act. Reduction Act of 1995, the collection of information on OMB No.: 0970–0004. Administration for Children and respondents, including through the use Families is soliciting public comment of automated collection techniques or Description: The Department of on the specific aspects of the other forms of information technology. Health and Human Services is required information collection described above. Consideration will be given to to collect these data under section 1124 Copies of the proposed collection of comments and suggestions submitted of Title I of the Elementary and information can be obtained and within 60 days of this publication. Secondary Education Act, as amended comments may be forwarded by writing Dated: August 18, 2008. by Public Law 103–382. The data are to the Administration for Children and Janean Chambers, used by the U.S. Department of Families, Office of Administration, Education for allocation of funds for Reports Clearance Officer. Office of Information Services, 370 programs to aid disadvantaged [FR Doc. E8–19561 Filed 8–22–08; 8:45 am] L’Enfant Promenade, SW., Washington, elementary and secondary students. DC 20447, Attn: ACE Reports Clearance BILLING CODE 4184–01–M Respondents include various Officer. E-mail address: components of State Human Service [email protected]. All requests agencies. should be identified by the title of the DEPARTMENT OF HEALTH AND information collection. HUMAN SERVICES Respondents: The 52 respondents The Department specifically requests include the 50 States, the District of comments on: (a) Whether the proposed Administration for Children and Columbia, and Puerto Rico. collection of information is necessary Families for the proper performance of the Submission for OMB Review; functions of the agency, including Comment Request whether the information shall have practical utility; (b) the accuracy of the Title: Annual Statistical Report on agency’s estimate of the burden of the Children in Foster Homes and Children

ANNUAL BURDEN ESTIMATES

Number of re- Average bur- Instrument Number of re- sponses per den hours per Total burden spondents respondent response hours

Annual Statistical Report on Children in Foster Homes and Children Receiv- ing Payments in Excess of the Poverty Level From a State Program Funded Under Part A of Title IV of the Social Security Act ...... 52 1 264.35 13,746.20

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Estimated Total Annual Burden Dated: August 19, 2008. grant programs. The performance Hours: 13,746.20 Janean Chambers, measure data obtained from the grantees Additional Information: Reports Clearance Officer. will be used by OFA to report on the Copies of the proposed collection may [FR Doc. E8–19583 Filed 8–22–08; 8:45 am] overall performance of this grant be obtained by writing to the BILLING CODE 4184–01–P program and to inform the Program Administration for Children and Assessment Rating Tool (PART) process Families, Office of Administration, if the program is selected for PART Office of Information Services, 370 DEPARTMENT OF HEALTH AND review. L’Enfant Promenade, SW., Washington, HUMAN SERVICES Data will be collected from all 123 DC 20447, Attn: ACF Reports Clearance Healthy Marriage and 99 Responsible Officer. All requests should be Administration for Children and Fatherhood grantees in the OFA identified by the title of the information Families program. Grantees will report on collection. E-mail address: program outputs and outcomes in such [email protected]. Proposed Information Collection areas as participants_ improvement in OMB Comment: Activity; Comment Request knowledge, skills, attitudes, and OMB is required to make a decision Proposed Projects: behaviors related to healthy marriage concerning the collection of information Title: Performance Measures for between 30 and 60 days after and responsible fatherhood. Grantees Healthy Marriage and Promoting will be asked to input data for selected publication of this document in the Responsible Fatherhood Grant Federal Register. Therefore, a comment outputs and outcomes for activities Programs. funded under the grant. Grantees will is best assured of having its full effect OMB No.: New Collection. if OMB receives it within 30 days of Description: The Office of Family extract data from program records and publication. Written comments and Assistance (OFA), Administration for will report the data twice yearly through recommendations for the proposed Children and Families (ACF), U.S. an on-line data collection tool. Training information collection should be sent Department of Health and Human and assistance will be provided to directly to the following: Office of Services (HHS), intends to request grantees to support this data collection Management and Budget, Paperwork approval from the Office of Management process. Reduction Project, Fax: 202–395–6974, and Budget (OMB) for the collection of Respondents: Office of Family Attn: Desk Officer for the performance measures from grantees for Assistance Funded Healthy Marriage Administration for Children and the Healthy Marriage and Promoting and Promoting Responsible Fatherhood Families. Responsible Fatherhood discretionary Grantees.

ANNUAL BURDEN ESTIMATES

Number of re- Average bur- Instrument Number of re- sponses per den hours per Total burden spondents respondent response hours

Performance measure reporting form ...... 222 2 0.60 266.40

Estimated Total Annual Burden agency’s estimate of the burden of the DEPARTMENT OF HEALTH AND Hours: 266.40 proposed collection of information; (c) HUMAN SERVICES In compliance with the requirements the quality, utility, and clarity of the of Section 506(c)(2)(A) of the Paperwork information to be collected; and (d) Administration for Children and Reduction Act of 1995, the ways to minimize the burden of the Families Administration for Children and collection of information on Families is soliciting public comment Agency Recordkeeping/Reporting respondents, including through the use Requirements Under Emergency on the specific aspects of the of automated collection techniques or information collection described above. Review by the Office of Management other forms of information technology. and Budget (OMB) Copies of the proposed collection of Consideration will be given to information can be obtained and comments and suggestions submitted Title: Regional Partnership Grant comments may be forwarded by writing within 60 days of this publication. (RPG) Program Data Collection. to the Administration for Children and OMB No.: New Collection. Families, Office of Administration, Dated: August 19, 2008. Description: Office of Information Services, 370 Janean Chambers, On September 30, 2007, the L’Enfant Promenade, SW., Washington, Reports Clearance Officer. Administration for Children and DC 20447, Attn: ACF Reports Clearance [FR Doc. E8–19587 Filed 8–22–08; 8:45 am] Families (ACE), Children’s Bureau Officer. E-mail address: awarded multi-year grants to 53 regional BILLING CODE 4184–01–P [email protected]. All requests partnerships grantees (RPGs) to improve should be identified by the title of the the safety, permanency and well-being information collection. of children affected by The Department specifically requests methamphetamine or other substance comments on: (a) Whether the proposed abuse who have been removed or are at- collection of information is necessary risk of removal from their home. The for the proper performance of the Child and Family Services Improvement functions of the agency, including Act of 2006, the authorizing legislation whether the information shall have for the RPG program, required that a set practical utility; (b) the accuracy of the of performance indicators be established

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to periodically assess the grantees’ specifically for these children and Federally-funded Statewide Automated progress on achieving certain outcomes. families. The data also will have Child Welfare Information System The legislation mandated that these significant implications for policy and (SACWIS) TEDS admission and performance indicators be developed program development for child well- discharge data are collected by State through a consultative process involving being programs nationwide. substance abuse agencies according to ACE, the Substance Abuse and Mental The purpose of this request is to their own information systems for Health Services Administration obtain OMB approval to collect this monitoring substance abuse treatment (SAMHSA), and representatives of the legislatively required performance and admissions and transmitted monthly or State or Tribal agencies who are outcome data from the RPGs. quarterly to the SAMHSA contractor. To minimize grantee data collection members of the regional partnerships. In short, as a result of prior Federal and reporting burden, many of the data The final set of RPG performance government reporting requirements, elements are already being collected by indicators was approved by ACF and States are already collecting several data counties and States in order to report disseminated to the funded grantees in elements needed by the RPGs. The RPGs Federally-mandated data for the January 2008. It includes a total of 23 can download information from these Adoption and Foster Care Analysis and indicators across four outcome domains: existing State child welfare and child/youth (9 indicators), adult (7 Reporting System (AFCARS), the substance abuse treatment data systems indicators), family/relationship (5 Treatment Episode Data Set (TEDS) and to obtain data to monitor their RPG indicators), and regional partnership/ the National Outcome Measures program outcomes, thereby reducing the service capacity (2 indicators). It also (NOMs); in addition, all States amount of primary data collection includes a core set of child and adult voluntarily submit data for the Federal needed. demographic elements that will provide National Child Abuse and Neglect Data important context needed to properly System (NCANDS). Therefore, most Beginning in year two, grantees will analyze, explain and understand the child welfare data elements included in submit a data file with their required outcomes. No other national data the RPG performance measures can be indicator data, according to their final collection measures these critical child, found in a State’s automated case set of indicators, every six months. adult, family, and RPG outcomes management system, which is often a Respondents: RPG Grantees.

ANNUAL BURDEN ESTIMATES

Number of Average Information collection Number of responses per burden hours Total burden respondents respondent per response hours

Private Sector ...... 22 2 175.5 7,722 State, Local, or Tribal Governments ...... 31 2 175.5 10,881

Estimated Total Annual Burden DEPARTMENT OF HEALTH AND Information and Regulatory Affairs, Hours: 18,603 HUMAN SERVICES OMB, Attn: FDA Desk Officer, FAX: Additional Information: ACE is 202–395–6974, or e-mailed to Food and Drug Administration requesting that OMB grant a 90 day [email protected]. All comments should be identified with the OMB approval for this information collection [Docket No. FDA–2008–N–0144] control number 0910–0616. Also under procedures for emergency include the FDA docket number found processing by September 30, 2008. A Agency Information Collection Activities; Submission for Office of in brackets in the heading of this copy of this information collection, with document. applicable supporting documentation, Management and Budget Review; may be obtained by calling the Comment Request; Certification to FOR FURTHER INFORMATION CONTACT: Administration for Children and Accompany Drug, Biological Product, Jonna Capezzuto, Office of Information Families, Reports Clearance Officer, and Device Applications or Management (HFA–710), Food and Drug Submissions (Form FDA 3674) Robert Sargis at (202) 690–7275. Administration, 5600 Fishers Lane, Rockville, MD 20857, 301–796–3794. AGENCY: Food and Drug Administration, Comments and questions about the SUPPLEMENTARY INFORMATION: In HHS. information collection described above compliance with 44 U.S.C. 3507, FDA should be directed to the Office of ACTION: Notice. has submitted the following proposed Information and Regulatory Affairs, collection of information to OMB for SUMMARY: The Food and Drug Attn: OMB Desk Officer for ACE, Office review and clearance. of Management and Budget, Paperwork Administration (FDA) is announcing Reduction Project, 725 17th Street, NW., that a proposed collection of Certification to Accompany Drug, information has been submitted to the Washington, DC 20503, (202) 395–7316. Biological Product, and Device Office of Management and Budget Applications or Submissions (Form Dated: August 18, 2008. (OMB) for review and clearance under FDA 3674) (OMB Control Number Robert Sargis, the Paperwork Reduction Act of 1995. 0910–0616) — Extension Reports Clearance Officer. DATES: Fax written comments on the The information required under [FR Doc. E8–19443 Filed 8–22–08; 8:45 am] collection of information by September section 402(j)(5)(B) of the Public Health BILLING CODE 4184–01–M 24, 2008. Service Act (PHS Act) (42 U.S.C. ADDRESSES: To ensure that comments on 282(j)(5)(B)) will be submitted in the the information collection are received, form of a certification to accompany OMB recommends that written applications and submissions currently comments be faxed to the Office of submitted to FDA under part 312 (21

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CFR part 312) and 21 CFR part 314 Act adhere to the appropriate legal and Marketing Applications/Submissions (human drugs) and approved under regulatory requirements for certifying to In 2004, CDER and CBER received 214 OMB control numbers 0910–0014 having complied with those new drug applications (NDA)/biologics (expires May 31, 2009) and 0910–0001 requirements. The failure to submit the license applications (BLA)/ (expires May 31, 2011), respectively; certification required by section resubmissions and 4,451 NDA/BLA submitted to FDA under part 312 and 21 402(j)(5)(B) of the PHS Act, and the amendments for which certifications are CFR part 601 (biological products) and knowing submission of a false needed. CDER and CBER received 259 approved under OMB control numbers certification are both prohibited acts efficacy supplements/resubmissions to 0910–0014 and 0910–0338 (expires June under section 301 of the FD&C Act (21 previously approved NDAs/BLAs, and 30, 2010); and submitted to FDA under U.S.C. 331). Violations are subject to 1,273 labeling submissions in FY 2004. 21 CFR parts 807 and 814 (devices) and civil money penalties. CDER received 7,753 annual reports and approved under OMB control numbers Investigational New Drug Applications CBER received 629 annual reports in FY 0910–0120 (expires August 31, 2010) 2004. CDER and CBER anticipate that and 0910–0231 (expires November 30, FDA’s Center for Drug Evaluation and new drug/biologic, efficacy supplement, 2010), respectively. and annual report submission rates will Title VIII of the Food and Drug Research (CDER) received 1,837 investigational new drug applications remain at or near this level in the near Administration Amendments Act of future. 2007 (FDAAA) (Public Law 110–85) (INDs) and 20,969 new IND amendments in Fiscal Year (FY) 2004. FDA’s Center for Devices and amended the PHS Act by adding section Radiological Health (CDRH) received 51 402(j) (42 U.S.C. 282(j)). The new CDER received 4,764 annual reports in FY 2004. CDER anticipates that IND, new applications for premarket provisions require additional approvals (PMA), 364 510(k) information to be submitted to the amendment, and annual report submission rates will remain at or near submissions containing clinical clinical trials data bank information, and 9 applications for 1 this level in the near future. (ClinicalTrials.gov) previously humanitarian device exemptions (HDE), established by the National Institutes of FDA’s Center for Biologics Evaluation for a total of 424 new applications/ Health/National Library of Medicine, and Research (CBER) received 206 new submissions in FY 2004. CDRH received including expanded information on INDs and 826 new IND amendments in 2,267 PMA/510(k)/HDE amendments in clinical trials and information on the FY 2004. CBER received 878 annual FY 2004. CDRH received 2,526 PMA/ results of clinical trials. The provisions reports in FY 2004. CBER anticipates 510(k)/HDE supplements in FY 2004. include new responsibilities for FDA as that IND, amendment, and annual report CDRH received 433 annual reports in well as several amendments to the submission rates will remain at or near FY 2004. CDRH anticipates that Federal Food, Drug, and Cosmetic Act this level in the near future. application, amendment, supplement, (FD&C Act). The estimated total number of and annual report submission rates will One new provision, section submissions (new INDs, new remain at or near this level in the near 402(j)(5)(B) of the PHS Act, requires that future. a certification accompany human drug, submissions, and annual reports) subject to mandatory certification FDA’s Office of Generic Drugs (OGD) biological, and device product received 563 abbreviated new drug submissions made to FDA. Specifically, requirements under 42 U.S.C. 282(j)(5)(B), section 402(j)(5)(B) of the applications (ANDAs) in FY 2004. OGD at the time of submission of an received 477 bioequivalence application under sections 505, 515, or PHS Act, is 27,570 for CDER plus 1,910 for CBER, or 29,480 submissions per amendments/supplements and 723 520(m) of the FD&C Act (21 U.S.C. 355, labeling supplements in FY 2004. OGD 360e, or 360j(m)), or under section 351 year. The minutes per response is the estimated number of minutes that a received 5,173 annual reports in FY of the PHS Act (42 U.S.C. 262), or 2004. OGD anticipates that application, submission of a report under section respondent would spend preparing the information to be submitted to FDA amendment, supplement, and annual 510(k) of the FD&C Act (21 U.S.C. report submission rates will remain at or 360(k)), such application or submission under 42 U.S.C. 282(j)(5)(B), section 402(j)(5)(B) of the PHS Act, including near this level in the near future. must be accompanied by a certification The estimated total number of new the time it takes to type the necessary that all applicable requirements of submissions (new marketing information. section 402(j) of the PHS Act have been applications/submissions, amendments, met. Where available, such certification Based on its experience reviewing supplements, and annual reports) must include the appropriate National INDs and consideration of the previous subject to the mandatory certification Clinical Trial (NCT) numbers. information, FDA estimated that requirements under 42 U.S.C. The proposed collection of approximately 15.0 minutes on average 282(j)(5)(B), section 402(j)(5)(B) of the information is necessary to satisfy the would be needed per response for PHS Act, is 14,579 for CDER and CBER, previously mentioned statutory certifications which accompany IND 5,650 for CDRH, plus 6,936 for OGD or requirement. applications and submissions. It is 27,165 new submissions per year. The The importance of obtaining these assumed that most submissions to minutes per response is the estimated data relates to adherence to the legal investigational applications will number of minutes that a respondent requirements for submissions to the reference only a few protocols for which would spend preparing the information clinical trials registry and results data the sponsor/applicant/submitter has to be submitted to FDA under 42 U.S.C. bank and ensuring that individuals and obtained a National Clinical Trial (NCT) 282(j)(5)(B), section 402(j)(5)(B) of the organizations submitting applications or number from ClinicalTrials.gov prior to PHS Act, including the time it takes to reports to FDA under the listed making the submission to FDA. It is also type the necessary information and provisions of the FD&C Act or the PHS assumed that the sponsor/applicant/ compile a list of relevant NCT numbers. submitter has electronic capabilities Based on its experience reviewing 1 FDA has verified the Web site address, but FDA allowing them to retrieve the is not responsible for any subsequent changes to the NDAs, BLAs, PMAs, HDEs, 510(k)s, and Web site after this document publishes in the information necessary to complete the ANDAs and consideration of the Federal Register. form in an efficient manner. previous information, FDA estimated

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that approximately 45.0 minutes on 402(j)(5)(B) of the PHS Act. Commenters one means of ensuring that the clinical average would be needed per response further stated that submitting a trial registry information is submitted for certifications which accompany certification of compliance when when required. This information is NDA, BLA, PMA, HDE, 510(k), and submitting an IND is illogical because required to be submitted to the registry ANDA applications and submissions. It an IND must be submitted to FDA prior data bank well before an NDA is ever is assumed that the sponsor/applicant/ to enrolling subjects in the clinical filed with FDA. If the certification did submitter has electronic capabilities trials, yet registration in the clinical not accompany INDs, there would be no allowing them to retrieve the trials data bank is not generally required means of ensuring that information is information necessary to complete the until 21 days after the first subject is submitted to the registry data bank form in an efficient manner. enrolled in the clinical trial. In addition, during the investigational stage, which In the Federal Register of March 5, some of the comments noted that the would be inconsistent with the statute’s 2008 (73 FR 11926), FDA published a conforming amendment to section 505(i) intent to have such information 60-day notice requesting public of the FD&C Act relates only to available. comment on the information collection informed consent documentation and Further, submission of the provisions. FDA received a number of includes no reference to the certification certification with INDs helps to ensure comments concerning such issues as requirement. that the clinical trial information is FDA’s legal interpretation of the (Response) FDA does not agree with submitted to the registry data bank for statutory language, clarification of the these conclusions. FDA agrees that the trials that are never submitted in an instructions to the form, concerns with word ‘‘application’’ is not used in NDA or a BLA. Many trials are never FDA’s estimates of the amount of time section 505(i) of the FD&C Act in submitted in an NDA or a BLA. required to fill out the form, and reference to an IND. However, section Requiring that the certification suggestions for technical formatting 505(i)(1) directed the Secretary of accompany INDs helps ensure that changes to the form. Health and Human Services to issue applicable clinical trials that are not (Comment 1) A number of regulations exempting from the included in an NDA or BLA are respondents maintained that, because requirements of section 505 of the FD&C registered as required. The fact that an section 402(j)(5)(B) of the PHS Act does Act drugs intended solely for original IND application is filed with not apply to INDs submitted to FDA investigational use. The regulations FDA before the responsible party is under section 505(i) of the FD&C Act, a issued by FDA under this authority required to register a trial does not certification form need not accompany define an IND as ‘‘an investigational require the conclusion that certifications INDs submitted to FDA. As previously new drug application.’’ 21 CFR 312.3 were intended to be inapplicable to stated, section 402(j)(5)(B) of the PHS (emphasis added). Furthermore, these INDs. Throughout the life of an IND, Act, requires that, at the time of regulations repeatedly use the term there are numerous opportunities for submission of an application under ‘‘application’’ in reference to an IND. filing IND amendments, many of which sections 505, 515, or 520(m) of the Therefore, FDA considers an IND to be will be filed after the trial is required to FD&C Act (21 U.S.C. 355, 360e, or an application under section 505 of the be registered. Submission of the 360j(m)), or under section 351 of the FD&C Act . Congress is familiar with certification with these IND PHS Act (42 U.S.C. 262), or submission FDA regulations and could have amendments helps to ensure that the of a report under section 510(k) of the specifically exempted INDs from the requirements of section 402(j) of the FD&C Act (21 U.S.C. 360(k)), such certification process by directly PHS Act are met. application or submission must be excluding 505(i) from the scope of accompanied by a certification that all section 402(j)(5)(B) of the PHS Act. The lack of a conforming amendment applicable requirements of section FDA disagrees with the commenters’ for INDs is not an indicator that 402(j) of the PHS Act have been met. conclusions that the precursor language certifications are not required to be The comments challenge the agency’s in HR 2900 demonstrates that Congress submitted with INDs. There is also no interpretation of Section 402(j)(5)(B) of intended to exclude INDs from the conforming amendment for BLAs, but it the PHS Act on several fronts. The certification requirement and that is clear from the wording of section respondents maintain that IND Congress understood the difference 402(j)(5)(B) of the PHS Act that the submissions are not ‘‘applications’’ in between marketing applications and certification is required to be submitted the terminology of the FD&C Act. Some IND submissions and exemptions. FDA with applications under section 351 of comments rely upon language found in has concluded that the reference to the PHS Act. The statute must be HR 2900, an earlier version of the section 505 of the FD&C Act was simply considered in its entirety; in light of the legislation that was eventually enacted a streamlined reference to all other provisions of the statute discussed as FDAAA, to support their assertion applications and submissions possible in the previous paragraph, and the that Congress both understood the under section 505 of the FD&C Act. The language of section 402(j)(5)(B), FDA distinction between ‘‘applications’’ on scope of Title VIII of FDAAA, the has concluded that the absence of those the one hand, and ‘‘submissions’’ and numerous requirements for updating the two conforming amendments does not ‘‘exemptions’’ on the other, and that clinical trials registry information, the detract from the statutory language Congress explicitly omitted exemptions inclusion of a new clinical trials results requiring submission of a certification from the scope of the certification data bank, and the new enforcement when submitting an application under requirement. The language in HR 2900 provisions (including making failure to section 505 of the FD&C Act (or when would have required the FDA to verify file a certification a prohibited act) submitting a BLA under section 351 of that the requirements of section 402(j) indicate that Congress intended that the the PHS Act). Accordingly, FDA were met for each applicable clinical clinical trials data bank include concludes that the certification form trial submitted when considering a drug information about clinical trials should accompany INDs. for an exemption under section 505(i). throughout the product development (Comment 2) A number of comments Section 402(j) no longer includes this life cycle. Clearly, the IND phase is an challenged FDA’s conclusion that the verification requirement, and the extremely important phase of this term ‘‘application’’ refers to explicit reference to section 505(i) in HR process. The certification required by supplements, annual reports, or adverse 2900 was omitted from section section 402(j)(5)(B) of the PHS Act is event reports.

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(Response) The term ‘‘application’’ is certifications relating to a single IND or to 18 U.S.C. 1001 will not be removed used in the context of many filings NDA may be filed with FDA. FDA from the form. made with FDA, particularly with anticipated that many submitters would (Comment 5) A number of products handled by CDER and CBER. pre-fill and save electronic versions of respondents commented that the Supplements, annual reports, and other the forms necessary for existing certification should apply only to submissions are all characterized as applications. When an NCT number clinical trials sponsored by the ‘‘applications’’ by FDA and are becomes available or a new one is applicant and the form should not identified as such throughout parts 312 issued related to a particular require certification with regard to trials and 314 of FDA’s regulations. For application, it then can simply be added over which the manufacturer/sponsor example, the form with which sponsors to the previously completed form. had no control. submit most IND, NDA, and BLA- Although the draft certification form (Response) The certification related submissions is the Form FDA was not PDF fillable and was not able provision, section 402(j)(5)(B) of the 356h, which is titled ‘‘Application to to be saved electronically, the form PHS Act, does not make a distinction Market a New Drug, Biologic, or an currently is PDF fillable and is able to between trials conducted by the sponsor Antibiotic Drug for Human Use,’’ be saved electronically, which means it and trials relied upon in the application includes check boxes for submitting, can be amended by submitters as but conducted by entities other than the among other things, annual reports, necessary. FDA further determined that, sponsor. FDA is aware that sponsors or efficacy supplement, labeling over time, familiarity with the form and applicants will be required to certify as supplement and chemistry the requirements of section 402(j) of the to trials they did not conduct or register manufacturing and controls PHS Act would significantly reduce the in the clinical trials data bank. FDA has supplement. As stated previously, FDA amount of time needed to prepare the addressed this concern by requiring the assumes that Congress was familiar with form for filing. submitter to declare that the information FDA regulations when it drafted section With regard to the suggestion that the submitted is accurate, true, and 402(j) of the PHS Act. certification be incorporated into complete ‘‘to the best of her/his FDA appreciates that there are many existing forms, section 402(j)(5) of the knowledge.’’ routine filings that fall under this PHS Act requires that the certification (Comment 6) Respondents made a broader definition of application; ‘‘accompany’’ an application or number of miscellaneous suggestions however, the relevant statutory language submission, and we infer from this related to the certification form such as is itself written very broadly. FDA wording that the certification is not changing the FDA Form 3674 to recognizes the burden associated with intended to be part of that application eliminate sections 9.A and 9.B.; submitting certifications with all of or submission. Because the existing clarifying the certification form’s these filings, and FDA continues to forms are considered to be part of the instructions; and updating the eCTD work to identify filings which may not application or submission, it is not (electronic common technical need to be accompanied by a appropriate to add the certification to document) specifications to account for certification. In April 2008, FDA issued those forms. FDA notes, however, that it the certification form. a draft guidance describing FDA’s is possible that, as FDA’s information (Response) At the current time, the current thinking on the types of technology systems continue to evolve, form will remain the same. The boxes information and documents that need more forms and submissions will be 9.A and 9.B in the certification form not be accompanied by a certification. filed electronically, and there will be a will not be removed. These boxes (See, Guidance For Sponsors, Industry, means to transfer information from an provide information allowing FDA to Researchers, Investigators, and Food application onto the certification form. determine if there are clinical trials And Drug Administration Staff: (Comment 4) One comment requested referenced in the application Certifications To Accompany Drug, that the form be modified to remove the /submission to which the requirements Biological Product, And Device second sentence above the signature of section 402(j) of the PHS Act apply Applications/Submissions: Compliance block. The second sentence currently without having to review each clinical With Section 402(J) of The Public reads: ‘‘Warning: A willfully and trial included in the application or Health Service Act, Added By Title VIII knowingly false statement is a criminal submission. However, we have updated of The Food And Drug Administration offense, U.S. Code, title 18, section the instructions to provide additional Amendments Act of 2007, April 2008, 1001.’’ The rationale for requesting clarity for sponsors in filling out the available at http://www.fda.gov/oc/ removal of the sentence was that information required. Lastly, as the initiatives/fdaaa/ ‘‘FDAAA does not authorize FDA to eCTD specifications are updated, FDA guidancelcertifications.html). bring a perjury action for failure to intends to consider adding an FDA will address any suggestions certify accurately.’’ appropriate leaf module for the made by the respondents that are (Response) The sentence requested to certification form. relevant to the issues contained in the be removed does not entail a perjury Estimated Annual Reporting Burden draft guidance when FDA finalizes that charge. In the draft certification form Table 1 of this document provides an draft guidance. circulated for comment in December estimate of the annual reporting burden (Comment 3) A number of comments 2007, FDA did include a sentence that for the submission of information to concerned the burden estimate and indicated a charge of perjury could be satisfy the requirements of section stated that FDA underestimated the brought. After further consideration of 402(j)(5)(B) of the PHS Act. The annual amount of time needed to prepare the the statute and the certification form, reporting burden reflects changes made form. Related to these comments were FDA concluded that this sentence based on certain applications/ comments that requested the form be should be removed. However, the submissions either removed from the PDF fillable; that it be able to be knowing and willful inclusion of a burden calculations made in the original electronically saved in order to be used materially false statement in any estimates or new applications/ repeatedly; and/or that the form be government document is subject to 18 submissions added to the burden combined with other existing forms. U.S.C. 1001, which allows a criminal calculations. Those applications/ (Response) In evaluating the burden, charge to be brought for violations of submissions removed include those we FDA considered the fact that multiple that section. Accordingly, this reference currently have determined do not

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typically require that a certification burden were generic applications/ certification form accompany the form accompany the application/ submissions, which were originally not application/submission. submission, as described in our April included in the burden calculations, but 2008 Draft Guidance. Added to the have since been determined to require a

TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1

Investigational Marketing Hours per Applications Applications Response Total Hours

CDER (new application) 1,837 ---- .25 459

CBER (new application) 206 ---- .25 52

CDER (amendment) 20,969 ---- .25 5,242

CBER (amendment) 826 ---- .25 207

CDER (annual report) 4,764 .25 1,191

CBER (annual report) 878 .25 220

CDER/CBER (new application/resubmission) ---- 214 .75 161

CDRH (new application) ---- 424 .75 318

CDER/CBER (amendment) ---- 4,451 .75 3,338

CDRH (amendment) ---- 2,267 .75 1,700

CDER/CBER (efficacy supplement/resubmission) ---- 259 .75 194

CDER (annual report) ---- 7,753 .75 5,815

CBER (annual report) ---- 629 .75 472

CDER/CBER (labeling supplement) ---- 1,273 .75 955

CDRH (supplement) ---- 2,526 .75 1,895

CDRH (annual report) 433 .75 325

OGD (original) 563 .75 422

OGD ( BE amendment/supplement) 477 .75 358

OGD (labeling supplement) 723 .75 542

OGD (annual report) 5,173 .75 3,880

TOTAL 27,746 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

We believe the estimate of 27,746 DEPARTMENT OF HEALTH AND that a proposed collection of hours per year accurately reflects the HUMAN SERVICES information has been submitted to the burden. We recognize that individuals Office of Management and Budget or entities less familiar with FDA forms Food and Drug Administration (OMB) for review and clearance under and the clinical trials data bank the Paperwork Reduction Act of 1995. [Docket No. FDA–2008–N–0259] (ClinicalTrials.gov) may require greater DATES: Fax written comments on the than 15 and 45 minutes (depending on Agency Information Collection collection of information by September the type of application/submission) per Activities; Submission for Office of 24, 2008. response. Management and Budget Review; ADDRESSES: To ensure that comments on Dated: August 19, 2008. Comment Request; Guidance for Industry: Fast Track Drug the information collection are received, Jeffrey Shuren, Development Programs: Designation, OMB recommends that written Associate Commissioner for Policy and Development, and Application Review comments be faxed to the Office of Planning. Information and Regulatory Affairs, [FR Doc. E8–19625 Filed 8–22–08; 8:45 am] AGENCY: Food and Drug Administration, OMB, Attn: FDA Desk Officer, FAX: BILLING CODE 4160–01–S HHS. 202–395–6974, or e-mailed to ACTION: Notice. [email protected]. All comments should be identified with the OMB SUMMARY: The Food and Drug control number 0910–0389. Also Administration (FDA) is announcing include the FDA docket number found

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in brackets in the heading of this Under section 506(a)(1) of the act, an summarized in the premeeting package. document. applicant who seeks fast track Consequently, FDA anticipates that the FOR FURTHER INFORMATION CONTACT: designation is required to submit a additional collection of information Elizabeth Berbakos, Office of request to the agency showing that the attributed solely to the guidance will be Information Management (HFA–710), product: (1) Is intended for a serious or minimal. Food and Drug Administration, 5600 life-threatening condition; and (2) the Under section 506(c) of the act, a Fishers Lane, Rockville, MD 20857, product has the potential to address an sponsor must submit sufficient clinical 301–796–3792. unmet medical need. Mostly, the agency data for the agency to determine, after SUPPLEMENTARY INFORMATION: In expects that information to support a preliminary evaluation, that a fast track compliance with 44 U.S.C. 3507, FDA designation request will have been product may be effective. Section 506(c) has submitted the following proposed gathered under existing provisions of of the act also requires that an applicant collection of information to OMB for the act, the PHS Act, or the provide a schedule for the submission of review and clearance. implementing regulations. If such information necessary to make the information has already been submitted application complete before FDA can Guidance for Industry: Fast Track Drug to the agency, the information may be commence its review. The guidance Development Programs: Designation, summarized in the fast track designation does not provide for any new collection Development, and Application request. The guidance recommends that of information regarding the submission Review—(OMB Control Number 0910– a designation request include, where of portions of an application that is not 0389)—Extension applicable, additional information not required under section 506(c) of the act Section 112(a) of the Food and Drug specified elsewhere by statute or or any other provision of the act. All Administration Modernization Act of regulation. For example, additional forms referred to in the guidance have 1997 (FDAMA) (Public Law 105–115) information may be needed to show that a current OMB approval: FDA Forms amended the Federal Food, Drug, and a product has the potential to address an 1571 (OMB Control No. 0910–0014); Cosmetic Act (the act) by adding section unmet medical need where an approved 356h (OMB Control No. 0910–0338); 506 (21 U.S.C. 356). The section therapy exists for the serious or life- and 3397 (OMB Control No. 0910– authorizes FDA to take appropriate threatening condition to be treated. 0297). action to facilitate the development and Such information may include clinical Respondents to this information expedite the review of new drugs, data, published reports, summaries of collection are sponsors and applicants including biological products, intended data and reports, and a list of references. who seek fast track designation under to treat a serious or life-threatening The amount of information and section 506 of the act. The agency condition and that demonstrate a discussion in a designation request need estimates the total annual number of potential to address an unmet medical not be voluminous, but it should be respondents submitting requests for fast need. Under FDAMA section 112(b), sufficient to permit a reviewer to assess track designation to the Center for FDA issued guidance to industry on fast whether the criteria for fast track Biologics Evaluation and Research and track policies and procedures outlined designation have been met. the Center for Drug Evaluation and in section 506 of the act. The guidance After the agency makes a fast track Research is approximately 64, and the discusses collections of information that designation, a sponsor or applicant may number of requests received is are specified under section 506 of the submit a premeeting package which approximately 77 annually. FDA act, other sections of the Public Health may include additional information estimates that the number of hours Service Act (the PHS Act), or supporting a request to participate in needed to prepare a request for fast track implementing regulations. The guidance certain fast track programs. The designation is approximately 60 hours describes three general areas involving premeeting package serves as per request. collection of information: (1) Fast track background information for the meeting Not all requests for fast track designation requests, (2) premeeting and should support the intended designation may meet the statutory packages, and (3) requests to submit objectives of the meeting. As with the standard. Of the requests for fast track portions of an application. Of these, fast request for fast track designation, the designation made per year, the agency track designation requests and agency expects that most sponsors or granted 60 from 54 respondents, and for premeeting packages, in support of applicants will have gathered such each of these granted requests a pre- receiving a fast track program benefit, information to meet existing meeting package was submitted to the provide for additional collections of requirements under the act, the PHS agency. FDA estimates that the information not covered elsewhere in Act, or implementing regulations. These preparation hours are approximately statute or regulation. Information in may include descriptions of clinical 100 hours per pre-meeting package. support of fast track designation or fast safety and efficacy trials not conducted In the Federal Register of May 6, 2008 track program benefits that has under an investigational new drug (73 FR 25016), FDA published a 60-day previously been submitted to the application (i.e., foreign studies), and notice requesting public comment on agency, may, in some cases, be information to support a request for the information collection provisions. incorporated into the request by accelerated approval. If such No comments were received. referring to the information rather than information has already been submitted FDA estimates the burden of this resubmitting it. to FDA, the information may be collection of information as follows:

TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1

No. of Annual Frequency Total Annual Hours per Reporting Activity Respondents per Response Responses Response Total Hours

Designation Request 64 1.28 82 60 4,915

Premeeting Packages 54 1.11 60 100 6,000

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TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1—Continued

No. of Annual Frequency Total Annual Hours per Reporting Activity Respondents per Response Responses Response Total Hours

Total 118 2.39 142 160 10,915 1There are no capital costs or operating and maintenance costs associated with this collection of information.

Dated: August 18, 2008. FOR FURTHER INFORMATION CONTACT: method that compares a model of the Jeffrey Shuren, Jonna Capezzuto, Office of Information decision-making processes of a group or Associate Commissioner for Policy and Management (HFA–710), Food and Drug groups to an ‘‘expert model’’ of the same Planning. Administration, 5600 Fishers Lane, decision-making processes developed [FR Doc. E8–19626 Filed 8–22–08; 8:45 am] Rockville, MD 20857, 301–796–3794. from expert knowledge and experience. BILLING CODE 4160–01–S SUPPLEMENTARY INFORMATION: In In this study, the decision models of compliance with 44 U.S.C. 3507, FDA certain health care providers concerning has submitted the following proposed treatment options for pregnant and DEPARTMENT OF HEALTH AND collection of information to OMB for nursing women will be compared to an HUMAN SERVICES review and clearance. expert model concerning such treatment options that was derived from the Mental Models Study of Food and Drug Administration knowledge and experience of FDA Communicating With Health Care reviewers responsible for product [Docket No. FDA–2007–N–0087] (formerly Providers About the Risks and Benefits labeling. FDA will use telephone Docket No. 2007N–0461) of Prescription Drug Use for Pregnant interviews to determine from the health and Nursing Women With Chronic Agency Information Collection care providers the factors that influence Conditions Activities; Submission for Office of their treatment decisions for pregnant Management and Budget Review; The authority for FDA to collect the and nursing women with chronic Comment Request; Mental Models information derives from the FDA conditions. A comparison between Study of Communicating With Health Commissioner’s authority, as specified expert and health care provider models Care Providers About the Risks and in section 903(d)(2) of the Federal Food, based on the collected information may Benefits of Prescription Drug Use for Drug, and Cosmetic Act (21 U.S.C. identify consequential knowledge gaps Pregnant and Nursing Women With 393(d)(2)). that can be redressed through messages Chronic Conditions The proposed information collection or information campaigns designed by will help FDA advance public health by FDA. AGENCY: Food and Drug Administration, identifying misperceptions and HHS. knowledge gaps about how health care Using a protocol derived from the ACTION: Notice. providers use information to make research that resulted in the ‘‘expert decisions about the use of prescription model,’’ trained interviewers will SUMMARY: The Food and Drug drugs for the targeted patient groups. conduct one-on-one telephone Administration (FDA) is announcing Knowledge of these misperceptions and discussions with 24 to 30 members of that a proposed collection of gaps provides opportunities for FDA to each of 2 categories of health care information has been submitted to the target its communications more providers (described in the following Office of Management and Budget precisely to such gaps and areas of paragraph) who provide health care (OMB) for review and clearance under misperception in health care providers’ services to pregnant and nursing the Paperwork Reduction Act of 1995. mental models regarding treatment women. DATES: Fax written comments on the decisions. The two categories of health care collection of information by September FDA engages in various providers are: 24, 2008. communication activities to ensure that (1) Those who directly care for ADDRESSES: To ensure that comments on patients and health care providers have pregnant and nursing women, including the information collection are received, the information they need to make obstetricians, OB/GYNs (obstetrician/ OMB recommends that written informed decisions about treatment gynecologists), nurse midwives, and comments be faxed to the Office of options, including the use of primary care practitioners. Information and Regulatory Affairs, prescription drugs. FDA regulations (21 (2) Selected specialties of healthcare OMB, Attn: FDA Desk Officer, FAX: CFR 201.57) describe the content of providers who directly care for women 202–395–6974, or e-mailed to required product labeling, and FDA of reproductive age who have chronic [email protected]. All comments reviewers ensure that labeling contains health conditions (allergists, should be identified with the OMB accurate and complete information psychiatrists, neurologists, and control number 0910–NEW and title, about the known risks and benefits of cardiologists). ‘‘Mental Models Study of each drug. This data collection and Communicating with Health Care analysis is designed to identify In the Federal Register of December Providers about the Risks and Benefits knowledge gaps that FDA could then 11, 2007 (72 FR 70328), FDA published of Prescription Drug Use for Pregnant address, which would ultimately a 60-day notice requesting public and Nursing Women with Chronic improve decision making and comment on the information collection Conditions.’’ Also include the FDA potentially improve health outcomes. provisions. No comments were received. docket number found in brackets in the The project will use ‘‘mental FDA estimates the burden of this heading of this document. modeling,’’ a qualitative research collection of information as follows:

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TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1

No. of Annual Frequency Total Annual Hours per Respondents per Response Responses Response Total Hours

60 1 1 1.0 60.0 1 There are no capital costs or operating and maintenance costs for this information collection.

The study will involve about 60 information to http:// collection of information on respondents and take approximately 1 www.regulations.gov. Submit written respondents, including through the use hour each to complete. These estimates comments on the collection of of automated collection techniques, are based on the contractor’s extensive information to the Division of Dockets when appropriate, and other forms of experience with mental models Management (HFA–305), Food and Drug information technology. research. FDA conducted pretests of the Administration, 5630 Fishers Lane, rm. Regulations Under the Federal Import mental models protocol with six health 1061, Rockville, MD 20852. All Milk Act—21 CFR Part 1210 (OMB care providers. These resulted in the comments should be identified with the Control Number 0910–0212)—Extension current protocol. docket number found in brackets in the Dated: August 18, 2008. heading of this document. Under FIMA (21 U.S.C. 141–149), Jeffrey Shuren, FOR FURTHER INFORMATION CONTACT: milk or cream may be imported into the Associate Commissioner for Policy and Jonna Capezzuto, Office of Information United States only by the holder of a Planning. Management (HFA–710), Food and Drug valid import milk permit (21 U.S.C. [FR Doc. E8–19653 Filed 8–22–08; 8:45 am] Administration, 5600 Fishers Lane, 141). Before such permit is issued: (1) BILLING CODE 4160–01–S Rockville, MD 20857, 301–796–3794. All cows from which import milk or SUPPLEMENTARY INFORMATION: Under the cream is produced must be physically PRA (44 U.S.C. 3501–3520), Federal examined and found healthy; (2) if the DEPARTMENT OF HEALTH AND agencies must obtain approval from the milk or cream is imported raw, all such HUMAN SERVICES Office of Management and Budget cows must pass a tuberculin test; (3) the (OMB) for each collection of dairy farm and each plant in which the Food and Drug Administration information they conduct or sponsor. milk or cream is processed or handled [Docket No. FDA–2008–N–0453] ‘‘Collection of information’’ is defined must be inspected and found to meet in 44 U.S.C. 3502(3) and 5 CFR certain sanitary requirements; (4) Agency Information Collection 1320.3(c) and includes agency requests bacterial counts of the milk at the time Activities; Proposed Collection; or requirements that members of the of importation must not exceed Comment Request; Regulations Under public submit reports, keep records, or specified limits; and (5) the temperature the Federal Import Milk Act provide information to a third party. of the milk or cream at time of importation must not exceed 50° F (21 AGENCY: Food and Drug Administration, Section 3506(c)(2)(A) of the PRA (44 U.S.C. 142). HHS. U.S.C. 3506(c)(2)(A)) requires Federal agencies to provide a 60-day notice in ACTION: Notice. FDA’s regulations in part 1210 (21 the Federal Register concerning each CFR part 1210) implement the SUMMARY: The Food and Drug proposed collection of information, provisions of FIMA. Sections 1210.11 Administration (FDA) is announcing an including each proposed extension of an and 1210.14 require reports on the opportunity for public comment on the existing collection of information, sanitary conditions of, respectively, proposed collection of certain before submitting the collection to OMB dairy farms and plants producing milk information by the agency. Under the for approval. To comply with this and/or cream to be shipped to the Paperwork Reduction Act of 1995 (the requirement, FDA is publishing notice United States. Section 1210.12 requires PRA), Federal agencies are required to of the proposed collection of reports on the physical examination of publish notice in the Federal Register information set forth in this document. herds, while § 1210.13 requires the concerning each proposed collection of With respect to the following reporting of tuberculin testing of the information, including each proposed collection of information, FDA invites herds. In addition, the regulations in extension of an existing collection of comments on these topics: (1) Whether part 1210 require that dairy farmers and information, and to allow 60 days for the proposed collection of information plants maintain pasteurization records public comment in response to the is necessary for the proper performance (§ 1210.15) and that each container of notice. This notice solicits comments on of FDA’s functions, including whether milk or cream imported into the United the reporting and recordkeeping the information will have practical States bear a tag with the product type, requirements of FDA’s regulations utility; (2) the accuracy of FDA’s permit number, and shipper’s name and implementing the Federal Import Milk estimate of the burden of the proposed address (§ 1210.22). Section 1210.20 Act (FIMA). collection of information, including the requires that an application for a permit DATES: Submit written or electronic validity of the methodology and to ship or transport milk or cream into comments on the collection of assumptions used; (3) ways to enhance the United States be made by the actual information by October 24, 2008. the quality, utility, and clarity of the shipper. Section 1210.23 allows permits ADDRESSES: Submit electronic information to be collected; and (4) to be granted based on certificates from comments on the collection of ways to minimize the burden of the accredited officials.

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TABLE 1.— ESTIMATED ANNUAL REPORTING BURDEN1

No. of Annual Frequency Total Annual Hours per 21 CFR Section Form No. Respondents per Response Responses Response Total Hours

1210.11 FDA 1996/Sanitary 8 200 1,600 1.5 2,400 inspection of dairy farms

1210.12 FDA 1995/Physical 1 1 1 0.5 0.5 examination of cows

1210.13 FDA 1994/Tuberculin 1 1 1 0.5 0.5 test

1210.14 FDA 1997/Sanitary 8 1 8 2.0 16.0 inspections of plants

1210.20 FDA 1993/Applica- 8 1 8 0.5 4.0 tion for permit

1210.23 FDA 1815/Permits 8 1 8 0.5 4.0 granted on certifi- cates

Totals 2,425.0 1There are no capital costs or operating and maintenance costs associated with this collection of information.

TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN1

Annual Frequency per 21 CFR Section No. of Recordkeepers Recordkeeping Total Annual Records Hours per Record Total Hours

1210.15 8 1 8 0.05 0.40 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

The estimated number of respondents be 2.0 hours per response, for a total disclosure to the public is not a and hours per response are based on burden of 16 hours. FDA estimates that collection of information. Under 5 CFR FDA’s experience with the import milk eight respondents will submit one Form 1320.3(b)(2)), the time, effort, and permit program and the average number FDA 1993 report annually, for a total of financial resources necessary to comply of import milk permit holders over the eight responses. FDA estimates the with a collection of information are past 3 years. FDA estimates that eight reporting burden to be 0.5 hours per excluded from the burden estimate if respondents will submit approximately response, for a total burden of 4 hours. the reporting, recordkeeping, or 200 Form FDA 1996 reports annually, FDA estimates that eight respondents disclosure activities needed to comply for a total of 1,600 responses. FDA will submit one Form FDA 1815 report are usual and customary because they estimates the reporting burden to be 1.5 annually, for a total of eight responses. would occur in the normal course of hours per response, for a total burden of FDA estimates the reporting burden to activities. 2,400 hours. be 0.5 hours per response, for a total The Secretary of Health and Human burden of 4 hours. Please note that on January 15, 2008, Services has the discretion to allow With regard to records maintenance, the FDA Division of Dockets Form FDA 1815, a duly certified FDA estimates that approximately eight Management Web site transitioned to statement signed by an accredited recordkeepers will spend 0.05 hours the Federal Dockets Management official of a foreign government, to be annually maintaining the additional System (FDMS). FDMS is a submitted in lieu of Forms FDA 1994 pasteurization records required by Government-wide, electronic docket and 1995. To date, Form FDA 1815 has § 1210.15, for a total of 0.40 hours management system. Electronic been submitted in lieu of these forms. annually. comments or submissions will be Because FDA has not received any No burden has been estimated for the accepted by FDA only through FDMS at Forms FDA 1994 and 1995 in the last 3 tagging requirement in § 1210.22 http://www.regulations.gov. years, the agency estimates no more because the information on the tag is Dated: August 18, 2008. than one will be submitted annually. either supplied by FDA (permit number) FDA estimates the reporting burden for or is disclosed to third parties as a usual Jeffrey Shuren, each to be 0.5 hours per response for a and customary part of the shipper’s Associate Commissioner for Policy and total burden reporting burden of 0.5 normal business activities (type of Planning. hours each. product, shipper’s name and address). [FR Doc. E8–19627 Filed 8–22–08; 8:45 am] FDA estimates that eight respondents Under 5 CFR 1320.3(c)(2), the public BILLING CODE 4160–01–S will submit one Form FDA 1997 report disclosure of information originally annually, for a total of eight responses. supplied by the Federal Government to FDA estimates the reporting burden to the recipient for the purpose of

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DEPARTMENT OF HEALTH AND For Registration to Attend and/or or effective. In addition, the petition HUMAN SERVICES Participate in the Hearing: requested that the agency notify Seating at the hearing is limited. People manufacturers of products whose Food and Drug Administration interested in attending should submit labeling either uses such terms as written or electronic registration to the ‘‘infant’’ or ‘‘baby,’’ or displays images [Docket No. FDA–2008–N–0466] Division of Docket Management (see of children under the age of 6, that such ADDRESSES marketing is not supported by scientific Over the Counter Cough and Cold ) by close of business on evidence and that manufacturers will be Medications for Pediatric Use; Notice September 15, 2008. Registration is free subject to enforcement action at any of Public Hearing and will be on a first-come, first-served basis. Written or electronic comments time. The petition and additional AGENCY: Food and Drug Administration, will be accepted until December 2, information can be found at the HHS. 2008. following Web site: http://www.fda.gov/ ACTION: Notice of public hearing; If you wish to make an oral ohrms/dockets/dockets/07p0074/ request for comments. presentation at the hearing, you must 07p0074.htm. state your intention on your registration Many of today’s OTC cough and cold SUMMARY: The Food and Drug submission (see ADDRESSES). To speak, medicines are marketed under Administration (FDA) is announcing a submit your name, title, business monographs established through the public hearing to obtain input regarding affiliation, address, telephone and fax OTC Drug Review and published in the over-the-counter (OTC) cough and cold numbers, and e-mail address. FDA has Code of Federal Regulations. FDA drugs marketed for pediatric use. Many included questions for comment in initiated the OTC Drug Review in 1972, of these nonprescription cough and cold section II of this document. You should after amendments to the Federal Food, drug products are marketed under the also identify by number each question Drug, and Cosmetic Act in 1962 OTC Drug Review, which established a you wish to address in your required that drugs be shown to be monograph describing the conditions presentation. FDA will do its best to effective as well as safe. Using expert under which certain OTC ingredients accommodate requests to speak. advisory panels to review data, the OTC are considered to be generally Individuals and organizations with Drug Review examined drug ingredients recognized as safe and effective. common interests are urged to marketed OTC in the United States to Recently, safety and efficacy concerns consolidate or coordinate their verify which of these ingredients can be have been raised regarding the pediatric presentations, and to request time for a generally recognized among qualified dosing and use of certain active joint presentation. FDA will determine experts as safe and effective for their ingredients in OTC cough and cold drug the amount of time allotted to each intended uses (GRAS/E). After review products. FDA is developing a proposed presenter and the approximate time that by the panel, FDA published advance rule to revise the pediatric labeling each oral presentation is scheduled to notices of proposed rulemaking for contained in the Final Monograph for begin. active ingredients in various therapeutic Cough, Cold, Allergy, Bronchodilator, If you need special accommodations categories to establish monographs and Antiasthmatic Drug Products for because of a disability, please inform describing the conditions under which Over-the-Counter Human Use. At this Faith Dugan, (see For Information on the the products could be considered public hearing, FDA is interested in Hearing Contact). GRAS/E and marketed under the obtaining public comment about certain For Information on the Hearing monograph without an approved new drug application. Based on the scientific, regulatory, and product use Contact: Faith Dugan, Food and Drug recommendations in the panel reports issues as it proceeds with the Administration, 5600 Fishers Lane, rm. and additional public comments and rulemaking and reviews new drug 14–101, Rockville, MD 20857, 301–796– data, FDA published a proposed rule, applications (NDAs) for these 3446, FAX: 301–847–4752, e-mail: also known as a tentative final ingredients. [email protected]. monograph (TFM), which set forth the Dates and Times: The public hearing SUPPLEMENTARY INFORMATION: FDA’s views on the conditions of use for will be held on October 2, 2008, from the monograph. Finally, based on 8 a.m. to 5 p.m. I. Background additional comments and information Location: The public hearing will be On March 1, 2007, FDA received a submitted in response to the TFM, FDA held at the Sheraton Washington North citizen petition submitted by a number published final monographs. The final Hotel, 4095 Powder Mill Rd., Beltsville, of pediatric health care practitioners monographs, codified in the Code of MD 20705. that raised concerns about the safety Federal Regulations, specify the active ADDRESSES: Submit written registration and efficacy of OTC cough and cold ingredients that are GRAS/E for each and written comments to the Division of products in children less than 6 years indication, and for each such active Dockets Management (HFA–305), Food old. The petition requested that FDA, ingredient, the permitted dosages, and Drug Administration, 5630 Fishers among other actions, amend the OTC claims, and warnings. Products that Lane, rm. 1061, Rockville, MD 20852. drug monograph for Cold, Cough, comply with all specified monograph Submit electronic registration to http:// Allergy, Bronchodilator, and conditions may be marketed without www.regulations.gov. Antiasthmatic Drug Products prior FDA approval. Submit electronic comments to http:// (CCABADP) in 21 CFR part 341 to revise Through the OTC Drug Review, FDA www.regulations.gov. All comments the labeling for OTC antitussive, has established numerous monographs should be identified with the docket expectorant, nasal decongestant, for classes of OTC drug ingredients. number found in brackets in the antihistamine, and combination cough Each completed OTC drug monograph heading of this document. and cold products. The petition considers a particular therapeutic class Transcripts of the hearing will be requested that revised labeling state that of drugs (e.g., antacids, topical available for review at the Division of these products should not be used in antifungal drugs, nighttime sleep aids) Dockets Management and on the children under 6 years of age for the and describes the active ingredients that Internet at http://www.regulations.gov treatment of cough and cold because the have been determined to be GRAS/E approximately 30 days after the hearing. products have not been found to be safe through the OTC Drug Review process,

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with specifications for the amount of adult or child, is dependent upon factors strength of these products, many of drug per dose, labeling, and other such as the drug itself, individual patient them are labeled for pediatric use, general requirements. As long as a variables such as special sensitivity or including some that are labeled for use manufacturer uses ingredients (or tolerance to the specific agent, age, weight in both adults and children. There are combinations of ingredients) that are and metabolic, pathological, or psychological conditions. Children’s dosage calculated by approximately 38 active ingredients in included in the monograph, and follows any method that does not take all of these the final CCABADP monograph. Some the monograph specifications in variables into account, therefore, can only be combination cough and cold products manufacturing and marketing, these considered general guides. contain as many as four of these active ‘‘OTC Monograph’’ products may be Definitive pediatric drug dosage should be ingredients in a single dosage form, sold over the counter without FDA pre- derived from data obtained in clinical trials meaning that patients may be exposed clearance. Drugs that are not covered with children using protocols similar to those to four different active ingredients when under the OTC Drug Review may be used in adult patients. The Panel recognizes using a single product. From 2002 to marketed OTC under the terms of an the extreme difficulties attendant upon such 2006, there were approximately 36 trials but also recognizes the immediate need approved NDA. billion units of combination cough and In the Federal Register of September to make recommendations for pediatric dosage pending availability of such definitive cold products sold each year in the 9, 1976 (41 FR 38312), FDA published data. United States. For liquid formulations an advance notice of proposed Traditionally, pediatric dosage calculations used for the youngest children, there rulemaking (ANPRM) to establish a for infants and children have been based on were approximately 190 million units monograph under § 330.10(a)(6) (21 CFR body surface area, weight, or age of the child sold each year in the combined cough 330.10(a)(6)), for OTC cold, cough, as a proportion of the ‘‘usual adult dose.’’ and cold categories during this period.2 allergy, bronchodilator, and Dosage calculated on the basis of the age of During the past decade, there have antiasthmatic drug products. At the the child, although convenient, may be the been several important new same time, FDA published the least reliable method because of the large developments in the evaluation of safety variation in the weight of patients at a recommendations of the Advisory and efficacy of drugs for pediatric use. Review Panel on OTC Cold, Cough, specific age. However, for OTC products that have a relatively wide margin of safety, the First, the Food and Drug Administration Allergy, Bronchodilator, and Panel has concluded that dosage Modernization Act of 1997 (FDAMA) Antiasthmatic Drug Products (the recommendations based on age are the most (Public Law 105–115) (Nov. 21, 1997) Panel), which was the advisory review reasonable since they would be most easily was enacted, and included a provision panel that evaluated these products. understood by the consumer * * *. to create voluntary incentives to The final CCABADP monograph Unless indicated contrarily, the Panel develop medications for use in the includes GRAS/E active ingredients in recommends the following guidelines for pediatric population. This program was five separate categories: Antihistamines determining safe and effective pediatric reauthorized and expanded first in the dosages for the individual [CCABADP] (13 active ingredients), decongestants Best Pharmaceuticals for Children Act (13 active ingredients), antitussives (10 ingredients discussed in this document: For infants under 2 years of age, the pediatric of 2002 (Public Law 107–109) (January active ingredients), bronchodilator (7 4, 2002), and then again in Title V of the active ingredients), and expectorants (1 dosage should be established by a physician. 1 For children 2 to under 6 years of age, the FDA Amendments Act of 2007 active ingredient). pediatric dosage is 1/4 the adult dosage; for (FDAAA) (Public Law 110–85) Dosing for each active ingredient was children 6 to under 12 years of age, the (September 27, 2007). The Pediatric largely based on the advisory panel dosage is 1/2 the adult dosage * * *. Research Equity Act (PREA) of 2003 recommendations, made in consultation The differences between children under 2 required that drugs be studied in with the Special Panel on Pediatric years of age, and other age groups with pediatric patients in certain Dosage. The following statements respect to the anatomy and physiology circumstances. The PREA requirements appear in the ANPRM: disorders of their respiratory system, their The dosage that will produce optimum responses to diseases affecting the respiratory were reauthorized and expanded by therapeutic effects in a particular patient, system, and their responses to drugs make Title IV of FDAAA in 2007. Collectively, general labeling restrictions for this age group these laws recognize that differences in 1 The FDA issued the tentative final monograph essential. For example, infants because of the metabolism between adults and for single ingredient OTC cold, cough, allergy, smaller diameter of their respiratory airways children, as well as differences between bronchodilator, and antiasthmatic drug products in are particularly prone to the complications of pediatric age groups, may require segments, over a 3-year period. The first segment, respiratory distress during an acute on anticholinergic drug product and expectorant individualized dosing. They also respiratory tract infection such as may occur recognize that there are often differences drug products, was published in the Federal in the ‘‘common cold.’’ Therefore, parents of Register of July 9, 1982 (47 FR 30002). The second children under 2 years of age should be in effects of drugs and in adverse events segment, on bronchodilator drug products, was observed in pediatric patients when published in the Federal Register of October 26, advised to consult a physician for diagnosis 1982 (47 FR 47520). The third segment, on and individualized therapeutic compared to adult patients. Although antitussive drug products, was published in the recommendations, even for symptoms and these laws do not apply to products Federal Register of October 19, 1983 (48 FR 48576). conditions that are considered appropriate marketed under an OTC monograph, The fourth and fifth segments, on nasal for self-medication in older children and data from studies performed under these decongestant drug products and antihistamine drug adults. Because of these considerations, the products, were published in the Federal Register of provisions suggest that children are not January 15, 1985 (50 FR 2200 and 50 FR 2220). The Panel recommends that the general labeling small adults, but rather may have a agency’s tentative final monograph for OTC cough- of [CCABADP] products for use in children response to medication, both beneficial cold combination drug products was published in under 2 years of age requires the advice and the Federal Register of August 12, 1988 (53 FR supervision of a physician * * *. and adverse, that is different from 30522). Final monographs for these OTC drug 41 FR 38312; 38333 (September 9, adults. products also were published in segments between 1976). Given the evolution in our thinking 1985 and 1994: Anticholinergic (50 FR 46582, about the use of drugs in children, the November 8, 1985); bronchodilator (51 FR 35326, We estimate that there are October 2, 1986); antitussive (52 FR 30042, August approximately 10,000 products being passage of more than 30 years since the 12, 1987); expectorant (54 FR 8494, February 28, marketed for cold, cough, or combined 2 1989); antihistamine (57 FR 58356, December 9, indications under the OTC Drug Transcript of joint meeting of the 1992); nasal decongestant (59 FR 43386, August 23, Nonprescription Drug Advisory Committee and the 1994); and combination products (67 FR 78158, Review. (See 67 FR 78158 at 78166.) Pediatric Advisory Committee, October 18, 2007, p. December 23, 2002). Depending on the dosage form and 10.

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recommendations from the advisory at: http://www.fda.gov/cder/drug/ allergic adverse events than older review panels were made, and the advisory/cough_cold_2008.htm. The children. concerns about pediatric cough and cold PHA recommended that these drugs not Cough and cold products are products that have been presented to be used to treat infants and children commonly used in children. A recent FDA, including those raised by the under 2 years of age because serious and report suggested that 1 in 10 children March 1, 2007, citizen petition, the potentially life-threatening side effects uses one or more cough and cold agency has taken a new look at the can occur. The PHA also indicated that products during a given week with assumptions that were used to create the FDA had not yet completed its review exposure being highest among 2 to 5 pediatric conditions for cough and cold of the safety of these medicines in year olds, and high in children under 2.4 medicines contained in the CCABADP children 2 through 11, and the agency Based on the number of cases of serious monograph. As part of this review, FDA committed to completing the review as adverse events reported to FDA and the convened a joint meeting of the quickly as possible. Pending completion number of serious adverse events in the Nonprescription Drugs Advisory of this review, the PHA recommended a CDC emergency room study, we believe Committee and the Pediatric Advisory number of precautions for parents and that serious adverse events are relatively Committee on October 18 and 19, 2007, caregivers using OTC cough and cold rare given the extensive use of the drug to discuss the safety and efficacy of medicines in children 2 years of age and products. these OTC cough and cold products older, including carefully following the Despite the fact that serious adverse marketed for pediatric use. The directions in the Drug Facts label; using events are relatively rare in children using cough and cold drugs, we have discussion at the Advisory Committee appropriate measuring spoons or determined that the collection of meeting addressed a variety of issues instruments made for measuring additional data using modern standards including the extrapolation of efficacy medicines; choosing products with is warranted to support the current data from adults to children of any age safety caps; avoiding concurrent use of dosing or to establish new dosing for cough and cold products; the safety different OTC cough and cold profile of these products in children; the regimens for children, given the medications to avoid unintentional basis for dosing recommendations in the concerns that have been raised about the overdose; not using these products to CCABADP monograph and the use of safety and efficacy of these products, sedate children; and consulting a pharmacokinetic data to determine particularly in younger age groups. Lack physician, pharmacist, or other health appropriate dosing in children; the basis of safety and efficacy data for specific care professional with any questions of dosing recommendations for various pediatric age groups also inhibits the age intervals of less than 2 years, 2 to about using these products in children. conduct of a meaningful risk benefit 5 years of age, and 6 to 11 years of age; In the PHA, we also announced strong analysis under 21 CFR 330.10(a)(4)(iii). the use of the products in children less support for the voluntary action taken We recognize that many scientific than 2 years of age; the potential for by many pharmaceutical manufacturers issues must be addressed and resolved misuse, unintentional overdose, and to withdraw cough and cold medicines to support the development and review excessive dosing; the ability of parents that were being sold for use in children of data that, in the long term, will or caregivers to correctly dose and under 2 years of age. provide increased confidence in the safe administer cough and cold products to Since we issued the Public Health and effective pediatric use of these OTC cough and cold products, either under their children; and the labeling changes Advisory, we have continued our the monograph or approved NDAs. FDA recommended by the petitioner and the review of available data concerning the has decided to hold a Part 15 hearing to effects they would have on the use of use of cough and cold medications in hear from the public, including parents, these products in children and the children, including information from health care practitioners, manufacturers recommendations of health care the Advisory Committee meeting about providers. The 22 person Advisory of cough and cold products, retailers, the efficacy of the products, information and other interested persons, about Committee was nearly unanimous in from FDA’s drug Adverse Event agreeing that new studies were these issues. FDA will consider this Reporting (AERS) database, and a necessary because extrapolation of public input in developing a proposed published report in the medical efficacy data for the common cold rule to amend the CCABADP literature from the Centers for Disease indication from adults to children was monograph to reflect the new data and Control and Prevention (CDC) about not acceptable for children less than 2 any appropriate changes to the children who ingested cough and cold years old or for children 2 years to less conditions necessary to ensure that than 12 years. The vote was 22 to 0 and medicines and had side effects that were these medications can be considered 21 to 1, respectively, for the two age serious enough to require an emergency GRAS/E. room visit.3 While many of the observed groups. The committee understood that II. Scope of Hearing changing the OTC drug monographs adverse events were due to overdoses required rulemaking that would take associated with accidental ingestions or FDA is interested in obtaining public several years to complete. The Advisory dosing errors, allergic and non-allergic comment on the following issues Committee also voted 13 to 9 to adverse events occurred with the relating to the use of pediatric cough recommend that pediatric cough and labeled dose in children. FDA reviewed and cold medicines: cold drugs should not be used for the CDC study and underlying data, 1. What types of studies, if any, children under 6 years of age while particularly looking at the type of events should be conducted to assess rulemaking proceeded, and voted 15 to that occurred with the labeled dose of effectiveness and/or safety, and 7 to recommend that the products OTC cough and cold medications, and 4 should continue, for the time being, to noted that children under 4 years of age Boston University’s Slone Epidemiology Center are more likely to experience non- presention at the 2008 Pediatric Academic be sold for use in children ages 6 to Societies’ & Asian Society for Pediatric Research under 12 while new studies are Joint Meeting in Honolulu, Hawaii. Vernacchio L, conducted. 3 Schaefer MK, Shehab N, Cohen AL, Budnitz DS. Kelly JP, Kaufman DW, Mitchell AA. Cough and Adverse Events From Cough and Cold Medications Cold Medication Use by US Children, 1999–2006: On January 17, 2008, FDA issued a in Children. Pediatrics 2008;121;783–787; originally Results From the Slone Survey, Pediatrics 2008; Public Health Advisory (PHA) available published online Jan 28, 2008. 122:e323-e329.

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determine appropriate dosing of cough accordance with part 15 (21 CFR part be available in either hard copy or on and cold ingredients in the pediatric 15). The hearing will be conducted by CD–ROM, after submission of a population? How should these studies a presiding officer, accompanied by Freedom of Information request. Written be designed and powered? FDA senior management from the Office requests are to be sent to Division of 2. Should cough and cold products for of the Commissioner and the Center for Freedom of Information (HFI–35), Office the pediatric population continue to be Drug Evaluation and Research. of Management Programs, Food and available OTC, or should they be made Under § 15.30(f), the hearing is Drug Administration, 5600 Fishers available only by prescription? informal, and the rules of evidence do Lane, rm. 6–30, Rockville, MD 20857. 3. If the pediatric indications and not apply. No participant may interrupt Interested persons may submit to the dosing for cough and cold products the presentation of another participant. Division of Dockets Management (see were no longer available OTC, would Only the presiding officer and panel ADDRESSES) written or electronic notices the public use the adult formulations of members may question any person of participation and comments for the OTC monograph products for during or at the conclusion of each consideration. children, and thus create a greater risk presentation. Public hearings under part Dated: August 20, 2008. of misuse or overdose? 15 are subject to FDA’s policy and 4. Do the answers to the previous procedures for electronic media Jeffrey Shuren, questions depend on the age of the coverage of FDA’s public administrative Associate Commissioner for Policy and pediatric patients? If so, how should age proceedings (part 10 (21 CFR part 10), Planning. be considered in making regulatory subpart C)). Under § 10.205, [FR Doc. E8–19657 Filed 8–22–08; 8:45 am] decisions for these products? representatives of the electronic media BILLING CODE 4160–01–S 5. At the time the monograph was may be permitted, subject to certain established, FDA routinely extrapolated limitations, to videotape, film, or safety and efficacy data from adults to otherwise record FDA’s public DEPARTMENT OF HEALTH AND children age 12 and over. Current PREA administrative proceedings, including HUMAN SERVICES standards permit extrapolation of presentations by participants. The Indian Health Service pediatric efficacy -- but not safety-- hearing will be transcribed as stipulated based upon sufficient adult data. Does it in § 15.30(b). To the extent that the Request for Public Comment: 60-Day remain appropriate to recommend in the conditions for the hearing, as described Proposed Information Collection: cough and cold monograph that in this document, conflict with any Indian Health Service; HIV Knowledge/ children 12 and over should receive the provisions set out in part 15, this Attitudes/Practice Customer Survey same dose of medication as adults, document acts as a waiver of those without requiring any additional studies provisions as specified in 21 CFR AGENCY: Indian Health Service, HHS. in children in this age group? What 15.30(h). ACTION: Notice. additional safety and/or efficacy studies IV. Comments should be required in this age group? SUMMARY: In compliance with Section 6. What is the most appropriate Regardless of attendance at the public 3506(c)(2)(A) of the Paperwork method for determining pediatric doses hearing, interested persons may submit Reduction Act of 1995 which requires that could be used as an alternative to written or electronic comments to the 60 days for public comment on the quarter- and half-dose assumptions Division of Dockets Management (see proposed information collection used in the monograph? Should ADDRESSES). Submit a single copy of projects, the Indian Health Service (IHS) products be dosed by age, by weight, or electronic comments or two paper is publishing for comment a summary of both? copies of any mailed comments, except a proposed information collection to be 7. There are monographs for topical that individuals may submit one paper submitted to the Office of Management and intranasal ingredients to treat the copy. Comments should be identified and Budget (OMB) for review. common cold. Should these with the docket number found in Proposed Collection: Title: 0917– monographs be considered in a similar brackets in the heading of this NEW, ‘‘Indian Health Service HIV fashion to the oral cough and cold document. To ensure consideration, Knowledge/Attitudes/Practice Customer products? Are the answers to the submit comments by (see DATES). Survey.’’ Type of Information Collection previous questions different for any Received comments may be seen in the Request: This is a one time survey to subcategories of cough and cold Division of Dockets Management deliver the mission of the IHS and medicines (e.g., topical or intranasal between 9 a.m. and 4 p.m., Monday Centers for Disease Control (CDC) products)? through Friday. national guidelines collection, 0917– 8. The CCABADP monograph allows Please note that on January 15, 2008, NEW, ‘‘Indian Health Service HIV for the combination of ingredients to the FDA Division of Dockets Knowledge/Attitudes/Practice Customer treat colds and/or coughs. Should Management Web site transitioned to Survey.’’ Form(s): The Indian Health combination products be permitted for the Federal Dockets Management Service Customer Survey. Need and Use all pediatric age groups? Should data be System (FDMS). FDMS is a of Information Collection: provided to support each unique Government-wide, electronic docket The IHS goal is to raise the health combination? management system. Electronic status of the American Indian and 9. Can measurement errors in dosing comments or submissions will be Alaska Native (AI/AN) people to the be reduced using more standardized accepted by FDA through FDMS only. highest possible level by providing measuring devices or alternative dosage comprehensive health care and V. Transcripts forms and, if so, what is the best way preventive health services. To support to effect this change? Please be advised that as soon as a the IHS mission, the Division of transcript is available, it will be Epidemiology and Disease Prevention III. Notice of Hearing Under 21 CFR accessible at http:// (DEDP) and the Human Part 15 www.regulations.gov. It may be viewed Immunodeficiency Virus (HIV) Program The Commissioner is announcing that at the Division of Dockets Management collaborate to provide programmatic, the public hearing will be held in (see ADDRESSES). A transcript will also technical, and financial assistance to

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IHS Areas and Service Units for how to best scale up screening for questionnaires, face-to-face interviews, improving prevention, detection, and sensitive topics such as HIV and STDs and potentially electronic media. The treatment of infectious and chronic in AI/AN communities. Also, the information gathered will be used by disease, specifically in this case, HIV information will give IHS the tools to DEDP and the HIV Program to identify and Sexually Transmitted Disease assist our Service Units with how patients would prefer to be offered (STD). implementation of current national expanded testing in a way that is The ‘‘HIV Knowledge/Attitudes/ recommendations by CDC. At the respectful, confidential, and effective. Practice Customer Survey’’ (hereto moment, we are encouraging uptake of Affected Public: Individuals. Type of referred to as Customer Survey), will current CDC national recommendations; Respondents: IHS customers. provide the information needed to however, without this information, we The table below provides: Types of understand the most effective and are unable to maximize effectiveness, data collection instruments, Estimated appropriate methods to complete these dispel myths, and identify number of respondents, Number of goals. With the information collected misinformation. responses per respondent, Average from patients, we will be able to offer Voluntary customer surveys will be burden hour per response, and Total recommendations to Service Units on conducted through self-administered annual burden hour(s).

ESTIMATED BURDEN HOURS

Estimated Responses Average Data collection instrument number of per burden hour Total annual respondents respondent per response burden hours

Customer survey ...... 1000 1 10/60 166

Total ...... 1000 ...... 166

There are no Capital Costs, Operating received within 60 days of the date of Form(s): The Indian Health Service HP/ Costs, and/or Maintenance Costs to this publication. DP Interview Survey. Need and Use of report. Dated: August 18, 2008. Information Collection: The IHS goal is Request for Comments: Your written Robert G. McSwain, to raise the health status of the American Indian and Alaska Native (AI/ comments and/or suggestions are Director, Indian Health Service. invited on one or more of the following AN) people to the highest possible level [FR Doc. E8–19479 Filed 8–22–08; 8:45 am] points: (a) Whether the information by providing comprehensive health care collection activity is necessary to carry BILLING CODE 4165–16–M and preventive health services. HP/DP out an agency function; (b) whether the is one of the three IHS Director’s agency processes the information DEPARTMENT OF HEALTH AND Initiatives to reduce health disparities collected in a useful and timely fashion; HUMAN SERVICES among AI/AN populations through a (c) the accuracy of the public burden coordinated and systematic approach to estimate (the estimated amount of time Indian Health Service enhance health promotion and chronic needed for individual respondents to disease prevention approaches at the provide the requested information); (d) Request for Public Comment: 60-Day local, regional, and national levels. whether the methodology and Proposed Information Collection: The HP/DP competitive grant was assumptions used to determine the Indian Health Service; Health established in 2005 to encourage Tribal estimates are logical; (e) ways to Promotion/Disease Prevention Grantee and urban Indian programs to fully enhance the quality, utility, and clarity Survey engage their local schools, communities, of the information being collected; and AGENCY: Indian Health Service, HHS. health care providers, health centers, (f) ways to minimize the public burden faith-based/spiritual communities, ACTION: Notice. through the use of automated, senior centers, youth programs, local electronic, mechanical, or other SUMMARY: In compliance with Section governments, academia, non-profit technological collection techniques or 3506(c)(2)(A) of the Paperwork organizations, and many other other forms of information technology. Reduction Act of 1995 which requires community sectors to work together to Send Comments and Requests for 60 days for public comment on enhance and promote health and Further Information: Send your written proposed information collection prevent chronic disease in their comments, requests for more projects, the Indian Health Service (IHS) communities. Thirty-three Tribal/urban information on the proposed collection, is publishing for comment a summary of Indian organizations and programs were or requests to obtain a copy of the data a proposed information collection to be awarded competitive grants to expand collection instrument(s) and submitted to the Office of Management and enhance health promotion and instructions to: Ms. Janet Ingersoll, and Budget (OMB) for review. disease prevention to address health Acting IHS Reports Clearance Officer, Proposed Collection: Title: 0917– disparities among AI/AN populations. 801 Thompson Avenue, TMP 450, NEW, ‘‘Indian Health Service Health To conduct a thorough evaluation of Rockville, MD 20852–1627; call non-toll Promotion/Disease Prevention Grantee the grant program, 29 telephone and free (301) 443–6177; send via facsimile Survey.’’ Type of Information Collection four face-to-face interviews will be to (301) 443–2316; or send your E-mail Request: This is a one time survey to conducted to collect information to requests, comments, and return address fulfill an OMB request for an complete a quantitative and qualitative to: [email protected]. independent external evaluation evaluation of the HP/DP grant program. Comment Due Date: Your comments collection, 0917–NEW, ‘‘Indian Health The teleconference interviews may regarding this information collection are Service Health Promotion/Disease include one staff member per site. Each best assured of having full effect if Prevention (HP/DP) Grantee Survey.’’ of the Tribal/urban organization/

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programs will determine the number of with recommendations to enhance The table below provides: Types of their staff members that will participate program effectiveness. The information data collection instruments, Estimated in the interview. The evaluation will gathered will be used to prepare a final number of respondents, Number of include an assessment of whether HP/ report for OMB. Affected Public: responses per respondent, Average DP grantees achieve measurable health Individuals. Type of Respondents: burden hour per response, and Total outcomes, synthesize the evaluation Tribal/Urban organizations program annual burden hour(s). findings, and include a written report staff.

ESTIMATED BURDEN HOURS

Estimated Responses Average Data collection instrument number of per burden hour Total annual respondents respondent per response burden hours

HP/DP Grantees Telephone and Face-to-Face Interview Survey ...... 231 1 1 231

Total ...... 231 ...... 231

There are no Capital Costs, Operating DEPARTMENT OF HEALTH AND Security and Governmental Affairs, and Costs, and/or Maintenance Costs to HUMAN SERVICES the Administrator, Office of Information report. and Regulatory Affairs, OMB on August Request for Comments: Your written Indian Health Service 25, 2008. To ensure that all parties have comments and/or suggestions are adequate time in which to comment, the Privacy Act of 1974; Report of Modified invited on one or more of the following modified SOR will become effective 40 or Altered System Medical, Health and points: (a) Whether the information Billing Records System days from the publication of the notice, collection activity is necessary to carry or from the date it was submitted to out an agency function; (b) whether the AGENCY: Indian Health Service (IHS), OMB and the Congress, whichever is agency processes the information HHS. later, unless IHS invites comments on collected in a useful and timely fashion; ACTION: Notice of Proposed Modification all portions of this notice. (c) the accuracy of the public burden or Alteration to a System of Records ADDRESSES: The public should address estimate (the estimated amount of time (SOR). needed for individual respondents to comments to: Mr. William Tibbitts, IHS provide the requested information); (d) SUMMARY: In accordance with the Privacy Act/HIPAA Privacy Officer, whether the methodology and requirements of the Privacy Act of 1974, Office of Management Services, Division assumptions used to determine the IHS is proposing to modify or alter an of Regulatory Affairs, Records Access estimates are logical; (e) ways to SOR, ‘‘Medical, Health and Billing and Policy Liaison, 801 Thompson enhance the quality, utility, and clarity Records,’’ System No. 09–17–0001. IHS Avenue, TMP, Suite 450, Rockville, MD of the information being collected; and is proposing to amend routine use 20852–1627; call non-toll free (301) (f) ways to minimize the public burden number 10 to be more consistent with 443–1116; send via facsimile to (301) through the use of automated, the Health Insurance Portability and 443–2316, or send your e-mail requests, electronic, mechanical, or other Accountability Act (HIPAA) Privacy comments, and return address to: technological collection techniques or Rule language, 45 CFR 164.512(b) by [email protected]. other forms of information technology. changing the language to state ‘‘which Send Comments and Requests for are authorized by applicable Federal, FOR FURTHER INFORMATION CONTACT: Ms. Further Information: Send your written State, Tribal or local law * * *,’’ which Patricia Gowan, IHS Lead Health comments, requests for more would give IHS the discretion of Information Management (HIM) information on the proposed collection, allowing additional disclosures. For Consultant and Area HIM Consultant, or requests to obtain a copy of the data example, this change will give IHS the Phoenix Area Office, Two Renaissance collection instrument(s) and discretion to disclose controlled Square, 40 North Central Avenue, instructions to: Ms. Janet Ingersoll, substance prescription data to a Phoenix, AZ 85004–4450, Telephone Acting IHS Reports Clearance Officer, centralized database administered by an (602) 364–5172. 801 Thompson Avenue, TMP 450, authorized State public health entity, SUPPLEMENTARY INFORMATION: Rockville, MD 20852–1627; call non-toll such as state prescription drug IHS free (301) 443–6177; send via facsimile monitoring programs (PMP). IHS is also initiated a national workgroup to (301) 443–2316; or send your e-mail proposing to add routine use number 25 consisting of IHS Chief Medical Officers requests, comments, and return address to meet the newly established (CMOs) and the IHS National Pharmacy to: [email protected]. requirement by the Office of Council (NPC) to assist the IHS in Comment Due Date: Your comments Management and Budget (OMB) systematically addressing the issue of regarding this information collection are Memoranda (M) 07–16, Safeguarding prescription drug abuse. Currently, best assured of having full effect if Against and Responding to the Breach approximately 35 States have controlled received within 60 days of the date of of Personally Identifiable Information substances prescription reporting this publication. and to Comply with HHS Incident systems that allow providers to monitor Reporting and Handling Requirements. their patient’s prescriptions and access Dated: August 18, 2008. Effective Dates: IHS filed an altered/ to controlled substances. Robert G. McSwain, modified system report with the Chair Director, Indian Health Service. of the House Committee on Oversight [FR Doc. E8–19480 Filed 8–22–08; 8:45 am] and Government Reform, the Chair of BILLING CODE 4165–16–M the Senate Committee on Homeland

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Dated: August 18, 2008. suspected and confirmed abuse and 5. To contribute to continuing Robert G. McSwain, neglect, immunizations, suicidal education of IHS staff to improve the Director, Indian Health Service. behavior, or disabilities. delivery of health care services. 3. Logs of individuals provided health 6. For disease surveillance purposes. 09–17–0001 care by staff of specific hospital or clinic For example: (a) The Centers for Disease Control SYSTEM NAME: departments such as surgery, emergency, obstetric delivery, medical and Prevention may use these records to Medical, Health, and Billing Records imaging, and laboratory. monitor various communicable Systems, Health and Human Services/ 4. Surgery and/or disease indices for diseases; Indian Health Service/Office of Clinical individual facilities that list each (b) The National Institutes of Health and Preventive Services, (HHS/IHS/ relevant individual by the surgery or may use these records to review the OCPS). disease. prevalence of particular diseases (e.g., SECURITY CLASSIFICATION: 5. Monitoring strips and tapes such as malignant neoplasms, diabetes mellitus, fetal monitoring strips and None. arthritis, metabolism, and digestive Electroencephalogram (EEG) and diseases) for various ethnic groups of SYSTEM LOCATION: Electrocardiogram (EKG) tapes. the United States; or IHS hospitals, health centers, school 6. Third-party reimbursement and (c) Those public health authorities health centers, health stations, field billing records containing name, that are authorized by law and clinics, Service Units, IHS Area Offices address, date of birth, dates of service, epidemiology centers established and third-party insurer claim numbers, SSN, (Appendix 1), and Federal Archives and funded under 25 U.S.C. 1621m may use health plan name, insurance number, Records Centers (Appendix 2). these records to collect or receive such employment status, and other relevant Automated, electronic and information for purposes of preventing claim information necessary to process computerized records, including Patient or controlling disease, injury, or and validate third-party reimbursement Care Component (PCC) records, are disability, including, but not limited to, claims. the reporting of disease, injury, vital stored at the Information Technology 7. Contract Health Service (CHS) Support Center (ITSC), IHS, located in events such as birth or death and the records containing name, address, date conduct of public health surveillance, Albuquerque, New Mexico (Appendix of birth, dates of care, Medicare or 1). Records may also be located at investigations, and interventions. Medicaid claim numbers, SSN, health 7. To compile and provide aggregated contractor sites. A current list of plan name, insurance number, contractor sites is available by writing to program statistics. Upon request of other employment status, and other relevant components of HHS, IHS will provide the appropriate System Manager (Area claim information necessary to or Service Unit Director/Chief Executive statistical information, from which determine CHS eligibility and to process individual/personal identifiers have Officer) at the address shown in CHS claims. Appendix 1. been removed, such as: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: (a) To the National Committee on CATEGORIES OF INDIVIDUALS COVERED BY THE Departmental Regulations (5 U.S.C. Vital and Health Statistics for its SYSTEM: 301) ; Privacy Act of 1974 (5 U.S.C. dissemination of aggregated health Individuals, including both IHS 552a); Federal Records Act (44 U.S.C. statistics on various ethnic groups; beneficiaries and non-beneficiaries, who 2901); Section 321 of the Public Health (b) To the Assistant Secretary for are examined/treated on an inpatient Service Act, as amended (42 U.S.C. Planning and Evaluation, Health Policy and/or outpatient basis by IHS staff and/ 248); Section 327A of the Public Health to keep a record of the number of or contract health care providers Service Act, as amended (42 U.S.C. sterilizations provided by Federal (including Tribal contractors). 254a); Snyder Act (25 U.S.C. 13); Indian funding; (c) To the Centers for Medicare & CATEGORIES OF RECORDS IN THE SYSTEM: Health Care Improvement Act (25 U.S.C. 1601 et seq.); and the Transfer Act of Medicaid Services (CMS) to document Note: Records relating to claims by and 1954 (42 U.S.C. 2001–2004). IHS health care covered by the Medicare against the HHS are maintained in the and Medicaid programs for third-party Administrative Claims System, 09–90–0062, PURPOSES: reimbursement; or HHS/Office of the Secretary/Office of the The purposes of this system are: (d) To the Office of Clinical Standards General Counsel (HHS/OS/OGC). Such 1. To provide a description of an and Quality, CMS to determine the claims include those arising under the individual’s diagnosis, treatment and prevalence of end-stage renal disease Federal Torts Claims Act, Military Personnel outcome, and to plan for immediate and among the American Indian and Alaska and Civilian Employees Claims Act, Federal future care of the individual. Native (AI/AN) population and to Claims Collection Act, Federal Medical Care 2. To collect and provide information coordinate individual care. Recovery Act, and Act for Waiver of to IHS officials and epidemiology 8. To process and collect third-party Overpayment of Pay. centers established and funded under 25 claims and facilitate fiscal intermediary 1. Health and medical records U.S.C. 1621m in order to evaluate health functions and to process debt collection containing examination, diagnostic and care programs and to plan for future activities. treatment data, proof of IHS eligibility, needs. 9. To improve the IHS national social data (such as name, address, date 3. To serve as a means of patient care database by means of of birth, Social Security Number (SSN), communication among members of the obtaining and verifying an individual’s Tribe), laboratory test results, and health care team who contribute to the SSN with the Social Security dental, social service, domestic individual’s care; e.g., to integrate Administration (SSA). violence, sexual abuse and/or assault, information from field visits with 10. To provide information to organ mental health, and nursing information. records of treatment in IHS facilities and procurement organizations or other 2. Follow-up registers of individuals with non-IHS health care providers. entities engaged in the procurement, with a specific health condition or a 4. To serve as the official banking, or transplantation of organs to particular health status such as cancer, documentation of an individual’s health facilitate organ, eye, or tissue donation diabetes, communicable diseases, care. and transplant.

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11. To provide information to 1. Records may be disclosed to 9. Records may be disclosed for individuals about treatment alternatives Federal and non-Federal (public or research purposes to the extent or other types of health-related benefits private) health care providers that permitted by: and services. provide health care services to IHS (a) Determining that the use(s) or 12. To provide information to the individuals for purposes of planning for disclosure(s) are met under 45 CFR Food and Drug Administration (FDA) in or providing such services, or reporting 164.512(i), or connection with an FDA-regulated results of medical examination and (b) Determining that the use(s) or product or activity. treatment. disclosure(s) are met under 45 CFR 13. To provide information to 2. Records may be disclosed to 164.514 (a) through (c) for de-identified correctional institutions as necessary for Federal, State, local or other authorized PHI, and 5 U.S.C. 552a(b) (5), or (c) health and safety purposes. organizations that provide third-party Determining that the requirements of 45 14. To provide information to reimbursement or fiscal intermediary CFP. 164.514(e) for limited data sets, governmental authorities (e.g., social functions for the purposes of billing or and 5 U.S.C. 552a.(b)(5) are met. services or protective services agencies) collecting third-party reimbursements. 10. Information from records, on victims of abuse, neglect, sexual Relevant records may be disclosed to including but not limited to information assault or domestic violence. debt collection agencies under a concerning the commission of crimes, 15. To provide information to the business associate agreement suspected cases of abuse (including National Archives and Records arrangement directly or through a third child, elder and sexual abuse), the Administration in records management party. reporting of neglect, sexual assault or inspections conducted under the domestic violence, births, deaths, authority of 44 U.S.C. 2901, et seq. 3. Records may be disclosed to State alcohol or drug abuse, immunization, 16. To provide relevant health care agencies or other entities acting cancer, or the occurrence of information to funeral directors or pursuant to a contract with CMS, for communicable diseases, may be representatives of funeral homes to fraud and abuse control efforts, to the disclosed to public health authorities, allow necessary arrangements prior to extent required by law or under an epidemiology centers established and and in anticipation of an individual’s agreement between IHS and respective funded under 25 U.S.C. 1621m, and impending death. state Medicaid agency or other entities. other appropriate government 4. Records may be disclosed to school authorities which are authorized by ROUTINE USES OF RECORDS MAINTAINED IN THE health care programs that serve AI/AN SYSTEM, INCLUDING CATEGORIES OF USERS AND applicable Federal, State, Tribal or local THE PURPOSES OF SUCH USES: for the purpose of student health law or regulations to receive such maintenance. This system of records contains information. individually identifiable health 5. Records may be disclosed to the Note: In Federally conducted or assisted information. The HHS Privacy Act Bureau of Indian Affairs (BIA) or its alcohol or drug abuse programs, under 42 Regulations (45 CFR Part 5b) and the contractors under an agreement between CFR Part 2, disclosure of patient information Privacy Rule (45 CFR Parts 160 and 164) IHS and the BIA relating to disabled AI/ for purposes of criminal investigations must AN children for the purposes of carrying be authorized by court order issued under 42 issued pursuant to the HIPAA of 1996 CFR 2.65, except that reports of suspected apply to most health information out its functions under the Individuals with Disabilities Education Act (IDEA), child abuse may be made to the appropriate maintained by IHS. Those regulations State or local authorities under State law. may place additional procedural 20 U.S.C. 1400, et seq. 11. Information may be disclosed requirements on the uses and 6. Records may be disclosed to from these records regarding suspected disclosures of such information beyond organizations deemed qualified by the cases of child abuse to: those found in the Privacy Act of 1974 secretary of HHS and under a business associate agreement to carry out quality (a) Federal, State or Tribal agencies or mentioned in this system of records that need to know the information in the notice. An accounting of all disclosures assessment/improvement, medical audits, utilization review or to provide performance of their duties, and of a record made pursuant to the (b) Members of community child accreditation or certification of health following routine uses will be made and protection teams for the purposes of care facilities or programs. maintained by IHS for five years or for investigating reports of suspected child the life of the records, whichever is 7. Records may be disclosed under a abuse, establishing a diagnosis, longer. business associate agreement to formulating or monitoring a treatment Note: Special requirements for alcohol and individuals or authorized organizations plan, and making recommendations to drug abuse patients: If an individual receives sponsored by IHS, such as the National the appropriate court. Community child treatment or a referral for treatment for Indian Women’s Resource Center, to protection teams are comprised of alcohol or drug abuse, then the conduct analytical and evaluation representatives of Tribes, the BIA, child Confidentiality of Alcohol and Drug Abuse studies. protection service agencies, the judicial Patient Records Regulations, 42 CFR Part 2 8. Disclosure may be made to a may apply. In general, under these system, law enforcement agencies and regulations, the only disclosures of the congressional office from the record of IHS. alcohol or drug abuse record that may be an individual in response to an inquiry 12. IHS may disclose information made without patient consent are: (1) To from the congressional office made at from these records in litigations and/or meet medical emergencies (42 CFR 2.51), (2) the request of that individual. An proceedings related to an administrative For research, audit, evaluation and authorization, Form IHS–810, is claim when: examination (42 CFR 2.52–2.53), (3) Pursuant required for the disclosure of sensitive (a) IHS has determined that the use of to a court order (42 CFR 2.61–2.67), and PHI (e.g., alcohol/drug abuse patient such records is relevant and necessary (4) Pursuant to a qualified service information, Human Immunodeficiency to the litigation and/or proceedings organization agreement, as defined in 42 CFR 2.11. In all other situations, written consent Virus/Acquired Immune Deficiency related to an administrative claim and of the individual is usually required prior to Syndrome (HIV/AIDS), Sexually would help in the effective disclosure of alcohol or drug abuse Transmitted Diseases (STDs), or mental representation of the affected party information under the routine uses listed health) that is maintained in the listed in subsections (i) through (iv) below. medical record. below, and that such disclosure is

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compatible with the purpose for which public to establish the individual’s professional counselor and shall follow the records were collected. Such presence (and location when needed for standard counseling practices; and disclosure may be made to the HHS/ visitation purposes) or to report the (e) IHS has advised the partner(s) to OGC and/or Department of Justice individual’s condition while whom information is disclosed that they (DOJ), pursuant to an agreement hospitalized (e.g., satisfactory or stable), shall not re-disclose or use such between IHS and OGC, when any of the unless the individual objects to information for a purpose other than following is a party to litigation and/or disclosure of this information. IHS may that for which the disclosure was made. proceedings related to an administrative provide the religious affiliation only to 20. Records may be disclosed to claim or has an interest in the litigation members of the clergy. Federal and non-Federal protection and and/or proceedings related to an 18. Information may be disclosed to a advocacy organizations that serve AI/ administrative claim: relative, a close personal friend, or any AN for the purpose of investigating (i) HHS or any component thereof; or other person identified by the incidents of abuse and neglect of (ii) Any HHS employee in his or her individual that is directly relevant to individuals with developmental official capacity; or that person’s involvement with the disabilities (including mental (iii) Any HHS employee in his or her individual’s care or payment for health disabilities), as defined in 42 U.S.C. individual capacity where the DOJ (or care. 10801–10805(a) (4) and 42 CFR 51.41– HHS, where it is authorized to do so) Information may also be used or 46, to the extent that such disclosure is has agreed to represent the employee; or disclosed in order to notify a family authorized by law and the conditions of (iv) The United States or any agency member, personal representative, or 45 CFR 1386.22(a)(2) are met. thereof (other than HHS) where HHS/ other person responsible for the 21. Records of an individual may be disclosed to a correctional institution or OGC has determined that the litigation individual’s care, of the individual’s a law enforcement official, during the and/or proceedings related to an location, general condition or death. period of time the individual is either administrative claim is likely to affect If the individual is present for, or an inmate or is otherwise in lawful HHS or any of its components. otherwise available prior to, a use or (b) In the litigation and/or custody, for the provision of health care disclosure, and is competent to make proceedings related to an administrative to the individual or for health and safety health care decisions; claim described in subsection (a) above, purposes. Disclosure may be made upon (a) May use or disclose after the information from these records may be the representation of either the facility obtains the individual’s consent, disclosed to a court or other tribunal, or institution or a law enforcement official (b) Provides the individual with the to another party before such tribunal in that disclosure is necessary for the opportunity to object and the individual response to an order of a court or provision of health care to the does not object, or administrative tribunal, provided that individual, for the health and safety of (c) It could reasonably infer, based on the covered entity discloses only the the individual and others (e.g. , other professional judgment, that the information expressly authorized by inmates, employees of the correctional individual does not object. such order. facility, transport officers), and for 13. Records may be disclosed under a If the individual is not present, or the facility administration and operations. business associate agreement to an IHS opportunity to agree or object cannot This routine use applies only for as long contractor for the purpose of practicably be provided due to as the individual remains in lawful computerized data entry, medical incapacity or emergent circumstances, custody, and does not apply once the transcription, duplication services, or an IHS health care provider may individual is released on parole or maintenance of records contained in determine, based on professional placed on either probation or on this system. judgment, whether disclosure is in the supervised release, or is otherwise no 14. Records may be disclosed under a individual’s best interest, and if so, may longer in lawful custody. personal services contract or other disclose only what is directly relevant to 22. Records including patient name, agreement to student volunteers, the individual’s health care. date of birth, SSN, gender and other individuals working for IHS, and other 19. Information concerning exposure identifying information may be individuals performing functions for to the HIV may be disclosed, to the disclosed to the SSA as is reasonably IHS who do not technically have the extent authorized by Federal, State or necessary for the purpose of conducting status of agency employees, if they need Tribal law, to the sexual and/or needle- an electronic validation of the SSN(s) the records in the performance of their sharing partner(s) of a subject individual maintained in the record to the extent agency functions. who is infected with HIV under the required under an agreement between 15. Records regarding specific following circumstances: IHS and SSA. medical services provided to a (a) The information has been obtained 23. Disclosure of relevant health care unemancipated minor individual may in the course of clinical activities at IHS information may be made to funeral be disclosed to the unemancipated facilities; directors or representatives of funeral minor’s parent or legal guardian who (b) IHS has made reasonable efforts to homes in order to allow them to make previously consented to those specific counsel and encourage the subject necessary arrangements prior to and in medical services, to the extent permitted individual to provide information to the anticipation of an individual’s under 45 CFR 164.502(g). individual’s sexual or needle-sharing impending death. 16. Records may be disclosed to an partner(s); 24. Records may be disclosed to a individual having authority to act on (c) IHS determines that the subject public or private covered entity that is behalf of an incompetent individual individual is unlikely to provide the authorized by law or charter to assist in concerning health care decisions, to the information to the sexual or needle- disaster relief efforts (e.g., the Red Cross extent permitted under 45 CFR sharing partner(s) or that the provision and the Federal Emergency Management 164.502(g). of such information cannot reasonably Administration), for purposes of 17. Information may be used or be verified; coordinating information with other disclosed from an IHS facility directory (d) The notification of the partner(s) is similar entities concerning an in response to an inquiry about a named made, whenever possible, by the subject individual’s health care, payment for individual from a member of the general individual’s physician or by a health care, notification of the

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individual’s whereabouts and his or her authorizations, accessibility levels, agreements and the system manager or health status or death. expirations or denials, including his/her designee oversee compliance 25. To appropriate Federal agencies passwords, encryptions or other devices with these contract requirements. and Department contractors that have a to gain access. Combinations and/or 4. Implementing Guidelines: HHS need to know the information for the electronic passcards on door locks are Chapter 45–10 and supplementary purpose of assisting the Department’s changed periodically and whenever an Chapter PHS.hf: 45–10 of the General efforts to respond to a suspected or IHS employee resigns, retires or is Administration Manual; HHS, confirmed breach of the security or reassigned. ‘‘Automated Information Systems confidentiality of information 3. Procedural Safeguards: Within Security Program Handbook,’’ as maintained in this system of records, each facility a list of personnel or amended; HHS IRM Policy HHS–IRM– and the information disclosed is categories of personnel having a 2000–0005, ‘‘IRM Policy for IT Security relevant and necessary for that demonstrable need for the records in the assistance. performance of their duties has been for Remote Access’’; OMB Circular A– developed and is maintained. 130 ‘‘Management of Federal POLICIES AND PRACTICES FOR STORING, Procedures have been developed and Information Resources’’; HIPAA RETRIEVING, ACCESSING, RETAINING, AND implemented to review one-time Security Standards for the Protection of DISPOSING OF RECORDS IN THE SYSTEM: requests for disclosure to personnel who Electronic Protected Health Information, STORAGE: may not be on the authorized user list. 45 CFR 164.302 through 164.318; and E- File folders, ledgers, card files, Proper charge-out procedures are Government Act of 2002 (Pub. L. 107– microfiche, microfilm, computer tapes, followed for the removal of all records 347, 44 U.S.C. Ch 36). disk packs, digital photo discs, and from the area in which they are automated, computer-based or maintained. Records may not be RETENTION AND DISPOSAL: electronic files. removed from the facility except in Patient listings which may identify certain circumstances, such as individuals are maintained in IHS Area RETRIEVABILITY: compliance with a valid court order or and Program Offices permanently. Indexed by name, record number, and shipment to the Federal Records Inactive records are held at the facility SSN and cross-indexed. Center(s). Persons who have a need to that provided health and billing services know are entrusted with records from SAFEGUARDS: this system of records and are instructed from three to seven years and then are Safeguards apply to records stored on- to safeguard the confidentiality of these transferred to the appropriate Federal site and off-site. records. These individuals are to make Records Center (FRC). Monitoring strips 1. Authorized Users: Access is limited no further disclosure of the records and tapes (e.g., fetal monitoring strips, to authorized IHS personnel, volunteers, except as authorized by the system EEG and EKG tapes) that are not stored IHS contractors, subcontractors, and manager and permitted by the Privacy in the individual’s official medical other business associates in the Act and the HIPAA Privacy Rule as record are stored at the health facility performance of their duties. Examples of adopted, and to destroy all copies or to for one year and are then transferred to authorized personnel include: Medical return such records when the need to the appropriate FRC. (See Appendix 2 records personnel, business office know has expired. Procedural for FRC addresses). In accordance with personnel, contract health staff, health instructions include the statutory the records disposition authority care providers, authorized researchers, penalties for noncompliance. approved by the Archivist of the United medical audit personnel, health care The following automated information States, paper records are maintained for team members, and legal and systems (AIS) security procedural 75 years after the last episode of administrative personnel on a need to safeguards are in place for automated individual care except for billing know basis. health and medical records maintained records. The retention and disposal 2. Physical Safeguards: Records are in the RPMS. A profile of automated methods for billing records will be in kept in locked metal filing cabinets or systems security is maintained. Security accordance with the approved IHS in a secured room or in other monitored clearance procedures for screening Records Schedule. The disposal areas accessible to authorized users at individuals, both Government and methods of paper medical and health all times when not actually in use contractor personnel, prior to their records will be in accordance with the during working hours and at all times participation in the design, operation, approved IHS Records Schedule. The during non-working hours. Magnetic use or maintenance of IHS AIS are electronic data consisting of the tapes, disks, other computer equipment implemented. The use of current individual personal identifiers and PHI (e.g., pc workstations) and other forms passwords and log-on codes are maintained in the RPMS or any of personal data are stored in areas required to protect sensitive automated subsequent revised IHS database system where fire and life safety codes are data from unauthorized access. Such should be inactivated once the paper strictly enforced. Telecommunication passwords and codes are changed record is forwarded to the appropriate equipment (e.g., computer terminal, periodically. An automated or electronic FRC. servers, modems and disks) of the audit trail is maintained and reviewed Resource and Patient Management periodically. Only authorized IHS SYSTEM MANAGER(S) AND ADDRESS: System (RPMS) are maintained in Division of Information Resources staff locked rooms during non-working may modify automated files in batch Policy Coordinating Official: Director, hours. Network (Internet or Intranet) mode. Personnel at remote terminal OCPS, IHS, Reyes Building, 801 access of authorized individual(s) to sites may only retrieve automated or Thompson Avenue, Suite 300, various automated and/or electronic electronic data. Such retrievals are Rockville, Maryland, 20852–1627. See programs or computers (e.g., desktop, password protected. Privacy Act Appendix 1. The IHS Area Office laptop, handheld or other computer requirements, HIPAA Privacy and Directors, Service Unit Directors/Chief types) containing protected personal Security Rule requirements and Executive Officers and Facility Directors identifiers or PHI is reviewed specified AIS security provisions are listed in Appendix 1 are System periodically and controlled for specifically included in contracts and Managers.

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NOTIFICATION PROCEDURE: minor children and legal guardians or Director, Lower Brule Indian Health Center, General Procedure: Requests must be personal representatives of legally P.O. Box 191, Lower Brule, South Dakota made to the appropriate System incompetent individuals shall verify 57548. Manager (IHS Area, Program Office their own identification in the manner Director, McLaughlin Indian Health Center, Director or Service Unit Director/Chief described above, as well as their P.O. Box 879, McLaughlin, South Dakota 57642. Executive Officer). A subject individual relationship to the individual whose Director, Omaha-Winnebago Service Unit, who requests a copy of, or access to, his record is sought. A copy of the child’s Winnebago Indian Hospital, Winnebago, or her medical record shall, at the time birth certificate or court order Nebraska 68071. the request is made, designate in writing establishing legal guardianship may be Director, Pine Ridge Service Unit, Pine Ridge a responsible representative who will be required if there is any doubt regarding Indian Hospital, Pine Ridge, South Dakota willing to review the record and inform the relationship of the individual to the 57770. the subject individual of its contents. patient. Director, Rapid City Service Unit, Rapid City Such a representative may be an IHS Indian Hospital, 3200 Canyon Lake Drive, health professional. When a subject RECORD ACCESS PROCEDURES: Rapid City, South Dakota 57701. individual is seeking to obtain Same As Notification Procedures: Director, Rosebud Service Unit, Rosebud information about himself/herself that Requesters may write, call or visit the Indian Hospital, Rosebud, South Dakota last IHS facility where medical care was 57570. may be retrieved by a different name or Director, Sisseton-Wahpeton Service Unit, provided. Requesters should also identifier than his/her current name or Sisseton Indian Hospital, P.O. Box 189, identifier, he/she shall be required to provide a reasonable description of the Sisseton, South Dakota 57262. produce evidence to verify that he/she record being sought. Requesters may Director, Standing Rock Service Unit, Fort is the person whose record he/she seeks. also request an accounting of Yates Indian Hospital, P.O. Box J, Fort No verification of identity shall be disclosures that have been made of their Yates, North Dakota 58538. required where the record is one that is record, if any. Director, Trenton-Williston Indian Health required to be disclosed under the Contesting Record Procedures: Center, P.O. Box 210, Trenton, North Freedom of Information Act. Where Requesters may write, call or visit the Dakota 58853. applicable, fees for copying records will appropriate IHS Area/Program Office Director, Turtle Mountain Service Unit, be charged in accordance with the Director or Service Unit Director/Chief Belcourt Indian Hospital, P.O. Box 160, schedule set forth in 45 CFR Part 5b. Executive Officer at his/her address Belcourt, North Dakota 58316. Director, Wanblee Indian Health Center, 100 Requests in Person: Identification specified in Appendix 1, and specify the Clinic Drive, Wanblee, South Dakota papers with current photographs are information being contested, the 57577. preferred but not required. If a subject corrective action sought, and the Director, Yankton-Wagner Service Unit, individual has no identification but is reasons for requesting the correction, Wagner Indian Hospital, 110 Washington personally known to the designated along with supporting information to Street, Wagner, South Dakota 57380. agency employee, such employee shall show how the record is inaccurate, Director, Youth Regional Treatment Center, make a written record verifying the incomplete, untimely, or irrelevant. P.O. Box 68, Mobridge, South Dakota subject individual’s identity. If the 57601. subject individual has no identification RECORD SOURCE CATEGORIES: Director, Sac & Fox Health Center, 307 papers, the responsible system manager Individual and/or family members, Meskwaki Road, Tama, Iowa 52339. or designated agency official shall IHS health care personnel, contract Director, Santee Health Center, 425 Frazier require that the subject individual health care providers, State and local Avenue, N ST Street #2, Niobrara, Nebraska 68760. certify in writing that he/she is the health care provider organizations, Director, Alaska Area Native Indian Health individual whom he/she claims to be Medicare and Medicaid funding Service, 4141 Ambassador Drive, Suite and that he/she understands that the agencies, and the SSA. 300, Anchorage, Alaska 99508–5928. knowing and willful request or Director, Albuquerque Area Indian Health SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS acquisition of records concerning an Service, 5300 Homestead Road, NE, OF THE ACT: individual under false pretenses is a Albuquerque, New Mexico 87110. criminal offense subject to a $5,000 fine. None. Director, Acoma-Canoncito-Laguna Service If an individual is unable to sign his/her Appendix 1—System Managers and Unit, Acoma-Canoncito-Laguna Indian Hospital, P.O. Box 130, San Fidel, New name when required, he/she shall make IHS Locations Under Their Jurisdiction Mexico 87049. his/her mark and have the mark verified Where Records Are Maintained: in writing by two additional persons. Director, To’Hajille Health Center, P.O. Box Requests by Mail: Written requests Director, Aberdeen Area Indian Health 3528, Canoncito, New Mexico 87026. Service, Room 309, Federal Building, 115 Director, New Sunrise Treatment Center, P.O. must contain the name and address of Box 219, San Fidel, New Mexico 87049. the requester, his/her date of birth and Fourth Avenue, SE, Aberdeen, South Dakota 57401. Director, Albuquerque Service Unit, at least one other piece of information Director, Cheyenne River Service Unit, Eagle Albuquerque Indian Hospital, 801 Vassar that is also contained in the subject Butte Indian Hospital, P.O. Box 1012, Eagle Drive, NE, Albuquerque, New Mexico record, and his/her signature for Butte, South Dakota 57625. 87049. comparison purposes. If the written Director, Crow Creek Service Unit, Ft. Director, Albuquerque Indian Dental Clinic, request does not contain sufficient Thompson Indian Health Center, P.O. Box P.O. Box 67830, Albuquerque, New Mexico information, the System Manager shall 200, Ft. Thompson, South Dakota 57339. 87193. inform the requester in writing that Director, Fort Berthold Service Unit, Fort Director, Alamo Navajo Health Center, P.O. additional, specified information is Berthold Indian Health Center, P.O. Box Box 907, Magdalena, New Mexico 87825. Director, Jemez PHS Health Center, P.O. Box required to process the request. 400, New Town, North Dakota 58763. Director, Carl T. Curtis Health Center, P.O. 279, Jemez, New Mexico 87024 Requests by Telephone: Since positive Box 250, Macy, Nebraska 68039. Director, Santa Ana PHS Health Center, P.O. identification of the caller cannot be Director, Fort Totten Service Unit, Fort Box 37, Bernalillo, New Mexico 87004. established, telephone requests are not Totten Indian Health Center, P.O. Box 200, Director, Sandia PHS Health Center, P.O. Box honored. Fort Totten, North Dakota 58335. 6008, Bernalillo, New Mexico 87004. Parents, Legal Guardians and Director, Kyle Indian Health Center, P.O. Box Director, Zia PHS Health Center, 155 Capital Personal Representatives: Parents of 540, Kyle, South Dakota 57752. Square, Zia, New Mexico 87053.

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Director, Santa Fe Service Unit, Santa Fe 650 Capitol Mall, Suite 7–100, Sacramento, Director, Claremore Service Unit, Claremore Indian Hospital, 1700 Cerrillos Road, Santa California 95814. Comprehensive Indian Health Facility, Fe, New Mexico 87501. Director, Nashville Area Indian Health West Will Rogers Boulevard and Moore, Director, Santa Clara Health Center, RR5, Service, 711 Stewarts Ferry Pike, Claremore, Oklahoma 74017. P.O. Box 446, Espanola, New Mexico Nashville, Tennessee 37214–2634. Director, Clinton Service Unit, Clinton Indian 87532. Director, Catawba PHS Indian Nation of Hospital, Route 1, P.O. Box 3060, Clinton, Director, San Felipe Health Center, P.O. Box South Carolina, P.O. Box 188, Catawba, Oklahoma 73601–9303. 4344, San Felipe, New Mexico 87001. South Carolina 29704. Director, El Reno PHS Indian Health Clinic, Director, Cochiti Health Center, P.O. Box 105, Director, Unity Regional Youth Treatment 1631A E. Highway 66, El Reno, Oklahoma 255 Cochiti Street, Cochiti, New Mexico Center, P.O. Box C–201, Cherokee, North 73036. 87072. Carolina 28719. Director, Watonga Indian Health Center, Director, Santo Domingo Health Center, P.O. Director, Navajo Area Indian Health Service, Route 1, Box 34–A, Watonga, Oklahoma Box 340, Santo Domingo, New Mexico P.O. Box 9020, Highway 264, Window 73772. 87052. Rock, Arizona 86515–9020. Director, Haskell Service Unit, PHS Indian Director, Southern Colorado-Ute Service Director, Chinle Service Unit, Chinle Health Center, 2415 Massachusetts Unit, P.O. Box 778, Ignacio, Colorado Comprehensive Health Care Facility, P.O. Avenue, Lawrence, Kansas 66044. 81137. Drawer PH, Chinle, Arizona 86503. Director, Lawton Service Unit, Lawton Indian Director, Ignacio Indian Health Center, P.O. Director, Tsaile Health Center, P.O. Box 467, Hospital, 1515 Lawrie Tatum Road, Box 889, Ignacio, Colorado 81137. Navajo Routes 64 and 12, Tsaile, Arizona Lawton, Oklahoma 73501. Director, Towaoc Ute Health Center, Towaoc, 86556. Director, Anadarko Indian Health Center, Colorado 81334. Director, Rock Point Field Clinic, do Tsaile P.O. Box 828, Anadarko, Oklahoma 73005. Director, Jicarilla Indian Health Center, P.O. Health Center, P.O. Box 647, Tsaile, Director, Carnegie Indian Health Center, P.O. Box 187, Dulce, New Mexico 87528. Arizona 86557. Box 1120, Carnegie, Oklahoma 73150. Director, Mescalero Service Unit, Mescalero Director, Pinon Health Station, Pinon, Director, Holton Service Unit, PHS Indian Indian Hospital, P.O. Box 210, Mescalero, Arizona 86510. Health Center, 100 West 6th Street, Holton, New Mexico 88340. Director, Crownpoint Service Unit, Kansas 66436. Director, Taos/Picuris Indian Health Center, Crownpoint Comprehensive Health Care Director, Pawnee Service Unit, Pawnee P.O. Box 1956, 1090 Goat Springs Road, Facility, P.O. Box 358, Crownpoint, New Indian Service Center, RR2, Box 1, Pawnee, Taos, New Mexico 87571. Mexico 87313. Oklahoma 74058–9247. Director, Zuni Service Unit, Zuni Indian Director, Pueblo Pintado Health Station, c/o Director, Pawhuska Indian Health Center, Hospital, Zuni, New Mexico 87327. Crownpoint Comprehensive Health Care 715 Grandview, Pawhuska, Oklahoma Director, Pine Hill Health Center, P.O. Box Facility, P.O. Box 358, Crownpoint, New 74056. 310, Pine Hill, New Mexico 87357. Mexico 87313. Director, Tahlequah Service Unit, W. W. Director, Bemidji Area Indian Health Service, Director, Fort Defiance Service Unit, Fort Hastings Indian Hospital, 100 S5. Bliss, 522 Minnesota Avenue, N.W., Bemidji, Defiance Indian Hospital, P.O. Box 649, Tahlequah, Oklahoma 74464. Minnesota 56601. Intersection of Navajo Routes N12 and N7, Director, Wewoka Indian Health Center, P.O. Director, Red Lake Service Unit, PHS Indian Fort Defiance, Arizona 86515. Hospital, Highway 1, Red Lake, Minnesota Director, Nahata Dziil Health Center, P.O. Box 1475, Wewoka, Oklahoma 74884. 56671. Box 125, Sanders, Arizona 86512. Director, Phoenix Area Indian Health Director, Leech Lake Service Unit, PHS Director, Gallup Service Unit, Gallup Indian Service, Two Renaissance Square, 40 North Indian Hospital, 425 7th Street, NW, Cass Medical Center, P.O. Box 1337, Nizhoni Central Avenue, Phoenix, Arizona 85004. Lake, Minnesota 56633. Boulevard, Gallup, New Mexico 87305. Director, Colorado River Service Unit, Director, White Earth Service Unit, PHS Director, Tohatchi Indian Health Center, P.O. Chemehuevi Indian Health Clinic, P.O. Box Indian Hospital, P.O. Box 358, White Earth, Box 142, Tohatchi, New Mexico 87325. 1858, Havasu Landing, California 92363. Minnesota 56591. Director, Ft. Wingate Health Station, do Director, Colorado River Service Unit, Director, Billings Area Indian Health Service, Gallup Indian Medical Center, P.O. Box Havasupai Indian Health Station, P.O. Box P.O. Box 36600, 2900 4th Avenue North, 1337, Gallup, New Mexico 87305. 129, Supal, Arizona 86435. Billings, Montana 59101. Director, Kayenta Service Unit, Kayenta Director, Colorado River Service Unit, Parker Director, Blackfeet Service Unit, Browning Indian Health Center, P.O. Box 368, Indian Health Center, 12033 Agency Road, Indian Hospital, P.O. Box 760, Browning, Kayenta, Arizona 86033. Parker, Arizona 85344. Montana 59417. Director, Inscription House Health Center, Director, Colorado River Service Unit, Peach Director, Heart Butte PHS Indian Health P.O. Box 7397, Shonto, Arizona 86054. Springs Indian Health Center, P.O. Box Clinic, Heart Butte, Montana 59448. Director, Dennehotso Clinic, do Kayenta 190, Peach Springs, Arizona 86434. Director, Crow Service Unit, Crow Indian Health Center, P.O. Box 368, Kayenta, Director, Colorado River Service Unit, Hospital, Crow Agency, Montana 59022. Arizona 86033. Sherman Indian High School, 9010 Director, Lodge Grass PHS Indian Health Director, Shiprock Service Unit, Northern Magnolia Avenue, Riverside, California Center, Lodge Grass, Montana 59090. Navajo Medical Center, P.O. Box 160, U.S. 92503. Director, Pryor PHS Indian Health Clinic, Hwy 491 North, Shiprock, New Mexico Director, Elko Service Unit, Newe Medical P.O. Box 9, Pryor, Montana 59066. 87420. Clinic, 400 ‘‘A’’ Newe View, Ely, Nevada Director, Fort Peck Service Unit, Poplar Director, Dzilth-Na-O-Dith—Hle Indian 89301. Indian Hospital, Poplar, Montana 59255. Health Center, 6 Road 7586, Bloomfield, Director, Elko Service Unit, Southern Bands Director, Fort Belknap Service Unit, Harlem New Mexico 87413. Health Center, 515 Shoshone Circle, Elko, Indian Hospital, Harlem, Montana 59526. Director, Teecnospos Health Center, P.O. Box Nevada 89801. Director, Hays PHS Indian Health Clinic, 103, N5114 BIA School Road, Teecnospos, Director, Fort Yuma Service Unit, Fort Yuma Hays, Montana 59526. Arizona 86514. Indian Hospital, P.O. Box 1368, Fort Yuma, Director, Northern Cheyenne Service Unit, Director, Sanostee Health Station, do Arizona 85366. Lame Deer Indian Health Center, Lame Northern Navajo Medical Center, P.O. Box Director, Keams Canyon Service Unit, Hopi Deer, Montana 59043. 160, Shiprock, New Mexico 87420. Health Care Center, P.O. Box 4000, Director, Wind River Service Unit, Fort Director, Toadlena Health Station, do Polacca, Arizona 86042. Washakie Indian Health Center, Fort Northern Navajo Medical Center, P.O. Box Director, Schurz Service Unit, Schurz Service Washakie, Wyoming 82514. 160, Shiprock, New Mexico 87420. Unit Administration, Drawer A, Schurz, Director, Arapahoe Indian Health Center, Director, Teen Life Center, c/o Northern Nevada 89427. Arapahoe, Wyoming 82510. Navajo Medical Center, P.O. Box 160, Director, Fort McDermitt Clinic, P.O. Box Director, Chief Redstone Indian Health Shiprock, New Mexico 87420. 315, McDermitt, Nevada 89421. Center, Wolf Point, Montana 59201. Director, Oklahoma City Area Indian Health Director, Phoenix Service Unit, Phoenix Director, California Area Indian Health Service, Five Corporation Plaza, 3625 NW Indian Medical Center, 4212 North 16th Service, John E. Moss Federal Building, Street, Oklahoma City, Oklahoma 73112. Street, Phoenix, Arizona 85016.

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Director, Phoenix Service Unit, Salt River Trapelo Road, Waltham, Massachusetts Reduction Act of 1995, the National Health Center, 10005 East Osborn Road, 02452–6399. Institutes of Health (NIH) has submitted Scottsdale, Arizona 85256. Northeast Region, Federal Archives and to the Office of Management and Budget Director, San Carlos Service Unit, Bylas Records Center, 10 Conte Drive, Pittsfield, (OMB) a request to review and approve Indian Health Center, P.O. Box 208, Bylas, Massachusetts 01201–8230. Arizona 85550. Mid-Atlantic Region and Pennsylvania, the information collection listed below. Director, San Carlos Service Unit, San Carlos Federal Archives and Records Center, This proposed information collection Indian Hospital, P.O. Box 208, San Carlos, 14700 Townsend Road, Philadelphia, was previously published in the Federal Arizona 85550. Pennsylvania 19154–1096. Register on June 16, 2008, pages 34026– Director, Unitah and Ouray Service Unit, Fort Alabama, Florida, Georgia, Kentucky, 34027, and allowed 60 days for public Duchesne Indian Health Center, P.O. Box Mississippi, North Carolina, South comment. No public comments were 160, Ft. Duchesne, Utah 84026. Carolina, and Tennessee, Federal Archives received. The purpose of this notice is and Records Center, 1557 St. Joseph Director, Whiteriver Service Unit, Cibecue to allow an additional 30 days for public Health Center, P.O. Box 37, Cibecue, Avenue, East Point, Georgia 30344–2593. Arizona 85941. Illinois, Indiana, Michigan, Minnesota, Ohio comment. The NIH may not conduct or Director, Whiteriver Service Unit, Whiteriver and Wisconsin and U.S. Court Records for sponsor, and the respondent is not Indian Hospital, P.O. Box 860, Whiteriver, the mentioned States, Federal Archives required to respond to, information that Arizona 85941. and Records Center, 7358 South Pulaski has been extended, revised or Director, Desert Vision Youth Wellness Road, Chicago, Illinois 60629–5898. implemented on or after October 1, Center/RTC, P.O. Box 458, Sacaton, AZ Michigan, Except U.S. Court Records, Federal 2008, unless it displays a currently valid Records Center, 3150 Springboro Road, 85247. OMB control number. Director, Portland Area Indian Health Dayton, Ohio 45439–1883. Service, Room 476, Federal Building, 1220 Kansas, Iowa, Missouri and Nebraska, and Proposed Collection: Title: National Southwest Third Avenue, Portland, Oregon U.S. Court Records for the mentioned Institutes of Health Construction 97204–2829. States, Federal Archives and Records Grants—42 CFR Part 52b (Final Rule). Director, Colville Service Unit, Colville Center, 2312 East Bannister Road, Kansas Type of Information Collection Request: Indian Health Center, P.O. Box 71–Agency City, Missouri 64131–3011. Extension of No. 0925–0424, expiration Campus, Nespelem, Washington 99155. New Jersey, New York, Puerto Rico, and the U.S. Virgin Islands, and U.S. Court Records date 8/31/2008. Need and Use of the Director, Fort Hall Service Unit, Not-Tsoo Information Collection: This request is Gah-Nee Health Center, P.O. Box 717, Fort for the mentioned States and territories, Hall, Idaho 83203. 200 Space Center Drive, Lee’s Summit, for OMB review and approval of an Director, Neah Bay Service Unit, Sophie Missouri 64064–1182. extension for the information collection Trettevick Indian Health Center, P.O. Box Arkansas, Louisiana, Oklahoma and Texas, and recordkeeping requirements 410, Neah Bay, Washington 98357. and U.S. Courts Records for the mentioned contained in the regulation codified at Director, Warm Springs Service Unit, Warm States, Federal Archives and Records 42 CFR Part 52b. The purpose of the Springs Indian Health Center, P.O. Box Center, P.O. Box 6216, Ft. Worth, Texas regulation is to govern the awarding and 1209, Warm Springs, Oregon 97761. 76115–0216. Colorado, Wyoming, Utah, Montana, New administration of grants awarded by Director, Weilpinit Service Unit, David C. NIH and its components for Wynecoop Memorial Clinic, P.O. Box 357, Mexico, North Dakota, and South Dakota, Weilpinit, Washington 99040. and U.S. Courts Records for the mentioned construction of new buildings and the Director, Western Oregon Service Unit, States, Federal Archives and Records alteration, renovation, remodeling, Chemawa Indian Health Center, 3750 Center, P.O. Box 25307, Denver, Colorado improvement, expansion, and repair of Chemawa Road, NE, Salem, Oregon 97305– 80225–0307. existing buildings, including the 1198. Northern California Except Southern provision of equipment necessary to Director, Yakama Service Unit, Yakama California, Hawaii, and Nevada Except make the buildings (or applicable part of Indian Health Center, 401 Buster Road, Clark County, the Pacific Trust Territories, the buildings) suitable for the purpose and American Samoa, and U.S. Courts Toppenish, Washington 98948. for which it was constructed. In terms Director, Tucson Area Indian Health Service, Records for the mentioned States and 7900 South ‘‘J’’ Stock Road, Tucson, territories, Federal Archives and Records of reporting requirements: Section Arizona 85746–9352. Center, 1000 Commodore Drive, San 52b.9(b) of the regulation requires the Director, Pascua Yaqui Service Unit, Division Bruno, California 94066–2350. transferor of a facility which is sold or of Public Health, 7900 South ‘‘J’’ Stock Arizona, Southern California, and Clark transferred, or owner of a facility, the Road, Tucson, Arizona 85746. County, Nevada, and U.S. Courts Records use of which has changed, to provide Director, San Xavier Indian Health Center, for the mentioned States, Federal Archives written notice of the sale, transfer or 7900 South ‘‘J’’ Stock Road, Tucson, and Records Center, 23123 Cajalco Road, change within 30 days. Section 52b.10(f) Arizona 85746. Perris, California 93570–7298. Washington, Oregon, Idaho and Alaska, and requires a grantee to submit an Director, Sells Service Unit, Santa Rosa approved copy of the construction Indian Health Center, HCO1, P.O. Box U.S. Courts Records for the mentioned 8700, Sells, Arizona 85634. States, Federal Archives and Records schedule prior to the start of Director, Sells Service Unit, Sells Indian Center, 6125 Sand Point Way NE, Seattle, construction. Section 52b.10(g) requires Hospital, P.O. Box 548, Sells, Arizona Washington 98115–7999. a grantee to provide daily construction 85634. [FR Doc. E8–19481 Filed 8–22–08; 8:45 am] logs and monthly status reports upon Director, Sells Service Unit, West Side Health BILLING CODE 4165–16–M request at the job site. Section 52b.11(b) Station, P.O. Box 548, Sells, Arizona requires applicants for a project 85634. involving the acquisition of existing Appendix 2—Federal Archives and DEPARTMENT OF HEALTH AND facilities to provide the estimated cost of Records Centers HUMAN SERVICES the project, cost of the acquisition of existing facilities, and cost of District of Columbia, Maryland Except U.S. National Institutes of Health remodeling, renovating, or altering Court Records for Maryland, Washington facilities to serve the purposes for which National Records Center, 4205 Suitland Submission for OMB Review; they are acquired.In terms of Road, Suitland, Maryland 20746–8001. Comment Request; National Institutes Connecticut, Maine, Massachusetts, New of Health Construction Grants recordkeeping requirements: Section Hampshire, Rhode Island, and Vermont, 52b.10(g) requires grantees to maintain Federal Archives and Records Center, SUMMARY: Under the provisions of daily construction logs and monthly Frederick C. Murphy Federal Center, 380 Section 3507(a)(1)(D) of the Paperwork status reports at the job site. Frequency

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of Response: On occasion. Affected Grantees. The estimated respondent Public: Non-profit organizations and burden is as follows: Federal agencies. Type of respondents:

ESTIMATED ANNUAL REPORTING AND RECORDKEEPING BURDEN

Number of Frequency of Average time Annual hour respondents response per response burden

Reporting: Section 52b.9(b) ...... 1 1 .50 .50 Section 2b.10(f) ...... 60 1 1 .0 60 Section 2b.10(g) ...... 60 12 1.0 720 Section 2b.11(b) ...... 100 1 1.0 100 Recordkeeping: Section 2b.10(g) ...... 60 260 1 .0 15,600

Totals ...... 281 16,480.5

The annualized cost to the public, Rockville, Maryland 20852; call 301– Place: National Institutes of Health, 6701 based on an average of 60 active grants 496–4607 (this is not a toll free number) Rockledge Drive, Bethesda, MD 20892 in the construction phase, is estimated or e-mail your request to (Telephone Conference Call). at: $576,818. There are no Capital Costs [email protected]. Contact Person: Rossana Berti, PhD, Scientific Review Officer, Center for to report. There are no operating or Comments Due Date: Comments Scientific Review, National Institutes of Maintenance Costs to report. regarding this information collection are Health, 6701 Rockledge Drive, Room 3191, Request for Comments: Written best assured of having their full effect if MSC 7846, Bethesda, MD 20892, 301–402– comments and/or suggestions from the received within 30 days of the date of 6411, [email protected]. public and affected agencies should this publication. This notice is being published less than 15 address one or more of the following days prior to the meeting due to the timing points: (1) Evaluate whether the Dated: August 19, 2008. limitations imposed by the review and proposed collection of information and Jerry Moore, funding cycle. recordkeeping are necessary for the Regulations Officer, National Institutes of Name of Committee: Center for Scientific proper performance of the function of Health. Review Special Emphasis Panel, Cell Biology Member Conflicts. the agency, including whether the [FR Doc. E8–19585 Filed 8–22–08; 8:45 am] information will have practical utility; Date: September 12, 2008. BILLING CODE 4140–01–P Time: 2 p.m. to 6 p.m. (2) evaluate the accuracy of the agency’s Agenda: To review and evaluate grant estimate of the burden of the proposed applications. collection of information and DEPARTMENT OF HEALTH AND Place: National Institutes of Health, 6701 recordkeeping, including the HUMAN SERVICES Rockledge Drive, Bethesda, MD 20892, methodology and assumptions used; (3) (Telephone Conference Call). enhance the quality, utility, and clarity National Institutes of Health Contact Person: Noni Byrnes, PhD, of the information to be collected and Scientific Review Officer, Center for the recordkeeping information to be Center for Scientific Review; Notice of Scientific Review, National Institutes of Closed Meetings Health, 6701 Rockledge Drive, Room 5130, maintained; and (4) minimize the MSC 7840, Bethesda, MD 20892, (301) 435– burden of the collection of information Pursuant to section 10(d) of the 1023, [email protected]. on those who are to respond, including This notice is being published less than 15 the use of appropriate automated, Federal Advisory Committee Act, as days prior to the meeting due to the timing electronic, mechanical, or other amended (5 U.S.C. Appendix 2), notice limitations imposed by the review and technological collection and is hereby given of the following funding cycle. recordkeeping techniques of other forms meetings. Name of Committee: Center for Scientific of information technology. The meetings will be closed to the Review Special Emphasis Panel Member Direct Comments to OMB: Written public in accordance with the Conflicts: Auditory and Vestibular comments and/or suggestions regarding provisions set forth in sections Neuroscience. the item(s) contained in this notice, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Date: September 16–17, 2008. especially regarding the estimated Time: 6 a.m. to 5 p.m. as amended. The grant applications and Agenda: To review and evaluate grant public burden and associated response the discussions could disclose applications. time, should be directed to the Office of confidential trade secrets or commercial Place: National Institutes of Health, 6701 Regulatory Affairs, property such as patentable material, Rockledge Drive, Bethesda, MD 20892, [email protected] or by and personal information concerning (Virtual Meeting). fax to 202–395–6974, Attention: Desk individuals associated with the grant Contact Person: John Bishop, PhD, Officer for NIH. To request more applications, the disclosure of which Scientific Review Officer, Center for information on the proposed project or would constitute a clearly unwarranted Scientific Review, National Institutes of to obtain a copy of the data collection Health, 6701 Rockledge Drive, Room 5180, invasion of personal privacy. MSC 7844, Bethesda, MD 20892, (301) 435– plans and instruments, contact Jerry Name of Committee: Center for Scientific 1250, [email protected]. Moore, NIH Regulations Officer, Office Review Special Emphasis Panel Virology. Name of Committee: Center for Scientific of Management Assessment, Division of Date: September 8, 2008. Review Special Emphasis Panel Member Management Support, National Time: 10 a.m. to 12 p.m. Conflict: Taste/Pain. Institutes of Health, 6011 Executive Agenda: To review and evaluate grant Date: September 16–17, 2008. Boulevard, Room 601, MSC 7669, applications. Time: 8 p.m. to 5 p.m.

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Agenda: To review and evaluate grant MSC 7854, Bethesda, MD 20892, (301) 435– Place: Marriott Key Bridge, 1401 Lee applications. 1170, [email protected]. Highway, Arlington, VA 22209. Place: National Institutes of Health, 6701 Name of Committee: Infectious Diseases Contact Person: Robert C. Elliott, PhD, Rockledge Drive, Bethesda, MD 20892, and Microbiology Integrated Review, Group Scientific Review Officer, Center for (Virtual Meeting). Host Interactions with Bacterial Pathogens Scientific Review, National Institutes of Contact Person: Bernard F. Driscoll, PhD, Study Section. Health, 6701 Rockledge Drive, Room 3130, Scientific Review Officer, Center for Date: October 2, 2008. MSC 7850, Bethesda, MD 20892, 301–435– Scientific Review, National Institutes of Time: 8 a.m. to 7 p.m. 3009, [email protected]. Health, 6701 Rockledge Drive, Room 5184, Agenda: To review and evaluate grant Name of Committee: Integrative, MSC 7844, Bethesda, MD 20892, (301) 435– applications. Functional and Cognitive Neuroscience, 1242, [email protected]. Place: The Avenue Hotel, 160 E. Huron Integrated Review Group Somatosensory and Name of Committee: Center for Scientific Street, Chicago, IL 60611. Chemosensory Systems Study Section. Review Special Emphasis Panel Multiscale Contact Person: Marian Wachtel, PhD, Date: October 7–8, 2008. Models of the Physiome. Scientific Review Officer, Center for Time: 8 a.m. to 5 p.m. Date: September 17, 2008. Scientific Review, National Institutes of Agenda: To review and evaluate grant Time: 8 a.m. to 6 p.m. Health, 6701 Rockledge Drive, Room 3208, applications. Agenda: To review and evaluate grant MSC 7858, Bethesda, MD 20892, 301–435– Place: One Washington Circle Hotel, One applications. 1148, [email protected]. Washington Circle, NW., Washington, DC Place: The Carlyle Suites, 1731 New Name of Committee: Surgical Sciences, 20037. Hampshire Avenue, NW., Washington, DC Biomedical Imaging and Bioengineering, Contact Person: Daniel R. Kenshalo, PhD, 20009. Integrated Review Group Bioengineering, Scientific Review Officer, Center for Contact Person: George W. Chacko, PhD, Technology and Surgical Sciences Study Scientific Review, National Institutes of Scientific Review Officer, Center for Section. Health, 6701 Rockledge Drive, Room 5182, Scientific Review, National Institutes of Date: October 6–7, 2008. MSC 7844, Bethesda, MD 20892, 301–435– Health, 6701 Rockledge Drive, Room 5170, Time: 8 a.m. to 4 p.m. 1255, [email protected]. MSC 7849, Bethesda, MD 20892, 301–435– Agenda: To review and evaluate grant Name of Committee: Cell Biology 1245, [email protected]. applications. Integrated Review Group Nuclear Dynamics Place: Holiday Inn Fisherman’s Wharf, and Transport. Name of Committee: Center for Scientific 1300 Columbus Avenue, San Francisco, CA Date: October 7–8, 2008. Review Special Emphasis Panel, Special 94133. Time: 8 a.m. to 5 p.m. Topics in Bioengineering Sciences and Contact Person: Dharam S. Dhindsa, DVM, Agenda: To review and evaluate grant Technologies. PhD, Scientific Review Officer, Center for applications. Date: September 18, 2008. Scientific Review, National Institutes of Place: George Washington University Inn, Time: 10 a.m. to 12:30 p.m. Health, 6701 Rockledge Drive, Room 5110, 824 New Hampshire Avenue, NW., Agenda: To review and evaluate grant MSC 7854, Bethesda, MD 20892, (301) 435– Washington, DC 20037. applications. 1174, [email protected]. Contact Person: Jonathan Arias, PhD, Place: National Institutes of Health, 6701 Name of Committee: Surgical Sciences, Scientific Review Officer, Center for Rockledge Drive, Bethesda, MD 20892, Biomedical Imaging and Bioengineering, Scientific Review, National Institutes of (Telephone Conference Call). Integrated Review Group Medical Imaging Health, 6701 Rockledge Drive, Room 5170, Contact Person: Steven J. Zullo, PhD, Study Section. MSC 7840, Bethesda, MD 20892, 301–435– Scientific Review Officer, Center for Date: October 6, 2008. 2406, [email protected]. Scientific Review, National Institutes of Time: 8 a.m. to 5 p.m. Name of Committee: Integrative, Health, 6701 Rockledge Drive, Room 5146, Agenda: To review and evaluate grant Functional and Cognitive Neuroscience MSC 7849, Bethesda, MD 20892, 301–435– applications. Integrated Review Group Neurobiology of 2810, [email protected]. Place: Hilton Crystal City, 2399 Jefferson Motivated Behavior Study Section. Name of Committee: Center for Scientific Davis Highway, Arlington, VA 22202, Date: October 7–8, 2008. Review Special Emphasis Panel, LIRR and (Virtual Meeting). Time: 8 a.m. to 5 p.m. RIBT Member Conflicts. Contact Person: Antonio Sastre, PhD, Agenda: To review and evaluate grant Date: September 23–24, 2008. Scientific Review Officer, Center for applications. Time: 8 a.m. to 6 p.m. Scientific Review, National Institutes of Place: Sir Francis Drake Hotel, 450 Powell Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 5215, Street, San Francisco, CA 94102. applications. MSC 7412, Bethesda, MD 20892, 301–435– Contact Person: Edwin C. Clayton, PhD, Place: National Institutes of Health, 6701 2592, [email protected]. Scientific Review Officer, Center for Rockledge Drive, Bethesda, MD 20892, Name of Committee: Oncological Sciences Scientific Review, National Institutes of (Virtual Meeting). Integrated Review Group Tumor Health, 6701 Rockledge Drive, Room 5095C, Contact Person: George M. Barnas, PhD, Microenvironment Study Section. MSC 7844, Bethesda, MD 20892, (301) 402– Scientific Review Officer, Center for Date: October 6–7, 2008. 1304, [email protected]. Scientific Review, National Institutes of Time: 8 a.m. to 5 p.m. Name of Committee: Biological Chemistry Health, 6701 Rockledge Drive, Room 2180, Agenda: To review and evaluate grant and Macromolecular Biophysics, Integrated MSC 7818, Bethesda, MD 20892, 301–435– applications. Review Group Macromolecular Structure and 0696, [email protected]. Place: Ritz-Carlton Hotel, 1700 Tysons Function D Study Section. Name of Committee: Surgical Sciences, Boulevard, McLean, VA 22102. Date: October 7–8, 2008. Biomedical Imaging and Bioengineering Contact Person: Eun Ah Cho, PhD, Time: 8 a.m. to 5:30 p.m. Integrated Review Group Surgery, Scientific Review Officer, Center for Agenda: To review and evaluate grant Anesthesiology and Trauma Study Section. Scientific Review, National Institutes of applications. Date: October 1–2, 2008. Health, 6701 Rockledge Drive, Room 6202, Place: Hotel Rouge, 1315 16th Street, Time: 8 a.m. to 11 a.m. MSC 7804, Bethesda, MD 20892, (301) 451– Washington, DC 20036. Agenda: To review and evaluate grant 4467, [email protected]. Contact Person: James W. Mack, PhD, applications. Name of Committee: Emerging Scientific Review Officer, Center for Place: Holiday Inn Fisherman’s Wharf, Technologies and Training Neurosciences, Scientific Review, National Institutes of 1300 Columbus Avenue, San Francisco, CA Integrated Review Group Neurotechnology Health, 6701 Rockledge Drive, Room 4154, 94133. Study Section. MSC 7806, Bethesda, MD 20892, (301) 435– Contact Person: Weihua Luo, MD, PhD, Date: October 7–8, 2008. 2037, [email protected]. Scientific Review Officer, Center for Time: 8 a.m. to 5 p.m. Name of Committee: Bioengineering Scientific Review, National Institutes of Agenda: To review and evaluate grant Sciences & Technologies Integrated Review Health, 6701 Rockledge Drive, Room 5114, applications. Group Microscopic Imaging Study Section.

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Date: October 7, 2008. MSC 7806, Bethesda, MD 20892, 301–435– 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Time: 8 a.m. to 5 p.m. 2681, [email protected]. as amended. The grant applications Agenda: To review and evaluate grant (Catalogue of Federal Domestic Assistance and/or contract proposals and the applications. Program Nos. 93.306, Comparative Medicine; discussions could disclose confidential Place: Crowne Plaza, Washington National 93.333, Clinical Research, 93.306, 93.333, Airport, 1489 Jefferson Davis Highway, trade secrets or commercial property 93.337, 93.393–93.396, 93.837–93.844, such as patentable material, and Arlington, VA 22202. 93.846–93.878, 93.892, 93.893, National Contact Person: Ross D. Shonat, PhD, Institutes of Health, HHS) personal information concerning Scientific Review Officer, Center for individuals associated with the grant Scientific Review, National Institutes of Dated: August 15, 2008. applications and/or contract proposals, Health, 6701 Rockledge Drive, Room 5156, Jennifer Spaeth, the disclosure of which would MSC 7849, Bethesda, MD 20892, 301–435– Director, Office of Federal Advisory constitute a clearly unwarranted 2786, [email protected]. Committee Policy. invasion of personal privacy. Name of Committee: Center for Scientific [FR Doc. E8–19438 Filed 8–22–08; 8:45 am] Name of Committee: National Advisory Review Special Emphasis Panel Clinical BILLING CODE 4140–01–M Molecular Imaging. Council on Minority Health and Health Date: October 7, 2008. Disparities. Date: September 16, 2008. Time: 8 a.m. to 5 p.m. DEPARTMENT OF HEALTH AND Agenda: To review and evaluate grant Closed: 8 a.m. to 9:30 a.m. applications. HUMAN SERVICES Agenda: To review and evaluate grant Place: Hilton Crystal City, 2399 Jefferson applications and/or proposals. Davis Highway, Arlington, VA 22202. National Institutes of Health Place: Rockville Hilton Hotel, Executive Contact Person: Eileen W. Bradley, DSC, Meeting Center, 1750 Rockville Pike, Scientific Review Officer, Center for National Cancer Institute; Amended Rockville, MD 20852. Scientific Review, National Institutes of Notice of Meeting Open: 9:30 a.m. to 1:30 p.m. Agenda: The agenda will include opening Health, 6701 Rockledge Drive, Room 5100, Notice is hereby given of a change in MSC 7854, Bethesda, MD 20892, (301) 435– remarks, administrative matters, Director’s 1179, [email protected]. the meeting of the National Cancer Report, NCMHD Health Disparities update, Advisory Board, September 8, 2008, 8 Scientific Programs Highlight, and other Name of Committee: Integrative, business of the Council. Functional and Cognitive Neuroscience a.m. to 5:15 p.m., National Institutes of Health, Building 31, 31 Center Drive, Place: Rockville Hilton Hotel, Executive Integrated Review Group Meeting Center, 1750 Rockville Pike, Neuroendocrinology, Neuroimmunology, and Bethesda, MD 20892, which was published in the Federal Register on Rockville, MD 20852. Behavior Study Section. Contact Person: Donna Brooks, Asst. Date: October 7–8, 2008. August 13, 2008, 73 FR 47195. Director for Administration, National Center Time: 8 a.m. to 5 p.m. This notice is amended to change the on Minority Health and Health Disparities, Agenda: To review and evaluate grant times of the open session on September National Institutes of Health, 6707 applications. 8, 2008 to 8 a.m. to 3:45 p.m. and the Democracy Blvd., Suite 800, Bethesda, MD Place: Sir Frances Drake Hotel, 450 Powell closed session to 3:45 p.m. to 5:15 p.m. 20892, 301–435–2135, Street, San Francisco, CA 94102. [email protected]. Contact Person: Michael Selmanoff, PhD, Dated: August 18, 2008. Scientific Review Officer, Center for Jennifer Spaeth, Any member of the public interested Scientific Review, National Institutes of Director, Office of Federal Advisory in presenting oral comments to the Health, 6701 Rockledge Drive, Room 3134, Committee Policy. MSC 7844, Bethesda, MD 20892, 301–435– committee may notify the Contact [FR Doc. E8–19586 Filed 8–22–08; 8:45 am] 1119, [email protected]. Person listed on this notice at least 10 BILLING CODE 4140–01–P Name of Committee: Bioengineering days in advance of the meeting. Sciences & Technologies Integrated Review Interested individuals and Group Gene and Drug Delivery Systems representatives of organizations may Study Section. DEPARTMENT OF HEALTH AND submit a letter of intent, a brief Date: October 8–9, 2008. HUMAN SERVICES description of the organization Time: 8 a.m. to 5 p.m. National Institutes of Health represented, and a short description of Agenda: To review and evaluate grant the oral presentation. Only one applications. representative of an organization may be Place: Hotel Lombardy, 2019 Pennsylvania National Center on Minority Health and Avenue, NW., Washington, DC 20006. Health Disparities; Notice of Meeting allowed to present oral comments and if accepted by the committee, Contact Person: Steven J. Zullo, PhD, Pursuant to section 10(d) of the Scientific Review Officer, Center for presentations may be limited to five Scientific Review, National Institutes of Federal Advisory Committee Act, as minutes. Both printed and electronic Health, 6701 Rockledge Drive, Room 5146, amended (5 U.S.C. Appendix 2), notice copies are requested for the record. In MSC 7849, Bethesda, MD 20892, 301–435– is hereby given of a meeting of the addition, any interested person may file 2810, [email protected]. National Advisory Council on Minority written comments with the committee Name of Committee: Biological Chemistry Health and Health Disparities. by forwarding their statement to the and Macromolecular Biophysics, Integrated The meeting will be open to the Contact Person listed on this notice. The Review Group Synthetic and Biological public as indicated below, with statement should include the name, Chemistry B Study Section. attendance limited to space available. address, telephone number and when Date: October 8–9, 2008. Individuals who plan to attend and Time: 8:30 a.m. to 5 p.m. applicable, the business or professional need special assistance, such as sign affiliation of the interested person. Agenda: To review and evaluate grant language interpretation or other applications. reasonable accommodations, should Dated: August 15, 2008. Place: Doubletree Hotel Bethesda, 8120 Jennifer Spaeth, Wisconsin Avenue, Bethesda, MD 20814. notify the Contact Person listed below Director, Office of Federal Advisory Contact Person: Kathryn M. Koeller, PhD, in advance of the meeting. Committee Policy. Scientific Review Officer, Center for The meeting will be closed to the Scientific Review, National Institutes of public in accordance with the [FR Doc. E8–19445 Filed 8–22–08; 8:45 am] Health, 6701 Rockledge Drive, Room 4166, provisions set forth in sections BILLING CODE 4140–01–M

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DEPARTMENT OF HEALTH AND DEPARTMENT OF HOMELAND Maritime Organization’s Maritime HUMAN SERVICES SECURITY Safety Committee (IMO MSC); and (2) to consider whether to provisionally apply National Institutes of Health Coast Guard those amendments upon their adoption [Docket No. USCG–2008–0885] by the IMSO Assembly, pending their National Institute of Allergy and formal entry into force. Infectious Diseases; Notice of Meeting Public Meeting on Amendments to the Currently, the IMSO’s authority for International Mobile Satellite Pursuant to section 10(a) of the oversight of GMDSS services applies Organization (IMSO) Convention Federal Advisory Committee Act, as exclusively to Inmarsat PLC. In September 2006, the IMSO Assembly amended (5 U.S.C. Appendix 2), notice AGENCY: Coast Guard, DHS. adopted amendments to the IMSO is hereby given of a meeting of the AIDS ACTION: Notice of meeting. Research Advisory Committee, NIAID. Convention that were intended to SUMMARY: The U.S. Coast Guard (USCG) extend IMSO’s GMDSS oversight to The meeting will be open to the will hold a public meeting on issues include all mobile satellite service public, with attendance limited to space related to proposed amendments to the providers, not just Inmarsat PLC. available. Individuals who plan to Convention of the International Mobile Additionally, in the context of work that attend and need special assistance, such Satellite Organization (IMSO). has been ongoing in the IMO, the IMSO as sign language interpretation or other Background documentation may be Assembly of Parties at the same meeting reasonable accommodations, should found on the Department of State’s Web adopted an amendment to the IMSO notify the Contact Person listed below site: http://www.state.gov/e/eeb/cip/ Convention that purports to authorize in advance of the meeting. imso/. IMSO to perform certain review and auditing functions for a new vessel Name of Committee: AIDS Research DATES: The meeting will be held on Advisory Committee, NIAID; AIDS Vaccine Thursday, September 4, 2008 from 10 ‘‘LRIT’’ system being developed for Research Subcommittee. a.m. to 12 p.m. maritime security. The United States, Date: September 16–17, 2008. along with other Parties, objected to ADDRESSES: Time: September 16, 2008, 8:30 a.m. to 5 The meeting will be held at these amendments because they did not p.m. Coast Guard Headquarters, 2100 Second contain sufficient elements of Agenda: To discuss the implication of Street, SW., Washington, DC. Room transparency for IMSO’s governance and recent vaccine trial results for future HIV 6103. vaccine development. do not provide an adequate legal Place: National Institutes of Health, FOR FURTHER INFORMATION CONTACT: foundation for IMSO to undertake Natcher Building, 45 Center Drive, Lieutenant Commander Jason Smith at functions as LRIT Coordinator. Further, Conference Rooms E1/E2, Bethesda, MD (202) 372–1376 or by e-mail to at an extraordinary Assembly of Parties 20892. [email protected] or fax to (202) meeting in March 2007, a majority of Time: September 17, 2008, 8:30 a.m. to 372–1925. Parties attending the Assembly decided Adjourned SUPPLEMENTARY INFORMATION: This to provisionally apply them, again over Agenda: To discuss the implication of public meeting will discuss proposed the United States’ objection. In the recent vaccine trail results for future HIV Amendments to the International meantime, the Congress has mandated vaccine development. that the Department of Homeland Place: National Institutes of Health, Mobile Satellite Organization (IMSO) Natcher Building, 45 Center Drive, Convention to Improve Governance and Security develop and implement, Conference Rooms E1/E2, Bethesda, MD Transparency of IMSO, to provide IMSO consistent with international treaties, 20892. with the necessary legal authority to conventions, and agreements to which Contact Person: James A. Bradac, PhD, perform its role in the Congressionally- the United States is a party, an LRIT Program Official, Preclinical Research and mandated Long Range Identification and system for all vessels equipped with Development Branch, Division of AIDS, Tracking of Ships (LRIT) system and to GMDSS or equivalent technology. See Room 5116, National Institutes of Health/ provisionally apply those amendments 46 U.S.C. 70115. In a related NIAID, 6700B Rockledge Drive, Bethesda, in advance of their formal entry into development, over United States’ MD 20892–7628, 301–435–3754, force. objection, the IMO’s Maritime Safety [email protected]. The amendments are intended to Committee (MSC) decided to In the interest of security, NIH has improve the governance and recommend, and the IMO Assembly instituted stringent procedures for entrance onto the NIH campus. All visitor vehicles, transparency of IMSO oversight and adopted, a resolution mandating that including taxicabs, hotel, and airport shuttles responsibilities that may affect U.S. and new satellite providers admitted to the will be inspected before being allowed on non-U.S. mobile satellite services GMDSS by the MSC must be overseen campus. Visitors will be asked to show one providers. The IMSO is convening its by IMSO. See IMO Res. A.1001(25), form of identification (for example, a biennial Assembly of Parties meeting which revoked and replaced IMO Res. government-issued photo ID, driver’s license, September 29–October 3, 2008, in A.888(21). Because of these latter or passport) and to state the purpose of their Malta, during which the 92 member developments, particularly the adoption visit. governments (Parties) will have the by the IMO of Res. A.1001, and in order (Catalogue of Federal Domestic Assistance opportunity to consider and act on U.S. to put the IMSO on a sound legal Program Nos. 93.855, Allergy, Immunology, proposals (1) to amend the foundation that will provide sufficient and Transplantation Research; 93.856, intergovernmental IMSO Convention to governance and transparency principles Microbiology and Infectious Diseases Research, National Institutes of Health, HHS) improve the governance and for IMSO’s operations in these two new transparency of (i) IMSO’s performance functions, the United States is planning Dated: August 15, 2008. of its role in oversight of providers for to propose and negotiate a draft set of Jennifer Spaeth, the Global Maritime Distress and Safety amendments to the IMSO Convention at Director, Office of Federal Advisory System (GMDSS) and (ii) IMSO’s the upcoming Assembly of Parties that Committee Policy. performance of its role as Coordinator of will accomplish these purposes. The [FR Doc. E8–19440 Filed 8–22–08; 8:45 am] Long Range Identification and Tracking public meeting is intended to solicit BILLING CODE 4140–01–M of ships (LRIT) for the International public comment on that approach.

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Public comment will also be solicited Dated: August 21, 2008. to Desk Officer for the Department of on provisional application of those William D. Baumgartner, Homeland Security, Federal Emergency amendments. If provisional application Rear Admiral, U.S. Coast Guard, Judge Management Agency, and sent via is approved, the Parties would apply Advocate General. electronic mail to those amendments in advance of their [FR Doc. E8–19711 Filed 8–21–08; 11:15 am] [email protected] or faxed formal entry into force under the terms BILLING CODE 4910–15–P to (202) 395–6974. Comments must be of the IMSO Convention. Formal entry submitted on or before September 24, into force under the IMSO Convention 2008. requires deposit of an instrument of DEPARTMENT OF HOMELAND FOR FURTHER INFORMATION CONTACT: acceptance with the depositary by 2/3 of SECURITY Requests for additional information or the IMSO Parties at the time of copies of the information collection adoption. As such, it is not likely to Federal Emergency Management Agency should be made to Director, Records occur for a lengthy period of time. The Management Division, 500 C Street, public meeting will also address other Agency Information Collection SW., Drop Box Room 301, Washington, issues that are likely to come before the Activities: Submission for OMB DC 20472, facsimile number (202) 646– IMSO Assembly of Parties meeting, Review; Comment Request 3347, or e-mail address FEMA- including, inter alia, a draft reference [email protected]. AGENCY: Federal Emergency Public Services Agreement that guides Dated: August 15, 2008. the terms and conditions of the Management Agency, DHS. John A. Sharetts-Sullivan, contractual agreement that satellite ACTION: Notice; 30-day notice and request for comments New Collection, Director, Records Management Division, service providers would be required to Office of Management and Budget, Federal sign before being allowed to provide FEMA Form 142–1–1. Emergency Management Agency, Department services for the GMDSS. The Public SUMMARY: The Federal Emergency of Homeland Security. Services Agreement would require the Management Agency (FEMA) has [FR Doc. E8–19606 Filed 8–22–08; 8:45 am] payment of new fees to the IMSO. submitted the following information BILLING CODE 9110–14–P Public views and advice are being collection to the Office of Management sought well in advance of the IMSO and Budget (OMB) for review and Assembly. clearance in accordance with the DEPARTMENT OF THE INTERIOR The proposed amendments and other requirements of the Paperwork background information relating to this Reduction Act of 1995. The submission Bureau of Land Management meeting are available at the following describes the nature of the information [CO–200–0777–XZ–241A] Department of State Web site: http:// collection, the categories of www.state.gov/e/eeb/cip/imso/. respondents, the estimated burden (i.e., Notice of Meeting, Front Range Persons planning to attend this the time, effort and resources used by Resource Advisory Council (Colorado) respondents to respond) and cost, and meeting should send their name and AGENCY: Bureau of Land Management, nationality by e-mail to includes the actual data collection instruments FEMA will use. Interior. [email protected] or fax to (202) ACTION: Notice of public meeting. 372–1925 not later than 72 hours before Collection of Information the meeting. Please note that due to Title: Integrated Public Alert and SUMMARY: In accordance with the security considerations, two valid, Warning System (IPAWS) Inventory and Federal Land Policy and Management government issued photo identifications Evaluation Survey. Act (FLPMA) and the Federal Advisory must be presented to gain entrance to OMB Number: 1660–NW40. Committee Act of 1972 (FACA), the U.S. the Headquarters building. The Abstract: FEMA will be conducting an Department of the Interior, Bureau of Headquarters building is accessible by inventory, evaluation and assessment of Land Management (BLM) Front Range taxi and privately owned conveyance the capabilities of Federal, State, local, Resource Advisory Council (RAC), will (public transportation is not generally and tribal government alert and warning meet as indicated below. available). However, parking in the systems. The IPAWS Inventory and DATES: The meeting will be held vicinity of the building is extremely Evaluation Survey will collect data that September 30, 2008 from 9:15 a.m. to 4 limited. will facilitate the integration of public p.m. Members of the public are encouraged alert and warning systems. It will also ADDRESSES: Bureau of Land to participate and join in discussions, reduce Federal planning costs by Management Royal Gorge Field Office, subject to the discretion of the leveraging existing State systems. 3028 E. Main Street, Canon City, moderator. Persons wishing to make Affected Public: State, local or tribal Colorado 81212. government. formal presentations should provide FOR FURTHER INFORMATION CONTACT: John Number of Respondents: 1,932. advance notice to Lieutenant Dow, (719) 269–8559 Commander Jason Smith. Estimated Time per Respondent: 5 hours. SUPPLEMENTARY INFORMATION: The 15 Information on Services for Individuals Estimated Total Annual Burden member Council advises the Secretary with Disabilities Hours: 9,660. of the Interior, through the Bureau of Frequency of Response: Once Land Management, on a variety of For information on facilities or annually. planning and management issues services for individuals with disabilities Comments: Interested persons are associated with public land or to request special assistance at the invited to submit written comments on management in the Royal Gorge Field meeting, contact Lieutenant Commander the proposed information collection to Office and San Luis Valley, Colorado. Jason Smith at (202) 372–1376 or by e- the Office of Information and Regulatory Planned agenda topics include: Manager mail at [email protected] as soon Affairs, Office of Management and updates on current land management as possible. Budget. Comments should be addressed issues including; presentations and

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discussions on the Over the River SUPPLEMENTARY INFORMATION: This applications or existing authorizations project, oil and gas, and renewable notice terminates the Multiple Use to increase the term of the grants in energy development. Management Classification, dated accordance with 43 CFR 2807.15 and All meetings are open to the public. February 11, 1969, on the following 2886.15. The segregative effect will The public is encouraged to make oral described public lands in Minidoka terminate upon issuance of a patent, comments to the Council at 9:30 a.m. or County, Idaho. This classification is no publication in the Federal Register of a written statements may be submitted for longer needed and these lands will be termination of the segregation, or the Council’s consideration. Depending considered for sale as discussed below. August 25, 2010, unless extended by the on the number of persons wishing to T. 7 S., R. 24 E., BLM State Director in accordance with comment and time available, the time Sec. 4, Lots 3–4. 43 CFR 2711.1–2(d) prior to the for individual oral comments may be The area described contains 42.48 termination date. limited. Summary minutes for the acres in Minidoka County. Public Comments: For a period until Council Meeting will be maintained in The following described public land October 9, 2008, interested parties and the Royal Gorge Field Office and will be in Minidoka County, Idaho, are being the general public may submit in available for public inspection and considered for sale under the authority reproduction during regular business of Sections 203 and 209 of the Federal writing any comments concerning the hours within thirty (30) days following Land Policy and Management Act of land being considered for sale, the meeting. Meeting Minutes and 1976, (90 Stat. 2750, 43 U.S.C. 1713): including notification of any agenda (10 days prior to each meeting) encumbrances or other claims relating are also available at: http:// Boise Meridian to the identified land, to Field Manager, www.blm.gov/rac/co/frrac/co_fr.htm. T. 6 S., R. 24 E., BLM Shoshone Field Office, at the Dated: August 14, 2008. Sec. 30, SWSE; Sec. 31, SESE, Lots 1, above address. In order to ensure Linda McGlothlen, 4–6 consideration in the environmental Acting Royal Gorge Field Manager. T. 7 S., R. 24 E., analysis of the proposed sale, comments Sec. 4, Lots 3–4. [FR Doc. E8–19613 Filed 8–22–08; 8:45 am] must be in writing and postmarked or The area described contains 262.21 delivered within 45 days of the initial BILLING CODE 4310–JB–P acres in Minidoka County. date of publication of this Notice. The 1985 BLM Monument Resource Comments transmitted via e-mail will DEPARTMENT OF THE INTERIOR Management Plan identified these not be accepted. Comments, including parcels of public land as suitable for names and street addresses of Bureau of Land Management disposal. The Amendments to Shoshone respondents, will be available for public Field Office Land Use Plans for Land review at the BLM Shoshone Field [ID–230–5874–EU–025D; DB–G06–1007; Tenure Adjustment and Areas of Critical Office during regular business hours, IDI–35904] Environmental Concern (2003) except holidays. Individual respondents identified these parcels of land to be Notice of Realty Action; Proposed Sale may request confidentiality. Before within the adjustment areas of Zones 2 including your address, phone number, of Public Land, Idaho and Termination and 4. Public lands within 1⁄2-mile of e-mail address, or other personal of a Multiple Use Classification on a either side of the Zone 2 boundary will identifying information in your Portion of These Lands be considered potentially suitable for comment, you should be aware that disposal primarily by exchange and AGENCY: Bureau of Land Management, secondarily by sale or R&PP patent. your entire comment—including your Interior. Public lands in Zone 4 are potentially personal identifying information—may ACTION: Notice of Realty Action. suitable for disposal primarily by be made publicly available at any time. exchange; however, if land exchanges While you can ask us in your comment SUMMARY: Several parcels of public land to withhold your personal identifying totaling 262.21 acres in Minidoka are not feasible, then land tenure adjustment via sale or R&PP patent will information from public review, we County, Idaho, are being considered for cannot guarantee that we will be able to direct sale under the provisions of the be considered. These parcels qualify for do so. If you wish to have your name or Federal Land Policy and Management disposal under the Federal Land address withheld from public disclosure Act of 1976 (FLPMA), at no less than the Transaction Facilitation Act (FLTFA). appraised fair market value. This notice Conveyance of the identified public under the Freedom of Information Act, also terminates the Multiple Use land will be subject to valid existing you must state this prominently at the Classification on a portion of these rights and encumbrances of record, beginning of your comments. Any lands as this classification is no longer including but not limited to, rights-of- determination by the BLM to release or needed. way for roads and public utilities. withhold the names and/or addresses of Conveyance of any mineral interests those who comment will be made on a DATES: In order to ensure consideration pursuant to Section 209 of the FLPMA in the environmental analysis of the case-by-case basis. Such requests will be will be analyzed during processing of honored to the extent allowed by law. proposed sale, comments must be the proposed sale. received by October 9, 2008. The BLM will make available for public On August 25, 2008, the above- review, in their entirety, all comments ADDRESSES: Address all comments described land will be segregated from submitted by businesses or concerning this Notice to Tara Hagen, appropriation under the public land Realty Specialist, Bureau of Land organizations, including comments by laws, including the mining laws, except individuals in their capacity as an Management (BLM), Shoshone Field the sale provisions of the FLPMA. Until official or representative of a business or Office, 400 West F Street, Shoshone, completion of the sale, the BLM is no organization. Idaho 83352. longer accepting land use applications FOR FURTHER INFORMATION CONTACT: Tara affecting the identified public land, Authority: 43 CFR 2711.1–2. Hagen, Realty Specialist, at the above except applications for the amendment address or phone at (208) 732–7205. of previously filed right-of-way

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Dated: August 14, 2008. disposal under the Federal Land you must state this prominently at the Lori A. Armstrong, Transaction Facilitation Act (FLTFA). beginning of your comments. Any Shoshone Field Manager. Conveyance of the identified public determination by the BLM to release or [FR Doc. E8–19489 Filed 8–22–08; 8:45 am] land will be subject to valid existing withhold the names and/or addresses of BILLING CODE 4310–01–P rights and encumbrances of record, those who comment will be made on a including, but not limited to, rights-of- case-by-case basis. Such requests will be way for roads and public utilities. honored to the extent allowed by law. DEPARTMENT OF THE INTERIOR Conveyance of any mineral interests The BLM will make available for public pursuant to section 209 of the FLPMA review, in their entirety, all comments Bureau of Land Management will be analyzed during processing of submitted by businesses or [ID–230–5874–EU–028D; DB–G06–1007; IDI– the proposed direct sale. On August 25, organizations, including comments by 35790] 2008 the above-described land will be individuals in their capacity as an segregated from appropriation under the official or representative of a business or Notice of Realty Action; Proposed Sale public land laws, including the mining organization. of Public Land, Idaho laws, except the sale provisions of the Authority: 43 CFR 2711.1–2. FLPMA. Until completion of the sale, AGENCY: Bureau of Land Management, the BLM is no longer accepting land use Dated: August 14, 2008. Interior. applications affecting the identified Lori A. Armstrong, ACTION: Notice of realty action. public land, except applications for the Shoshone Field Manager. amendment of previously filed right-of- [FR Doc. E8–19495 Filed 8–22–08; 8:45 am] SUMMARY: A parcel of public land way applications or existing BILLING CODE 4310–10–P totaling 40 acres in Lincoln County, authorizations to increase the term of Idaho, is being considered for direct the grants in accordance with 43 CFR sale, under the provisions of the Federal 2807.15 and 2886.15. The segregative DEPARTMENT OF THE INTERIOR Land Policy Management Act of 1976 effect will terminate upon issuance of a (FLPMA), at no less than the appraised patent, publication in the Federal Minerals Management Service fair market value. Register of a termination of the DATES: In order to ensure consideration Notice and Agenda for Meeting of the segregation, or August 25, 2010 unless Royalty Policy Committee in the environmental analysis of the extended by the BLM State Director in proposed sale, comments must be accordance with 43 CFR 2711.1–2(d) AGENCY: Minerals Management Service received by October 9, 2008. prior to the termination date. (MMS), Interior. ADDRESSES: Address all comments Public Comments: For a period until ACTION: Notice of meeting. concerning this Notice to Tara Hagen, October 9, 2008, interested parties and Realty Specialist, Bureau of Land the general public may submit in SUMMARY: This notice announces the Management (BLM), Shoshone Field writing any comments concerning the September 18, 2008, meeting of the Office, 400 West F Street, Shoshone, land being considered for sale, Royalty Policy Committee (RPC). Idaho 83352. including notification of any Agenda items for the meeting of the RPC FOR FURTHER INFORMATION CONTACT: Tara encumbrances or other claims relating will include remarks from the Director, Hagen, Realty Specialist, at the above to the identified land, to Field Manager, MMS, and the Associate Director, address or phone at (208) 732–7205. BLM Shoshone Field Office, at the Minerals Revenue Management (MRM); SUPPLEMENTARY INFORMATION: The above address. In order to ensure a status report on the Department of following described public land in consideration in the environmental Interior’s implementation of Lincoln County, Idaho, is being analysis of the proposed sale, comments recommendations from the RPC considered for sale under the authority must be in writing and postmarked or Subcommittee on Royalty Management; of Sections 203 and 209 of the Federal delivered within 45 days of the initial and a presentation on the Royalty in Land Policy and Management Act of date of publication of this Notice. Kind (RIK) Fiscal Year 2007 Annual 1976 (90 Stat. 2750 43 U.S.C. 1713): Comments transmitted via e-mail will Report. The agenda also includes a not be accepted. Comments, including briefing on a recent Office of Inspector Boise Meridian names and street addresses of General Evaluation of the RIK oil sales T. 6 S., R. 22 E., respondents, will be available for public process; an update on the MRM Sec. 29, SWSW. review at the BLM Shoshone Field Compliance Program; status reports on The area described contains 40 acres Office during regular business hours, the rulemakings for Indian Oil in Lincoln County. except holidays. Individual respondents Valuation and Advanced Royalty for The 1985 BLM Monument Resource may request confidentiality. Before Coal; and updates from the Oil and Gas Management Plan identified this parcel including your address, phone number, Valuation, Oil and Gas Royalty of public land as suitable for disposal. e-mail address, or other personal Reporting, and RIK Subcommittees. The The Amendments to Shoshone Field identifying information in your RPC membership includes Office Land Use Plans for Land Tenure comment, you should be aware that representation from states, Indian Adjustment and Areas of Critical your entire comment—including your Tribes, various mineral interests, the Environmental Concern (2003) personal identifying information—may public-at-large (with knowledge and identified this parcel of land to be be made publicly available at any time. interest in royalty issues), and other within the adjustment area of Zone 4. While you can ask us in your comment Federal departments. Public lands in Zone 4 are potentially to withhold your personal identifying DATES: Thursday, September 18, 2008, suitable for disposal primarily by information from public review, we from 8:30 a.m. to 4:30 p.m., Mountain exchange; however, if land exchanges cannot guarantee that we will be able to Standard Time. are not feasible, then land tenure do so. If you wish to have your name or ADDRESSES: The meeting will be held at adjustment via sale or R&PP patent will address withheld from public disclosure the Sheraton Denver West Hotel, 360 be considered. This parcel qualifies for under the Freedom of Information Act, Union Boulevard, Lakewood, Colorado,

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telephone number 303–987–2000 or 1– DEPARTMENT OF THE INTERIOR County, Wyoming and the town of Cody to 800–325–3535. further explore reasonable avalanche and National Park Service access mitigation safety measures and costs. FOR FURTHER INFORMATION CONTACT: Gina In order to provide adequate time to amend Dan, Minerals Revenue Management, Winter Use Plans, Final Environmental this Record of Decision reflecting a potential Minerals Management Service; PO Box Impact Statement, Record of Decision consensus of the parties and to promulgate a 25165, MS 300B2, Denver, Colorado Amendment-Sylvan Pass Management, new regulation reflecting the amended Yellowstone and Grand Teton National decision for the 2008–2009 winter use season 80225–0165; telephone number (303) and beyond, consensus should be reached by 231–3392, fax number (303) 231–3780; Parks and the John D. Rockefeller, Jr. June 1, 2008.’’ e-mail [email protected]. Memorial Parkway, Wyoming Since the Record of Decision, the NPS SUPPLEMENTARY INFORMATION: The RPC AGENCY: National Park Service, has met with representatives of the City provides advice to the Secretary and top Department of the Interior. of Cody, Wyoming, Park County, Department officials on minerals policy, ACTION: Notice of Availability of a Wyoming, the State of Wyoming, and operational issues, and the performance Record of Decision Amendment— Wyoming state elected officials of discretionary functions under the Sylvan Pass Management on the Final (collectively known as the Sylvan Pass laws governing the Department’s Environmental Impact Statement for the Study Group) and explored reasonable management of Federal and Indian Winter Use Plans, Final Environmental avalanche and access mitigation safety mineral leases and revenues. The RPC Impact Statement, Yellowstone and measures and costs. Grand Teton National Parks and the reviews and comments on revenue The outcome of the meetings was that John D. Rockefeller, Jr. Memorial management and other mineral-related the Sylvan Pass Study Group Parkway. policies and provides a forum to convey recommended to the Intermountain Regional Director of the National Park views representative of mineral lessees, SUMMARY: Pursuant to the National Service that the November 2007 Record operators, revenue payors, revenue Environmental Policy Act of 1969, 42 of Decision on Winter Use in recipients, governmental agencies, and U.S.C. 4332(2)(C), the National Park Yellowstone National Park be amended the interested public. The location and Service announces the availability of the Record of Decision Amendment— to keep Sylvan Pass open in future dates of future meetings will be winter use seasons to motorized and published in the Federal Register and Sylvan Pass Management for the Winter Use Plans, Final Environmental Impact non-motorized oversnow travel for a posted on our Internet site at http:// limited core season, between December www.mms.gov/mmab/ Statement, Yellowstone and Grand Teton National Parks and the John D. 22 and March 1. The group RoyaltyPolicyCommittee/ recommended continued use of a rpc_homepage.htm. Rockefeller, Jr. Memorial Parkway, Wyoming. On July 16, 2008, the combination of avalanche mitigation Meetings are open to the public Director, Intermountain Region, techniques, including forecasting and without advanced registration on a approved the Record of Decision helicopter and howitzer dispensed space-available basis. The public may Amendment—Sylvan Pass Management explosives. This recommendation was taken into make statements during the meetings, to for the project. the extent time permits, and file written On November 20, 2007, a Record of account in preparing the Record of statements with the RPC for its Decision was signed on the Winter Use Decision Amendment—Sylvan Pass consideration. Please submit copies of Plans/Final Environmental Impact Management (Amendment). The these written statements to Ms. Dan by Statement for Yellowstone and Grand Amendment only addresses Sylvan Pass in Yellowstone National Park. Unless September 9, 2008. Transcripts of this Teton National Parks and the John D. specifically modified by the meeting will be available for public Rockefeller, Jr. Memorial Parkway. The Amendment, all other elements of the inspection and copying at our offices in November 20, 2007, Record of Decision (on page 6) addressed management of November 20, 2007, Record of Decision Building 85 on the Denver Federal remain in place. Center in Lakewood, Colorado. The Sylvan Pass in Yellowstone National Park, stating: The Amendment is primarily based MMS will post the minutes on our upon alternative 5 in the Final Internet site. ‘‘This decision addresses Sylvan Pass in Environmental Impact Statement Yellowstone. For the winter season of 2007– (alternative 5 calls for the same overall These meetings are conducted under 2008 the pass will be managed continuing the authority of the Federal Advisory the combined program outlined in the 2004 number of snowmobiles in Yellowstone Committee Act (Pub. L. 92–463, 5 Temporary Plan. After the winter of 2007– as the November 20, 2007, decision, and U.S.C., Appendix 1) and the Office of 2008, in order to maximize risk reduction, for Sylvan Pass to be kept open). Management and Budget (Circular No. the pass would be open and managed using The amended decision is that Sylvan A–63, revised). full avalanche forecasting (as defined in the Pass will be open for oversnow travel Sylvan Pass Operational Risk Management (both motorized and non-motorized) for Dated: August 20, 2008. Assessment). When full forecasting indicates a limited core season, from December 22 Richard J. Adamski, the pass is safe, the pass would be open to through March 1 each winter, subject to oversnow travel (both motorized and non- Acting Associate Director, Minerals Revenue motorized access). weather-related constraints and NPS Management. ‘‘The National Park Service will, in good fiscal, staff, infrastructural, equipment, [FR Doc. E8–19649 Filed 8–22–08; 8:45 am] faith, work cooperatively with the State of and other safety-related capacities. A BILLING CODE 4310–MR–P Wyoming, Park County, Wyoming and the combination of avalanche mitigation town of Cody to determine how to provide techniques may be used, including continued snowmobile and snowcoach forecasting and helicopter and howitzer motorized oversnow access to Yellowstone dispensed explosives. The results of National Park through the East Gate via Sylvan Pass in the winter use seasons beyond previous safety evaluations of Sylvan 2007–2008. Pass by the Occupational Safety and ‘‘The National Park Service will meet with Health Administration and an representatives of the State of Wyoming, Park Operational Risk Management

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Assessment will be reviewed and DEPARTMENT OF THE INTERIOR Howard County updated, and the NPS will evaluate Lake Erie and Western Depot Historic additional avalanche mitigation National Park Service District, Generally bounded by W. Jefferson techniques and risk assessment tools in St. on the N., N. Main St. on the E., W. order to further improve safety and National Register of Historic Places; Jackson St. on the S., N. Washington on W., Kokomo, 08000917 visitor access. Notification of Pending Nominations and Related Actions Pike County From March 2 to March 15, the NPS will maintain the road segment from the Pike County Courthouse, 801 Main St., Nominations for the following Petersburg, 08000913 East Entrance to a point approximately properties being considered for listing four miles west of the entrance station or related actions in the National MASSACHUSETTS to provide for opportunities for cross- Register were received by the National Essex County country skiing and snowshoeing. Park Service before August 9, 2008. Joseph Fenno House—Woman’s Friend Limited snowmobile and snowcoach Pursuant to section 60.13 of 36 CFR part Society, 12–14 Hawthorne Blvd., Salem, use will be allowed in order to provide 60 written comments concerning the 08000906 drop-offs for such purposes. significance of these properties under NEW YORK This course of action and seven the National Register criteria for evaluation may be forwarded by United Clinton County alternatives were analyzed in the Draft States Postal Service, to the National Strand Theater, 25 Brinkerhoff St., and Final Environmental Impact Register of Historic Places, National Plattsburgh, 08000922 Statements. The full range of foreseeable Park Service, 1849 C St., NW., 2280, Columbia County environmental consequences was Washington, DC 20240; by all other assessed, and appropriate mitigation Hudson Almshouse, 400 State St., at the head carriers, National Register of Historic of 4th St., Hudson, 08000921 measures were identified. Places, National Park Service, 1201 Eye The Amendment includes a statement St., NW., 8th floor, Washington, DC Lewis County of the decision made, synopses of other 20005; or by fax, 202–371–6447. Written Lowville Masonic Temple, 7552 S. State St., alternatives considered, the basis for the or faxed comments should be submitted Lowville, 08000919 decision, a description of the by September 9, 2008. Wayne County environmentally preferred alternative, a J. Paul Loether, Roe Cobblestone Schoolhouse, (Cobblestone finding on impairment of park resources Architecture of New York State MPS) Chief, National Register of Historic Places/ 12397 Van Vleck Rd., Butler, 08000920 and values, and an overview of the National Historic Landmarks Program. public and agency involvement in NORTH DAKOTA reaching this Record of Decision ALASKA Hettinger County Amendment. Kenai Peninsula Borough-Census Area Stern, John and Fredricka (Roth), Homestead, On December 13, 2007, a final Soldotna Post Office, Corner of E. Corral St. 2 mi. E. of Mott on ND 21, Mott, 08000902 regulation was published in the Federal and Kenai Spur Hwy, Soldotna, 08000904 Pembina County Register (72 FR 70781), which GEORGIA implemented certain provisions of the Gunlogson Farmstead Historic Site, Icelandic De Kalb County State Park, 13571 Hwy 5, Cavalier, November 20, 2007 Record of Decision. 08000900 The National Park Service has reviewed Bond Family House, 1226 Rock Chapel Rd., the regulation (36 CFR 7.13) and Lithonia, 08000909 OHIO determined that promulgating a new IDAHO Lucas County regulation to implement this S.S. COL. JAMES M. SCHOONMAKER (bulk Amendment is not necessary. Ada County freighter), International Park, 26 Main St., Mountain States Telephone and Telegraph Toledo, 08000908 FOR FURTHER INFORMATION CONTACT: John Company Building, 815 N. Main St., OKLAHOMA Sacklin, P.O. Box 168, Yellowstone Meridian, 08000905 National Park, WY 82190, (307) 344– Jackson County _ _ INDIANA 2019, yell winter [email protected] . Jackson County Courthouse and Jail Adams County SUPPLEMENTARY INFORMATION: Copies of (Boundary Increase), (County Courthouses Adams County Courthouse, 112 S. Second of Oklahoma TR) 101 N. Main, Altus, the Record of Decision Amendment- 08000901 Sylvan Pass Management may be St., Decatur, 08000914 obtained from the contact listed above Daviess County RHODE ISLAND or online at http:// Daviess County Courthouse, 200 E. Walnut Bristol County parkplanning.nps.gov/yell. St., Washington, 08000916 Jackson, Benjamin Aborn, House, 115 Nayatt Rd., Barrington, 08000903 Dated: July 21, 2008. Delaware County VIRGINIA Michael D. Snyder, Mount Zion Methodist Episcopal Church, Regional Director, Intermountain Region, 1701 West Eaton-Wheeling Pike, Eaton, Arlington County National Park Service. 08000915 Glencarlyn Historic District, (Historic [FR Doc. E8–19620 Filed 8–22–08; 8:45 am] Greene County Residential Suburbs in the United States, BILLING CODE 4312–CT–P 1830–1960 MPS) Bounded by S. Carlin Greene County Courthouse, Main and Springs Rd., Arlington Blvd., 5th Rd. S., Washington Sts., Bloomfield, 08000912 Glencarlyn Park, Arlington, 08000910 Hamilton County Culpeper County Wilson, Robert L., House, 273 S. 8th St., Clifton, 7091 Monumental Mills Rd., Noblesville, 08000918 Rixeyville, 08000911

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Fauquier County FOR FURTHER INFORMATION CONTACT: Kara Transportation Institute/SJSU, San Jose, Cromwell’s Run Rural Historic District, Lamb, telephone: (970) 962–4326 or CA; SERCO, Reston, VA; Harris Along Atoka Rd., roughly bounded on the FAX (970) 962–3212. You may submit e- Corporation, Melbourne, FL; Destiny, W. by Goose Creek, on the N. by U.S. Rt. mail to [email protected] by Florida—The Pugliese Company, Delray 50, on the E. by Cromwell’s Run, September 22, 2008. Beach, FL; South Carolina Department Rectortown, 08000907 SUPPLEMENTARY INFORMATION: Before of Commerce, West Columbia, SC; State Request for REMOVAL has been made for including your name, address, phone of Florida, Tallahassee, FL; and City of the following resources: number, e-mail address, or other Long Beach—Long Beach Airport, Long SOUTH DAKOTA personal identifying information in your Beach, CA. The general area of ASAT’s planned Lyman County comment, you should be aware that your entire comment—including your activity is: (a) To enable and promote a 1st St. and Lichtenstien Ave., Oacoma, rapid transition in the United States to 80003728 personal identifying information—may be made publicly available at any time. the ‘‘Next Generation Air Transportation [FR Doc. E8–19601 Filed 8–22–08; 8:45 am] While you can ask us in your comment System’’ (as envisioned by the Federal BILLING CODE 4312–51–P to withhold your personal identifying Aviation Administration’s ‘‘NextGen’’ information from public review, we initiative); (b) to support and facilitate cannot guarantee that we will be able to the development and implementation of DEPARTMENT OF THE INTERIOR do so. initial NextGen prototype systems (‘‘Prototypes’’), to foster, collaborate Dated: August 18, 2008. Bureau of Reclamation with and leverage the efforts of other Michael J. Ryan, NextGen initiatives; (c) to support and Southern Delivery System Project, Regional Director, Great Plains Region. facilitate the development of NextGen Colorado [FR Doc. E8–19612 Filed 8–22–08; 8:45 am] open, accessible standards, AGENCY: Bureau of Reclamation, BILLING CODE 4310–MN–P specifications, analytical tools, metrics, Interior. guidelines and solutions (collectively ACTION: Notice for additional public ‘‘Specifications’’); (d) to promote the commenting opportunity on the water DEPARTMENT OF JUSTICE adoption and use of said Prototypes and quality analysis portion of the Draft Specifications; (e) to support and Antitrust Division Environmental Impact Statement (Draft facilitate the creation of testing and EIS). conformity assessment of Notice Pursuant to the National implementations to ensure and facilitate SUMMARY: The Bureau of Reclamation Cooperative Research and Production compliance with Specifications; (f) to (Reclamation), under the National Act of 1993—Alliance for Sustainable operate a branding program based upon Environmental Policy Act of 1969, is Air Transportation, Inc. distinctive trademarks to create high announcing the opportunity to provide Notice documents E8–8623 appearing customers awareness of, demand for, additional comments on the water on page 22974 in the issue of Monday, and confidence in products, services, quality analysis portion of the Draft EIS. April 28, 2008, and E8–16442 appearing programs and other deliverables of The original 60-day comment period for on page 42366 in the issue of Monday, ASAT; and (g) to undertake such other the Draft EIS was scheduled to end on July 21, 2008, are hereby withdrawn and activities as may from time-to-time be April 26, 2008 but was extended to June replaced by the following: appropriate to further the purposes 13, 2008. Comments received during Notice is hereby given that, on July discussed above. this period expressed a concern about 25, 2008, pursuant to Section 6(a) of the Membership in ASAT remains open the section addressing water quality National Cooperative Research and and ASAT intends to file additional analysis. In order to address these Production Act of 1993, 15 U.S.C. 4301 written notifications disclosing all comments, an additional water quality et seq. (‘‘the Act’’), Alliance for changes in membership. analysis is being prepared for the Draft Sustainable Air Transportation, Inc. EIS. This analysis will augment and Patricia A. Brink, (‘‘ASAT’’) has filed written notifications Deputy Director of Operations, Antitrust reinforce the existing analysis for the simultaneously with the Attorney Draft EIS. Reclamation will continue to Division. General and the Federal Trade [FR Doc. E8–19617 Filed 8–22–08; 8:45 am] receive comments on the existing water Commission disclosing (1) the identities BILLING CODE 4410–11–M quality portion of the Draft EIS while of the parties to the venture and (2) the the additional analysis is performed. nature and objectives of the venture. DATES: Comments on the existing water The notifications were filed for the DEPARTMENT OF JUSTICE quality analysis featured in the DEIS purpose of invoking the Act’s provisions will be received until provided by limiting the recovery of antitrust Drug Enforcement Administration future notice. When completed the plaintiffs to actual damages under additional analysis will be made specified circumstances. [OMB Number 1117–0023] available for public review and Pursuant to Section 6(b) of the Act, Agency Information Collection comment during a 45-day period. The the identities of the parties to the availability of the additional analysis Activities: Proposed Collection; venture are: DayJet, Boca Raton, FL; Comments Requested and the corresponding 45-day comment ACS International LLC, Overland Park, period will be announced in the Federal KS; Selex Sistemi Integrati, Inc., ACTION: 60-Day Notice of Information Register on a future date in 2008. Overland Park, KS; University of Central Collection Under Review Import/Export ADDRESSES: Send comments on the Draft Florida, Orlando, FL; Embry Riddle Declaration for List I and List II EIS to Southern Delivery System EIS, Aeronautical University, Daytona Chemicals—DEA Form 486 Bureau of Reclamation, Eastern Beach, FL; JetSuite, Long Beach, CA; Colorado Area Office, 11056W. County New Mexico State University, Las The Department of Justice (DOJ), Drug Road 18E, Loveland, CO 80537. Cruces, NM; Unisys, Reston, VA; Mineta Enforcement Administration (DEA), will

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be submitting the following information for the proper performance of the Form number: DEA Form 486. collection request to the Office of functions of the agency, including Component: Office of Diversion Control, Management and Budget (OMB) for whether the information will have Drug Enforcement Administration, U.S. review and approval in accordance with practical utility; Department of Justice. • the Paperwork Reduction Act of 1995. Evaluate the accuracy of the (4) Affected public who will be asked The proposed information collection is agency’s estimate of the burden of the or required to respond, as well as a brief published to obtain comments from the proposed collection of information, abstract: Primary: Business or other for- public and affected agencies. Comments including the validity of the profit. Other: none Abstract: Persons are encouraged and will be accepted methodology and assumptions used; • importing, exporting, and conducting until October 24, 2008. This process is Enhance the quality, utility, and international transactions with List I conducted in accordance with 5 CFR clarity of the information to be and List II chemicals must notify DEA 1320.10. collected; and of those transactions in advance of their If you have comments, especially on • Minimize the burden of the occurrence, including information the estimated public burden or collection of information on those who regarding the person(s) to whom the associated response time, suggestions, are to respond, including through the chemical will be transferred and the or need a copy of the proposed use of appropriate automated, quantity to be transferred. For information collection instrument with electronic, mechanical, or other importations, persons must also provide instructions or additional information, technological collection techniques or return declarations, confirming the date please contact Mark W. Caverly, Chief, other forms of information technology, of the importation and transfer, and the Liaison and Policy Section, Office of e.g., permitting electronic submission of amounts of the chemical transferred. Diversion Control, Drug Enforcement responses. This information is used to prevent Administration, 8701 Morrissette Drive, shipments not intended for legitimate Springfield, VA 22152, Telephone (202) Overview of This Information Collection purposes. 307–7297. (1) Type of information collection: Written comments and suggestions Extension of a Currently Approved (5) An estimate of the total number of from the public and affected agencies Collection. respondents and the amount of time concerning the proposed collection of (2) Title of the form/collection: estimated for an average respondent to information are encouraged. Your Import/Export Declaration for List I and respond: A respondent may submit comments should address one or more List II Chemicals. multiple responses. The below table of the following four points: (3) Agency form number, if any, and presents information regarding the • Evaluate whether the proposed the applicable component of the number of respondents, responses, and collection of information is necessary Department sponsoring the collection: associated burden hours:

Number of Number of Average time per respondents responses response Total

Form 486 (export) ...... 193 10,327 0.2 hour (12 min- 2,065.4 hours utes). Form 486 (Export Return Declaration) ...... 193 10,327 0.08 hour (5 min- 860.6 hours utes). Form 486 (import) ...... 120 1,618 0.25 hour (15 min- 404.5 hours utes). Form 486 (import return declaration)* ...... 120 1,780 0.08 hour (5 min- 148.3 hours utes). Form 486 (international transaction) ...... 14 14 0.2 hour (12 min- 2.8 hours utes). Form 486 (international transaction return declaration) ...... 14 14 0.08 hour (5 min- 1.2 hours utes). Quarterly reports for imports of acetone, 2-butanone, and toluene .. 110 440 0.5 hour (30 min- 220 hours utes).

Total ...... 193 ...... 3,702.8 *DEA assumes 10% of all imports will not be transferred in the first thirty days and will necessitate submission of a subsequent return declaration.

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6) An estimate of the total public such submissions by electronic mail to White Paper, Central America and the burden (in hours) associated with the the following address: Dominican Republic). collection: 3,703 annual burden hours. [email protected]. Submissions by Under section 403(a) of the CAFTA– If additional information is required facsimile may be sent to: Gregory K. DR Implementation Act, 19 U.S.C. contact: Lynn Bryant, Department Schoepfle, Director, Office of Trade and 4111(a), the President must report Clearance Officer, United States Labor Affairs, U.S. Department of Labor biennially to the Congress on the Department of Justice, Justice at (202) 693–4851 (this is not a toll-free progress made by the CAFTA–DR Management Division, Policy and number). countries in implementing the labor Planning Staff, Patrick Henry Building, FOR FURTHER INFORMATION CONTACT: obligations and the labor capacity- Suite 1600, 601 D Street, NW., Gregory K. Schoepfle, Director, Office of building provisions found in the Labor Washington, DC 20530. Trade and Labor Affairs, U.S. Chapter and Annex 16.5 and Dated: August 19, 2008. Department of Labor, 200 Constitution implementing the recommendations Lynn Bryant, Avenue, NW., Room S–5303, contained in the White Paper. Section Department Clearance Officer, PRA, United Washington, DC 20210. Telephone (202) 403(a)(4) requires the President to States Department of Justice. 693–4900 (this is not a toll-free establish a mechanism to solicit public [FR Doc. E8–19594 Filed 8–22–08; 8:45 am] number). comments on the matters described in section 403(a)(3)(D) of the CAFTA–DR BILLING CODE 4410–09–P SUPPLEMENTARY INFORMATION: Implementation Act, 19 U.S.C. 1. Background 4111(a)(4). By Proclamation, the President DEPARTMENT OF LABOR During the legislative approval delegated the reporting function and the process for the CAFTA–DR, the responsibility for soliciting public Office of the Secretary Administration and the Congress comments under section 403(a) of the reached an understanding on the need CAFTA–DR Implementation Act, 19 Bureau of International Labor Affairs; to support labor capacity-building U.S.C. 4111(a), to the Secretary of Labor, Office of Trade and Labor Affairs; efforts linked to recommendations in consultation with the United States Request for Comments on Labor identified in the White Paper of the Trade Representative. Proclamation No. Capacity-Building Efforts Under the Working Group of the Vice Ministers 8272, 73 FR 38,297 (June 30, 2008). This Dominican Republic—Central Responsible for Trade and Labor in the notice serves to request public America—United States Free Trade countries of Central America and the Agreement comments as required by this section. Dominican Republic. A total of $130 AGENCIES: Office of the Secretary, Labor, million was appropriated in support of 2. Information Sought and Office of the United States Trade labor and environment capacity- The Department of Labor is seeking Representative. building in FY 2005 through FY 2008, comments on the following topics as ACTION: Request for comments from the with an additional $40 million required under Section 404(a)(3)(D) of public. anticipated for FY 2009. the CAFTA–DR Implementation Act: Areas of focus were identified through 1. Capacity-building efforts by the SUMMARY: This notice is a request for a cooperative process and dialogue United States government envisaged by comments from the public to assist the between the United States and its Article 16.5 of the CAFTA–DR Labor Secretary of Labor and the United States CAFTA–DR partners (Costa Rica, the Chapter and Annex 16.5; Trade Representative in preparing a Dominican Republic, El Salvador, 2. Efforts by the United States report on labor capacity-building efforts Guatemala, Honduras, and Nicaragua) as government to facilitate full under Chapter 16 (‘‘the Labor Chapter’’) envisaged by the Labor Chapter and implementation of the White Paper and Annex 16.5 of the Dominican Annex 16.5 of the CAFTA–DR. The recommendations; and Republic—Central America-United multi-year assistance effort focuses on 3. Efforts made by the CAFTA–DR States Free Trade Agreement (‘‘the building the capacity of the ministries of countries to comply with Article 16.5 of CAFTA–DR’’), as well as efforts made by labor to more effectively enforce labor the Labor Chapter and Annex 16.5 and the CAFTA–DR countries to implement laws, training labor inspectors, to fully implement the White Paper the recommendations contained in the developing and distributing public recommendations, including progress report entitled ‘‘The Labor Dimension in awareness materials, assessing the made by the CAFTA–DR countries in Central America and the Dominican information technology needs of the affording to workers internationally- Republic—Building on Progress: ministries of labor, and providing recognized worker rights through Strengthening Compliance and technical assistance to the labor justice improved capacity. Enhancing Capacity’’ (‘‘the White system in Central America and the Paper’’). This report is required under Dominican Republic. 3. Requirements for Comments the Dominican Republic—Central For more information on these This notice requests comments in America—United States Free Trade initiatives, see the full text of the response to a general solicitation to the Agreement Implementation Act \(‘‘the CAFTA–DR and the White Paper as well public. Written comments may be CAFTA–DR Implementation Act’’). The as other relevant fact sheets and reports submitted by 5 p.m. September 22, reporting function and the posted on the respective Web sites of 2008. To ensure prompt and full responsibility for soliciting public the Office of the United States Trade consideration of comments, it is comments required under this Act were Representative, http://www.ustr.gov/ strongly recommended that comments assigned to the Secretary of Labor, in Trade_Agreements/Regional/CAFTA/ be submitted by electronic mail to the consultation with the United States Section_Index.html, and the ILO following e-mail address: Trade Representative. Subregional Office for Central America, [email protected]. Persons making DATES: Written comments are due no Haiti, Panama and the Dominican comments by e-mail should use the later than 5 p.m. September 22, 2008. Republic, http://web.oit.or.cr/ (follow following subject line: Comments on ADDRESSES: Persons submitting the link to: Sector IV, Dialogo Social, CAFTA–DR Labor Capacity Building comments are strongly advised to make and then link to: Verification of the Efforts. Documents should be submitted

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in MSWord format. Supporting December 2, 2005. To avoid an overlap DEPARTMENT OF LABOR documentation submitted as in worker group coverage for the spreadsheets is acceptable in Excel Mountain Top, Pennsylvania location, Occupational Safety and Health format. Persons who make comments by the Revised Determination on Remand Administration e-mail should not provide separate is being amended to change the impact [Docket No. OSHA–2008–0029] cover letters; information that might date from January 11, 2005 to December appear in a cover letter should be 3, 2005. Advisory Committee on Construction included in the comments themselves. As a result of this amendment, Safety and Health (ACCSH) and Similarly, to the extent possible, any Fairchild Semiconductor International, ACCSH Work Groups; Meeting attachments to the comments should be Mountain Top, Pennsylvania workers included in the same file as the AGENCY: Occupational Safety and Health separated between January 11, 2005 and comments themselves, not as separate Administration (OSHA), Department of December 2, 2005, will continue to be files. In the event that e-mail comments Labor. covered under the certification issued in are not possible, comments should be TA–W–53,335, and will not be covered ACTION: Announcement of a meeting of sent by facsimile to (202) 693–4851 (this under the certification issued in TA–W– the Advisory Committee on is not a toll-free number). Written 58,624. Construction Safety and Health comments will be placed in a file open (ACCSH) and ACCSH Work Groups. to public inspection at the Department New information also provided by the of Labor, Room S–5303, 200 State agency shows that leased workers SUMMARY: ACCSH Work Groups will Constitution Avenue, NW., Washington, of Manpower, Inc. were employed on- meet September 9–10, 2008, and DC 20210. An appointment to review site at the Mountain Top, Pennsylvania ACCSH will meet September 11–12, the file must be scheduled at least 48 location of Fairchild Semiconductor 2008, in Washington, DC. hours in advance and may be made by International. The Department has DATES: ACCSH Work Groups: ACCSH calling (202) 693–4900 (this is not a toll- determined that these workers were Work Groups will meet September 9–10, free number). engaged in various support activities 2008 from 8:30 a.m. to 4:15 p.m. (See Signed at Washington, DC on this 19th day and were sufficiently under the control the Work Group Schedule information of August 2008. of the subject firm to be considered in the SUPPLEMENTARY INFORMATION Lawrence W. Casey, leased workers during the relevant section of this notice.). Associate Deputy Under Secretary for period. ACCSH: ACCSH will meet Thursday, International Affairs, Bureau of International Accordingly, the Department is September 11, 2008, from 8:30 a.m. to Labor Affairs. amending the Revised Determination on 5 p.m. and Friday, September 12, 2008, [FR Doc. E8–19608 Filed 8–22–08; 8:45 am] Remand to reflect the amended from 8:30 a.m. to 12 p.m. BILLING CODE 4510–28–P certification period and to include all Submission of comments, requests to on-site workers under the control of speak to ACCSH and requests for Fairchild Semiconductor International special accommodation: Comments, DEPARTMENT OF LABOR who were adversely affected. requests to speak and requests for The amended notice applicable to special accommodation must be Employment and Training submitted (postmarked, sent, received) Administration TA–W–58,624 is hereby issued as follows: by September 2, 2008. [TA–W–58,624] ADDRESSES: ACCSH and ACCSH Work ‘‘All workers of Fairchild Semiconductor Group Meetings: ACCSH and ACCSH International, Mountain Top, Pennsylvania, Fairchild Semiconductor International, Work Group Meetings will be held in who became totally or partially separated Including On-Site Leased Workers Room N–3437A–D at the U.S. From Manpower, Inc., Mountain Top, from employment on or after December 3, 2005, through July 22, 2010, are eligible to Department of Labor, 200 Constitution PA; Amended Revised Determination Avenue, NW., Washington, DC 20210. on Remand apply for adjustment assistance under Section 223 of the Trade Act of 1974, and are Submission of comments, requests to In accordance with Section 223 of the also eligible to apply for alternative trade speak at the ACCSH or ACCSH Work Trade Act of 1974 (19 U.S.C. 2273), and adjustment assistance under Section 246 of Group meetings: Interested parties may Section 246 of the Trade Act of 1974 (26 the Trade Act of 1974’’; and submit comments and requests to speak: U.S.C. 2813), as amended, the ‘‘All leased workers of Manpower, Inc. Electronically: You may submit Department of Labor (Department) working on-site at Fairchild Semiconductor materials, including attachments, issued a Notice of Revised International, Mountain Top, Pennsylvania, electronically at www.regulations.gov, Determination on Remand on July 22, who became totally or partially separated which is the Federal eRulemaking 2008. The Department’s Notice of from employment on or after January 11, Portal. Follow the on-line instructions determination will soon be published in 2005, through July 22, 2010, are eligible to for submissions. the Federal Register. apply for adjustment assistance under Facsimile (FAX): If your submission, At the request of the State agency, the Section 223 of the Trade Act of 1974, and are including attachments is not longer than Department reviewed the Revised also eligible to apply for alternative trade 10 pages, you may fax it to the OSHA Determination on Remand for workers adjustment assistance under Section 246 of Docket Office at: (202) 693–1648. of the subject firm. The Department the Trade Act of 1974.’’ Mail, hand delivery, express mail, determined that, while the July 22, 2008 messenger, or courier service: Submit Signed at Washington, DC, this 6th day of certification set the impact date at three copies of your submissions to the August 2008. January 11, 2005, one year prior to the OSHA Docket Office, Room N–2625, date on the petition, the previous Linda G. Poole, U.S. Department of Labor, 200 certification covering workers of the Certifying Officer, Division of Trade Constitution Avenue, NW., Washington, Mountain Top, Pennsylvania location of Adjustment Assistance. DC 20210; FAX (202) 693–1648. the subject firm, TA–W–53,335, did not [FR Doc. E8–19604 Filed 8–22–08; 8:45 am] Deliveries (hand, express mail, expire until almost 11 months later, on BILLING CODE 4510–FN–P messenger, and courier service) are

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accepted during the Department of ACCSH Meeting • Multilingual—8:30 to 10 a.m., Labor’s and OSHA Docket Office’s September 9, 2008; ACCSH will meet September 11–12, • normal business hours, 8:15 a.m.–4:45 2008, in Washington, DC. The meeting Silica—8:30 to 10 a.m., September p.m., e.t. For assistance submitting 9, 2008; is open to the public. • materials to the OSHA’s Docket Office ACCSH is authorized to advise the Diversity-Women in Construction— please call, telephone (202) 693–2350 or Assistant Secretary of Labor for 10:30 a.m. to 12 p.m., September 9, TTY (877) 889–5627). Occupational Safety and Health in the 2008; • Residential Fall Protection—1:45 to Requests for Special formulation of standards affecting the 4:15 p.m., September 9, 2008; Accommodations: Submit requests for construction industry and on policy • Focused Inspection Initiative—8:30 special accommodations by telephone matters arising in the administration of or e-mail to Ms. Veneta Chatmon, to 10 a.m., September 10, 2008; the safety and health provisions of the • OSHA, Office of Communications, Trenching—8:30 to 10 a.m., Contract Work Hours and Safety September 10, 2008; Room N–3647, U.S. Department of Standards Act (Construction Safety Act) • Labor, 200 Constitution Avenue, NW., ROPS (Rollover Protective (40 U.S.C. 3701, 3704) and the Systems)—10:30 a.m. to 12 p.m., Washington, DC 20210; telephone (202) Occupational Safety and Health Act of 693–1999; e-mail September 10, 2008; 1970 (29 U.S.C. 651 et seq. ). (See also, • OTI (OSHA Training Institute)— [email protected]. 29 CFR 1911.10 and 1912.3). Requests during meeting to address 1:45 to 4:15 p.m., September 10, 2008. The agenda for this meeting includes: For additional information on ACCSH ACCSH: • Comments from the Office of the Instructions: All submissions, Work Group meetings or participating in Assistant Secretary; them, please contact Mr. Michael requests to speak and requests for • ACCSH’s consideration of and Buchet at the address above or look on special accommodations must include recommendations on the following the ACCSH page on OSHA’s Web page the Agency name and the docket proposed rule: at http://www.osha.gov. number for this meeting (Docket No. Æ Globally Harmonized System— OSHA–2008–0029). Because of security- Revision of OSHA’s Hazard Public Participation related procedures, submissions by Communication Standard to adopt the ACCSH Meetings and ACCSH Work regular mail may experience significant Globally Harmonized System of Group Meetings Security Measures: delays. Classification and Labeling of Chemicals ACCSH and ACCSH Work Group All submissions, including personal (GHS); meetings are open to the public. information, are placed in the public • Construction Standards Update— Admission to the Department of Labor docket without change and may be OSHA, Directorate of Construction Building and the meetings requires available online. Therefore, OSHA (DOC); valid government issued photo cautions against submitting personal • Occupational Injury, Illness, identification and a brief security check- information such as social security Fatality and related OSHA data, in procedure at the Department of numbers and birthdates. For further overview—Bureau of Labor Statistics Labor’s Visitor’s entrance, 3rd and ‘‘C’’ information on submitting comments, (BLS) and OSHA, Directorate of Streets, NW., Washington, DC 20210. requests to speak and requests for public Evaluation and Analysis (DEA); Meeting attendees should allow an extra accommodation, see the Public • Mast Climbing Scaffold Update, 15 minutes to check in and reach the Participation information in the The Center for Construction Research meeting rooms. SUPPLEMENTARY INFORMATION section of and Training (CPWR); Submission of written comments and this notice. • Cooperative Programs Update— OSHA Challenge, Voluntary Protection requests to address ACCSH. Interested FOR FURTHER INFORMATION CONTACT: For parties may request to make oral press inquiries: Ms. Jennifer Ashley, Program Mobile Work Force Demonstration (VPP-C)—OSHA, presentations to ACCSH by notifying OSHA, Office of Communications, Ms. Veneta Chatmon at the address Room N–3647, U.S. Department of Directorate of Cooperative and State Programs (DCSP); above by September 2, 2008. The Labor, 200 Constitution Avenue, NW., • request must state the amount of time Washington, DC 20210; telephone (202) Work Group Reports, Work Group and Committee Administration; desired, the interest the presenter 693–1999; e-mail • represents (e.g., businesses, [email protected]. Public Comment Period. All ACCSH meetings, as well as those organizations, themselves, affiliations, For general information about ACCSH of its Work Groups, are open to the etc.), if any, and a brief outline of the and ACCSH meetings: Mr. Michael public. Individuals needing special presentation. Alternately, at the Buchet, OSHA, Directorate of accommodations for the ACCSH Committee meeting, attendees may Construction, Room N–3468, U.S. meeting or ACCSH Work Group request to address ACCSH by signing Department of Labor, 200 Constitution meetings should contact Ms. Chatmon the public comment request sheet and Avenue, NW., Washington, DC 20210; by September 2, 2008 (see the listing the interests they represent (e.g., telephone (202)-693–2020; e-mail ADDRESSES section of this notice). businesses, organizations, themselves, [email protected]. ACCSH meetings are transcribed and affiliations, etc., if any) and the topics For information about submitting detailed minutes of the meetings are to be addressed. All requests to present comments or requests to speak to prepared. Meeting transcripts and to or address the committee may be ACCSH, and for special minutes are included in the official granted at the ACCSH Chair’s discretion accommodations for the meetings: Ms. record of ACCSH meetings. Work Group and as time and circumstances permit. Veneta Chatmon, OSHA, Office of reports are included in the ACCSH Attendees may submit written data, Communications, Room N–3647, U.S. meeting record. views, or comments, preferably with 20 Department of Labor, 200 Constitution copies, to Ms. Chatmon for distribution Avenue, NW., Washington, DC 20210; ACCSH Work Group Meetings to ACCSH. Submissions, including telephone (202) 693–1999; e-mail In conjunction with the ACCSH personal information provided, will be [email protected]. meeting, the following ACCSH Work included without change in the meeting SUPPLEMENTARY INFORMATION: Groups will meet: record and posted at

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www.regulations.gov. Therefore, OSHA FOR FURTHER INFORMATION CONTACT: DATES: September 8, 2008 from 10 a.m. cautions interested parties about Charles Jeffress, Chief Administrative to 11 a.m. submitting certain personal information Officer, Legal Services Corporation, ADDRESSES: The U.S. Capitol Building, such as birth dates and social security 3333 K St., NW., Washington, DC, Room S–211, Washington, DC. numbers. 20007; 202–295–1630 (phone); 202– FOR FURTHER INFORMATION CONTACT: Access to the official record of ACCSH 337–6386 (fax); [email protected]. Richard H. Hunt, Director; Center for meetings, including Work Group SUPPLEMENTARY INFORMATION: Legislative Archives; (202) 357–5350. reports: To read or download The Legal Services Corporation’s SUPPLEMENTARY INFORMATION: submissions or the official record of this (LSC) mission is to promote equal ACCSH meeting, go to Docket No. access to justice in our Nation and to Agenda OSHA–2008–0029 at provide for high-quality civil legal (1) Chair’s opening remarks— www.regulations.gov. The official assistance to low income persons. LSC Secretary of the Senate. meeting record and all submissions for submits an annual budget request (2) Recognition of Co-chair—Clerk of this meeting will be listed in the directly to Congress and receives an the House. www.regulations.gov index. Although annual direct appropriation to carry out (3) Recognition of the Archivist of the listed in the index, some documents its mission. For the current fiscal year United States. (e.g., copyrighted materials) are not (FY 2008), LSC received an (4) Approval of the minutes of the last publicly available through appropriation of $350,490.000 of which meeting. www.regulations.gov. The official record $332,390,000 was for basic field (5) Discussion of on-going projects and all submissions, including materials programs and required independent and activities. not available through audits; $3,000,000 was for the Office of (6) Annual Report of the Center for www.regulations.gov, will be available Inspector General; $12,500,000 was for Legislative Archives. for inspection and copying in the OSHA management and administration; (7) Other current issues and new Docket Office at the address above. $2,100,00 was for technology initiative business. Authority and Signature: Edwin G. grants; and $500,000 was for loan The meeting is open to the public. Foulke, Jr., Assistant Secretary of Labor repayment assistance. Pub. L. 110–161, Dated: August 20, 2008. for Occupational Safety and Health, 121 Stat. 1844 (2007). directed the preparation of this notice As part of its annual budget and Patrice Little Murray, under the authority granted by section appropriation process, the Finance Alternate Committee Management Officer. 7 of the Occupational Safety and Health Committee of the LSC Board of Directors [FR Doc. E8–19746 Filed 8–22–08; 8:45 am] Act of 1970 (29 U.S.C. 656), section 107 will meet on October 14, 2008, to make BILLING CODE 7515–01–P of the Contract Work Hours and Safety a recommendation to the full Board. Standards Act (Construction Safety Act) Accordingly, LSC is currently in the (40 U.S.C. 3701 et seq.), 29 CFR 1911 process of formulating its FY 2010 NUCLEAR REGULATORY and 1912, and Secretary of Labor’s budget request. COMMISSION Order No. 5–2007 (72 FR 31159). LSC invites public comment on what Steering Committee on Multimedia Edwin G. Foulke, Jr., its FY 2010 budget request should be. Interested parties may submit comments Environmental Modeling Assistant Secretary of Labor for Occupational to LSC by September 15, 2008. More Safety and Health. AGENCY: Nuclear Regulatory information about LSC can be found at [FR Doc. E8–19560 Filed 8–22–08; 8:45 am] Commission. LSC’s Web site: http://www.lsc.gov. BILLING CODE 4510–26–P ACTION: Notice of meeting. Dated: August 19, 2008. Victor M. Fortuno, SUMMARY: The annual public meeting of Vice President & General Counsel. the Federal Interagency Steering LEGAL SERVICES CORPORATION [FR Doc. E8–19602 Filed 8–22–08; 8:45 am] Committee on Multimedia BILLING CODE 7050–01–P Environmental Modeling (ISCMEM) will Request for Comments—LSC Budget convene to discuss new operational Request for FY 2010 initiatives for FY 2009 among the AGENCY: Legal Services Corporation. NATIONAL ARCHIVES AND RECORDS participating agencies. The meeting is open to the public and all interested ACTION: Request for Comments—LSC ADMINISTRATION Budget Request for FY 2010. parties may attend. Advisory Committee on the Records of DATES: September 3, 2008, from 9 a.m. SUMMARY: The Legal Services Congress; Meeting to 12:30 p.m. Corporation is beginning the process of ADDRESSES: Nuclear Regulatory AGENCY: National Archives and Records developing its FY 2010 budget request Commission, Two White Flint North Administration. to Congress and is soliciting suggestions Auditorium, 11545 Rockville Pike, as to what the request should be. ACTION: Notice of meeting. Rockville, Maryland. DATES: Written comments must be SUMMARY: In accordance with the FOR FURTHER INFORMATION CONTACT: received on or before September 15, Federal Advisory Committee Act, the Inquiries and notice of intent to attend 2008. National Archives and Records the meeting may be faxed or e-mailed to: ADDRESSES: Written comments may be Administration (NARA) announces a Ken Rojas, ISCMEM Chair, Information submitted by mail, fax or e-mail to meeting of the Advisory Committee on Technology Center, U.S. Department of Charles Jeffress, Chief Administrative the Records of Congress. The committee Agriculture, 2150 Centre Ave., Bldg D, Officer, Legal Services Corporation, advises NARA on the full range of Suite 200, Fort Collins, CO, 80526– 3333 K St., NW., Washington, DC, programs, policies, and plans for the 8121, Tel 970–492–7326, Fax 970–492– 20007; 202–295–1630 (phone); 202– Center for Legislative Archives in the 7315, e-mail: [email protected]. 337–6386 (fax); [email protected]. Office of Records Services. SUPPLEMENTARY INFORMATION:

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Background: across the street from the White Flint information, FPC: (1) Explained the Eight Federal agencies have been Metro stop. The most convenient basis for withdrawal of the amendment cooperating under a new Memorandum transportation to the meeting venue is request, (2) committed to resubmit the of Understanding (MOU) on the via Metro since there is extremely amendment by November 7, 2008, and research and development of limited on-street parking. Please take (3) provided assurance that the short multimedia environmental models for Metro to the White Flint Metro stop on term administrative controls, taken as the past year. The new MOU continues the Red Line. Please allow time to corrective action in accordance with the a previous 5 year effort that began in register with building security and to guidance contained in NRC 2001 and establishes a framework check with the entry guard station for Administrative Letter 98–10, are facilitating cooperation and signs for the ISCMEM public meeting effective and will remain in place until coordination among the following room as you enter the building. the LAR implementation. agencies (the specific research Dated at Rockville, Maryland, this 19th day For further details with respect to this organization within the agency is in of August 2008. action, see the application for parentheses): U.S. Army Corps of For the Nuclear Regulatory Commission. amendment dated July 31, 2007, and the Engineers (Engineer Research and William R. Ott, licensee’s letters dated June 19 and July 24, 2008, which withdrew the Development Center); U.S. Department Chief, Environmental Transport Branch, of Agriculture (Natural Resources Division of Risk Analysis, Office of Nuclear application for license amendment. Conservation Service); U.S. Department Regulatory Research. Documents may be examined, and/or of Energy (Office of Biological and [FR Doc. E8–19614 Filed 8–22–08; 8:45 am] copied for a fee, at the NRC’s Public Document Room (PDR), located at One Environmental Research); U.S. BILLING CODE 7590–01–P Environmental Protection Agency; U.S. White Flint North, Public File Area O1 Geological Survey; U.S. National F21, 11555 Rockville Pike (first floor), Oceanographic and Atmosphere NUCLEAR REGULATORY Rockville, Maryland. Publicly available Administration; U.S. Nuclear Regulatory COMMISSION records will be accessible electronically from the ADAMS Public Electronic Commission (Office of Nuclear [Docket No. 50–302] Regulatory Research); and U.S. Bureau Reading Room on the internet at the of Reclamation. These agencies are NRC Web site, http://www.nrc.gov/ Florida Power Corporation; Notice of reading-rm.html. Persons who do not cooperating and coordinating in the Withdrawal of Application for research and development of have access to ADAMS or who Amendment to Facility Operating encounter problems in accessing the multimedia environmental models, License software and related databases, documents located in ADAMS should including development, enhancements, The U.S. Nuclear Regulatory contact the NRC PDR Reference staff by applications and assessments of site Commission (NRC, the Commission) has telephone at 1–800–397–4209 or 301– specific, generic, and process-oriented granted the request of Florida Power 415–4737, or by e-mail to [email protected]. multimedia environmental models as Corporation (FPC, the licensee) to Dated at Rockville, Maryland, this 29 day they pertain to human and withdraw its July 31, 2007, application of July, 2008. environmental health risk assessment. for proposed amendment to Facility For the Nuclear Regulatory Commission. Multimedia model development and Operating License No. DPR–72 for the Farideh E. Saba, simulation supports interagency Crystal River Unit 3 Nuclear Generating Senior Project Manager, Plant Licensing interests in risk assessment, uncertainty Plant (CR–3) located in Citrus County, Branch II–2, Division of Operating Reactor analyses, water supply issues and Florida. Licensing, Office of Nuclear Reactor contaminant transport. The proposed amendment would Regulation. Purpose of the Public Meeting: The have revised the technical specifications [FR Doc. E8–19611 Filed 8–22–08; 8:45 am] annual public meeting provides an to impose more restrictive voltage and BILLING CODE 7590–01–P opportunity for the scientific frequency limits during surveillance community, other Federal and State testing of the emergency diesel agencies, and the public to be briefed on generators. SECURITIES AND EXCHANGE ISCMEM activities and their initiatives The Commission had previously COMMISSION for the upcoming year, and to discuss issued a Notice of Consideration of technological advancements in Issuance of Amendment published in [Release No. 34–58367; File No. SR–NYSE– 2008–75] multimedia environmental modeling. the Federal Register on January 29, Proposed Agenda: The ISCMEM Chair 2008 (73 FR 5222). Subsequently, by Self-Regulatory Organizations; New will open the meeting with a brief letter dated June 19, 2008 (Agencywide York Stock Exchange LLC; Notice of overview of the goals of the MOU and Documents Access and Management Filing and Immediate Effectiveness of an update on current activities of System (ADAMS) Accession No. Proposed Rule Change To Amend ISCMEM. This introduction will be ML081770040), the licensee withdrew Section 303A.02(b) of the Listed followed by a series of invited the amendment request, and stated that Company Manual with respect to Two presentations throughout the morning FPC will continue to maintain of Its Director Independence Tests focusing on topics of mutual interest to administrative control of the emergency ISCMEM participants. A detailed diesel generator voltage and frequency August 15, 2008. agenda with presentation titles and limits as described in the referenced Pursuant to Section 19(b)(1) of the speakers will be posted on the MOU license amendment request (LAR) Securities Exchange Act of 1934 public Web site: http:// submittal. In addition, the licensee (‘‘Act’’) 1 and Rule 19b-4 thereunder,2 iscmem.sc.egov.usda.gov/. plans to resubmit this LAR under a new notice is hereby given that on August Meeting Access: The auditorium of identification number after additional 12, 2008, the New York Stock Exchange the U.S. Nuclear Regulatory evaluations have been completed. Commission Headquarters building at Further on July 24, 2008, in response 1 15 U.S.C. 78s(b)(1). 11545 Rockville Pike, Rockville, MD is to the NRC staff request for additional 2 17 CFR 240.19b–4.

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LLC (‘‘NYSE’’ or ‘‘Exchange’’) filed with proposes to increase the dollar notwithstanding the fact that the child the Securities and Exchange threshold in this test from $100,000 to was a low-level employee in a different Commission (‘‘Commission’’ or ‘‘SEC’’) $120,000. This change reflects the SEC’s region and had no involvement with the the proposed rule change as described August 2006 amendment to the dollar listed company’s audit. in Items I, II, and III below, which Items threshold applicable to related party In addition, NYSE’s proposed change have been substantially prepared by transactions that must be disclosed will bring its standards more in line 3 NYSE. The Commission is publishing under Item 404 of Regulation S–K. with the auditor tests utilized by Nasdaq this notice to solicit comments on the Prior to the SEC’s amendment to Item and the American Stock Exchange.4 proposed rule change from interested 404, the applicable threshold for persons. disclosures was $60,000. The NYSE NYSE proposes to modify its current test with respect to a director’s I. Self-Regulatory Organization’s believes that the monetary threshold in its independence definition should be immediate family member to cover only Statement of the Terms of Substance of an immediate family member who: the Proposed Rule Change consistent with the amount in Regulation S-K Item 404. Using a • Is a current partner of the The Exchange proposes to make consistent standard would enhance the company’s internal or external auditor; amendments to two of the tests with NYSE’s ability to assess compliance • Is a current employee of such a firm respect to the independence of directors with the independent director set forth in Section 303A.02(b) of the and personally works on the listed requirements because companies are company’s audit; or Exchange’s Listed Company Manual required to disclose compensation in • (the ‘‘Manual’’). The text of the excess of $120,000, but are not Was within the last three years a proposed rule change is available on the necessarily required to disclose partner or employee of such a firm and Exchange’s Web site (http:// compensation between $100,000 and personally worked on the listed www.nyse.com), at the Exchange’s $120,000. company’s audit within that time. Office of the Secretary and at the Commission’s Public Reference Room. Auditor Test 2. Statutory Basis II. Self-Regulatory Organization’s Additionally, NYSE is proposing to The Exchange believes that the Statement of the Purpose of, and amend the bright line test set out in proposed rule change is consistent with Statutory Basis for, the Proposed Rule Section 303A.02(b)(iii) relating to a Section 6(b) 5 of the Act in general, and Change listed company’s internal or external furthers the objectives of Section 6(b)(5) auditor. The test currently precludes a 6 In its filing with the Commission, of the Act, in particular, in that it is director from being deemed NYSE included statements concerning designed to promote just and equitable independent if: principles of trade, to foster cooperation the purpose of and basis for the • The director or an immediate family proposed rule change and discussed any and coordination with persons engaged member is a current partner of a firm in regulating, clearing, settling, comments it received on the proposed that is the company’s internal or rule change. The text of these statements processing information with respect to, external auditor; and facilitating transactions in may be examined at the places specified • The director is a current employee securities, to remove impediments to in Item IV below. NYSE has prepared of such a firm; summaries, set forth in Sections A, B, • The director has an immediate and perfect the mechanism of a free and and C below, of the most significant family member who is a current open market and a national market aspects of such statements. employee of such a firm and who system, and, in general, to protect investors and the public interest. The A. Self-Regulatory Organization’s participates in the firm’s audit, assurance or tax compliance (but not tax Exchange believes that the proposed Statement of the Purpose of, and amendment to Section 303A.02(b)(iii) Statutory Basis for, the Proposed Rule planning) practice; or will help to perfect the mechanism of a Change • The director or an immediate family member was within the last three years free and open market in that it will 1. Purpose (but is no longer) a partner or employee conform the Exchange’s approach to The Exchange proposes to make of such a firm and personally worked on that of Nasdaq and Amex. amendments to two of the tests with the listed company’s audit within that The Exchange believes that this respect to the independence of directors time. amendment is consistent with the set forth in Section 303A.02(b) of the NYSE’s experience to date has protection of investors and the public Manual. demonstrated that the current standard interest because the amended test will with respect to immediate family continue to bar a finding of Direct Compensation Test members has had the effect of independence where a director has any Section 303A.02(b)(ii) of the Manual precluding a director from being material relationship with the listed provides that a director may not be deemed independent in cases even company. The proposed amendment to deemed independent for purposes of where an immediate family member had Section 303A.02(b)(ii) furthers the Section 303A if such director has no relationship to the listed company’s protection of investors and the public received, or has an immediate family audit. For example, NYSE’s current test interest in that it adopts the member who has received, during any has required a listed company’s board to Commission’s own materiality threshold twelve-month period within the last conclude that a director may no longer for related party transactions and will three years, more than $100,000 in be deemed independent when the therefore provide a standard that is direct compensation from the listed director’s child took an entry-level job clear, straightforward, and easy for company, other than director and in the audit practice of the listed issuers to understand and apply. committee fees and pension or other company’s external auditor upon forms of deferred compensation for graduation from college, 4 See NASDAQ Marketplace Rule 4200(a)(15)(F) prior service (provided such and Amex Company Guide Section 803(A)(2)(f). compensation is not contingent in any 3 See Securities Act Release No. 8732A (August 5 15 U.S.C. 78f(b). way on continued service). NYSE 29, 2006). 6 15 U.S.C. 78f(b)(5).

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B. Self-Regulatory Organization’s Paper Comments Audit and Financial Management Statement on Burden on Competition • Send paper comments in triplicate Advisory (AFMAC). The meeting will be The Exchange does not believe that to Secretary, Securities and Exchange open to the public. the proposed rule change will impose Commission, 100 F Street, NE., DATES: The meeting will be held on any burden on competition that is not Washington, DC 20549–1090. September 17, 2008 from 9 a.m. to necessary or appropriate in furtherance All submissions should refer to File approximately 12 p.m. Eastern Daylight of the purposes of the Act. Number SR–NYSE–2008–75. This file Time. C. Self-Regulatory Organization’s number should be included on the ADDRESSES: The meeting will be held at Statement on Comments on the subject line if e-mail is used. To help the the U.S. Small Business Administration, Proposed Rule Change Received From Commission process and review your 409 3rd Street, SW., Office of the Chief Members, Participants, or Others comments more efficiently, please use only one method. The Commission will Financial Officer Conference Room, 6th Written comments were neither post all comments on the Commission’s Floor, Washington, DC 20416. solicited nor received. Internet Web site (http://www.sec.gov/ SUPPLEMENTARY INFORMATION: Pursuant III. Date of Effectiveness of the rules/sro.shtml). Copies of the submission, all subsequent to section 10(a)(2) of the Federal Proposed Rule Change and Timing for Advisory Committee Act (5 U.S.C., Commission Action amendments, all written statements with respect to the proposed rule Appendix 2), SBA announces the Because the foregoing proposed rule change that are filed with the meeting of the AFMAC. The AFMAC is change does not: (i) Significantly affect Commission, and all written tasked with providing recommendation the protection of investors or the public communications relating to the and advice regarding the Agency’s interest; (ii) impose any significant proposed rule change between the financial management, including the burden on competition; and (iii) become Commission and any person, other than financial reporting process, systems of operative for 30 days from the date on those that may be withheld from the internal controls, audit process and which it was filed, or such shorter time public in accordance with the process for monitoring compliance with as the Commission may designate, if provisions of 5 U.S.C. 552, will be relevant laws and regulations. consistent with the protection of available for inspection and copying in investors and the public interest, it has The purpose of the meeting is to the Commission’s Public Reference discuss the SBA’s FY 2008 Financial become effective pursuant to Section Room, 100 F Street, NE., Washington, 7 Statements, Credit Subsidy Modeling, 19(b)(3)(A) of the Act and Rule 19b– DC 20549, on official business days 8 Audit Findings, FY 2008 Financial 4(f)(6) thereunder. between the hours of 10 a.m. and 3 p.m. At any time within 60 days of the Report, FY 2008 Agency Performance Copies of such filing also will be filing of the proposed rule change, the Report, Lender Monitoring, FMFIA available for inspection and copying at Commission may summarily abrogate the principal office of the Exchange. All Assurance and A–123 Internal Control such rule change if it appears to the comments received will be posted Program Results. Commission that such action is without change; the Commission does necessary or appropriate in the public FOR FURTHER INFORMATION CONTACT: The not edit personal identifying interest, for the protection of investors, meeting is open to the public, however information from submissions. You or otherwise in furtherance of the advance notice of attendance is should submit only information that purposes of the Act. requested. Anyone wishing to attend you wish to make available publicly. All and/or make a presentation to the IV. Solicitation of Comments submissions should refer to File AFMAC must contact Jennifer Main, by Interested persons are invited to Number SR–NYSE–2008–75 and should fax or e-mail, in order to be placed on submit written data, views and be submitted on or before September 15, the agenda. Jennifer Main, Chief arguments concerning the foregoing, 2008. Financial Officer, 409 3rd Street, SW., including whether the proposed rule For the Commission, by the Division of 6th Floor, Washington, DC 20416, change is consistent with the Act. Trading and Markets, pursuant to delegated phone: (202) 205–6449, fax: (202) 205– 9 Comments may be submitted by any of authority. 6969, e-mail: [email protected]. the following methods: Florence E. Harmon, Acting Secretary. Additionally, if you need Electronic Comments accommodations because of a disability [FR Doc. E8–19591 Filed 8–22–08; 8:45 am] • Use the Commission’s Internet or require additional information, please BILLING CODE 8010–01–P comment form (http://www.sec.gov/ contact Jeff Brown at (202) 205–6117, e- rules/sro.shtml); or mail: [email protected], SBA, • Send an e-mail to rule- Office of Chief Financial Officer, 409 SMALL BUSINESS ADMINISTRATION [email protected]. Please include File 3rd Street, SW., Washington, DC 20416. Number SR–NYSE–2008–75 on the Audit and Financial Management For more information, please visit our subject line. Advisory (AFMAC) Web site at http://www.sba.gov/ aboutsba/sbaprograms/cfo/index.html. 7 15 U.S.C. 78s(b)(3)(A). AGENCY: U.S. Small Business 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Administration. Dated: August 19, 2008. 4(f)(6)(iii) requires that a self-regulatory organization submit to the Commission written ACTION: Notice of open Federal advisory Cherylyn Lebon, notice of its intent to file the proposed rule change, committee meeting. SBA Committee Management Officer. along with a brief description and text of the [FR Doc. E8–19588 Filed 8–22–08; 8:45 am] proposed rule change, at least five business days SUMMARY: The SBA is issuing this notice prior to the date of filing of the proposed rule to announce the location, date, time, BILLING CODE 8025–01–P change, or such shorter time as designated by the Commission. The Commission notes that the and agenda for the next meeting of the Exchange has satisfied the five-day pre-filing notice requirement. 9 17 CFR 200.30–3(a)(12).

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DEPARTMENT OF TRANSPORTATION by appointment or at the Illinois Northwest Quarter (NW1⁄4) of the Department of Transportation, Division Southwest Quarter (SW1⁄4) of said Federal Aviation Administration of Aeronautics, 1 Langhorne Bond Section Thirty-six (36); thence South Drive, Abraham Lincoln Capital Airport, 89°53′25″ East along the South line of Public Notice for Waiver of Springfield, IL 62707. the Northwest Quarter (NW1⁄4) of the Aeronautical Land-Use Assurance; SUPPLEMENTARY INFORMATION: Following Southwest Quarter (SW1⁄4) of said Greater Beardstown Airport, is a legal description of the properties Section Thirty-six (36) a distance of Beardstown, IL being exchanged located in Beardstown, 120.00 feet; thence North 00°02′04″ AGENCY: Federal Aviation Cass County, Illinois, and described as West a distance of 2835.14 feet; thence Administration, DOT. follows: South 89°56′00″ East a distance of 30.00 feet; thence North 00°02′04″ West a ACTION: Notice of intent of waiver with Portion of Parcel 1 respect to land. distance of 515.00 feet; thence North Part of the Southwest Quarter (SW1⁄4) 89°56′00″ West a distance of 150.00 feet SUMMARY: The Federal Aviation of Section Twenty-five (25), Township to the True Point of Beginning. Administration (FAA) is considering a Eighteen (18) North, Range Twelve (12) Said parcel contains 9.58 acres, more proposal to change a portion of airport West of the Third Principal Meridian, or less. Cass County, Illinois, being more land from aeronautical use to non- Issued in Des Plaines, Illinois, on August aeronautical use and to authorize the particularly described as follows: 13, 2008. Commencing at the Southwest corner of exchange of the property for land Jack Delaney, needed to protect the transitional the Southwest Quarter (SW1⁄4) of said Section Twenty-five (25); thence South Acting Manager, Chicago Airports District surface of Runway 18/36. The proposal Office, FAA, Great Lakes Region. 89°56′00″ East (basis of bearing is consists of a 2.1-acre portion of Parcel [FR Doc. E8–19566 Filed 8–22–08; 8:45 am] 1 in exchange for 9.6 acres of Parcel 3. Illinois State Plane Coordinate System. BILLING CODE 4910–13–M Presently the 2.1 acres of Parcel 1 is NAID 83, Illinois West Zone) along the located outside of the fenced in portion South line of said Quarter Section a distanced 1658.91 feet to the Point of of airport property and any protected DEPARTMENT OF TRANSPORTATION zone (runway protection zone, object Beginning; thence continuing South ° ′ ″ free area, object free zone, etc.) This 89 56 00 East along the South line of Federal Aviation Administration said Quarter Section a distance of land is currently being used as ° ′ ″ residential and has a mobile home 330.00 feet; thence North 00 01 41 Public Notice for Waiver of located on it. Parcel 1 was acquired in West a distance of 280.00 feet; thence Aeronautical Land-Use Assurance; North 89°56′00″ West a distance of Mansfield Lahm International Airport; 1986 with Federal participation. It is the ° ′ ″ intent of the City of Beardstown, as 330.00 feet; thence South 00 01 41 East Mansfield, OH a distance of 280.00 feet to the Point of owner and operator of the Greater AGENCY: Federal Aviation Beardstown Airport (K06) to exchange Beginning. Said parcel contains 2.12 acres more Administration, DOT. the subject portion of Parcel 1 (2.1 or less. ACTION: Notice of intent of waiver with Acres) to Ms. Hardwick, Beardstown, IL respect to land. in exchange for 9.6 acres of land In Exchange for a Portion of Parcel 9 (portion of Parcel 3), which is in the 1 Part of the West Half (W ⁄2) of the SUMMARY: The Federal Aviation side transition area of Runway 18/36. Northwest Quarter (NW 1⁄4), and part of Administration (FAA) is considering a This notice announces that the FAA is the Northwest Quarter (NW1⁄4) of the proposal to change a portion of the considering the proposal to authorize Southwest Quarter (SW1⁄4), all in airport from aeronautical use to non- the exchange of the subject airport Section Thirty-six (36), Township aeronautical use and to authorize the property at the Greater Beardstown Eighteen (18) North, Range Twelve (12) sale of the airport property. The Airport, Beardstown, IL with a portion West of the Third Principal Meridian, proposal consists of the sale of vacant, of Parcel 3 (9.6 acres). Approval does Cass County, Illinois, being more much of which is farmed and owned by not constitute a commitment by the particularly described as follows: the City of Mansfield. The Hummel FAA to financially assist in disposal of Commencing at the Northwest corner Parcel #35A is approximately 89.86 the subject airport property nor a of the Northwest Quarter (NW 1⁄4) of acres. There are no impacts to the determination that all measures covered said Section Thirty-six (36); thence airport by allowing the airport to by the program are eligible for grant-in- South 89°56′00″ East (basis of bearing is dispose of the property. The proposed aid funding from the FAA. Illinois State Plane Coordinate System, land for release is vacant, not required In accordance with section 47107(h) NAD 83, Illinois West Zone) along the for future development, safety, or of Title 49, United States Code, this North line of said Quarter Section a compatible land use. The intended land notice is required to be published in the distance of 1119.00 feet; thence South use is infrastructure development, Federal Register 30 days before 00°02′04″ East a distance of 600.00 feet including roads, utilities, and industrial modifying the land-use assurance that to a found concrete marker, said marker development. Approval does not requires the property to be used for an being a corner on the East line of a tract constitute a commitment by the FAA to aeronautical purpose. of land conveyed to the City of financially assist in the disposal of the DATES: Comments must be received on Beardstown, Illinois by a Deed of subject airport property nor a or before September 24, 2008. Conveyance, recorded October 1, 1993 determination of eligibility for grant-in- FOR FURTHER INFORMATION CONTACT: as Document No. 108036 in the Office aid funding from the FAA. The Benjamin Mello, Program Manager, of the Recorder of Cass County, Illinois, disposition of proceeds from the 2300 East Devon Avenue, Des Plaines, and said marker also being the True disposal of the airport property will be IL 60018. Telephone Number 847–294– Point of Beginning; thence continuing in accordance with FAA’s Policy and 7195/FAX Number 847–294–7046. South 00°02′04″ East along the East line Procedures Concerning the Use of Documents reflecting this FAA action of said tract a distance of 3350.05 feet Airport Revenue, published in the may be reviewed at this same location to a point on the South line of the Federal Register on February 16, 1999.

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In accordance with section 47107(h) Issued in Romulus, Michigan on July 28, In accordance with the Division K, of title 49, United States Code, this 2008. section 130 of the ‘‘Consolidated notice is required to be published in the Matthew J. Thys, Appropriations Act, 2008’’ (Pub. L. 110– Federal Register 30 days before Manager, Detroit Airports District Office, 161), the FHWA published a notice of modifying the land-use assurance that FAA, Great Lakes Region. intent to issue a waiver on its Web site requires the property to be used for an [FR Doc. E8–19565 Filed 8–22–08; 8:45 am] for stainless steel clad reinforcing bars aeronautical purpose. BILLING CODE 4910–13–M for selected Federal-aid projects in DATES: Comments must be received on Virginia (http://www.fhwa.dot.gov/ or before September 24, 2008. construction/contracts/ DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: waivers.cfm?id=13) on June 22, 2008. The FHWA evaluated several comments Stephanie Swann, Program Manager, Federal Highway Administration Detroit Airports District Office, 11677 that were received in response to the notice. Several commenters suggested South Wayne Road, Suite 107, Romulus, Buy America Waiver Notification that solid stainless rebar should be used Michigan 48174. Telephone Number: and that stainless clad rebar may be (734)–229–2945/FAX Number: (734)– AGENCY: Federal Highway more expensive than solid stainless 229–2950. Documents reflecting this Administration (FHWA), DOT. rebar. Other commenters disagreed with FAA action may be reviewed at this ACTION: Notice. this position. The Virginia Department same location or at Mansfield Lahm of Transportation’s waiver request is to International Airport, Mansfield, Ohio. SUMMARY: This notice provides information regarding the FHWA’s evaluate the stainless clad reinforcing SUPPLEMENTARY INFORMATION: Following finding that a Buy America waiver is bars along with two other types of is a legal description of the property appropriate for stainless steel clad corrosion resistant reinforcing steels located in Madison Township, County reinforcing bars used in certain Federal- (ASTM1035 and solid stainless) under of Richland, State of Ohio, and aid construction projects in Virginia. an experimental project. The FHWA described as follows: (Legal Description agrees with the Virginia Department of of Property). DATES: The effective date of the waiver is August 26, 2008. Transportation that it is in the public Being a part of the northeast Quarter of interest to waive the Buy America FOR FURTHER INFORMATION CONTACT: For Section 5, Township 21, Range 18 of requirements for this experimental Madison Township, and more fully described questions about this notice, please project; therefore, the FHWA concludes as follows: contact Gerald Yakowenko, FHWA that a Buy America waiver is Beginning at the intersection of the east Office of Program Administration, (202) appropriate as provided by 23 CFR line of the Northeast Quarter of Section 5 and 366–1562, [email protected]. 635.410(c)(1). the centerline of Nail Road (which is the For legal questions, please contact In accordance with the provisions of south line of the Northeast Quarter of Section Michael Harkins, FHWA Office of the 5); thence west along and with the centerline section 117 of the ‘‘SAFETEA—LU Chief Counsel, (202) 366–4928, Technical Corrections Act of 2008 (Pub. of Nail Road a distance of 1724 ft. to a point [email protected]. Office hours in the centerline of Bowman Street Road (CH L. 110–244, 122 Stat. 1572), the FHWA 215); thence north 28 degrees 30 minutes for the FHWA are from 7:45 a.m. to 4:15 is providing this notice as its finding west along and with the centerline of p.m., e.t., Monday through Friday, that a waiver of Buy America Bowman Street Road a distance of 1254.5 ft.; except Federal holidays. requirements is appropriate. The FHWA thence south 80 degrees 00 minutes east a SUPPLEMENTARY INFORMATION: invites public comment on this finding distance of 389 ft.; thence north 2 degrees 30 Electronic Access for an additional 15 days following the minutes east a distance of 1884 ft. to a point effective date of the finding. Comments in the centerline of Crall Road (CH237); An electronic copy of this document may be submitted to the FHWA’s Web thence south 89 degrees 48 minutes east may be downloaded from the Federal site via the link to the Virginia waiver along and with the centerline of Crall Road Register ’s home page at: http:// a distance of 1854 ft.; thence south 0 degrees page noted above. 8 minutes east a distance of 2900 ft. to the www.archives.gov and the Government (Authority: 23 U.S.C. 313; Pub. L. 110–161, place of beginning and contains 129.80 acres Printing Office’s database at: http:// 23 CFR 635.410) more or less and subject to all legal www.access.gpo.gov/nara. . Issued on: August 14, 2008. highways. Background Also the following described premises: James D. Ray, Being a part of the northwest Quarter of The FHWA’s Buy America policy in Acting Federal Highway Administrator. Section 4, Township 21, Range 18 of 23 CFR 635.410 requires a domestic [FR Doc. E8–19638 Filed 8–22–08; 8:45 am] Madison Township, and more particularly manufacturing process for any steel or BILLING CODE 4910–22–P described as follows: iron products (including protective Beginning at the intersection of the west coatings) that are permanently line of the Northwest Quarter of Section 4 DEPARTMENT OF TRANSPORTATION and the centerline of Nail Road (which is the incorporated in a Federal-aid south line of the northwest Quarter of construction project. The regulation also provides for a waiver of the Buy Federal Motor Carrier Safety Section 4); thence east along and with the Administration centerline of Nail Road a distance of 720 feet; America requirements when the thence north 1 degree 16 minutes east a application would be inconsistent with [Docket No. FMCSA–2003–25290] distance of 2344 feet; thence north 88 degrees the public interest or when satisfactory 44 minutes west a distance of 391 feet; quality domestic steel and iron products Commercial Driver’s License thence south 2 degrees 43 minutes west a are not sufficiently available. This Standards: Application for Exemption; distance of 383 feet; thence south 89 degrees notice provides information regarding Isuzu Motors America, Inc. (Isuzu) 40 minutes west a distance of 372.7 feet; thence south 0 degrees 8 minutes east a the FHWA’s finding that a Buy America AGENCY: Federal Motor Carrier Safety distance of 1974 feet to the place of waiver is appropriate for stainless steel Administration (FMCSA), DOT. clad reinforcing bars used for certain beginning and contains 37.31 acres more or ACTION: Notice of application for Federal-aid projects administered by the less and subject to all legal highways. Now exemption; request for comments. located in the City of Mansfield. Virginia Department of Transportation.

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SUMMARY: FMCSA announces that Isuzu the comment (or signing the comment, Request for Exemption Motors America (Isuzu) has applied for if submitted on behalf of an association, Isuzu has applied for an exemption an exemption from the Federal business, labor union, etc.). You may from the commercial driver’s license requirement for a driver of a commercial review DOT’s complete Privacy Act (CDL) rules, specifically 49 CFR 383.23 motor vehicle (CMV) to hold a Statement in the Federal Register that prescribes licensing requirements commercial driver’s license (CDL). Isuzu published on April 11, 2000 (65 FR for drivers operating commercial motor requests that the exemption cover 27 of 19477) or you may visit vehicles (CMVs) in interstate or its commercial motor vehicle (CMV) www.regulations.gov. intrastate commerce. Isuzu requests the drivers who will test-drive CMVs for Public Participation: The exemption because its driver-employees Isuzu in the United States. Each of these www.regulations.gov Web site is are citizens and residents of Japan, and 27 Isuzu employees holds a valid generally available 24 hours each day, because they cannot apply for a CDL in Japanese CDL but lacks the U.S. 365 days each year. You can get any of the United States. A copy of the residency necessary to obtain a CDL electronic submission and retrieval help application is in Docket No. FMCSA– from one of the States of the U.S. Isuzu and guidelines under the ‘‘help’’ section 2003–25290. The exemption would believes the knowledge and skills tests of the www.regulations.gov Web site and allow 27 drivers to operate CMVs in and training program that drivers also at the DOT’s http:// interstate commerce as a team, testing undergo to obtain a Japanese CDL docketsinfo.dot.gov Web site. If you and evaluating production and ensures that these drivers will achieve want us to notify you that we received prototype commercial motor vehicles in a level of safety that is equivalent to, or your comments, please include a self- the United States in order to assist in greater than, the level of safety that addressed, stamped envelope or the design of safe vehicles for sale in the would be obtained by complying with postcard, or print the acknowledgement United States. the exemption. page that appears after submitting The drivers are: Yasushi Akazawa, DATES: Comments must be received on comments online. Kenji Takashima, Kunihisa Nagata, or before September 24, 2008. FOR FURTHER INFORMATION CONTACT: Hidenori Seki, Toshihiko Morikawa, ADDRESSES: You may submit comments Mr. Robert Schultz, Jr., FMCSA Driver Koichi Uneo, Atsushi Fujiwara, identified by Federal Docket and Carrier Operations Division; Office Katsushi Suzuki, Mitsugu Yamamoto, Management System Number [FMCSA– of Bus and Truck Standards and Takashi Nakaya, Takahisa Chiba, 2003–25290] by any of the following Operations; Telephone: 202–366–4325. Shigeru Kitano, Daisuke Mori, Takahiro methods: E-mail: [email protected]. Kakizaki, Takamasa Ono, Koichi Sekine, • Web site: www.regulations.gov. SUPPLEMENTARY INFORMATION: Shinichi Takahashi, Shinya Ogawa, Follow the instructions for submitting Masamitsu Oohata, Tamotsu Background comments on the Federal electronic Watanabe,Masahito Suzuki, Kazuya docket site. Section 4007 of the Transportation Suwa, Hiroshi Yokobori, Tatsuji • Fax: 1–202–493–2251. Equity Act for the 21st Century (Pub. L. Kitamura, Shinichi Ishiguro, Takashi • Mail: Docket Management Facility; 105–178, 112 Stat. 107, June 9, 1998) Hiromatsu, and Jun Mizushima. U.S. Department of Transportation, amended 49 U.S.C. 31315 and 31136(e) Each driver holds a valid Japanese Room W–12–140, 1200 New Jersey to provide authority to grant exemptions CDL, and as explained by Isuzu in Avenue, SE., 20590–0001. from motor carrier safety regulations. previous exemption requests, drivers • Hand Delivery: Ground Floor, Room Under its regulations, FMCSA must applying for a Japanese-issued CDL W12–140, DOT Building, 1200 New publish a notice of each exemption must undergo a training program and Jersey Avenue, SE., Washington, DC, request in the Federal Register (49 CFR pass knowledge and skills tests. Isuzu between 9 a.m. and 5 p.m. e.t., Monday 381.315(a)). The Agency must provide also stated in prior exemption requests through Friday, except Federal the public an opportunity to inspect the that the knowledge and skills tests and Holidays. information relevant to the application, training program that Japanese drivers Instructions: All submissions must including any safety analyses. The undergo to obtain a Japanese CDL include the Agency name and docket Agency must also provide an ensure the exemption provides a level of number. For detailed instructions on opportunity for public comment on the safety that is equivalent to, or greater submitting comments and additional application. than, the level of safety obtained by information on the exemption process, The Agency reviews the safety complying with the U.S. requirement for see the Public Participation heading analyses and the public comments, and a CDL. below. Note that all comments received determines whether granting the FMCSA has previously determined will be posted without change to exemption would likely achieve a level the process for obtaining a Japanese CDL www.regulations.gov, including any of safety equivalent to, or greater than, is comparable to, or as effective as, the personal information provided. Please the level that would be achieved by Federal CDL knowledge and skills see the Privacy Act heading below. complying with the current regulation requirements of 49 CFR part 383 as Docket: For access to the docket to (49 CFR 381.305). The decision of the enforced by the States, and adequately read background documents or Agency must be published in the assesses the driver’s ability to operate comments received, go to Federal Register (49 CFR 381.315(b)) CMVs in the U.S. The initial notice of www.regulations.gov at any time or to with the reason for denying or, in the a similar nature was published by the ground floor, room W12–140, DOT alternative, the specific person or class FMCSA on October 16, 2003, granting Building, 1200 New Jersey Avenue, SE., of persons receiving the exemption, and this exemption to Isuzu for 31 Japanese Washington, DC, between 9 a.m. and 5 the regulatory provision or provisions CDL drivers (68 FR 59677). p.m., e.t., Monday through Friday, from which exemption is granted. The except Federal holidays. notice must also specify the effective Request for Comments Privacy Act: Anyone is able to search period of the exemption (up to 2 years), In accordance with 49 U.S.C. the electronic form of all comments and explain the terms and conditions of 31315(b)(4) and 31136(e), FMCSA received into any of the our dockets by the exemption. The exemption may be requests public comment on Isuzu’s the name of the individual submitting renewed (49 CFR 381.300(b)). application for an exemption from the

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CDL requirements of49 CFR 383.23. The carrier safety regulations. The advisory compliance from certain requirements Agency will consider all comments committee operates in accordance with of its safety standards. The individual received by close of business on the Federal Advisory Committee Act (5 petition is described below, including September 24, 2008. Comments will be U.S.C. App 2). The FMCSA the party seeking relief, the regulatory available for examination in the docket Administrator appointed 15 members to provisions involved, the nature of the at the location listed under the serve on the advisory committee on relief being requested, and the ADDRESSES section of this notice. The March 5, 2007. petitioner’s arguments in favor of relief. Agency will consider to the extent II. Meeting Participation Harsco Track Technologies (Waiver practicable comments received in the Petition Docket Number FRA–2008– public docket after the closing date of The meeting is open to the public and 0070) the comment period. FMCSA invites participation by all interested parties, including motor Harsco Track Technologies (HTT) is Issued on August 18, 2008. carriers, drivers, and representatives of seeking a waiver of compliance from 49 Larry W. Minor, motor carrier associations. For CFR Part § 214.505(a), pertaining to Associate Administrator for Policy and information on facilities or services for enclosed cabs on on-track roadway Program Development. individuals with disabilities or to maintenance machines (RMM). [FR Doc. E8–19639 Filed 8–22–08; 8:45 am] request special assistance, please e-mail Specifically, HTT would like relief from BILLING CODE 4910–EX–P your request to [email protected] by the requirement of an enclosed cab, September 5, 2008. As a general matter, operable heating and air conditioning the committee will make one hour system, and positive pressurized DEPARTMENT OF TRANSPORTATION available for public comments at the ventilation system on a remotely Federal Motor Carrier Safety meeting from 3 pm to 4 pm. Individuals controlled RMM. Administration wishing to address the committee Interested parties are invited to should send an e-mail to [email protected] participate in these proceedings by [Docket No. FMCSA–2006–26367] by close of business on September 5, submitting written views, data, or 2008. The time available will be comments. FRA does not anticipate Motor Carrier Safety Advisory reasonably divided among those who scheduling a public hearing in Committee Public Meeting have signed up to address the connection with these proceedings since AGENCY: Federal Motor Carrier Safety committee; however, no one will have the facts do not appear to warrant a Administration (FMCSA), DOT. more than 15 minutes. Individuals hearing. If any interested party desires ACTION: Notice of Motor Carrier Safety wanting to present written materials to an opportunity for oral comment, they Advisory Committee Meeting. the committee should submit written should notify FRA, in writing, before comments identified by Federal Docket the end of the comment period and SUMMARY: FMCSA announces that the Management System (FDMC) Docket specify the basis for their request. Motor Carrier Safety Advisory Number FMCSA–2006–26367 using any All communications concerning these Committee (MCSAC) will hold a of the following methods: proceedings should identify the committee meeting. The meeting is open • Federal eRulemaking Portal: Go to appropriate docket number (e.g. , to the public. http://www.regulations.gov. Follow the Waiver Petition Docket Number FRA– DATES: The meeting will be held on online instructions for submitting 2008–0070) and may be submitted by September 9, 2008, from 12 pm to 4 pm comments. any of the following methods: • Eastern Daylight Time. • Fax: 202–493–2251. Web site: http:// • ADDRESSES: The meeting will take place Mail: Docket Management Facility; www.regulations.gov. Follow the online U.S. Department of Transportation, 1200 instructions for submitting comments. at the L’Enfant Plaza Hotel, Quorum • Room, 480 L’Enfant Plaza, SW., New Jersey Avenue, SE., West Building, Fax: 202–493–2251. • Mail: Docket Operations Facility, Washington, DC 20024. Room W12–140, Washington, DC 20590. • Hand Delivery: U.S. Department of U.S. Department of Transportation, 1200 FOR FURTHER INFORMATION CONTACT: Mr. Transportation, 1200 New Jersey New Jersey Avenue, SE., W12–140, Jeffrey Miller, Chief, Strategic Planning Avenue, SE., Room W12–140, Washington, DC 20590. and Program Evaluation Division, Office Washington, DC, between 9 a.m. and 5 • Hand Delivery: 1200 New Jersey of Policy Plans and Regulation, Federal p.m., Monday through Friday, except Avenue, SE., Room W12–140, Motor Carrier Safety Administration, Federal holidays. Washington, DC 20590, between 9 a.m. U.S. Department of Transportation, 1200 and 5 p.m., Monday through Friday, New Jersey Avenue, SE., Washington, Larry W. Minor, except Federal holidays. DC 20590, (202) 366–1258, Associate Administrator for Policy and Communications received within 45 [email protected]. Program Development. days of the date of this notice will be SUPPLEMENTARY INFORMATION: [FR Doc. E8–19742 Filed 8–22–08; 8:45 am] considered by FRA before final action is BILLING CODE 4910–EX–P taken. Comments received after that I. Background date will be considered as far as Section 4144 of the Safe, Accountable, practicable. All written communications Flexible, Efficient Transportation Equity DEPARTMENT OF TRANSPORTATION concerning these proceedings are Act: A Legacy for Users (SAFETEA-LU, available for examination during regular Pub. L. 109–59) required the Secretary Federal Railroad Administration business hours (9 a.m.–5 p.m.) at the of the U.S. Department of Petition for Waiver of Compliance above facility. All documents in the Transportation to establish in FMCSA, a public docket are also available for Motor Carrier Safety Advisory In accordance with Part 211 of Title inspection and copying on the Internet Committee. The advisory committee 49 Code of Federal Regulations (CFR), at the docket facility’s Web site at provides advice and recommendations notice is hereby given that the Federal http://www.regulations.gov. to the FMCSA Administrator on motor Railroad Administration (FRA) has Anyone is able to search the carrier safety programs and motor received a request for a waiver of electronic form of any written

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communications and comments [email protected], or send a DEPARTMENT OF VETERANS received into any of our dockets by the facsimile transmission to (202) 906– AFFAIRS name of the individual submitting the 7755. comment (or signing the comment, if National Research Advisory Council; submitted on behalf of an association, FOR FURTHER INFORMATION CONTACT: For Notice of Meeting business, labor union, etc.). You may further information or to obtain a copy review DOT’s complete Privacy Act of the submission to OMB, please The Department of Veterans Affairs Statement in the Federal Register contact Ira L. Mills at, (VA) gives notice under Public Law 92– published on April 11, 2000 (Volume [email protected] (202) 906–6531, 463 (Federal Advisory Committee Act) 65, Number 70; Pages 19477–78). or facsimile number (202) 906–6518, that the National Research Advisory Regulations and Litigation Division, Council will hold a meeting on Monday, Issued in Washington, DC on August 20, Chief Counsel’s Office, Office of Thrift September 29, 2008, in room GL–20 at 2008. Supervision, 1700 G Street, NW., the Greenhoot Cohen Building, 1722 Grady C. Cothen, Jr., Washington, DC 20552. Eye Street, NW., Washington, DC. The Deputy Associate Administrator for Safety meeting will convene at 8:30 a.m. and SUPPLEMENTARY INFORMATION: OTS may Standards and Program Development. end at 3:00 p.m. The meeting is open to not conduct or sponsor an information [FR Doc. E8–19637 Filed 8–22–08; 8:45 am] the public. BILLING CODE 4910–06–P collection, and respondents are not required to respond to an information The purpose of the Council is to collection, unless the information provide external advice and review for VA’s research mission. The September DEPARTMENT OF THE TREASURY collection displays a currently valid OMB control number. As part of the 29 meeting agenda will include a review of the VA research portfolio and a Office of Thrift Supervision approval process, we invite comments on the following information collection. summary of current budget allocations. The Council will also provide feedback Amendment of a Savings Title of Proposal: Amendment of a Association’s Bylaws on the direction/focus of VA’s research Savings Association’s Bylaws. initiatives. AGENCY: Office of Thrift Supervision OMB Number: 1550–0017. Any member of the public wishing to (OTS), Treasury. Form Number: N/A. attend the meeting or wishing further ACTION: Notice and request for comment. Description: All federally chartered information should contact Jay A. savings associations are required to file Freedman, PhD, Designated Federal SUMMARY: The proposed information Officer, at (202) 461–1699. Oral collection request (ICR) described below bylaw amendment applications or notices with OTS. OTS Regional Office comments from the public will not be has been submitted to the Office of accepted at the meeting. Written Management and Budget (OMB) for staff review the applications and notices to determine whether the bylaw statements or comments should be review and approval, as required by the transmitted electronically to Paperwork Reduction Act of 1995. OTS amendments comply with the regulations and OTS policy. If an [email protected] or mailed to Dr. is soliciting public comments on the Freedman at Department of Veterans proposal. application or notice raises a significant issue of policy or law, or if it involves Affairs, Office of Research and DATES: Submit written comments on or non-routine anti-takeover provisions or Development (12), 810 Vermont before September 24, 2008. A copy of non-standard indemnification Avenue, NW., Washington, DC 20420. this ICR, with applicable supporting provisions, the Washington, DC office Dated: August 19, 2008. documentation, can be obtained from will also review the application or By Direction of the Secretary. RegInfo.gov at http://www.reginfo.gov/ notice. E. Philip Riggin, public/do/PRAMain. Type of Review: Extension of a Committee Management Officer. ADDRESSES: Send comments, referring to currently approved collection. [FR Doc. E8–19618 Filed 8–22–08; 8:45 am] the collection by title of the proposal or by OMB approval number, to OMB and Affected Public: Business or other for- BILLING CODE 8320–01–P OTS at these addresses: Office of profit. Information and Regulatory Affairs, Estimated Number of Respondents: DEPARTMENT OF VETERANS Attention: Desk Officer for OTS, U.S. 57. AFFAIRS Office of Management and Budget, 725 Estimated Number of Responses: 57. 17th Street, NW., Room 10235, Research Advisory Committee on Gulf Washington, DC 20503, or by fax to Estimated Burden Hours per Response: 8 hours. War Veterans’ Illnesses; Notice of (202) 395–6974; and Information Meeting Collection Comments, Chief Counsel’s Estimated Frequency of Response: Office, Office of Thrift Supervision, Other; As needed. The Department of Veterans Affairs 1700 G Street, NW., Washington, DC Estimated Total Burden: 456 hours. (VA) gives notice under Public Law 92– 20552, by fax to (202) 906–6518, or by Clearance Officer: Ira L. Mills, (202) 463 (Federal Advisory Committee Act) e-mail to 906–6531, Office of Thrift Supervision, that the Research Advisory Committee [email protected]. 1700 G Street, NW., Washington, DC on Gulf War Veterans’ Illnesses will OTS will post comments and the related 20552. meet on September 15–16, 2008, in index on the OTS Internet Site at room 230 at the Department of Veterans http://www.ots.treas.gov. In addition, Dated: August 19, 2008. Affairs, 810 Vermont Avenue, NW., interested persons may inspect Deborah Dakin, Washington, DC. The sessions will start comments at the Public Reading Room, Senior Deputy Chief Counsel, Regulations and at 8 a.m. each day. The sessions will 1700 G Street, NW., by appointment. To Legislation Division. end at 5 p.m. on September 15 and at make an appointment, call (202) 906– [FR Doc. E8–19589 Filed 8–22–08; 8:45 am] 2 p.m. on September 16. The meeting 5922, send an e-mail to BILLING CODE 6720–01–P will be open to the public

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The purpose of the Committee is to potentially underlying chronic of Environmental Health, Boston provide advice and make symptoms affecting Gulf War veterans, University School of Public Health, 715 recommendations to the Secretary of neurologic illnesses affecting Gulf War Albany St., T2E, Boston, MA 02118. Veterans Affairs on proposed research veterans, and discussion of Committee Any member of the public seeking studies, research plans and research business and activities. The Committee additional information should contact strategies relating to the health will also present its 2008 report and Dr. William Goldberg, Designated consequences of military service in the recommendations. Southwest Asia theater of operations The meeting will include time Federal Officer, at (202) 461–1667, or during the Gulf War. reserved for public comments. A sign- Dr. White, Scientific Director, at (617) The Committee will review VA up sheet for five-minute comments will 638–4620. program activities related to Gulf War be available at the meeting. Individuals Dated: August 19, 2008. veterans’ illnesses and updates on who speak are invited to submit 1–2 By Direction of the Secretary. relevant scientific research published page summaries of their comments at E. Philip Riggin, since the last Committee meeting. the time of the meeting for inclusion in Additionally, there will be presentations the official meeting record. Members of Committee Management Officer. and discussion of background the public may also submit written [FR Doc. E8–19616 Filed 8–22–08; 8:45 am] information on the Gulf War and Gulf statements for the Committee’s review BILLING CODE 8320–01–P War veterans’ illnesses, mechanisms to Dr. Roberta White, Chair, Department

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Part II

Department of Energy 10 CFR Part 431

Energy Conservation Program for Commercial and Industrial Equipment; Proposed Rule

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DEPARTMENT OF ENERGY foreign national and wish to participate SUPPLEMENTARY INFORMATION: in the public meeting, please inform I. Summary of the Proposed Rule 10 CFR Part 431 DOE as soon as possible by contacting II. Introduction A. Overview [Docket No. EE–2006–STD–0126] Ms. Brenda Edwards at (202) 586–2945 so that the necessary procedures can be B. Authority RIN 1904–AB59 C. Background completed. 1. Current Standards Any comments submitted must 2. History of Standards Rulemaking for Energy Conservation Program for identify the NOPR for commercial Commercial and Industrial Equipment: Commercial Refrigeration Equipment refrigeration equipment, and provide III. General Discussion Energy Conservation Standards for docket number EE–2006–STD–0126 A. Test Procedures Commercial Ice-Cream Freezers; Self- and/or RIN number 1904–AB59. B. Technological Feasibility Contained Commercial Refrigerators, Comments may be submitted using any 1. General Commercial Freezers, and Commercial of the following methods: 2. Maximum Technologically Feasible Refrigerator-Freezers Without Doors; • Federal eRulemaking Portal: http:// Levels and Remote Condensing Commercial C. Energy Savings www.regulations.gov. Follow the 1. Determination of Savings Refrigerators, Commercial Freezers, instructions for submitting comments. and Commercial Refrigerator-Freezers 2. Significance of Savings • E-mail: commercialrefrigeration. D. Economic Justification AGENCY: Office of Energy Efficiency and [email protected]. Include docket 1. Specific Criteria Renewable Energy, Department of number EE–2006–STD–0126 and/or RIN a. Economic Impact on Manufacturers and Energy. 1904–AB59 in the subject line of the Commercial Customers message. b. Life-Cycle Costs ACTION: Notice of proposed rulemaking • c. Energy Savings and notice of public meeting. Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building d. Lessening of Utility or Performance of Equipment SUMMARY: The Energy Policy and Technologies Program, Mailstop EE–2J, e. Impact of Any Lessening of Competition Conservation Act prescribes energy 1000 Independence Avenue, SW., f. Need of the Nation to Conserve Energy conservation standards for certain Washington, DC 20585–0121. g. Other Factors commercial and industrial equipment, Telephone: (202) 586–2945. Please 2. Rebuttable Presumption and requires the Department of Energy submit one signed original paper copy. IV. Methodology and Discussion of (DOE) to administer an energy • Hand Delivery/Courier: Ms. Brenda Comments conservation program for this Edwards, U.S. Department of Energy, A. Market and Technology Assessment equipment. In this notice, DOE is Building Technologies Program, 950 1. Definitions Related to Commercial L’Enfant Plaza, SW., 6th Floor, Refrigeration Equipment proposing new energy conservation a. Air Curtain Angle Definition standards for commercial ice-cream Washington, DC 20024. Please submit b. Door Angle Definition freezers; self-contained commercial one signed original paper copy. 2. Equipment Classes refrigerators, commercial freezers, and For detailed instructions on B. Engineering Analysis commercial refrigerator-freezers without submitting comments and additional 1. Approach doors; and remote condensing information on the rulemaking process, 2. Equipment Classes Analyzed commercial refrigerators, commercial see Section VII, ‘‘Public Participation,’’ 3. Analytical Models freezers, and commercial refrigerator- of this document. a. Cost Model freezers. DOE is also announcing a Docket: For access to the docket to b. Energy Consumption Model read background documents or c. Design Options public meeting on its proposed 4. Baseline Models standards. comments received, visit the U.S. 5. Engineering Analysis Results Department of Energy, Resource Room DATES: DOE will hold a public meeting C. Markups to Determine Equipment Price of the Building Technologies Program, on Tuesday, September 23, 2008, from D. Energy Use Characterization 950 L’Enfant Plaza, SW., 6th Floor, 9 a.m. to 5 p.m. in Washington, DC. E. Life-Cycle Cost and Payback Period Washington, DC 20024, (202) 586–2945, Analyses DOE must receive requests to speak at between 9 a.m. and 4 p.m., Monday 1. Manufacturer Selling Price the public meeting no later than 4 p.m., through Friday, except Federal holidays. 2. Increase in Selling Price Tuesday, September 9, 2008 DOE must Please call Ms. Brenda Edwards at the 3. Markups receive a signed original and an above telephone number for additional 4. Installation Costs electronic copy of statements to be given 5. Energy Consumption information regarding visiting the at the public meeting no later than 4 6. Electricity Prices Resource Room. p.m., Tuesday, September 16, 2008. 7. Electricity Price Trends DOE will accept comments, data, and Please Note: DOE’s Freedom of Information 8. Repair Costs information regarding the notice of Reading Room (Room 1E–190 at the Forrestal 9. Maintenance Costs proposed rulemaking (NOPR) before and Building) no longer houses rulemaking 10. Lifetime materials. 11. Discount Rate after the public meeting, but no later 12. Payback Period than October 24, 2008. See Section VII, FOR FURTHER INFORMATION CONTACT: Mr. F. Shipments Analysis ‘‘Public Participation,’’ of this NOPR for Charles Llenza, U.S. Department of G. National Impact Analysis details. Energy, Building Technologies Program, 1. Base Case and Standards Case ADDRESSES: The public meeting will be EE–2J, 1000 Independence Avenue, Forecasted Efficiencies held at the U.S. Department of Energy, SW., Washington, DC 20585–0121, (202) 2. Annual Energy Consumption, Total Forrestal Building, Room 8E–089, 1000 586–2192, [email protected]. Installed Cost, Maintenance Cost, and Independence Avenue, SW., Ms. Francine Pinto, Esq., U.S. Repair Costs 3. Escalation of Electricity Prices Washington, DC 20585–0121. Please Department of Energy, Office of General 4. Electricity Site-to-Source Conversion note that foreign nationals visiting DOE Counsel, GC–72, 1000 Independence H. Life-Cycle Cost Sub-Group Analysis Headquarters are subject to advance Avenue, SW., Washington, DC 20585– I. Manufacturer Impact Analysis security screening procedures, requiring 0121, (202) 586–9507, 1. Overview a 30-day advance notice. If you are a [email protected]. a. Phase 1, Industry Profile

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b. Phase 2, Industry Cash-Flow Analysis 5. Impact of Any Lessening of Competition any new or amended energy c. Phase 3, Sub-Group Impact Analysis 6. Need of the Nation to Conserve Energy conservation standard the U.S. 2. Government Regulatory Impact Model 7. Other Factors Department of Energy (DOE) prescribes Analysis C. Proposed Standard 3. Manufacturer Interviews VI. Procedural Issues and Regulatory Review for the equipment covered by this notice a. Key Issues A. Review Under Executive Order 12866 shall be designed to ‘‘achieve the 4. Government Regulatory Impact Model B. Review Under the Regulatory Flexibility maximum improvement in energy Key Inputs and Scenarios Act/Initial Regulatory Flexibility efficiency * * * which the Secretary a. Base Case Shipments Forecast Analysis determines is technologically feasible b. Standards Case Shipments Forecast C. Review Under the Paperwork Reduction and economically justified.’’ (42 U.S.C. c. Markup Scenarios Act d. Equipment and Capital Conversion Costs D. Review Under the National 6295(o)(2)(A) and 6316(e)(1)) J. Utility Impact Analysis Environmental Policy Act Furthermore, the new or amended K. Employment Impact Analysis E. Review Under Executive Order 13132 standard must ‘‘result in significant L. Environmental Assessment F. Review Under Executive Order 12988 conservation of energy.’’ (42 U.S.C. V. Analytical Results G. Review Under the Unfunded Mandates 6295(o)(3)(B) and 6316(e)(1)) In A. Trial Standard Levels Reform Act of 1995 1. Miscellaneous Equipment accordance with these and other H. Review Under the Treasury and General statutory criteria discussed in this B. Economic Justification and Energy Government Appropriations Act, 1999 Savings I. Review Under Executive Order 12630 notice, DOE proposes to adopt new 1. Economic Impacts on Commercial J. Review Under the Treasury and General energy conservation standards for Customers Government Appropriations Act, 2001 commercial ice-cream freezers; self- a. Life-Cycle Cost and Payback Period K. Review Under Executive Order 13211 b. Rebuttable Presumption Payback contained commercial refrigerators, L. Review Under the Information Quality c. Life-Cycle Cost Sub-Group Analysis commercial freezers, and commercial Bulletin for Peer Review 2. Economic Impacts on Manufacturers refrigerator-freezers without doors; and VII. Public Participation a. Industry Cash-Flow Analysis Results A. Attendance at Public Meeting remote condensing commercial b. Cumulative Regulatory Burden B. Procedure for Submitting Requests to refrigerators, commercial freezers, and c. Impacts on Employment commercial refrigerator-freezers.1 The d. Impacts on Manufacturing Capacity Speak e. Impacts on Sub-Groups of Manufacturers C. Conduct of Public Meeting proposed standards, shown in Table I– 3. National Impact Analysis D. Submission of Comments 1, would apply to all commercial a. Amount and Significance of Energy E. Issues on Which DOE Seeks Comment refrigeration equipment manufactured VIII. Approval of the Office of the Secretary Savings on or after January 1, 2012, and offered b. Net Present Value I. Summary of the Proposed Rule for sale in the United States. 42 U.S.C. c. Impacts on Employment 4. Impact on Utility or Performance of The Energy Policy and Conservation 6313(c)(4)(A). Equipment Act, as amended (EPCA), specifies that

TABLE I–1—PROPOSED STANDARD LEVELS

Equipment class 2 Proposed standard level * ** Equipment class Proposed standard level

VOP.RC.M ...... 0.82 × TDA + 4.07 ...... VCT.RC.I ...... 0.71 × TDA + 3.05 SVO.RC.M ...... 0.83 × TDA + 3.18 ...... HCT.RC.M ...... 0.16 × TDA + 0.13 HZO.RC.M ...... 0.35 × TDA + 2.88 ...... HCT.RC.L ...... 0.34 × TDA + 0.26 VOP.RC.L ...... 2.28 × TDA + 6.85 ...... HCT.RC.I ...... 0.4 × TDA + 0.31 HZO.RC.L ...... 0.57 × TDA + 6.88 ...... VCS.RC.M ...... 0.11 × V + 0.26 VCT.RC.M ...... 0.25 × TDA + 1.95 ...... VCS.RC.L ...... 0.23 × V + 0.54 VCT.RC.L ...... 0.6 × TDA + 2.61 ...... VCS.RC.I ...... 0.27 × V + 0.63 SOC.RC.M ...... 0.51 × TDA + 0.11 ...... HCS.RC.M ...... 0.11 × V + 0.26 VOP.SC.M ...... 1.74 × TDA + 4.71 ...... HCS.RC.L ...... 0.23 × V + 0.54 SVO.SC.M ...... 1.73 × TDA + 4.59 ...... HCS.RC.I ...... 0.27 × V + 0.63 HZO.SC.M ...... 0.77 × TDA + 5.55 ...... SOC.RC.L ...... 1.08 × TDA + 0.22 HZO.SC.L ...... 1.92 × TDA + 7.08 ...... SOC.RC.I ...... 1.26 × TDA + 0.26 VCT.SC.I ...... 0.73 × TDA + 3.29 ...... VOP.SC.L ...... 4.37 × TDA + 11.82 VCS.SC.I ...... 0.38 × V + 0.88 ...... VOP.SC.I ...... 5.55 × TDA + 15.02 HCT.SC.I ...... 0.56 × TDA + 0.43 ...... SVO.SC.L ...... 4.34 × TDA + 11.51 SVO.RC.L ...... 2.28 × TDA + 6.85 ...... SVO.SC.I ...... 5.52 × TDA + 14.63 VOP.RC.I ...... 2.9 × TDA + 8.7 ...... HZO.SC.I ...... 2.44 × TDA + 9 SVO.RC.I ...... 2.9 × TDA + 8.7 ...... SOC.SC.I ...... 1.76 × TDA + 0.36 HZO.RC.I ...... 0.72 × TDA + 8.74 ...... HCS.SC.I ...... 0.38 × V + 0.88 * ‘‘TDA’’ is the total display area of the case, as measured in the Air-Conditioning and Refrigeration Institute (ARI) Standard 1200–2006, Ap- pendix D. ** ‘‘V’’ is the volume of the case, as measured in ARI Standard 1200–2006, Appendix C.

1 These types of equipment are referred to semivertical open, HZO = horizontal open, VCT = L = low temperature (0 °F), or I = ice-cream collectively hereafter as ‘‘commercial refrigeration vertical transparent doors, VCS = vertical solid temperature (¥15 °F)). For example, ‘‘VOP.RC.M’’ equipment.’’ doors, HCT = horizontal transparent doors, HCS = refers to the ‘‘vertical open, remote condensing, 2 For this rulemaking, equipment class horizontal solid doors, or SOC = service over medium temperature’’ equipment class. See designations consist of a combination (in sequential counter); (2) an operating mode code (RC = remote discussion below and chapter 3 of the TSD, market order separated by periods) of: (1) an equipment condensing or SC = self-contained); and ( 3) a rating and technology assessment, for a more detailed family code (VOP = vertical open, SVO = temperature code (M = medium temperature (38 °F), explanation of the equipment class terminology.

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DOE’s analyses indicate that the Annual Energy Outlook 2007 (AEO $292 million per year. See Section V.B.3 proposed energy conservation 2007).4 for additional details. At TSL 5, DOE standards, trial standard level (TSL) 4 DOE proposes that TSL 4 represents expects manufacturers will lose 3 to 56 (see Section V.A for a detailed the maximum improvement in energy percent of the industry net present value description of TSLs), would save a efficiency that is technologically INPV, which is approximately $18 to significant amount of energy—an feasible and economically justified. DOE $285 million. estimated 0.83 quadrillion British proposes that the benefits to the Nation DOE based its estimates of the thermal units (Btu), or quads, of of TSL 4 (energy savings, commercial economic impacts referenced above on cumulative energy over 30 years (2012– consumer average LCC savings, national current costs for energy improving 2042). The economic impacts on NPV increase, and emission reductions) technologies used in commercial commercial consumers (i.e., the average outweigh the costs (loss of manufacturer refrigeration equipment. A key life-cycle cost (LCC) savings) are INPV) and is therefore proposing TSL 4 technology for energy savings benefits positive for all equipment classes. as the energy conservation standards for in most commercial refrigeration commercial refrigeration equipment in equipment is the use of solid state The cumulative national net present this NOPR. TSL 4 is technologically lighting (i.e., light emitting diodes or value (NPV) of the proposed standards feasible because the technologies LEDs). At current LED prices, the life- at TSL 4 from 2012 to 2042 ranges from required to achieve these levels already cycle cost savings at TSL 5 are $1.1 billion (at a seven percent discount exist. substantially lower than TSL 3 and TSL rate) to $3.24 billion (at a three percent In this NOPR, DOE proposes that TSL 4 for several equipment classes. For discount rate), in 2007$. This is the 5 is not economically justified because, example, the average per unit LCC estimated total value of future operating under the current circumstances, DOE savings for the VOP.RC.M equipment cost savings minus the estimated believes that the benefits to the Nation class is $1,551 at TSL 3, but this number increased equipment costs, discounted of TSL 5 (energy savings, commercial falls by $1,785 to ¥$234 when moving to 2007$. The benefits and costs of the consumer average LCC savings, and to TSL 5. When accounting for the standard can also be expressed in terms emission reductions) do not outweigh projected volume of sales for these of annualized 2007$ values over the the costs (national NPV decrease and equipment classes in 2012, the net effect forecast period 2012 through 2062. loss of manufacturer INPV). DOE’s of moving from TSL 3 to TSL 5 is a Using a 7 percent discount rate for the analyses indicate that TSL 5 would save decrease in LCC savings of $130 million annualized cost analysis, the cost of the a greater amount of energy than TSL 4— per year. To achieve the same or greater standard is estimated to be $109 million an estimated 1.21 quadrillion quads of LCC savings at TSL 5 as other efficiency per year in increased equipment and cumulative energy over 30 years (2012– levels (e.g., TSL 3 or 4), for all installation costs while the annualized 2042). At TSL 5, while the economic equipment classes, average LED costs benefits are expected to be $214 million impacts on commercial consumers (i.e., would need to decrease by almost 45 per year in reduced equipment LCC savings and NPV) are still positive percent. operating costs. Using a 3 percent for the majority of equipment classes, While considerable information is discount rate, the annualized cost of the the impacts on commercial customers available that suggests LED costs are standard is expected to be $92 million for five classes (VOP.RC.M, VOP.SC.M, likely to decline more than assumed in per year while the annualized benefits SVO.RC.M, SVO.SC.M, and SOC.RC.M) DOE’s analysis, DOE believes it must of today’s standard are expected to be are negative. The life-cycle cost savings have a higher degree of confidence of $234 million per year. See Section V.B.3 are negative for three classes and NPV further cost reductions than assumed in for additional details. If DOE adopts the results for each of these five classes are today’s proposed rule. In this NOPR, proposed standards, it expects negative. DOE projected future LED costs based manufacturers will lose 8 to 35 percent The cumulative NPV at TSL 5, from on DOE’s Multi-Year Program Plan,5 ¥ of the industry net present value (INPV), 2012 to 2042, ranges from $200 which are consistent with historical which is approximately $40 to $180 million (at a seven percent discount LED price reductions between 2000 and million. rate) to $1.16 billion (at a three percent 2007. The Multi-Year Program Plan discount rate), in 2007$. Using a 7 projects that LED chip costs will DOE estimates that the proposed percent discount rate, the annualized continue to decrease at a compound standards will have environmental cost of the standard is estimated to be annual growth rate (CAGR) of benefits leading to reductions in $285 million per year in increased approximately ¥27 percent between greenhouse gas emissions (i.e., equipment and installation costs while 2007 and 2012, which represents a price cumulative (undiscounted) emission the annualized benefits are expected to reduction of 80 percent over that time reductions) of 44 million tons (Mt) of be $266 million per year in reduced period. Since LED chips are only a carbon dioxide (CO2) from 2012 to equipment operating costs. Using a 3 portion of the total LED system (other 3 2042. Most of the energy saved is percent discount rate, the annualized components include power supply and electricity. In addition, DOE expects the cost of the standard is expected to be the LED fixture), the 80 percent energy savings from the proposed $241 million per year while the reduction in chip costs contributes to an standards to eliminate the need for annualized benefits are expected to be estimated decrease in total LED system approximately 640 megawatts (MW) of cost of approximately 50 percent by generating capacity by 2042. These 4 DOE intends to use EIA’s AEO 2008 to generate 2012, assuming the costs of the power results reflect DOE’s use of energy price the results for the final rule. The AEO2008 Early supply and LED fixtures do not change projections from the U.S. Energy Release contains reference case energy price significantly. Such a decrease in cost Information Administration (EIA)’s forecasts which show higher commercial electricity prices at the national level compared with the AEO 2007 on a real (inflation adjusted) basis. If these 5 U.S. Department of Energy, Solid-State Lighting 3 Additionally, the standards would result in 17 early release energy prices remain unchanged in the Research and Development, Multi-Year Program thousand tons (kt) of nitrogen oxides (NOX) final release, then incorporation of the AEO 2008 Plan FY’09–FY’14. This document was prepared emissions reductions or generate a similar amount forecasts would likely result in reduced payback under the direction of a Technical Committee from of NOX emissions allowance credits in areas where periods and greater life-cycle cost savings and the Next Generation Lighting Initiative Alliance such emissions are subject to regulatory or greater national net present value for the proposed (NGLIA). Information about the NGLIA and its voluntary emissions caps. standards. members is available at http://www.nglia.org.

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would be sufficient for TSL 5 to achieve LCC and NPV. Incorporation of DOE approximately 640 MW by 2042. In LCC savings equal to or greater than LED lighting system cost projections of total, DOE tentatively estimates the net other TSLs. a 50 percent decline by 2012 shift the present value to the Nation of this DOE examined whether the projected calculated NPV, for 2012–2042, from standard to be $1.1 billion from 2012 to LED costs presented in the Multi-Year ¥$200 million to a positive $1.62 2042 in 2007$. Program Plan and used in this NOPR are billion at a seven percent discount rate, Commercial customers would see consistent with publicly available for TSL 5. See Section V.C of this NOPR benefits from the proposed standards. empirical historical cost data. DOE or Chapter 8 of the TSD for additional Although DOE expects the price of the reviewed available price data for the details. higher efficiency commercial LED market and found that between TSL 5 is estimated to have refrigeration equipment to be 2000 and 2007, white-light LEDs had a environmental benefits leading to approximately 11 percent higher than CAGR ranging from approximately ¥18 reductions in greenhouse gas emissions the average price of this equipment ¥ to 31 percent. DOE’s LED cost of 63 Mt of CO2 from 2012 to 2042. today, weighted by shipments across projection (i.e., ¥27 percent CAGR) Additionally, TSL 5 would result in 23 equipment classes, the energy efficiency falls within the range of CAGRs kt of NOX emissions reductions or gains would result in lower energy observed. DOE expanded its generate a similar amount of NOX costs, saving customers about 26 percent examination by comparing this emissions allowance credits in areas per year on their energy bills. Based on projected trend to the red-light LED where such emissions are subject to DOE’s LCC analysis, DOE tentatively market, which is a related technology, emissions caps. Most of the energy estimates that the mean payback period with cost information spanning saved is electricity. In addition, DOE for the higher efficiency commercial approximately three decades (i.e., 1973 expects the energy savings from the refrigeration equipment would be to 2005). DOE found that the CAGR of proposed standards to eliminate the between a low of 1.4 to a high of 6.1 red-light LED costs was ¥22 percent need for approximately 930 MW of years. In addition, when the net results over this longer time span. The trend in generating capacity by 2042. of these price increases and energy cost red-light LED costs derived from Although DOE has tentatively rejected savings are summed over the lifetime of empirical data over this longer time TSL 5 because, under the current the higher efficiency equipment, period is of a similar magnitude to circumstances, it tentatively found that customers could save approximately DOE’s projected costs for white-light the benefits to the Nation do not $690 to $3800, depending on equipment LEDs. Due to the technological outweigh the costs, and therefore does class, compared to their expenditures on similarities between red-light LEDs and not consider TSL 5 economically today’s baseline commercial white-light LEDs, DOE believes that the justified, DOE expects that LED costs refrigeration equipment. historical cost reductions for red-light will decline substantially over the next B. Authority LEDs are indicative of future cost 4–5 years and could have a dramatic reductions for white-light LEDs. effect on the economic impacts Title III of EPCA sets forth a variety Furthermore, the white-light LED described above. Therefore, DOE of provisions designed to improve market is undergoing a massive requests data or information that could energy efficiency. Part A of Title III (42 expansion and growth phase, with provide a greater level of confidence U.S.C. 6291–6309) provides for the significant investment, new products that the projected LED cost reductions Energy Conservation Program for and innovative applications for LED will occur and DOE will assess that data Consumer Products Other Than technology, including illumination of in determining whether to further Automobiles. Part A–1 of Title III (42 commercial refrigeration equipment. consider TSL 5 in its final rule analysis. U.S.C. 6311–6317) establishes a similar See Section V.C of this NOPR and program for certain types of commercial Appendix B of the technical support II. Introduction and industrial equipment.6 The Energy document (TSD) for more detail on the A. Overview Policy Act of 2005 (EPACT 2005), Pub. cost projection and DOE’s validation of L. 109–58, included an amendment to DOE proposes to set energy those estimates. DOE seeks comment on Part A–1 requiring that DOE prescribe conservation standards for commercial the extent to which these price trends energy conservation standards for the refrigeration equipment at the levels are indicative of what can be expected commercial refrigeration equipment that shown in Table I–1. The proposed for commercial refrigeration equipment is the subject of this rulemaking. standards would apply to equipment LED lighting from 2007 to 2012 and the (EPACT 2005, Section 136(c); 42 U.S.C. manufactured on or after January 1, extent to which the cost reduction 6313(c)(4)(A)) Hence, DOE publishes 2012, and offered for sale in the United observed for red-light LEDs is relevant today’s notice of proposed rulemaking States. DOE has tentatively found that to DOE’s cost projections for white-light (NOPR) pursuant to Part A–1, which the standards would save a significant LEDs. DOE also seeks comment on the provides definitions, test procedures, amount of energy (see Section III.C.2) extent to which stakeholders expect labeling provisions, energy conservation and result in a cleaner environment. In projected LED cost reductions would standards, and the authority to require the 30-year period after the new occur, the timing of the projected LED information and reports from standard becomes effective, the Nation cost reductions, and the certainty of the manufacturers. The test procedures for would tentatively save 0.83 quads of projected LED cost reductions. Finally, commercial refrigeration equipment primary energy. These energy savings considering the rapid development of appear at Title 10 Code of Federal also would tentatively result in LED technology and the steady Regulations (CFR) Sections 431.63 and significantly reduced emissions of air reductions in cost, DOE seeks comment 431.64. pollutants and greenhouse gases on the extent to which manufacturers EPCA provides criteria for prescribing associated with electricity production, would adopt LED technology into the new or amended standards for covered by avoiding the emission of 44 Mt of design of commercial refrigeration equipment. As indicated above, any equipment in the absence of standards. CO2 and 17 kt of NOX. In addition, DOE DOE also performed sensitivity expects the standard to prevent the 6 This part was originally titled Part C, however, analyses of the effect of projected cost construction of the new power plants it was renamed Part A–1 after Part B of Title III was reductions in LED lighting systems on that would be necessary to produce repealed by EPACT 2005.

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new or amended standard for if interested persons have established by regulations beginning on the date of commercial refrigeration equipment a preponderance of the evidence that publication of the Federal standards, must be designed to achieve the the standard is likely to result in the except that any state or local standard maximum improvement in energy unavailability in the United States of issued before that time will be efficiency that is technologically any equipment type (or class) with superseded only when the Federal feasible and economically justified.7 (42 performance characteristics (including standards take effect. (42 U.S.C. U.S.C. 6295(o)(2)(A) and 6316(e)(1)) But reliability), features, sizes, capacities, 6316(e)(3)) Furthermore, DOE can grant EPCA precludes DOE from adopting any and volumes that are substantially the waivers of preemption to any State laws standard that would not result in same as those generally available in the or regulations that are superseded in significant conservation of energy. (42 United States. (42 U.S.C. 6295 (o)(4) and accordance with the procedures and U.S.C. 6295(o)(3) and 6316(e)(1)) 6316(e)(1)) In addition, there is a other provisions of Section 327(d) of the Moreover, DOE may not prescribe a rebuttable presumption that a standard Act. (42 U.S.C. 6297(d) and 6316(e)(3)) standard for certain equipment if no test level is economically justified if the C. Background procedure has been established for that Secretary finds that ‘‘the additional cost equipment, or if DOE determines by rule to the consumer of purchasing 1. Current Standards equipment complying with an energy that the standard is not technologically There are no national energy conservation standard level will be less feasible or economically justified, and conservation standards for the than three times the value of the energy that such standard will not result in commercial refrigeration equipment * * * savings during the first year that significant conservation of energy. (42 covered by this rulemaking. EPACT U.S.C. 6295(o)(3) and 6316(e)(1)) EPCA the consumer will receive as a result of the standard, as calculated under the 2005 did amend EPCA to establish also provides that, in deciding whether energy conservation standards that will a standard is economically justified, applicable test procedure * * *.’’ (42 U.S.C. 6295(o)(2)(B)(iii) and 6316(e)(1)) apply to certain other types of DOE must determine whether the commercial refrigerators, freezers, and benefits of the standard exceed its The rebuttable presumption test is an alternative path to establishing refrigerator-freezers when manufactured burdens after receiving comments on on or after January 1, 2010. (42 U.S.C. the proposed standard. (42 U.S.C. economic justification. Section 325(q)(1) of EPCA addresses 6313(c)(2)–(3)) Those standards are not 6295(o)(2)(B)(i) and 6316(e)(1)) To the at issue in this rulemaking. greatest extent practicable, DOE must the situation where DOE sets a standard consider the following seven factors: for a type or class of covered equipment 2. History of Standards Rulemaking for (I) The economic impact of the that has two or more groups of covered Commercial Refrigeration Equipment standard on manufacturers and equipment. DOE must specify a different standard level than that which On August 8, 2005, Section 136(c) of consumers of the equipment subject to EPACT 2005 amended EPCA, in part to the standard; applies generally to such equipment ‘‘for any group of covered equipment direct DOE to issue energy conservation (II) The savings in operating costs standards for the equipment covered by throughout the estimated average life of which have the same function or intended use, if * * * equipment this rulemaking, which standards would the covered equipment in the type (or apply to equipment manufactured on or class) compared to any increase in the within such group—(A) consume a different kind of energy from that after January 1, 2012. (42 U.S.C. price, initial charges, or maintenance 6313(c)(4)(A)) Section 136(a)(3) of expenses for the equipment that are consumed by other covered equipment within such type (or class); or (B) have EPACT 2005 also amended EPCA, by likely to result from the imposition of adding definitions for terms relevant to the standard; a capacity or other performance-related feature which other equipment within this equipment. (42 U.S.C. 6311(9)) In (III) The total projected amount of defining the term ‘‘commercial energy savings likely to result directly such type (or class) do not have and such feature justifies a higher or lower refrigerator, freezer, and refrigerator- from the imposition of the standard; freezer,’’ EPCA states that this (IV) Any lessening of the utility or the standard’’ than applies or will apply to refrigeration equipment is connected to performance of the covered equipment the other equipment. (42 U.S.C. either a self-contained condensing unit likely to result from the imposition of 6295(q)(1) and 6316(e)(1)) In or to a remote condensing unit. 42 the standard; determining whether a performance- U.S.C. 6311(9)(A)(vii). Subsequently, (V) The impact of any lessening of related feature justifies a different EPCA defines the terms ‘‘remote competition, as determined in writing standard for a group of equipment, DOE condensing unit’’ and ‘‘self-contained by the Attorney General, that is likely to must ‘‘consider such factors as the condensing unit.’’ 42 U.S.C. 6311(9)(E)– result from the imposition of the utility to the consumer of such a (F). These are the two condenser standard; feature’’ and other factors DOE deems (VI) The need for national energy appropriate. Any rule prescribing such configurations of equipment covered by conservation; and a standard must include an explanation this rulemaking. (VII) Other factors the Secretary of the basis on which a higher or lower On December 19, 2006, the Energy considers relevant. level was established. (42 U.S.C. Independence and Security Act of 2007 (EISA 2007) was signed into law by the Id. 6295(q)(2) and 6316(e)(1)) Finally, Federal energy conservation President. This legislation affected some Furthermore, the Secretary may not requirements for commercial equipment of the products for which DOE had prescribe an amended or new standard generally supersede State laws or rulemakings underway. However, it did regulations concerning energy not create any additional requirements 7 This notice concerns types of ‘‘covered equipment’’ as that term is defined in EPCA, (42 conservation testing, labeling, and for commercial refrigeration equipment. U.S.C. 6311(1)(E)) in Part A–1, Certain Industrial standards for such equipment. (42 As an initial step to comply with Equipment. Therefore, when DOE quotes from, U.S.C. 6316(a)–(b)) For the commercial EPCA’s mandate to issue standards for paraphrases or describes general provisions in Part refrigeration equipment covered by this commercial refrigeration equipment, A, for instance, 42 U.S.C. 6295(o), it substitutes the term ‘‘equipment’’ for ‘‘product’’ when the latter rulemaking, Federal energy and to commence this rulemaking, on term appears in those provisions. (See 42 U.S.C. conservation requirements will April 25, 2006, DOE published notice of 6316 (a)(3)) supersede all such State laws or a public meeting and of the availability

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of its Framework Document for this assumptions, approach, and equipment install, or service; (b) that will have rulemaking. 71 FR 23876. The class breakdown, and are addressed in adverse impacts on equipment utility or Framework Document described the detail in this NOPR. availability; or (c) for which there are procedural and analytical approaches health or safety concerns that cannot be III. General Discussion that DOE anticipated using to evaluate resolved. Chapter 4 of the TSD energy conservation standards for A. Test Procedures accompanying this notice contains a commercial refrigeration equipment, On December 8, 2006, DOE published description of the screening analysis for and identified various issues to be a final rule in which it adopted this rulemaking. resolved in conducting the rulemaking. American National Standards Institute In the ANOPR, DOE eliminated five of DOE held a public meeting on May 16, (ANSI)/Air-Conditioning and the technologies considered in the 2006 to present the contents of the Refrigeration Institute (ARI) Standard market and technology assessment: (1) Framework Document, describe the 1200–2006, Performance Rating of Air-curtain design, (2) thermoacoustic analyses it planned to conduct during Commercial Refrigerated Display refrigeration, (3) magnetic refrigeration, the rulemaking, obtain public comment Merchandisers and Storage Cabinets, as (4) electro-hydrodynamic heat on these subjects, and inform and the DOE test procedure for this exchangers, and (5) copper rotor motors. facilitate interested persons’ equipment. 71 FR 71340, 71369–70; 10 Because all five of these technologies involvement in the rulemaking. DOE CFR 431.63–431.64. ANSI/ARI Standard are in the research stage, DOE believes also gave interested persons an 1200–2006 contains rating temperature that they would not be practicable to opportunity, after the public meeting, to specifications of 38 °F (±2 °F) for manufacture, install and service on the submit written statements in response to commercial refrigerators and refrigerator scale necessary to serve the relevant the Framework Document. DOE compartments, 0 °F (±2 °F) for market at the time of the effective date received five statements. commercial freezers and freezer of the standard. In addition, because On July 26, 2007, DOE published an compartments, and ¥5 °F (±2 °F) for these technologies are in the research advance notice of proposed rulemaking commercial ice-cream freezers. The stage, DOE cannot assess whether they (ANOPR) concerning energy standard also requires performance tests would have any adverse impacts on conservation standards for commercial to be conducted according to the utility to significant subgroups of refrigeration equipment. 72 FR 41161. In American Society of Heating, consumers, result in the unavailability the ANOPR, DOE described and sought Refrigerating, and Air-Conditioning of any types of equipment, or present comment on its proposed equipment Engineers (ASHRAE) Standard 72–2005, any significant adverse impacts on classes for this rulemaking, and on the Method of Testing Commercial health or safety. Therefore, DOE did not analytical framework, models, and tools Refrigerators and Freezers. In this final consider these technologies as design (e.g., LCC and national energy savings rule, DOE also adopted a ¥15 °F (±2 °F) options for improving the energy (NES) spreadsheets) that DOE used to rating temperature for commercial ice- efficiency of commercial refrigeration analyze the impacts of energy cream freezers. 71 FR 71370. In equipment. DOE believes that all the conservation standards for commercial addition, DOE adopted ANSI/ refrigeration equipment. In conjunction efficiency levels discussed in today’s Association of Home Appliance notice are technologically feasible with the ANOPR, DOE also published Manufacturers (AHAM) Standard HRF– on its Web site the complete ANOPR because there is equipment either in the 1–2004, Energy, Performance and market or in working prototypes at all TSD. The TSD included the results of Capacity of Household Refrigerators, DOE’s preliminary (1) engineering of the efficiency levels analyzed. See Refrigerator-Freezers and Freezers, for analysis, (2) markups analysis to Chapter 4 of the TSD for further determining compartment volumes for determine equipment price, (3) energy discussion of the screening analysis. this equipment. 71 FR 71369–70. use characterization, (4) LCC and 2. Maximum Technologically Feasible payback period (PBP) analyses, (5) NES B. Technological Feasibility Levels and national impact analyses (NIA), and 1. General (6) manufacturer impact analysis (MIA). In deciding whether to adopt a new In the ANOPR, DOE requested comment DOE considers design options standard for a type or class of on these results, and on a range of other technologically feasible if industry commercial refrigeration equipment, issues. These issues included already uses these options or if research DOE must ‘‘determine the maximum equipment classes, definitions for air- has progressed to the development of a improvement in energy efficiency or curtain angle and door angle, case working prototype. ‘‘Technologies maximum reduction in energy use that lighting operating hours, operation and incorporated in commercially available is technologically feasible’’ for such maintenance practices, equipment equipment or in working prototypes equipment. (42 U.S.C. 6295(p)(1) and lifetime, LCC baseline levels, NIA base will be considered technologically 6316(e)(1)) If such standard is not case, base case and standards case feasible.’’ 10 CFR Part 430, Subpart C, designed to achieve such efficiency or forecasts, differential impact of new Appendix A, Section 4(a)(4)(i). use, the Secretary shall state the reasons standards on future shipments, selection In each standards rulemaking, DOE such is the case in the proposed rule. Id. of standard levels for post-ANOPR conducts a screening analysis, which it For this rulemaking, DOE determined analysis, the equation that expresses the bases on information it has gathered that the values in Table III–1 represent energy conservation standards, and the regarding all current technology options the energy use levels that would achieve nature of standards for commercial and prototype designs. In consultation the maximum reductions in energy use refrigerator-freezers. with interested parties, DOE develops a that are technologically feasible at this DOE held a public meeting in list of design options for consideration time for commercial refrigeration Washington, DC on August 23, 2007, to in the rulemaking. All technologically equipment. DOE identified these ‘‘max- present the methodology and results of feasible design options are candidates in tech’’ levels for the equipment classes the ANOPR analyses, and to solicit both this initial assessment. Early in the analyzed as part of the engineering oral and written comments from the process, DOE eliminates from analysis (Chapter 5 of the TSD). For interested persons who attended. Public consideration any design option (a) that each equipment class, DOE applied the comment focused on DOE’s is not practicable to manufacture, most efficient design options available

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for energy-consuming components. These levels are set forth in TSL 5.

TABLE III–1—‘‘MAX-TECH’’ ENERGY USE LEVELS

‘‘Max-Tech’’ level ‘‘Max-Tech’’ level Equipment class kilowatt hours per day Equipment class kilowatt hours per day (kWh/day) (kWh/day)

VOP.RC.M ...... 0.68 × TDA + 4.07 ...... VCT.RC.I ...... 0.71 × TDA + 3.05 SVO.RC.M ...... 0.69 × TDA + 3.18 ...... HCT.RC.M ...... 0.16 × TDA + 0.13 HZO.RC.M ...... 0.35 × TDA + 2.88 ...... HCT.RC.L ...... 0.34 × TDA + 0.26 VOP.RC.L ...... 2.28 × TDA + 6.85 ...... HCT.RC.I ...... 0.4 × TDA + 0.31 HZO.RC.L ...... 0.57 × TDA + 6.88 ...... VCS.RC.M ...... 0.11 × V + 0.26 VCT.RC.M ...... 0.25 × TDA + 1.95 ...... VCS.RC.L ...... 0.23 × V + 0.54 VCT.RC.L ...... 0.6 × TDA + 2.61 ...... VCS.RC.I ...... 0.27 × V + 0.63 SOC.RC.M ...... 0.39 × TDA + 0.11 ...... HCS.RC.M ...... 0.11 × V + 0.26 VOP.SC.M ...... 1.57 × TDA + 4.71 ...... HCS.RC.L ...... 0.23 × V + 0.54 SVO.SC.M ...... 1.58 × TDA + 4.59 ...... HCS.RC.I ...... 0.27 × V + 0.63 HZO.SC.M ...... 0.77 × TDA + 5.55 ...... SOC.RC.L ...... 0.83 × TDA + 0.22 HZO.SC.L ...... 1.92 × TDA + 7.08 ...... SOC.RC.I ...... 0.97 × TDA + 0.26 VCT.SC.I ...... 0.73 × TDA + 3.29 ...... VOP.SC.L ...... 3.95 × TDA + 11.82 VCS.SC.I ...... 0.38 × V + 0.88 ...... VOP.SC.I ...... 5.02 × TDA + 15.02 HCT.SC.I ...... 0.56 × TDA + 0.43 ...... SVO.SC.L ...... 3.98 × TDA + 11.51 SVO.RC.L ...... 2.28 × TDA + 6.85 ...... SVO.SC.I ...... 5.06 × TDA + 14.63 VOP.RC.I ...... 2.9 × TDA + 8.7 ...... HZO.SC.I ...... 2.44 × TDA + 9 SVO.RC.I ...... 2.9 × TDA + 8.7 ...... SOC.SC.I ...... 1.35 × TDA + 0.36 HZO.RC.I ...... 0.72 × TDA + 8.74 ...... HCS.SC.I ...... 0.38 × V + 0.88

C. Energy Savings 6316(e)(1)) While the term ‘‘significant’’ DOE analyzes and reports the impacts is not defined in the Act, the U.S. Court on different types of manufacturers, 1. Determination of Savings of Appeals, in Natural Resources with particular attention to impacts on DOE used the NES spreadsheet to Defense Council v. Herrington, 768 F.2d small manufacturers. DOE then estimate energy savings. The 1355, 1373 (D.C. Cir. 1985), indicated considers the impact of standards on spreadsheet forecasts energy savings that Congress intended significant domestic manufacturer employment, over the period of analysis for TSLs energy savings in this context to be manufacturing capacity, plant closures, relative to the base case. DOE quantified savings that were not ‘‘genuinely and loss of capital investment. Finally, the energy savings attributable to an trivial.’’ The estimated energy savings DOE takes into account the cumulative energy conservation standard as the for all of the trial standard levels impact of regulations on manufacturers. difference in energy consumption considered in this rulemaking are For commercial consumers, measures between the trial standards case and the nontrivial, and therefore DOE considers of economic impact are generally the base case. The base case represents the them significant within the meaning of changes in installed cost and annual forecast of energy consumption in the Section 325 of the Act. operating costs, i.e., the LCC. Chapter 6 absence of new mandatory efficiency of the TSD presents the LCC of the standards. The NES spreadsheet model D. Economic Justification equipment at each TSL. The LCC is one is described in Section IV.G of this 1. Specific Criteria of the seven factors to be considered in notice and in Chapter 11 of the TSD determining the economic justification accompanying this notice. As noted earlier, EPCA provides for a new or amended standard. (42 The NES spreadsheet model seven factors to be evaluated in U.S.C. 6295(o)(2)(B)(i)(II) and calculates the energy savings in site determining whether an energy 6316(e)(1)) It is discussed in the energy or kilowatt hours (kWh). Site conservation standard is economically paragraphs that follow. energy is the energy directly consumed justified. The following sections discuss b. Life-Cycle Costs at building sites by commercial how DOE has addressed each factor thus refrigeration equipment. DOE expresses far in this rulemaking. (42 U.S.C. The LCC is the sum of the purchase national energy savings in terms of the 6295(o)(2)(B)(i) and 6316(e)(1)) price, including the installation and source energy savings, which are the a. Economic Impact on Manufacturers operating expense (i.e., operating energy savings used to generate and and Commercial Customers energy, maintenance, and repair transmit the energy consumed at the expenditures) discounted over the site. Chapter 11 of the TSD contains a DOE uses an annual cash-flow lifetime of the equipment. To determine table of factors used to convert kWh to approach in determining the the purchase price including Btu. DOE derives these conversion quantitative impacts of a new or installation, DOE estimated the markups factors, which change with time, from amended standard on manufacturers. that distributors and contractors add to DOE’s EIA’s AEO2007. This includes both a short-term the manufacturer selling price (MSP); assessment based on the cost and capital DOE also estimated installation costs 2. Significance of Savings requirements between the from an analysis of commercial For commercial refrigeration announcement of a regulation and when refrigeration equipment installation equipment, EPCA prohibits DOE from the regulation comes into effect, and a costs for each equipment class. DOE adopting a standard that would not long-term assessment. Impacts analyzed determined that preventative result in significant additional energy include INPV, cash flows by year, and maintenance costs do not depend on savings. (42 U.S.C. 6295(o)(3)(B) and changes in revenue and income. Next, efficiency but that repair costs increase

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with efficiency and that the cost of spreadsheet results in its consideration assessment in the TSD. (42 U.S.C. replacement lighting fixtures (‘‘lighting of total projected savings. Section IV.G.1 6295(o)(2)(B)(i)(VI) and 6316(e)(1)) maintenance’’) increased with higher of this notice discusses the savings g. Other Factors efficiency. See Sections IV.E.8 and figures. IV.E.9 for more detail. In estimating EPCA allows the Secretary of Energy, d. Lessening of Utility or Performance of operating energy costs, DOE used in determining whether a standard is average effective commercial electricity Equipment economically justified, to consider any prices at the State level from the EIA In establishing equipment classes, other factors the Secretary deems to be publication, State Energy Consumption, evaluating design options, and assessing relevant. (42 U.S.C. 6295(o)(2)(B)(i)(VII) Price, and Expenditure Estimates. DOE the impact of potential standard levels, and 6316(e)(1)) Under this provision, modified the 2006 average commercial DOE tried to avoid having new DOE considered LCC impacts on electricity prices to reflect the average standards for commercial refrigeration identifiable groups of customers, such electricity prices for each of the four equipment lessen the utility or as customers of different business types, types of businesses examined in this performance of the equipment under who may be disproportionately affected analysis. The LCC analysis compares the consideration in this rulemaking. (42 by any national energy conservation LCCs of equipment designed to meet U.S.C. 6295(o)(2)(B)(i)(IV) and standard level. In particular, DOE possible energy conservation standards 6316(e)(1)) None of the proposed trial examined the LCC impact on with the LCCs of equipment likely to be standard levels considered in this independent small grocery/convenience installed in the absence of standards. rulemaking involve changes in store businesses where both higher The LCC analysis also identifies a range equipment design or unusual discount rates and lack of access to of energy price forecasts for the installation requirements that would national account equipment purchases electricity prices used in the economic reduce the utility or performance of the might disproportionately affect those analyses and provides results showing equipment. See Chapter 4 and Chapter business types when compared to the the sensitivity of the LCC results to 16 of the TSD for more detail. overall commercial refrigeration these price forecasts. equipment market. Recognizing that each commercial e. Impact of Any Lessening of building that uses commercial Competition 2. Rebuttable Presumption Another criterion for determining refrigeration equipment is unique, DOE EPCA directs DOE to consider any whether a standard level is analyzed variability and uncertainty by lessening of competition likely to result economically justified is the following performing the LCC and PBP from standards. It directs the Attorney rebuttable presumption test: calculations for two prototype General to determine in writing the commercial buildings (i.e., stores) and impact, if any, of any lessening of If the Secretary finds that the additional four types of businesses (two types of competition likely to result from cost to the consumer of purchasing businesses for each prototype store). imposition of a proposed standard. (42 equipment complying with an energy The first store prototype is a large conservation standard level will be less than U.S.C. 6295(o)(2)(B)(i)(V) and (ii); and grocery store, which encompasses three times the value of the energy * * * 6316(e)(1)) DOE has transmitted a supermarkets and wholesaler/retailer savings during the first year that the written request to the Attorney General multi-line stores such as big-box stores, consumer will receive as a result of the soliciting a written determination on standard, as calculated under the applicable warehouse stores, and supercenters. The this issue. test procedure, there shall be a rebuttable second prototype is a small store, which presumption that such standard level is encompasses convenience stores and f. Need of the Nation to Conserve Energy economically justified. A determination by small specialty stores such as meat the Secretary that such criterion is not met markets; wine, beer, and liquor stores; The non-monetary benefits of the shall not be taken into consideration in the and convenience stores associated with proposed standard are likely to be Secretary’s determination of whether a gasoline stations. Various types of reflected in improvements to the standard is economically justified. (42 U.S.C. commercial refrigeration equipment can security and reliability of the Nation’s 6295(o)(2)(B)(iii) and 6316(e)(1)) serve a given type of store’s refrigeration energy system. Reductions in the overall If the initial price of equipment needs. DOE gives the LCC savings as a demand for energy will reduce the increases due to a conservation distribution, with a mean value and a Nation’s reliance on foreign sources of standard, and the consumer would range. DOE developed average discount energy and increase reliability of the recover the increase in energy savings in rates for each of four business types Nation’s electricity system. DOE less than three years through reduced analyzed, ranging from 5.1 to 8.4 conducts a utility impact analysis to energy costs resulting from the standard, percent for the calculations, and show the reduction in installed then DOE presumes that such standard assumed that the customer purchases generation capacity. Reduced power is economically justified. This the equipment in 2012. Chapter 8 of the demand (including peak power presumption of economic justification TSD contains the details of the LCC demand) generally improves the can be rebutted upon a proper showing. calculations. security and reliability of the energy The rebuttable presumption payback system. calculation is discussed in Sections c. Energy Savings The proposed standard also is likely III.D.2 and V.B.1.b of this NOPR. While significant energy conservation to result in improvements to the is a separate statutory requirement for environment. In quantifying these IV. Methodology and Discussion of imposing an energy conservation improvements, DOE has defined a range Comments standard, EPCA requires DOE, in of primary energy conversion factors DOE used two spreadsheet tools to determining the economic justification and associated emission reductions determine the impact of energy of such a standard, to consider the total based on the generation that energy conservation standards on the Nation. projected energy savings that are conservation standards displaced. DOE The first spreadsheet calculates LCCs expected to result directly from the reports the environmental effects from and payback periods of potential new standard. (42 U.S.C. 6295(o)(2)(B)(i)(III) each trial standard level for this energy conservation standards. The and 6316(e)(1)) DOE used the NES equipment in the environmental second provides shipments forecasts

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and then calculates national energy 1. Definitions Related to Commercial end peak in-section.’’ (Public Meeting savings and net present value impacts of Refrigeration Equipment Transcript, No. 13.5 at p. 59) Southern potential new energy conservation a. Air Curtain Angle Definition California Edison (SCE) suggested standards. DOE also assessed defining door angle for curved doors in For equipment without doors, an air manufacturer impacts, largely through the way air-curtain angle is defined, by curtain divides the refrigerated use of the Government Regulatory the angle formed between the vertical compartment from the ambient space. Impact Model (GRIM). and a line drawn between the top and DOE stated in the ANOPR that the bottom edges. (Public Meeting Additionally, DOE estimated the orientation of the air curtain affects the Transcript, No. 13.5 at p. 59) DOE is impacts of energy conservation energy consumption of both remote proposing its original definition of door standards for commercial refrigeration condensing and self-contained angle for cases with flat doors. For cases equipment on utilities and the equipment, and that equipment without with curved doors, DOE is not clear environment. DOE used a version of doors can be broadly categorized by the what True’s intent was in defining door EIA’s National Energy Modeling System angle of the air curtain. DOE considered angle, and no clarification was made in (NEMS) for the utility and defining the air-curtain angle as ‘‘the True’s written comments. DOE believes environmental analyses. The NEMS angle between a vertical line and the the approach suggested by SCE is model simulates the energy economy of line formed by the points at the center appropriate because it accounts for the the United States and has been of the discharge air grille and the center complex geometry of curved doors developed over several years by the EIA of the return air grille, when viewed in while still remaining consistent with the primarily for the purpose of preparing cross-section.’’ DOE presented this existing definition for air-curtain angle. definition in the ANOPR, 72 FR 41173, the Annual Energy Outlook (AEO). The Therefore, DOE is proposing to define and for discussion at the ANOPR public NEMS produces a widely known door angle as ‘‘the angle formed meeting, and requested feedback. baseline forecast for the Nation through between a vertical line and the straight ARI and Edison Electric Institute (EEI) line drawn by connecting the top and 2025 that is available on the DOE Web recommended that DOE slightly modify site. The version of NEMS used for bottom points where the display area its definition of air-curtain angle to ‘‘the glass joins the cabinet, when the efficiency standards analysis is called angle formed between a vertical line and equipment is viewed in cross-section.’’ NEMS–BT,8 and is based on the the line formed by the points at the AEO2007 version with minor inside edge of the discharge air opening 2. Equipment Classes modifications. The NEMS offers a and the inside edge of the return air When establishing energy sophisticated picture of the effect of opening, when viewed in cross- conservation standards, DOE generally standards, since its scope allows it to section.’’ For equipment without doors divides covered equipment into measure the interactions between the and without a discharge air grille or equipment classes by the type of energy various energy supply and demand discharge air honeycomb, the air curtain used, capacity, or other performance- sectors and the economy as a whole. should be defined as ‘‘the angle between related features that affect efficiency. a vertical line extended down from the Different energy conservation standards A. Market and Technology Assessment highest point on the manufacturer’s may apply to different equipment When beginning an energy recommended load limit line and the classes. (42 U.S.C. 6295(q) and conservation standards rulemaking, same load limit line.’’ (ARI, No. 18 at p. 6316(e)(1)) 2 and EEI, No. 15 at p. 2) DOE Commercial refrigerators, commercial DOE develops information that provides recognizes that these proposed freezers, and commercial refrigerator- an overall picture of the market for the definitions are consistent with industry- freezers can be divided into various equipment concerned, including the approved standards and is therefore equipment classes categorized largely by purpose of the equipment, the industry including the suggested modifications to physical characteristics that affect structure, and market characteristics. the definition for air-curtain angle in energy efficiency. Some of these This activity includes both quantitative today’s proposed rule. characteristics delineate the categories and qualitative assessments based of equipment covered by this primarily on publicly available b. Door Angle Definition rulemaking.9 Most affect the information. The subjects addressed in For equipment with doors, DOE stated merchandise that the equipment can be the market and technology assessment in the ANOPR that the orientation of the used to display, and how the customer for this rulemaking (Chapter 3 of the doors affects the energy consumption, can access that merchandise. Key TSD) include equipment classes, and that equipment with doors can be physical characteristics that affect manufacturers, quantities, and types of broadly categorized by the angle of the energy efficiency are the operating equipment sold and offered for sale, door. DOE considered defining door temperature, the presence or absence of retail market trends, and regulatory and angle as ‘‘the angle between a vertical doors (i.e., closed cases or open cases), non-regulatory programs. line and the line formed by the plane of the type of doors used (i.e., transparent the door, when viewed in cross- section.’’ 72 FR 41174. DOE also 9 ‘‘Commercial refrigerators, commercial freezers, and commercial refrigerator-freezers’’ is a type of 8 presented this definition for discussion The EIA approves use of the name NEMS to covered commercial equipment. For purposes of describe only an AEO version of the model without at the ANOPR public meeting and discussion only in this proceeding, DOE uses the any modification to code or data. Because the requested feedback. term ‘‘categories’’ to designate groupings of present analysis entails some minor code While stakeholders agreed with DOE’s ‘‘commercial refrigeration equipment.’’ The modifications and runs the model under various proposed definition of door angle flat categories of equipment are: Self-contained commercial refrigerators, commercial freezers, and policy scenarios that deviate from AEO doors, it was not clear how DOE would assumptions, the name NEMS–BT refers to the commercial refrigerator-freezers without doors; define the door angle for curved doors remote condensing commercial refrigerators, model used here. For more information on NEMS, commercial freezers, and commercial refrigerator- refer to The National Energy Modeling System: An such as those found on service over-the- counter cases. True stated that curved freezers; and commercial ice-cream freezers. DOE Overview 1998. DOE/EIA–0581 (98), February, will analyze specific equipment classes that fall 1998. BT is DOE’s Building Technologies Program. door angle should be defined by forming within these general categories and set appropriate NEMS–BT was formerly called NEMS–BRS. a plane between ‘‘the end plane and the standards.

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or solid), the angle of the door or air- refrigerator-freezers into equipment shown in Table IV–1. Following the curtain (i.e., horizontal, semivertical, or families, (2) subdividing these families ANOPR, DOE did not receive any vertical) and the type of condensing unit based on condensing unit configurations comments that it believes warranted (i.e., remote or self-contained). As and rating temperature designations, changes to the eight equipment families discussed in the ANOPR, 72 FR 41173– and (3) identifying the resulting classes proposed in the ANOPR and therefore, 77, and below, DOE has developed that are within each of the three the eight families are unchanged. The equipment classes in this rulemaking by equipment categories covered by this two issues related to equipment family (1) dividing commercial refrigerators, rulemaking. designations are discussed below. DOE divided covered equipment into commercial freezers, and commercial eight equipment families, which are

TABLE IV–1—EQUIPMENT FAMILY DESIGNATIONS

Equipment family Description

Vertical Open (VOP) ...... Equipment without doors and an air-curtain ≥ 0° and < 10° from the vertical. Semivertical Open (SVO) ...... Equipment without doors and an air-curtain angle ≥ 10° and < 80° from the vertical. Horizontal Open (HZO) ...... Equipment without doors and an air-curtain angle ≥ 80° from the vertical. Vertical Closed Transparent (VCT) ...... Equipment with hinged or sliding transparent doors and a door angle < 45°. Horizontal Closed Transparent (HCT) ...... Equipment with hinged or sliding transparent doors and a door angle ≥ 45°. Vertical Closed Solid (VCS) ...... Equipment with hinged or sliding solid (opaque) doors and a door angle < 45°. Horizontal Closed Solid (HCS) ...... Equipment with hinged or sliding solid (opaque) doors and a door angle ≥ 45°. Service Over Counter (SOC) ...... Equipment with sliding or hinged doors intended for use by sales personnel and fixed or hinged glass for displaying merchandise.

Within each of the eight equipment these are the only two condensing unit configurations following the ANOPR, families is equipment that has one of the configurations used in commercial DOE did not make any changes. two condensing unit configurations, refrigeration equipment, and since DOE which are shown in Table IV–2. Because did not receive any comments on these

TABLE IV–2—CONDENSING UNIT CONFIGURATION

Condensing unit configuration Description

Remote Condensing (RC) ...... Condensing unit is remotely located from the refrigerated equipment and consists of one or more refrig- erant compressors, refrigerant condensers, condenser fans and motors, and factory-supplied acces- sories. Self-Contained (SC) ...... Condensing unit is an integral part of the refrigerated equipment and consists of one or more refrigerant compressors, refrigerant condensers, condenser fans and motors, and factory-supplied accessories.

DOE is also organizing equipment Issue 3 under ‘‘Issues on Which DOE Following the ANOPR, DOE did not classes based on the three operating Seeks Comment’’ in Section VII.E of this receive any comments regarding the temperature ranges shown in Table IV– NOPR. rating temperature designations 3. Based on the temperature at which Each temperature range coincides proposed in the ANOPR, and therefore the equipment is designed to operate, it with a rating temperature used in the DOE did not make any changes to the will fall into one of these operating test procedure final rule for the different rating temperature designations. temperature ranges. This is identified as equipment types. 10 CFR 431.64.

TABLE IV–3—RATING TEMPERATURE DESIGNATIONS

Operating Rating ° temperature Description temperature ( F) (°F)

≥ 32 (M) ...... 38 Medium temperature (refrigerators). < 32 and > ¥5 (L) ...... 0 Low temperature (freezers). ≤ ¥5 (I) ...... ¥15 Ice-cream temperature (ice-cream freezers).

In the ANOPR, DOE responded to angle ranges used in the data provided occurred for a large number of models, several comments and presented a by ARI might encourage manufacturers and if standards for SVO.RC.M discussion (Section II.A.2) of the air- to redesign equipment to take advantage equipment were significantly less curtain angle ranges used to delineate of less stringent standards. Specifically, stringent than standards for VOP.RC.M vertical, semivertical, and horizontal the stakeholders were concerned that equipment, a significant amount of equipment families without doors (VOP, manufacturers of VOP.RC.M equipment energy savings would be avoided. In SVO, and HZO). 72 FR 41173–74. In (a high-volume equipment class) would other words, energy savings will be less comments received following the make slight alterations in their designs than if that equipment was not modified Framework document publication, some that would shift the equipment to the and remained under the vertical stakeholders felt that the air-curtain SVO.RC.M equipment class. If this shift classification. DOE responded to these

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comments in the ANOPR, concurring As discussed in the ANOPR, 72 FR transparent or solid doors as with stakeholders’ concerns, and 41174 and during the ANOPR public ‘‘equipment with hinged or sliding requesting any relevant data or feedback meeting, DOE stated that it was doors and a door angle greater than or regarding the ranges of air-curtain angle considering defining two equipment equal to 45°.’’ proposed in the ANOPR. No further families each for equipment with solid DOE is considering 38 of the 48 comments were received on this issue and transparent doors, based on door equipment classes shown in Table IV– following the ANOPR. DOE is proposing angles of 0° to 45° (vertical) and 45° to 4.10 The equipment classes are standards for the SVO.RC.M equipment 90° (horizontal). EEI stated that DOE organized by equipment family, class that are virtually equivalent to should consider revising its definition compressor operating mode, and rating standards for the VOP.RC.M equipment of door angle, because it is unclear temperature. The right-hand column in class (see the proposed rule language of whether a door angle of 45° to be Table IV–4 with the heading this NOPR). As a result, DOE believes vertical or horizontal. (Public Meeting ‘‘Equipment Class Designation’’ that the proposed standards eliminate Transcript, No. 13.5 at p. 58) DOE agrees identifies each of the 48 equipment motivation for market shifts between with EEI that its previous designation classes with a particular set of letters. these equipment classes. However, to did not specify what equipment family The first three letters for each class assure that no changes to the air-curtain a unit with a 45° door angle would fall represent its equipment family. The ranges for the VOP, SVO, and HZO under. Therefore, DOE has tentatively next two letters represent the equipment families are warranted, DOE decided that it will designate vertical condensing unit configuration. The last seeks comment on the possibility of equipment with transparent or solid letter represents the rating temperature. market shifts between equipment doors as ‘‘equipment with hinged or Table IV–1 through Table IV–3 set forth classes based on the proposed sliding doors and a door angle less than the meaning of the equipment class standards. 45°,’’ and horizontal equipment with lettering designations.

TABLE IV–4—COMMERCIAL REFRIGERATION EQUIPMENT CLASSES

Equipment family Condensing unit configuration Operating temperature (°F) Equipment class designation

Vertical Open ...... Remote ...... ≥ 32 ...... VOP.RC.M < 32 and > ¥5 ...... VOP.RC.L ≤ ¥5 ...... VOP.RC.I Self-Contained ...... ≥ 32 ...... VOP.SC.M < 32 and > ¥5 ...... VOP.SC.L ≤ ¥5 ...... VOP.SC.I Semivertical Open ...... Remote ...... ≥ 32 ...... SVO.RC.M < 32 and > ¥5 ...... SVO.RC.L ≤ ¥5 ...... SVO.RC.I Self-Contained ...... ≥ 32 ...... SVO.SC.M < 32 and > ¥5 ...... SVO.SC.L ≤ ¥5 ...... SVO.SC.I Horizontal Open ...... Remote ...... ≥ 32 ...... HZO.RC.M < 32 and > ¥5 ...... HZO.RC.L ≤ ¥5 ...... HZO.RC.I Self-Contained ...... ≥ 32 ...... HZO.SC.M < 32 and > ¥5 ...... HZO.SC.L ≤ ¥5 ...... HZO.SC.I Vertical Closed Transparent ...... Remote ...... ≥ 32 ...... VCT.RC.M < 32 and > ¥5 ...... VCT.RC.L ≤ ¥5 ...... VCT.RC.I Self-Contained ...... ≥ 32 ...... VCT.SC.M* < 32 and > ¥5 ...... VCT.SC.L* ≤ ¥5 ...... VCT.SC.I Horizontal Closed Transparent ...... Remote ...... ≥ 32 ...... HCT.RC.M < 32 and > ¥5 ...... HCT.RC.L ≤ ¥5 ...... HCT.RC.I Self-Contained ...... ≥ 32 ...... HCT.SC.M* < 32 and > ¥5 ...... HCT.SC.L* ≤ ¥5 ...... HCT.SC.I Vertical Closed Solid ...... Remote ...... ≥ 32 ...... VCS.RC.M < 32 and > ¥5 ...... VCS.RC.L ≤ ¥5 ...... VCS.RC.I Self-Contained ...... ≥ 32 ...... VCS.SC.M* < 32 and > ¥5 ...... VCS.SC.L* ≤ ¥5 ...... VCS.SC.I Horizontal Closed Solid ...... Remote ...... ≥ 32 ...... HCS.RC.M < 32 and > ¥5 ...... HCS.RC.L ≤ ¥5 ...... HCS.RC.I Self-Contained ...... ≥ 32 ...... HCS.SC.M* < 32 and > ¥5 ...... HCS.SC.L* ≤ ¥5 ...... HCS.SC.I

10 Table IV–4 identifies 48 classes of commercial identified by asterisks. EPCA has already 10 classes, (42 U.S.C. 6313(c)(2)–(3)) which are not refrigerators, commercial freezers, and commercial established energy conservation standards for these covered under this rulemaking. refrigerator-freezers. Of the 48 classes, 10 classes are

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TABLE IV–4—COMMERCIAL REFRIGERATION EQUIPMENT CLASSES—Continued

Equipment family Condensing unit configuration Operating temperature (°F) Equipment class designation

Service Over Counter ...... Remote ...... ≥ 32 ...... SOC.RC.M < 32 and > ¥5 ...... SOC.RC.L ≤ ¥5 ...... SOC.RC.I Self-Contained ...... ≥ 32 ...... SOC.SC.M* < 32 and > ¥5 ...... SOC.SC.L* ≤ ¥5 ...... SOC.SC.I * These equipment classes are covered by standards established in EPCA and are not covered under this rulemaking. (42 U.S.C. 6313(c)(2)– (3))

EPCA contains standards for self- Equipment classes already covered by methodology presented in Table IV–1 contained commercial refrigerators, EPCA, and therefore not included in through Table IV–3. commercial freezers and commercial this rulemaking, are indicated with Table IV–5 presents the equipment refrigerator-freezers with doors (42 asterisks in Table IV–4. DOE has based classes covered under this rulemaking, U.S.C. 6313(c)(2)–(3)); this equipment is the designations of these possible organized by the three equipment not included in this rulemaking. equipment classes on the classification categories.

TABLE IV–5—COMMERCIAL REFRIGERATION EQUIPMENT CLASSES BY CATEGORY

Condensing unit Operating tem- Equipment class Equipment category configuration Equipment family perature (°F) designation

Remote Condensing Commercial Re- Remote ...... Vertical Open ...... ≥ 32 ...... VOP.RC.M frigerators, Commercial Freezers, < 32 and > ¥5 ..... VOP.RC.L and Commercial Refrigerator-Freez- ers. Semivertical Open ...... ≥ 32 ...... SVO.RC.M < 32 and > ¥5 ..... SVO.RC.L Horizontal Open ...... ≥ 32 ...... HZO.RC.M < 32 and > ¥5 ..... HZO.RC.L Vertical Closed Transparent ...... ≥ 32 ...... VCT.RC.M < 32 and > ¥5 ..... VCT.RC.L Horizontal Closed Transparent ...... ≥ 32 ...... HCT.RC.M < 32 and > ¥5 ..... HCT.RC.L Vertical Closed Solid ...... ≥ 32 ...... VCS.RC.M < 32 and > ¥5 ..... VCS.RC.L Horizontal Closed Solid ...... ≥ 32 ...... HCS.RC.M < 32 and > ¥5 ..... HCS.RC.L Service Over Counter ...... ≥ 32 ...... SOC.RC.M < 32 and > ¥5 ..... SOC.RC.L Self-Contained Commercial Refrig- Self-Contained ...... Vertical Open ...... ≥ 32 ...... VOP.SC.M erators, Commercial Freezers, and < 32 and > ¥5 ..... VOP.SC.L Commercial Refrigerator-Freezers without Doors. Semivertical Open ...... ≥ 32 ...... SVO.SC.M < 32 and > ¥5 ..... SVO.SC.L Horizontal Open ...... ≥ 32 ...... HZO.SC.M < 32 and > ¥5 ..... HZO.SC.L Commercial Ice-Cream Freezers ...... Remote ...... Vertical Open ...... ≤ ¥5 ...... VOP.RC.I Semivertical Open ...... SVO.RC.I Horizontal Open ...... HZO.RC.I Vertical Closed Transparent ...... VCT.RC.I Horizontal Closed Transparent ...... HCT.RC.I Vertical Closed Solid ...... VCS.RC.I Horizontal Closed Solid ...... HCS.RC.I Service Over Counter ...... SOC.RC.I Self-Contained ...... Vertical Open ...... VOP.SC.I Semivertical Open ...... SVO.SC.I Horizontal Open ...... HZO.SC.I Vertical Closed Transparent ...... VCT.SC.I Horizontal Closed Transparent ...... HCT.SC.I Vertical Closed Solid ...... VCS.SC.I Horizontal Closed Solid ...... HCS.SC.I Service Over Counter ...... SOC.SC.I

B. Engineering Analysis manufacturing costs of achieving generate the manufacturing costs increased efficiency. DOE has identified needed for the engineering analysis: (1) The engineering analysis develops the following three methodologies to The design option approach, which cost-efficiency relationships to show the

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provides the incremental costs of adding the entire industry. (Public Meeting different manufacturers. In the design design options to a baseline model that Transcript, No. 13.5 at pp. 94–95) option approach, data on design features will improve its efficiency; (2) the Hussmann stated that it doesn’t know, that affect performance (such as efficiency-level approach, which for example, how many shelf lights lighting) are available for interested provides the relative costs of achieving other manufacturers included in the persons to review and comment on, increases in energy efficiency levels data they submitted to ARI, and therein along with other assumptions and without regard to the particular design lies some of the danger of using an calculations. The aggregation of options used to achieve such increases; industry average. (Public Meeting industry data seems to have resulted in and (3) the cost-assessment (or reverse Transcript, No. 13.5 at p. 95) Regarding cost-efficiency curves that lack the engineering) approach, which provides the HZO.RC.L equipment class, EEI marked cost increases at higher levels of ‘‘bottom-up’’ manufacturing cost stated that DOE’s data does not appear efficiency that are typical of the cost- assessments for achieving various levels to have the same range as ARI’s data. efficiency relationship. The industry- of increased efficiency based on detailed (Public Meeting Transcript, No. 13.5 at supplied curves tended to be ‘‘flatter’’ cost data for parts and material, labor, p. 93) Copeland also questioned than those developed by DOE, and in shipping/packaging, and investment for whether the cost-efficiency curves from some cases appear to have efficiency models that operate at particular industry made sense [because they did levels that were not in order of efficiency levels. not appear to be ordered in terms of increasing payback, as noted by Copeland. DOE believes the flatness of 1. Approach increasing payback]. (Public Meeting Transcript, No. 13.5 at p. 149) ACEEE the industry curves may account for In the ANOPR engineering analysis, noted that the analytically derived price some of the discrepancies in pricing the primary methodology was an points for several equipment classes are between the industry-supplied and efficiency-level approach, significantly higher than the industry- analytically derived data, as noted by supplemented by a design option supplied data at high efficiency, and ACEEE. approach. DOE analyzed only the 15 suggested that DOE reexamine this data. The extent of the industry-supplied equipment classes with shipment (ACEEE, No. 16 at p. 2) ARI stated that data was also cause for concern. ARI’s volumes greater than 100 per year. The DOE’s design option approach appears statement that not all manufacturers’ basis of the approach was four industry- to be technically sound, and that the equipment would span the whole range supplied cost-efficiency curves for the ARI cost-efficiency curves are only of efficiency levels is consistent with four equipment classes shipped most available for a limited number of EEI’s concern that the data derived frequently (i.e., VCT.RC.L, VOP.RC.M, equipment classes. For consistency, ARI using DOE’s design option approach did SVO.RC.M, and HZO.RC.L). See Section recommended that DOE base its analysis not span the same range as the industry 0 for shipment data. DOE developed solely on DOE’s analytically derived data. Because of overlapping ranges of these classes using an efficiency-level curves. (ARI, No. 18 at p. 6) efficiency of manufacturers’ data, the approach. DOE supplemented these As mentioned above, DOE used the overall cost-efficiency data reported by industry-supplied curves with 15 curves four cost-efficiency curves 11 provided ARI spans a range that in some cases is it developed using a design option by ARI as the basis for its ANOPR greater than the range covered by DOE’s approach. Four of DOE’s curves were engineering analysis. DOE was not design option data. DOE realizes this intended only for comparison with the aware of ARI’s intent that they be used could raise a concern that its analysis is industry-supplied curves, as verification incomplete, for example by neglecting only to validate DOE’s own analysis, or of the industry data. The other 11 curves design options that could account for of ARI’s concerns that the data may formed the basis of analysis for the other additional increases in efficiency, and have been insufficient for some classes. 11 analyzed equipment classes. The thus an increase in the span of DOE agrees with stakeholders that using ANOPR provides more details on this efficiencies covered. However, based on the analytically derived curves (a design approach. 72 FR 41180. the comments received, DOE believes option approach) for all equipment During the ANOPR public meeting the extra range in the ARI data is instead classes would be more consistent and and subsequent comment period, largely due to inconsistencies in the provide more transparency. Although stakeholders raised concerns over using manufacturer data submitted to ARI, the efficiency-level and design option industry-supplied data as the basis of such as lighting levels. A smaller the engineering analysis. ARI stated that approaches have been used together in portion of the extra range may also be the intent was to use the industry curves other rulemakings, DOE recognizes the attributable to subtle aspects of design only to validate DOE’s design option challenges in using the industry- and manufacturing (e.g., airflow and air- analysis, not to use them directly in the supplied data as the primary curtain design) that have an analysis. (Public Meeting Transcript, engineering analysis approach in this insignificant impact on performance No. 13.5 at p. 91) The American Council rulemaking. The ARI data cannot be and that cannot be modeled accurately for an Energy Efficient Economy disaggregated for public review, since in the design option approach. DOE (ACEEE) stated that rulemakings have doing so would disclose sensitive appreciates the feedback from ARI that always used industry curves when they manufacturer information. This the design option approach appears were available. (Public Meeting prevents a rigorous investigation of any sound, and believes that the design Transcript, No. 13.5 at p. 91) ARI stated discrepancies or irregularities in data option data is more accurate in that the industry data represents an submitted by the manufacturers. At the depicting the cost-efficiency average and covers the range of ANOPR public meeting, Hussmann relationship for commercial available equipment, but not all mentioned lighting levels as one refrigeration equipment. manufacturers’ equipment would span example of a design feature that could For the NOPR engineering analysis, the whole range. ARI also stated that as cause discrepancies among data from DOE analyzed the same 15 equipment few as three manufacturers submitted classes as in the ANOPR analysis, but data for some of the cost-efficiency 11 These four curves applied to the following four used only a design option approach. equipment classes: VCT.RC.L, VOP.RC.M, curves, while in the best cases there SVO.RC.M, and HZO.RC.L. These represent the That approach is identical to the one were up to seven. ARI explained that equipment classes with the highest shipment used in the ANOPR, involving three manufacturers might not represent volumes. consultation with outside experts,

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review of publicly available cost and for verification. See Chapter 5 of the maintained the same equipment class performance information, and modeling TSD for more detail. prioritization used in the ANOPR. of equipment cost and energy 2. Equipment Classes Analyzed Equipment classes with more than 100 consumption, but DOE applied it to all units shipped per year (‘‘primary’’ 15 equipment classes analyzed. The For the NOPR, DOE did not make any classes), as well as the VOP.RC.L 12 industry-supplied data developed using changes to the equipment classes equipment class, were directly an efficiency-level approach is used directly analyzed in the ANOPR analyzed. Table IV–6 lists these only as a check on DOE’s data. DOE engineering analysis. Because of the equipment classes, which represent believes this approach is more reliable, large number of equipment classes in approximately 98 percent of the and affords the public full transparency this rulemaking, DOE did not directly shipments of commercial refrigeration of assumptions and results and the analyze all equipment classes using the equipment reported by ARI. ability to perform independent analyses design option approach. DOE

TABLE IV–6—EQUIPMENT CLASSES DIRECTLY ANALYZED IN THE ENGINEERING ANALYSIS

Equipment class Description

VOP.RC.M ...... Vertical Refrigerator without Doors with a Remote Condensing Unit, Medium Temperature. VOP.RC.L ...... Vertical Freezer without Doors with a Remote Condensing Unit, Low Temperature. SVO.RC.M ...... Semi-Vertical Refrigerator without Doors with a Remote Condensing Unit, Medium Temperature. HZO.RC.M ...... Horizontal Refrigerator without Doors with a Remote Condensing Unit, Medium Temperature. HZO.RC.L ...... Horizontal Freezer without Doors with a Remote Condensing Unit, Low Temperature. VCT.RC.M ...... Vertical Refrigerator with Transparent Doors with a Remote Condensing Unit, Medium Temperature. VCT.RC.L ...... Vertical Freezer with Transparent Doors with a Remote Condensing Unit, Low Temperature. SOC.RC.M ...... Service Over Counter Refrigerator with a Remote Condensing Unit, Medium Temperature. VOP.SC.M ...... Vertical Refrigerator without Doors with a Self-Contained Condensing Unit, Medium Temperature. SVO.SC.M ...... Semi-Vertical Refrigerator without Doors with a Self-Contained Condensing Unit, Medium Temperature. HZO.SC.M ...... Horizontal Refrigerator without Doors with a Self-Contained Condensing Unit, Medium Temperature. HZO.SC.L ...... Horizontal Freezer without Doors with a Self-Contained Condensing Unit, Low Temperature. VCT.SC.I ...... Vertical Ice-Cream Freezer with Transparent Doors with a Self-Contained Condensing Unit, Ice-Cream Temperature. VCS.SC.I ...... Vertical Ice-Cream Freezer with Solid Doors with a Self-Contained Condensing Unit, Ice-Cream Temperature. HCT.SC.I ...... Horizontal Ice-Cream Freezer with Transparent Doors with a Self-Contained Condensing Unit, Ice-Cream Temperature.

3. Analytical Models The cost of the remaining two accuracy. DOE used the cost model for equipment classes was estimated using 7 of the 15 examined equipment classes In the design option approach, DOE available manufacturer list price (MLP) and extended the results to 6 of the used models to develop estimates of information discounted to MPC. Details remaining examined equipment classes. cost and energy consumption for each of the cost model are provided in DOE estimated the cost of the remaining equipment class at each efficiency level. chapter 5 of the TSD. two equipment classes using available DOE used a cost model to estimate the Following the ANOPR, no comments manufacturer list price (MLP) manufacturer production cost (MPC) in were received regarding DOE’s cost information reduced to MPC. Chapter 5 dollars, and an energy consumption model, and therefore no significant of the TSD provides details of the cost model to estimate the daily energy changes were made to the methodology model. consumption in kWh for each of the 15 used in the NOPR analysis. One change A manufacturer markup is applied to primary equipment classes analyzed. was made to the manufacturer markup the MPC estimates to arrive at the MSP. a. Cost Model assumption, which is discussed below. This is the price of equipment sold at One key element of DOE’s cost model which the manufacturer can recover Development of the cost model concerned features and structural both production and non-production involved the disassembly of a self- elements common in commercial costs and can earn a profit. DOE contained refrigerator with transparent refrigeration equipment, but that would calculated the manufacturer markup as doors, an analysis of the materials and not affect the energy use of the the market share weighted average value manufacturing processes, and the equipment. Development of this part of for the industry. For the ANOPR, DOE development of a parametric the cost model involved disassembling developed this manufacturer markup by spreadsheet model flexible enough to a self-contained refrigerator with examining several major commercial cover all equipment classes. The transparent doors, analyzing the refrigeration equipment manufacturers’ manufacturing cost model estimated materials and manufacturing processes, gross margin information from annual MPC and reported it in aggregated form and developing a parametric reports and the Securities and Exchange to maintain confidentiality of sensitive spreadsheet model flexible enough to Commission (SEC) 10–K reports. The cost data. DOE obtained input from cover all equipment classes. The other manufacturers DOE analyzed account stakeholders on the MPC estimates and key part of the cost model estimated the for approximately 80 percent of the assumptions to confirm accuracy. The costs of particular features or design market, and each company is a cost model was used for 7 of the 15 options that would affect the energy use subsidiary of a more diversified parent examined equipment classes and the of the equipment. DOE obtained input company that manufactures equipment results were extended to 6 of the from stakeholders on the MPC estimates other than commercial refrigeration remaining examined equipment classes. and assumptions to confirm their equipment. Because the 10–K reports do

12 The VOP.RC.L equipment class was reported as interviews conducted for the NOPR, manufacturers significantly more than 100 annual shipments of the having zero shipments in the ARI shipment data, reported to DOE their individual shipment numbers VOP.RC.L equipment class. but was included in the analysis based on for the VOP.RC.L class. Regardless of the actual recommendations from manufacturers. During shipment volume, DOE believes there are

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not provide gross margin information at list price markup of 2.0 is representative sum of the direct electrical energy the subsidiary level, the estimated of the industry. DOE applied this consumption of fan motors, lighting, markups represent the average markups markup to all equipment classes. defrost and drain heaters, anti-sweat that the parent company applies over its DOE did not receive any additional heaters, and pan heaters. Compressor entire range of equipment offerings and comments or information indicating that energy consumption is calculated from does not necessarily represent the revision of the cost model used in the the total refrigeration load (expressed in manufacturer markup of the subsidiary. ANOPR analysis is warranted. Therefore Btu/h) and one of two compressor The ANOPR analysis indicated that DOE has adhered to that model in the models: One version for remote the average manufacturer markup is NOPR analysis. condensing equipment and one for self- 1.39. However, DOE adjusted the b. Energy Consumption Model contained equipment. The total markups to be more representative of refrigeration load is a sum of the the industry following discussions with The energy consumption model component load and the non-electric manufacturers during the MIA estimates the daily energy consumption load. The component load is the sum of interviews (Chapter 13). An aggregation of commercial refrigeration equipment the heat emitted by evaporator fan of the MIA interview responses gives a at various performance levels using a motors, lighting, defrost and drain market share weighted average design options approach. The model is heaters, and anti-sweat heaters inside manufacturer markup value of 1.32. For specific to the categories of equipment and adjacent to the refrigerated space the NOPR, DOE used this revised covered under this rulemaking, but is (condenser fan motors and pan heaters manufacturer markup with the MPC sufficiently generalized to model the are outside of the refrigerated space and values from the engineering analysis to energy consumption of all covered do not contribute to the component heat arrive at the MSP values used in the equipment classes. For a given load). The non-electric load is the sum GRIM. equipment class, the model estimates of the heat contributed by radiation As explained in the ANOPR, DOE the daily energy consumption for the through glass and openings, heat received industry-supplied curves from baseline and the energy consumption of conducted through walls and doors, and ARI in the form of daily energy several levels of performance above the sensible and latent loads from warm, consumption versus MLP, both baseline. The model is used to calculate moist air infiltration through openings. normalized by total display area (TDA). each performance level separately. Chapter 5 of the TSD discusses Since DOE developed its analytically In developing the energy component energy consumption, derived curves in the form of calculated consumption model, DOE made general compressor energy consumption, and daily energy consumption (CDEC) assumptions about the analysis load models. versus MSP, it was necessary for DOE to methodology and specific numerical DOE made one change to the estimate an industry list price markup assumptions regarding load components methodology of calculating the radiation so that it could make comparisons and design options. DOE based its load for cases without doors (VOP, SVO, between the two sets of curves. The energy consumption estimates on new and HZO equipment families). In the industry list price markup is a markup equipment tested in a controlled- ANOPR analysis, the view factor 14 from to the selling price that provides the list environment chamber in accordance the interior of the case to the walls of price. To make comparisons between with ANSI/ARI Standard 1200–2006, the test chamber was estimated as 0.025. the analytically derived and industry- the DOE test procedure for commercial This value was kept as a constant for all supplied cost-efficiency curves, DOE refrigeration equipment, which cases and sizes in the ANOPR analysis, discounted the industry data with the references the ANSI/ASHRAE Standard but it is clear this value should change 13 list price markup and normalized the 72–2005 test method. Once Federal somewhat as the geometry and the analytically derived curves by TDA. standards for this equipment become overall size of the case changes. For the Manufacturers typically offer a operative, manufacturers will be NOPR, DOE calculated the view factor discount from the MLP, which depends required to test units with this test separately for each equipment class on factors such as the relationship with method, which specifies a certain depending on the geometry specific to the customer and the volume and type ambient temperature, humidity, light the baseline design specifications of that of equipment being purchased. For the level, and other requirements. This test class. The view factor from the case to estimate of list price markup, DOE method, however, contains no the room is calculated as the ratio of relied on information gathered on self- specification as to the operating hours of TDA (i.e., the area of the plane contained commercial refrigeration the display case lighting, and DOE’s separating the case from the room) to equipment, since list price information energy consumption model considers the test chamber wall surface area. is readily available and typically the operating hours to be 24 hours per Stakeholders raised questions published by manufacturers of this day (i.e., that lights are on regarding DOE’s method of calculating equipment. A review of the data shows continuously). This assumption is the infiltration load 15 for commercial that the list price markup is typically consistent with the lighting operating refrigeration equipment. Carrier asserted 2.0 (i.e., manufacturers will typically time assumption used in the energy use that DOE’s method of using defrost sell their equipment for 50 percent off characterization (see Section IV.D). water to model infiltration has the published list price). DOE further Chapter 5 of the TSD discusses further limitations. Carrier pointed out that as verified the estimate by obtaining list the assumptions used in the energy the case is run at higher suction price quotes from several remote consumption model. temperatures, the coil has a tendency to condensing equipment manufacturers. The energy consumption model run as a wet coil and does not retain During manufacturer interviews, some calculates CDEC as having two major much of the moisture on its exterior. commercial refrigeration equipment components: Compressor energy Typically on manufacturer specification manufacturers agreed with the 2.0 consumption and component energy sheets, defrost meltwater is only the markup estimate, while others stated the consumption (expressed as kWh/day). estimate was somewhat high. Although Component energy consumption is the 14 A view factor is the proportion of all radiation the list price markup can vary that leaves one surface and strikes another. significantly by manufacturer and by 13 The test procedures are found at 10 CFR 15 The mass of warm ambient store air that customer, DOE believes the estimated 431.64. displaces the cold air inside of the case.

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water that comes out during a defrost in accordance with the DOE test commercial refrigeration equipment period, and Carrier noted that there may procedure in ANSI/ARI Standard 1200– classes that are self-contained units be additional water that would come off 2006, DOE assumes the use of a without doors and self-contained ice- the coil between defrost periods. Carrier compressor using an HFC refrigerant cream freezers. Variable-speed believes DOE may be underestimating (i.e., R–404A). Likewise, all of the compressors can reduce energy the infiltration load using information compressors DOE used in modeling self- consumption under real-world from the specification sheets, and contained equipment use either R–404A conditions by matching cooling capacity estimated that the infiltration load is or R–134A, another HFC refrigerant. to the refrigeration load, which can typically around 75 percent of total c. Design Options change due to variations in ambient cooling water. Carrier questioned conditions and product loading. This whether or not DOE compared its In the market and technology load matching allows for a more estimates with the calculated infiltration assessment for the ANOPR, DOE constant temperature inside the case, loads. (Public Meeting Transcript, No. defined an initial list of technologies eliminating the large fluctuations in 13.5 at p. 83) Hussmann stated that that have the potential to reduce the temperature that are typical of single- when it publishes data for defrost energy consumption of commercial speed compressors. The stability in meltwater, it does so for the sole refrigeration equipment. In the temperature allows manufacturers to purpose of sizing sewer lines and not for screening analysis for the ANOPR, DOE design equipment with higher estimating the infiltration load. (Public screened out some of these technologies evaporator temperatures, improving Meeting Transcript, No. 13.5 at p. 85) based on four screening criteria: compressor efficiency. However, the In the ANOPR analysis, DOE Technological feasibility; practicability energy-saving benefit of variable-speed calculated infiltration load using to manufacture, install and service; compressors is not clear under ANSI/ empirical defrost meltwater data impacts on equipment utility or ASHRAE Standard 72–2005, because it obtained from manufacturers’ detailed availability; and impacts on health or is a steady-state test for commercial specification sheets. DOE assumed that safety. 72 FR 41179–80. The remaining refrigeration equipment. Further, DOE is defrost meltwater could be correlated technologies became inputs to the not aware of any test data showing the with infiltration load, given certain ANOPR engineering analysis as design energy savings benefit of variable speed known parameters such as ambient options. However, for reasons described compressors in the types of equipment relative humidity. This methodology in the ANOPR, DOE did not incorporate covered in this rule. Certain test data was calibrated with detailed all of these technologies as design does exist for walk-ins and residential options in the energy consumption refrigeration load data obtained from refrigerators, but DOE does not believe model. 72 FR 41182–83. Stakeholders Southern California Edison for several that this data can be used to predict the commented that some of these large-volume equipment classes. DOE performance of variable-speed technologies should be included in the agrees with the assessment made by compressors in commercial refrigeration NOPR engineering analysis, and stakeholders and has altered its equipment. Therefore, DOE did not recommended additional design options methodology accordingly. In the NOPR include variable-speed compressors as a DOE should consider. Comments engineering design specifications, design option in its engineering pertaining to each suggested technology defrost meltwater (in pounds per hour, analysis. lbs/hr) is replaced with infiltrated air and DOE’s response are provided below. (also in lbs/hr) for all equipment classes. As a general comment about design ACEEE recommended that variable- DOE estimated infiltrated air by using options, ACEEE stated that some design speed evaporator fans be included in the manufacturers’ detailed specification options that were screened out should analysis. (ACEEE, No. 16 at p. 2) San sheets, recognizing that infiltration load be considered for further analysis and Diego Gas & Electric Company (SDGE) is the only load component that cannot that prevalence in the marketplace is also recommended that DOE include in be directly calculated. Using physical not necessarily a good reason to screen its analysis the energy savings, cost- parameters about each case, the other out a design option. (Public Meeting effectiveness, and feasibility of such load components (internal load, Transcript, No. 13.5 at p. 62) DOE fans for enclosed refrigeration conduction load, radiation load) are screened out five technologies in the equipment served by remote calculated. DOE subtracted these load ANOPR screening analysis. These are refrigeration compressors. (SDGE, No. components from the listed total air-curtain design, thermoacoustic 22 at p. 2) SCE recommended that DOE refrigeration load, and it is assumed that refrigeration, magnetic refrigeration, consider the cost-effectiveness of the remaining load is due to infiltration. electro-hydrodynamic heat exchangers, variable-speed evaporator fans for this Chapter 5 of the TSD provides more and copper rotor motors. All five of equipment. SCE asserted that variable- details of the change to this these design options were screened out speed fan control was a very effective methodology. because they are in the research stage and cost-effective means of increasing At the public meeting, stakeholders and would not be practical to refrigerated warehouse efficiency and expressed concern over the refrigerants manufacture, install, and service. Since should be applicable to commercial DOE used in the analysis. EEI asked if the publication of the ANOPR, DOE is refrigeration equipment as well. SCE hydrofluorocarbon (HFC) refrigerants not aware of any significant changes to stated that this reduces the energy were already assumed to be in use in the the status of these technologies, and has consumption of the fan and the amount baseline. (Public Meeting Transcript, not included them in the NOPR of load that the refrigerant must reject. No. 13.5 at p. 97) ARI stated that most analysis. SCE also noted that its work in support of the data it provided to DOE was ACEEE recommended that variable- of California building and appliance based on such refrigerants and no speed compressors be included in the standards showed variable-speed changes are expected in that regard. analysis. (ACEEE, No. 16 at p. 2) EEI controls on evaporator fans had (Public Meeting Transcript, No. 13.5 at also suggested that DOE consider the approximately one-year simple p. 97) In its analysis, DOE assumed that use of variable-speed drives for paybacks in both refrigerated HFC refrigerants are already fully in use compressors. (EEI, No. 15 at p. 2) warehouses and small walk-in coolers. for commercial refrigeration equipment. Variable-speed compressors could (Public Meeting Transcript, No. 13.5 at For all remote condensing equipment, potentially improve the efficiency of p. 69 and SCE, No. 19 at p. 3) EEI also

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suggested that DOE consider the use of indicated that the potential energy insulation thickness can lead to small, variable-speed drives for evaporator fans savings are also small, since modern but significant energy savings. In and compressors. (EEI, No. 15 at p. 2) electronic ballasts are very efficient and relatively large units, which make up Variable-speed evaporator fans can typically contribute only a few watts the largest portion of the shipments of operate at speeds that match changing (W) each to the refrigeration load. commercial refrigeration equipment, conditions in the case. DOE recognizes Because (1) lamp ballasts are already even if such added insulation results in that the use of these fans provides some located externally on most equipment; reduction of the refrigerated volume, opportunity for energy savings, because (2) most units that have internally any such reduction would not be the buildup and removal of frost creates located lamp ballasts use preassembled substantial. DOE does not foresee any differing pressure drops across the lighting systems; and (3) potential impact on the availability of this type of evaporator coil. Theoretically, less fan energy savings are small, DOE did not equipment from the use of increased power is required when the coil is free consider remote relocation of ballasts as insulation that would trigger EPCA’s of frost. Additionally, when an a design option in its engineering prohibition at 42 U.S.C. 6295(o)(4) and evaporator fan operates at variable analysis. 6316(e)(1). As to smaller units, DOE speeds, the coil would operate at a more ACEEE recommended that improved assumes that their outer dimensions are stable temperature during the period of insulation be included in the analysis. less constrained than the dimensions of frost build-up. However, the (ACEEE, No. 15 at p. 2) Potential larger units, and that therefore effectiveness of the air curtain in improvements to insulation material manufacturers could accommodate a equipment without doors is very used in commercial refrigeration small increase in insulation thickness, sensitive to changes in airflow, so fan equipment cabinets include better and maintain the amount of refrigerated motor controllers would likely disrupt polyurethane foams and vacuum panels. volume, by making a small increase in air curtains. DOE believes the likely In consultation with insulation material the overall size of the cabinet. disturbance to the air curtain, which manufacturers, DOE determined that Therefore, in the NOPR, DOE modeled would lead to higher infiltration loads there are no significant differences in a 1⁄2-inch increase in insulation and higher overall energy consumption, ‘‘grades’’ of insulation material, so thickness for all equipment classes. would negate the use of evaporator fan equipment manufacturers are already When implemented as a design option, motor controllers in equipment without using the best commercially available this increase in thickness was added to doors, even if there were some foam materials in their equipment. the baseline value of insulation reduction in fan energy use. In addition, Vacuum panels are an alternative form thickness and DOE recalculated the the ANSI/ASHRAE Standard 72–2005 of insulation; however, they may conduction load. DOE based the cost of test method is a steady-state test for degrade in performance in time as small increasing the insulation thickness on a commercial refrigeration equipment, so leaks develop. Based on knowledge of sunk cost per unit, considering foam similar to variable-speed compressors, typical manufacturing practices, DOE fixture engineering and tooling costs, the energy-saving benefit of variable- also believes it would be impractical to production line lifetime, and number of speed fans is not clear. Therefore, DOE use vacuum panels to construct fixtures and units produced. Chapter 5 did not include variable-speed fans as a commercial refrigeration equipment, of the TSD provides details of the design option in its engineering because they cannot be penetrated by assumptions DOE used to calculate the analysis. fasteners, and do not provide the additional cost of insulation thickness ACEEE recommended that remote rigidity of ‘‘foamed-in-place’’ increases. ballast location be included in the polyurethane insulation panels. Thicker ACEEE recommended that DOE analysis. (ACEEE, No. 16 at p. 2) insulation is another possible option, include defrost cycle control in the Fluorescent lamp ballasts generate heat, but could be problematic because it analysis. (ACEEE, No. 16 at p. 2) Defrost and their relocation outside the would likely result in either a reduced cycle control can reduce energy refrigerated space can reduce energy volume for the refrigerated space or an consumption by reducing the frequency consumption by lessening the increase in the overall size of the and duration of defrost periods. The refrigeration load on the compressor. equipment cabinet. Reducing the majority of equipment currently However, for the majority of commercial volume of the refrigerated space could manufactured already uses partial refrigeration equipment currently affect the utility of the equipment, and defrost cycle control in the form of cycle manufactured, ballasts are already because the outer dimensions of termination control. However, defrost located in electrical trays outside of the commercial refrigeration equipment are cycle initiation is still scheduled at refrigerated space, in either the base or often limited (e.g., by interior regular intervals. Full defrost cycle top of the equipment. The notable dimensions of shipping containers), it is control would involve detecting frost exceptions are the equipment classes in often not practical to increase the buildup and initiating defrost. As the VCT equipment family, where overall size of the cabinet. For all these described in the market and technology ballasts are most often located on the reasons, DOE did not consider assessment (Chapter 3 of the TSD), this interior of each door mullion. Most insulation thickness increases or could be accomplished through an commercial refrigeration equipment improvements as a design option in its optical sensor or by sensing the manufacturers purchase doors for VCT ANOPR engineering analysis. temperature differential across the units that are preassembled with the However, DOE did add increases in evaporator coil. However, both methods entire lighting system in place rather insulation thickness as a design option are unreliable due to problems with than configured for separate ballasts. in the NOPR engineering analysis, fouling of the coil from dust and other DOE believes that most commercial because it now believes this is a cost- surface contaminants. This becomes refrigeration equipment manufacturers effective option in several equipment more of an issue as the display case choose these kinds of doors because it types, most notably self-contained ice- ages. Because of these issues, DOE did would be labor intensive and time cream freezers with doors. DOE not consider defrost cycle control as a consuming to relocate these ballasts at understands that in equipment classes design option in its engineering the factory, and because of the where conduction makes up a analysis. additional cost and labor of wiring significant portion of the total SCE asserted that doors should be separate ballasts. Manufacturers have refrigeration load, a modest increase in considered a design option for open

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units, and that open units without doors The design options DOE considered in refrigeration equipment manufacturers) should be held to energy consumption the NOPR engineering analysis are: of LED fixtures to increase for both standards at levels warranted for units • Higher efficiency lighting and horizontal and vertical fixtures. DOE with doors. (Public Meeting Transcript, ballasts for the VOP, SVO, HZO, and believes the cost estimates for LED No. 13.5 at p. 44) SCE advocates, in SOC equipment families (horizontal fixtures are now more accurate and are essence, that manufacture of new, open fixtures); consistent with the costs commercial commercial refrigeration equipment be • Higher efficiency lighting and refrigeration equipment manufacturers discontinued and replaced by ballasts for the VCT equipment family would experience in today’s market at manufacture of equipment with doors. It (vertical fixtures); mass-production volumes. Further stated that this would be a cost-effective • Higher efficiency evaporator fan discussion of the assumptions used to way of saving substantial amounts of motors; calculate LED fixture costs are provided energy. (SCE, No. 19 at p. 2) Although • Increased evaporator surface area; in Chapter 5 of the TSD. SCE did not state it explicitly, DOE • Increased insulation thickness; Although DOE found that current LED understands that its main argument for • Improved doors for the VCT costs are higher than originally advocating that doors be considered for equipment family, low temperature; estimated in the ANOPR analysis, • open cases is that doors should be Improved doors for the VCT through a closer examination of cost regarded as a design option and not a equipment family, medium temperature; data for currently available LEDs, DOE • feature, such that there are not separate Improved doors for the HCT recognizes that LED technology has equipment classes for equipment with equipment family, ice-cream historically exceeded DOE’s efficiency and without doors. temperature; and cost targets. In this NOPR, DOE • DOE acknowledges SCE’s position. Improved doors for the SOC conducted a sensitivity study that Substantial, cost-effective energy equipment family, medium temperature; analyzed future LED costs based on • savings might well result from standards Higher efficiency condenser fan DOE’s Multi-Year Program Plan,17 that would, in effect, require the motors (for self-contained equipment which are consistent with historical manufacture of commercial refrigeration only); LED price reductions between 2000 and • equipment with doors instead of Increased condenser surface area 2007 (see Appendix B of the TSD). The (for self-contained equipment only); and Multi-Year Program Plan projects that without. DOE has not considered such • standards in this proceeding, however, Higher efficiency compressors (for LED chip costs will continue to decrease 16 nor has it studied their potential energy self-contained equipment only). at a compound annual growth rate savings or economic justification At the public meeting and during the (CAGR) of approximately ¥27 percent (including the extent of their impact on comment period, stakeholders raised between 2007 and 2012, which product utility), because it believes concerns about some of the design represents a price reduction of 80 EPCA precludes their adoption. First, option data DOE used in its analysis and percent over that time period. Also in DOE believes that, for commercial about DOE’s depiction of some of the agreement, EIA’s NEMS uses a refrigeration equipment, the existence or design options. Several stakeholders technology characterization for LED lack of doors (i.e., whether the case is were concerned with the lighting design light sources, which show that LED chip open or closed) does affect the utility of option data. Zero Zone stated that DOE’s costs are expected to decline by the equipment to its owner and user, estimate of the incremental increase in approximately 71 percent for the same and therefore is a ‘‘feature’’ as that term cost for light emitting diode (LED) time period. Since LED chips are only is used in 42 U.S.C. 6295(o)(4) and lighting was too low. (Public Meeting a portion of the total LED system (other 6316(e)(1). Because a standard based on Transcript, No. 13.5 at p. 89) ARI components include power supply and combining open and closed equipment seemed to agree with Zero Zone’s the LED fixture), the 80 percent classes would result in the assessment, stating that DOE appears to reduction in chip costs contributes to an unavailability of open cases, as have significantly underestimated the estimated decrease in total LED system described above, such a standard would incremental cost for LED lighting by cost of approximately 50 percent by violate EPCA’s prohibition against any about 50 percent. 2012, assuming the costs of the power standard that would ‘‘result in the DOE revised its cost assumption for supply and LED fixtures do not change unavailability’’ of equipment with LED lighting used in the VOP, SVO, significantly. ‘‘features * * * that are substantially HZO, and SOC equipment families DOE examined whether the projected the same’’ as those currently available in (horizontal four-foot fixtures) and the LED costs presented in the Multi-Year the United States. (42 U.S.C. 6295(o)(4) VCT equipment family (vertical 5-foot Program Plan and used in this NOPR are and 6316(e)(1)) Second, EPCA fixtures). For the ANOPR, DOE based consistent with publicly available prescribes energy conservation LED lighting costs on an LED retrofit empirical historical cost data. DOE standards for self-contained equipment case study, but DOE revised some of its reviewed available price data for the with doors, and mandates that DOE assumptions for the NOPR based on LED market and found that between issue standard levels for ‘‘self-contained conversations with manufacturers of 2000 and 2007, white-light LEDs had a commercial refrigerators, freezers, and LED chips and LED fixtures. CAGR ranging from approximately ¥18 refrigerator-freezers without doors.’’ (42 Specifically, DOE revised its to ¥31 percent. DOE’s LED cost U.S.C. 6313(c)(2)–(4)) The latter assumptions on the relative weight of projection (i.e., ¥27 percent CAGR) equipment is one of the subjects of this the costs of LED chips, power supplies, falls within the range of CAGRs rulemaking. Hence, the plain language and the balance of fixtures (which observed. of EPCA covers standards for includes labor). These changes cause the original equipment manufacturer (OEM) commercial refrigeration equipment 17 U.S. Department of Energy, Solid-State Lighting with and without doors. DOE must cost (i.e., the cost to commercial Research and Development, Multi-Year Program follow this legislative mandate. For Plan FY’09–FY’14. This document was prepared 16 Improvements to the condensing unit are not under the direction of a Technical Committee from these reasons, DOE did not consider considered for remote condensing equipment, since the Next Generation Lighting Initiative Alliance doors as a design option for open the test procedure and standard apply only to the (NGLIA). Information about the NGLIA and its equipment in its engineering analysis. cabinet and not the condensing unit. members is available at http://www.nglia.org.

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DOE expanded its examination by 40 W per door. ARI also stated that this development is continuing. (Public comparing this projected trend to the option is not available to manufacturers Meeting Transcript, No. 13.5 at p. 76) red-light LED market, which is a related in all applications because it is not Emerson also believes that high- technology, with price information intended for stores that operate outside efficiency compressors may not be spanning approximately three decades a condition of 75 °F dry bulb and 55 readily available and that it may be (i.e., 1973 to 2005). DOE found that the percent relative humidity, which particularly hard to find compressors CAGR of red-light LED costs was ¥22 requires higher wattage anti-condensate capable of this level of increased percent over this longer time span. The heaters in the doors/frames. (ARI, No. efficiency for low temperature trend in red-light LED costs derived 18 at p. 6) Zero Zone made similar equipment. (Public Meeting Transcript, from empirical data over this longer comments, stating that building No. 13.5 at p. 65) For the NOPR, DOE time period is of a similar magnitude to humidity could be an issue in the use revised the assumptions it used to DOE’s projected costs for white-light and functionality of higher efficiency estimate the changes in cost and LEDs. Due to the technological doors without heaters. Zero Zone also efficiency for high-efficiency, single- similarities between red-light LEDs and recommended that DOE revise its speed compressors. Based on white-light LEDs, DOE believes that the analysis and use 40 W per door for the discussions with manufacturers and historical cost reductions for red-light high-efficiency medium temperature other experts, DOE concluded that the LEDs are indicative of future cost frame, and that high-efficiency doors assumptions used in the ANOPR reductions for white-light LEDs. should be dropped from the analysis analysis (a 10 percent increase in cost Furthermore, the white-light LED because they can result in condensate results in a 20 percent reduction in market is undergoing a massive and water on the floor, such that they energy use) overstated the actual expansion and growth phase, with are not safe to use in a number of stores. efficiency gains that are possible for significant investment, new products (Public Meeting Transcript, No. 13.5 at today’s compressors. Therefore, DOE and innovative applications for LED p. 119 and Zero Zone, No. 17 at p. 2) now assumes that a five percent technology, including illumination of DOE did not revise its costs for doors increase in cost would result in a 10 commercial refrigeration equipment. on VCT equipment. After reviewing the percent reduction in compressor energy See Section V.C of this NOPR and information collected for the ANOPR use. Per-dollar efficiency gains are Appendix B of the TSD for more detail analysis, DOE concluded that its equivalent with these new assumptions, on the cost projection and DOE’s preliminary cost estimates were but the overall magnitude of power validation of those estimates. DOE seeks reasonable. Notwithstanding the reduction and the cost premium are comment on the extent to which these stakeholder observations just set forth, reduced. This change affects only the price trends are indicative of what can none of them provided any specific self-contained equipment classes be expected for commercial refrigeration additional data that would warrant analyzed in the engineering analysis. equipment LED lighting from 2007 to revision of DOE’s cost assessments, and Additionally, in the NOPR analysis, 2012 and the extent to which the cost DOE is not aware of such data. DOE revised the capacity values used to reduction observed for red-light LEDs is However, DOE revised the values for the select self-contained compressors in the relevant to DOE’s cost projections for anti-sweat heater power for glass doors energy consumption model. DOE’s white-light LEDs. Also, in order to for VCT.RC.L and VCT.RC.I equipment energy consumption model selects the consider that LED costs are to decline in the NOPR engineering analysis. most appropriate compressor by Based on discussion with manufacturers comparing each compressor’s capacity more than assumed in this analysis, and data from manufacturer to the total refrigeration load in the case DOE will need more information than specification sheets, the anti-sweat multiplied by the compressor oversize currently available on the extent, heater power for both the baseline and factor. Because compressor capacity is timing, and certainty of such further high-efficiency doors was increased dependent on the conditions the price reductions. Finally, DOE seeks (from 160 W to 200 W for baseline doors compressor is tested at (compressor comment on the extent to which and from 60 W to 110 W for high- manufacturers provide capacity data manufacturers would adopt LED efficiency doors). DOE also revised the over a range of conditions), it is technology into the design of anti-sweat heater power for glass doors important to select the compressor commercial refrigeration equipment in for VCT.RC.M equipment in the NOPR capacity based on the same conditions the absence of standards considering the engineering analysis based on used to calculate total refrigeration load. rapid development of LED technology comments and data received from For the ANOPR analysis, DOE listed and the steady reductions in cost. See manufacturer specification sheets. DOE capacity at standard ASHRAE rating Section VII.E.1 for details. increased the anti-sweat heater power conditions. However, the standard The design option data for doors on for both the baseline doors (from 60 W rating conditions used in the ASHRAE VCT equipment were another area of to 100 W) and high-efficiency doors 540–2004 standard differ from the concern for stakeholders. Zero Zone (from 0 W to 50 W). See Chapter 5 of operating conditions used in the model, stated that the incremental increase in the TSD for more detail. and each set of conditions results in cost for high-efficiency doors Regarding the compressor design different capacity values.18 Because the (particularly cooler doors) seemed too options, Emerson noted that possible standard conditions and modeled high. (Public Meeting Transcript, No. efficiency improvements for 13.5 at p. 89) ACEEE also indicated that compressors in self-contained units may 18 ASHRAE Standard 540–2004 lists standard DOE’s costs for high-efficiency doors are be too optimistic. True believes that rating conditions for hermetic refrigeration too high. (ACEEE, No. 16 at p. 2) ARI because the test procedure is not steady- compressors. For medium-temperature equipment, compressors are rated at 20 °F suction dewpoint, stated that it does not believe that the state (due to door openings), variable- 120 °F discharge dewpoint, 40 °F return gas, and door used in DOE’s analysis (one that speed compressors may be an effective 0 °F subcooling. For low-temperature equipment, uses no energy) is available in the design option. (Public Meeting compressors are rated at ¥10 °F suction dewpoint, market today. According to ARI, high- Transcript, No. 13.5 at p. 75) However, 120 °F discharge dewpoint, 40 °F return gas, and 0 °F subcooling. For ice-cream-temperature efficiency door models currently in the True also noted that few variable-speed equipment, compressors are rated at ¥25 °F suction market have no heat in the door, but the compressors are available in the dewpoint, 105 °F discharge dewpoint, 40 °F return frame installed in the case uses at least appropriate power range, but that their gas, and 0 °F subcooling.

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conditions differed, the model typically DOE established baseline specifications. Appendix B of the TSD overestimated the capacity of the specifications for each equipment class shows changes to baseline design selected compressors. To compensate, modeled in the engineering analysis by specifications relative to the ANOPR DOE adjusted the compressor oversize reviewing available manufacturer data, analysis. DOE revised the TDA for factor to an unrealistic level (typically 1) selecting several representative units VCT.RC.L and VCT.RC.M equipment so in order for the ANOPR model to select from available manufacturer data, and that the sum of the display area of the the correct compressor. For the NOPR, then aggregating the physical doors matches the TDA of the case. The DOE used capacities based on the same characteristics of the selected units. baseline models used in the NOPR conditions used to calculate total This process created a unit analysis are more representative of refrigeration load and revised the representative of commercial actual equipment than those DOE used oversize factor (typically 1.4 in the refrigeration equipment currently being in the ANOPR analysis, but in some NOPR model) for all self-contained offered for sale in each equipment class, situations, the changes to baseline equipment classes to maintain the with average characteristics for physical characteristics affected the baseline selection of the correct compressor size. parameters (e.g., volume, TDA), and energy consumption significantly See Chapter 5 of the TSD for more minimum performance of energy- compared to the ANOPR. Four detail. consuming components (e.g., fans, equipment classes (HZO.RC.M, In the analysis for the ANOPR, the lighting). DOE used the cost model to HZO.SC.M, HZO.SC.L, and VCS.SC.I) calculation of LED energy use assumed develop the basic case cost for each had changes that resulted in a that the LED lighting fixtures at the ends equipment class. See Appendix B of the significant increase in the baseline of VCT cases were identical to those TSD for these specifications. energy consumption, and one between doors. With fluorescent Zero Zone expressed concern over equipment class (SOC.RC.M) had fixtures, manufacturers install the same DOE’s method for calculating the changes that resulted in a decrease in lamp regardless of whether it is at the internal case volume. Zero Zone the baseline energy consumption. See suggested that DOE update its analysis end of the case (attached to an end Appendix B of the TSD for more detail. to use ARI Standard 1200 for calculating mullion) or between doors (attached to For the ANOPR analysis, DOE the internal volume of a case. This an interior mullion). This causes excess calculated a baseline energy usage of standard calculates internal volume light at the ends of the case. The light 0.16 kWh/ft2 for the HZO.RC.M using the internal height and depth of output of a single lamp between two the case from the inside of the door to equipment class. During manufacturer doors is directed in both directions (i.e., the rear wall or rear duct. This is interviews, some manufacturers stated behind two doors), whereas lamps at the typically how the industry calculates that this seemed unreasonably low. DOE ends direct light only on the contents internal volume. (Zero Zone, No. 17 at reviewed the data it presented in the behind the end door. LED fixtures are p. 1) ANOPR TSD, as to the energy inherently scalable, so manufacturers In its engineering analysis, DOE consumption of equipment on the can install an LED fixture in the end followed the methodology in ANSI/ARI market and realized that its figure for mullion that uses fewer LEDs than Standard 1200–2006 when calculating baseline energy usage for HZO.RC.M fixtures in interior mullions. In the the refrigerated volume parameter used cases was well below the amounts NOPR analysis, the calculation assumes in the baseline design specifications. indicated by the market data. DOE single-row LED fixtures are used in the DOE used the internal height and depth identified problems with the ANOPR end mullions and that these fixtures use of the case from inside of the door to the design specifications for the HZO.RC.M roughly 75 percent of the energy of rear wall. No subtractions were made for equipment class, namely a lack of double-row fixtures in interior mullions. shelving or other protrusions within the electric defrost and a mismatch between See Chapter 5 of the TSD for more case interior envelope. the size of the case (TDA) and the detail. At the public meeting, Zero Zone amount of infiltration load. For the 4. Baseline Models expressed concern over the lighting NOPR analysis, DOE revised its baseline technology for the baseline models in design specifications for this equipment As mentioned above, the engineering each equipment class. Zero Zone stated to include electric defrost based on analysis estimates the incremental costs that T12 lighting is no longer used in discussions with manufacturers during for equipment with efficiency levels closed cases, and that T8 lighting is now the MIA interviews and a review of above the baseline in each equipment the baseline for those cases. (Public market data. Although electric defrost is class. DOE was not able to identify a Meeting Transcript, No. 13.5 at p. 88) not always required on HZO.RC.M voluntary or industry standard that Further, Zero Zone reiterated in writing cases, about two-thirds of such provided a minimum baseline efficiency that the baseline lighting for cases with equipment on the market use electric requirement for commercial a vertical transparent door should be T8. defrost. Based on manufacturer refrigeration equipment. Therefore, it (Zero Zone, No. 17 at p. 3) DOE has interviews, DOE understands there are was necessary for DOE to determine changed the baseline specifications and lower infiltration loads (on a per-TDA baseline specifications for each is now using T8 lighting in the analysis basis) in horizontal open cases because equipment class to define the energy of baseline models. of the natural ‘‘well’’ of cold air that consumption and cost of the typical, Stakeholders raised concerns over the tends to sit inside the case. In contrast, baseline equipment. These accuracy of some of the data used for for a vertical or semivertical open case, specifications include dimensions, the baseline models. Zero Zone stated the cold air tends to spill out of the number of components, temperatures, that the TDA for VCT.RC.L and opening under the influence of gravity. nominal power ratings, and other case VCT.RC.M cases may be incorrect, and With a lower infiltration load for a given features that affect energy consumption, that the sum of the TDA for each door TDA, there is less heat available to melt as well as a basic case cost (the cost of did not equal the TDA of the entire case frost from the evaporator coil using off- a piece of equipment not including the for these two equipment classes. (Zero cycle defrost. Thus, most HZO.RC.M major efficiency-related components Zone, No. 17 at p. 3) case designs necessitate the use of such as lights, fan motors, and In the NOPR analysis, DOE made electric resistance heating for defrost. evaporator coils). several revisions to the baseline DOE also revised the specifications for

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the HZO.RC.M equipment class to HZO.SC.L equipment classes, DOE baseline specifications in the ANOPR include a higher infiltration load (in based its baseline specifications on the analysis, because of a lack of publicly accordance with the updated infiltration HZO.RC.M equipment class, making available performance data for this methodology), and updated dimensions. reasonable adjustments for design class. For the NOPR, DOE revised its In the ANOPR analysis, DOE used features specific to self-contained baseline assumptions to reflect a two- defrost meltwater to estimate the equipment. In particular, self-contained door case instead of the three-door infiltration load. In accordance with the equipment has a lower compressor model analyzed in the ANOPR. DOE updated infiltration methodology, DOE energy efficiency ratio (EER), and an believes this change more accurately used refrigeration load data to calculate added drain pan heater to evaporate reflects the current market for VCS.SC.I the baseline infiltration load, which was defrost meltwater. Similar to the cases and is more in line with the higher than the load estimated using HZO.RC.M class, the change in electric defrost power level. DOE meltwater data in the ANOPR analysis infiltration load calculation led to a increased infiltration load somewhat (Chapter 5 for details). DOE also revised higher infiltration load for the relative to the ANOPR specifications the dimensions of the HZO.RC.M class HZO.SC.M class. DOE also added and added anti-sweat power. See to reflect a somewhat smaller case size electric defrost to the HZO.SC.M class Appendix B of the TSD for more detail. that was more representative of cases and increased the anti-sweat heater 5. Engineering Analysis Results currently on the market. This change load. For the HZO.SC.L class, electric involved reducing the TDA, volume, defrost was already included, since it is The results of the engineering analysis wall area, and case interior surface area, necessary for low-temperature are reported as cost-efficiency data (or all of which DOE matched to the equipment. However, DOE revised the ‘‘curves’’) in the form of CDEC (in kWh) infiltration load and other case infiltration load in accordance with the versus MSP (in dollars), both components. See Appendix B of the change in methodology and increased normalized by TDA (or volume for the TSD for more detail. the anti-sweat heater load. See VCS.SC.I equipment class). DOE created For the HZO.SC.M and HZO.SC.L Appendix B of the TSD for more detail. 15 cost-efficiency curves in the equipment classes, DOE made changes Discussions during the manufacturer engineering analysis. similar to those described in the interviews revealed that in the ANOPR Table IV–7 presents data for these preceding paragraph. These two analysis, the baseline energy usage for curves. See Chapter 5 of the TSD for equipment classes are in the same the VCS.SC.I equipment class was additional detail on the engineering equipment family as the HZO.RC.M unrealistically low. Therefore, in the analysis and comparisons of DOE’s equipment class, so they share NOPR analysis, DOE made revisions analytically derived curves to industry- similarities to that class (e.g., having the that increased energy usage in the supplied curves. See Appendix B of the same cabinet). Because of a lack of baseline equipment for this class. DOE TSD for complete cost-efficiency results. detailed data for the HZO.SC.M and was unable to verify the accuracy of the BILLING CODE 6450–01–P

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BILLING CODE 6450–01–C DOE used these markups, along with in the ANOPR, 72 FR 41184, and as C. Markups to Determine Equipment sales taxes, installation costs, and the shown in Table IV–8, DOE defined three Price MSPs developed in the engineering distribution channels for commercial analysis, to arrive at the final installed refrigeration equipment to describe how This section explains how DOE equipment prices for baseline and the equipment passes from the developed the distribution channel higher efficiency commercial manufacturer to the customer. markups it used (Chapter 6 of the TSD). refrigeration equipment. As explained

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TABLE IV–8—DISTRIBUTION CHANNEL MARKET SHARES FOR COMMERCIAL REFRIGERATION EQUIPMENT [In percent]

Channel 1 Channel 2 Channel 3 Manufacturer Manufacturer, Manufacturer, wholesaler wholesaler, contractor Customer Customer Customer

Remote Condensing Equipment ...... 70 15 15 Self-Contained Equipment ...... 30 35 35

For the ANOPR analysis, DOE percent among the three channels, procedure described in the ANOPR (72 estimated shares of 86 percent, 7 respectively, for remote condensing FR 41184), but based upon the industry percent, and 7 percent for the equipment and 30 percent, 35 percent, comments from ARI and Carrier. The manufacturer, manufacturer/wholesaler, and 35 percent, respectively, for self- new overall baseline and incremental and manufacturer/wholesaler/contractor contained equipment. (Public Meeting markups for sales to supermarkets channels, respectively, for all Transcript, No. 13.5 at p. 122; ARI, No. within each distribution channel are commercial refrigeration equipment, 18 at p. 7) No other alternative estimates shown in Table IV–9, Table IV–10, based on market estimates from were provided of shipments through Table IV–11, and Table IV–12, consultants. At the ANOPR public these distribution channels. Therefore, respectively. Chapter 6 of the TSD meeting, ARI and Carrier commented in the NOPR, DOE decided to modify provides additional details on markups. that the breakdown should be changed the breakdown and it recalculated the to 70 percent, 15 percent, and 15 overall markups using the same

TABLE IV–9—BASELINE MARKUPS BY DISTRIBUTION CHANNEL INCLUDING SALES TAX FOR SELF-CONTAINED EQUIPMENT IN SUPERMARKETS

Mechanical contractor National ac- Wholesaler (includes count (manu- Overall wholesaler) facturer-direct)

Distributor(s) Markup...... 1.436 2.182 1.218 1.631 Sales Tax ...... 1.068 1.068 1.068 1.068 Overall Markup...... 1.533 2.330 1.300 1.742

TABLE IV–10—BASELINE MARKUPS BY DISTRIBUTION CHANNEL INCLUDING SALES TAX FOR REMOTE CONDENSING EQUIPMENT IN SUPERMARKETS

Mechanical contractor National ac- Wholesaler (includes count (manu- Overall wholesaler) facturer-direct)

Distributor(s) Markup...... 1.436 2.182 1.218 1.395 Sales Tax ...... 1.068 1.068 1.068 1.068 Overall Markup...... 1.533 2.330 1.300 1.490

TABLE IV–11—INCREMENTAL MARKUPS BY DISTRIBUTION CHANNEL INCLUDING SALES TAX FOR SELF-CONTAINED EQUIPMENT IN SUPERMARKETS

Mechanical contractor National ac- Wholesaler (includes count (manu- Overall wholesaler) facturer-direct)

Distributor(s) Markup...... 1.107 1.362 1.054 1.180 Sales Tax ...... 1.068 1.068 1.068 1.068 Overall Markup...... 1.182 1.454 1.125 1.260

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TABLE IV–12—INCREMENTAL MARKUPS BY DISTRIBUTION CHANNEL INCLUDING SALES TAX FOR REMOTE CONDENSING EQUIPMENT IN SUPERMARKETS

Mechanical contractor National ac- Wholesaler (includes count (manu- Overall wholesaler) facturer-direct)

Distributor(s) Markup...... 1.107 1.362 1.054 1.108 Sales Tax ...... 1.068 1.068 1.068 1.068 Overall Markup...... 1.182 1.454 1.125 1.183

D. Energy Use Characterization recommended that the DOE analysis be over the life of the equipment, including The energy use characterization based on 24 hours-per-day operation as purchase and installation expense and estimates the annual energy this represents the worst-case scenario operating costs (energy expenditures consumption of commercial and many stores are open for 24 hours. and maintenance). To compute the LCC, refrigeration equipment systems (ARI, No. 18 at p. 4) Based on these DOE summed the installed price of the (including the remote condensing comments, DOE decided to leave the equipment and its lifetime operating units). This estimate is used in the assumption of display case lighting costs discounted to the time of subsequent LCC and PBP analyses operating hours of 24 hours per day purchase. The PBP is the change in (Chapter 8 of the TSD) and NIA (Chapter unchanged for the NOPR analysis. purchase expense due to a given energy 11 of the TSD). DOE estimated the Additional detail on the energy use conservation standard divided by the energy consumption of the 15 characterization can be found in change in first-year operating cost that equipment classes analyzed in the Chapter 7 of the TSD. results from the standard. DOE engineering analysis (Chapter 5 of the DOE also requested comments on expresses PBP in years. Otherwise TSD) using the relevant test procedure. other operational factors that might be stated, the payback period is the number DOE then validated these energy encountered in the field that would of years it would take for the customer consumption estimates with annual differ from that found in the relevant to recover the increased costs of a whole-building simulation modeling of test procedure, the relative frequency of higher-efficiency product through selected equipment classes and these factors, and how it could account energy savings. DOE measures the efficiency levels. One of the key for them in its energy analysis. DOE changes in LCC and in PBP associated assumptions in both the engineering received a comment from the Chinese with a given energy use standard level analysis and the whole-building delegation to the World Trade relative to a base case forecast of simulation in the ANOPR analysis was Organization stating that it should equipment energy use. The base case that the display case lighting operated consider all kinds of on-site factors in forecast reflects the market in the 24 hours per day. DOE conducted a operation and maintenance practices of absence of mandatory energy limited sensitivity analysis to explore the commercial refrigerating equipment conservation standards. how variation in display case lighting when evaluating the optional standard The data inputs to the PBP calculation operating hours affected the energy class of the equipment. (China, No. 20 are the purchase expense (otherwise savings. The sensitivity analysis showed at pp. 3–4) No specifics on what these known as the total installed customer that energy savings fell as lighting factors might be or how to take them cost or first cost) and the annual operating hours were reduced for all into account were provided, however. operating costs for each selected design. equipment classes that used display Chapter 7 of the TSD provides The inputs to the equipment purchase case lighting. The magnitude of this additional detail on the energy use expense were the equipment price and effect depended on the equipment class. characterization. the installation cost, with appropriate At the ANOPR public meeting, SCE markups. The inputs to the operating stated that it was studying display case E. Life-Cycle Cost and Payback Period costs were the annual energy lighting and will gladly share results of Analyses consumption, the electricity price, and the study with DOE as soon as the study In response to the requirements of the repair and maintenance costs. The is done. (Public Meeting Transcript, No. Section 325(o)(2)(B)(i) of EPCA, DOE PBP calculation uses the same inputs as 13.5 at p. 117) Hussman stated that with conducted LCC and PBP analyses to the LCC analysis but, since it is a simple today’s low-temperature cabinets, store evaluate the economic impacts of payback, the operating cost is for the owners won’t turn those lights off possible new commercial refrigeration year the standard takes effect, assumed because they may not come back on equipment standards on individual to be 2012. For each efficiency level when they are so cold. (Public Meeting customers. This section describes the analyzed, the LCC analysis required Transcript, No. 13.5 at p. 118) Hill LCC and PBP analyses and the input data for the total installed cost of Phoenix stated that turning off spreadsheet model DOE used for the equipment, the operating cost, and fluorescent lights at night can lead to analyzing the economic impacts of the discount rate. maintenance issues because of moisture possible standards on individual Table IV–13 summarizes the inputs infiltration, so it is typical to leave the commercial customers. Details of the and key assumptions used to calculate lights on all night. LEDs don’t have that spreadsheet model, and of all the inputs the customer economic impacts of problem. They agreed that 24-hour to the LCC and PBP analyses, are in TSD various energy consumption levels. lighting is not a bad assumption. (Public Chapter 8. DOE conducted the LCC and Equipment price, installation cost, and Meeting Transcript, No. 13.5 at p. 118) PBP analyses using a spreadsheet model baseline and standard design selection Another manufacturer, Zero Zone, also developed in Microsoft Excel for affect the installed cost of the agreed that 24 hours is a valid Windows 2003. equipment. Annual energy use, assumption for case lighting operating The LCC is the total cost for a unit of electricity costs, electricity price trends, hours. (Zero Zone, No. 17 at p. 4) ARI commercial refrigeration equipment, and repair and maintenance costs affect

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the operating cost. The effective date of calculation of the present value of shows how DOE modified these inputs the standard, the discount rate, and the annual operating cost savings from a and key assumptions for the NOPR, lifetime of equipment affect the proposed standard. Table IV–13 also relative to the ANOPR.

TABLE IV–13—SUMMARY OF INPUTS AND KEY ASSUMPTIONS USED IN THE LCC AND PBP ANALYSES

Input Description Changes for NOPR

Baseline Manufacturer Sell- Price charged by manufacturer to either a wholesaler or Data reflects updated engineering analysis. ing Price. large customer for baseline equipment. Standard-Level Manufacturer Incremental change in manufacturer selling price for Data reflects updated engineering analysis. Selling Price Increases. equipment at each of the higher efficiency standard levels. Markups and Sales Tax...... Associated with converting the manufacturer selling Markups updated based on revised distribution channel price to a customer price (Chapter 6 of TSD). shipment estimates. Installation Price ...... Cost to the customer of installing the equipment. This Installation prices for remote condensing and self-con- includes labor, overhead, and any miscellaneous ma- tained equipment revised based on ANOPR com- terials and parts. The total installed cost equals the ments. customer equipment price plus the installation price. Equipment Energy Con- Site energy use associated with the use of commercial Data reflects updated engineering analysis for each ef- sumption. refrigeration equipment, which includes only the use ficiency level. of electricity by the equipment itself. Electricity Prices ...... Average commercial electricity price ($/kWh) in each Electricity prices updated to 2007$ using Electricity EIA State and for four classes of commercial customers, Monthly Electricity Database for base commercial as determined from EIA data for 2003$ converted to electricity prices; and AEO2007 to convert 2006 2006$. prices to 2007 prices. Electricity Price Trends ...... Used the AEO2006 reference case to forecast future Used the AEO2007 reference case to forecast future electricity prices. electricity prices. Maintenance Costs ...... Labor and material costs associated with maintaining No change in methodology. Lamp replacement costs the commercial refrigeration equipment (e.g., clean- reflect updated engineering analysis costs and are in ing heat exchanger coils, checking refrigerant charge 2007$. levels, lamp replacement). Repair Costs ...... Labor and material costs associated with repairing or Repair costs in NOPR reflect estimates of individual replacing components that have failed. Based on a component life and cost to replace. Repair costs in- fixed percentage of baseline equipment costs. crease with increasing component costs. Equipment Lifetime ...... Age at which the commercial refrigeration equipment is Average equipment life for small grocery and conven- retired from service (estimated to be 10 years). ience stores adjusted to 15 years. Discount Rate ...... Rate at which future costs are discounted to establish Updated to 2007 version of the Damodaran website their present value to commercial refrigeration equip- with very little change to discount rates. ment users. Rebound Effect ...... A rebound effect was not taken into account in the LCC No change. analysis.

The following sections contain brief classes have significant actual engineering analysis and the use of the discussions of the methods underlying shipments (Chapter 3 of the TSD). DOE analytically derived curves versus the each input and key assumption in the carried out the LCC and PBP analyses industry-supplied curves. DOE modified LCC analysis. Where appropriate, DOE on the 15 primary equipment classes the engineering analysis, which resulted also summarizes comments on these identified earlier. DOE estimated the in a modified Level 1 baseline. See inputs and assumptions and explains MSP for each primary equipment class Section IV.B for details. how it took these comments into between the baseline efficiency level ARI stated that it would try to provide consideration. and for four to seven additional more- energy efficiency distribution data to efficient levels. Refer to Chapter 5 of the DOE, but was unable to provide that 1. Manufacturer Selling Price TSD for details. data in time for the NOPR. (Public The baseline MSP is the price charged DOE was not able to identify data on Meeting Transcript, No. 13.5 at p. 143) by manufacturers to either a wholesaler/ relative shipments for equipment EEI stated that Electric Power Research distributor or very large customer for classes by efficiency level, and DOE did Institute (EPRI) end use studies might equipment meeting existing energy use not find equivalent data in the literature provide some data that could be used to (or baseline) levels. The MSP includes or studies. DOE designated the establish distributions. (Public Meeting a markup that converts the MPC to MSP. equipment with the highest energy use Transcript, No. 13.5 at p. 141) ACEEE DOE obtained the baseline MSPs as Level 1, and selected this as the suggested that DOE check with the through industry-supplied efficiency- baseline equipment. Northwest Energy Efficiency Alliance level data supplemented with a design In the ANOPR analysis, DOE for possible energy efficiency option analysis. Refer to Chapter 5 of requested feedback on whether the distribution data. (Public Meeting the TSD for details. Level 1 baseline is valid for the LCC Transcript, No. 13.5 at p. 142) However, DOE developed MSPs for equipment analysis, and if not, what changes ARI agreed with DOE’s approach to use classes consisting of eight possible should be made to provide a more the Level 1 data established in the equipment families, two possible realistic baseline level. DOE also asked engineering analysis as the appropriate condensing unit configurations (remote whether a distribution of efficiencies baseline for DOE’s LCC analysis. DOE condensing and self-contained), and should be used to establish the baseline was able to explore some of the data three possible operating temperature for the LCC analysis. 72 FR 41193, available with the Northwest Energy ranges. Not all covered equipment 41208. DOE received comments on the Efficiency Alliance; however, the

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available data generally provides only commented that the installation costs Consumption Survey (CBECS) data to frequency of use of specific design seem low, and that it tracks installation identify the average prices the four features and not energy use. Based on costs and would provide installation kinds of businesses in this analysis paid this, DOE chose to continue to use the cost data to DOE. (Public Meeting compared with the average prices all Level 1 energy efficiency level as the Transcript, No. 13.5 at p. 133) commercial customers paid. The ratios baseline efficiency level for the LCC Separately, Zero Zone provided of prices paid by the four types of analysis. See Chapter 8 of the TSD. installation costs of $2,000 and $750, businesses to the national average commercial prices seen in the 2003 2. Increase in Selling Price respectively, for remote condensing and self-contained equipment. DOE has CBECS were used as multiplying factors The standard level MSP increase is decided to use these cost data in the to increase or decrease the average the change in MSP associated with NOPR analysis. Zero Zone also stated commercial 2006 price data previously producing equipment at lower energy that a high-efficiency case installation developed. Once the electricity prices consumption levels associated with isn’t going to cost significantly more for the four types of businesses were higher standards. DOE developed MSP than a standard case unless there are adjusted, the resulting prices were used increases associated with decreasing more controls to tune and adjust. SCE in the analysis. equipment energy consumption (or stated that if the installation cost doesn’t To obtain a weighted-average national higher efficiency) levels through a change with the equipment efficiency, electricity price, the prices paid by each combination of energy consumption then it doesn’t affect the relative life- business in each State was weighted by level and design-option analyses. See cycle cost. (Public Meeting Transcript, the estimated sales of frozen and Chapter 5 of the TSD for details. DOE No. 13.5 at p. 117) refrigerated food products, which also developed MSP increases as a function The total installed cost is the sum of serves as the distribution of commercial of equipment energy consumption for the equipment price and the installation refrigeration equipment units in each each of the 15 equipment classes. cost. DOE derived the customer State, to each prototype building. The Although the engineering analysis equipment price for any given standard State/business type weights are the produced up to 11 energy consumption level by multiplying the baseline MSP probabilities that a given commercial levels, depending on equipment class, by the baseline markup and adding to it refrigeration equipment unit shipped the LCC and PBP analyses used only up the product of the incremental MSP and will be operated with a given electricity to eight selected energy consumption the incremental markup. Because MSPs, price. For evaluation purposes, the levels. markups, and the sales tax can take on prices and weights can be depicted as a 3. Markups a variety of values depending on cumulative probability distribution. The location, the resulting total installed effective electricity prices range from As discussed earlier, overall markups approximately 5 cents per kWh to are based on one of three distribution cost for a particular standard level will not be a single-point value, but a approximately 22 cents per kWh. channels and the calculation of baseline During the ANOPR public meeting, and incremental markups. The distribution of values. See Chapter 8 of the TSD. EEI concurred with the DOE analysis distribution channels defined in the that shows grocery stores and food ANOPR were also used for the NOPR 5. Energy Consumption markets having lower electric prices analysis, but DOE modified the relative The electricity consumed by the than typical commercial facilities. (EEI, fractions of shipments through each commercial refrigeration equipment was No. 15 at p. 3) DOE continued to use the distribution channel based on same approach to develop electric stakeholder input. See Section IV.C, based on the engineering analysis estimates as described previously in prices for the NOPR analysis; however, Markups to Determine Equipment Price, DOE updated electric costs to 2007$. for details. Section IV.B. No change was made to the ANOPR methodology. The section below describes the 4. Installation Costs development and use of State-average 6. Electricity Prices electricity prices by building type; In the ANOPR, DOE derived Electricity prices are necessary to Chapter 8 of the TSD provides more installation costs for commercial detail. refrigeration equipment from data convert the electric energy savings into provided in RS Means Mechanical Cost energy cost savings. Because of the wide 7. Electricity Price Trends variation in electricity consumption Data.19 RS Means provides estimates on The electricity price trend provides patterns, wholesale costs, and retail the person-hours required to install the relative change in electricity prices rates across the country, it is important commercial refrigeration equipment and for future years to 2030. Estimating to consider regional differences in the labor rates associated with the type future electricity prices is difficult, electricity prices. DOE used average of crew required to install the especially considering that many States commercial electricity prices at the equipment. DOE developed separate are attempting to restructure the State level from the EIA Monthly installation costs for self-contained and electricity supply industry. DOE applied Electricity Database.20 The 2006 prices remote condensing equipment. DOE the AEO2007 reference case as the were then converted to 2007$ using considered the installation costs to be default scenario and extrapolated the AEO2007. fixed, independent of the cost or trend in values from 2020 to 2030 of the Different kinds of businesses typically efficiency of the equipment. Although forecast to establish prices in 2030 to use electricity in different amounts at the LCC spreadsheet allows for 2042. This method of extrapolation is in different times of the day, week, and alternative scenarios, DOE did not find line with methods the EIA uses to year, and therefore face different a basis for changing its basic premise for forecast fuel prices for the Federal effective prices. To make this the ANOPR analysis. Energy Management Program (FEMP). adjustment, DOE used the 2003 DOE received comments on the RS DOE provided a sensitivity analysis of Commercial Building Energy Means installation costs. Zero Zone the life-cycle cost savings and PBP results to future electricity price 19 RS Means Company, Inc. 2005. Mechanical 20 EIA form 826. Annual 1991 through 2006, Jan- Cost Data 28th Annual Edition. Kingston, Feb 2007. http://www.eia.doe.gov/cneaf/electricity/ scenarios using both the AEO2007 high- Massachusetts. page/data.html. Accessed May 29, 2007. growth and low-growth forecasts in

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Chapter 8 of the TSD. ACEEE suggested routine maintenance items are affected increased. Lamp replacement and other that the NOPR economic analysis be by higher efficiency fan motors and lighting maintenance activities are recalculated using AEO2008 price lighting systems. (Public Meeting required maintenance for commercial forecasts. (ACEEE, No. 16 at p. 2) Transcript, No. 13.5 at p. 136) Hill refrigeration equipment, which DOE However, the AEO2008 was not Phoenix stated that higher maintenance considered to be separate from available when DOE was completing the costs would be incurred with almost preventive maintenance, and were not NOPR analysis. DOE used the most any new technology. (Public Meeting itemized in the preventive maintenance recent AEO forecast available Transcript, No. 13.5 at p. 136) However, activities described by RS Means. (AEO2007) when it performed the LCC True Manufacturing also stated that no Different commercial refrigeration analysis for the NOPR. data exists as to whether components equipment classes have different such as energy efficient motors would numbers of lamps (and ballasts), and 8. Repair Costs have the same lifetime or costs as many of the efficiency options DOE The equipment repair cost is the cost existing components. (Public Meeting considered in the engineering analysis to the customer of replacing or repairing Transcript, No. 13.5 at p. 138) ACEEE involved changes to the lighting components in commercial refrigeration stated that it would caution against a configuration (lamp, ballast, or use of equipment that have failed. For the straight ratio of repair cost to initial LED lighting systems). Because the ANOPR analysis, DOE calculated the purchase cost; for controls this might be lighting configurations can vary by annualized repair cost for baseline appropriate, but it shouldn’t affect energy consumption level, DOE efficiency equipment using the repair costs for heat exchangers. (Public estimated the relative maintenance costs following expression: Meeting Transcript, No. 13.5 at p. 137) for lighting for each case type for which RC = k × EQP/LIFE ACEEE suggested that any measures a design-option analysis was performed. Where requiring increased repair costs be DOE estimated the frequency of failure RC = repair cost in dollars treated on a measure-by-measure basis. and replacement of individual lighting k = fraction of equipment price (estimated (ACEEE, No. 16 at p. 3) components, estimated the cost of to be 0.5) To address comments on repair costs, replacement in the field, and developed EQP = baseline equipment price in dollars, DOE contacted users and manufacturers an annualized maintenance cost based and of commercial refrigeration equipment on the sum of the total lighting LIFE = average lifetime of the equipment in to determine typical repair frequency for maintenance costs (in 2007$) over the years (estimated to be 10 years for large estimated life of the equipment divided grocery and multi-line retail chains and components used in commercial 15 years for small grocery and refrigeration equipment. Based on this by the estimated life of the equipment. convenience stores) review, DOE estimated replacement DOE based costs for fluorescent lamp and ballast replacements on a review of DOE placed replacement of lighting frequencies for five key components that appear to represent the most common the OEM costs used in the engineering components (lamps and ballasts) under analysis, RS Means estimates, cost data maintenance expenses since the typical repairs, and for which higher efficiency and more costly components were used from Grainger, Inc., and previous lamp life is known and commonly studies. DOE estimated the costs of field considered a maintenance item by in the engineering analysis for higher efficiency commercial refrigeration replacement using labor cost hours from customers of commercial refrigeration RS Means Electrical Cost Data 22 for equipment. equipment. DOE then annualized the expected costs for these components at typical lamp or ballast replacement for Because data were not available for other lighting fixtures using a 150- how repair costs vary with equipment each efficiency level and added these component costs to the baseline repair percent multiplier on OEM costs for efficiency, DOE held repair costs lamps and ballasts (provided in the constant as the default scenario for the cost estimates. This resulted in repair costs that increase with higher engineering analysis spreadsheets) to ANOPR LCC and PBP analyses. DOE reflect retail pricing. See Chapter 8 of received several comments on the use of efficiency equipment. Refer to Chapter 8 of the TSD for details. the TSD for details. constant repair costs for higher Fluorescent lamp and ballast efficiency equipment. Carrier stated that 9. Maintenance Costs technology is mature, so DOE made no while it had no data to support this, DOE estimated the annualized change in inflation-adjusted costs for higher efficiency design options—like maintenance costs for commercial these components. However, because of adding controls—could cost more to refrigeration equipment from data in RS rapid technological improvement, costs repair, and it encouraged DOE to find Means Facilities Maintenance & Repair for LED lamps are declining. DOE more accurate repair costs that would Cost Data.21 RS Means provides estimated the cost for field replacement correlate with more sophisticated estimates on the person-hours, labor of LED lighting fixtures (believed to controls. (Public Meeting Transcript, rates, and materials required to maintain occur approximately 6 years after the No. 13.5 at p. 135) Carrier felt that commercial refrigeration equipment on effective date of the standard, or 2018) making repair costs proportional was a semi-annual basis. DOE used a single at 140 percent of the OEM cost of LED better than making them flat. ARI stated figure of $160/year (2007$) for lighting fixtures (2007 MPC cost in that the assumption that repair costs are preventive maintenance for all classes of 2007$), plus installation. This estimate constant and do not vary with commercial refrigeration equipment includes installation labor and all retail equipment efficiency is incorrect. (ARI, based on data from RS Means. Because markups for replacement fixtures. This No. 18 at p. 7) Industry experience data were not available to indicate estimate of replacement LED costs was indicates that higher efficiency whether, and if so, how, maintenance based on 2007 OEM prices for LED equipment is more expensive to repair costs vary with equipment efficiency, fixtures, but with additional contractor because it uses more sophisticated and DOE held preventive maintenance costs markups for replacement fixtures more expensive components. If actual constant even as equipment efficiency similar to that used for fluorescent light cost data are not available, ARI ballasts and lamps (150 percent of OEM recommended that DOE assume the 21 RS Means Company, Inc. 2006. Means repair cost to increase as a function of Costworks 2006: Facility Maintenance & Repair 22 RS Means Company, Inc. 2005. 2005 RS Means equipment cost. True stated that many Cost Data. Kingston, Massachusetts. Electrical Cost Data. Kingston, Massachusetts.

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costs). In addition, because of the rapid Commercial refrigeration equipment Damodaran Online. DOE estimated the development of LED technology and the units are typically replaced when stores cost of debt financing from the long- projected OEM cost reductions for LED are renovated, which is before the units term Government bond rate (4.39 systems, DOE performed an LCC would have physically worn out. percent) and the standard deviation of sensitivity analysis that examined the Therefore, there is a used equipment the stock price. The cost of capital for impact of reducing the cost of the LED market for commercial refrigeration small, independent grocers; replacement fixtures in 2018 by 50 equipment. Due to the difficulty of convenience store franchisees; gasoline percent of the cost used in the base incorporating used equipment into station owner-operators; and others with analysis.23 DOE recognizes that both life grocery store display case line-ups, the more limited access to capital is more and cost estimates for LED replacement salvage value to the original purchaser difficult to determine. Individual credit- are projections and seeks comment on is very low. Therefore, the ANOPR LCC worthiness varies considerably, and how it can best estimate the price for analysis did not take the used some franchisees have access to the replacement LED fixture costs in the equipment market into account. This financial resources of the franchising LCC analysis. This is identified as Issue methodology was also maintained in the corporation. However, personal contacts 1 under ‘‘Issues on Which DOE Seeks NOPR LCC analysis. with a sample of commercial bankers Comment’’ in Section VII.E of this 11. Discount Rate yielded an estimate for the small NOPR. Chapter 8 of the TSD provides operator weighted cost of capital of details on the development of The discount rate is the rate at which about 200 to 300 basis points (2 percent maintenance costs. future expenditures are discounted to to 3 percent) above the rates for large establish their present value. DOE grocery chains. A central value equal to 10. Lifetime derived the discount rates for the LCC the weighted average of large grocery DOE defines lifetime as the age when analysis by estimating the cost of capital chains, plus 250 basis points (2.5 a commercial refrigeration equipment for companies that purchase commercial percent), was used for small operators. unit is retired from service. In its refrigeration equipment. The cost of Deducting expected inflation from the ANOPR analysis, DOE based equipment capital is commonly used to estimate cost of capital provides the estimates of lifetime on discussions with industry the present value of cash flows to be the real discount rate by ownership experts and other stakeholders, as well derived from a typical company project category. The average after-tax discount as a review of estimates in the subject or investment. Most companies use both rate, weighted by the percentage shares literature. DOE concluded that a typical debt and equity capital to fund of total purchases of commercial investments, so their cost of capital is lifetime of 10 years is appropriate for refrigeration equipment, is 5.87 percent the weighted average of the cost to the commercial refrigeration equipment. In for large grocery stores, 5.11 percent for commenting on the ANOPR analysis, company of equity and debt financing. DOE estimated the cost of equity multi-line retailers, and 8.37 percent for ARI stated that, on average, equipment financing by using the Capital Asset convenience stores and convenience lifetime is approximately 10 years. ARI Pricing Model (CAPM). The CAPM, stores associated with gasoline stations. noted, however, that properly installed among the most widely used models to DOE received no comments on the and maintained equipment typically has estimate the cost of equity financing, discount rates developed in the ANOPR a useful life longer than end-use considers the cost of equity to be but took advantage of the availability of customers retain it due to retail store proportional to the amount of 2007 financial data to update the customer business models and systematic risk associated with a discount rate assumptions in the NOPR. competitive demands to upgrade and company. The cost of equity financing See Chapter 8 of the TSD. remodel stores. (ARI, No. 18 at p. 5) tends to be high when a company faces Zero Zone stated that door cases may be 12. Payback Period a large degree of systematic risk, and it changed in store remodels every 10 tends to be low when the company faces The PBP is the amount of time it takes years at larger chains, but small a small degree of systematic risk. the customer to recover the independent chains will use cases for 20 To estimate the weighted average cost incrementally higher purchase cost of years. (Zero Zone, No. 17 at p. 4) True of capital (WACC) (including the more energy efficient equipment as a stated that most self-contained weighted average cost of debt and equity result of lower operating costs. equipment has a life expectancy of 7 to financing) of commercial refrigeration Numerically, the PBP is the ratio of the 12 years, although it regularly services equipment purchasers, DOE used a increase in purchase cost (i.e., from a equipment that is 25 years old. (Public sample of companies involved in less efficient design to a more efficient Meeting Transcript, No. 13.5 at p. 98) grocery and multi-line retailing drawn design) to the decrease in annual For the NOPR analysis, DOE used an from a database of 7,319 U.S. companies operating expenditures. This type of average life of 10 years for large grocery on the Damodaran Online website. The calculation is known as a ‘‘simple’’ PBP, and multi-line retailers, but modified WACC approach taken to determine because it does not take into account the lifetime in the LCC analysis to use discount rates takes into account the changes in operating cost over time or a longer average 15-year life for the current tax status of the individual firms the time value of money, that is, the small grocery and convenience store on an overall corporate basis. DOE did calculation is done at an effective business types, consistent with not evaluate the marginal effects of discount rate of zero percent. stakeholder comments and equipment increased costs (and thus depreciation The equation for PBP is: life estimates from industry experts due to higher cost equipment on the PBP = DIC/DOC regarding smaller stores and overall tax status). independent grocers and chains. See DOE used a sample of 17 companies Where Chapter 3 of the TSD for more detail. to represent the purchasers of PBP = payback period in years, DIC = difference in the total installed cost commercial refrigeration equipment. For between the more efficient standard level 23 DOE anticipates a reduction in installed cost of each company in the sample, DOE LED systems over time. The projected reduction in equipment (energy consumption levels 2, price for LED systems is provided and discussed in derived the cost of debt, percent debt 3, etc.) and the baseline (energy Sections V.C and IV.B.3.c of this NOPR and financing, and systematic company risk consumption level 1) equipment, and Appendix B of the TSD. from information provided by DOC = difference in annual operating costs.

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The data inputs to the PBP analysis forecasts of shipments for the base case shipments model incorporating these are the total installed cost of the and standards cases and includes those factors. equipment to the customer for each forecasts in the NES spreadsheet. The DOE formulated the equations used in energy consumption level and the shipments portion of the spreadsheet the analysis as updates of the annual (first-year) operating costs for forecasts shipments of commercial distribution of stock in any given year, each energy consumption level. The refrigeration equipment from 2012 to as a function of age, to the following inputs to the total installed cost are the 2042. DOE developed shipments year using the following steps: equipment price and the installation forecasts for the 15 primary equipment 1. DOE first converted the equipment cost. The inputs to the operating costs classes by accounting for the shipments units to linear feet of display space are the annual energy cost, the annual to replace the existing stock of cooled by those units by taking the repair cost, and the annual maintenance commercial refrigeration equipment, national statistics on sales of equipment cost. The PBP uses the same inputs as commercial refrigeration shipments into and calculating equipment capacity per the LCC analysis, except that electricity new commercial floor spaces, and old linear foot of retail grocery building price trends and discount rates are not equipment removed through display space. required. Since the PBP is a ‘‘simple’’ demolitions. Chapter 10 of the TSD 2. DOE used this calculation of (undiscounted) payback, the required provides additional details on the existing stock, and the average age of the electricity cost is only for the year in shipments forecasts. equipment, as a basis for calculating which a new energy conservation The results of the shipments analysis replacement sales. standard is to take effect—in this case, are driven primarily by historical 3. DOE subtracted replacement sales 2012. The electricity price used in the shipments data for the 15 equipment from historical total sales statistics to PBP calculation of electricity cost was classes of commercial refrigeration calculate new sales of commercial the price projected for 2012, expressed equipment, DOE estimates of average refrigeration equipment. in 2007$, but not discounted to 2007. equipment life, relative shipment 4. DOE forecasted new sales as a Discount rates are not used in the PBP estimates to each of the four business function of new construction of retail calculation. types, the existing total floor space in food sales space. PBP is one of the economic indicators food sales buildings, and the anticipated 5. DOE recorded sales of new and that DOE uses when assessing economic growth in food sales floor space replacement equipment by the year impact to a customer. PBP does not take estimated in EIA’s NEMS. The model sold, and depreciated each annual into account the time value of money estimates that, in each year, the existing vintage over the estimated life of the explicitly (e.g., through a discount stock of commercial refrigeration equipment. factor), the life of the efficiency equipment either ages by one year or is 6. DOE allocated sales in each year to measure, or changing fuel costs over worn out and replaced. In addition, new the 15 equipment classes in proportion time. In addition, because PBP takes equipment can be shipped into new to their relative historical sales. into account the cumulative energy and commercial floor space, and old In response to DOE’s presentation of first-cost impact of a set of efficiency equipment can be removed through the ANOPR shipment analysis, the measures, it can be sensitive to the demolitions. DOE chose to preserve the public made two primary comments. baseline level assumed. In addition, capability to analyze all efficiency levels True stated that while food sales what is deemed an acceptable payback analyzed in the LCC in the NIA. buildings are probably representative of period can vary. By contrast, when The shipments analysis is a remote condensing equipment, as much examining LCC savings by efficiency description of commercial refrigeration as 25 percent of the self-contained levels, there is generally a maximum equipment stock flows as a function of market goes into unusual conditions, LCC savings point (minimum LCC year and age. While there are 15 but that the majority does end up in efficiency level) indicative of maximum equipment classes, the shipment some sort of food-sales type application. economic benefit to the customer. The analysis treats each category of (Public Meeting Transcript, No. 13.5 at selection of the baseline efficiency level equipment independently such that p. 165) However, in a follow-up does not affect the identification of the future shipments in any one class are conversation, True agreed that for self- minimum LCC efficiency level, although unaffected by shipments in any other contained equipment without doors, a baseline efficiency is used when equipment classes and the relative which is the majority of the self- calculating net LCC savings or costs. fraction of shipments in each product contained equipment covered in this DOE considers both LCC and PBP as class compared to all commercial rulemaking, the amount of equipment related to the seven factors discussed in refrigeration equipment shipments is not shipped to food sales buildings Section II.B to determine whether a assumed to be constant over time. DOE represents a very small fraction of the standard is economically justified and recognizes that a retailer of refrigerated total market. DOE concluded that it was whether the benefits of an energy or frozen food can choose to use therefore unnecessary to include other conservation standard will exceed its different classes of commercial business types or building categories for burdens to the greatest extent refrigeration equipment to sell the same the analysis of self-contained equipment practicable. However, because LCC uses food product as long as the equipment to be valid and representative. an explicit discount rate, takes into is in the required temperature range (i.e. Other stakeholders commented on the account changing energy prices, and refrigerator, freezer, or ice-cream assumption of zero shipments in the does not require selection of a baseline temperature range). The decision to ANOPR for the VOP.RC.L equipment efficiency level, it is considered by DOE adopt one equipment class over another class based on the submitted ARI to be a better indicator of the likely within the same temperature range will shipment data. (Public Meeting economic impacts on consumers. depend on first costs, operating costs, Transcript, No. 13.5 at p. 164) ARI, in and the perceived ability to turn, stated that zero values in its data F. Shipments Analysis merchandise product. In addition, submittal to DOE may represent an One of the more important relative sales refrigerated versus frozen equipment class where only one or two components of any estimate of the foods could change in the future. manufacturers have shipments. These future impact of a standard is However, DOE had no information with data were excluded to maintain equipment shipments. DOE developed which to develop and calibrate a confidentiality. (Public Meeting

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Transcript, No. 13.5 at p. 52) To address per unit, the more the used equipment calculated NPV. For the NOPR analysis, these issues, DOE estimated the market thrives. True stated that this is DOE did not assume an initial decrease shipments for the VOP.RC.L equipment very significant in the restaurant in sales and life extension for class at five percent of the similarly industry, where studies suggest that 90 commercial refrigeration equipment designed VOP.RC.M equipment class percent of all new non-chain restaurants covered in this rulemaking. based on information provided in fail within the first year. Most of these Table IV–14 shows the results of the manufacturer interviews. businesses are buying used equipment. shipments analysis for the 15 Finally, DOE received comments on (Public Meeting Transcript, No. 13.5 at commercial refrigeration equipment the impact of the used equipment p. 202–207) EEI suggested that, if classes for the base case (baseline market on shipments in the presence of possible, DOE should investigate the use efficiency level or Level 1). As new equipment standards. True stated of used versus new equipment in equipment purchase price increases that DOE should consider how long restaurants, and make sure that new with higher efficiency levels, a drop in existing low-efficiency equipment will standards do not increase the purchase shipments can be expected relative to be in service. (Public Meeting of older, less efficient equipment. (EEI, the base case. However, as annual Transcript, No. 13.5 at p. 98) As you No. 15 at p. 2) energy consumption is reduced, there is drive the cost higher, the life expectancy Follow-up conversations with True potentially a countering effect of of existing equipment increases. ACEEE lead DOE to believe that it is increased equipment sales due to more countered, however, that the issue of unnecessary to take the restaurant frequent installations and use of used equipment has come up in other business type into account since it is not commercial refrigeration equipment by rulemakings. Customers may use a large market for the equipment retailers (a potential rebound effect). existing equipment longer, but the covered under this rulemaking. DOE Although there is a provision in the average was only one or two years more, determined that it would not try to spreadsheet for a change in projected which has a small impact on the energy account for life extension in the NIA. shipments in response to efficiency savings projected through 2042. It may While DOE recognizes that there may be level increases (or energy consumption be more of a factor in the manufacturer some initial life extension for existing level decreases), DOE has no impact analysis, because that could markets for some customers, no data are information with which to calibrate affect sales in at least the first year. available to forecast the frequency and such a relationship. No such data was (Public Meeting Transcript, No. 13.5 at amount of life extension that might provided in comments on the ANOPR p. 102) occur within the industry. DOE agrees analysis. Therefore, for the NOPR True stated that the used equipment with ACEEE that this would result in a analysis, DOE assumed that the overall market is often ignored. As you drive relatively small impact on energy shipments do not change in response to costs of capital up, you drive the need savings and, given that it would also the changing TSLs. Additional details for low-end users to buy used reduce expenditures for new equipment, on the shipments analysis can be found equipment and that the higher the cost would have an even smaller impact on in Chapter 10 of the TSD.

TABLE IV–14—FORECASTED SHIPMENTS FOR COMMERCIAL REFRIGERATION EQUIPMENT, 2012–2042, (BASE CASE)

Thousands of linear feet shipped by year and equipment class Equipment class 2012 2015 2020 2025 2030 2035 2040 2042 Cumulative

VOP.RC.M ...... 451 436 451 464 497 531 582 604 15,270 VOP.RC.L ...... 23 22 23 23 25 27 29 30 763 VOP.SC.M ...... 30 29 30 31 33 36 39 41 1,027 VCT.RC.M ...... 32 31 32 33 35 38 42 43 1,091 VCT.RC.L ...... 448 433 448 461 494 527 578 600 15,167 VCT.SC.I ...... 11 11 11 11 12 13 14 15 374 VCS.SC.I ...... 3 3 3 3 3 3 4 4 93 SVO.RC.M ...... 344 332 344 354 379 405 444 460 11,647 SVO.SC.M ...... 45 44 45 47 50 53 59 61 1,537 SOC.RC.M ...... 87 84 87 89 96 102 112 116 2,936 HZO.RC.M ...... 53 51 53 54 58 62 68 71 1,790 HZO.RC.L ...... 166 161 166 171 183 196 214 222 5,627 HZO.SC.M ...... 4 4 4 4 4 5 5 5 132 HZO.SC.L ...... 8 8 8 8 9 10 10 11 274 HCT.SC.I ...... 36 35 36 37 39 42 46 48 1,214

G. National Impact Analysis an Excel spreadsheet model to calculate DOE provides during the rulemaking The NIA assesses future NES and the the energy savings and the national help explain the models and how to use national economic impacts of different economic costs and savings from new them, and interested persons can review efficiency levels. The analysis measures standards. Excel is the most widely used DOE’s analyses by changing various economic impacts using the NPV metric spreadsheet calculation tool in the input quantities within the spreadsheet. (i.e., future amounts discounted to the United States and there is general Unlike the LCC analysis, the NES present) of total commercial customer familiarity with its basic features. Thus, spreadsheet does not use distributions costs and savings expected to result DOE’s use of Excel as the basis for the for inputs or outputs. DOE examined from new standards at specific spreadsheet models provides interested sensitivities by applying different efficiency levels. persons with access to the models scenarios. DOE used the NES To make the analysis more accessible within a familiar context. In addition, spreadsheet to perform calculations of and transparent to the public, DOE used the TSD and other documentation that national energy savings and NPV using

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the annual energy consumption and and cumulative values for all four average values as calculated in the LCC total installed cost data from the LCC output parameters. and payback period spreadsheet. analysis and estimates of national DOE calculated the NES by However, these results are normalized shipments for each of the 15 primary subtracting energy use under a on a per-unit-length basis by equipment commercial refrigeration equipment standards scenario from energy use in a class and applied to the total annual classes. DOE forecasted the energy base case (no new standards) scenario. estimated shipments in terms of line-up savings, energy cost savings, equipment Energy use is reduced when a unit of length of all equipment with the class. costs, and NPV of benefits for all commercial refrigeration equipment in Table IV–15 shows key inputs to the primary commercial refrigeration the base case efficiency distribution is NIA. Chapter 11 of the TSD provides replaced by a more efficient piece of equipment classes from 2012 through additional information about the NES equipment. Energy savings for each 2062. The forecasts provided annual spreadsheet. equipment class are the same national

TABLE IV–15—SUMMARY OF NATIONAL ENERGY SAVINGS AND NET PRESENT VALUE INPUTS

Input data Description Changes for NOPR

Shipments ...... Annual shipments from shipments model (Chapter 10, Shipments model modified to use a distribution of Shipments Analysis). equipment lifetimes based on a 10-year average life in large grocery and multi-line retail, and a 15-year average life in small grocery and convenience stores. Estimates for shipments for the VOP.RC.L equipment class were added and are provided. Effective Date of Standard ... 2012 ...... No change. Base Case Efficiencies ...... Distribution of base case shipments by efficiency level No change in methodology to derive base case ship- ments by efficiency level. Standards Case Efficiencies Distribution of shipments by efficiency level for each No change in methodology to derive shipments by effi- standards case. Standards case annual market ciency level in each standards case. shares by efficiency level remain constant over time for the base case and each standards case. Annual Energy Consumption Annual weighted-average values are a function of en- No change in methodology. Energy consumption esti- per Linear Foot. ergy consumption level, which are established in the mates reflect updates to NOPR engineering analysis. engineering analysis (Chapter 5 of the TSD). Con- verted to a per linear foot basis. Total Installed Cost per Lin- Annual weighted-average values are a function of en- No change in methodology. Installed costs reflect up- ear Foot. ergy consumption level (Chapter 8 of the TSD). Con- dates to NOPR LCC. verted to a per linear foot basis. Repair Cost per Linear Foot Annual weighted-average values are constant with en- No change in methodology. Repair costs reflected up- ergy consumption level (Chapter 8 of the TSD). Con- dates to NOPR LCC. verted to a per linear foot basis. Maintenance Cost per Linear Annual weighted-average value equals $156 (Chapter 8 No change in methodology, but annual weighted-aver- Foot. of the TSD), plus lighting maintenance cost. Con- age value updated to $160 in 2007$. verted to a per linear foot basis. Escalation of Electricity EIA AEO2006 forecasts (to 2030) and extrapolation for EIA AEO2007 forecasts (to 2030) and extrapolation for Prices. beyond 2030 (Chapter 8 of the TSD). beyond 2030 (Chapter 8 of the TSD). Electricity Site-to-Source Conversion varies yearly and is generated by DOE/ Conversion factor varies yearly and is generated by Conversion. EIA’s NEMS* program (a time series conversion fac- EIA’s NEMS model. Includes the impact of electric tor; includes electric generation, transmission, and generation, transmission, and distribution losses. distribution losses). Discount Rate ...... 3 and 7 percent real ...... No change. Present Year ...... Future costs are discounted to year 2007 ...... Future costs are discounted to year 2008. Rebound Effect ...... A rebound effect (due to changes in shipments result- No change. ing from standards) was not considered in the NIA.

1. Base Case and Standards Case The annual per-unit energy shares by efficiency level for Forecasted Efficiencies consumption is the site energy commercial refrigeration based on its consumed by a commercial refrigeration own analysis. DOE first converted 2005 A key component of DOE’s estimates equipment unit per year. The annual shipment information by equipment of NES and NPV are the energy energy consumption is directly tied to class into market shares by equipment efficiencies for shipped equipment that the efficiency of the unit. Thus, class, and then adapted a cost-based it forecasts over time for the base case knowing the efficiency of a commercial method similar to that used in the (without new standards) and for each refrigeration equipment unit determines NEMS to estimate market shares for standards case. The forecasted the corresponding annual energy each equipment class by efficiency efficiencies represent the distribution of consumption. DOE determined annual level. This cost-based method relied on energy efficiency of the equipment forecasted market shares by efficiency cost data developed in the engineering under consideration that is shipped over level that, in turn, enabled and life-cycle cost analyses, as well as the forecast period (i.e., from the determination of shipment-weighted economic purchase criteria data taken assumed effective date of a new annual energy consumption values. directly from NEMS. From those market standard to 30 years after the standard Because no data were available on shares and projections of shipments by becomes effective). market shares broken down by equipment class, DOE developed the efficiency level, DOE determined market future efficiency scenarios for a base

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case (i.e., without new standards) and effective. Information available to DOE associated with the equipment stock, for various standards cases (i.e., with suggests that equipment shipments with and the total installed costs associated new standards). DOE did not have data efficiencies in the base case that did not with new shipments in each year based to calibrate this approach to actual meet the standard level under on the standards scenario and market shipments by efficiency level. consideration would roll up to meet the associated distribution of shipments by DOE requested comment on this new standard level, and that all efficiency level. approach to generating market shares by equipment efficiencies in the base case 3. Escalation of Electricity Prices efficiency level in the ANOPR. that were above the standard level Commenting on the distribution of under consideration would not be DOE uses the most recent AEO market efficiency, ARI stated that affected. Emerson commented that a reference case to forecast energy prices experience with other equipment tells standard brings some compression in for standard rulemakings. For the us that the majority of the shipments are the distribution of efficiencies. (Public ANOPR, DOE used the AEO2006 usually at the lower end of the curve of Meeting Transcript, No. 13.5 at p. 175) reference case forecasts to estimate the highest efficiency. ARI was However, ARI stated the roll-up future electricity prices. ACEEE surprised that DOE had only 25 percent scenario best represents what is likely to commented that it would like DOE to or 30 percent of the shipments at that happen when energy conservation use the AEO2008 forecasts for the NOPR efficiency level. They also cautioned standards take effect. (ARI, No. 18 at p. analysis. (ACEEE, No. 16 at p. 2) DOE that the industry-supplied curves 5) DOE continued to use the roll-up However, this forecast was not available are cost curves and do not mean that scenario for the NOPR analysis. when DOE completed the NOPR such equipment is on the market today. Finally, DOE recognizes that baseline analysis. DOE used the AEO2007 As Section IV.E, Life-Cycle Cost, efficiency trends can change if reference case forecasts for future discusses, ARI offered to try to provide equipment costs are different than those electricity prices, extended out to the data on the distribution of efficiencies projected. For example, if LED prices end of the analysis period. DOE in current equipment but was not able drop more than assumed in the extrapolated the trend in values from to do so. (Public Meeting Transcript, No. engineering analysis, consumer demand 2020 to 2030 of the forecast to establish 13.5 at p. 143) Other stakeholders, such for equipment with LEDs could change. prices for the remainder of the analysis as EEI and ACEEE, suggested possible DOE seeks comment on whether period. DOE intends to update its avenues that DOE could examine but shipments of equipment with LEDs analysis for the final rule to reflect the did not have data DOE could use to would change if LED costs drop and if AEO 2008 electricity price forecasts establish a distribution of efficiencies. so, the extent and timing of such when final versions of these price (Public Meeting Transcript, No. 13.5 at shipment changes. See Section VII.E.1. forecasts are available. An AEO Revised p. 141–142; p. 173) Because of the lack Early Release for the AEO 2008 2. Annual Energy Consumption, Total of data on market shipments by reference case only has indicated that Installed Cost, Maintenance Cost, and efficiency level, DOE chose to continue the reference case electricity prices are Repair Costs to use the ANOPR approach to estimate higher in real (inflation adjusted) terms shipments by efficiency level. The difference in shipments by and if this holds true in the final release DOE developed base case efficiency equipment efficiency level between the it would generally result in more forecasts based on the estimated market base and standards cases was the basis favorable economics for higher shares by equipment class and for determining the reduction in per- efficiency standard levels (i.e. shorter efficiency level. Because there are no unit annual energy consumption that payback periods, greater life-cycle cost historical data to indicate how could result from new standards. The savings, and greater national net present equipment efficiencies or relative commercial refrigeration equipment value). equipment class preferences have stock in a given year is the total linear 4. Electricity Site-to-Source Conversion changed over time, DOE predicted that footage of commercial refrigeration forecasted market shares would remain equipment shipped from earlier years The site-to-source conversion factor is frozen at the 2012 efficiency level until that survive in the given year. The NES a multiplier used for converting site the end of the forecast period (30 years spreadsheet model keeps track of the energy consumption, expressed in kWh, after the effective date, 2042). DOE total linear footage of commercial into primary or source energy requested comments on this refrigeration equipment units shipped consumption, expressed in quadrillion assumption. each year and estimates the total Btu (quads). The site-to-source Copeland commented that since DOE commercial refrigeration equipment conversion factor accounts for losses in plans to update the forecast in five stock for each year. The annual energy electricity generation, transmission, and years, no one can really figure out what consumption by efficiency level for each distribution. For the ANOPR, DOE used that distribution of efficiency in the equipment category comes from the LCC site-to-source conversion factors based future looks like. (Public Meeting analysis and is converted to a per-linear- on U.S. average values for the Transcript, No. 13.5 at p. 175) EEI foot basis by dividing by the length of commercial sector, calculated from suggested DOE make further contacts the specific equipment analyzed in the AEO2006, Table A5. The average with national accounts that use engineering analysis. Similarly, the total conversion factors vary over time, due commercial refrigeration equipment. No installed cost, maintenance cost, and to projected changes in electricity suggestions for improving this repair costs for each efficiency level for generation sources (i.e., the power plant assumption were received. For the each equipment class analyzed in the types projected to provide electricity to NOPR, DOE continued to use the LCC are converted to a per linear foot the country). For the NOPR, DOE assumption of flat market shares by basis. Using the total estimated developed marginal site-source efficiency level for the forecast period. shipments and total estimated stock by conversion factors that relate the For its determination of standards equipment category and efficiency level, national electrical energy savings at the case forecasted efficiencies, DOE used a DOE calculates the annual energy point of use to the fuel savings at the ‘‘roll-up’’ scenario to establish the consumption for the commercial power plant. These factors use the market shares by efficiency level for refrigeration equipment stock in each NEMS model and the examination of 2012, the year that standards become year, the maintenance and repair costs the corresponding energy savings from

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standards scenarios considered in DOE’s DOE determined the impact on this information developed in Phase 1, DOE utility analysis (Chapter 14 of the TSD). commercial refrigeration equipment adapted the GRIM’s generic structure to The conversion factors vary over time, customer sub-group using the LCC perform an analysis of commercial due to projected changes in electricity spreadsheet model. DOE conducted the refrigeration equipment energy generation sources (i.e., the power plant LCC and PBP analyses for commercial conservation standards. In Phase 3, Sub- types projected to provide electricity to refrigeration equipment customers. The Group Impact Analysis, DOE conducted the country) and power plant dispatch standard LCC and PBP analyses interviews with manufacturers scenarios. Average U.S. conversion (described in Section IV.E) includes representing the majority of domestic factors were used in the ANOPR various types of businesses that use commercial refrigeration equipment because the utility analysis which is commercial refrigeration equipment. sales. This group included large and used to determine marginal conversion The LCC spreadsheet model allows for small manufacturers, providing a factors appropriate to efficiency the identification of one or more sub- representative cross-section of the standards for commercial refrigeration groups of businesses, which can then be industry. During these interviews, DOE equipment occurs in the NOPR stage of analyzed by sampling only each such discussed engineering, manufacturing, DOE’s analysis. sub-group. The results of DOE’s LCC procurement, and financial topics To estimate NPV, DOE calculated the sub-group analysis are summarized in specific to each company and obtained net impact each year as the difference Section V.B.1.c and described in detail each manufacturer’s view of the between total operating cost savings in Chapter 12 of the TSD. industry. The interviews provided valuable information DOE used to (including electricity, repair, and I. Manufacturer Impact Analysis maintenance cost savings) and increases evaluate the impacts of an energy in total installed costs (including MSP, 1. Overview conservation standard on manufacturer cash flows, manufacturing capacities, sales taxes, distribution channel DOE performed an MIA to estimate and employment levels. For more detail markups, and installation cost). DOE the financial impact of energy on the manufacturer impact analysis, calculated the NPV of each TSL over the conservation standards on refer to Chapter 13 of the TSD. life of the equipment using three steps. manufacturers of commercial First, DOE determined the difference refrigeration equipment, and to assess a. Phase 1, Industry Profile between the equipment costs under the the impact of such standards on In Phase 1 of the MIA, DOE prepared TSL and the base case to calculate the employment and manufacturing a profile of the commercial refrigeration net equipment cost increase resulting capacity. The MIA has both quantitative equipment industry based on the market from the TSL. Second, DOE determined and qualitative aspects. The quantitative and technology assessment prepared for the difference between the base case part of the MIA relies on the GRIM, an this rulemaking. Before initiating the operating costs and the TSL operating industry-cash-flow model customized detailed impact studies, DOE collected costs to calculate the net operating cost for this rulemaking. The GRIM inputs information on the present and past savings from the TSL. Third, DOE are information regarding the industry structure and market characteristics of determined the difference between the cost structure, shipments, and revenues. the commercial refrigeration equipment net operating cost savings and the net This includes information from many of industry. The information DOE equipment cost increase to calculate the the analyses described above, such as collected at that time included market net savings (or expense) for each year. manufacturing costs and prices from the share, equipment shipments, markups, DOE then discounted the annual net engineering analysis and shipments and cost structure for various savings (or expenses) for commercial forecasts. The key GRIM output is the manufacturers. The industry profile refrigeration equipment purchased on or industry net present value (INPV). The includes further detail on equipment after 2012 to 2008, and summed the model estimates the financial impact of characteristics, estimated manufacturer discounted values to determine the NPV energy conservation standards by market shares, the financial situation of of a TSL. An NPV greater than zero comparing changes in INPV between the manufacturers, trends in the number of shows net savings (i.e., the TSL would base case and the various trial standard firms, the market, and equipment reduce overall customer expenditures levels. Different sets of assumptions characteristics of the commercial relative to the base case in present value (scenarios) will produce different refrigeration equipment industry. terms). An NPV less than zero indicates results. The qualitative part of the MIA The industry profile included a top- that the TSL would result in a net addresses factors such as equipment down cost analysis of commercial increase in customer expenditures in characteristics, characteristics of refrigeration equipment manufacturers present value terms. particular firms, and market and that DOE used to derive cost and H. Life-Cycle Cost Sub-Group Analysis equipment trends, and includes preliminary financial inputs for the assessment of the impacts of standards GRIM (e.g., revenues; material, labor, In analyzing the potential impact of on sub-groups of manufacturers. overhead, and depreciation expenses; new or amended standards on Chapter 13 of the TSD outlines the selling, general, and administrative commercial customers, DOE evaluates complete MIA. expenses (SG&A); and research and the impact on identifiable groups (i.e., DOE conducted the MIA for development (R&D) expenses). DOE also sub-groups) of customers, such as commercial refrigeration equipment in used public sources of information to different types of businesses that may be three phases. Phase 1, Industry Profile, further calibrate its initial disproportionately affected by a consisted of preparing an industry characterization of the industry, National standard level. For this characterization, including data on including U.S. Securities and Exchange rulemaking, DOE identified market share, sales volumes and trends, Commission (SEC) 10–K reports, independent small grocery and pricing, employment, and financial Standard & Poor’s (S&P) stock reports, convenience stores as a commercial structure. Phase 2, Industry Cash Flow and corporate annual reports. refrigeration equipment customer sub- Analysis, focused on the industry as a group that could be disproportionately whole. In this phase, DOE used the b. Phase 2, Industry Cash-Flow Analysis affected, and examined the impact of GRIM to prepare an industry cash-flow Phase 2 of the MIA focused on the proposed standards on this group. analysis. Using publicly available financial impacts of energy conservation

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standards on the industry. Higher GRIM models changes in costs, its price range. For some manufacturers, energy conservation standards can affect distribution of shipments, investments, self-contained equipment represents a manufacturer’s cash flow in three and associated margins that would only a small portion of their business. distinct ways, resulting in: (1) A need result from new regulatory conditions These manufacturers make more remote for increased investment; (2) higher (in this case, standard levels). The GRIM condensing equipment and simply production costs per unit; and (3) spreadsheet uses a number of inputs to convert the design into self-contained altered revenue by virtue of higher per- arrive at a series of annual cash flows, units. Second, some manufacturers unit prices and changes in sales values. beginning with the base year of the stated that they could not meet To quantify these impacts in Phase 2 of analysis, 2007, and continuing to 2042. efficiency levels 3 and 4 for medium- the MIA, DOE used the GRIM to perform DOE calculated INPVs by summing the temperature equipment (e.g., SOC.RC.M, a cash-flow analysis of commercial stream of annual discounted cash flows VCT.RC.M, VOP.RC.M), and that they refrigeration equipment manufacturers. during this period. would need advances in technology to In performing these analyses, DOE used DOE used the GRIM to calculate cash achieve these levels by 2012. One the financial values derived during flows using standard accounting manufacturer stated that it does not Phase 1 and the shipment scenarios principles and compare changes in manufacture any equipment in the used in the NES analyses. INPV between a base case and different VOP.RC.M equipment class that meets TSLs (the standards cases). Essentially, DOE’s baseline level. c. Phase 3, Sub-Group Impact Analysis the difference in INPV between the base • Customer Needs. Manufacturers are Using average cost assumptions to case and a standards case represents the concerned that increased equipment develop an industry-cash-flow estimate financial impact of the energy efficiency will come at the expense of is not adequate for assessing differential conservation standards on equipment functionality, utility, and impacts among sub-groups of manufacturers. DOE collected this customizability. The commercial manufacturers. For example, small information from a number of sources, refrigeration equipment industry is manufacturers, niche equipment including publicly available data and focused on customers’ need to sell manufacturers, or manufacturers interviews with manufacturers (Chapter products, and customers place a higher exhibiting a cost structure that largely 13 of the TSD). priority on marketing and displaying differs from the industry average could their goods than they do on energy 3. Manufacturer Interviews be more negatively affected. DOE used efficiency. Customers demand high the results of the industry As part of the MIA, DOE discussed levels of customization to differentiate characterization analysis (in Phase 1) to potential impacts of energy conservation themselves from other retail stores. group manufacturers that exhibit similar standards with manufacturers They do not want to lose any characteristics. responsible for a majority of commercial functionality or utility in their During the interview process, DOE refrigeration equipment sales. The equipment, such as display area, that discussed the potential sub-groups and manufacturers interviewed manufacture affects their ability to sell products. sub-group members it identified for the close to 90 percent of the commercial Often, the desire of customers for easy analysis. DOE encouraged the refrigeration equipment on the market. product access requires equipment that manufacturers to recommend sub- These interviews were in addition to is less energy efficient. They also do not groups or characteristics that are those DOE conducted as part of the want to lose any flexibility in design appropriate for the sub-group analysis. engineering analysis. The interviews choices, such as lighting options. For DOE identified small commercial provided valuable information that DOE example, some customers specify refrigeration equipment manufacturers used to evaluate the impacts of energy certain lighting configurations (e.g., as a potential manufacturing sub-group. conservation standards on color rendering, color temperature, light DOE found that small business manufacturers’ cash flows, distribution) to maximize the sale of manufacturers generally have the same manufacturing capacities, and products such as fresh meat, produce, or concerns as large manufacturers employment levels. dairy. Manufacturers believe that setting regarding energy conservation standards at the maximum level will a. Key Issues standards. In addition, DOE found no affect their customers’ ability to significant differences in the R&D Manufacturers identified the merchandise products by limiting the emphasis or marketing strategies following key issues for DOE to consider flexibility to choose from among between small business manufacturers in developing energy conservation different designs, which they expect and large manufacturers. Therefore, for standards: would commoditize the industry and the equipment classes comprised • Meeting Standards. Manufacturers lead to reduced profit margins. Having primarily of small business expressed concern that they would have some allowance in the efficiency manufacturers, DOE believes the GRIM difficulty meeting certain efficiency thresholds would allow tradeoffs in analysis, which models each equipment levels for certain equipment classes. design selection that would ease the class separately, is representative of the First, some manufacturers stated that reconciliation of energy savings with the small business manufacturers affected they could not meet or would have ability to sell products. by standards. extreme difficulty meeting any of the • Customer Awareness. possible efficiency levels presented Manufacturers expressed concern that 2. Government Regulatory Impact Model during interviews for self-contained their retail customers are not Analysis equipment (e.g., horizontal open units). sufficiently aware of pending energy As mentioned above, DOE uses the One manufacturer stated that due to the conservation standards and the impacts GRIM to quantify changes in cash flow small number of parts in the self- these standards may have on their that result in a higher or lower industry contained equipment, efficiency purchasing decisions. The supermarket value. The GRIM analysis uses a improvements are constrained to these industry is a low-margin industry, standard annual cash-flow analysis that parts and are therefore limited. The which places much emphasis on low- incorporates manufacturer prices, same manufacturer stated that it already first-cost equipment. Manufacturers manufacturing costs, shipments, and implements the most efficient options believe that many customers may not be industry financial information. The on the market that are available within able to handle an increase in equipment

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price effectively since they operate with low-volume equipment that cannot meet 4. Government Regulatory Impact Model a fixed budget, or a fixed amount of energy conservation standards may be Key Inputs and Scenarios capital available for purchasing discontinued because the cost to a. Base Case Shipments Forecast commercial refrigeration equipment. increase the efficiency will not be worth Manufacturers stated that customers the benefit gained. Manufacturers also The GRIM estimates manufacturer with a fixed capital budget would tend expressed concern regarding secondary revenues based on total unit shipment to extend refurbishment periods and cut coolant systems, which may provide a forecasts and the distribution of these back on equipment growth to deal with loophole. Manufacturers estimate that values by efficiency level. Changes in the increase in price of higher efficiency secondary coolant systems represent the efficiency mix at each standard level equipment, which manufacturers say about 10 percent of the market currently are a key driver of manufacturer will reduce annual sales of commercial and consume about five percent more finances. For this analysis, the GRIM refrigeration equipment. Manufacturers energy than their direct expansion used the NES shipments forecasts from expect that smaller stores and even equivalent. Some manufacturers stated 2007 to 2042. Total shipments small regional chains will feel that customers might purchase these significant financial pressure when forecasted by the NES for the base case lower efficiency secondary coolant in 2012 are shown in Table IV–16 and faced with the increase in prices. Single systems instead of the direct expansion family-owned stores and local stores in further discussed in this section of equipment that are subject to standards. today’s Notice. large cities may have no capital budget This concerns manufacturers since it with which to replace existing cases would defeat the purpose of regulatory TABLE IV–16—TOTAL NES-FORE- with cases that are 30 percent to 50 action. CASTED SHIPMENTS IN 2012 (NUM- percent higher in price. Manufacturers • stated that a reduction in sales would Component Manufacturers. BER OF UNITS) lead to employee layoffs since labor is Manufacturers expressed concern that they have little control over the options proportional to units sold, not Equipment class Total industry equipment price. Manufacturers also available and the price they pay for shipments stated that customers have usually been components used to manufacture unwilling to adopt energy efficiency commercial refrigeration equipment. VOP.RC.M ...... 37,607 VOP.RC.L ...... 1,880 improvements unless there is a 12- Commercial refrigeration equipment VOP.SC.M ...... 7,585 month payback period or less. manufacturers purchase many of the VCT.RC.M ...... 2,533 • Equipment Classes. Manufacturers components needed to build the VCT.RC.L ...... 35,184 expressed concern regarding how equipment and therefore rely heavily on VCT.SC.I ...... 2,571 equipment they manufacture would be component manufacturers to deliver parts, such as doors, motors, fans, and VCS.SC.I ...... 637 categorized in DOE’s equipment classes. SVO.RC.M ...... 28,685 Manufacturers stated that certain pieces lights. However, commercial refrigeration equipment manufacturers SVO.SC.M ...... 11,357 of low-volume equipment they SOC.RC.M ...... 7,231 manufacture do not easily fit into DOE’s state that higher efficiency components may not be readily available to meet HZO.RC.M ...... 4,408 equipment classes, and other pieces of HZO.RC.L ...... 13,859 standards. For example, the high- equipment are excluded from coverage. HZO.SC.M ...... 976 efficiency compressors needed for self- For example, custom pieces of HZO.SC.L ...... 2,024 equipment, especially hybrid or contained equipment to meet energy HCT.SC.I ...... 10,487 combination units, do not easily fall conservation standards may not be within the DOE equipment classes since readily available. Manufacturers said they could be classified in more than that the compressors they purchase for In the shipments analysis, DOE also one category. A self-contained case with commercial refrigeration are left over estimated the distribution of efficiencies a service over counter upper portion from the white goods (home appliances) in the base case for commercial and an open lower portion could be industry since that industry has a much refrigeration equipment (Chapter 10 of classified as a self-contained service higher sales volume compared to the TSD). Table IV–17 shows one over counter unit as well as a self- commercial refrigeration equipment. example of the distribution of contained open unit. Another example Also, manufacturers stated that efficiencies in the base case for the is wedges—transition pieces placed at component suppliers set their own VOP.RC.M equipment class. The the corners of a case lineup. These do pricing, and manufacturers have no distribution of efficiencies in the base not have a reasonable TDA and control over this. Manufacturers are case for other equipment classes are therefore do not have meaningful energy concerned about what prices they shown in Chapter 10 of the TSD. consumption levels when normalized to would have to pay for higher efficiency TDA. Some manufacturers stated that components in the future.

TABLE IV–17—GRIM DISTRIBUTION OF SHIPMENTS IN THE BASE CASE FOR VOP.RC.M

TSL Baseline TSL 1 TSL 2 TSL 3 TSL 4 * TSL 5 (CDEC/TDA—kWh/day/ft2) 1.09 0.98 0.95 0.89 0.89 0.76

Distribution of Shipments (%)...... 17.6 36.3 16.6 14.0 14.0 15.6 * For VOP.RC.M, TSL 4 is set at the same efficiency level as TSL 3. Therefore, the shipment distribution is the same for both of these TSLs.

b. Standards Case Shipments Forecast below the projected standard levels energy conservation standard. This were most likely to roll up to those scenario assumes that demand for high- For each standards case, DOE efficiency levels in response to an efficiency equipment is a function of its assumed that shipments at efficiencies

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price without regard to the standard selling, general, and administrative NEMS–BT. The NEMS–BT is run level. See Chapter 12 of the TSD for expenses so the gross profit per unit is similarly to the AEO2007 NEMS, except additional details. the same in absolute dollars. DOE that commercial refrigeration equipment implemented this scenario in the GRIM energy usage is reduced by the amount c. Markup Scenarios by setting the production cost markups of energy (by fuel type) saved due to the To understand how baseline and more for each TSL to yield approximately the TSLs. DOE obtained the inputs of efficient equipment are differentiated, same gross margin in the standards national energy savings from the NES DOE reviewed manufacturer catalogs cases in the year standard are effective spreadsheet model. For the final rule, and information gathered by (2012) as is yielded in the base case. DOE intends to report utility analysis manufacturers. To estimate the results using a version of NEMS–BT d. Equipment and Capital Conversion manufacturer price of the equipment based on the AEO2008 NEMS. sold, DOE applied markups to the Costs DOE conducted the utility analysis as production costs. For the analysis, DOE New efficiency standards typically policy deviations from the AEO2007, considered different markup scenarios, cause manufacturers to incur one-time applying the same basic set of based on manufacturer input, for conversion costs to bring their assumptions. In the utility analysis, commercial refrigeration equipment. production facilities and equipment DOE reported the changes in installed Scenarios were used to bound the range designs into compliance with the new capacity and generation by fuel type of expected equipment prices following regulation. For the purpose of the MIA, that result for each TSL, as well as new energy conservation standards. For DOE classified these one-time changes in end-use electricity sales. each equipment class, DOE used the conversion costs into three major Chapter 14 of the TSD provides details markup scenarios that best groups. Capital conversion expenditures of the utility analysis methods and characterized the prevailing markup are one-time investments in property, results. conditions and described the range of plant, and equipment to adapt or change market responses manufacturers expect existing production facilities so that K. Employment Impact Analysis as a result of new energy conservation new equipment designs can be Employment impact is one of the standards. DOE learned from interviews fabricated and assembled under the new factors that DOE considers in selecting with manufacturers that the majority of regulation. Equipment conversion a standard. Employment impacts manufacturers only offer one equipment expenditures are one-time investments include direct and indirect impacts. line. A single equipment line means that in research, development, testing, and Direct employment impacts are any there is no markup used to differentiate marketing focused on creating changes in the number of employees for baseline equipment from premium equipment designs that comply with the commercial refrigeration equipment equipment. new efficiency standard. Stranded assets manufacturers, their suppliers, and After discussions with manufacturers, are equipment or tooling that become related service firms. Indirect impacts DOE believes its adoption of standards obsolete as a result of new regulation. are those changes of employment in the for commercial refrigeration equipment During the MIA interviews, DOE larger economy that occur due to the would likely result in one of two asked manufacturers for their estimates shift in expenditures and capital distinct markup scenarios: Preservation- of the conversion costs they would investment caused by the purchase and of-gross-margin-percentage or incur due to new energy conservation operation of more efficient commercial preservation-of-operating-profit. Under standards. DOE then used the costs refrigeration equipment. The MIA in the preservation-of-gross-margin- provided by each manufacturer and this rulemaking addresses only the percentage scenario, DOE applied a their respective market shares to direct employment impacts on single uniform gross margin percentage develop estimates for the conversion manufacturers of commercial markup across all efficiency levels. As costs of the entire industry at varying refrigeration equipment. Chapter 15 of production cost increases with TSLs. Chapter 13 of the TSD the TSD describes other, primarily efficiency, this scenario implies that the summarizes these estimates. indirect, employment impacts. absolute dollar markup will increase. Indirect employment impacts from DOE assumed the non-production cost J. Utility Impact Analysis commercial refrigeration equipment markup—which includes SG&A The utility impact analysis estimates standards consist of the net jobs created expenses, R&D expenses, interest, and the effects of reduced energy or eliminated in the national economy, profit—to be 1.32. Manufacturers consumption due to improved other than in the manufacturing sector believe it is optimistic to assume that as equipment efficiency on the utility being regulated, as a consequence of (1) their production costs increase in industry. This utility analysis consists reduced spending by end users on response to an efficiency standard, they of a comparison between forecast results electricity (offset to some degree by the would be able to maintain the same for a case comparable to the AEO2007 increased spending on maintenance and gross margin percentage markup. reference case and forecasts for policy repair); (2) reduced spending on new Therefore, DOE assumes that this cases incorporating each of the energy supply by the utility industry; (3) scenario represents a high bound to commercial refrigeration equipment increased spending on the purchase industry profitability under an energy TSLs. price of new commercial refrigeration conservation standard. DOE analyzed the effects of proposed equipment; and (4) the effects of those Gross margin is defined as revenues standards on electric utility industry three factors throughout the economy. less cost of goods sold. The implicit generation capacity and fuel DOE expects the net monetary savings assumption behind this markup consumption using a variant of the from standards to be redirected to other scenario is that the industry can EIA’s NEMS. NEMS, which is available forms of economic activity. DOE also maintain its gross margin from the on the DOE website, is a large, multi- expects these shifts in spending and baseline (in absolute dollars) after the sector, partial-equilibrium model of the economic activity to affect the demand standard. The industry would do so by U.S. energy sector. EIA uses NEMS to for labor. passing through its increased produce its AEO, a widely recognized In developing this proposed rule, DOE production costs to customers without baseline energy forecast for the United estimated indirect national employment passing through its increased R&D and States. DOE used a variant known as impacts using an input/output model of

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the U.S. economy, called ImSET (Impact the reduction in power plant emissions DOE calculated a forecast of reductions of Sector Energy Technologies), of CO2, NOX, and mercury (Hg) using for these emissions under an uncapped developed by DOE’s Building the NEMS–BT computer model. scenario. DOE assumes that the Technologies Program. ImSET is a However, the Environmental uncapped emissions reduction estimate personal-computer-based, economic- Assessment (Chapter 16 of the TSD) would have corresponded generally to analysis model that characterizes the does not include the estimated the generation of emissions allowance interconnections among 188 sectors of reduction in power plant emissions of credits under an emissions cap scenario. the economy as national input/output SO2 because, DOE has determined that structural matrices, using data from the due to the presence of national caps on V. Analytical Results U.S. Department of Commerce’s 1997 SO2 emissions as addressed below, any A. Trial Standard Levels Benchmark U.S. input-output table. The such reduction resulting from an energy DOE selected between four and eight ImSET model estimates changes in conservation standard would not affect energy consumption levels for each employment, industry output, and wage the overall level of SO2 emissions in the commercial refrigeration equipment income in the overall U.S. economy United States. class in the LCC analysis. Based on the resulting from changes in expenditures The NEMS–BT is run similarly to the results of the LCC analysis, DOE in various sectors of the economy. DOE AEO2007 NEMS, except that selected five trial standard levels above estimated changes in expenditures using commercial refrigeration equipment the baseline level for each equipment the NES spreadsheet. ImSET then energy use is reduced by the amount of class for the NOPR stage of the estimated the net national indirect energy saved (by fuel type) due to the rulemaking. The range of TSLs selected employment impacts of potential TSLs. DOE obtained the inputs of includes the most energy efficient commercial refrigeration equipment national energy savings from the NES combination of design options with a efficiency standards on employment by spreadsheet model. For the positive NPV at the seven percent sector. In comments on the ANOPR, environmental analysis, the output is Zero Zone asked if DOE was going to the forecasted physical emissions. The discount rate, and the combination of contact second tier suppliers (e.g., door net benefit of the standard is the design options with the minimum LCC. suppliers, fluorescent lighting suppliers, difference between emissions estimated Additionally, TSLs were selected that shaded pole motor suppliers) regarding by NEMS–BT and the AEO2007 filled large gaps between the baseline employment impacts. (Public Meeting Reference Case. The NEMS–BT tracks and the level with the minimum LCC. Because of the size variation within Transcript, No. 13.5 at pp. 230–231) ARI CO2 emissions using a detailed module each equipment class and the use of noted that this had been done in the that provides results with broad central air conditioning rulemaking. coverage of all sectors and inclusion of daily energy consumption as the (Public Meeting Transcript, No. 13.5 at interactive effects. For the final rule, efficiency metric, DOE presented a p. 231) DOE intends to revise the emissions methodology to express efficiency DOE stated that the ImSET tool would analysis using the AEO2008 NEMS standards in terms of a normalizing not be able to address this in detail, but model using the process outlined above. metric. This allows for a single energy that it has been done within the MIA for The Clean Air Act Amendments of conservation standard to be used for a other equipment. In the public meeting, 1990 set an emissions cap on SO2 for all broad range of equipment sizes within DOE commented that there would be power generation. The attainment of a given equipment class. DOE proposed impacts from standards, but the this target, however, is flexible among the use of TDA as the normalizing effective date is different from the generators and is enforced through the metric for equipment with display issuance date partly to allow time for use of emissions allowances and capability. For equipment classes adjustments in manufacturing. tradable permits. As a result, accurate without display capability (e.g., The ImSET input/output model simulation of SO2 trading tends to imply equipment with solid doors), DOE suggests that the proposed commercial that the effect of energy conservation proposed the use of internal volume as refrigeration equipment efficiency standards on physical emissions will be the normalizing metric. See Chapter 9 of standards could increase the net near zero because emissions will always the TSD for more detail. demand for labor in the economy and be at, or near, the ceiling. Thus, it is True commented that all self- the gains would most likely be very unlikely that there will be an SO2 contained units (including any open small relative to total national environmental benefit from electricity units) should be tested using volume as employment. DOE therefore concludes savings as long as there is enforcement a normalizing factor to provide a that the proposed commercial of the emissions ceilings. straight comparison between open and refrigeration equipment standards are Although there may not be an actual closed-door self-contained units. (Public only likely to produce employment reduction in SO2 emissions from Meeting Transcript, No. 13.5 at pp. 202– benefits that are sufficient to fully offset electricity savings, there still may be an 207) DOE understands the usefulness of any adverse impacts on employment in economic benefit from reduced demand comparing self-contained equipment the commercial refrigeration equipment for SO2 emission allowances. Electricity with and without doors on the basis of industry. For more details on the savings decrease the generation of SO2 volume. However, the self-contained employment impact analysis, see emissions from power production, equipment covered in this rulemaking is Chapter 15 of the TSD. which can decrease the need to frequently installed in supermarkets and purchase or generate SO2 emissions convenience stores, where its primary L. Environmental Assessment allowance credits, and decrease the purpose is to display and merchandise DOE has prepared a draft costs of complying with regulatory caps food. The most common application of Environmental Assessment (EA) on emissions. remote condensing equipment is also in pursuant to the National Environmental Like SO2, future emissions of NOX supermarkets and convenience stores. Policy Act and the requirements of 42 and Hg would have been subject to Therefore, DOE believes that, with U.S.C. 6295(o)(2)(B)(i)(VI) and emissions caps under the Clean Air respect to the purpose of equipment, the 6316(e)(1)(A), to determine the Interstate Act and Clean Air Mercury self-contained equipment covered in environmental impacts of the proposed Rule. As discussed later, these rules this rulemaking is more similar to standards. Specifically, DOE estimated have been vacated by a Federal court. remote condensing equipment than

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other self-contained equipment (i.e., noted that not all manufacturers make analyzed. TSL 5 is the max-tech level equipment with doors). DOE discussed all case sizes. (Public Meeting for each equipment class. TSL 4 is the this issue with manufacturers, and Transcript, No. 13.5 at p. 88) Later, in maximum efficiency level with a determined that TDA is the most a written comment, Zero Zone positive NPV at the seven percent appropriate normalization metric for the recommended that DOE base its analysis discount rate, except for VOP.RC.M, self-contained equipment covered in on the smaller case models instead of where the minimal difference in energy this rulemaking, since that is the metric the larger case models to avoid efficiency between the minimum life- used for remote condensing equipment. accidentally outlawing smaller cases. cycle cost level as determined by the DOE expressed the ANOPR efficiency (Zero Zone, No. 17 at p. 3) ARI LCC analysis and the maximum levels in terms of a normalized energy commented that it generally agrees with efficiency level with positive NPV consumption using these normalization the approach proposed by DOE for prompted DOE to select the minimum factors. DOE proposed equations for characterizing energy conservation life-cycle cost level in preference to the final standards that would have standards for commercial refrigeration maximum level with positive NPV. TSL maximum energy consumption for equipment, and offered to work with 4 is a combination of the efficiency equipment whose display area is DOE in developing appropriate offset levels selected for TSL 3 and TSL 5. For directly proportional to TDA. DOE also factors. (ARI, No. 18 at p. 6) a given equipment class, the efficiency suggested that for equipment For the NOPR, DOE developed offset levels selected for TSL 4 are either normalized to volume, it might be factors as a way to adjust the energy equivalent to that of TSL 3 or that of necessary to develop equations that use efficiency requirements for smaller- TSL 5. TSL 3 is the efficiency level that offset factors to account for a potential sized equipment in each equipment provides the minimum life-cycle cost as non-linear variation of energy class analyzed. These offset factors determined by the LCC analysis. TSL 2 consumption with volume. At the account for certain components of the and TSL 1 represent lower efficiency ANOPR public meeting and during the refrigeration load (such as the levels that fill in the gap between the comment period, stakeholders conduction end effects) that remain current baseline and the levels expressed concerns about the size of constant even when equipment sizes determined to have the minimum LCC. equipment DOE analyzed as the vary. These constant loads affect smaller representative model for each cases disproportionately. The offset Table V–2 shows the same TSL levels equipment class. Zero Zone stated that factors are intended to approximate in terms of proposed equations that its analysis indicates that using a two- these constant loads and provide a fixed establish a maximum daily energy door case as the baseline (for the end point, corresponding to a zero TDA consumption (MEC) limit through a VCT.RC.L class) is more reasonable or zero volume case, in an equation that linear equation of the form: because of the end effects in those cases. describes the relationship between MEC = A × TDA + B (for equipment Zero Zone reported a 10 percent energy consumption and the using TDA as a normalizing metric) increase in energy consumption per corresponding TDA or volume metric. or door for a two-door case with the same See Chapter 5 of the TSD for further MEC = A × V + B (for equipment using design features as a five-door case. A details on the development of these volume as a normalizing metric) two-door case consumes more energy offset factors for each equipment class. per door than a five-door case because This is identified as Issue 4 under Coefficients A and B are uniquely of the lighting and end effects. Zero ‘‘Issues on Which DOE Seeks Comment’’ derived for each equipment class based Zone noted that if the standard is based in Section VII.E of this NOPR. on the calculated offset factor B (see on a five-door case, it will penalize any DOE preserved the general Chapter 5 of the TSD for offset factors) smaller cabinet, and could eliminate methodology and themes it used for the and the equation slope A, which would smaller cases from production due to selection of efficiency levels in the be used to describe the efficiency their size. (Public Meeting Transcript, ANOPR in establishing specific requirements for equipment of different No. 13.5 at p. 87) At the public meeting, efficiency levels for equipment classes. sizes within the same equipment class. Zero Zone stated that it would give These levels are based on the results of Chapter 9 of the TSD explains the some thought to what should be used the updated LCC analysis and make up methodology DOE used for selecting for a representative model—a two-door the TSLs used in the NOPR. Table V– trial standard levels and developing the case, or some combination of two-door 1 shows the TSL levels DOE selected for coefficients shown in Table V–2. and five-door cases. Zero Zone also energy use for the equipment classes BILLING CODE 6450–01–P

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BILLING CODE 6450–01–C equipment covered in this rulemaking primary equipment classes analyzed In addition to the 15 primary that were not directly analyzed in the and a set of focused matched-pair equipment classes analyzed, DOE engineering analysis due to low annual analyses. In addition, DOE believes that intends to establish standards for the shipments (less than 100 units per year). standards for certain primary equipment remaining 23 secondary equipment DOE’s approach involves extension classes can be directly applied to other classes of commercial refrigeration multipliers developed using both the 15 similar secondary equipment classes.

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Chapter 5 of the TSD discusses the V–3 shows this additional set of of presenting these levels in this section development of the extension corresponding TSL levels. The levels is to provide interested persons with the multipliers and the set of focused shown in Table V–3 do not necessarily range of efficiency standards that DOE matched-pair analyses. reflect the minimum life-cycle cost or is considering for these secondary Using this approach, DOE developed max-tech efficiency levels for these equipment classes. This is identified as an additional set of TSLs for these equipment classes, and do not reflect Issue 5 under ‘‘Issues on Which DOE secondary equipment classes that TSLs that DOE has analyzed in its Seeks Comment’’ in Section VII.E of this corresponds to each of the equations impact analyses. The primary purpose NOPR. shown in Table V–2 at each TSL. Table

1. Miscellaneous Equipment Transcript, No. 13.5 at pp. 28–33) ARI that, if possible, it would prefer to avoid stated that DOE should not require all the excessive paperwork of applying for In the ANOPR, DOE proposed as part equipment to be tested at these three waivers for equipment that cannot meet of its commercial refrigeration rating temperatures alone. Doing so may the three rating temperatures in the test equipment test procedure that all require manufacturers to produce procedure. (Public Meeting Transcript, equipment be tested at one of three equipment that is less efficient solely for No. 13.5 at p. 33) rating temperatures: 38 °F for the purpose of meeting a specific rating Zero Zone recommended developing refrigerators, 0 °F for freezers, and ¥15 condition, thus defeating the intent of regulations that apply to the special °F for ice-cream freezers. Zero Zone, circumstances of the rating temperature the regulation. (ARI, No. 18 at p. 4) Hill Hill Phoenix, Carrier/Tyler (Zero Zone, No. 17 at p. 2) and that DOE Phoenix and True stated that the Refrigeration, and True expressed should consider developing additional concern because they produce equipment they manufacture that is rating temperatures. (Public Meeting equipment that is not designed to unable to meet these rating temperatures Transcript, No. 13.5 at p. 28) ACEEE operate at these designated rating is only one percent to two percent of suggested that DOE develop a method to temperatures. (Public Meeting their shipments. Hill Phoenix added interpolate the standard based on the

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standards at the three official rating language that will allow manufacturers times freezer volume plus the temperatures. (ACEEE, No. 16 at p. 2) to determine appropriate standard levels refrigerated volume gives you a number ARI recommended that any equipment for these types of equipment. [adjusted volume]. (Public Meeting specifically designed to hold An example of a pure hybrid case Transcript, No. 13.5 at p. 215) Copeland temperatures higher than the rating (one with two or more compartments in followed up on the True comment on temperature should be tested at its different equipment families and at the refrigerator-freezers, suggesting that a application temperature, but must still same temperature) is a unit with one refrigerator-freezer standard for remote meet the energy standard for its open and one closed medium- cases should be simple, and that they respective equipment class. (ARI, No. 18 temperature compartment, such as those should be treated as if they have two at p. 4) seen in coffee shops that merchandise separate compressors. (Public Meeting The DOE test procedure for baked goods and beverages. These Transcript, No. 13.5 at p. 215) Zero commercial refrigeration equipment hybrid cases may be either self- Zone stated that a manufacturer could specifies three rating temperatures, 38 contained or remote condensing, and build equipment with one or two °F, 0 °F, and ¥15 °F, that are required may be cooled by one or more separate suction lines. If it is built with to be used in the testing of this condensing units. They may also have one, measure the suction pressure for equipment, each applied to designated one evaporator cooling both that one and base the EER on that equipment classes. 71 FR 71357. Since compartments or one evaporator feeding suction pressure, without concern for all of this equipment must be tested at each compartment separately. what is happening upstream of the case. one of these three rating temperatures, An example of a refrigerator-freezer is (Public Meeting Transcript, No. 13.5 at any manufacturer that is unable to test a unit with doors where one p. 215) such equipment at its designated rating compartment operates at medium DOE has reviewed the comments and temperature, must request a test temperature and one compartment is proposing the following language for procedure waiver from DOE pursuant to operates at low temperature. Remote requiring manufacturers to meet the provisions described in 10 CFR condensing commercial refrigerator- standards for hybrid cases, refrigerator- 431.401. If the equipment is unable to freezers (with and without doors) and freezers, and hybrid refrigerator/ meet the maximum daily energy self-contained commercial refrigerator- freezers: consumption (MDEC) limit for its freezers without doors may operate in • For commercial refrigeration designated equipment class, a one of two ways. First, they may operate equipment with two or more manufacturer can petition DOE’s Office as separate chilled and frozen compartments (hybrid refrigerators, of Hearing and Appeals (OHA) for compartments with evaporators fed by hybrid freezers, hybrid refrigerator- exception relief from the energy two sets of refrigerant lines or two freezers, and non-hybrid refrigerator/ conservation standard pursuant to compressors. Second, they may operate freezers), the MDEC for each model OHA’s authority under section 504 of as separate chilled and frozen shall be the sum of the MDEC values for the DOE Organization Act (42 U.S.C. compartments fed by one set of low- all of its compartments. For each 7194), as implemented at subpart B of temperature refrigerant lines (with compartment, measure the TDA or 10 CFR part 1003. OHA grants such evaporator pressure regulator (EPR) volume of that compartment, and relief on a case-by-case basis if it valves or similar devices used to raise determine the appropriate equipment determines that a manufacturer has the evaporator pressure) or one class based on that compartment’s demonstrated that meeting the standard compressor. equipment family, condensing unit would cause hardship, inequity, or An example of a hybrid refrigerator- configuration, and designed operating unfair distributions of burdens. DOE freezer is a unit with one open temperature. The MDEC limit for each believes that the majority of equipment compartment at medium temperature compartment shall be the calculated covered by this rulemaking can be and one closed compartment at low value obtained by entering that tested using the three specified rating temperature. As with pure hybrid cases, compartment’s TDA or volume into the temperatures (38 °F, 0 °F and ¥15 °F) these cases may be either self-contained standard equation in subsection (d)(1) provided in the test procedure. or remote condensing, and may be for that compartment’s equipment class. Certain types of equipment meet the cooled by one or more condensing units. Measure the calculated daily energy definition of ‘‘commercial refrigeration In the case of remote condensing consumption (CDEC) or total daily equipment’’ (Section 136(a)(3) of EPACT equipment, they may operate as separate energy consumption (TDEC) for the 2005), but do not fall directly into any chilled and frozen compartments with entire case as follows: of the 38 equipment classes defined in evaporators fed by two sets of refrigerant Æ For remote condensing commercial the market and technology assessment. lines or two compressors. Or they may hybrid refrigerators, hybrid freezers, One of these types is hybrid cases, operate as separate chilled and frozen hybrid refrigerator-freezers, and non- where two or more compartments are in compartments fed by one set of low- hybrid refrigerator-freezers, where two different equipment families and are temperature refrigerant lines (with EPR or more independent condensing units contained in one cabinet. Another is valves or similar devices used to raise each separately cool only one refrigerator-freezers, which have two the evaporator pressure of one compartment, measure the total compartments in the same equipment compartment) or one compressor. refrigeration load of each compartment family but with different operating During the ANOPR public meeting, separately according to the ANSI/ temperatures. Hybrid refrigerator- stakeholders commented on how to ASHRAE Standard 72–2005 test freezers, where two or more handle these types of cases. True procedure. Calculate compressor energy compartments are in different suggested that for self-contained consumption (CEC) for each equipment families and have different refrigerator-freezer equipment, DOE compartment using Table 1 in ANSI/ operating temperatures, may also exist. should use a weighted average of the ARI Standard 1200–2006 using the Another is wedge cases, which form minimum standard requirements for the saturated evaporator temperature for miter transitions (a corner section freezer and refrigerator. This is the that compartment. The calculated daily between two refrigerated display present standard used in California and energy consumption (CDEC) for the merchandisers) between standard Canada, and [EPACT] 2005 for self- entire case shall be the sum of the CEC display case lineups. DOE is proposing contained equipment with doors: 1.63 for each compartment, fan energy

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consumption (FEC), lighting energy hybrid refrigerator-freezers, and non- would decrease and purchase price consumption (LEC), anti-condensate hybrid refrigerator-freezers, measure the would increase. DOE analyzed the net energy consumption (AEC), defrost total daily energy consumption (TDEC) effect by calculating the LCC. Inputs energy consumption (DEC), and for the entire case according to the used for calculating the LCC include condensate evaporator pan energy ANSI/ASHRAE Standard 72–2005 test total installed costs (i.e., equipment consumption (PEC) (as measured in procedure. price plus installation costs), annual ANSI/ARI Standard 1200–2006). • For remote-condensing and self- energy savings, average electricity costs Æ For remote condensing commercial contained wedge cases, measure the by customer, energy price trends, repair hybrid refrigerators, hybrid freezers, CDEC or TDEC according to the ANSI/ costs, maintenance costs, equipment hybrid refrigerator-freezers, and non- ASHRAE Standard 72–2005 test lifetime, and discount rates. procedure. The MDEC for each model hybrid refrigerator-freezers, where two DOE’s LCC and PBP analyses shall be the amount derived by or more compartments are cooled provided five outputs for each TSL that incorporating into the standards collectively by one condensing unit, are reported in Table V–4 through Table equation in subsection (d)(1) for the measure the total refrigeration load of V–18. The first three outputs are the appropriate equipment class a value for the entire case according to the ANSI/ proportion of commercial refrigeration the TDA that is the product of (1) the ASHRAE Standard 72–2005 test equipment purchases where the vertical height of the air-curtain (or glass procedure. Calculate a weighted purchase of a standard-compliant piece in a transparent door) and (2) the largest saturated evaporator temperature for the of equipment would create a net LCC overall width of the case, when viewed entire case by (i) multiplying the increase, no impact, or a net LCC saturated evaporator temperature of from the front. This is identified as Issue 6 under ‘‘Issues on Which DOE Seeks savings for the customer. DOE used the each compartment by the volume of that estimated distribution of shipments by compartment (as measured in ANSI/ARI Comment’’ in Section VII.E of this NOPR. efficiency level for each equipment class Standard 1200–2006), (ii) summing the to determine the affected customers. resulting values for all compartments, B. Economic Justification and Energy The fourth output is the average net LCC and (iii) dividing the resulting total by Savings savings from standard-compliant the total volume of all compartments. 1. Economic Impacts on Commercial equipment. The fifth output is the Calculate the CEC for the entire case Customers average PBP for the customer using Table 1 in ANSI/ARI Standard investment in standard-compliant 1200–2006, using the total refrigeration a. Life-Cycle Cost and Payback Period equipment. The payback period is the load and the weighted average saturated To evaluate the economic impact of number of years it would take for the evaporator temperature. The CDEC for the TSLs on customers, DOE conducted customer to recover through energy the entire case shall be the sum of the an LCC analysis for each level. More savings the increased costs of higher CEC, FEC, LEC, AEC, DEC, and PEC. efficient commercial refrigeration efficiency equipment compared with the Æ For self-contained commercial equipment would affect customers in purchase of baseline efficiency hybrid refrigerators, hybrid freezers, two ways: Annual operating expense equipment.

TABLE V–4—SUMMARY LCC AND PBP RESULTS FOR VOP.RC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 63 Equipment with No Change in LCC (%) ...... 65 47 30 30 2 Equipment with Net LCC Savings (%) ...... 35 53 70 70 34 Mean LCC Savings ($) ...... 1,201 1,143 1,551 1,551 ¥234 Mean Payback Period (years) ...... 0.9 1.5 2.2 2.2 9.7

TABLE V–5—SUMMARY LCC AND PBP RESULTS FOR VOP.RC.L EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 68 52 22 8 8 Equipment with Net LCC Savings (%) ...... 32 48 78 92 92 Mean LCC Savings ($) ...... 3,132 4,005 4,089 3,364 3,364 Mean Payback Period (years) ...... 0.8 1.2 1.3 3.0 3.0

TABLE V–6—SUMMARY LCC AND PBP RESULTS FOR VOP.SC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 19 Equipment with No Change in LCC (%) ...... 65 32 17 17 3 Equipment with Net LCC Savings (%) ...... 35 68 83 83 78 Mean LCC Savings ($) ...... 758 1,065 1,342 1,342 703

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TABLE V–6—SUMMARY LCC AND PBP RESULTS FOR VOP.SC.M EQUIPMENT CLASS—Continued

Trial standard level 1 2 3 4 5

Mean Payback Period (years) ...... 0.8 1.8 2.7 2.7 5.9

TABLE V–7—SUMMARY LCC AND PBP RESULTS FOR VCT.RC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 19 19 Equipment with No Change in LCC (%) ...... 79 57 25 7 7 Equipment with Net LCC Savings (%) ...... 21 43 75 74 74 Mean LCC Savings ($) ...... 286 581 1,107 867 867 Mean Payback Period (years) ...... 0.9 1.4 4.6 6.1 6.1

TABLE V–8—SUMMARY LCC AND PBP RESULTS FOR VCT.RC.L EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 60 40 28 8 8 Equipment with Net LCC Savings (%) ...... 40 60 72 92 92 Mean LCC Savings ($) ...... 676 3,594 3,662 3,546 3,546 Mean Payback Period (years) ...... 1.2 2.6 2.6 3.7 3.7

TABLE V–9—SUMMARY LCC AND PBP RESULTS FOR VCT.SC.I EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 52 37 15 7 7 Equipment with Net LCC Savings (%) ...... 48 63 85 93 93 Mean LCC Savings ($) ...... 2,305 3,806 3,841 3,818 3,818 Mean Payback Period (years) ...... 1.1 1.7 2.4 2.5 2.5

TABLE V–10—SUMMARY LCC AND PBP RESULTS FOR VCS.SC.I EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 76 49 11 11 11 Equipment with Net LCC Savings (%) ...... 24 51 89 89 89 Mean LCC Savings ($) ...... 640 1,191 1,565 1,565 1,565 Mean Payback Period (years) ...... 0.4 0.6 1.4 1.4 1.4

TABLE V–11—SUMMARY LCC AND PBP RESULTS FOR SVO.RC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 62 Equipment with No Change in LCC (%) ...... 62 42 24 24 4 Equipment with Net LCC Savings (%) ...... 38 58 76 76 34 Mean LCC Savings ($) ...... 810 782 1,106 1,106 ¥170 Mean Payback Period (years) ...... 0.8 1.5 2.1 2.1 9.7

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TABLE V–12—SUMMARY LCC AND PBP RESULTS FOR SVO.SC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 17 Equipment with No Change in LCC (%) ...... 67 34 19 19 4 Equipment with Net LCC Savings (%) ...... 33 66 81 81 79 Mean LCC Savings ($) ...... 527 756 988 988 516 Mean Payback Period (years) ...... 0.7 1.6 2.6 2.6 5.9

TABLE V–13—SUMMARY LCC AND PBP RESULTS FOR SOC.RC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 71 Equipment with No Change in LCC (%) ...... 83 66 32 32 5 Equipment with Net LCC Savings (%) ...... 17 34 68 68 24 Mean LCC Savings ($) ...... 363 759 819 819 ¥673 Mean Payback Period (years) ...... 0.6 0.9 1.9 1.9 12 .6

TABLE V–14—SUMMARY LCC AND PBP RESULTS FOR HZO.RC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 80 60 39 19 19 Equipment with Net LCC Savings (%) ...... 20 40 61 81 81 Mean LCC Savings ($) ...... 376 792 942 917 917 Mean Payback Period (years) ...... 0.6 0.9 1.4 1.8 1.8

TABLE V–15—SUMMARY LCC AND PBP RESULTS FOR HZO.RC.L EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 59 39 19 19 19 Equipment with Net LCC Savings (%) ...... 41 61 81 81 81 Mean LCC Savings ($) ...... 593 927 971 971 971 Mean Payback Period (years) ...... 1.1 1.5 1.8 1.8 1.8

TABLE V–16—SUMMARY LCC AND PBP RESULTS FOR HZO.SC.M EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 73 45 21 10 10 Equipment with Net LCC Savings (%) ...... 27 55 79 90 90 Mean LCC Savings ($) ...... 312 551 759 721 721 Mean Payback Period (years) ...... 0.4 1.1 2.0 2.5 2.5

TABLE V–17—SUMMARY LCC AND PBP RESULTS FOR HZO.SC.L EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 73 45 21 10 10 Equipment with Net LCC Savings (%) ...... 27 55 79 90 90 Mean LCC Savings ($) ...... 610 1,094 1,585 1,559 1,559 Mean Payback Period (years) ...... 0.4 0.9 1.6 1.9 1.9

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TABLE V–18—SUMMARY LCC AND PBP RESULTS FOR HCT.SC.I EQUIPMENT CLASS

Trial standard level 1 2 3 4 5

Equipment with Net LCC Increase (%) ...... 0 0 0 0 0 Equipment with No Change in LCC (%) ...... 64 46 30 14 14 Equipment with Net LCC Savings (%) ...... 36 54 70 86 86 Mean LCC Savings ($) ...... 192 692 710 693 693 Mean Payback Period (years) ...... 0.7 1.5 1.6 2.1 2.1

For three equipment classes average LCC for TSL 5 to a level standard at that level is economically (VOP.RC.M, SVO.RC.M, and SOC.RC.M) equivalent to the LCC savings at TSL 3, justified. Rather than using distributions TSL 5 resulted in a negative LCC the maximum LCC level. DOE for input values, DOE used discrete savings compared with the purchase of determined that for these five values and, as required by EPCA, based baseline equipment. For all other equipment classes, a LED cost reduction the calculation on the DOE commercial equipment classes, TSL 5 showed ranging from 37 percent to 44 percent, refrigeration equipment test procedure positive LCC savings. DOE noted that depending on equipment class, would assumptions. As a result, DOE for equipment classes with lighting, the provide an LCC at TSL 5 equivalent to calculated a single rebuttable inclusion of LED lighting at TSL 5 had that at TSL 3. presumption payback value for each a significant impact on the calculated In the second sensitivity analysis, standard level, and not a distribution of LCC savings. For equipment classes DOE presumed that the cost for payback periods. without lighting (i.e., VCS.SC.I, replacement LED fixtures in 2018 would To evaluate the rebuttable HZO.RC.L, HZO.SC.M, HZO.SC.L, be reduced by 50 percent of the cost presumption, DOE estimated the HCT.SC.I), the LCC savings at TSL 5 was assumed in the base LCC analysis, and additional customer price of a more either identical to that of TSL 3, or less then calculated the reduction in LED efficient, standard-compliant unit using (between $17 and $38 over the life of fixture cost necessary by 2012 to reduce the average customer markup, and the equipment). However, for the average LCC for TSL 5 to a level that compared this cost to the value of the equipment classes with lighting the provided equivalent LCC savings as TSL energy saved during the first year of difference in the LCC calculated 3. DOE determined that for these five operation of the equipment as between TSL 3 and TSL 5 varied from equipment classes an LED cost determined by ANSI/ARI Standard $23 for VCT.SC.I to $1785 for reduction ranging from 29 percent to 40 1200–2006. DOE interprets that the VOP.RC.M. When compared to TSL 3, percent, depending on equipment class, increased cost of purchasing a standard- the estimated reduction in LCC savings would provide a LCC at TSL 5 compliant unit includes the cost of for TSL 5 was most pronounced for the equivalent to that at TSL 3. installing the equipment for use by the three medium temperature equipment Based on these analyses, DOE purchaser. DOE calculated the classes identified above as having concluded that a reduction in LED rebuttable presumption PBP, or the ratio negative LCC compared to the baseline fixture costs of approximately 45 of the value of the increased installed (VOP.RC.M, SOC.RC.M, and percent would be sufficient to result in price above the baseline efficiency level SVO.RC.M), varying between $1276 and the maximum LCC savings for all five to the first year’s energy cost savings. $1785 dollars. For three additional equipment classes at TSL 5. DOE When this PBP is less than three years, equipment classes (VOP.RC.L, estimated that this reduction in LED the rebuttable presumption is satisfied; SVO.SC.M, and VOP.SC.M), when fixture costs would also increase LCC when this PBP is equal to or more than compared to TSL 3, the difference in savings for all other equipment classes three years, the rebuttable presumption LCC was greater than $500. DOE noted with installed lighting at TSL 5. DOE is not satisfied. that these are all medium temperature estimates that for all equipment classes Rebuttable presumption PBPs were cases with the exception of VOP.RC.L, to achieve their maximum LCC savings calculated based on single-point which is a small sales volume unit, at TSL 5, LED fixture costs must national average values for installed similar in design to a medium decrease by at least 45 percent. DOE costs and energy prices appropriate to temperature VOP.RC.M case. concluded that a reduction in LED costs commercial refrigeration equipment. The inclusion of LED lighting systems of less than 45 percent could result in Equipment prices are based on a result in an incremental increase in only certain commercial refrigeration shipment-weighted average distribution installed price. It also increases equipment classes achieving their markup for remote condensing annualized lighting maintenance cost, maximum LCC savings at TSL 5. equipment or self-contained equipment, since LED lights were assumed to be as applied to the MSP for each replaced after 50,000 hours or 5.7 years b. Rebuttable Presumption Payback equipment class. The installed cost is of steady operation. DOE performed two As discussed above, EPCA provides a based on the national average sensitivity analyses of the effect of rebuttable presumption that an energy equipment price and the national projected cost reductions in LED conservation standard is economically average installation cost for remote lighting systems on LCC. These analyses justified if the increased purchase cost condensing or self-contained equipment involved five equipment classes: for the equipment that meets the as appropriate. Average first-year energy VOP.RC.M, VOP.SC.M, SVO.RC.M, standard is less than three times the costs were calculated as the product of SVO.SC.M, and SOC.RC.M. In the first value of the first year energy savings the annual energy consumption used in sensitivity analysis, DOE determined resulting from the standard. DOE the LCC and the shipment-weighted the reduction in LED fixture cost, calculated a rebuttable presumption national-average electricity price, which applied to the installed price in 2012, payback period for each TSL to was calculated using the shipment that would be necessary to reduce the determine if DOE could presume that a weights for the four business types

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using commercial refrigeration the other PBPs calculated in the LCC TSLs. At TSL 4, the rebuttable equipment. analysis (see Section IV.E.12 of this presumption criteria are satisfied for 13 The equation for the rebuttable PBP NOPR) because they do not include equipment classes. At TSL 3, the is: maintenance or repair costs and they are rebuttable presumption criteria are PBP = DIC/DEC based on single point values instead of satisfied for 14 equipment classes. At Where distributions for installation costs or TSL 2, the rebuttable presumption energy costs. The baseline efficiency PBP = payback period in years, criteria were satisfied for all equipment DIC = difference in the total installed cost level for the rebuttable presumption classes. However, while DOE has between the more efficient standard level calculation is the baseline established in examined the rebuttable presumption equipment (energy consumption levels 2, the engineering analysis. PBPs, DOE has not determined 3, etc.) and the baseline (energy Table V–19 shows the nationally economic justification for any of the consumption level 1) equipment, and averaged rebuttable presumption standard levels analyzed based on the DEC = difference in annual energy costs. paybacks calculated for all equipment ANOPR rebuttable presumption PBPs are expressed in years. PBPs classes and efficiency levels. The analysis. The economic justification for greater than the life of the equipment highest efficiency level with a rebuttable each TSL for each equipment class will means that the increased total installed presumption payback of less than three take into account the more detailed cost of the more efficient equipment is years is also shown in Table V–19 for analysis of the economic impacts of not recovered in reduced operating costs each equipment class. For eight increased efficiency pursuant to Section for the more efficient equipment. The equipment classes, the rebuttable 325(o)(2)(B)(i) of EPCA. (42 U.S.C. rebuttable presumption PBPs differ from presumption criteria were satisfied at all 6295(o)(2)(B)(i) and 6316(e)(1)).

TABLE V–19—REBUTTABLE PRESUMPTION PAYBACK PERIODS BY EFFICIENCY LEVEL AND EQUIPMENT CLASS

Rebuttable presumption payback period (years) Equipment type Highest TSL with Level 1 Level 2 Level 3 Level 4 Level 5 PBP < 3 Years

VOP.RC.M ...... 0.8 1.1 1.7 1.7 5.9 4 VOP.RC.L ...... 0.7 1.1 1.2 2.5 2.5 5 VOP.SC.M ...... 0.8 1.5 2.3 2.3 4.5 4 VCT.RC.M ...... 0.8 1.2 4.1 5.4 5.4 2 VCT.RC.L ...... 1.0 2.4 2.4 3.3 3.3 3 VCT.SC.I ...... 1.0 1.6 2.2 2.3 2.3 5 VCS.SC.I ...... 0.4 0.6 1.3 1.3 1.3 5 SVO.RC.M ...... 0.8 1.1 1.7 1.7 5.9 4 SVO.SC.M ...... 0.6 1.3 2.2 2.2 4.5 4 SOC.RC.M ...... 0.5 0.8 1.4 1.4 7.1 4 HZO.RC.M ...... 0.5 0.8 1.2 1.6 1.6 5 HZO.RC.L ...... 1.0 1.3 1.6 1.6 1.6 5 HZO.SC.M ...... 0.4 1.0 1.9 2.3 2.3 5 HZO.SC.L ...... 0.3 0.8 1.5 1.7 1.7 5 HCT.SC.I ...... 0.7 1.4 1.5 2.0 2.0 5

c. Life-Cycle Cost Sub-Group Analysis businesses as defined by SBA would be pass through a manufacturer-to- Using the LCC spreadsheet model, classified as independent grocery stores distributor-to-contractor-to-customer DOE estimated the impact of the TSLs by the industry. A somewhat larger channel, and 85 percent were assumed on the following customer sub-group: chain of convenience stores could still to be purchased through a small businesses. For the retail food be classified as a small business. manufacturer-to-distributor-to-customer sales business, the Small Business DOE estimated the LCC and PBP for channel. Association (SBA) defines as small small food sales businesses defined by • For self-contained equipment, 35 businesses supermarkets and other SBA by presuming that most small percent of sales were assumed to pass grocery stores and convenience stores business customers could be through a manufacturer-to-distributor- with less than $25 million in total represented by the analysis performed to-contractor-to-customer channel, and annual sales. For specialty stores (e.g., for small grocery and convenience store 65 percent were assumed to be meat markets, bakeries, fish and seafood owners. DOE assumed, however, that purchased through a manufacturer-to- markets), this limit is set at less than the smaller, independent grocery and distributor-to-customer channel. $6.5 million in annual sales. According convenience store chains may not have In both cases, the distribution chain to the Food Marketing Institute, the access to national accounts, but would markups were calculated accordingly. average supermarket had sales of instead purchase equipment primarily Table V–20 shows the mean LCC approximately $15 million in 2006, so a through distributors and grocery savings from proposed energy small business could be represented by wholesalers. DOE modified the conservation standards for the small one to two average-size supermarkets or distribution channels for remote business sub-group, and Table V–21 a chain of smaller grocery or condensing and self-contained shows the mean payback period (in convenience stores. The Food Marketing equipment to these small businesses as years) for this sub-group. More detailed Institute defines independent stores as a follows: discussion on the LCC sub-group retailer with one to ten stores, so most • For remote condensing equipment, analysis and results can be found in small supermarkets or grocery 15 percent of the sales were assumed to Chapter 12 of the TSD.

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TABLE V–20—MEAN LIFE-CYCLE COST SAVINGS FOR COMMERCIAL REFRIGERATION EQUIPMENT PURCHASED BY LCC SUB-GROUP (SMALL BUSINESS) (2007$) *

Equipment class TSL 1 TSL 2 TSL 3 TSL 4 TSL 5

VOP.RC.M ...... 1,536 1,524 2,096 2,096 564 VOP.RC.L ...... 3,995 5,158 5,301 4,688 4,688 VOP.SC.M ...... 968 1,413 1,840 1,840 1,308 VCT.RC.M ...... 366 757 1,689 1,625 1,625 VCT.RC.L ...... 876 4,842 4,941 5,042 5,042 VCT.SC.I ...... 2,957 4,981 5,155 5,151 5,151 VCS.SC.I ...... 805 1,511 2,031 2,031 2,031 SVO.RC.M ...... 1,036 1,044 1,492 1,492 400 SVO.SC.M ...... 669 994 1,346 1,346 953 SOC.RC.M ...... 461 973 1,107 1,107 (175) HZO.RC.M ...... 476 1,013 1,221 1,202 1,202 HZO.RC.L ...... 766 1,206 1,274 1,274 1,274 HZO.SC.M ...... 393 708 1,005 974 974 HZO.SC.L ...... 766 1,394 2,069 2,052 2,052 HCT.SC.I ...... 244 898 925 919 919 * Numbers in parentheses indicate negative savings.

TABLE V–21—MEAN PAYBACK PERIOD FOR COMMERCIAL REFRIGERATION EQUIPMENT PURCHASED BY LCC SUB-GROUP (SMALL BUSINESS) (YEARS)

Equipment class TSL 1 TSL 2 TSL 3 TSL 4 TSL 5

VOP.RC.M ...... 0.8 1.3 2.0 2.0 8.5 VOP.RC.L ...... 0.7 1.1 1.2 2.7 2.7 VOP.SC.M ...... 0.8 1.6 2.4 2.4 5.2 VCT.RC.M ...... 0.8 1.3 4.2 5.6 5.6 VCT.RC.L ...... 1.1 2.4 2.4 3.4 3.4 VCT.SC.I ...... 1.0 1.6 2.1 2.2 2.2 VCS.SC.I ...... 0.4 0.6 1.3 1.3 1.3 SVO.RC.M ...... 0.8 1.3 1.9 1.9 8.5 SVO.SC.M ...... 0.6 1.4 2.3 2.3 5.2 SOC.RC.M ...... 0.5 0.8 1.7 1.7 10.8 HZO.RC.M ...... 0.5 0.8 1.2 1.6 1.6 HZO.RC.L ...... 1.0 1.4 1.7 1.7 1.7 HZO.SC.M ...... 0.4 1.0 1.8 2.3 2.3 HZO.SC.L ...... 0.3 0.8 1.5 1.7 1.7 HCT.SC.I ...... 0.6 1.3 1.4 1.9 1.9

For commercial refrigeration electrical prices. The average LCC 2. Economic Impacts on Manufacturers equipment, the LCC and PBP impacts savings for the small business sub-group for small businesses are similar to those is slightly higher than that calculated for DOE performed an MIA to estimate of all customers as a whole. While the the average commercial refrigeration the impact of amended energy discount rate for small grocery stores is equipment customer, and the average conservation standards on commercial refrigeration equipment manufacturers higher than that for commercial PBP is slightly shorter than the national (Chapter 13 of the TSD). refrigeration equipment customers as a average. DOE tentatively concluded that whole and equipment prices are higher the small food sales businesses as a. Industry Cash-Flow Analysis Results due to the higher markups, these small defined by SBA will not experience business customers appear to retain economic impacts significantly different Table V–22 and Table V–23 show the commercial refrigeration equipment MIA results for each TSL using both or more negative than those impacts on over longer periods, and generally, markup scenarios described above for food sales businesses as a whole. smaller stores tend to pay higher commercial refrigeration equipment.24

TABLE V–22—MANUFACTURER IMPACT ANALYSIS FOR THE COMMERCIAL REFRIGERATION EQUIPMENT INDUSTRY UNDER THE PRESERVATION OF GROSS MARGIN PERCENTAGE MARKUP SCENARIO

Preservation of gross margin percentage markup scenario with a rollup shipment scenario Efficiency level Units Base case 1 2 3 4 5

INPV ...... 2007$ Millions 510 510 517 493 471 493

24 The MIA estimates the impacts on commercial (i.e., the MIA results in Table V–22 and Table V– manufacturers of equipment from all equipment refrigeration equipment manufacturers of 23 take into consideration the impacts on classes). equipment in the entire range of equipment classes

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TABLE V–22—MANUFACTURER IMPACT ANALYSIS FOR THE COMMERCIAL REFRIGERATION EQUIPMENT INDUSTRY UNDER THE PRESERVATION OF GROSS MARGIN PERCENTAGE MARKUP SCENARIO—Continued

Preservation of gross margin percentage markup scenario with a rollup shipment scenario Efficiency level Units Base case 1 2 3 4 5

Change in INPV 2007$ Millions ...... (0) 6 (17) (40) (18) (%) ...... 0.00% 1.22% ¥3.30% ¥7.76% ¥3.49% Energy Con- 2007$ Millions ...... 0.5 2.8 20.6 40 .4 51 .6 servation Standards Equipment Conversion Expenses. Energy Con- 2007$ Millions ...... 0.8 5.0 36 .3 71 .2 90.8 servation Standards Capital Invest- ments. Total In- 2007$ Millions ...... 1 .3 7 .8 57 .0 111.6 142 .4 vestment Required.

TABLE V–23—MANUFACTURER IMPACT ANALYSIS FOR THE COMMERCIAL REFRIGERATION EQUIPMENT INDUSTRY UNDER THE PRESERVATION OF OPERATING PROFIT MARKUP SCENARIO

Preservation of operating profit markup scenario with a rollup shipment scenario Efficiency level Units Base case 1 2 3 4 5

INPV ...... 2007$ Millions 510 447 423 382 330 226 Change in INPV 2007$ Millions ...... (63) (88) (129) (180) (285) (%) ...... ¥12.34% ¥17 .16% ¥25 .20% ¥35 .32% ¥55 .77% Energy Con- 2007$ Millions ...... 0.5 2.8 20.6 40 .4 51 .6 servation Standards Equipment Conversion Expenses. Energy Con- 2007$ Millions ...... 0.8 5.0 36 .3 71 .2 90.8 servation Standards Capital Invest- ments. Total In- 2007$ Millions ...... 1 .3 7 .8 57 .0 111.6 142 .4 vestment Required.

At TSL 1, the impact on INPV and equipment lines to conform to the ¥17.16 percent. At this level, the cash flow varies greatly depending on energy conservation standards. DOE industry cash flow decreases by the manufacturers and their ability to expects the lower end of the impacts to approximately 6 percent, to $48.2 pass on MPC increases to the customer. be reached, because manufacturers will million, compared to the base case value DOE estimated the impacts in INPV at be able to fully recover the increase in of $51.4 million in the year leading up TSL 1 to range from approximately no manufacturer production cost from to the standards. DOE estimates that impact to ¥$63 million, which is a customers. Therefore, DOE expects that roughly 45 percent of the equipment change in INPV of zero percent to industry revenues and costs will not be being sold is already at or above this ¥12.34 percent. At this level, the significantly negatively affected at TSL level. The required higher level of industry cash flow is $50.9 million, 1. efficiency will cause some manufactures which is nearly the same as the base At TSL 2, the impact on INPV and to modify their equipment lines to case value of $51.4 million in the year cash flow continues to vary depending conform to the energy conservation leading up to the standards. Since DOE on the manufacturers and their ability to standards. DOE does not expect estimates that more than 80 percent of pass on MPC increases to the customer. industry revenues and costs to be the equipment being sold is already at DOE estimated the impacts in INPV at affected significantly as long as or above this level, manufacturers that TSL 2 to range from approximately $6 manufacturers fully recover the increase currently meet TSL 1 will not have to million to ¥$88 million, which is a in manufacturer production cost from make additional modifications to their change in INPV of 1.22 percent to customers. The positive INPV value is

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explained by the assumption that MSP 3 and TSL 5. Since manufacturers manufacturers, groups of manufacturers, increases due to higher costs of the expect that the actual impacts will be or an entire industry. Assessing the equipment, so that manufacturers fully closer to the higher range of impacts at impact of a single regulation may recover and even surpass the TSL 3 and TSL 5, DOE expects that the overlook this cumulative regulatory investments needed to achieve this actual impacts for TSL 4 will also be at burden. level. the higher range (i.e., a drop of 35.32 In addition to the energy conservation At TSL 3, DOE estimated the impacts percent in INPV). regulations on commercial refrigeration in INPV to range from approximately At TSL 5 (max-tech), DOE estimated equipment, several other Federal ¥$17 million to ¥$129 million, which the impacts in INPV to range from ¥$18 regulations and pending regulations is a change in INPV of ¥3.3 percent to million to ¥$285 million, which is a apply to commercial refrigeration ¥25.2 percent. At this level, the change in INPV of approximately ¥3.49 equipment and other equipment industry cash flow decreases by percent to ¥55.77 percent. At this level, produced by the same manufacturers or approximately 45.5 percent, to $28 the industry cash flow decreases by parent companies. DOE recognizes that million, compared to the base case value approximately 114 percent to ¥$7.2 each regulation can significantly affect of $51.4 million in the year leading up million, compared to the base case value manufacturers’ financial operations. to the standards. Based on information of $51.4 million in the year leading up Multiple regulations affecting the same submitted by industry, the majority of to the standards. At higher TSLs, manufacturer can quickly strain manufacturers would require a complete manufacturers have more difficulty fully manufacturers’ profits and possibly redesign of their equipment, and passing on larger MPC increases to cause an exit from the market. An therefore DOE expects that commercial customers, and therefore manufacturers example of these additional regulations refrigeration equipment manufacturers expect that the actual impacts will be is the U.S. Environmental Protection will have some difficulty fully passing closer to the higher end of the range of Agency (EPA)-mandated phaseout of on larger MPC increases to customers. impacts (i.e., a drop of 55.77 percent in hydrochlorofluorocarbons (HCFCs) and Manufacturers expect that the actual INPV). Currently, there is only one the potential residential central air impacts will be closer to the higher end model being manufactured at these conditioners and heat pumps Federal of the range of impacts (i.e., a drop of efficiency levels for most equipment energy conservation standard. Table V– 25.2 percent in INPV). classes, and some equipment classes 24 provides the timetables for these At TSL 4, DOE estimated the impacts have no equipment at these levels. At mandatory or potential regulations. DOE on INPV to range from ¥$40 million to TSL 5, DOE recognizes that there is a believes that the cumulative burden of ¥$180 million, which is a change in risk of very large negative impacts if the HCFC phaseout is minimal because INPV of approximately ¥7.76 percent to manufacturers’ expectations are much of the commercial refrigeration ¥35.32 percent. At this level, the accurate about reduced profit margins. equipment industry has already industry cash flow decreases by During the interviews, manufacturers initiated the transition to HFC approximately 88.4 percent to $5.5 expressed great concern at the refrigerants. As shown in Section IV.B.3 million, compared to the base case value possibility of requiring an entire above, ARI stated that the data it of $51.4 million in the year leading up equipment line to be manufactured at provided to DOE was based on HFC to the standards. TSL 4 was created as the max-tech levels. refrigerants, and DOE therefore used a combination of TSL 3 (minimum LCC) HFC refrigerants in its analysis. DOE is b. Cumulative Regulatory Burden and TSL 5 (max-tech). Manufacturers aware of the industry’s transition to were not directly asked about this While any one regulation may not HFC refrigerants, but requests comment combination TSL during interviews. impose a significant burden on on any cumulative regulatory burdens However, DOE estimated the range of manufacturers, the combined effects of from the combined effects of impending impacts at TSL 4 based on the expected several impending regulations may have regulations that may affect impacts manufacturers reported for TSL serious consequences for some manufacturers.

TABLE V–24—FEDERAL REGULATION TIMETABLES

Regulation Key affected appliance Effective date

Potential DOE energy conservation standards ...... Central air conditioners and heat pumps (residential) ...... 06/2011. Potential DOE energy conservation standards ...... Room air conditioners ...... 06/2011 EPA phaseout of HCFC refrigerant on new equipment ...... Room and residential central air conditioners, and commer- 01/2010 cial air conditioners. EPA phaseout of HCFC blowing agents on new equipment ... Commercial refrigeration equipment ...... 01/2010.

Production of foam insulation uses a DOE recognizes that some parent burden on manufacturers for potential blowing agent. The EPA strategy for companies of commercial refrigeration energy conservation standards for meeting U.S. obligations under the equipment manufacturers could also be central air conditioners and heat pumps Montreal Protocol requires the United affected by the potential energy and for room air conditioners. conservation standards for central air States to phase out the production and c. Impacts on Employment use of HCFC blowing agents. HCFC–22 conditioners and heat pumps and for and HCFC–142b will be phased out on room air conditioners. Additional DOE used the GRIM to assess the January 1, 2010. This affects equipment investments necessary to meet these impacts of energy conservation manufacturing in the United States after potential standards could have standards on commercial refrigeration equipment employment. DOE used this date and causes manufacturers to significant impacts on manufacturers of commercial refrigeration equipment. statistical data from the U.S. Census switch to other blowing agents with no DOE seeks comment on the magnitude Bureau’s 2006 Annual Survey of ozone depletion potential. of impacts for cumulative regulatory Manufacturers, the results of the

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engineering analysis, and interviews d. Impacts on Manufacturing Capacity questions for them. During DOE’s with manufacturers to estimate the According to the majority of interviews, small manufacturers inputs necessary to calculate industry- commercial refrigeration equipment suggested that the impacts of standards wide labor expenditures and manufacturers, new energy conservation on them would not differ from impacts employment levels. standards will not significantly affect on larger companies within the industry Currently the vast majority of manufacturers’ production capacity. (Chapter 13 of the TSD). commercial refrigeration equipment is Any necessary redesign of commercial 3. National Impact Analysis manufactured in the U.S. Based on the refrigeration equipment will not change a. Amount and Significance of Energy GRIM results and interviews with the fundamental assembly of the Savings manufacturers, DOE expects that there equipment. However, manufacturers would be positive direct employment anticipate some minor changes to To estimate the energy savings impacts among domestic commercial tooling. Thus, DOE believes through 2042 due to new energy refrigeration equipment manufacturers manufacturers will be able to maintain conservation standards, DOE compared for TSL 1 through TSL 5. This manufacturing capacity levels and the energy consumption of commercial conclusion ignores the possible continue to meet market demand under refrigeration equipment under the base relocation of domestic jobs to lower- new energy conservation standards. case to energy consumption of labor-cost countries which may occur e. Impacts on Sub-Groups of commercial refrigeration equipment independently of new standards or may Manufacturers under a new standard. The energy be influenced by the level of consumption calculated in the NIA is investments required by new standards. As discussed above, using average cost assumptions to develop an industry source energy, taking into account Because the labor impacts in the GRIM cash-flow estimate is not adequate for energy losses in the generation and do not take relocation into account, the assessing differential impacts among transmission of electricity as discussed labor impacts would be different if sub-groups of manufacturers. Small in Section IV.J. manufacturers chose to relocate to lower manufacturers, niche equipment DOE tentatively determined the cost countries. Manufactures stated that, manufacturers, or manufacturers amount of energy savings at each of the although there are no current plans to exhibiting a cost structure that differs 5 TSLs being considered for the 15 relocate production facilities, at higher largely from the industry average could primary equipment class analyzed and TSLs there would be increased pressure be affected differently. DOE used the aggregated the results. Table V–25 to cut costs, which could result in results of the industry characterization shows the forecasted aggregate national relocation. Chapter 13 of the TSD to group manufacturers exhibiting energy savings for all 15 equipment further discusses the employment similar characteristics. classes at each TSL. The table also impacts and exhibits the actual changes DOE evaluated the impact of new shows the magnitude of the estimated in employment levels by TSL. energy conservation standards on small energy savings if the savings are The conclusions in this section are businesses, as defined by the SBA for discounted at seven percent and three independent of any conclusions the commercial refrigeration equipment percent. Each TSL considered in this regarding employment impacts from the industry, as manufacturing enterprises rulemaking would result in significant broader U.S. economy estimated in the with 750 or fewer employees. DOE energy savings, and the amount of Employment Impact Analysis. These shared the interview guides with small savings increases with higher energy impacts are documented in Chapter 15 commercial refrigeration equipment conservation standards (Chapter 11 of of this TSD. manufacturers and tailored specific the TSD).

TABLE V–25—SUMMARY OF CUMULATIVE NATIONAL ENERGY SAVINGS FOR COMMERCIAL REFRIGERATION EQUIPMENT (ENERGY SAVINGS FOR UNITS SOLD FROM 2012 TO 2042)

Primary national energy savings (quads) (sum of all equipment classes) Trial standard level 3% 7% Undiscounted Discounted Discounted

1 ...... 0.141 0.073 0.034 2 ...... 0.545 0.284 0.132 3 ...... 0.715 0.372 0.173 4 ...... 0.832 0.433 0.201 5 ...... 1.208 0.630 0.292

DOE reports both undiscounted and Management and Budget (OMB)’s corporate capital. DOE used this discounted values of energy savings. guidelines on regulatory analysis (OMB discount rate to approximate the Each TSL analyzed results in additional Circular A–4, Section E, September 17, opportunity cost of capital in the private energy savings, ranging from an 2003), DOE calculated an estimated sector, since recent OMB analysis has estimated 0.141 quads to 1.208 quads NPV using both a seven percent and a found the average rate of return to for TSLs 1 through 5 (undiscounted). three percent real discount rate. The capital to be near this rate. In addition, b. Net Present Value seven percent rate is an estimate of the DOE used the three percent rate to average before-tax rate of return to capture the potential effects of standards The net present value analysis is a private capital in the U.S. economy, and on private consumption (e.g., through measure of the cumulative benefit or reflects the returns to real estate and higher prices for equipment and cost of standards to the Nation. In accordance with the Office of small business capital as well as purchase of reduced amounts of energy).

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This rate represents the rate at which NPV observed in five equipment classes the greatest NPV at TSL 5 with $4.76 society discounts future consumption (VOP.RC.M, VOP.SC.M, SVO.RC.M, billion. flows to their present value. This rate SVO.SC.M, and SOC.RC.M). DOE DOE also determined that a six can be approximated by the real rate of determined through a sensitivity percent reduction in LED system costs return on long-term Government debt analysis that a 50 percent reduction in by 2012 would be sufficient to provide (e.g., the yield on Treasury notes minus LED fixture costs, applied to equipment a positive NPV at TSL 5 in aggregate the annual rate of change in the sold during the analysis period starting across all equipment classes at a seven Consumer Price Index), which has in 2012, would yield a NPV of $1.62 percent discount rate. DOE recognizes averaged about three percent on a pre- billion for TSL 5.25 that the aggregate six percent reduction tax basis for the last 30 years. At a three percent discount rate, all in LED system costs could be attained Table V–27 shows the estimated TSLs showed a positive NPV, with the cumulative NPV for commercial highest NPV provided at TSL 3 (i.e., by 2012 because of the rapid refrigeration equipment resulting from $3.25 billion). TSL 4 provided a near development of LED technology. In the sum of the NPV calculated for each equivalent NPV at $3.24 billion. TSL 5 addition, DOE expects that a 50 percent of the 15 primary equipment classes provided a NPV of $1.16 billion dollars. reduction in LED system costs is analyzed. Table V–27 assumes the Three equipment classes (VOP.RC.M, possible in 2012, given the projections AEO2007 reference case forecast for SVO.RC.M, and SOC.RC.M) were discussed previously, and considers a electricity prices. At a seven percent estimated to have negative NPVs at a 50 percent reduction likely to occur by discount rate, TSL 1–4 show positive three percent discount rate at TSL 5. 2018 as examined in the LCC LED cumulative NPVs. The highest NPV is DOE determined through a sensitivity replacement cost sensitivity analysis. provided by TSL 3 at $1.20 billion. TSL analysis that a 50 percent reduction in Table V–26 shows the estimated NPV 4 provided $1.10 billion, close to that of LED fixture costs, applied to all results at TSL 5, for projected LED TSL 3. TSL 5 showed a negative NPV at equipment sold during the analysis system cost reductions of six percent ¥$200 million, the result of negative period starting in 2012, would result in and 50 percent.

TABLE V–26—SUMMARY OF NET PRESENT VALUE RESULTS WITH LED SYSTEM COST SENSITIVITY*

TSL 5 Includ- TSL 5 Includ- ing 6% LED ing 50% LED TSL 5 system cost system cost reduction reduction

NPV (2007$ billion): 7% Discount Rate ...... (0.20) 0.03 1.62 3% Discount Rate ...... 1.16 1.62 4.76 * Parentheses indicate negative (¥) values.

In addition to the reference case, DOE high-growth and low-growth electricity examination can be found in Chapter 11 examined the NPV under the AEO2007 price forecasts. The results of this of the TSD.

TABLE V–27—SUMMARY OF CUMULATIVE NET PRESENT VALUE FOR COMMERCIAL REFRIGERATION EQUIPMENT— AEO2007 REFERENCE CASE

NPV* (billion 2007$) 7% discount 3% discount Trial standard level rate rate

1 ...... 0.33 0.82 2 ...... 0.98 2.59 3 ...... 1.20 3.25 4 ...... 1.10 3.24 5 ...... (0.20 ) 1.16 * Numbers in parentheses indicate negative NPV, i.e., a net cost.

c. Impacts on Employment activity. DOE also realizes that these standards are likely to slightly increase shifts in spending and economic activity the net demand for labor in the DOE develops general estimates of the could affect the demand for labor. To economy. Neither the BLS data nor the indirect employment impacts of estimate these effects, DOE used an input/output model used by DOE proposed standards on the economy. As input/output model of the U.S. economy includes the quality or wage level of the discussed above, DOE expects energy using Bureau of Labor Statistics (BLS) jobs. As shown in Table V–28, DOE conservation standards for commercial data (as described in Section IV.K; see estimates that net indirect employment refrigeration equipment to reduce Chapter 15 of the TSD for details). impacts from a proposed commercial energy bills for commercial customers, This input/output model suggests the refrigeration equipment standard are and the resulting net savings to be proposed commercial refrigeration likely to be very small. The net increase redirected to other forms of economic equipment energy conservation in jobs is so small that it would be

25 DOE anticipates a reduction in installed cost of price for LED systems is provided and discussed in Sections V.C and IV.B.3.c of this NOPR and LED systems over time. The projected reduction in Appendix B of the TSD.

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imperceptible in national labor statistics and might be offset by other, unanticipated effects on employment.

TABLE V–28—NET NATIONAL CHANGE IN INDIRECT EMPLOYMENT, JOBS IN 2042

Net national change in jobs Trial standard level 2012 2022 2032 2042

1 ...... 0 324 448 505 2 ...... ¥6 1,270 1,744 1,970 3 ...... ¥15 1,680 2,312 2,606 4 ...... ¥94 2,204 3,047 3,434 5 ...... ¥315 3,317 4,607 5,187 Maximum Job Impact ...... ¥315 3,317 4,607 5,187

4. Impact on Utility or Performance of 6295(o)(2)(B)(i)(V) and 6316(e)(1)) To demand may also improve the reliability Equipment assist the Attorney General in making of the electricity system, particularly such a determination, DOE has provided during peak-load periods. As a measure In performing the engineering the Department of Justice (DOJ) with of this reduced demand, DOE expects analysis, DOE considered design copies of this Notice and the TSD for the proposed standards (TSL 4) to options that would not lessen the utility review. During MIA interviews, prevent the need for the construction of or performance of the individual classes domestic manufacturers indicated that new power plants totaling of equipment. (42 U.S.C. foreign manufacturers have entered the approximately 643 MW of electricity 6295(o)(2)(B)(i)(IV) and 6316(e)(1)) As commercial refrigeration equipment generation capacity in 2042. presented in the screening analysis market over the past several years. Enhanced energy efficiency also (Chapter 4 of the TSD), DOE did not Manufacturers also stated that while consider design options that reduce the there has been significant consolidation produces environmental benefits. The utility of the equipment. Because no with supermarket chains, little or no expected energy savings from higher design options were considered that consolidation has occurred among commercial refrigeration equipment reduce utility, DOE tentatively commercial refrigeration manufacturers standards will reduce the emissions of concluded that none of the efficiency in recent years. DOE believes that these air pollutants and greenhouse gases levels proposed for commercial trends will continue to happen in this associated with energy production and refrigeration equipment reduce the market regardless of the proposed fossil fuel usage. Table V–29 shows utility or performance of the equipment. standard level chosen. estimated cumulative CO2, NOX, and Hg emissions reductions for all the 5. Impact of Any Lessening of 6. Need of the Nation to Conserve commercial refrigeration equipment Competition Energy classes over the forecast period. The EPCA directs DOE to consider any An improvement in the energy expected energy savings from lessening of competition that is likely to efficiency of commercial refrigeration commercial refrigeration equipment result from standards. It directs the equipment is likely to improve the standards will reduce the emissions of Attorney General to determine in security of the Nation’s energy system greenhouse gases associated with energy writing the impact, if any, of any by reducing overall demand for energy, production, and it may reduce the cost lessening of competition likely to result and thus reduce the Nation’s reliance on of maintaining nationwide emissions from a proposed standard. (42 U.S.C. foreign sources of energy. Reduced standards and constraints.

TABLE V–29—SUMMARY OF EMISSIONS REDUCTIONS FOR COMMERCIAL REFRIGERATION EQUIPMENT (cumulative reductions for equipment, 2012 to 2042)

Trial Standard Levels TSL 1 TSL 2 TSL 3 TSL 4 TSL 5

Emissions Reductions. CO2 (Mt) ...... 7.37 28.47 37.37 43.50 63.17 NOX (kt) ...... 2.74 10.58 13.88 16.16 23.47 Hg (t) ...... 0.09 0.36 0.47 0.54 0.80 Mt = million metric tons. kt = thousand tons. t = tons.

The estimated cumulative CO2, NOX, environmental assessment (Chapter 16 not affect the overall level of SO2 and Hg emission reductions for the of the TSD), DOE reports estimated emissions in the United States due to proposed standard are 43.5 Mt, 16.16 kt, annual changes in CO2, NOX, and Hg the emissions caps for SO2. and 0.54 t, respectively, for all 15 emissions attributable to each TSL. As The NEMS–BT modeling assumed equipment classes over the period from discussed in Section IV.L, DOE does not that NO would be subject to the Clean 2012 to 2042. However, TSL 5 provides report SO emissions reduction from X 2 Air Interstate Rule (CAIR) issued by the the greatest reduction of emissions of all power plants because reductions from U.S. Environmental Protection Agency the TSLs considered. In the an energy conservation standard would

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on March 10, 2005.26 70 FR 25162 (May DOE is considering whether changes are on addressing mercury emissions in this 12, 2005). On July 11, 2008, the U.S. needed to its plan for addressing the rulemaking. Court of Appeals for the District of issue of NOX reduction. DOE invites DOE is considering taking into Columbia Circuit (D.C. Circuit) issued public comment on how the agency account a monetary benefit of CO2 its decision in North Carolina v. should address this issue, including emission reductions associated with this 27 Environmental Protection Agency, in how it might value NOX emissions for rulemaking. During the preparation of which the court vacated the CAIR. If left States now that the CAIR has been its most recent review of the state of in place, the CAIR would have vacated.29 climate science, the Intergovernmental permanently capped emissions of NOX With regard to mercury emissions, Panel on Climate Change (IPCC) in 28 eastern States and the District of DOE is able to report an estimate of the identified various estimates of the Columbia. As with the SO2 emissions physical quantity changes in mercury present value of reducing carbon- cap, a cap on NOX emissions would emissions associated with an energy dioxide emissions by one ton over the have meant that equipment energy conservation standard. Based on the life that these emissions would remain conservation standards are not likely to NEMS–BT modeling, Hg emissions in the atmosphere. The estimates have a physical effect on NOX emissions show a slight decrease in the period reviewed by the IPCC spanned a range in States covered by the CAIR caps. from 2012 to 2042. These changes in Hg of values. In the absence of a consensus While the caps would have meant that emissions, as shown in Table V–29, are on any single estimate of the monetary physical emissions reductions in those extremely small with a range of between value of CO2 emissions, DOE used an States would not have resulted from the 0.02 and 0.14 percent of national base estimate identified by the study cited in energy conservation standards we are case emissions depending on TSL. Summary for Policymakers prepared by proposing today, the standards might Working Group II of the IPCC’s Fourth The NEMS–BT model assumed that have produced an environmental- Assessment Report to estimate the mercury emissions would be subject to related economic impact in the form of potential monetary value of the CO EPA’s Clean Air Mercury Rule 30 2 lower prices for emissions allowance reductions likely to result from the (CAMR), which would have credits, if large enough. DOE notes that standards under consideration in this permanently capped emissions of the estimated total reduction in NOX rulemaking. mercury for new and existing coal-fired emissions, including projected The estimated year-by-year reductions plants in all States by 2010. Similar to emissions or corresponding allowance in CO emissions were converted into SO and NO , DOE assumed that under 2 credits in States covered by the CAIR 2 X monetary values ranging from the $0 such a system, energy conservation cap was between 0.004 and 0.034 and $14 per ton. These monetary standards would result in no physical percent of the nationwide NOX estimates were based on an assumption effect on these emissions, but might emissions as a whole, percentages that of no benefit to an average benefit value result in an environmental-related DOE estimated were too small to affect reported by the IPCC and the values economic benefit in the form of a lower allowance prices for NOX under the include a range of discount factors used price for emissions allowance credits, if CAIR. in their development.32 Based on DOE’s large enough. DOE estimated that the Even though the D.C. Circuit vacated consideration of the IPCC report, DOE change in Hg emissions from standards the CAIR, DOE notes that the D.C. escalated the average benefit value per would not be large enough to influence Circuit left intact EPA’s 1998 NOX SIP ton in real 2007$ at 2.4 percent per year. allowance prices under CAMR. Call rule, which capped seasonal The resulting estimates of the potential (summer) NOX emissions from electric On February 8, 2008, the D.C. Circuit range of benefits associated with the generating units and other sources in 23 issued its decision in New Jersey v. reduction of CO2 emissions are reflected jurisdictions and gave those Environmental Protection Agency,31 in in Table V–30. jurisdictions the option to participate in which the Court, among other actions, a cap and trade program for those vacated the CAMR referenced above. 32 According to the IPCC, the mean social cost of emissions. See 63 Fed. Reg. 57356, Accordingly, DOE is considering carbon (SCC) reported in studies published in peer- 57359 (Oct. 27, 1998).28 Accordingly, whether changes are needed to its plan reviewed journals was US$43 per ton of carbon. This translates into about $12 per ton of carbon for addressing the issue of mercury dioxide. The social costs estimated represented the 26 See http://www.epa.gov/cleanairinterstaterule/. emissions in light of the D.C. Circuit’s discounted present value of increasing (or 27 Case No. 05–1244, 2008 WL 2698180 at *1 decision. DOE invites public comment decreasing) current emissions of carbon dioxide (or (D.C. Cir. July 11, 2008). an equivalent greenhouse gas) by one ton. The 28 In the NOX SIP Call rule, EPA found that literature review (Tol 2005) from which this mean sources in the District of Columbia and 22 emitted during the ozone season. States have was derived did not report the year in which these flexibility in how they allocate allowances through ‘‘upwind’’ states (States) were emitting NOX (an dollars are denominated. However, since the ozone precursor) at levels that significantly their State Implementation Plans but States must underlying studies spanned several years on either contributed to ‘‘downwind’’ states not attaining the remain within the EPA-established budget. side of 2000, the estimate is often treated as year ozone NAAQS or at levels that interfered with Emission sources are allowed to buy, sell and bank 2000 dollars. Updating that estimate to 2007 dollars states in attainment maintaining the ozone NAAQS. NOX allowances as appropriate. It should be noted yields a SCC of $14 per ton of carbon dioxide. Tol In an effort to ensure that ‘‘downwind’’ states attain that, on April 16, 2008, EPA determined that concluded that when only peer-reviewed studies or continue to attain the ozone NAAQS, EPA Georgia is no longer subject to the NOX SIP Call published in recognized journals are considered, rule. established a region-wide cap for NOX emissions ‘‘* * * climate change impacts may be very 29 from certain large combustion sources and set a In anticipation of CAIR replacing the NOX SIP uncertain but is unlikely that the marginal damage NOX emissions budget for each State. Unlike the Call Rule, many States adopted sunset provisions costs of carbon dioxide emissions exceed $50 per cap that CAIR would have established, the NOX SIP for their plans implementing the NOX SIP Call Rule. tonne carbon [about $14 per metric ton of CO2 or Call Rule’s cap only constrains seasonal (summer The impact of the NOX SIP Call Rule on NOX about $12.66 per short ton][emphasis added].’’ He time) emissions. In order to comply with the NOX emissions will depend, in part, on whether these also concluded that the costs may be substantially SIP Call Rule, States could elect to participate in the implementation plans are reinstated. lower than $50 per tonne of C. Tol’s survey showed 30 NOX Budget Trading Program. Under the NOX 70 FR 28606 (May 18, 2005). that 10 percent of the SCC estimates were actually Budget Trading Program, each emission source is 31 No. 05–1097, 2008 WL 341338, at *1 (D.C. Cir. negative, so that a lower bound of zero is not required to have one allowance for each ton of NOX Feb. 8, 2008). unreasonable.

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TABLE V–30—PRELIMINARY ESTIMATES OF SAVINGS FROM CO2 EMISSIONS REDUCTIONS UNDER CONSIDERED COMMERCIAL REFRIGERATION EQUIPMENT TRIAL STANDARD LEVELS

Value of esti- Value of esti- mated CO2 mated CO2 Estimated total emission reduc- emission reduc- TSL CO2 (Mt) emission tions based on tions based on reductions IPCC range (mil- IPCC range (mil- lion $) at 7% lion $) at 3% discount rate Discount Rate

1 ...... 7.37 0 to 43 ...... 0 to 93 2 ...... 28.47 0 to 166 ...... 0 to 361 3 ...... 37.37 0 to 218 ...... 0 to 473 4 ...... 43.50 0 to 253 ...... 0 to 551 5 ...... 63.17 0 to 368 ...... 0 to 800

DOE relied on the average of the IPCC nationwide emission caps on SO2 and suggest a very wide range of monetary reported estimate as an upper bound on caps on NOX emissions in the 28 states values for NOX emissions, ranging from the benefits resulting from reducing covered by the CAIR caps. In the $370 per ton to $3,800 per ton of NOX each metric ton of U.S. CO2 emissions. presence of emission caps, DOE from stationary sources, measured in It is important to note that estimate of concluded that no physical reductions 2001 dollars 34 or a range of $432 per ton the $14 per ton of CO2 represents an in total sector emissions would occur, to $4,441 per ton in 2007 dollars. The average value of worldwide impacts however DOE’s estimates for reduction basic science linking mercury emissions from potential climate impacts caused of these emissions could correspond to from power plants to impacts on by CO2 emissions, and is not confined incremental changes in the prices of humans is considered highly uncertain. to impacts likely to occur within the emissions allowances in cap-and-trade However, DOE located two estimates of U.S. In contrast, most of the other emissions markets rather than to the environmental damages of mercury estimates of costs and benefits of physical emissions reductions. For SO2, increasing the efficiency of commercial the changes in annual emissions from based on two estimates of the adverse refrigeration equipment discussed in today’s rule would be less than 0.03 impact of childhood exposure to methyl mercury on IQ for American children, this proposal include only the economic percent of the annual SO2 allowances, a values of impacts that would be change that DOE estimated is too small and subsequent loss of lifetime experienced in the U.S. Consequently, to influence allowance prices. Similarly, economic productivity resulting from as DOE considers a monetary value for for NOX, in the 28 CAIR states, the these IQ losses. The high end estimate CO2 emission reductions, the value emissions savings from today’s rule is based on an estimate of the current might be restricted to a representation of would be less than 0.018 percent of NOX aggregate cost of the loss of IQ that those cost/benefits likely to be allowances, also a change that DOE also results from exposure of American experienced in the United States. estimated is too small to influence children of U.S. power plant origin of Currently, there are no estimated values allowance prices. $1.3 billion per year in year 2000$, for the U.S. benefits likely to result from In DOE’s analysis, for 22 non-CAIR which works out to $32.6 million per CO2 emission reductions. However, states, emissions of NOX from electricity ton emitted per year (2007$).35 The low- DOE expects that, if such values were generation were not controlled by a end estimate was $664,000 per ton developed, DOE would use those U.S. regulatory cap. By 2012, DOE projected emitted in 2004$ or $729,000 per ton in benefit values, and not world benefit that the NOX emissions in the non-CAIR 2007$), which DOE derived from a values, in its analysis. DOE further states would be about 25 percent of the published evaluation of mercury control national total.33 Mercury emissions are expects that, if such values were using different methods and developed, they would be lower than also not controlled by a regulatory cap. assumptions from the first study, but comparable global values. DOE invites For these two emissions, DOE estimated also based on the present value of the public comment on the above the national monetized benefits of lifetime earnings of children exposed.36 discussion of CO2. emissions reductions from today’s rule DOE also investigated the potential based on environmental damage The resulting estimates of the potential monetary impact resulting from the estimates from the literature. Non-CAIR range of the present value benefits impact of today’s efficiency standards emissions would not be controlled by an associated with the reduction of NOX in on SO2, NOX, and mercury (Hg) emissions cap so those emissions would the 22 non-CAIR states and national emissions. As previously stated, DOE’s actually be reduced by the PTAC-PTHP reductions in Hg emissions are reflected analysis assumed the presence of energy savings. Available estimates in Table V.31 and Table V.32

33 35 U.S. NOX emissions have been trending emissions would be about 25% of the total. Trasande, L., et al., ‘‘Applying Cost Analyses to downward steadily since 1995, falling from 31.5 [Reference: EIA (Energy Information Drive Policy that Protects Children’’ 1076 ANN. million tons in 1995 to 15.2 million in 2006 (EIA Administration). 2007. Estimated Emissions for U.S. N.Y. ACAD. SCI. 911 (2006). 2007). Although non-CAIR states’ emissions have Electric Power Industry by State, 1990–2006. State 36 Ted Gayer and Robert Hahn, Designing also fallen, the emissions in the CAIR states have Historical Tables for 2006. Released: October 26, Environmental Policy: Lessons from the Regulation fallen more rapidly; thus, the CAIR states’ 2007. Next Update: October 2008 http:// of Mercury Emissions, Regulatory Analysis 05–01. percentage of the total has also fallen from 87.4% www.eia.doe.gov/cneaf/electricity/epa/ AEI-Brookings Joint Center For Regulatory Studies, in 1997 to 80.9% in 2006. For purposes of this emission_state.xls]. Washington, DC, 31 pp., 2004. A version of this analysis, DOE assumed that the CAIR states, 34 2006 Report to Congress on the Costs and paper was published in the Journal of Regulatory percentage of emissions continues to decline until Benefits of Federal Regulations and Unfunded Economics in 2006. The estimate was derived by it reaches 75 percent in 2012. Seventy-five percent Mandates on State, Local, and Tribal Entities. Office back-calculating the annual benefits per ton from of emissions reductions are allocated to the CAIR of Management and Budget Office of Information the net present value of benefits reported in the states thereafter. Consequently non-CAIR state and Regulatory Affairs, Washington, DC. study.

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TABLE V.31—PRELIMINARY ESTIMATES OF MONETARY SAVINGS FROM REDUCTIONS OF HG (NATION) AND NOX (NON- CAIR STATES) BY TRIAL STANDARD LEVEL AT A 7% DISCOUNT RATE

Estimated Value of esti- Estimated cu- Value of esti- mated NOX cumulative mated Hg Standard size TSL mulative NOX emission Hg (tons) emission (kt) emission reductions emission reductions reductions * (million 2007$) reductions* (million 2007$)

1 ...... 2.74 $0.1–$0.6 0.09 $0.0–$0.1 2 ...... 10.58 0.2–2.3 0.36 0.0–0.5 3 ...... 13.88 0.3–3.0 0.47 0.0–0.6 4 ...... 16.16 0.3–3.5 0.54 0.0–0.7 5 ...... 23.47 0.5–5.1 0.80 0.0–1.0 * Values in Table V.31 may not appear to sum to the cumulative values in Table V–29 due to rounding.

TABLE V.32—PRELIMINARY ESTIMATES OF MONETARY SAVINGS FROM REDUCTIONS OF HG (NATION) AND NOX (NON- CAIR STATES) BY TRIAL STANDARD LEVEL AT A 3% DISCOUNT RATE

Value of esti- Estimated cu- Value of esti- Estimated cu- mated NOX mulative Hg mated Hg Standard size TSL mulative NOX emission (tons) emission (kt) emission reductions emission reductions reductions * (million 2007$) reductions (million 2007$)

1 ...... 2.74 $0.1–$1.5 0.09 $0.0–$1.0 2 ...... 10.58 0.5–5.6 0.36 0.1–3.9 3 ...... 13.88 0.7–7.4 0.47 0.1–5.1 4 ...... 16.16 0.8–8.6 0.54 0.1–5.9 5 ...... 23.47 1.2–12.5 0.80 0.2–8.6 * Values in Table V.32 may not appear to sum to the cumulative values in Table V–29 due to rounding.

As discussed above, with the D.C. level. DOE also considered the energy.’’ (42 U.S.C. 6295(o)(3)(B) and Circuit vacating the CAIR, DOE is reduction in generated capacity that 6316(e)(1)) considering how it should address the could result from the imposition of any DOE considered the impacts of issue of NOX reduction and national energy conservation standard standards at each of five trial standard corresponding monetary valuation. DOE level. levels, beginning with the most efficient invites public comment on how the C. Proposed Standard level (TSL 5) and worked down to a agency should address this issue, level where DOE determined the including how to value NO emissions EPCA specifies that any new or X benefits of potential standards for States in the absence of the CAIR. amended energy conservation standard for any type (or class) of covered outweighed the burdens of potential 7. Other Factors equipment shall be designed to achieve standards. To aid the reader as DOE EPCA allows the Secretary of Energy, the maximum improvement in energy discusses the benefits and/or burdens of in determining whether a standard is efficiency that the Secretary determines each TSL, Table V–33 presents a economically justified, to consider any is technologically feasible and summary of quantitative analysis results other factors that the Secretary deems to economically justified. (42 U.S.C. for each TSL based on the assumptions be relevant. (42 U.S.C. 6295(o)(2)(A) and 6316(e)(1)) In and methodology discussed above. This 6295(o)(2)(B)(i)(VII) and 6316(e)(1)) determining whether a standard is table presents the results or, in some Under this provision, DOE considered economically justified, the Secretary cases, a range of results, for each TSL. LCC impacts on identifiable groups of must determine whether the benefits of The range of values reported in this customers, such as customers of the standard exceed its burdens. (42 table for industry impacts represents the different business types, who may be U.S.C. 6295(o)(2)(B)(i) and 6316(e)(1)) results for the different markup disproportionately affected by any The new or amended standard must scenarios that DOE used to estimate national energy conservation standard ‘‘result in significant conservation of manufacturer impacts.

TABLE V–33—SUMMARY OF RESULTS BASED UPON THE AEO2007 REFERENCE CASE ENERGY PRICE FORECAST*

TSL 1 TSL 2 TSL 3 TSL 4 TSL 5

Primary Energy Saved (quads) ...... 0.141 0.545 0.715 0.832 1.208 7% Discount Rate ...... 0.034 0.132 0.173 0.201 0.292 3% Discount Rate ...... 0.073 0.284 0.372 0.433 0.603 Generation Capacity Reduction (GW) ** ...... 0.109 0.421 0.552 0.643 0.934 NPV (2007$ billion): 7% Discount Rate ...... 0.33 0.98 1.20 1.10 (0.20) 3% Discount Rate ...... 0.82 2.59 3.25 3.24 1.16 Industry Impacts: Industry NPV (2007$ million) ...... 0–(63) 6–(88) (17)–(129) (40)–(180) (18)–(285) Industry NPV (% Change) ...... 0–(12) 1–(17) (3)–(25) (8)–(35) (3)–(56) Cumulative Emissions Impacts: †

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TABLE V–33—SUMMARY OF RESULTS BASED UPON THE AEO2007 REFERENCE CASE ENERGY PRICE FORECAST*— Continued

TSL 1 TSL 2 TSL 3 TSL 4 TSL 5

CO2 (Mt) ...... 7.37 28.47 37.37 43.50 63.17 NOX (kt) ...... 2.74 10.58 13.88 16.16 23.47 Hg (t)...... 0.09 0.36 0.47 0.54 0.80 Life-Cycle Cost: Net Savings (%) ...... 17–48 34–68 61–89 68–93 24–93 Net Increase (%) ...... 0 0 0 0–19 0–71 No Change (%) ...... 52–83 32–66 11–39 7–32 2–19 Mean LCC Savings (2007$) ...... 192–3132 551–4005 710–4089 693–3818 (673)–3818 Mean PBP (yrs) ...... 0.4–1.2 0.6–2.6 1.3–4.6 1.4–6.1 1.4–12.6 * Parentheses indicate negative (¥) values. For LCCs, a negative value means an increase in LCC by the amount indicated. ** Change in installed generation capacity by the year 2042 based on AEO2007 Reference Case. † CO2 emissions impacts include physical reductions at power plants. NOX emissions impacts include physical reductions at power plants as well as production of emissions allowance credits where NOX emissions are subject to emissions caps.

First, DOE considered TSL 5, the most larger increases in MPC to customers, DOE’s analysis (see discussion in efficient level for all equipment classes. and therefore manufacturers expect the sections IV.B.3.c, V.B.1.a, and V.B.3.b), TSL 5 would likely save an estimated higher end of the range of impacts to be DOE believes that it must have a higher 1.208 quads of energy through 2042, an reached at TSL 5 (i.e., a drop of 55.77 degree of confidence that the timing and amount DOE considers significant. percent in INPV). At TSL 5, there is the extent of such further cost reductions Discounted at seven percent, the risk of very large negative impacts on will warrant higher standards before it projected energy savings through 2042 the industry if manufacturers’ profit imposes such requirements. DOE is would be 0.292 quads. For the Nation as margins are reduced. Manufacturers soliciting public comments on these and a whole, DOE projects that TSL 5 would expressed great concern at the other issues, and will reconsider this result in a net decrease of $200 million possibility of having to manufacture an tentative conclusion during the in NPV, using a discount rate of seven entire equipment line at the max-tech development of its final rule. (See percent. Five equipment classes levels, because customers put a much Section VII.E.1.) (VOP.RC.M, VOP.SC.M, SVO.RC.M, higher priority on marketing and As mentioned above, if LED system SVO.SC.M, and SOC.RC.M) show displaying their goods than they do on costs achieve the 50 percent reduction negative NPV at TSL 5. The emissions energy efficiency. For this reason, projection by 2012, the estimated NPV reductions at TSL 5 are 63.17 Mt of CO2 manufacturers fear that they will be at TSL 5 would be a positive $1.62 and up to 23.47 kt of NOX. DOE also unable to recover the additional cost billion at a seven percent discount rate estimates that under TSL 5, total incurred from producing the most and $4.76 billion at the three percent generating capacity in 2042 will efficient equipment possible. See discount rate, and is likely to result in decrease compared to the base case by Section IV.I for additional manufacturer a net benefit. DOE requests comment on 0.934 gigawatts (GW). concerns. whether the benefits of TSL 5 would At TSL 5, DOE projects that the After carefully considering the outweigh the burdens of TSL 5, average commercial refrigeration analysis and weighing the benefits and considering the potential impacts of equipment customer will experience a burdens of TSL 5, DOE tentatively future LED cost projections. This is reduction in LCC compared to the concludes that the estimated benefits of identified as Issue 7 under ‘‘Issues on baseline for 12 of the 15 equipment energy savings and related benefits Which DOE Seeks Comment’’ in Section classes analyzed, while three equipment would not outweigh the potential $200 VII.E of this NOPR. DOE also seeks classes (VOP.RC.M, SVO.RC.M, million net economic cost to the Nation comment on the extent to which SOC.RC.M) experienced an increase in (at the seven percent discount rate), as stakeholders expect projected LED cost LCC. These three equipment classes are well as the economic burden on reductions would occur, the timing of among the five identified above that consumers and the potential negative the projected LED cost reductions, and DOE showed had negative NPV. The impact on manufacturers through the certainty of the projected LED cost two additional classes, SVO.SC.M and reduction in INPV. reductions. Also, considering the rapid VOP.SC.M, had positive LCC savings at As discussed above, DOE proposes to development of LED technology and the TSL 5, but at substantially reduced reject TSL 5 because DOE finds that the steady reductions in cost, DOE seeks values compared to those shown at TSL benefits to the Nation of TSL 5 (energy comment on the extent to which 4 or TSL 3. LCC savings for all 15 savings, commercial consumer average manufacturers would adopt LED equipment classes vary from negative LCC savings, and emission reductions) technology into the design of (¥$673) to positive $3,818. At TSL 5, do not outweigh the costs (national NPV commercial refrigeration equipment in DOE estimates the fraction of customers decrease and loss of manufacturer the absence of standards. experiencing LCC increases will vary INPV), and, therefore, DOE proposes DOE then considered TSL 4, which between 0 and 71 percent depending on that TSL 5 is not economically justified. provides for all equipment classes the equipment class. The mean payback This proposal reflects DOE’s tentative maximum efficiency levels that the period for the average commercial conclusion that there remains too much analysis showed to have positive NPV to refrigeration equipment customer at TSL uncertainty regarding the timing and the Nation. TSL 4 would likely save an 5 compared to the baseline level is extent of anticipated reductions in LED estimated 0.832 quads of energy through projected to be between 1.4 and 12.6 costs to justify standards at the TSL 5 2042, an amount DOE considers years, depending on equipment class. level. While considerable information is significant. Discounted at seven percent, At higher TSLs, manufacturers have a available that suggests LED costs are the projected energy savings through more difficult time fully passing on likely to decline more than assumed in 2042 would be 0.201 quads. For the

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Nation as a whole, DOE projects that VI. Procedural Issues and Regulatory equipment, commercial refrigeration TSL 4 would result in a net increase of Review equipment is not included in energy labeling programs such as the Federal $1.10 billion in NPV, using a discount A. Review Under Executive Order 12866 rate of seven percent. The estimated Trade Commission’s energy labeling emissions reductions at TSL 4 are 43.50 DOE has determined that today’s program. Furthermore, the energy use of Mt of CO and up to 16.16 kt of NO . regulatory action is an ‘‘economically this equipment depends on usage. 2 X significant’’ action under Section 3(f)(1) Total generating capacity in 2042 is Information is not readily available for of Executive Order 12866, ‘‘Regulatory estimated to decrease compared to the the owners to make a decision on Planning and Review.’’ 58 FR 51735 base case by 0.643 GW under TSL 4. whether improving the energy efficiency (October 4, 1993). The Executive Order of commercial refrigeration equipment At TSL 4, DOE projects that the requires that each agency identify in is cost-effective. DOE seeks data on the average commercial refrigeration writing the specific market failure or efficiency levels of existing commercial equipment customer will experience a other specific problem that it intends to refrigeration equipment in use by reduction in LCC compared to the address that warrants new agency owners, electricity price, and equipment baseline for all 15 equipment classes action, as well as assess the significance class. Being part of the food analyzed, ranging from $693 to $3,818 of that problem to determine whether merchandising industry, energy depending on equipment class. The any new regulation is warranted. efficiency and energy cost savings are mean payback period for the average Executive Order 12866, § 1(b)(1). not the primary drivers of the business, commercial refrigeration equipment In the ANOPR for this rulemaking, as is selling food products to shoppers. customer at TSL 4 is projected to be DOE requested feedback and data on a This may incur transaction costs, thus number of issues related to Executive between 1.4 and 6.1 years compared to preventing access to capital to finance Order 12866 and the existence of a the purchase of baseline equipment. energy efficiency investment. market failure in the commercial Today’s action also required a As is the case with TSL 5, DOE refrigeration equipment industry. This regulatory impact analysis (RIA) and, believes the majority of manufacturers request included (1) Data on, and under the Executive Order, was subject would need to completely redesign most suggestions for testing the existence and to review by the Office of Information equipment offered for sale, and extent of, potential market failures to and Regulatory Affairs (OIRA) in the therefore DOE expects that commercial complete an assessment in the proposed OMB. DOE presented to OIRA for refrigeration manufacturers will have rule of the significance of any failures; (2) data on the efficiency levels of review the draft proposed rule and other some difficulty fully passing on larger documents prepared for this MPC increases to customers. Similar to existing commercial refrigeration equipment in use by store type; (3) rulemaking, including the RIA, and has TSL 5, manufacturers expect the higher included these documents in the end of the range of impacts to be comment on the Federal ENERGYSTAR program and its penetration into the rulemaking record. They are available reached at TSL 4 (i.e., a drop of 35.3 for public review in the Resource Room percent in INPV). However, compared to commercial refrigeration equipment market as a resource on the availability of the Building Technologies Program, the baseline, all 15 equipment classes and benefits of energy efficient 950 L’Enfant Plaza, SW., 6th Floor, showed significant positive life-cycle refrigeration units; (4) data on owner- Washington, DC 20024, (202) 586–9127, cost savings on a national average basis occupied buildings versus leased/non- between 9 a.m. and 4 p.m., Monday and few customers experienced an owner occupied buildings for given through Friday, except Federal holidays. increase in LCC with a standard at TSL store types and their associated use of The RIA is contained in the TSD 4 compared with purchasing baseline high-efficiency equipment; and (5) prepared for the rulemaking. The RIA equipment. The payback periods comment on the weight that should be consists of (1) a statement of the calculated for all equipment classes given to these factors in DOE’s problem addressed by this regulation were lower than the life of the determination of the maximum and the mandate for Government action; equipment. efficiency level at which the total (2) a description and analysis of the feasible policy alternatives to this After carefully considering the benefits are likely to exceed the total regulation; (3) a quantitative comparison analysis and weighing the benefits and burdens resulting from a DOE standard. of the impacts of the alternatives; and burdens of TSL 4, DOE proposes that Following publication of the ANOPR and subsequent public comment period, (4) the national economic impacts of the TSL 4 represents the maximum proposed standard. improvement in energy efficiency that is DOE did not receive any feedback related to these requests. The RIA calculates the effects of technologically feasible and Much of the industry segment that feasible policy alternatives to economically justified and that the uses commercial refrigeration commercial refrigeration equipment estimated benefits to the Nation equipment tends to be large grocery standards and provides a quantitative outweigh the costs. DOE proposes that stores, multi-line retailers, small grocery comparison of the impacts of the TSL 4 is technologically feasible stores, or convenience stores. DOE alternatives. DOE evaluated the because the technologies required to believes that these owners may lack alternatives in terms of their ability to achieve these levels are already in corporate direction on energy policy. achieve significant energy savings at existence. Therefore, DOE is proposing The transaction costs for these owners reasonable cost, and compared it to the TSL 4 as the energy conservation to research, purchase, and install effectiveness of the proposed rule. DOE standards for commercial refrigeration optimum efficiency equipment options analyzed these alternatives using a equipment in this NOPR. are too high to make such action series of regulatory scenarios as input to However, for the reasons discussed commonplace. DOE believes that there the NES/shipments model for above, DOE also requests comments on is a lack of information about energy commercial refrigeration equipment, whether it should adopt TSL 5 for all or efficiency opportunities in the which DOE modified to provide inputs for these voluntary measures. some of the equipment classes. commercial refrigeration equipment market available to these owners. Unlike DOE identified the following major residential heating and air conditioning policy alternatives for achieving

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increased commercial refrigeration • Commercial customer tax credits. and compared it to the effectiveness of equipment energy efficiency: DOE evaluated each alternative’s the proposed rule. • No new regulatory action. ability to achieve significant energy • Commercial customer rebates. savings at reasonable cost (Table VI–1),

TABLE VI–1—NON-REGULATORY ALTERNATIVES TO STANDARDS

Net present value** (billion 2007$) * Policy alternatives Energy savings (quads) 7% 3% discount rate discount rate

No New Regulatory Action ...... 0 0 0 Commercial Customer Rebates ...... 0 .099 0 .139 0.315 Commercial Customer Tax Credits† ...... 0 .084 0.178 0.381 Today’s Standards at TSL 4 ...... 0.832 1 .10 3.24 * Energy savings are in source quads. ** Net present value is the value in the present of a time series of costs and savings. DOE determined the net present value from 2012 to 2062 in billions of 2007$. † These are example values for TSL 3.

The net present value amounts shown equipment. DOE presumed the presence standards DOE is proposing in this in Table VI–1 refer to the NPV for of a certification or other program that proposed rule. DOE also considered, but commercial customers. The following could be used to identify high-efficiency did not analyze, the potential of bulk paragraphs discuss each policy commercial refrigeration equipment by Government purchases and early alternative listed in Table VI–1. (See energy consumption, and assumed TSL replacement incentive programs as Chapter 17 of the TSD, Regulatory 3 as a likely candidate level for a tax alternatives to the proposed standards. Impact Analysis, for further details.) credit incentive, given that it was the In the case of bulk Government No new regulatory action. The case in minimum LCC level. DOE then purchases, commercial refrigeration which no regulatory action is taken for reviewed the incremental customer equipment is a very small part of the commercial refrigeration equipment price increase to reach TSL 3 from the total market and the volume of high- constitutes the base case (or No Action) baseline for all 15 equipment classes. efficiency equipment purchases that the scenario. By definition, no new For 12 of the equipment classes, the Federal Government might make would regulatory action yields zero energy incremental cost was between 6.1 and have very limited impact on improving savings and a net present value of zero 21.3 percent. For three equipment the overall market efficiency of dollars. classes (SOC.RC.M, HZO.RC.M, commercial refrigeration equipment. In Commercial Customer Rebates. DOE HZO.RC.L), the incremental cost was the case of replacement incentives, modeled the impact of the customer less than five percent. In its tax credit several policy options exist to promote rebate policy by determining the analysis, DOE assumed a flat tax credit early replacement, including a direct increased customer participation rate equal to five percent of the customer national program of customer due to the rebates (i.e., the percent price for equipment sold at TSL 3 or incentives, incentives paid to utilities to increase in customers purchasing high- higher for each primary equipment promote an early replacement program, efficiency equipment). DOE modeled a class, with the exception of SOC.RC.M, market promotions through equipment national rebate program after existing HZO.RC.M, and HZO.RC.L. DOE manufacturers, and replacement of utility rebate programs that provide assumed a 100 percent application rate Federally owned equipment. Previous incentives for incorporating high- for the tax credit from commercial analysis by DOE of methods to promote efficiency technologies into commercial refrigeration equipment customers and early replacement for other covered refrigeration equipment. The reduction reduced the retail equipment price by equipment have suggested that the in retail cost of the higher efficiency five percent for TSL 3, TSL 4, and TSL energy savings realized through a one- cases was calculated and the 5 for the 12 equipment classes. The time early replacement of existing stock methodology developed for the NIA reductions in retail cost of commercial equipment has not resulted in energy used to assess relative shipments by refrigeration equipment at these levels savings commensurate to the cost to run efficiency level was used to assess was calculated and the methodology and administer the program. As a relative shipments by efficiency level developed for the NIA used to assess consequence, DOE did not analyze this under the rebate scenario. DOE applied relative shipments by efficiency level option in detail. the resulting increase in market share of under the tax credit scenario. DOE efficient units to the NES spreadsheet As Table VI–1 indicates, none of the applied the resulting increase in market model to estimate the resulting NES and alternatives DOE examined would save share of efficient units to the NES NPV for the rebate scenario with respect as much energy as today’s proposed to the base case. spreadsheet model to estimate the rule. Also, several of the alternatives Commercial Customer Tax Credits. resulting NES and NPV for the tax credit would require new enabling legislation, DOE assumed a commercial or scenario with respect to the base case. since authority to carry out those industrial customer Federal tax credit To see results for tax credits for alternatives does not exist. The tax patterned after the tax credits created in equipment meeting or exceeding TSL 5, credit scenario would also require the EPACT 2005. EPACT 2005 provided tax see the Regulatory Impact Analysis of development of a database of credits to customers who purchase and the TSD. commercial refrigeration equipment that install specific products such as energy Performance Standards. Each of the would meet or exceed the TSL 3 efficient windows, insulation, doors, non-regulatory alternatives must be efficiency level in order to determine roofs, and heating and cooling gauged against the performance compliance with the tax credit.

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B. Review Under the Regulatory commercial refrigeration equipment. standards for commercial ice-cream Flexibility Act/Initial Regulatory DOE conducted on-site interviews with freezers; self-contained commercial Flexibility Analysis two small manufacturers who agreed to refrigerators, commercial freezers, and The Regulatory Flexibility Act (5 be interviewed to determine if there are commercial refrigerator-freezers without U.S.C. 601 et seq.) requires preparation differential impacts on these companies doors; and remote condensing of an initial regulatory flexibility that may result from new energy commercial refrigerators, commercial analysis (IRFA) for any rule that by law conservation standards. freezers, and commercial refrigerator- DOE found that, in general, small must be proposed for public comment, freezers. manufacturers have the same concerns unless the agency certifies that the rule, as large manufacturers regarding new 2. Objectives of, and Legal Basis for, the if promulgated, will not have a energy conservation standards. DOE Proposed Rule significant economic impact on a summarized the key issues for substantial number of small entities. As commercial refrigeration equipment EPCA provides that any new or required by Executive Order 13272, manufacturers in Section IV.I.3.a of amended standard for commercial ‘‘Proper Consideration of Small Entities today’s notice. Both manufacturers refrigeration equipment must be in Agency Rulemaking’’ 67 FR 53461 echoed the same concerns regarding designed to achieve the maximum (August 16, 2002), DOE published new energy conservation standards as improvement in energy efficiency that is procedures and policies on February 19, the larger manufacturers, including technologically feasible and 2003, to ensure that the potential investments needed to meet standards, economically justified. (42 U.S.C. impacts of its rules on small entities are meeting customer needs, equipment 6295(o)(2)(A) and 6316(e)(1)) But EPCA properly considered during the sales, and coverage of niche equipment. precludes DOE from adopting any rulemaking process. 68 FR 7990. DOE Specifically, DOE found no significant has made its procedures and policies standard that would not result in differences in the R&D emphasis or significant conservation of energy. (42 available on the Office of General marketing strategies between small Counsel’s Web site, http:// U.S.C. 6295(o)(3) and 6316(e)(1)) business manufacturers and large Moreover, DOE may not prescribe a www.gc.doe.gov. manufacturers. Therefore, for the standard for certain equipment if no test Small businesses, as defined by the equipment classes manufactured procedure has been established for that Small Business Administration (SBA) primarily by the small businesses, DOE for the commercial refrigeration believes the GRIM analysis, which equipment, or if DOE determines by rule equipment manufacturing industry, are models each equipment class separately, that the standard is not technologically manufacturing enterprises with 750 is representative of the small businesses feasible or economically justified, and employees or fewer. DOE used the small affected by standards. The qualitative that such standard will not result in business size standards published on and quantitative GRIM results are significant conservation of energy. (42 January 31, 1996, as amended by the summarized in Section V.B.2 of today’s U.S.C. 6295(o)(3) and 6316(e)(1)) EPCA SBA to determine whether any small notice. also provides that, in deciding whether entities would be required to comply DOE reviewed the standard levels a standard is economically justified, with the rule. 61 FR 3286 and codified considered in today’s notice of proposed DOE must determine whether the at 13 CFR Part 121. The size standards rulemaking under the provisions of the benefits of the standard exceed its are listed by North American Industry Regulatory Flexibility Act and the burdens after receiving comments on Classification System (NAICS) code and procedures and policies published on the proposed standard. (42 U.S.C. industry description. Commercial February 19, 2003. Based on this review, 6295(o)(2)(B)(i) and 6316(e)(1)) To refrigeration equipment manufacturing DOE has prepared an IRFA for this determine whether economic is classified under NAICS 333415. rulemaking. The IRFA describes justification exists, DOE reviews Prior to issuing this notice of potential impacts on small businesses comments received and conducts proposed rulemaking, DOE interviewed associated with commercial two small businesses affected by the analysis to determine whether the refrigeration equipment design and economic benefits of the proposed rulemaking. DOE also obtained manufacturing. standard exceed the burdens to the information about small business The potential impacts on commercial impacts while interviewing refrigeration equipment manufacturers greatest extent practicable, taking into manufacturers that exceed the small are discussed in the following sections. consideration seven factors set forth in business size threshold of 750 DOE has transmitted a copy of this IRFA 42 U.S.C. 6295(o)(2)(B) and 6316(e)(1) employees. to the Chief Counsel for Advocacy of the (see Section II.B of this preamble). DOE reviewed ARI’s listing of its Small Business Administration for EPCA also states that the Secretary commercial refrigeration equipment review. may not prescribe an amended or new manufacturer members and surveyed 1. Reasons for the Proposed Rule standard if interested persons have the industry to develop a list of all established by a preponderance of the domestic manufacturers. DOE also Part A–1 of Title III of EPCA evidence that the standard is likely to asked stakeholders and ARI addresses the energy efficiency of result in the unavailability in the United representatives within the industry if certain types of commercial and States of any equipment type (or class) they were aware of any other small industrial equipment. (42 U.S.C. 6311– with performance characteristics business manufacturers. DOE then 6317) EPACT 2005, Pub. L. 109–58, (including reliability), features, sizes, examined publicly available data and included an amendment to Part A–1 contacted manufacturers, when needed, requiring that DOE prescribe energy capacities, and volumes that are to determine if they meet the SBA’s conservation standards for the substantially the same as those generally definition of a small manufacturing commercial refrigeration equipment that available in the United States. (42 U.S.C. facility and if their manufacturing is the subject of this rulemaking. 6295(o)(4) and 6316(e)(1)) Further facilities are located within the United (EPACT 2005, Section 136(c); 42 U.S.C. information concerning the background States. Based on this analysis, DOE 6313(c)(4)(A)) Hence, DOE is proposing of this rulemaking is provided in identified nine small manufacturers of in today’s notice, energy conservation Chapter 1 of the TSD.

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3. Description and Estimated Number of IRFA, DOE expects that the differential concerns over the ability to be able to Small Entities Regulated impact associated with commercial produce equipment by the future DOE reviewed ARI’s listing of refrigeration equipment design and effective date of the standard. At commercial refrigeration equipment manufacturing on small businesses proposed TSL 5, DOE estimates that the manufacturer members and surveyed would be negligible. majority of manufacturers would be the industry to develop a list of every 5. Duplication, Overlap, and Conflict negatively impacted. Based on manufacturer. DOE also asked With Other Rules and Regulations manufacturer interviews, some stakeholders and ARI representatives manufacturers stated that they could not DOE is not aware of any rules or meet proposed TSL 5 for medium- within the industry if they were aware regulations that duplicate, overlap, or of any other small business temperature equipment, and that they conflict with the rule being considered would need technological innovation to manufacturers. DOE then looked at today. publicly available data and contacted achieve these levels by 2012. manufacturers, where needed, to 6. Significant Alternatives to the Rule Manufacturers believe that setting standards at the maximum level will determine if they meet the SBA’s The primary alternatives to the affect their customers’ ability to definition of a small business proposed rule considered by DOE are merchandise products by limiting the manufacturing facility and have their the other TSLs besides the one being flexibility in choosing design options. manufacturing facilities located within considered today, proposed TSL 4. In For example, at TSL 5 specifically, the the U.S. Based on this analysis, DOE addition to the other TSLs considered, use of LED lighting technology may be estimates that there are nine small the TSD associated with this proposed necessary to meet the proposed levels commercial refrigeration equipment rule includes a report referred to in for many equipment classes. manufacturers. See Chapter 13 of the Section VI.A in the preamble as the TSD for further discussion about the regulatory impact analysis (RIA- Manufacturers expect that having methodology used in DOE’s discussed earlier in this report and in limited choices in design options would manufacturer impact analysis and its detail in the TSD). This report discusses commoditize the industry and reduce analysis of small-business impacts. the following policy alternatives: (1) No profit margins. This concern was echoed new regulatory action, (2) commercial by all manufacturers, not just small 4. Description and Estimate of customer rebates, and (3) commercial business manufacturers. Compliance Requirements customer tax credits. The energy savings For the proposed standard, TSL 4, and Potential impacts on manufacturers, of these regulatory alternatives are one for alternative TSLs, TSL 1 through 3, including small businesses, come from to two orders of magnitude smaller than DOE expects that impacts to small impacts associated with commercial those expected from the standard levels manufacturers would be less than the refrigeration equipment design and under consideration. The range of impacts described above for TSL 5. At manufacturing. The margins and/or economic impacts of these regulatory lower TSLs, the differential impacts to market share of manufacturers, alternatives is an order of magnitude small manufacturers are diminished including small businesses, in the smaller than the range of impacts because research and development commercial refrigeration equipment expected from the standard levels under efforts are less at lower TSLs. Chapter industry could be negatively impacted consideration. 12 of the TSD contains additional in the long term by the standard levels The commercial refrigeration information about the impact of this under consideration in this notice of equipment industry is highly rulemaking on manufacturers. As proposed rulemaking, specifically TSL customized. Customers demand high mentioned above, the other policy 4. The level of research and levels of customization from alternatives (no new regulatory action, development needed to meet energy commercial refrigeration equipment commercial customer rebates, and conservation standards increases with manufacturers to differentiate commercial customer tax credits) are more stringent energy conservation themselves from other retail stores. described in Section VI.A of the standards. DOE expects that small They do not want to lose any preamble and in the Regulatory Impact manufacturers will have more difficulty functionality or utility in their Analysis, Chapter 17 of the TSD. Since funding the required research and equipment, such as display area, the impacts of these policy alternatives development necessary to meet energy because this affects their ability to are lower than the impacts described conservation standards than larger merchandise products. Often, the above for TSL 5, DOE expects that the manufacturers. Therefore, at proposed customer’s desire for easy consumer impacts to small manufacturers would TSL 4, as opposed to lower TSLs, small access requires equipment that is less also be less than the impacts described manufacturers would have less energy efficient. They also do not want above for the proposed standard levels. flexibility in choosing a design path. to lose any flexibility in design choices, DOE requests comment on the impacts However, as discussed under subsection such as lighting options. All to small business manufacturers for 6 (Significant alternatives to the rule) manufacturers, including small these and any other possible alternatives below, DOE expects that the differential businesses, would have to develop to the proposed rule. DOE will consider impact on small commercial designs to enable compliance to higher any comments received regarding refrigeration equipment manufacturers TSLs. Product redesign costs tend to be impacts to small business manufacturers (versus large businesses) would be fixed and do not scale with sales for all the alternatives identified, smaller in moving from proposed TSL 1 volume. Thus, small manufacturers including those in the RIA, for the Final to proposed TSL 2 than it would be in would be at a relative disadvantage at Rule. moving from proposed TSL 4 to higher TSLs because research and C. Review Under the Paperwork proposed TSL 5. The rationale for DOE’s development efforts would be on the Reduction Act expectation is best discussed in a same scale as those for larger comparative context and is therefore companies, but these expenses would be This rulemaking will impose no new elaborated upon in subsection 6 recouped over smaller sales volumes. information or record keeping (Significant alternatives to the rule). As At proposed TSL 5, the max-tech requirements. Accordingly, OMB discussed in the introduction to this level, manufacturers stated their clearance is not required under the

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Paperwork Reduction Act. (44 U.S.C. F. Review Under Executive Order 12988 ‘‘Regulatory Impact Analysis’’ section of 3501 et seq.) With respect to the review of existing the TSD for this final rule respond to regulations and the promulgation of those requirements. D. Review Under the National Under section 205 of UMRA, the new regulations, section 3(a) of Environmental Policy Act Department is obligated to identify and Executive Order 12988, Civil Justice DOE is preparing an environmental consider a reasonable number of Reform (61 FR 4729, February 7, 1996) assessment of the impacts of the regulatory alternatives before imposes on Federal agencies the general proposed rule. DOE is preparing an promulgating a rule for which a written duty to adhere to the following environmental assessment of the statement under section 202 is required. requirements: (1) Eliminate drafting impacts of the proposed rule. The DOE is required to select from those errors and ambiguity; (2) write assessment will include an examination alternatives the most cost-effective and regulations to minimize litigation; and of the potential effects of emission least burdensome alternative that (3) provide a clear legal standard for reductions likely to result from the rule achieves the objectives of the rule in the context of global climate change affected conduct rather than a general unless DOE publishes an explanation as well as other types of environmental standard and promote simplification for doing otherwise or the selection of impacts. DOE anticipates completing a and burden reduction. Section 3(b) of such an alternative is inconsistent with Finding of No Significant Impact Executive Order 12988 specifically law. As required by sections 325(o), (FONSI) before publishing the final rule requires that Executive agencies make 345(a) and 342(c)(4)(A) of EPCA (42 on commercial refrigeration equipment, every reasonable effort to ensure that the U.S.C. 6295(o), 6316(a) and pursuant to the National Environmental regulation (1) clearly specifies the 6313(c)(4)(A)), today’s proposed rule Policy Act of 1969 (42 U.S.C. 4321 et preemptive effect, if any; (2) clearly would establish energy conservation seq.), the regulations of the Council on specifies any effect on existing Federal standards for commercial refrigeration Environmental Quality (40 CFR Parts law or regulation; (3) provides a clear equipment that are designed to achieve 1500–1508), and DOE’s regulations for legal standard for affected conduct the maximum improvement in energy compliance with the National while promoting simplification and efficiency that DOE has determined to Environmental Policy Act (10 CFR Part burden reduction; (4) specifies the be both technologically feasible and 1021). retroactive effect, if any; (5) adequately economically justified. A full discussion defines key terms; and (6) addresses E. Review Under Executive Order 13132 of the alternatives considered by DOE is other important issues affecting clarity presented in the ‘‘Regulatory Impact Executive Order 13132, Federalism, and general draftsmanship under any Analysis’’ section of the TSD for today’s 64 FR 43255 (August 4, 1999) imposes guidelines issued by the Attorney final rule. certain requirements on agencies General. Section 3(c) of Executive Order formulating and implementing policies 12988 requires Executive agencies to H. Review Under the Treasury and or regulations that preempt State law or review regulations in light of applicable General Government Appropriations that have federalism implications. The standards in Section 3(a) and Section Act, 1999 Executive Order requires agencies to 3(b) to determine whether they are met Section 654 of the Treasury and examine the constitutional and statutory or it is unreasonable to meet one or General Government Appropriations authority supporting any action that more of them. DOE has completed the Act, 1999 (Pub. L. 105–277) requires would limit the policymaking discretion required review and determined that, to Federal agencies to issue a Family of the States and carefully assess the the extent permitted by law, this Policymaking Assessment for any rule necessity for such actions. The proposed rule meets the relevant that may affect family well-being. This Executive Order also requires agencies standards of Executive Order 12988. rule would not have any impact on the to have an accountable process to autonomy or integrity of the family as ensure meaningful and timely input by G. Review Under the Unfunded Mandates Reform Act of 1995 an institution. Accordingly, DOE has State and local officials in the concluded that it is not necessary to development of regulatory policies that DOE reviewed this regulatory action prepare a Family Policymaking have federalism implications. On March under Title II of the Unfunded Mandates Assessment. 14, 2000, DOE published a statement of Reform Act of 1995 (Pub. L. 104–4) policy describing the intergovernmental (UMRA), which requires each Federal I. Review Under Executive Order 12630 consultation process it will follow in the agency to assess the effects of Federal DOE has determined, under Executive development of such regulations. 65 FR regulatory actions on State, local and Order 12630, Governmental Actions and 13735. DOE has examined today’s Tribal governments and the private Interference with Constitutionally proposed rule and has determined that sector. Today’s final rule may impose Protected Property Rights, 53 FR 8859 it would not have a substantial direct expenditures of $100 million or more on (March 18, 1988), that this regulation effect on the States, on the relationship the private sector. It does not contain a would not result in any takings that between the National Government and Federal intergovernmental mandate. might require compensation under the the States, or on the distribution of Section 202 of UMRA authorizes an Fifth Amendment to the U.S. power and responsibilities among the agency to respond to the content Constitution. various levels of government. EPCA requirements of UMRA in any other governs and prescribes Federal statement or analysis that accompanies J. Review Under the Treasury and preemption of State regulations as to the proposed rule. 2 U.S.C. 1532(c). The General Government Appropriations energy conservation for the equipment content requirements of section 202(b) Act, 2001 that is the subject of today’s proposed of UMRA relevant to a private sector The Treasury and General rule. States can petition DOE for mandate substantially overlap the Government Appropriations Act, 2001 exemption from such preemption to the economic analysis requirements that (44 U.S.C. 3516 note) provides for extent, and based on criteria, set forth in apply under section 325(o) of EPCA and agencies to review most disseminations EPCA. (42 U.S.C. 6297(d) and Executive Order 12866. The of information to the public under 6316(b)(2(D)) No further action is SUPPLEMENTARY INFORMATION section of guidelines established by each agency required by Executive Order 13132. the notice of final rulemaking and the pursuant to general guidelines issued by

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OMB. The OMB’s guidelines were policies or private sector decisions.’’ 70 an advance copy of his or her statement published at 67 FR 8452 (February 22, FR 2667 (January 14, 2005). to participate, if that person has made 2002), and DOE’s guidelines were In response to OMB’s Bulletin, DOE alternative arrangements with the published at 67 FR 62446 (October 7, conducted formal, in-progress peer Building Technologies Program. In such 2002). DOE has reviewed today’s Notice reviews of the energy conservation situations, the request to give an oral under the OMB and DOE guidelines and standards development process and presentation should ask for alternative has concluded that it is consistent with analyses and has prepared a Peer arrangements. applicable policies in those guidelines. Review Report pertaining to the energy C. Conduct of Public Meeting K. Review Under Executive Order 13211 conservation standards rulemaking analyses. The Energy Conservation DOE will designate a DOE official to Executive Order 13211, Actions Standards Rulemaking Peer Review preside at the public meeting and may Concerning Regulations That Report dated February 2007 has been also use a professional facilitator to aid Significantly Affect Energy Supply, disseminated and is available at http:// discussion. The meeting will not be a Distribution, or Use, 66 FR 28355 (May www.eere.energy.gov/buildings/ judicial or evidentiary-type public 22, 2001) requires Federal agencies to appliance_standards/ peer_review.html. hearing, but DOE will conduct it in prepare and submit to the OIRA, OMB, accordance with 5 U.S.C. 553 and a Statement of Energy Effects for any VII. Public Participation Section 336 of EPCA. (42 U.S.C. 6306) proposed significant energy action. A A. Attendance at Public Meeting A court reporter will be present to significant energy action is defined as record and transcribe the proceedings. any action by an agency that The time, date and location of the DOE reserves the right to schedule the promulgated or is expected to lead to public meeting are provided in the order of presentations and to establish promulgation of a final rule, and that (1) DATES and ADDRESSES sections at the the procedures governing the conduct of is a significant regulatory action under beginning of this document. Anyone the public meeting. After the public Executive Order 12866, or any successor who wants to attend the public meeting meeting, interested parties may submit order; and (2) is likely to have a must notify Ms. Brenda Edwards at further comments about the significant adverse effect on the supply, (202) 586–2945. As explained in the proceedings, and any other aspect of the distribution, or use of energy, or (3) is ADDRESSES section, foreign nationals rulemaking, until the end of the designated by the Administrator of visiting DOE headquarters are subject to comment period. OIRA as a significant energy action. For advance security screening procedures. The public meeting will be conducted any proposed significant energy action, B. Procedure for Submitting Requests To in an informal, conference style. DOE the agency must give a detailed Speak will present summaries of comments statement of any adverse effects on received before the public meeting, energy supply, distribution, or use Any person who has an interest in allow time for presentations by should the proposal be implemented, today’s Notice, or who is a participants, and encourage all and of reasonable alternatives to the representative of a group or class of interested parties to share their views on action and their expected benefits on persons that has an interest in these issues affecting this rulemaking. Each energy supply, distribution, and use. issues, may request an opportunity to participant will be allowed to make a Today’s regulatory action would not make an oral presentation. Please hand- prepared general statement (within time have a significant adverse effect on the deliver requests to speak to the address limits determined by DOE) before supply, distribution, or use of energy shown under the heading ‘‘Hand discussion of a particular topic. DOE and, therefore, is not a significant Delivery/Courier’’ in the ADDRESSES will permit other participants to energy action. Accordingly, DOE has not section of this NOPR, between 9 a.m. comment briefly on any general prepared a Statement of Energy Effects. and 4 p.m., Monday through Friday, statements. except Federal holidays. Also, requests At the end of all prepared statements L. Review Under the Information may be sent by mail to the address on a topic, DOE will permit participants Quality Bulletin for Peer Review shown under the heading ‘‘Postal Mail’’ to clarify their statements briefly and On December 16, 2004, the OMB, in in the ADDRESSES section of this NOPR, comment on statements made by others. consultation with the Office of Science or by e-mail to Participants should be prepared to and Technology (OSTP), issued its Final [email protected]. answer questions by DOE and by other Information Quality Bulletin for Peer Persons requesting to speak should participants concerning these issues. Review (Bulletin). 70 FR 2664 (January briefly describe the nature of their DOE representatives may also ask 14, 2005). The Bulletin establishes that interest in this rulemaking and provide questions of participants concerning certain scientific information shall be a telephone number for contact. DOE other matters relevant to the public peer reviewed by qualified specialists asks persons selected to be heard to meeting. The official conducting the before it is disseminated by the Federal submit a copy of their statements at public meeting will accept additional Government, including influential least two weeks before the public comments or questions from those scientific information related to agency meeting, either in person, by postal attending, as time permits. The regulatory actions. The purpose of the mail, or by e-mail as described in the presiding official will announce any bulletin is to enhance the quality and preceding paragraph. Please include an further procedural rules or modification credibility of the Government’s electronic copy of your statement on a of the above procedures that may be scientific information. Under the computer diskette or compact disk needed for proper conduct of the public Bulletin, the energy conservation when delivery is by postal mail or in meeting. standards rulemaking analyses are person. Electronic copies must be in DOE will make the entire record of ‘‘influential scientific information.’’ The WordPerfect, Microsoft Word, Portable this proposed rulemaking, including the Bulletin defines ‘‘influential scientific Document Format (PDF), or text transcript from the public meeting, information’’ as ‘‘scientific information (American Standard Code for available for inspection at the U.S. the agency reasonably can determine Information Interchange (ASCII)) file Department of Energy, Resource Room will have, or does have, a clear and format. At its discretion, DOE may of the Building Technologies Program, substantial impact on important public permit any person who cannot supply 950 L’Enfant Plaza, SW., 6th Floor,

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Washington, DC 20024, (202) 586–2945, 1. LED Price Projections DOE is organizing equipment classes between 9 a.m. and 4 p.m., Monday TSL 5 has an estimated ¥$200 based on three operating temperature through Friday, except Federal holidays. ranges. Medium temperature equipment million burden on the Nation. DOE ° Any person may purchase a copy of the recognizes that anticipated reductions operates at or above 32 F, low transcript from the transcribing reporter. in LED lighting costs by the effective temperature equipment operates at temperatures below 32 °F and greater D. Submission of Comments date of the rule could shift the NPV, at than 5 °F, and ice-cream temperature the seven percent discount rate, for TSL DOE will accept comments, data, and equipment operates at or below ¥15 °F. 5 from a negative NPV (¥$200 million) information regarding all aspects of this DOE seeks comment on the to a positive NPV. DOE calculated that NOPR before or after the public meeting, temperatures selected to categorize a reduction in LED system cost of six but no later than the date provided at equipment classes. (See Section IV.A.2 percent would be sufficient to ensure a the beginning of this notice of proposed of this NOPR for further details.) rulemaking. Please submit comments, slightly positive aggregate NPV at TSL 5, data, and information electronically to at the seven percent discount rate, when 4. Offset Factors the following e-mail address: compared with the base case. DOE fully For the NOPR, DOE developed offset commercialrefrigeration.rulemaking@ee. expects that the aggregate six percent factors as a way to adjust the energy doe.gov. Submit electronic comments in reduction in LED system costs could be efficiency requirements for smaller- WordPerfect, Microsoft Word, PDF, or attained and even exceeded by 2012 sized equipment in each equipment ASCII file format and avoid the use of because of the rapid development of class analyzed. These offset factors special characters or any form of LED technology. Furthermore, if LED account for certain components of the encryption. Comments in electronic system costs achieve the 50 percent refrigeration load (such as the format should be identified by the reduction projection, the NPV at a seven conduction end effects) that remain docket number EE–2006–STD–0126 percent discount rate for TSL 5 would constant even when equipment sizes and/or RIN 1904–AB59, and whenever be substantially positive. DOE requests vary. These constant loads affect smaller possible carry the electronic signature of data or information on projected LED cases disproportionately. The offset the author. Absent an electronic cost reductions and basis for such factors are intended to approximate signature, comments submitted projections. DOE also seeks comment on these constant loads and provide a fixed electronically must be followed and its consideration of projected LED end point, corresponding to a zero TDA authenticated by submitting a signed prices. DOE also seeks comment on the or zero volume case, in an equation that original paper document. No extent to which stakeholders expect describes the relationship between telefacsimiles (faxes) will be accepted. projected LED cost reductions would energy consumption and the Under 10 CFR 1004.11, any person occur, the timing of the projected LED corresponding TDA or volume metric. submitting information that he or she cost reductions, and the certainty of the DOE seeks comment on the use of offset believes to be confidential and exempt projected LED cost reductions. Also, factors and the methodology used to by law from public disclosure should considering the rapid development of calculate them. (See Section V.A of this submit two copies: One copy of the LED technology and the steady NOPR and Chapter 5 of the TSD for document including all the information reductions in cost, DOE seeks comment further details.) believed to be confidential, and one on the extent to which manufacturers copy of the document with the would adopt LED technology into the 5. Extension of Standards information believed to be confidential design of commercial refrigeration DOE developed an extension deleted. DOE will make its own equipment in the absence of standards. approach to applying the standards determination about the confidential DOE recognizes that LED system developed for these 15 primary status of the information and treat it replacement costs assumed in its LCC equipment classes to the remaining 23 according to its determination. analysis would also be affected by secondary classes. This approach Factors of interest to DOE when projected LED cost reductions and seeks involves extension multipliers evaluating requests to treat submitted comment on how it can best predict the developed using both the 15 primary information as confidential include (1) a cost for LED fixture replacements in the equipment classes analyzed and a set of description of the items; (2) whether LCC analysis. (See Section V.C of this focused matched-pair analyses. DOE and why such items are customarily NOPR for further details.) believes that standards for certain treated as confidential within the primary equipment classes can be 2. Base Case Efficiency industry; (3) whether the information is directly applied to other similar generally known by, or available from, DOE recognizes that baseline secondary equipment classes. DOE other sources; (4) whether the efficiency trends can change if seeks comment on its approach to information has previously been made equipment costs are different than those extending the results of the engineering available to others without obligation projected. For example, if LED prices analysis to the 23 secondary equipment concerning its confidentiality; (5) an drop more than assumed in the classes. (See Section V.A of this NOPR explanation of the competitive injury to engineering analysis, consumer demand and Chapter 5 of the TSD for further the submitting person which would for LED-equipped equipment could details.) result from public disclosure; (6) when change. DOE seeks comment on whether 6. Standards for Hybrid Cases and such information might lose its shipments of LED-equipped equipment Wedges confidential character due to the would change if LED costs drop and if passage of time; and (7) why disclosure so, the extent and timing of such There are certain types of equipment of the information would be contrary to shipment changes. See Section IV.G.1. that meet the definition of commercial the public interest. refrigeration equipment (Section 3. Operating Temperature Ranges 136(a)(3) of EPACT 2005), but do not E. Issues on Which DOE Seeks Comment One factor in determining which fall easily into any of the 38 equipment DOE is particularly interested in equipment class a commercial classes defined in the market and receiving comments and views of refrigeration equipment unit belongs to technology assessment. One of these interested parties concerning: is its designed operating temperature. types is hybrid cases, where two or

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more compartments are in different Authority: 42 U.S.C. 6291–6317. Horizontal Closed means equipment equipment families and contained in 2. Section 431.62 of subpart C is with hinged or sliding doors and a door one cabinet. Another is refrigerator- amended by adding in alphabetical angle greater than or equal to 45°. freezers, which have two compartments order new definitions for ‘‘air-curtain Horizontal Open means equipment in the same equipment family but with angle,’’ ‘‘commercial hybrid refrigerator, without doors and an air-curtain angle different operating temperatures. There freezer, and refrigerator-freezer,’’ ‘‘door greater than or equal to 80° from the may also exist hybrid refrigerator- angle,’’ ‘‘horizontal closed,’’ horizontal vertical. freezers, where two or more open’’, ‘‘semivertical open,’’ ‘‘vertical * * * * * compartments are in different closed,’’ ‘‘vertical open,’’ and ‘‘wedge equipment families and have different case’’ to read as follows: Semivertical Open means equipment operating temperatures. Another is without doors and an air-curtain angle wedge cases, which form miter § 431.62 Definitions concerning greater than or equal to 10° and less transitions between standard display commercial refrigerators, freezers and than 80° from the vertical. refrigerator-freezers. case lineups. DOE seeks comment on * * * * * proposed language that will allow Air-curtain angle means: (1) For equipment without doors and Vertical Closed means equipment manufacturers to determine appropriate without a discharge air grille or with hinged or sliding doors and a door standard levels for these types of discharge air honeycomb, the angle angle less than 45°. equipment. (See Section 0 of this NOPR between a vertical line extended down for further details.) Vertical Open means equipment from the highest point on the without doors and an air-curtain angle 7. Standard Levels manufacturer’s recommended load limit greater than or equal to 0° and less than If, based on comment, DOE were to line and the load limit line itself, when 10° from the vertical. the equipment is viewed in cross- revise the LED system costs as described Wedge case means a commercial above (section V.C) the economic section; and (2) For all other equipment without refrigerator, freezer, or refrigerator- impacts of TSL 5 would change. DOE doors, the angle formed between a freezer that forms the transition between seeks comments on its consideration of vertical line and the straight line drawn two regularly-shaped display cases. TSL 5 and whether the benefits would by connecting the point at the inside 3. Section 431.66 of subpart C is outweigh the burdens. edge of the discharge air opening with amended by adding new paragraphs VIII. Approval of the Office of the the point at inside edge of the return air (a)(3) and (d) to read as follows: Secretary opening, when the equipment is viewed § 431.66 Energy conservation standards The Secretary of Energy has approved in cross-section. and their effective dates. publication of this proposed rule. * * * * * Commercial hybrid refrigerator, (a) * * * Issued in Washington, DC, on August 12, freezer, and refrigerator-freezer means a 2008. (3) The term ‘‘TDA’’ means the total commercial refrigerator, freezer, or display area (ft2) as defined in the Air- Alexander A. Karsner, refrigerator-freezer that has two or more Conditioning and Refrigeration Institute Assistant Secretary, Energy Efficiency and chilled and/or frozen compartments that Standard 1200–2006. Renewable Energy. are (1) in two or more different * * * * * List of Subjects in 10 CFR Part 431 equipment families, (2) contained in one cabinet and (3) sold as a single unit. (d) Each commercial refrigerator, Administrative practice and * * * * * freezer, and refrigerator-freezer with a procedure, Energy conservation, self-contained condensing unit and Household appliances. Door angle means: (1) For equipment with flat doors, the without doors; commercial refrigerator, For the reasons set forth in the angle between a vertical line and the freezer, and refrigerator-freezer with a preamble, Chapter II of Title 10, Code of line formed by the plane of the door, remote condensing unit; and Federal Regulations, Part 431 is when the equipment is viewed in cross- commercial ice-cream freezer, proposed to be amended to read as set section; and manufactured on or after January 1, forth below. (2) For equipment with curved doors, 2012, shall have a daily energy the angle formed between a vertical line consumption (in kilowatt hours per day) PART 431—ENERGY EFFICIENCY and the straight line drawn by that does not exceed the levels PROGRAM FOR CERTAIN connecting the top and bottom points specified: COMMERCIAL AND INDUSTRIAL where the display area glass joins the EQUIPMENT (1) For equipment other than hybrid cabinet, when the equipment is viewed equipment, refrigerator-freezers or 1. The authority citation for part 431 in cross-section. wedge cases: continues to read as follows: * * * * * BILLING CODE 6450–01–P

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BILLING CODE 6450–01–C compartment, measure the TDA or equation in paragraph (d)(1) of this (2) For commercial refrigeration volume of that compartment, and section for that compartment’s equipment with two or more determine the appropriate equipment equipment class. Measure the calculated compartments (hybrid refrigerators, class based on that compartment’s daily energy consumption (CDEC) or hybrid freezers, hybrid refrigerator- equipment family, condensing unit total daily energy consumption (TDEC) freezers, and non-hybrid refrigerator configuration, and designed operating for the entire case: freezers), the maximum daily energy temperature. The MDEC value for each (i) For remote condensing commercial consumption (MDEC) for each model compartment shall be the amount hybrid refrigerators, hybrid freezers, shall be the sum of the MDEC values for derived by entering that compartment’s hybrid refrigerator-freezers, and non- all of its compartments. For each TDA or volume into the standard hybrid refrigerator-freezers, where two

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or more independent condensing units freezers, hybrid refrigerator-freezers, (iii) For self-contained commercial each separately cool only one and non-hybrid refrigerator-freezers, hybrid refrigerators, hybrid freezers, compartment, measure the total where two or more compartments are hybrid refrigerator-freezers, and non- refrigeration load of each compartment cooled collectively by one condensing hybrid refrigerator-freezers, measure the separately according to the ANSI/ unit, measure the total refrigeration load total daily energy consumption (TDEC) ASHRAE Standard 72–2005 test of the entire case according to the ANSI/ for the entire case according to the procedure. Calculate compressor energy ASHRAE Standard 72–2005 test ANSI/ASHRAE Standard 72–2005 test consumption (CEC) for each procedure. Calculated a weighted procedure. compartment using Table 1 in ANSI/ saturated evaporator temperature for the (3) For remote-condensing and self- ARI Standard 1200–2006 using the entire case by (A) multiplying the contained wedge cases, measure the evaporator temperature for that saturated evaporator temperature of CDEC or TDEC according to the ANSI/ compartment. The calculated daily each compartment by the volume of that ASHRAE Standard 72–2005 test energy consumption (CDEC) for the compartment (as measured in ANSI/ARI procedure. The MDEC for each model entire case shall be the sum of the CEC Standard 1200–2006), (B) summing the shall be the amount derived by for each compartment, fan energy resulting values for all compartments, incorporating into the standards consumption (FEC), lighting energy and (C) dividing the resulting total by equation in paragraph (d)(1) of this consumption (LEC), anti-condensate the total volume of all compartments. section for the appropriate equipment energy consumption (AEC), defrost Calculate the CEC for the entire case class a value for the TDA that is the energy consumption (DEC), and using Table 1 in ANSI/ARI Standard product of (i) the vertical height of the condensate evaporator pan energy 1200–2006, using the total refrigeration air-curtain (or glass in a transparent consumption (PEC) (as measured in load and the weighted average saturated door) and (ii) the largest overall width of the case, when viewed from the front. ANSI/ARI Standard 1200–2006). evaporator temperature. The CDEC for (ii) For remote condensing the entire case shall be the sum of the [FR Doc. E8–19063 Filed 8–22–08; 8:45 am] commercial hybrid refrigerators, hybrid CEC, FEC, LEC, AEC, DEC, and PEC. BILLING CODE 6450–01–P

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Part III

Election Assistance Commission Information Collection Activity; Proposed Information Collection; Comment Request; Procedural Manual for the Election Assistance Commission’s Voting System Test Laboratory Program Manual; Notices

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ELECTION ASSISTANCE COMMISSION Program Manual, please contact Ms. ELECTION ASSISTANCE COMMISSION Laiza N. Otero at (202) 566–2209 or via Information Collection Activity; e-mail at [email protected]. You may also Procedural Manual for the Election Proposed Information Collection; view the proposed collection instrument Assistance Commission’s Voting Comment Request by visiting the EAC’s Web site at http:// System Test Laboratory Program AGENCY: U.S. Election Assistance www.eac.gov. AGENCY: United States Election Commission (EAC). SUPPLEMENTARY INFORMATION: Assistance Commission (EAC). ACTION: Notice; Publication of Voting ACTION: Notice and request for Title: Voting System Test Laboratory System Test Laboratory Program comments. Accreditation Program Manual. Manual. SUMMARY: The U.S. Election Assistance OMB Number: Pending. SUMMARY: The U.S. Election Assistance Commission has submitted the Type of Review: Regular submission. following information collection request Commission (EAC) is publishing a (Voting System Test Laboratory Needs and Uses: Section 231(b) of the procedural manual for its Voting System Accreditation Program Manual) to the Help America Vote Act (HAVA) of 2002 Test Laboratory Program. This program Office of Management and Budget (42 U.S.C. § 15371(b)) requires that the sets the administrative procedures for (OMB) for review and clearance in EAC provide for the accreditation and laboratories to obtain and maintain accordance with the Paperwork revocation of accreditation of accreditation to test voting systems Reduction Act of 1995. The information independent, non-federal laboratories under the EAC’s Voluntary Testing and collection was previously published in qualified to test voting systems to Certification Program. The program is the Federal Register on February 2, Federal standards. Generally, the EAC mandated by the Help America Vote Act 2008, at 73 FR 6494. The notice allowed considers for accreditation those (HAVA) at 42 U.S.C. 15371. for a 60-day public comment period. No laboratories evaluated and FOR FURTHER INFORMATION CONTACT: comments were received on this recommended by the National Institute Brian Hancock, Director, Voting System information collection; however, of Standards and Technology (NIST) Certification, Washington, DC, (202) modifications were made to improve pursuant to HAVA Section 231(b)(1). 566–3100, Fax: (202) 566–1392. and clarify the information collection However, consistent with HAVA SUPPLEMENTARY INFORMATION: based on comments submitted to a Section 231(b)(2)(B), the Commission Background request for substantive comments (73 FR may also vote to accredit laboratories 6495) and internal review of the outside of those recommended by NIST HAVA requires that the EAC certify and decertify voting systems through document. The purpose of this notice is upon publication of an explanation of testing conducted by accredited to allow an additional 30 days for public the reason for any such accreditation. In laboratories. Section 231(a)(1) of HAVA comments. Comments are encouraged order to meet its statutory requirements (42 U.S.C. 15371) specifically requires and will be accepted until September under HAVA § 15371(b), the EAC has 24, 2008. This process is conducted in the EAC to ‘‘* * * provide for the developed the EAC’s Voting System accordance with 5 CFR 1320.10. testing, certification, decertification and Test Laboratory Accreditation Program. Comments are invited on: (a) Whether recertification of voting system the proposed collection of information The procedural requirements of the hardware and software by accredited is necessary for the proper performance program are established in the proposed laboratories.’’ To meet this obligation, of the functions of the agency, including information collection, the EAC Voting the EAC has created a voluntary whether the information shall have System Test Laboratory Accreditation program to test voting systems to practical utility; (b) the accuracy of the Program Manual. Although Federal voting system standards by agency’s estimate of the burden of the participation in the program is accredited laboratories. The Voting proposed information collection; (c) voluntary, adherence to the program’s System Test Laboratory Program Manual ways to enhance the quality, utility, and procedural requirements is mandatory sets the procedures for the test clarity of the information to be for participants. The procedural laboratories to follow in order to receive collected; and (d) ways to minimize the requirements of this Manual will and maintain accreditation as well as burden of the information collection on supersede any prior laboratory procedures for the documentation and respondents, including through the use accreditation requirements issued by the publication of testing information. of automated collection techniques or EAC. This manual shall be read in In creating the Laboratory Manual the other forms of information technology. conjunction with the EAC’s Voting EAC sought input from experts and DATES: Written comments must be System Testing and Certification stakeholders. Specifically, the EAC submitted on or before September 24, Program Manual (OMB 3265–0004). conducted meetings with 2008. representatives from the voting system Affected Public: Voting system test test laboratories and from the voting ADDRESSES: Written comments and laboratories. system manufacturing community. recommendations on the proposed Estimated Number of Respondents: 8. Additionally, the EAC sought input information collection must be sent to: Total Annual Responses: 8. from the public. A draft version of the OMB Reviewer: Alexander T. Hunt, EAC Voting System Test Laboratory Office of Management and Budget, Estimated Total Annual Burden Program Manual was published with a Room 10235, New Executive Office Hours: 200 hours. request for public comment on February Building, Washington, DC 20503, (202) Thomas R. Wilkey, 4, 2008. (73 FR 6495). The public 395–7316. comment period was open until 5 p.m. Executive Director, U.S. Election Assistance FOR FURTHER INFORMATION CONTACT: To Commission. EST on April 4, 2008. While previous request more information on this notice and public comment period were [FR Doc. E8–19066 Filed 8–22–08; 8:45 am] proposed information collection or to not required by law, all comments obtain a copy of the EAC’s Voting BILLING CODE 6820–KF–P received were considered in the drafting System Test Laboratory Accreditation of this final administrative manual.

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Discussion of Comments testing; (2) clarifying who is responsible Manual. Throughout the entire Manual for the validation of test methods; (3) the EAC added or amended language to The EAC received thirty-eight allowing hardware mitigation by the clarify its procedures consistent with comments from the public. The majority manufacturer; (4) clarifying the scope of the comments it received. For example, of these comments came from voting the use of prior testing in a testing to further clarify terminology used system test laboratories, with the campaign; (5) clarifying the restriction throughout the Manual eight terms were remainder coming from the general on testing at manufacturer owned or newly defined or significantly clarified public. controlled facilities and the allowance in the definition section of Chapter 1. The majority of comments received by of such activity in conjunction with the Additionally, the EAC made changes to the Commission raised concerns or witness or trusted build; and (6) placing clarify the independent role of Voting questioned the meaning or application the responsibility for the proper System Test Labs in the program, of various provisions of the manual. identification of proprietary information enhance the supervision requirements Another block of comments were less on the manufacturer and not on the of EAC accredited laboratories over specific and focused on the fundamental testing laboratory. third party contracted laboratories, and purpose behind the program or its basic The EAC reviewed and considered further defined the level of detail methodology. Comments in this each of the comments presented. In required by the EAC on test plans, test category included concerns regarding doing so, it also gathered additional cases, and test reports. Finally, the EAC the level of allowable participation by information and performed research clarified financial stability manufacturers in the testing process and regarding the suggestions. The EAC’s documentation requirements for the responsibilities of Voting System commitment to public participation is laboratories seeking accreditation. Test Laboratories regarding third party evident in the final version of the testing. Finally, there were a range of Laboratory Manual. The Manual has Thomas R. Wilkey, specific recommendations on a wide been enhanced in a number of areas in Executive Director, U.S. Election Assistance variety of topics. Examples include: (1) response to public comment. A total of Commission. Changing the scope of core and non-core about five pages have been added to the BILLING CODE 6820–KF–P

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BILLING CODE 6820–KF–C

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Paperwork Reduction Act 3.5. EAC Review of Application Package systems in January 1990. At that time, 3.6. Grant of Accreditation The reporting requirements in this no national program or organization 3.7. Effect of Accreditation existed to test and certify such systems manual are pending approval under the 3.8. Expiration and Renewal of Accreditation Paperwork Reduction Act of 1995, by 3.9. Denial of Accreditation to the standards. The National the Office of Management and Budget 3.10. Requesting Appeal Association of State Election Directors Control (OMB). Persons are not required 3.11. EAC Action on a Request for Appeal (NASED) stepped up to fill this void in to respond to this collection of 3.12. Submission of Appeal 1994. NASED is an independent, information unless it displays a 3.13. Consideration of Appeal nongovernmental organization of State 3.14. Commissioner’s Decision on Appeal currently valid OMB number. election officials. The organization 3.15. Effect of Denial of Accreditation formed the nation’s first national Information gathered pursuant to this 4. Compliance Management Program document and its forms will be used 4.1. Purpose program to test and qualify voting solely to administer the EAC Testing & 4.2. Compliance Management Program, systems to the new Federal standards. Certification and Laboratory Generally This program utilized independent Accreditation Program. This program is 4.3. VSTL Notification of Changes laboratories to test voting system to voluntary. Individuals who wish to 4.4. Request for Documents and Information voluntary Federal standards. To participate in the program, however, 4.5. On Site Laboratory Review—Generally facilitate this process NASED accredited 4.6. On Site Laboratory Review—Frequency these test laboratories, which it referred must meet its requirements. The 4.7. On Site Laboratory Review—Procedure estimated total annual hourly burden on 4.8. EAC Compliance Management Reports to as Independent Test Authorities the voting system manufacturing 4.9. Corrective Action (ITA). In late 2002, Congress passed the industry and election officials is 200 5. Revocation of Accreditation Help America Vote Act of 2002 (HAVA). hours. This estimate includes the time 5.1. Overview HAVA created the U.S. Election required for reviewing the instructions, 5.2. Revocation Policy Assistance Commission (EAC) and gathering information, and completing 5.3. Revocation—Generally assigned to the EAC the responsibility 5.4. Notice of Intent to Suspend for both setting voting system standards the prescribed forms. Send comments 5.5. Suspension of Accreditation regarding this burden estimate or any 5.6. Commissioners’ Decision on Revocation and providing for the voluntary testing other aspect of this collection, including of Accreditation and certification of voting systems. This suggestions for reducing this burden to 5.7. Effect of Revocation of Accreditation mandate represented the first time the the U.S. Election Assistance 5.8. Requesting Appeal Federal government provided for the Commission, Voting System Testing and 5.9. EAC Action on a Request for Appeal voluntary testing, certification, and Certification Program, Office of the 5.10. Submission of Appeal decertification of voting systems Program Director, 1225 New York 5.11. Consideration of Appeal nationwide. In response to this HAVA Avenue, NW., Suite 1100, Washington, 5.12. Commissioner’s Decision on Appeal requirement, the EAC has developed the 6. Requests for Interpretations DC 20005. 6.1. Overview voting system standards in the form of 1. Introduction 6.2. Policy the Voluntary Voting System Guidelines 1.1. Background 6.3. Requirements for Submitting a Request (VVSG), a voting system certification 1.2. Authority for Interpretation program in the form of the Voting 1.3. Role of the National Institute of 6.4. Procedure for Submitting a Request for System Testing and Certification Standards and Technology Interpretation Program Manual and this document, the 1.4. Scope 6.5. EAC Action on a Request for Voting System Test Laboratory Manual. 1.7. Program Personnel Interpretation 1.8. Submission of Documents 6.6. Effect of Interpretation 1.2. Authority. HAVA Section 231(b) 1.9. Receipt of Documents—VSTL 6.7. Library of Interpretations (42 U.S.C. § 15371(b)) requires that the 1.10. Receipt of Documents—EAC 7. Release of Laboratory Accreditation EAC provide for the accreditation and 1.11. Record Retention—EAC Program Information revocation of accreditation of 1.12. Publication and Release of Documents 7.1. Overview independent, non-federal laboratories 1.13. References 7.2. EAC Policy on the Release of 1.14. Definitions Certification Program Information qualified to test voting systems to 1.15. Acronyms and Abbreviations 7.3. Trade Secrets Federal standards. Generally, the EAC 2. Program Requirements 7.4. Privileged or Confidential Commercial considers for accreditation those 2.1. Overview Information laboratories evaluated and recommend 2.2. Program Requirements—Generally 7.5. EAC’s Responsibilities by the National Institute of Standards 2.3. NIST Recommendation 7.6. VSTL’s Responsibilities and Technology (NIST) pursuant to 2.4. NVLAP Accreditation 7.7. Personal Information 2.5. Conflict of Interest and Prohibited HAVA Section 231(b)(1). However, Practices Program Appendix A. Certification Test Plan Format consistent with HAVA Section 2.6. Personnel Policies and Content 231(b)(2)(B), the Commission may also 2.7. Notification of Changes Appendix B. Certification Test Report vote to accredit laboratories outside of 2.8. Site Visits Format and Content those recommended by NIST upon 2.9. Notice of Lawsuits publication of an explanation of the 2.10. Testing, Technical Practices and Appendix C. Certification of Laboratory reason for any such accreditation. Reporting Conditions and Practices Form 1.3. Role of the National Institute of 2.11. Laboratory Independence Appendix D. Specification for Reproduction 2.12. Authority To Do Business in the United and Use of the EAC Standards and Technology. Section States 231(b) (1) of HAVA requires that the 2.13. Communications Laboratory Accreditation Logo National Institute of Standards and 2.14. Resources and Financial Stability Technology ‘‘conduct an evaluation of 2.15. Recordkeeping 1. Introduction independent, non-federal laboratories 3. Accreditation Process 3.1. Overview 1.1. Background. The Federal Election and shall submit to the Commission a 3.2. NIST Recommendation Commission (FEC) adopted the first list of those laboratories * * * to be 3.3. EAC Invitation formal set of voluntary Federal accredited. * * *’’ Additionally, HAVA 3.4. Application standards for computer-based voting Section 231(c) requires NIST to monitor

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and review the performance of EAC the EAC will be provided to all EAC be physically or electronically date accredited laboratories. NIST has VSTLs, registered Manufacturers and stamped. This stamp shall serve as the chosen its National Voluntary placed on EAC’s Web site. date of receipt. Documents received Laboratory Accreditation Program 1.7. Program Personnel. All EAC after the regular business day (5:00 PM (NVLAP) to carry out these duties. personnel and contractors associated Eastern Standard Time), will be treated NVLAP conducts a review of applicant with this program will be held to the as if received on the next business day. laboratories in order to provide a highest ethical standards. All agents of 1.11. Record Retention—EAC. The measure of confidence that such the EAC involved in the Accreditation EAC shall retain all records associated laboratories are capable of performing Program will be subject to conflict-of- with accreditation of Voting System testing of voting systems to Federal interest reporting and review, consistent Test Laboratories. The records shall standards. Additionally, the NVLAP with Federal law and regulation. otherwise be retained or disposed of program monitors laboratories by 1.8. Submission of Documents. Any consistent with Federal statutes and requiring regular assessments. documents submitted pursuant to the regulations. Laboratories are reviewed one year after requirements of this Manual shall be 1.12. Publication and Release of their initial accreditation and biennially submitted: Documents. The EAC will release thereafter. The EAC has made NVLAP 1.8.1. If sent electronically, via secure documents consistent with the accreditation a requirement of its e-mail or physical delivery of a compact requirements of Federal law. It is EAC Laboratory Accreditation Program. disk, unless otherwise specified. The policy to make the laboratory However, a NVLAP accreditation is not submitted electronic files shall be in accreditation process as open and an EAC accreditation. EAC is the sole Microsoft Word or Adobe PDF format, public as possible. Any documents (or Federal authority for the accreditation formatted to protect the document from portions thereof) submitted under this and revocation of accreditation of alteration. program will be made available to the Voting System Test Laboratories (VSTL). 1.8.2. With a proper signature when public unless specifically protected 1.4. Scope. This Manual provides the required by this Manual. Documents from release by law. The primary means procedural requirements of the EAC that require an authorized signature may for making this information available is voting system Laboratory Accreditation be signed with an electronic through the EAC Web site. See Chapter Program. Although participation in the representation or image of the signature 7 of this Manual for additional program is voluntary, adherence to the of an authorized management information. program’s procedural requirements is representative. 1.13. References. The following mandatory for participants. The 1.8.3. If sent via physical delivery, by documents are referenced in this procedural requirements of this Manual Certified Mail TM (or similar means that Manual. For dated references, only the supersede any prior laboratory allows tracking) to the following edition cited applies. For undated accreditation requirements issued by the address: Testing and Certification references, the latest edition of the EAC. This manual shall be read in Program Director, U.S. Election referenced document (including any conjunction with the EAC Voting Assistance Commission, 1225 New York amendments) applies. System Testing and Certification Avenue, NW., Suite 1100, Washington, —ISO/IEC 17011, Conformity Manual. D.C. 20005. assessment—General requirements for 1.5. Manual Maintenance and 1.9. Receipt of Documents—VSTL. accreditation bodies accrediting Revision. The Manual will be reviewed For purposes of this Manual, a conformity assessment bodies. periodically and updated to meet the document, notice, or other —ISO/IEC 17025, General requirements needs of the EAC, VSTLs, election communication is considered received for the competence of testing and officials, and public policy. The EAC is by a VSTL upon one of the following: calibration laboratories. responsible for revising this document. 1.9.1. The actual, documented date —NIST Handbook 150, (NVLAP) All revisions will be made consistent the correspondence was received (either Procedures and General with Federal law. Substantive input electronically or physically) at the Requirements. from stakeholders and the public will be VSTL, or —NIST Handbook 150–22, (NVLAP) sought whenever possible. Changes in 1.9.2. If no documentation of the Voting System Testing. policy requiring immediate actual delivery date exists, the date of 1.14. Definitions. For purposes of this implementation will be noticed via constructive receipt of the Manual, the terms listed below have the policy memoranda and will be issued to communication. For electronic following definitions. each VSTL and registered correspondence, documents will be Applicant Laboratory. An Manufacturers. Changes, addendums, or constructively received the day after the independent, non-Federal laboratory updated versions will also be posted to date sent. For mail correspondence, the which has applied for EAC accreditation the EAC Web site at www.eac.gov. document will be constructively after receipt of an invitation. 1.6. Clarification of Program received 3 days after the date sent. Commission. The U.S. Election Requirements and Procedures. VSTLs 1.9.3. The term ‘‘receipt’’ shall mean Assistance Commission, as an agency. and registered Manufacturers may the date a document or correspondence Commissioners. The serving request clarification regarding the arrives (either electronically or commissioners of the U.S. Election requirements and procedures set forth physically) at the VSTL’s place of Assistance Commission. in this manual. Requests for clarification business. Arrival does not require that Contracted Third Party Laboratory. A must be based upon ambiguity arising an agent of the VSTL open, read, or laboratory contracted or otherwise from the application of this manual. review the correspondence. providing testing services to a VSTL to Hypothetical questions will not be 1.10. Receipt of Documents—EAC. meet program requirements. considered. Requests shall be submitted For purposes of this Manual, a Days. Calendar days, unless otherwise to the Program Director in writing. The document, notice, or other noted. When counting days, for the request shall clearly identify the section communication is considered received purpose of submitting or receiving a of the manual and issue to be clarified, by the EAC upon its physical or document, the count shall begin on the a proposed interpretation and all electronic arrival at the agency. All first full calendar day after the date the relevant facts. Clarifications issued by documents received by the agency will document was received.

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Election Official. A State or local administer and manage the Testing and condition of accreditation and a government employee who has as one of Certification Program. continuing obligation. Failure to his or her primary duties the Voting System. The total combination demonstrate compliance with the management or administration of a of mechanical, electromechanical, and requirements of this chapter may result Federal election. electronic equipment (including the in the denial of an application for Federal Election. Any primary, software, firmware, and documentation accreditation, suspension of general, runoff, or special Election in required to program, control, and accreditation, or revocation of which a candidate for Federal office support the equipment) that is used to accreditation. (President, Senator, or Representative) define ballots, cast and count votes, 2.2. Program Requirements— appears on the ballot. report or display election results, Generally. In order to be considered for, Fielded Voting System. A voting interface the voting system to the voter receive, and maintain an EAC system purchased or leased by a State or registration system, and maintain and accreditation as a VSTL, laboratories local government that is being use in a produce any audit trail information. must demonstrate compliance with the Federal election. Voting System Standards. Voluntary requirements of EAC’s Voting System Gift. A Gift includes any gratuity, voting system standards developed by Test Laboratory Program. The program favor, discount, entertainment, travel, the FEC. Voting System Standards have requirements are set forth in this service, hospitality, loan, meal, been published twice: once in 1990 and Chapter. forbearance, or other item having again in 2002. The Help America Vote 2.2.1. Continuing Compliance monetary value. Act made the 2002 Voting System Obligation. VSTLs have a continuing Integration Testing. The end-to-end Standards EAC guidance. All new obligation to meet the requirements set testing of a full system configured for voting system standards are issued by forth in this Chapter. VSTLs are use in an election to assure that all the EAC as Voluntary Voting System required to maintain their compliance legitimate configurations meet Guidelines. with the program’s requirements as long applicable standards. Voting System Test Laboratories as they hold an EAC accreditation. Key Laboratory Staff. Laboratory (VSTLs). Laboratories accredited by the 2.2.2. Requests to Document employees serving as approval EAC to test voting systems to EAC Compliance. VSTLs may be required by authorities of test reports (approved approved voting system standards. the EAC to document compliance at any signatories per NIST Handbook 150) or Voluntary Voting System Guidelines. time. Such requests will be in writing otherwise responsible for the Voluntary voting system standards and VSTLs shall respond timely, supervision of individuals performing developed, adopted, and published by consistent with the request (see Chapter voting system testing. the EAC. The guidelines are identified 4 of this Manual). Lead Voting System Test Laboratory. by version number and date. 2.2.3. Failure to Comply, Effect. The accredited Voting System Test 1.15. Acronyms and Abbreviations. Failure to meet each of the program’s Laboratory identified on an EAC For purposes of this Manual, the requirements may result in the denial of approved Application for Testing (EAC acronyms and abbreviations listed an application for accreditation, Voting System Testing and Certification below represent the following terms. suspension of accreditation, or Program Manual, Sec. 4.3, Certification Accreditation Program. The EAC revocation of accreditation, consistent Application). Voting System Test Laboratory with the procedures of Chapter 5 of this Manufacturer. The entity with Accreditation Program Manual. ownership and control over a voting Certification Program. The EAC 2.3. NIST Recommendation. As a system submitted for certification. Voting System Testing and Certification condition of accreditation, all Memorandum for the Record. A Program laboratories must be recommended to written statement drafted to document EAC. United States Election the EAC by the National Institute of an event or finding, without a specific Assistance Commission Standards and Technology (NIST), addressee other than the pertinent file. FEC. Federal Election Commission unless the emergency provisions of Proprietary Information. Commercial HAVA. Help America Vote Act of Chapter 3 apply. NIST is responsible, information or trade secrets protected 2002 (42 U.S.C. § 15301 et seq.) pursuant to the Help America Vote Act from release under the Freedom of ISO/IEC. The International of 2002, Section 231(b), for performing Information Act (FOIA) and the Trade Organization for Standardization & The a technical evaluation of laboratories Secrets Act. International Electrotechnical and identifying and recommending Recommended Laboratory. A Commission those competent to test voting systems. laboratory recommended for EAC NASED. National Association of State This recommendation is provided accreditation by the Director of NIST Election Directors directly to the EAC from NIST. after evaluation by NVLAP. NIST. National Institute of Standards 2.4. NVLAP Accreditation. As a Scope of Accreditation. The version and Technology condition of accreditation, all VSTLs or versions of the Federal voting system NVLAP. National Voluntary must hold a valid accreditation from standards (VSS or VVSG) to which a Laboratory Accreditation Program NIST’s National Voluntary Laboratory VSTL is authorized to test. Program Director. Director of the EAC Accreditation Program (NVLAP), unless Technical Reviewers. Technical Testing and Certification Program the emergency provisions of Chapter 3 experts in the areas of voting system VSS. Voting System Standards apply. NVLAP accreditation is the technology and conformity assessment VSTL. Voting System Test Laboratory primary means by which the EAC may appointed by the EAC to provide expert VVSG. Voluntary Voting System ensure that each VSTL meets and guidance. Guidelines continues to meet the technical Testing and Certification Decision requirements of the EAC program. It sets Authority. The EAC Executive Director 2. Program Requirements the standards for each of VSTL’s or Acting Executive Director. 2.1. Overview. This chapter lists the technical, physical, and personnel Testing and Certification Program requirements of the EAC’s Voting resources, as well as its testing, Director. The individual appointed by System Test Laboratory Program. management, and quality assurance the EAC Executive Director to Adherence to these requirements is a policies and protocols. The loss or

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suspension of a NVLAP accreditation relationship with a third party. For interest held by a third party individual will result in the suspension and example, a VSTL employee responsible or organization that serves to disqualify possible revocation of any EAC for the testing of a voting system would an employee or laboratory to the same accreditation consistent with the be conflicted from performing his or her extent as if they were the employee’s or procedures of Chapter 5 of this Manual. duties if his or her spouse owned a laboratory’s own interest. These VSTLs are required to immediately financial interest in the manufacture of interests include: report any change in their NVLAP the voting system. 2.5.1.5.1. The financial interests of a accreditation status to the EAC. 2.5.1.1. Involved in Testing—Defined. spouse or dependent child shall be 2.5. Conflict of Interest and Prohibited For the purposes of a financial conflict imputed to an employee. Practices Program. As a condition of of interest, an organization is involved 2.5.1.5.2. The financial interest of any accreditation, all laboratories must in the testing of a voting system any organization in which a laboratory, maintain and enforce policies which time it contractually or otherwise takes parent corporation, or a laboratory prohibit and prevent conflicts of interest on the responsibility for testing a voting employee serves as an employee, officer, or the appearance of conflicts of system to Federal standards under board member, partner, consultant, interest. A laboratory shall ensure that EAC’s Certification Program. For the director, trustee or similar position shall neither the Laboratory, its parent purposes of a financial conflict of be imputed. corporation, contracted third party interest, an employee is involved in the 2.5.1.5.3. The interests of any laboratories, nor any individual staff testing of a voting system when the contracted third party laboratory shall member involved in the testing of voting individual’s duties as a VSTL employee be imputed to the utilizing VSTL. systems have any vested interest in the require him or her to perform testing on 2.5.1.5.4. The financial interest of a outcome of the test process. Laboratories the system, manage the testing process person or organization with whom an must have a written policy in place. or supervise those who perform testing employee is negotiating or has an This policy must, at a minimum, (1) on the system. arrangement concerning prospective prohibit conflicts of interest and other 2.5.1.2. Financial Interest—Defined. employment shall be imputed. prohibited practices and (2) provide for The term includes any current or 2.5.2. Prohibited Practices. enforcement, consistent with the contingent ownership, equity, or Furthermore, irrespective of the subsections below. security interest in real or personal existence of a conflict of interest, it is a 2.5.1. Prohibited Conflicts of Interest. property or a business and may include prohibited practice for a laboratory, The purpose of a conflict of interest an indebtedness or compensated parent corporation, or laboratory policy is to prevent situations where the employment relationship. It thus employee to be involved in the exercise of an official duty directly includes, for example, interests in the development of a voting system or impacts the actor’s financial interests. nature of stocks, bonds, partnership solicit or receive a gift from a voting For the purposes of this program, a interests, fee and leasehold interests, system Manufacturer. No laboratory, prohibited conflict of interest exists if and other property rights, deeds of trust, parent corporation, or laboratory the duties and responsibilities of a and liens, and extends to any right to employee may: laboratory, parent corporation, or a purchase or acquire any such interest, 2.5.2.1. Voting System Development laboratory employee involved in the such as a stock option or commodity and Testing. Provide, or have provided, testing of voting systems under EAC’s future. consultation, developmental testing or Certification Program will have a direct 2.5.1.3. Direct Effect—Defined. A other services to a voting system and predictable effect on the financial matter will have a direct effect on a developer such that the independence, interest of that laboratory, parent financial interest if there is a close or appearance of independence, in the corporation, or a laboratory employee.1 causal link between any decision or testing of a particular voting system or For example, an employee who is action to be taken in the matter and any system component would be responsible for testing a voting system expected effect of the matter on the compromised. on behalf of a VSTL would be financial interest. An effect may be 2.5.2.1.1. A laboratory or individual prohibited from holding a financial direct even though it does not occur may not be involved in both the interest in the entity whose product is immediately. A matter will not have a development of a voting system and the being tested or a direct competitor of direct effect on a financial interest, certification of a system. Voting system that entity. A prohibited conflict of however, if the chain of causation is development includes any testing, interest would also include a attenuated or is contingent upon the consultation or design work performed contractual or other fiduciary occurrence of events that are speculative in order to ready a specific system for relationship between a VSTL or VSTL or that are independent of, and the marketplace or the certification employee and a Manufacturer (outside unrelated to, the matter. A matter that process. Generally, any testing an agreement for State or Federal has an effect on a financial interest only performed on behalf of a voting system certification testing) when that VSTL or as a consequence of its effects on the manufacture that was not otherwise VSTL employee is concurrently general economy does not have a direct performed pursuant to a State or Federal responsible for conducting certification effect within the meaning of this voting system certification program will testing for that Manufacturer under this section. be considered developmental in nature. program. Additionally, financial 2.5.1.4. Predictable Effect—Defined. A 2.5.2.1.2. The prohibition barring interests may be imputed or attributed matter will have a predictable effect if participation in both development and to a laboratory, parent corporation, or a there is a real, as opposed to a testing is voting system specific. An laboratory employee through a speculative possibility that the matter employee or laboratory that was will affect the financial interest. It is not previously involved 2 in product 1 For the purpose of this Program, agreements necessary, however, that the magnitude development with a Manufacturer is not with voting system manufacturers to provide testing of the gain or loss be known, and the pursuant to the requirements of EAC or a State’s dollar amount of the gain or loss is 2 The prohibition relates to a VSTL’s prior certification program do not constitute a prohibited involvement in system development. Concurrent conflict of interest. Certification testing is immaterial. development work and testing may constitute a considered a duty and responsibility of a VSTL, not 2.5.1.5. Imputed Interests—Defined. prohibited conflict of interest under Section 2.5.2 an outside financial interest. An imputed interest is a financial of this Manual.

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prohibited from testing all systems 2.5.3. Program Enforcement Elements. of the third party laboratory and its produced by that Manufacturer, just Prohibited conflicts and practices shall employees, sufficient to demonstrate those systems in which the employee or be enforced through a written program compliance with Section 2.5.1. and laboratory participated directly in which: 2.5.2. of this Manual. This includes development. As voting systems are 2.5.3.1. Regarding Employees gathering information concerning any subject to change over time, for the Involved in the Testing of Voting involvement by the third party purposes of this prohibition, a voting Systems. laboratory or its employees in the system shall be considered altered to the 2.5.3.1.1. Annually collects standard development of specific voting systems. degree that it is a different system when: information from each employee, This collection of information shall be 2.5.2.1.2.1. A period of at least three including assets, debts, outside or prior performed prior to the execution of any years has passed since the VSTL or activities/employment, gifts, and any contract for the testing of voting systems employee was involved in the system’s work on voting system development under this program and annually development; sufficient to demonstrate compliance thereafter if the contract exceeds one 2.5.2.1.2.2. The system has been with Section 2.5.1. and 2.5.2. of this year in duration. subject to both software and hardware Manual. The information collection 2.5.3.3.1.2. Require and document the modification since the VSTL or must also reflect the financial interests review of collected information for employee was involved in the system’s of those individuals (like spouses and potential conflicts, and development. De minimis changes (as minor children) whose interests are 2.5.3.3.1.3. Resolve all identified defined in EAC Voting System Testing imputed to the employee; conflicts of interest prior to the and Certification Program Manual) are 2.5.3.1.2. Requires and documents the laboratory’s testing of any voting not modifications; AND review of information collected for system. 2.5.3.3.2. VSTL Supervision of third 2.5.2.1.2.3. The system has received a potential conflicts and prohibited party laboratories performing non-core certification after being tested by a practices; and testing. Where a third party laboratory is different independent laboratory since 2.5.3.1.3. Resolves all identified subject to direct VSTL supervision and the VSTL or employee was involved in conflicts of interest or prohibited observation, the third party laboratory’s the system’s development. practices prior to the employee or laboratory’s involvement in the testing conflicts of interest or prohibited 2.5.2.1.3. The prohibition barring practices will not be imputed to the lead participation in both development and of any voting system. Such resolution shall be documented. Resolutions may VSTL. Direct VSTL supervision under testing does not prohibit a VSTL from this section requires that a VSTL allowing a Manufacturer to perform include the divestiture of assets or gifts, employee resignation from outside employee is physically present during onsite hardware mitigation on a voting the third party testing and directly system in response to a minor system organizations, or the altering of an employee’s responsibilities by observes and supervises the testing. failure or anomaly. In such cases the This VSTL employee must: (1) have VSTL: prohibiting participation in Voting System Testing or the testing of a been properly vetted for conflict of 2.5.2.1.3.1. Shall suspend all interest and prohibited practices hardware testing; specific system. 2.5.3.2. Regarding the VSTL or VSTL’s pursuant to Section 2.5 of this Manual, 2.5.2.1.3.2. Shall not participate or Parent Corporation. (2) be competent to supervise the testing assist the Manufacturer in remediation; 2.5.3.2.1. Annually collects being performed and (3) have no 2.5.2.1.3.3. May provide testing information pertaining to the holdings financial interest in the third party equipment and qualified operators to and activities of the VSTL and its parent laboratory they are supervising. the Manufacturer for its use; corporation(s), sufficient to demonstrate 2.5.4. Waivers. In rare circumstances, 2.5.2.1.3.4. Shall monitor and compliance with Section 2.5.1. and prohibited practices or conflicts of document the Manufacturer’s access to 2.5.2. of this Manual; interest may be waived by the EAC after the system consistent with Section 2.5.3.2.2. Requires and documents the the conflict or prohibited practice is 2.11.1. of this manual; and review of collected information for properly disclosed to the agency. 2.5.2.1.3.5. Shall document in the test potential conflicts and prohibited Waivers may be granted at the sole report the failure or anomaly and practices; and discretion of the Program Director. remedial action taken by the 2.5.3.2.3. Resolves all identified 2.5.4.1. Requesting a Waiver. A Manufacturer consistent with Section conflicts of interest or prohibited request for a waiver shall be made in 2.10.5.2.1 of this Manual and Chapter 4 practices prior to the laboratory’s testing writing to the EAC Program Director. of EAC’s Certification Manual (anomaly of any voting system. Such resolution The request shall fully disclose the matrix). shall be documented. Resolutions may conflict of interest or prohibited practice 2.5.2.2. Gifts. Solicit or receive a gift, include the divestiture of assets or gifts, for which the waiver is sought. The directly or indirectly, from any entity the termination or rejection of conflicted request shall also describe all steps which holds a financial interest in the or prohibited testing work. taken to resolve the conflict or development, production, or sale of 2.5.3.3. Regarding Contracted Third prohibited practice and the reasons why voting systems, or is otherwise impacted Party Laboratories. The interest of a such attempts were unsuccessful or by the testing and certification of voting contracted third party laboratory may be otherwise untenable. The request shall systems. Gifts given or received under imputed to a VSTL. VSTLs may meet also state why the waiver should be circumstances which make it clear that and enforce the program requirements granted, consistent with the standard in the gift is motivated by a family of this section with regard to this Section 2.5.4.2. relationship or personal friendship relationship in one of two ways: 2.5.4.2. Waiver Standard. A rather than position are not prohibited. 2.5.3.3.1. Collection of third party disqualifying conflict of interest or Relevant factors in making such a laboratory information, review of prohibited practice is subject to waiver determination include the history of the information and resolution of conflicts when the issuance of a waiver is in the relationship and whether the family or prohibited practices: best interest of the EAC Certification member or friend personally pays for 2.5.3.3.1.1. Collect information Program and the identified conflict or the gift. pertaining to the holdings and activities practice is unlikely to affect the integrity

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or impartiality of the VSTL or VSTL in laboratory operations from what the instructions for its completion may be employee’s services under the EAC Laboratory described in any assertion found on EAC Web site at www.eac.gov. Certification Program. The Program that served as the basis for its EAC The matrix will serve as both a tool to Director may consider the following accreditation, including any assertions identify and a means to document what factors in making a waiver made to NIST’s NVLAP or to the EAC should be tested and how. determination: pursuant to Chapter 3 of this Manual. 2.10.1.2. Test Plan. The purpose of the 2.5.4.2.1. The value of any Examples of events that require written Test Plan is to provide information disqualifying financial interest; notification include, but are not limited regarding test methods. The Test Plan 2.5.4.2.2. The nature and impact of to: contains more detail than the any prohibited practice; 2.7.1. A Laboratory’s decision to Requirements Matrix. 2.5.4.2.3. The role and responsibility withdraw from the EAC’s program; 2.10.1.2.1. Format. VSTLs shall format of the employee subject to the conflict 2.7.2. Changes in ownership of the each test plan consistent with the of interest or prohibited practice; Laboratory (other than minor-less that requirements of Appendix A of this 2.5.4.2.4. The availability of other 15%-change in stock ownership), Manual. employees, VSTLs or laboratories to 2.7.3. A change in location of the 2.10.1.2.2. Content. Each test plan conduct the testing without a conflict or Laboratory facility, or shall identify applicable voting system prohibited practice. 2.7.4. Personnel changes in key staff standards and contain a description of 2.5.4.2.5. The level of discretion or positions. the testing proposed to verify sensitivity required to perform the 2.8. Site Visits. As a condition of conformance. Also, each test plan shall conflicted or prohibited duties under accreditation, all laboratories shall contain a statement indicating the scope the certification program; allow EAC representatives to enter their of the labs accreditation. 2.5.4.2.6. The ability of an EAC voting system testing and management * Required Content. For each test, the waiver to adjust a VSTL or VSTL facilities pursuant to the procedures and test plan shall provide detailed employee’s testing process and duties or requirements of Chapter 4 of this information referencing testing to be otherwise mandate additional Manual. performed, including facility safeguards which would limit or 2.9. Notice of Lawsuits. As a requirements, test set-up, test sequence, abrogate the impact of the conflict of condition of accreditation, all data recording requirements and pass laboratories shall provide notice to the interest or prohibited practice. criteria.3 2.5.4.3. Issuing a Waiver. Any waiver EAC of any lawsuits or claims filed * Exception. Where a VSTL utilizes issued by the Program Director shall be against it, its subcontractors, EAC mandated or approved test made in writing to the requestor. The subsidiaries, employees, officers, methods, the test plan may simply waiver shall state with specificity the owners, operators, or insurers while the reference these methods and identify, conflict of interest or prohibited practice Laboratory holds an EAC accreditation with specificity, all deviations. waived. The waiver shall also clearly and which relate to the work performed Mandated test methods are those test state any conditions for its issuance, in, or management of, the Laboratory’s methods required for use by the EAC. such as mitigating processes or voting system testing program. Approved test methods are standard, 2.10. Testing, Technical Practices and procedures or safeguards. The VSTL is verified VSTL test methods approved by Reporting. As a condition of responsible for meeting all waiver the EAC. VSTLs may submit standard accreditation, each VSTL shall perform conditions prior to engaging in the test methods for approval by submitting testing in conformance with the relevant waived activity. Failure to meet such them in writing to the Program Director. standards of the applicable Federal condition may result in the revocation 2.10.2. Test Case. After approval of Standards (VVSG or VSS). Additionally, of a VSTLs accreditation. The Program the VSTLs Test Plan, the VSTL shall the VSTL shall create written reports of Director shall publish all waivers on the develop Test Cases. A Test Case is a such testing consistent with the EAC Web site. system specific, step-by-step test 2.5.4.4. Denying a Request for a requirements of the latest version of the procedure or laboratory testing process Waiver. Any decision denying a request VVSG, EAC’s Voting System Testing that provides detailed test operation for a waiver shall be made by the and Certification Manual, any procedures sufficient for trained Program Director in writing and applicable test suites mandated by the laboratory personnel to fully conduct a provided to the VSTL. The Program EAC, and any other written guidance given test and produce repeatable Director shall publish all waiver denials published by the EAC. results. The VSTL shall inform the EAC, on the EAC Web site. 2.10.1. Test Plan Package. The VSTL 2.6. Personnel Policies. As a condition shall submit a test plan package directly in writing, when all test cases for the of accreditation, all laboratories shall to the EAC consistent with the voting system under test have been have in place written policies to ensure requirements of the Voting System completed. This notice shall include an that the Laboratory does not employ Testing and Certification Manual, the index identifying each test case created individuals, in any capacity related to latest version of the VVSG, this Manual to test the system. The notification the testing of voting systems, who have and any other written guidance from the should indicate if these are standard test been convicted of a felony offense or EAC. A test plan package includes: cases, modified standard test cases, or a any criminal offense involving fraud, 2.10.1.1. Requirements Matrix. The new test case. These test cases shall be misrepresentation, or deception under Requirements Matrix is a form available to the EAC for review and either Federal or State law. The VSTL developed by the EAC which identifies approval upon request. shall have a program in place to enforce each requirement found in Federal 3 This requirement is consistent with this policy and document such voting system standards (a version of International Standards Organization requirements, enforcement. the VVSG or VSS). VSTLs will be which serve as a basis for NIST NVLAP’s 2.7. Notification of Changes. As a required to identify the standards that accreditation and recommendation to the EAC. condition of accreditation, all apply to the system being tested, Where established and approved test methods do not exist, ISO Standard 17025, Section 5.4.4., Non- laboratories shall agree to notify the identify the testing to be performed and Standard Method requires the testing to be EAC in writing within fifteen (15) provide additional information as validated by the laboratory prior to use. The EAC calendar days of any significant changes required. The Requirements Matrix and will review and approve the validated test methods.

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2.10.3. Testing. The highest standards testing, telecommunications testing, requirements. Any special procedures, shall be applied to the testing of voting environmental testing, electrical testing, tools, or testing software necessary to systems. VSTLs shall perform testing in acoustical testing, and cryptographic meet VVSG requirements must be conformance with the relevant testing.4 In limited circumstances, validated by the lead VSTL prior to use. standards of the applicable Federal laboratories not holding a recognized For example, the VVSG requires that Standards (VVSG or VSS) and accreditation may be used by VSTLs for systems be tested while operating and consistent with any written EAC non-core testing only after approval by that such operation be in a manner and interpretations of these standards. The EAC’s Program Director. Requests for under conditions that simulate election Laboratory shall maintain its technical such approval must be made in writing use. In such cases, the lead VSTL must practices consistent with the standards and demonstrate: (1) That there is no ensure that the third party laboratory which served as the basis for its NVLAP recognized laboratory available within a will properly implement the VVSG accreditation. These standards include reasonable window of availability and requirements, validate its election International Standard ISO/IEC 17025, geographic proximity (generally within simulation tools, and properly General Requirements for the the continental United States) and (2) performed the testing; Competence of Testing and Calibration that the VSTL has conducted a thorough 2.10.4.3.4. The lead VSTL performs Laboratories; NIST Handbook 150, assessment of the third party all system accuracy, reliability, Procedures and General Requirement; laboratory’s capabilities, quality system, functionality and integration testing; NIST Handbook 150–22, Voting System management system, and/or alternative and Testing; any documents supplementing, accreditations and have determined and 2.10.4.3.5. The third party laboratory updating or replacing these standards or documented that the laboratory is issues a report to the lead VSTL that handbooks; and any pertinent EAC qualified to perform testing. The EAC fully documents its testing such that the guidance. When conducting testing may visit, interview or audit any non- lead VSTL may demonstrate compliance under EAC’s program, VSTLs shall only accredited laboratory at any time before, with this section and produce a report perform testing of voting systems during, or after the testing has occurred consistent with Section 2.10.5 of this consistent with the scope of their to verify their qualifications. Manual. accreditation. 2.10.4.3. VSTL Responsibilities. Lead 2.10.5. Test Report Package. The Test 2.10.4. Third Party Testing. Lead VSTLs are responsible for all tests Report Package represents the VSTL’s may contract or otherwise performed on voting systems submitted culmination of the testing process. As provide for the testing of voting systems to them by Manufacturers under EAC’s such, it is vital that it accurately and by third parties under this program. Testing and Certification Program. This completely document the testing However, the lead VSTL shall be includes testing (both core and non- performed and the results of such responsible for the accuracy, quality core) performed by third party testing. VSTLs shall submit Test Report assurance, and results of all tests laboratories under their direction Packages directly to the EAC. The performed. Under this program, no (including third party VSTL packages shall include: VSTL may perform or contract for the laboratories). Any procedural or 2.10.5.1. Requirements Matrix. VSTLs performance of testing outside the scope substantive irregularities or errors shall complete the requirements matrix of its accreditation. Testing performed which occur during the third party originally submitted with its test plan directly by lead VSTL personnel using testing process will be imputed to the (see Section 2.10.1 above). The third party contractor equipment and responsible lead VSTL. Such failures Requirements Matrix and instructions facilities is not considered third party may serve as a basis for the revocation for its completion may be found on the testing. of accreditation. Lead VSTLs using third EACs Web site at www.eac.gov. The 2.10.4.1. Core Testing. Core voting party laboratories (consistent with final submission of the Requirements system testing may only be performed Sections 2.10.4.1 through 2.10.4.2, Matrix will serve as verification that the by VSTLs. Therefore, a VSTL may only above) shall take steps to ensure that the VSTL performed the testing required to contract or otherwise provide for the third party laboratories they employ demonstrate compliance with voting core testing of voting systems if it uses system standards. a third party VSTL. Core testing meet the standards of this Program. At 2.10.5.2. Test Report. VSTLs shall includes: Technical Data Package a minimum, the lead VSTLs shall provide a test report. review, physical configuration audit, ensure: 2.10.4.3.1. The third party laboratory 2.10.5.2.1. Content. All test reports source code review, functional shall document the testing process, configuration audit, system integration provides the lead VSTL verifiable including the documentation and testing, volume testing, and security documentation regarding its relevant justification of any divergence from the testing (not including cryptographic accreditation; 2.10.4.3.2. Any hardware tested by the EAC approved test plan, methods, or testing). 2.10.4.2. Non-Core Testing. Non-core qualified third party laboratory is first cases and the identification of all testing may be performed by non-VSTLs validated by the lead VSTL as the same failures and/or anomalies along with 5 if they hold an EAC recognized hardware presented to it for any remedial action taken (see Chapter accreditation to perform the relevant certification; 4 of the EAC’s Voting System Testing testing. The EAC recognizes two 2.10.4.3.3. The third party laboratory and Certification Manual regarding the national accreditation bodies, NIST’s provides the lead VSTL with evidence anomaly matrix). Test reports shall also NVLAP program and the American that it will direct its activities in document any prescribed maintenance Association of Laboratory Accreditation compliance with any and all relevant or modifications, performed by the (A2LA). Generally, a VSTL may only VVSG requirements for testing and that Manufacturer, to a voting system in contract or otherwise provide for the the testing was, in fact, performed testing. Such maintenance or non-core testing of voting systems if it consistent with such specific modifications shall be monitored by the uses a NVLAP or A2LA laboratory 4 For the purposes of the EAC’s Voting System 5 VSTLs must report all errors and anomalies accredited to the specific scope of Test Laboratory Program, non-core cryptographic identified in the test campaign even when an error testing necessary. Non-core testing testing includes all testing involving evaluation of is identified during the testing of unrelated includes: Electromagnetic compatibility cryptographic operation and key management. functionality.

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VSTL consistent with Section 2.11.1 of omissions identified shall be reported to of an EAC certification. Participation this Manual. the EAC; and includes but is not limited to the 2.10.5.2.2. Format. To the greatest 2.10.6.5. The adoption and use of observation of testing by the extent possible, VSTLs shall write prior testing is noted in the test plan Manufacturer.6 Additionally, lead reports such that they are and test report. Like all testing, prior VSTL’s shall ensure that Manufactures’ understandable to non-technical testing is subject to EAC review and do not have access to a system under persons. As the EAC will publish these approval. test unless accompanied and monitored reports (bar portions prohibited by law), 2.10.7. Termination of Testing Prior to by a VSTL representative. VSTLs shall refrain from including in Completion. In the event testing is 2.11.2. Decision Making. them trade secrets or other commercial terminated prior to completion, VSTLs Determinations regarding testing, test information protected from release are required to notify the EAC Program requirements, and test results shall be unless substantively required. Where Director. This notification shall be in made on the basis and for the purpose information protected from release may writing and state the reasons for of ensuring that the systems tested meet be included, it shall be identified termination, provide a list of all testing Federal voting system standards. A consistent with Chapter 7 of this completed, and produce a matrix of test VSTL’s primary purpose shall be to Manual. VSTLs shall format each test anomalies or failures pursuant to serve the public interest through report consistent with the requirements Section 4.5.2 of the EAC Testing and adherence to the EAC Testing and Certification Program Manual. of Appendix B of this Manual. Certification Program. 2.10.5.3. VSTL Attestation. The VSTL 2.10.7.1. Termination Defined. Voting shall provide a letter, signed by a system testing shall be considered 2.11.3. Single Laboratory representative authorized to take action terminated when the testing process is Requirement. EAC’s Testing and on behalf of the VSTL (see Sections 2.13 permanently ended or otherwise halted Certification Program prohibits and 3.4.1.6. of this Manual), which without a specific plan to recommence Manufacturers from changing attests that (1) all testing prescribed by within 180 days of the last test laboratories during the testing process. the test plan or amended test plan was performed. Once a lead VSTL is identified to the performed as identified or the 2.10.7.2. Effect of Termination. EAC by the Manufacturer to test a divergence from the test plan was Notification of termination will result in system, a test report will not be properly documented, (2) all identified the suspension of the Manufacturer’s accepted by the EAC from any other voting system anomalies or failures Certification Application. Additionally, laboratory unless authorized pursuant to were reported and resolved, (3) that the the termination and VSTL’s written Chapter 4 of the EAC’s Voting System test report is accurate and complete, and notice shall be posted on EAC’s Web Testing and Certification Program (4) the VSTL recommends the system site. Manual. This strict policy supports for certification. 2.10.7.3. Resubmission after VSTLs in their independent decision 2.10.6. Acceptance of Prior Testing. Termination. Manufacturers may making role. VSTLs shall immediately Generally, a valid test previously resubmit a system previously report to the EAC Certification Program performed on a voting system by a terminated by submitting an updated Director any time a Manufacturer VSTL, or by a third party test laboratory application consistent with Chapter 4 of withdraws a product from testing or the operating at the direction of a VSTL, the Voting System Testing and testing is otherwise terminated (see may be reused at the discretion of the Certification Program Manual. Pursuant Section 2.10.7. of this Manual). lead VSTL. The EAC encourages VSTLs to Section 2.11 of this Manual and 2.11.4. Fee for Service. All fees paid to use such testing to fulfill current Section 4.3.1.2 of the Voting System by a Manufacturer to a VSTL shall be certification requirements. The EAC will Testing and Certification Program solely for services rendered. No accept prior testing only when the Manual, a system resubmitted to the payment may be accepted by a VSTL below requirements are met. Lead EAC after termination must be tested by that is not directly linked to services VSTLs are responsible for ensuring that the VSTL identified on the original necessary to complete system testing. the prior testing has met these application. No payment may be accepted by a VSTL requirements. Prior testing is valid 2.11. Laboratory Independence. As a that is conditioned or dependent on when: condition of accreditation, all testing outcome. 2.10.6.1. The discrete software or laboratories shall maintain their 2.11.5. Written Communications. To hardware component previously tested independence from voting system ensure and document the independent is demonstrably identical to that Manufacturers, consistent with their relationship between test laboratories presently offered for testing. Lead roles and responsibilities as a key and Manufacturers, all substantive VSTLs must examine the components to component of the EAC Certification discussions regarding the outcome, cost, ensure no change has taken place program. VSTLs shall maintain an arm’s payment and testing of a voting system consistent with all documentation. length relationship with the shall be conducted or otherwise When valid prior testing is used, the manufacturers and avoid even the documented in writing by the VSTL. system presented must be subject to appearance of improper conduct. In These records shall be maintained regression testing, functional testing and order to maintain independence, VSTLs consistent with Section 2.15 of this system integration testing; shall adhere to the following Manual. Examples of substantive 2.10.6.2. The voting system standards independence principles and discussions between the lead VSTL and and relevant EAC interpretations requirements: a Manufacturer include but are not applicable to the prior and current 2.11.1. Testing Independence. limited to: Consistent with the requirements of this testing are identical; 2.11.5.1. All contracts and Manual, only the lead VSTL identified 2.10.6.3. The test methods used are amendments thereto; equivalent or identical to current test on a voting system’s application form methods approved by the EAC; may test or oversee the testing of that 6 Not all activities required for EAC Certification 2.10.6.4. The prior testing has been system. Under no circumstances may a are ‘‘testing’’ activities. Examples of certification reviewed by the VSTL and no errors or Manufacturer perform or participate in requirements that do not fall into the category of omissions are apparent. Any errors or any testing which will serve as the basis ‘‘testing’’ include trusted and witness builds.

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2.11.5.2. All discussions regarding the 2.14.1. Maintain insurance policies NIST, through the NVLAP process, set up and operation of the voting (see Section 3.4.1.8.) that indemnify the assesses laboratory technical system during testing; laboratory against the potential losses capabilities, procedures and personnel 2.11.5.3. All discussions with the identified in its liability assessment (see before recommending a laboratory for Manufacturer regarding the test plan, Section 3.4.1.9.); and EAC accreditation. The requirements, test cases, testing, or the test report; and 2.14.2. Document solvency through procedures and application process for 2.11.5.4. All discussions regarding demonstrating that the laboratory’s requesting consideration by NIST (for implementation or interpretation of the assets are greater than its liabilities in its recommendation to the EAC) may be standards. audited financial statement (see Section found at www.nist.gov/NVLAP or by 2.11.6. Testing Facilities. To avoid the 3.4.1.16.). contacting NIST at, National Voluntary appearance of impropriety and 2.15. Recordkeeping. As a condition Laboratory Accreditation Program, otherwise maintain laboratory of accreditation, all laboratories shall Standards Services Division, NIST, 100 independence, VSTLs shall not conduct have a written policy regarding the Bureau Drive, Stop 2140, Gaithersburg, testing 7 at a Manufacturer owned or proper storage, management and MD, 20899–2140. controlled facility. If exceptional retention of all records relating to the 3.2.2. Emergency EAC Accreditation circumstances exist requiring that the testing of voting systems. At a without NIST Recommendation. HAVA VSTL use Manufacturer facilities, the minimum, this policy shall require all authorizes the EAC to consider and VSTL may request a waiver from this forms, reports, test records, accredit laboratories without a NIST prohibition. The request must be in observations, calculations, and derived recommendation (42 U.S.C. writing to the Program Director and data for all tests performed on a given § 15371(b)(2)(B)). The EAC will accredit clearly state why such testing is voting system (or component of said laboratories without a NIST necessary. A waiver may be granted at system) be retained for a period of at recommendation only as an emergency the sole discretion of the Program least 5 years after the last test performed action. Director and may impose necessary on any version of that system (or 3.2.2.1. Emergency Action-Defined. restrictions, limitations and component of any version of said The EAC will take emergency action requirements on testing. Waivers will be system). The policy shall require that all only in instances where (1) there is a granted only in exceptional documents are maintained in a safe and significant national need for accredited circumstances. secure environment and stored in a laboratory testing capacity that cannot 2.11.7. Improper Influence. Any manner that provides for organized and be met by existing VSTL’s, (2) the attempt by a Manufacturer to unduly timely identification and retrieval. shortage of laboratory testing capacity influence the test process shall be Additionally, all records must be kept in may cause a disruption in the orderly immediately reported to the EAC’s a data format usable and available to the administration of Federal elections, and Certification and Testing Program EAC. (3) NIST is not capable of timely providing new laboratories to meet Director. 3. Accreditation Process 2.12. Authority to do Business in the needs. Consistent with HAVA, the EAC 3.1. Overview. This chapter sets forth United States. As a condition of will publish its basis for emergency the required steps Applicant accreditation, all laboratories shall be action following the above standards. Laboratories must perform in order to 3.2.2.2. Emergency Action-Process. lawfully entitled or otherwise not receive an EAC Voting System Test Laboratories shall be accredited by the prohibited from doing business with the Laboratory Accreditation. The process EAC in an emergency action only after United States or its citizens or operating generally includes an application for they have been properly assessed in the United States. and receipt of a NIST recommendation; according to international standards and 2.13. Communications. As a condition receipt of an EAC invitation to apply; applicable NIST Guidance. These of accreditation, all laboratories shall and the successful submission, standards include International designate and identify an individual or acceptance and review of an EAC Standard ISO/IEC 17025, General individuals who may speak for and take application. Requirements for the Competence of action on behalf of the VSTL. VSTLs 3.2. NIST Recommendation. The Testing and Calibration Laboratories; shall maintain an open line of Election Assistance Commission (EAC) NIST Handbook 150, Procedures and communication with EAC’s Testing and is mandated under Section 231 of the General Requirement; NIST Handbook Certification Program Director, Help America Vote Act of 2002 (HAVA) 150–22, Voting System Testing; and/or providing prompt response to requests (42 U.S.C. § 15371(b)) to ‘‘* * * provide any documents supplementing, for information regarding the Program. for the certification, de-certification and updating or replacing these standards or 2.14. Resources and Financial re-certification of voting system handbooks. Stability. As a condition of hardware and software by accredited 3.2.2.3. Emergency Action- accreditation, all VSTLs shall allocate laboratories.’’ As part of this process, Provisional. Any accreditation provided sufficient resources to enable the HAVA requires the National Institute of by the EAC through its emergency laboratory to properly use and maintain Standards and Technology (NIST) to action authority will be provisional in its test equipment, personnel, and evaluate independent non-Federal test nature and limited in scope. All facility and to satisfactorily perform all laboratories. NIST selects those emergency accreditations must expire required laboratory functions. The laboratories technically qualified to test on a date certain. laboratory shall maintain insurance voting systems and recommends them 3.3. EAC Invitation. After receipt of a policies sufficient to indemnify itself to the EAC for accreditation. Generally, NIST list of recommended laboratories, against financial liabilities or penalties a Laboratory must have a NIST the EAC will send a letter to the that may result from its operations. recommendation before it may be laboratories inviting them to apply for VSTLs shall: considered for EAC accreditation. EAC accreditation under the VSTL 3.2.1. NIST Recommendation Process. program. No laboratory may apply for 7 As noted in footnote 6, above, this requirement only applies to ‘‘testing’’ and does not include other NIST utilizes its National Voluntary EAC accreditation without an invitation certification activities such as trusted and witness Laboratory Accreditation Program from the Commission. The letter of builds. (NVLAP) to perform this evaluation. invitation will identify the scope of

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accreditation for which the laboratory address, Web site, e-mail address) to be requirements as laid out in Chapter 2 of may apply. The invited laboratories posted by the EAC on its Web site. the Manual. Laboratory shall meet all must follow the application procedure 3.4.1.8. The identity of the program requirements as they relate to noted in Section 3.4, below. laboratory’s insurer(s), name of insured, NVLAP accreditation; conflict of 3.4. Application. EAC is the sole and coverage limits for any interest and prohibited practices; authority for Voting System Test comprehensive general liability policies, personnel policies; notification of Laboratory Accreditation. While NIST’s errors and omissions policies, changes; resources; site visits, notice of recommendation serves as a reliable professional liability policies, and bailee law suits; testing, technical practices indication of technical competency, the policies. and reporting; laboratory independence; EAC must take additional steps to 3.4.1.9. A written assessment of the authority to do business in the United ensure that laboratory policies are in laboratory’s commercial general States; VSTL communications; financial place regarding issues like conflict of liability. stability; and recordkeeping. Laboratory interest, record maintenance, and 3.4.1.10. A signed statement certifying further recognizes that meeting these financial stability. It must also ensure that it maintains workman’s program requirements is a continuing that the candidate laboratory is willing compensation policy coverage sufficient responsibility. Failure to meet each of and capable to work with EAC in its to meet the applicable State’s minimum the requirements may result in the Certification Program. To that end, requirements. denial of an application for applicant laboratories are required to 3.4.1.11. A copy of the laboratory’s accreditation, a suspension of submit a Letter of Application organizational chart which includes the accreditation or a revocation of requesting accreditation. The letter shall names of key staff responsible for the accreditation. be addressed to the Testing and testing of voting systems. 3.4.3. Certification of Laboratory Certification Program Director and 3.4.1.12. A copy of the laboratory’s Conditions and Practices. The applicant attach (in either hard copy or on CD/ conflict of interest policy which laboratory must submit a signed DVD) (1) all required information and implements the standards of Section 2.5 Certification of Laboratory Conditions documentation; (2) a signed letter of of this Manual. and Practices as a part of its application. agreement; and (3) a signed certification 3.4.1.13. A copy of the laboratory’s No applicant laboratory will be of conditions and practices. personnel policy which implements the considered for accreditation unless it 3.4.1. Information and Documents. standards of Section 2.6 of this Manual. has properly affirmed its conditions and The applicant laboratory must submit 3.4.1.14. A copy of the laboratory’s practices through the certification the information and documents recordkeeping policy which implements document. A Certification of Laboratory identified below as a part of its the standards of Section 2.15 of this Conditions and Practices form may be application. These documents will be Manual. found at Attachment C and is available reviewed by the EAC in order to 3.4.1.15. A copy of the laboratory electronically at www.eac.gov. By determine whether the applicant facilities brochure. signing the certification, a laboratory laboratory meets the program 3.4.1.16. A copy of the most recent affirms that it, in fact, has in place the requirements identified in Chapter 2. annual report, the names of the current policies, procedures, practices, The grant of EAC accreditation is board of directors and the previous resources and personnel stated in the subject to receipt of the information and year’s board of directors, the names of document. Any false representations EAC’s review and approval of the any majority shareholders, and audited made in the certification process may materials. The applicant laboratory shall financial statements of the companies or result in the revocation of accreditation properly label any documents, or entities that own and operate the and/or criminal prosecution. portions of documents, it believes are laboratory. Laboratories not 3.5. EAC Review of Application protected from release under Federal incorporated should provide Package. The EAC will perform a review law. comparable information. of each Applicant Laboratory’s 3.4.1.1. The legal name of the 3.4.2. Letter of Agreement. The application package to ensure that it is laboratory applicant laboratory must submit a complete and the laboratory meets the 3.4.1.2. Mailing address of the signed letter of agreement as a part of its program requirements. Each package laboratory application. This letter shall be signed will be received and reviewed by the 3.4.1.3. Physical location of the by an official vested with the legal Testing and Certification Program laboratory (if different than the mailing authority to speak for, contract on behalf Director to identify any apparent address). of or otherwise bind the applicant nonconformities or deficiencies. If 3.4.1.4. Name, phone number, fax laboratory (see Section 2.13). The necessary, the Program Director will number and e-mail address of the voting purpose of this letter is to document notify Applicant Laboratories of any system testing program manager or that the applicant laboratory is aware of such nonconformities or deficiencies individual otherwise immediately and agrees to abide by the requirements and provide them an opportunity to responsible for the voting system testing of the EAC Voting System Testing cure problems prior to forwarding the program. Laboratory Accreditation Program. No package to the Commissioners. The 3.4.1.5. Name, phone number, fax applicant laboratory will be considered Program Director will issue a number, and e-mail address of the for accreditation unless it has properly recommendation to the Commissioners individual, CEO, president or otherwise submitted a letter of agreement. The when forwarding any application titled head of the laboratory. letter shall unequivocally state the package. Consistent with HAVA, a 3.4.1.6. Name, title, phone number, following: laboratory will receive an accreditation fax number, and e-mail address of the The undersigned representative only upon a vote of the Commissioners. individual or individuals designated to ofllll (hereinafter ‘‘Laboratory’’), 3.5.1. Program Director Review. speak for and take action on behalf of being lawfully authorized to bind Application packages shall be sent to the laboratory pursuant to Section 2.13 Laboratory and having read the EAC the Program Director. The Program of this Manual. Voting System Test Laboratory Program Director will perform a review of the 3.4.1.7. The business contact Manual, accepts and agrees on behalf of packages before forwarding them to the information (such as point of contact, Laboratory to follow the program Commissioners with a recommendation.

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Upon receipt of an application package noncompliance, an Applicant 3.6.2.1. NIST’s Recommendation the Testing and Certification Program Laboratory (who has provided all Letter; Director shall review the package to required documentation) fails to provide 3.6.2.2. The VSTL’s Letter of ensure: additional, clarifying information or Agreement; 3.5.1.1. The package is complete. No documentation in response to an 3.6.2.3. The VSTL’s Certification of application may be forwarded to the identified issue of program Conditions and Practices; Commission for a vote on accreditation noncompliance, the Program Director 3.6.2.4. The Commissioner’s Decision unless is contains all required shall forward the original application to on Accreditation; and documentation (Section 3.4.1), a proper the Chair of the Commission for action. 3.6.2.5. The Certificate of letter of agreement (Section 3.4.2), and 3.5.4. Recommendation to Accreditation. a signed Certification of Laboratory Commissioners. After review, and if 3.7. Effect of Accreditation. Receipt of Conditions and Practices (Section 3.4.3). necessary an opportunity for the an EAC Accreditation indicates that a 3.5.1.2. Evidence of compliance with applicant to amend their application, laboratory has met the applicable program requirements. The Program the Program Director shall forward each technical, procedural, management and Director shall also review the application to the Chair of the staffing requirements and may serve as submissions to ensure that the Commission with a recommendation as a Voting System Test Laboratory (VSTL) information provided properly reflects to disposition. This application package under EAC’s Testing and Certification and documents compliance with shall include all documents and Program. 3.7.1. Scope of Accreditation. A program requirements. correspondence between the applicant laboratory shall operate within the 3.5.2. Notice of Nonconformity. In the laboratory and the EAC Program limits of the scope of accreditation as event the Program Director identifies (1) Director. stated on its Certificate of Accreditation. missing documentation or information 3.5.5. Vote by Commissioners. Upon and/or (2) issues of non-compliance, the 3.7.2. Representation. No VSTL may receipt of an application package and make representations regarding its Program Director shall notify the recommendation from the Testing and Applicant Laboratory of the deficiencies accreditation beyond its scope of Certification Program Director, the Chair accreditation. prior to forwarding a recommendation of the Commission shall forward the to the Commissioners. The written 3.7.3. No Endorsement. A Certificate information to each EAC Commissioner. of Accreditation is not an endorsement notice of nonconformity shall: After a reasonable time to review the 3.5.2.1. Identify any missing of the recipient laboratory. A VSTL may forwarded materials, the Chair of the not state or imply EAC endorsement. documentation or information; Commission shall bring the matter to a 3.5.2.2. Identify any issues of 3.7.4. Accreditation Logo. A VSTL vote, consistent with the rules of the potential non-compliance; and may display the EAC laboratory Commission. The measure presented for 3.5.2.3. Provide Applicant Laboratory accreditation logo. Only the EAC a vote shall take the form of a written a reasonable time period to submit authorized logo may be used. The Commissioners’ Decision which (1) additional information or amend their display must be used in a manner makes a clear determination as to application package in response to consistent Sections 3.7.1.—3.7.3., above. accreditation and (2) states the basis for identified non-conformities. Specifications for the reproduction and 3.5.3. Applicant Laboratory Action on the determination. use of the EAC logo are found in Notice of Nonconformity. Applicant 3.6. Grant of Accreditation. Upon a Appendix D. Laboratories shall respond to a notice of vote of the EAC Commissioners to 3.8. Expiration and Renewal of nonconformity within the timeframe accredit a laboratory, the Testing and Accreditation. A grant of accreditation identified by the Program Director. Certification Program Director shall is valid for a period not to exceed two Responses shall include any missing inform the laboratory of the decision, years. A VSTL’s accreditation expires on documents identified in the notice, as Issue a Certificate of Accreditation and the date annotated on the Certificate of well as any additional or clarifying post information regarding the Accreditation. VSTLs in good standing information or documentation laboratory on the EAC Web site. shall renew their accreditation by responsive to an issue of non- 3.6.1. Certificate of Accreditation. A submitting an application package to the compliance. Certificate of Accreditation shall be Program Director, consistent with the 3.5.3.1. Request for Additional Time. issued to each laboratory accredited by procedures of Section 3.4 of this Applicant Laboratories may request vote of the Commissioners. The Chapter, no earlier than 60 days before additional time in writing. Such request certificate shall be signed by the Chair the accreditation expiration date and no must state the basis for the request and of the Commission and state: later than 30 days before that date. identify a reasonable time period for 3.6.1.1. The name of the VSTL; Laboratories that timely file the renewal response. The grant of additional time is 3.6.1.2. The scope of accreditation, by application package shall retain their at the sole discretion of the Program stating the Federal standard or accreditation while the review and Director. standards to which the VSTL is processing of their application is 3.5.3.2. Failure to Respond—Missing competent to test; pending. Documentation or Information. If an 3.6.1.3. The effective date of the 3.9. Denial of Accreditation. Upon a Applicant Laboratory fails to provide certification, which shall not exceed a vote of the EAC Commissioners not to required information or documentation period of two (2) years; and accredit a laboratory, the Testing and within the timeframe provided in the 3.6.1.4. The technical standards to Certification Program Director shall notice of noncompliance, the Program which the laboratory was accredited. inform the laboratory of the decision Director shall reject the application as 3.6.2. Post Information on Web Site. and post relevant information on the incomplete, returning the package to the The Program Director shall make EAC Web site. applicant for resubmission consistent information pertaining to each 3.9.1. Notice of Denial. The Program with the requirements of this Chapter. accredited laboratory available to the Director shall inform the applicant 3.5.3.3. Failure to Respond—Issue of public on EAC’s Web site. This laboratory (in writing) of the Noncompliance. If, within the information shall include (but is not Commissioners’ Decision. This notice timeframe provided in the notice of limited to): must include:

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3.9.1.1. A statement of the decision Commissioners. Upon receipt of an resubmitting their application package and brief summary explanation of the appeal, the Chair of the Commission consistent with Section 3.4 of this basis for the decision; shall forward to each EAC Chapter. 3.9.1.2. Notice of the Applicant Commissioner the Applicant 4. Compliance Management Program Laboratory’s right to appeal; and Laboratory’s appellate submission, 3.9.1.3. A copy of the Commissioners’ along with the original application 4.1. Purpose. The purpose of the Decision. package, Commissioners’ Decision, and Compliance Management Program is to 3.9.2. Post Information on Web Site. Program Director’s recommendation. improve EAC’s Laboratory Accreditation The Program Director shall publish on After a reasonable time to review and Program and Testing; increase EAC Web site: consider the forwarded materials, the coordination, communication and 3.9.2.1. A copy of the Commissioners’ Chair of the Commission shall bring the understanding between the EAC and its Decision, and matter to a vote, consistent with the VSTLs; and increase public confidence 3.9.2.2. The Notice of Denial. rules of the Commission. The measure in elections by facilitating VSTL 3.10. Requesting Appeal. An presented for a vote shall take the form accountability. The program applicant laboratory that has been of a written Commissioners’ Decision on accomplishes this by increasing denied accreditation by a vote of the Appeal. personal interaction between EAC staff Commissioners shall have the right to 3.14. Commissioner’s Decision on and VSTL personnel, collecting appeal. An Applicant Laboratory may Appeal. The Commissioners shall make information and performing reviews to appeal a Denial of Accreditation by first a written, final Decision on Appeal and ensure continued compliance with issuing a written request for appeal. shall provide it to the Applicant program requirements, and requiring 3.10.1. Submission. Requests must be Laboratory. that VSTLs promptly remedy any submitted in writing to the Program 3.14.1. Contents. The Decision on identified areas of noncompliance. Director, addressed to the Chair of the Appeal shall: 4.2. Compliance Management U.S. Election Assistance Commission. 3.14.1.1. State the final determination Program, Generally. The Compliance 3.10.2. Timing of Appeal. The of the Commission. Management Program meets its Applicant Laboratory may request an 3.14.1.2. Address the matters raised purposes by gathering information on appeal within 7 calendar days of receipt by the Applicant Laboratory on appeal. the procedures and practices of its of the Notice of Denial. Late requests 3.14.1.3. Provide the reasoning behind VSTLs. There are three main sources of will not be considered. the decision. information: (1) VSTL Notifications of 3.10.3. Contents of Request. The 3.14.1.4. State that the Decision on Changes, (2) EAC Requests for request must petition for Appeal is final. Documents or Information and (3) EAC reconsideration of the Commissioners’ 3.14.2. Determinations. The On Site Reviews. The information Decision and clearly state the specific Commissioners shall make one of two collected is reviewed by the EAC to conclusions of the Decision the determinations on appeal. ensure that VSTLs are meeting all Applicant Laboratory wishes to appeal. 3.14.2.1. Grant of Appeal. If the program requirements. Any areas of 3.11. EAC Action on a Request for Commissioners determine that the noncompliance or recommendations for Appeal. The Program Director shall previous Decision of the Commission improvement are presented to VSTLs in accept any request for appeal timely shall be overturned in full, the appeal a Compliance Management Report. submitted. Untimely requests shall be shall be granted. In such cases, the VSTLs are required to promptly remedy rejected. Upon receipt of a request for Applicant Laboratory shall be granted any noncompliance or face revocation of appeal, the Program Director shall notify accreditation. accreditation. the requestor applicant laboratory, in 3.14.2.2. Denial of Appeal. If the 4.3. VSTL Notification of Changes. writing, as to whether their appeal has Commissioners determine that any part VSTLs are obligated to report any been accepted as timely. The notice for of the previous Decision of the significant changes regarding the accepted requests shall inform the Commission shall be upheld such that information, agreements or certifications applicant laboratory of the requirements the procedural requirements of Chapter made to the EAC as a condition of for submitting their appeal per Section 3 or the Program requirements of accreditation (see Section 2.7). This 3.12 of this Manual. Chapter 2 of this manual will not be met requirement serves as the primary 3.12. Submission of Appeal. After in full, the appeal shall be denied. In means by which the EAC maintains submission of a timely request for such cases, the application for appeal is VSTL compliance. Failure to report appeal, the Applicant Laboratory shall finally denied. changes in conditions or practices may submit its appeal. This appeal shall (1) 3.14.3. Effect. All Decisions on result in suspension or revocation of clearly identify the specific conclusions Appeal shall be final and binding on the accreditation consistent with the of the Commissioners’ Decision the Applicant Laboratory. No additional requirements and procedures of Chapter Laboratory wishes to challenge, (2) request for appeal shall be granted. 5. provide the basis for its position on 3.15. Effect of Denial of Accreditation. 4.4. Request for Documents and appeal and (3) submit a written An EAC denial of accreditation Information. The Program Director may argument in support of its appeal. In indicates only that an applicant request a VSTL to provide the EAC addition, the applicant laboratory may laboratory has failed to document or information and/or documents to submit documentary or other relevant, otherwise demonstrate that it has the demonstrate the laboratory’s continuing physical evidence in support of the procedures, policies, management or compliance with the Accreditation appeal. The Appeal and all supporting personnel in place to meet the Program requirements noted in Chapter materials must be received by the EAC requirements of the Accreditation 2 (See Section 2.2). within 20 days of the applicant Program. A denial of accreditation is 4.4.1. EAC Request. A request for laboratory’s receipt of the Program based upon current policy and documents or information shall be made Director’s notice of acceptance of the procedure and is not an indicator of past in writing by the Program Director and request to appeal. performance. Laboratories denied provide a reasonable timeframe for 3.13. Consideration of Appeal. All accreditation have the right to cure any VSTL response. The request may be for timely appeals will be considered by the identified defect and reapply by documents, information or both:

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4.4.1.1. Request for Documents. A 4.5.2. On Site Review—Testing 4.7.1.3.2. The testing that is to be request for documents must identify the Observation and Technical Assessment. observed. specific documents sought. A request A Testing Observation and Technical 4.7.1.4. VSTL’s Responsibilities. The for documents is not a demand for the Assessment Review requires an expert notice shall briefly inform the VSTL of VSTL to create a document, but to EAC laboratory assessor to enter a VSTL its responsibility to coordinate and provide the EAC a copy of any existing facility and assess the laboratory’s cooperate with the EAC throughout the documentation responsive to the technical procedures, policies, on site review process. request. management and personnel to verify 4.7.2. VSTL Response to Notice. Upon 4.4.1.2. Request for Information. compliance with applicable laboratory receipt of a notice of on site review, the Requests for information shall take the standards. Additionally, the EAC VSTL shall coordinate the logistics of form of interrogatories. Each inquiry assessor may observe VSTL employees the review with the Program Director. In shall take the form of a discrete during the testing of voting systems to the event the noticed date or timeframe question. VSTLs are expected to provide ensure that VSTL practices match makes access to the required personnel, complete answers to each question. technical policies.8 documents or testing untenable, the 4.4.2. VSTL Response. VSTLs shall 4.6. On Site Laboratory Review— VSTL shall contact the Program Director respond within the timeframe provided Frequency. The Program Director shall in writing and identify, (1) The conflict by the Program Director. If additional ensure that each VSTL receives an On or other problem which makes the time is needed, VSTLs may request an Site Policy, Procedures and Practices proposed date and timeframe untenable, extension. Such requests must be made Review at least once every two years. and (2) a proposed alternative date for within the timeframe of the original 4.7. On Site Laboratory Review— the on site review. The acceptance of an request. The grant of additional time is Procedure. The Program Director shall alternative on site review date is at the at the sole discretion of the Program determine when and what type of on sole discretion of the Program Director. 4.7.3. Review. An on site review Director. site review will be conducted for each VSTL. Before any on site review, the begins upon the arrival of EAC 4.4.2.1. Request for Documents. Program Director shall provide the personnel at the VSTL’s facility. EAC VSTLs shall respond to requests for VSTL with reasonable notice. Reviews reviewers will ordinarily conduct documents by having knowledgeable shall be conducted with as little impact reviews during the VSTL’s normal staff conduct a thorough search of VSTL as possible on the activities of the VSTL. working hours. The reviewers will make records. VSTLs shall provide copies of The VSTL and its employees are every effort to work as efficiently as all documents responsive to the request. required to participate in the review and possible and avoid impacting the If any document responsive to a request cooperate with on site EAC personnel. laboratory’s routine operations. The is considered privileged or otherwise Finally, the reviewer shall provide the VSTL and its employees are required to protected from release under Federal VSTL a short exit briefing prior to the cooperate with EAC reviewers. This law, it should be properly labeled. If no termination of the on site review. cooperation includes providing a documents responsive to the request are 4.7.1. Notice. The Program Director private, physical location for EAC found, the VSTL shall state that no shall coordinate on site reviews with personnel to review documents and records were found. VSTL management. As reviews require speak with VSTL employees. Generally, 4.4.2.2. Request for Information. the availability of laboratory documents the VSTL shall be responsible for VSTLs shall respond to requests for and key personnel, a notice of on site ensuring: information by having knowledgeable review shall be in writing and be 4.7.3.1. Document Access and staff answer each question posed. provided to the VSTL at least 15 Availability. That the reviewers have VSTLs shall ensure that each question is calendar days before the on site review access to all requested VSTL answered completely and accurately. date. The notice shall provide the VSTL documents. All documents specifically The VSTL may submit documents in with the following information: identified in the notice of on site review support of its responses. 4.7.1.1. Duration of Review. The shall be presented to reviewers upon 4.4.3. Failure to Respond. Failure to notice shall provide an estimated arrival. timely respond to a request for timeframe during which EAC reviewers 4.7.3.2. Personnel Access and documents or information may result in will be on site. Availability. That the reviewers have a suspension or revocation of 4.7.1.2. Type of Review. The notice reasonable access to requested accreditation consistent with the shall identify the type of review to be personnel. The VSTL shall ensure that requirements and procedures of Chapter performed (see Section 4.5.). key personnel for each substantive area 5. 4.7.1.3. Scope of Review. The notice identified in the notice of on site review 4.5. On Site Laboratory Review— shall provide information regarding the be available to EAC reviewers during Generally. The Program Director shall scope of review. This information shall the noticed review period. provide for regular on site reviews of be sufficient to allow the VSTL to 4.7.3.3. Facilities and Testing Access VSTLs. There are two types of on site identify the documents, personnel and and Availability. That the reviewers review: testing it must make available to EAC have access to VSTL facilities involved 4.5.1. On Site Review—Policy, reviewers. The notice shall specifically in the testing of voting systems, Procedures and Practices Review. The identify: including the facilities of third party most common type of review is the 4.7.1.3.1. The type of documents and/ contractor laboratories. Additionally, Policy, Procedure and Practices Review. or program areas to be reviewed. VSTLs must coordinate access to view This type of review requires EAC testing consistent with the notice of on personnel to enter a VSTL facility, 8 EAC’s authority to observe testing and conduct technical assessments serves only as an additional site review. examine a variety of documentation and tool to ensure technical compliance. The primarily 4.7.4. Exit Briefing. EAC reviewers meet with VSTL personnel to confirm means by which EAC ensures technical compliance shall provide the VSTL personnel an that the VSTL’s policies, procedures and is through NIST’s NVLAP program. The NVLAP exit briefing. Exit briefings shall be program monitors laboratories by requiring regular practices meet the requirements of the assessments. Laboratories are reviewed one year informal. The briefing shall identify any Laboratory Accreditation Program after their initial accreditation and biennially documents, information or personnel (Chapter 2). thereafter. which the VSTL remains responsible for

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making available to the reviewers; 4.8.3.1. Critical. A critical finding is a of the review, request for information or inform the VSTL of the next steps in the determination that the VSTL has not VSTL Notification of Change. The EAC review process; and provide the VSTL met a requirement of the program that Program Director will accept or reject a an opportunity to ask questions about is fundamentally critical to the VSTL’s VSTL’s challenge in writing. If a the process. technical capability to test voting challenge is accepted, no corrective 4.8. EAC Compliance Management systems. A critical noncompliance is a action will be required. If the challenge Reports. The EAC shall issue a written violation of program requirements that is rejected, the VSTL will have 20 days Compliance Management Report after by its very nature comprises the from receipt of the notice of rejection to performing any on site review. A integrity of the EAC Testing and perform remedial action. Compliance Management Report shall Certification Program. 4.9.2.2. Conducting Remedial Action. also be issued after a Request for 4.8.3.2. Required. A required finding VSTLs may take corrective action by Documents/Information or VSTL is a determination that the VSTL has submitting a remedial plan within 20 Notification of Change when either failed to meet a requirement of the days of receipt of the report. The indicates a noncompliance with program that is not considered remedial plan shall (for each finding of program requirements. All reports shall technically critical pursuant to Section noncompliance) identify the be posted on the EAC Web site and (1) 4.8.3.1., above. noncompliance, outline the steps to be provide a brief summary of the review 4.8.3.3. Recommended. A taken to achieve compliance, state the process, request for information or recommended finding is a timeframe for each step and identify the VSTL Notification of Change (2) state determination that VSTL practices means and final date by which the any findings resulting from the review, could be improved, but that the VSTL will document compliance. A and (3) identify any corrective action identified improvement is not required remedial plan is subject to approval required. by the program. In some cases, from the Program Director. A VSTL’s 4.8.1. Purpose. The purpose of the recommended practices may be failure to obtain approval of a remedial report is to provide the VSTL with practices the EAC plans to make plan or unauthorized deviation from an EAC’s findings regarding its program so program requirements. approved plan’s requirements or that: 4.8.4. Corrective Action. The report deadlines will result in suspension or 4.8.1.1. Items of noncompliance may shall specify the action to be taken by revocation of accreditation consistent be identified and rectified, the EAC and/or VSTL based upon the with the procedures laid out in Chapter 4.8.1.2. Exceptional practices may be review findings. 5, Revocation of Accreditation. identified and encouraged, and 4.9. Corrective Action. Based upon 4.9.3. Recommended. Recommended 4.8.1.3. EAC recommendations the Compliance Management Report, findings do not require VSTL action. (beyond the program requirements) may corrective action may be required. EAC The proposed remedial actions for be put forth in an effort to improve the action and VSTL responsibilities will recommended findings are not program VSTL’s program. vary depending upon the nature of the requirements, but EAC suggested 4.8.2. Summary of Process. The report report’s findings. practices. shall provide a brief summary of the 4.9.1. Critical. Critical Findings 5. Revocation of Accreditation review process, request for information require the EAC to initiate the 5.1. Overview. This chapter puts forth or VSTL Notification of Change. The immediate suspension of the VSTL the process for revoking the purpose of this summary is to provide consistent with the requirements and accreditation of an EAC VSTL. The background information regarding how procedures of Chapter 5, Revocation of process for revocation begins with the information supporting EAC Accreditation. The VSTL’s rights to factual findings made pursuant to the findings was collected. This includes remedy its noncompliance or be heard Compliance Management Program identifying sources of information, are laid out in Chapter 5. (Chapter 4). Prior to any revocation of methodology and standards. For the 4.9.2. Required. Required Findings accreditation, VSTLs which fail to purposes of on site reviews, the obligate the VSTL to resolve the comply with program requirements are summary shall state: identified non-compliance within 20 provided notice of (1) EAC’s intent to 4.8.2.1. The dates of the review, days. Failure to do so within the 20 day suspend, (2) suspension and (3) an 4.8.2.2. The type of review performed, timeframe will result in suspension or opportunity to be heard or cure 4.8.2.3. The program areas reviewed, revocation of accreditation consistent noncompliance. A laboratory that has its including any specific documents and with the procedures laid out in Chapter accreditation revoked has the right to personnel discussions which were 5, Revocation of Accreditation. The appeal. integral to the report findings, and VSTL may resolve a Required Finding 5.2. Revocation Policy. EAC 4.8.2.4. The processes used by the by: Accreditation is subject to revocation. reviewers to determine compliance. 4.9.2.1. Challenging the Finding. The The EAC shall revoke an accreditation 4.8.3. Findings. The report shall VSTL may challenge a finding if it upon a factual finding that a VSTL has outline any findings of the review, believes its procedures and practices failed to meet a requirement of the request for information or VSTL were in compliance with program Accreditation Program and is unable or Notification of Change. A finding is any requirements at the time of the review. unwilling to timely and properly factual determination that the VSTL is A VSTL shall challenge a Required remedy the non-compliance. not in compliance with the program Finding by providing factual 5.3. Revocation—Generally. The EAC requirements identified in Chapter 2 of information which documents its claim monitors its VSTLs through its this Manual or an EAC recommendation of compliance. Challenges must be filed Compliance Management Program for program improvement which does within 5 days of receipt of the EAC (Chapter 4). This program monitors not rise to the level of noncompliance. Report. The challenge must be in compliance through (1) the VSTL’s While reports may also contain writing, state the basis for the challenge, continuing obligation to provide EAC recognition of exceptional practices, address the facts and conclusions in the Notifications of Changes, (2) EAC’s such statements are not considered EAC report, and provide information authority to issue Requests for findings. Reports shall identify three which unambiguously documents that Documents or Information and (3) the types of findings: the VSTL was in compliance at the time performance of On Site Reviews.

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Determinations that a VSTL is not in writing by the Program Director. A Suspension. The request must include a complying with program requirements decision shall state (1) the decision of detailed remedial plan. If this plan is shall be made in Compliance the Program Director, (2) the basis for accepted, properly executed and Management Reports (findings of non- and reasoning behind the decision and verified, the VSTL’s suspension will be compliance). The process outlined in (3) the VSTL’s obligations and rights lifted and it may resume testing. this chapter to suspend and revoke a during suspension (if applicable). A 5.5.2.1. Remedial Plan. A request to VSTL’s accreditation shall be initiated Decision on Suspension shall be cure noncompliance must include a (1) immediately for Critical Findings of provided to the VSTL, issued to all plan by which the VSTL outlines how noncompliance and (2) after an registered Manufacturers and posted on it will timely bring its laboratory into opportunity to remedy the EAC’s Web site. The Program Director full compliance with the program. The noncompliance for Required Findings may make one of two determinations in remedial plan shall: (consistent with the process mandated a Decision on Suspension: 5.5.2.1.1. Identify each by Section 4.9). Revocation of 5.4.4.1. Program Compliance. Based noncompliance which served as the Accreditation is a three-step process. upon the EAC’s consideration of a basis of its suspension; 5.3.1. Notice of Intent to Suspend; VSTL’s response to the notice of intent 5.5.2.1.2. For each identified 5.3.2. Suspension of Accreditation; to suspend, the Program Director may noncompliance, outline the steps to be and overturn the factual findings that served taken to achieve compliance. This 5.3.3. Commissioners’ Decision on as the basis of the notice. In such cases, includes identifying the resources and Revocation of Accreditation. the Program Director shall determine personnel needed for each step; 5.4. Notice of Intent to Suspend. The that the VSTL is in compliance with all 5.5.2.1.3. Provide a timeframe for the revocation process shall be initiated by program requirements. A decision that completion of each identified step and issuing a Notice of Intent to Suspend to the VSTL is in compliance shall end the state the final date by which the VSTL a non-compliant VSTL. Such notices revocation process. will complete the compliance plan; 5.4.4.2. Suspension. The Program shall be issued by the Program Director. 5.5.2.1.4. Provide a schedule of Director shall suspend the VSTL VSTLs shall have three days to submit periodic progress reports to the Program consistent with the notice of intent to a response to the notice. The EAC will Director; and suspend when the preponderance of the issue a decision on suspension after 5.5.2.1.5. Require the VSTL to provide consideration of the VSTL’s submission. evidence indicates noncompliance with program requirements. Suspension is the EAC a written certification attesting 5.4.1. Written Notice. The Notice of to its completion of the remedial plan Intent to Suspend shall be in writing effective as of the VSTL’s receipt of the decision. and full compliance with program and: requirements at close of the process. 5.4.1.1. Inform the VSTL of the EAC’s 5.5. Suspension of Accreditation. 5.5.2.2. EAC Action on Plan. A intent to suspend the laboratory; Suspension is the second step in the remedial plan is subject to approval by 5.4.1.2. Identify the program revocation process. The purpose of the Program Director. The Program requirement or requirements with Suspension is (1) to provide the Director will work with the suspended which the VSTL has failed to comply; suspended VSTL an opportunity to 5.4.1.3. State the factual finding or timely cure the noncompliance which VSTL to develop and approve a findings that serve as the basis of the served as the basis of Suspension or (2) Remedial Plan that appropriately brings action; grant the suspended VSTL an the laboratory into compliance within 5.4.1.4. Provide a copy of the relevant opportunity to be heard prior to an acceptable timeframe. Remedial Compliance Management Report; and revocation of accreditation. A Plans shall be approved in writing. 5.4.1.5. Inform the VSTL of its right to suspended VSTL shall have 20 days to Ultimately, a VSTL’s failure to file a response to the notice. either cure its noncompliance or request cooperate or otherwise obtain approval 5.4.2. VSTL Response. The VSTL may an opportunity to be heard. If no action of a remedial plan will result in the respond to the notice of intent to is taken by the suspended VSTL within termination of the cure process. A suspend. Responses must be received by the 20 days, the EAC Commissioners determination to terminate the cure the EAC Program Director within three shall make a decision on revocation. process will be made in writing by the days of the VSTLs receipt of the Notice 5.5.1. Effect of Suspension. A Program Director. Upon receipt of a of Intent to Suspend to be eligible for suspended VSTL shall immediately notice that the cure process has been consideration. The VSTL response: cease all testing of voting systems under terminated, a suspended VSTL shall 5.4.2.1. Must be in writing; the EAC’s Certification Program. Any have 10 days to request an opportunity 5.4.2.2. Must be timely submitted to testing performed by a suspended VSTL to be heard on revocation of be considered; during its suspension will not be accreditation (see Section 5.5.3., below). 5.4.2.3. Must challenge the factual accepted by the EAC under its Voting 5.5.2.3. VSTL Implementation of Plan. finding or findings that serve as the System Certification Program. Any After the remedial plan has been basis of the suspension; period of suspension must be clearly approved by the Program Director, the 5.4.2.4. May include relevant documented in a VSTL’s test report (see VSTL shall begin implementation. The documentation in support of its Chapter 4 of the EAC Voting System VSTL shall not deviate from an challenge. Testing and Certification Manual). approved plan’s procedures, 5.4.3. EAC Consideration of Response. Testing under the EAC Certification requirements or deadlines without the The EAC shall consider the timely Program shall not resume unless the written consent of the Program Director. submission of a VSTL before issuing a suspension is lifted or the VSTL is Failure to follow the remedial plan will Decision of Suspension. The EAC may otherwise authorized by the EAC (in result in the termination of the cure consult experts, perform research and writing) to recommence testing. process. A determination to terminate request additional information from the 5.5.2. Opportunity to Cure. A the cure process will be made in writing VSTL during the consideration process. suspended VSTL may request the by the Program Director. Upon receipt of 5.4.4. EAC Decision on Suspension. opportunity to cure its noncompliance a notice that the cure process has been The EAC shall issue a Decision on within 20 days of its receipt of the terminated, a suspended VSTL shall Suspension. The decision shall be made Program Director’s Decision on have 10 days to request an opportunity

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to be heard on revocation of receipt of a challenge of revocation, the which includes a summary of the accreditation (see Section 5.5.3., below). program Director shall provide each laboratory’s appeal rights consistent 5.5.2.4. EAC Verification of Remedy. Commissioner all relevant with Section 5.8., below. Upon a VSTL’s timely completion of the documentation including: (1) The 5.6.4. Decision-Publication. After a remedial plan and receipt of the VSTL’s VSTL’s submission challenging vote of the Commissioners adopting a Certification (see Section 5.5.2.1.5.), the revocation, (2) copies of any terminated Decision on Revocation, the Program Program Director shall verify cure plans, (3) the Notice of Intent to Director shall cause the decision to be compliance. At the discretion of the Suspend, (4) the Compliance posted on the EAC’s Web site, issue a Program Director, he or she may verify Management Report; (5) any documents copy to each registered voting system compliance through the acceptance of pertaining to challenges or remedial Manufacturer and provide the decision the VSTL’s Certification or through the plans provided by the VSTL in response to the Director of NIST. various components of the Compliance to a relevant Compliance Management 5.7. Effect of Revocation of Management Program (Chapter 4). If the report; and (6) a Program Director Accreditation. A revocation of Program Director determines that the recommendation as to disposition. accreditation is effective upon the vote remedial plan was not completed, he or 5.6.1. Consideration. Each of the Commissioners. Laboratories that she may terminate the cure process. A Commissioner shall review and have had their accreditation revoked determination to terminate the cure consider all relevant materials he or she may no longer test voting systems or process will be made in writing. Upon has been provided. A Commissioner submit test reports under the EAC receipt of a notice that the cure process may request the Program Director to certification program. The laboratories has been terminated, a suspended VSTL provide additional relevant materials or may not represent themselves as shall have 10 days to request an information held by the EAC or VSTL. accredited by EAC. A laboratory which opportunity to be heard on revocation of Such requests and any responsive has had its accreditation revoked may accreditation (see Section 5.5.3., below). materials shall be provided to each reapply for an EAC accreditation 5.5.2.5. Notice of Compliance. The Commissioner. The Chair of the consistent with the requirements of Program Director shall document his or Commission shall ensure that each Chapter 2, only after the EAC receives her verification that the remedial plan Commissioner has sufficient time to a new recommendation for their was complete by providing a written consider the relevant material before a participation from NIST. Where a notice of compliance to the VSTL. This vote is called. revocation of accreditation results in the notice shall state that the VSTL is in 5.6.2. Process. After a reasonable time termination of testing prior to compliance with program requirements to review the forwarded materials, the completion, the laboratory which has and that the suspension is lifted. The Chair of the Commission shall bring the had its accreditation revoked must notice shall be posted on the EAC’s Web Decision of Revocation of Accreditation provide information to the EAC site and provided to all registered to a vote, consistent with the rules of the consistent with 2.10.7. of this manual. Manufacturers. Commission. The measure presented for Manufacturers may request the EAC 5.5.3. Opportunity to be Heard on a vote shall take the form of a written grant permission to replace their lead Revocation of Accreditation. A VSTL Commissioners’ Decision on VSTL pursuant to Section 4.3.1.2. of the has the right to timely challenge the Revocation, which: Voting System Testing and Certification revocation of its accreditation prior to 5.6.2.1. Makes a clear determination Program Manual. an EAC Decision on Revocation. Unless as to revocation on accreditation. The 5.8. Requesting Appeal. A laboratory otherwise noted above, a VSTL has 20 Commissioners shall ultimately make that has had its accreditation revoked by days from the date it received its one of two decisions: a vote of the Commissioners shall have Decision on Suspension to submit a 5.6.2.1.1. Program Compliance. If the the right to appeal. A Laboratory may challenge. Late submissions will not be VSTL demonstrates that it meets all appeal a Decision to Revoke an considered. All challenges of revocation program requirements, successfully Accreditation by first issuing a written will be heard by the EAC challenging all previous findings of request for appeal. Commissioners. A challenge of noncompliance, the Commissioners 5.8.1. Submission. Requests must be revocation shall be submitted to the shall find the VSTL compliant, reject submitted in writing to the Program Program Director, and addressed to the the revocation of accreditation and lift Director, addressed to the Chair of the Chair of the U.S. Election Assistance the VSTL’s suspension. U.S. Election Assistance Commission. Commission. Each challenge of 5.6.2.1.2. Revocation of Accreditation. 5.8.2. Timing of Appeal. The revocation shall be in writing and: If the VSTL does not demonstrate that laboratory may request an appeal within 5.5.3.1. Shall identify each it meets all program requirements and at 7 calendar days of receipt of the Notice noncompliance which served as the least one previous finding of of Decision. Late requests will not be basis of its suspension; noncompliance stands, the considered. 5.5.3.2. Shall identify, document and Commissioners shall find the VSTL 5.8.3. Contents of Request. The provide verification of any remedial noncompliant and revoke its request must petition for action completed; accreditation. reconsideration of the Commissioners’ 5.5.3.3. Shall provide, for each 5.6.2.2. Provides a finding with regard Decision on Revocation and clearly state identified noncompliance, a written to each identified noncompliance which the specific conclusions of the Decision argument challenging the finding of served as the basis of suspension; and the laboratory wishes to appeal. noncompliance; and 5.6.2.3. Identifies the documents and 5.9. EAC Action on a Request for 5.5.3.4. May provide any information that served as the basis for Appeal. The Program Director shall documentation and information in the Decision. accept any request for appeal timely support of the written statement. 5.6.3. Decision-Notice. After a vote of submitted. Untimely requests shall be 5.6. Commissioners’ Decision on the Commissioners adopting a Decision rejected. Upon receipt of a request for Revocation of Accreditation. Pursuant to on Revocation, the Program Director appeal, the Program Director shall notify HAVA, a VSTL may have its shall forward the decision to the VSTL. the requestor laboratory, in writing, as accreditation revoked only by a vote of At that time the Program Director shall to whether their appeal has been the EAC Commissioners. Upon a timely provide the VSTL notice of decision accepted as timely. The notice for

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accepted requests shall inform the the procedural requirements of Chapter Request for Interpretation, one must (1) applicant laboratory of the requirements 3 or the Program requirements of be a proper requester, (2) request for submitting their appeal per Section Chapter 2 of this manual will not be met interpretation of an applicable voting 5.10. of this Manual. in full, the appeal shall be denied. In system standard, (3) present an actual 5.10. Submission of Appeal. After such cases, the application for appeal is controversy, and (4) seek clarification submission of a timely request for finally denied. on a matter of unsettled ambiguity. appeal, the Laboratory shall submit its 5.12.3. Effect. All Decisions on 6.3.1. Proper Requestor. A Request for appeal. This appeal shall (1) clearly Appeal shall be final and binding on the Interpretation may be submitted only by identify the specific conclusions of the Applicant Laboratory. No additional a registered Manufacturer or a VSTL. Commissioners’ Decision the laboratory request for appeal shall be granted. Requests for Interpretation will not be wishes to challenge, (2) provide the 5.12.4. Notice. After a vote of the accepted from any other parties. basis for its position on appeal and (3) Commissioners adopting a Decision on 6.3.2. Applicable Standard. A Request submit a written argument in support of Appeal, the Program Director shall for Interpretation is limited to queries its appeal. In addition, the applicant forward the decision to the VSTL. on EAC voting system standards (i.e., laboratory may submit documentary or 5.12.5. Publication. After a vote of the VVSG or VSS). Moreover, a other relevant, physical evidence in Commissioners adopting a Decision on Manufacturer or VSTL may submit a support of the appeal. The Appeal and Appeal, the Program Director shall Request for Interpretation only on a all supporting materials must be cause the decision to be posted on the version of EAC voting system standards received by the EAC within 20 days of EAC Web site, issue a copy to each to which the EAC currently offers registered voting system Manufacturer the applicant laboratory’s receipt of the certification. and provide the decision to the Director Program Director’s notice of acceptance 6.3.3. Existing Factual Controversy. of NIST. of the request to appeal. To submit a Request for Interpretation, 5.11. Consideration of Appeal. All 6. Requests for Interpretations a Manufacturer or VSTL must present a timely appeals will be considered by the 6.1. Overview. A Request for question relative to a specific voting Commissioners. Upon receipt of an Interpretation is a means by which a system or technology proposed for use appeal, the Chair of the Commission registered Manufacturer or VSTL may in a voting system. A Request for shall forward to each EAC seek clarification on a specific EAC Interpretation on hypothetical issues Commissioner the laboratory’s appellate voting system standard (VVSG or VSS). will not be addressed by the EAC. To submission, along with the original An Interpretation is a clarification of the submit a Request for Interpretation, the information considered during the voting system standards and guidance need for clarification must have arisen Commissioners’ Decision on Revocation on how to properly evaluate from the development or testing of a (see Section 5.6.). After a reasonable conformance to it. Suggestions or voting system. A factual controversy time to review and consider the requests for modifications to the exists when an attempt to apply a forwarded materials, the Chair of the standards are provided by other specific section of the VVSG or VSS to Commission shall bring the matter to a processes. This chapter outlines the a specific system or piece of technology vote, consistent with the rules of the policy, requirements, and procedures creates ambiguity. Commission. The measure presented for for submitting a Request for 6.3.4. Unsettled, Ambiguous Matter. a vote shall take the form of a written Interpretation. Requests for Interpretation must involve Commissioners’ Decision on Appeal. 6.2. Policy. Registered Manufacturers actual controversies that have not been 5.12. Commissioners’ Decision on or VSTLs may request that the EAC previously settled. This requirement Appeal. The Commissioners shall make provide a definitive Interpretation of mandates that interpretations contain a written, final Decision on Appeal and EAC-accepted voting system standards actual ambiguities not previously shall provide it to the laboratory. clarified. 5.12.1. Contents. The Decision on (VVSG or VSS) when, in the course of developing or testing a voting system, 6.3.4.1. Actual Ambiguity. A proper Appeal shall: Request for Interpretation must contain 5.12.1.1. State the final determination facts arise that make the meaning of a an actual ambiguity. The interpretation of the Commission. particular standard ambiguous or 5.12.1.2. Address the matters raised unclear. The EAC may self-initiate such process is not a means for challenging by the laboratory on appeal. a request when its agents identify a need a clear EAC voting system standard. 5.12.1.3. Provide the reasoning behind for interpretation within the program. Recommended changes to voting system the decision. An Interpretation issued by the EAC standards are welcome and may be 5.12.1.4. State that the Decision on will serve to clarify what a given forwarded to the EAC, but they are not Appeal is final. standard requires and how to properly part of this program. An ambiguity 5.12.2. Determinations. The evaluate compliance. An Interpretation arises (in applying a voting system Commissioners shall make one of two does not amend voting system standard to a specific technology) when determinations on appeal. standards, but serves only to clarify one of the following occurs: 5.12.2.1. Grant of Appeal. If the existing standards. 6.3.4.1.1. The language of the Commissioners determine that the 6.3. Requirements for Submitting a standard is unclear on its face; previous Decision of the Commission Request for Interpretation. An EAC 6.3.4.1.2. One section of the standard shall be overturned in full, and the Interpretation is limited in scope. The seems to contradict another, relevant laboratory meets all program purpose of the Interpretation process is section; requirements, the appeal shall be to provide Manufacturers or VSTLs who 6.3.4.1.3. The language of the granted. In such cases, the laboratory are in the process of developing or standard, though clear on its face, lacks shall have its accreditation immediately testing a voting system a means for sufficient detail or breadth to determine reinstated. resolving the meaning of a voting its proper application to a particular 5.12.2.2. Denial of Appeal. If the system standard in light of specific technology; Commissioners determine that any part voting system technology without 6.3.4.1.4. The language of a particular of the previous Decision of the having to present a finished product to standard, when applied to a specific Commission shall be upheld such that EAC for certification. To submit a technology, clearly conflicts with the

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established purpose or intent of the exist, they should be presented as 6.5.3.1. State the question or standard; or individual, numbered questions. questions investigated; 6.3.4.1.5. The language of the 6.4.4.4. Shall be stated in a way that 6.5.3.2. Outline the relevant facts that standard is clear, but the proper means can ultimately be answered yes or no. served as the basis of the Interpretation; to assess compliance is unclear. 6.4.5. Provide a Proposed 6.5.3.3. Identify the voting system 6.3.4.2. Not Previously Clarified. The Interpretation. A Request for standards interpreted; EAC will not accept a Request for Interpretation should propose an answer 6.5.3.4. State the conclusion reached; Interpretation when the issue has to the question posed. The answer and previously been clarified. should interpret the voting system 6.5.3.5. Inform the Manufacturer or 6.4. Procedure for Submitting a standard in the context of the facts VSTL of the effect of an Interpretation Request for Interpretation. A Request for presented. It should also provide the (see Section 6.6.). 6.6. Effect of Interpretation. Interpretation shall be made in writing basis and reasoning behind the Interpretations are fact specific and case to the Program Director. All requests proposal. specific. They are not tools of policy, should be complete and as detailed as 6.5. EAC Action on a Request for but specific, fact-based guidance useful possible because Interpretations issued Interpretation. Upon receipt of a for resolving a particular problem. An by the EAC are based on, and limited to, Request for Interpretation, the EAC shall Interpretation is determinative and the facts presented. Failure to provide take the following action: conclusive only with regard to the case complete information may result in an 6.5.1. Review the Request. The presented. Nevertheless, Interpretations Interpretation that is off point and Program Director shall review the do have some value as precedent. immaterial to the issue at hand. The request to ensure it is complete, is clear, Interpretations published by the EAC following steps must be taken when and meets the requirements of Section shall serve as reliable guidance and writing a Request for Interpretation: 6.3. Upon review, the Program Director authority over identical or similar 6.4.1. Establish Standing To Make the may take the following action: questions of interpretation. These Request. To make a request, one must 6.5.1.1. Request Clarification. If the Interpretations will help users meet the requirements identified in Request for Interpretation is incomplete understand and apply the provisions of Section 6.3. above. Thus, the written or additional information is otherwise EAC voting system standards. request must provide sufficient required, the Program Director may 6.7. Library of Interpretations. To information for the Program Director to request that the Manufacturer or VSTL better serve Manufacturers, VSTLs, and conclude that the requestor is (1) a clarify its Request for Interpretation and those interested in the EAC voting proper requester, (2) requesting an identify any additional information system standards, the Program Director Interpretation of an applicable voting required. shall publish EAC Interpretations. All system standard, (3) presenting an 6.5.1.2. Reject the Request for proprietary information contained in an actual factual controversy, and (4) Interpretation. If the Request for Interpretation will be redacted before seeking clarification on a matter of Interpretation does not meet the publication consistent with Chapter 7 of unsettled ambiguity. requirements of Section 6.3., the this Manual. The library of published 6.4.2. Identify the EAC Voting System Program Director may reject it. Such opinions is posted on the EAC Web site: Standard To Be Clarified. The request rejection must be provided in writing to www.eac.gov. must identify the specific standard or the Manufacturer or VSTL and must standards for which the requestor seeks state the basis for the rejection. 7. Release of Laboratory Accreditation clarification. The request must state the 6.5.1.3. Notify Acceptance of the Program Information version of the voting system standards Request. If the Request for Interpretation 7.1. Overview. VSTLs participating in at issue (if applicable) and quote and is acceptable, the Program Director will the Certification Program will be correctly cite the applicable standards. notify the Manufacturer or VSTL in required to provide the EAC a variety of 6.4.3. State the Facts Giving Rise to writing and provide it with an estimated documents. In general, these documents the Ambiguity. The request must date of completion. A Request for will be releasable to the public. provide the facts associated with the Interpretation may be accepted in whole Moreover, in many cases, the voting system technology that gave rise or in part. A notice of acceptance shall information provided will be to the ambiguity in the identified state the issues accepted for affirmatively published by the EAC. standard. The requestor must be careful interpretation. In limited cases, however, documents to provide all necessary information in 6.5.2. Consideration of the Request. may not be released if they include a clear, concise manner. Any After a Request for Interpretation has trade secrets, confidential commercial Interpretation issued by the EAC will be been accepted, the matter shall be information, or personal information. based on the facts provided. investigated and researched. Such While the EAC is ultimately responsible 6.4.4. Identify the Ambiguity. The action may require the EAC to employ for determining which documents request must identify the ambiguity it technical experts. It may also require the Federal law protects from release, seeks to resolve. The ambiguity shall be EAC to request additional information VSTLs must identify the information identified by stating a concise question from the Manufacturer or VSTL. The they believe is protected and provide that meets the following requirements: Manufacturer or VSTL shall respond substantiation and a legal basis for 6.4.4.1. Shall be clearly stated; promptly to such requests. withholding. This chapter discusses 6.4.4.2. Shall be related to and 6.5.3. Interpretation. The Decision EAC’s general policy on the release of reference the voting system standard Authority shall be responsible for information and provides VSTL’s with and voting system technology making determinations on a Request for standards, procedures, and information provided; and Interpretation. After this determination requirements for identifying documents 6.4.4.3. Shall be limited to a single has been made, a written Interpretation as trade secrets or confidential issue. Each question or issue arising shall be sent to the Manufacturer or commercial information. from an ambiguous standard must be VSTL. The following actions are 7.2. EAC Policy on the Release of stated separately. Compound questions necessary to prepare this written Certification Program Information. The are unacceptable. If multiple issues Interpretation: EAC seeks to make its Voting System

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Test Laboratory Program as transparent 7.3.1. The following examples 7.5.2. Contacting a VSTL on Proposed as possible. The agency believes that illustrate productive processes that may Release of Potentially Protected such action benefits the program by be trade secrets: Documents. In the event a member of increasing public confidence in the 7.3.1.1. Plans, schematics, and other the public submits a FOIA request for process and creating a more informed drawings useful in production. documents provided by a VSTL or the and involved public. As such, it is the 7.3.1.2. Specifications of materials EAC otherwise proposes the release of policy of the EAC to make all used in production. such documents, the EAC will take the documents, or severable portions 7.3.1.3. Voting system source code following actions: thereof, available to the public used to develop or manufacture 7.5.2.1. Review the documents to consistent with Federal law (e.g., software where release would reveal determine if they are potentially Freedom of Information Act (FOIA) and actual programming. protected from release as trade secrets or the Trade Secrets Act). 7.3.1.4. Technical descriptions of confidential commercial information. 7.2.1. Requests for information. As in manufacturing processes and other The documents at issue may have been any Federal program, members of the secret information relating directly to previously identified as protected by the public may request access to the production process. VSTL when submitted (see Section Certification Program documents under 7.3.2. The following examples are 7.6.1. below) or identified by the EAC FOIA (5 U.S.C. § 552). The EAC will likely not trade secrets: on review. promptly process such requests per the 7.3.2.1. Information pertaining to a 7.5.2.2. Grant the submitting VSTL an requirements of that Act. finished product’s capabilities or opportunity to provide input. In the 7.2.2. Publication of documents. features. event the information has been 7.3.2.2. Information pertaining to a Beyond the requirements of FOIA, the identified as potentially protected from finished product’s performance. EAC intends to affirmatively publish release as a trade secret or confidential 7.3.2.3. Information regarding product program documents (or portions of commercial information, the EAC will components that would not reveal any documents) it believes will be of interest notify the submitter and allow it an commercially valuable information to the public. This publication will be opportunity to submit its position on regarding production. the issue prior to release of the accomplished through the use of the 7.4. Privileged or Confidential EAC Web site (www.eac.gov). The information. The submitter shall Commercial Information. Privileged or respond consistent with Section 7.6.1. published documents will cover the full confidential commercial information is spectrum of the program, including below. that information submitted by a VSTL 7.5.3. Final Determination on Release. information pertaining to: that is commercial or financial in nature 7.2.2.1. Accredited Laboratories; After providing the submitter of the and privileged or confidential. information an opportunity to be heard, 7.2.2.2. VSTL test plans; 7.4.1. Commercial or Financial 7.2.2.3. VSTL test reports; the EAC will make a final decision on Information. The terms commercial and release. The EAC will inform the 7.2.2.4. Agency decisions; financial should be given their ordinary 7.2.2.5. Denials of Certification; submitter of this decision. meanings. They include records in 7.6. VSTL’s Responsibilities. 7.2.2.6. Issuance of Certifications; which a submitting VSTL has any 7.2.2.7. Compliance Management Although the EAC is ultimately commercial interest. responsible for determining if a Reports; 7.4.2. Privileged or Confidential 7.2.2.8. Suspensions or Revocation of document, or any portion thereof, is Information. Commercial or financial protected from release as a trade secret Accreditations; information is privileged or confidential 7.2.2.9. Appeals; or confidential commercial information, if its disclosure would likely cause the VSTL shall be responsible for 7.2.2.10. Official Interpretations substantial harm to the competitive (VVSG or VSS); and identifying documents, or portions of position of the submitter. The concept documents, it believes warrant such 7.2.2.11. Other topics as determined of harm to one’s competitive position by the EAC. protection. Moreover, the VSTL will be focuses on harm flowing from a responsible for providing the legal basis 7.2.3. Trade Secret and Confidential competitor’s affirmative use of the Commercial Information. Federal law and substantiation for its determination proprietary information. It does not regarding the withholding of a places a number of restrictions on a include incidental harm associated with Federal agency’s authority to release document. This responsibility arises in upset customers or employees. two situations: (1) Upon the initial information to the public. Two such 7.5. EAC’s Responsibilities. The EAC submission of information and (2) upon restrictions are particularly relevant to is ultimately responsible for notification by the EAC that it is the Accreditation Program: (1) Trade determining whether or not a document considering the release of potentially secrets information and (2) privileged or (in whole or in part) may be released confidential commercial information. protected information. pursuant to Federal law. In doing so, 7.6.1. Initial Submission of Both types of information are explicitly however, the EAC will require Information. When a VSTL is prohibited from release by the FOIA and information and input from the VSTL submitting documents to the EAC as the Trade Secrets Act (18 U.S.C. § 1905). submitting the documents. This required by the Accreditation or 7.3. Trade Secrets. A trade secret is a requirement is essential for the EAC to Certification Programs, it is responsible secret, commercially valuable plan, identify, track, and make determinations for identifying any document or portion process, or device that is used for the on the large volume of documentation it of a document that it believes is making or processing of a product and receives. The EAC has the following protected from release by Federal law. that is the end result of either responsibilities: VSTLs shall identify protected innovation or substantial effort. It 7.5.1. Managing Documentation and information 9 by taking the following relates to the productive process itself, Information. The EAC will control the action: describing how a product is made. It documentation it receives by ensuring does not relate to information describing that documents are secure and released 9 Documents submitted by the VSTL may include end product capabilities, features, or to third parties only after the information that is a trade secret or confidential performance. appropriate review and determination. Continued

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7.6.1.1. Submitting a Notice of 7.6.1.2. Label Submissions. Label all state which portions of the document Protected Information. This notice shall submissions identified in the notice as the VSTL believes should be protected identify the document, document page, ‘‘Proprietary Commercial Information.’’ from release. The VSTL shall follow the or portion of a page that the VSTL Label only those submissions identified procedures discussed in Section 7.6.1 believes should be protected from as protected. Attempts to above. release. This identification must be indiscriminately label all materials as 7.7. Personal Information. Certain done with specificity. For each piece of proprietary will render the markings personal information is protected from information identified, the VSTL must moot. release under FOIA and the Privacy Act state the legal basis for its protected 7.6.2. Notification of Potential (5 U.S.C. § 552a). This information status. Release. In the event a VSTL is notified includes private information about a 7.6.1.1.1. Cite the applicable law that that the EAC is considering the release person that, if released, would cause the exempts the information from release. of information that may be protected, individual embarrassment or constitute 7.6.1.1.2. Clearly discuss why that the VSTL shall take the following an unwarranted invasion of personal legal authority applies and why the action: privacy. Generally, the EAC will not document must be protected from 7.6.2.1. Respond to the notice in require the submission of private release. writing within 15 calendar days. If information about individuals. The 7.6.1.1.3. If necessary, provide additional time is needed, the VSTL additional documentation or incidental submission of such must promptly notify the Program information should be avoided. If a information. For example, if the VSTL Director. Requests for additional time claims a document contains confidential VSTL believes it is required to submit will be granted only for good cause and commercial information, it would also such information, it should contact the must be made before the 15-day have to provide evidence and analysis Program Director. If the information will deadline. VSTLs that do not respond in of the competitive harm that would be submitted, it must be properly a timely manner will be viewed as not result upon release. identified. Examples of such objecting to release. information include the following: commercial information of a Manufacturer. The 7.6.2.2. Clearly state one of the 7.7.1. Social Security Number. following in the response: VSTL shall take steps to identify any information 7.7.2. Bank account numbers. it believes may be protected. The VSTL may seek 7.6.2.2.1. There is no objection to the input of the Manufacturer when identifying release, or 7.7.3. Home address. potentially protected information pursuant to the 7.7.4. Home phone number. requirements of this chapter. All communications 7.6.2.2.2. The VSTL objects to release. on this matter shall be in writing. In this case, the response must clearly BILLING CODE 6820–KF–P

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BILLING CODE 6820–KF–C

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Appendix A. Certification Test Plan prepare the test plan. This section of the plan is adopting from publicly available test suites Format and Content shall include a copy of the implementation (including those that may be developed by statement provided by the manufacture and NIST at a future date), the VSTL shall The primary purpose of the test plan is to any interpretations made by the VSTL to identify the public reference and document document the VSTL’s development of the fully identify the implementation under test the implementation details that determine certification tests conducted on a voting and the scope of the testing engagement. The how the public tests are realized for the system submitted as a candidate for EAC VSTL shall identify all parties responsible for certification. Although this appendix serves conducting testing of the candidate voting voting system under test. For all other tests, as a general guide to preparing test plans, system, including all subcontracted testing the VSTL shall incorporate all relevant VSTL’s may tailor the scope and detail of laboratories and all engineers assigned to the information into the test plan as needed to these requirements to the design of the test engagement. reproduce the testing. specific voting system submitted for testing, Evaluation of Previous Testing the type of hardware components submitted Data for testing, and the complexity of the The VSTL shall document all previous The VSTL shall identify what data is to be software submitted for testing. certifications, reviews or other testing that measured, and how tests and results are This appendix should be used in may impact the VSTL’s determination of the recorded. The VSTL shall supply any special scope of the conformity assessment testing conjunction with the requirements noted in instrumentation needed to satisfy the data the applicable version or versions of the for the candidate voting system. The VSTL requirements. The VSTL shall describe the EAC’s VVSG when developing test plans. may recognize certifications, and tests conducted by other labs, including non- criteria against which the results will be Test Plan Format VSTLs, as making some portions of the evaluated, including but not limited to Test Plans produced by VSTLs shall follow voting system testing campaign redundant. criteria defining the acceptable range for the format outlined below: For example, a COTS computer should voting system conformance (tolerances); 1. Introduction already have been certified to comply with criteria defining the minimum number of 1.1 References the rules and regulations of the Federal combinations or alternatives of input and 1.2 Terms and Abbreviations Communications Commission (FCC), Part 15, output conditions that can be exercised to Subpart B requirements for both radiated and 1.3 Testing Responsibilities constitute an acceptable test of the conducted emissions and need not be 2. Evaluation of Prior Non-VSTL Tests parameters involved (sampling); and criteria 2.1 Tests conducted prior to the retested for this requirement. Also, if a defining the maximum number of interrupts, certification engagement slightly modified system is submitted for 2.2 Prior test results reassessment, the VSTLs finding that some of halts or other system breaks that may occur 3. Materials Required for Testing the previous testing need not be repeated due to non-test conditions (events). 3.1 Software would be documented in this section of the Procedures and Conditions 3.2 Equipment Test Plan subject to approval of the EAC. The VSTL shall provide the information 3.3 Test materials Materials 3.4 Deliverable materials necessary to reproduce the testing that it The VSTL shall enumerate all materials 4. Test Specification performs. This information includes facility delivered by the Manufacturer to enable the 4.1 Requirements requirements, test set-up, test sequence, and test engagement to occur. These materials 4.2 Hardware configuration and design include not only the applicable hardware and pass criteria. 4.3 Software system functions software, but also the Technical Data Package Proprietary Data 5. Test Data (TDP) test ballot, test data, and all other 5.1 Test data recording The VSTL shall list and describe in this materials necessary to conduct appropriate 5.2 Test data criteria testing. All materials delivered to the VSTL section all documentation and data that are 5.3 Test data reduction shall be identified by specific version proprietary to the Manufacturer and hence 6. Test Procedure and Conditions number, product number, serial number, etc., subject to restrictions on use, release, or 6.1 Facility requirements if appropriate, and the quantity of each item disclosure. All proprietary data and 6.2 Test set-up delivered shall be noted. information must be included in this section, 6.3 Test sequence 7. Proprietary Data Specifications preferably as a separate electronic file, in order to easily publish the test plans on the Required Content of Test Plan For all applicable tests specified in the VVSG, the VSTL shall document the EAC Web site while withholding information Introduction implementation details that determine how considered proprietary or confidential by Test Plan references shall list all the standard tests are realized for the voting Federal law. documents containing materials used to system under test. For all tests that the VSTL BILLING CODE 6820–KF–P

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BILLING CODE 6820–KF–C

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Appendix B. Certification Test Report the voting system, both software and applicable non-mandatory test (‘‘shoulds’’) Format and Content hardware shall have enough detail and for which conformity was demonstrated specificity to allow the identification of a during the testing engagement. Appendix A The primary purpose of the test report is voting system in the field as being either shall also include identification of all tests to facilitate the presentation of conclusions identical to that tested or a modified version that were identified as non-applicable to the and recommendations regarding voting of the system. This section may also identify voting system under test and therefore system conformance to the VVSG. The Test other products that interface with the voting waived during the test engagement. Report also provides a summary of test system. operations, test results, test data records and Appendix A shall also include the laboratory Certification Test Background analysis to support the conclusions and response to any additional information, recommendations presented by the VSTL. For modifications to previously tested report or review provided by the EAC Although this appendix serves as a general voting systems, the VSTL shall include regarding the voting system under testing, guide to preparing the test reports, VSTL’s references to the test reports that are and whether or not the items noted in the may tailor the scope and detail of the testing precedential to the current testing materials presented have any relevance to the conducted on the candidate voting system. engagement. The VSTL shall also include the system under test. This appendix should be used along with implementation statement submitted by the Appendix B. Warrant of Accepting Change the requirements noted in the applicable Manufacturer, amended to reflect any Control Responsibility version or versions of the EAC’s VVSG when changes that were necessitated during the developing test reports. course of the testing engagement. If the Manufacturer must make changes to Test Findings and Recommendation the voting system to successfully complete Test Report Format This section provides a summary of the the conformance testing, the VSTL shall Test Reports produced by VSTLs shall results of the testing engagement and include as Appendix B of the Test Report a follow the format outlined below: indicates any special considerations that signed warrant from the Manufacturer that 1. System Identification and Overview affect the conclusions derived from the test those changes will be included in the 2. Certification Test Background results. product that is delivered to customers. 2.1 Revision History The VSTL shall present a summary finding Appendix C. Witness Build 2.2 Implementation Statement of whether or not the voting system, as 3. Test Findings and Recommendation tested, satisfied all applicable mandatory The VSTL shall include as Appendix C of 3.1 Summary Finding and (‘‘shall’’) requirements of the VVSG. The the Test Report a copy of the record of the Recommendation VSTL shall also provide a specific final witness build and sufficient description 3.2 Reasons for Recommendation to recommendation to the EAC for approval or of the build process to enable reproduction Reject rejection of the candidate system. If the VSTL of the build. 3.3 Anomalies finds that the voting system under test does Appendix D. Test Plan 3.4 Correction of Deficiencies not satisfy all applicable mandatory Appendix A. Additional Findings requirements of the VVSG, the VSTL shall The VSTL shall include a copy of the Appendix B. Warrant of Accepting Change identify each of the specific requirements voting system Test Plan, amended to reflect Control Responsibility that were not satisfied, and include a any deviations from the original, EAC Appendix C. Witness Build description of the inspections or tests that approved, test Plan during the course of Appendix D. Test Plan detected the nonconformities and include testing. Appendix E. State Test Reports any applicable evidence (e.g., vote data Appendix E. State Test Reports System Identification and Overview report, citation of logic error in source code, etc.) The VSTL shall also summarize all The VSTL shall include the results or The VSTL shall provide basic information failures, errors, nonconformities and reports form any testing engagement about the voting system software and anomalies that were observed during the requested by a State to the EAC candidate supporting hardware including the system testing engagement. Finally, the VSTL shall system conducted concurrent to the EAC name and major subsystems or their identify any deficiencies corrected during the testing engagement. The results of State test equivalent and their version numbers. In course of the test engagement and identify addition, this section shall describe the reports shall not impact the EAC certification inspections or tests that confirm that the of the voting system if the system design and structure of the voting system, deficiencies were corrected. technologies used, processing capacity successfully meets all requirements of the claimed by the Manufacturer for system Appendix A. Additional Findings EAC VVSG and Testing and Certification components such as ballot counters, and vote The VSTL shall include as Appendix A of Program. consolidation equipment. The description of the Test Report identification of each BILLING CODE 6820–KF–P

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BILLING CODE 6820–KF–C

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Appendix D. Specification for Reproduction and organization publications, technical space should measure at least X on all sides, and Use of the EAC Laboratory literature, business reports, Web sites and where X equals 1⁄2 the height of the upper Accreditation Logo quotations or proposals for work. case letters ‘‘VSTL’’ in the logo. Do not place To maintain a high level of quality and Only the approved version of the VSTL any other logo, logotype, trademark, text, or consistency in a variety of applications, the logo may be used. When using the logo: other graphic element in the minimum clear following guidelines have been developed for * Do not print the logo in black over a dark space area. background. VSTL use of the EAC laboratory accreditation * Do not change any colors of the logo. One Color Printing logo. * Do not configure the elements of the logo A black version of the logo may be printed Use and Display in a different format. on white or light color background paper. In The EAC VSTL logo contains the following * Do not crop or remove any part of the these instances, the logo should appear in elements: logo. 100% black. The ‘‘U.S. Election Assistance * Do not distort the logo. * Do not tilt the logo in any direction. Color Printing Commission’’ and ‘‘VSTL’’ logotype * Do not add shadows, effects or other separated by a divider rule. The EAC will Whenever possible, the full color version elements to the logo. provide all accredited VSTLs with high of the logo should be used. The appropriate * Do not change the typeface/font used in resolution digital files for use on approved colors are provided below for 4 color process the logo. written or electronic documents. printing or RGB for electronic use. The logo may only be used by EAC Minimum Size Blue accredited VSTLs and shall not misrepresent The full VSTL logo must remain readable CMYK = 98/78/0/29 the specific standards or guidelines to which in all uses and should not be reduced to a RGB = 0/51/153 the VSTL has been accredited. The EAC size smaller than 2.5 inch x 1 inch. HSL = 156/255/77 VSTL logo may be displayed on all reports and work documents that contain exclusive Minimum Clear Space Red results from testing activities that have been The clear space surrounding the VSTL logo CMYK = 5/96/98/5 carried out within the labs’ EAC scope of is an integral part of the logo design. An area RGB = 204/51/0 accreditation. Accredited laboratories may of clear space must be maintained around the HSL = 10/255/102 also incorporate the logo in publicity and/or logo to prevent it from being in conflict with Embossing on ‘‘VSTL’’ = CMYK 97/92/0/65 advertising materials, including brochures other design elements on the page. The clear BILLING CODE 6820–KF–P

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[FR Doc. E8–19064 Filed 8–22–08; 8:45 am] BILLING CODE 6820–KF–C

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Part IV

Office of Personnel Management 5 CFR Part 591 Nonforeign Area Cost-of-Living Allowances; 2007 Interim Adjustments: Alaska and Puerto Rico; Proposed Rule and Notice

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OFFICE OF PERSONNEL OPM conducts living-cost surveys in Rico by 1 percentage point. We MANAGEMENT each allowance area and in the published a final rule on May 29, 2008, Washington, DC, area to determine at 73 FR 30727, that increased the 5 CFR Part 591 whether, and to what degree, COLA area Puerto Rico COLA rate to 13 percent. RIN 3206–AL65 living costs are higher than those in the The 2007 interim adjustment would DC area. We set the COLA rate for each further raise the COLA rate for Puerto Nonforeign Area Cost-of-Living area based on the results of these Rico to 14 percent when published as Allowances; 2007 Interim Adjustments: surveys. final. We plan to implement this Alaska and Puerto Rico As required by section 591.223 of title increase separately from the Alaska 5, Code of Federal Regulations, we reductions to avoid the 12-month delay AGENCY: Office of Personnel conduct COLA surveys once every 3 imposed by 5 CFR 591.228(c). Management. years on a rotating basis. For areas not ACTION: Proposed rule. surveyed during a particular year, we Executive Order 12866, Regulatory adjust COLA rates by the relative change Review SUMMARY: The Office of Personnel in the Consumer Price Index (CPI) for This rule has been reviewed by the Management (OPM) is proposing to the COLA area compared with the change the cost-of-living allowance Office of Management and Budget in Washington, DC, area. (See 5 CFR accordance with Executive Order 12866. (COLA) rates received by certain white- 591.224–226.) We adopted these collar Federal and U.S. Postal Service regulations pursuant to the stipulation Regulatory Flexibility Act employees in Anchorage, Fairbanks, and for settlement in Caraballo et al. v. I certify that this regulation will not Juneau, Alaska, and in Puerto Rico. The United States, No. 1997–0027 (D.V.I), have a significant economic impact on proposed rate changes are the result of August 17, 2000. Caraballo was a class- a substantial number of small entities interim adjustments OPM calculated action lawsuit which resulted in many because the regulation will affect only based on relative Consumer Price Index changes in the COLA methodology and Federal agencies and employees. differences between the COLA areas and regulations. the Washington, DC, area. The proposed We computed interim adjustments List of Subjects in 5 CFR Part 591 regulations would reduce the COLA based on the relative change in the CPI rates for Anchorage, Fairbanks, and for the Alaska and Caribbean COLA Government employees, Travel and Juneau by 1 percentage point and would areas. A separate notice on the transportation expenses, Wages. increase the rate for Puerto Rico by 1 calculation of these interim adjustments Office of Personnel Management percentage point. accompanies this proposed rule. The Michael W. Hager, DATES: We will consider comments interim adjustments indicate that the Acting Director. received on or before October 24, 2008. Anchorage, Fairbanks, and Juneau, Accordingly, OPM proposes to amend ADDRESSES: Alaska, COLA rates should be reduced Send or deliver comments subpart B of 5 CFR part 591 as follows: to Charles D. Grimes III, Deputy by 1 percentage point in each area. We published a proposed rule on Associate Director for Performance and PART 591—ALLOWANCES AND January 3, 2008, that would, when Pay Systems, Strategic Human DIFFERENTIALS Resources Policy Division, Office of implemented, reduce the COLA rates in Personnel Management, Room 7300B, Anchorage, Fairbanks, and Juneau from Subpart B—Cost-of-Living Allowance 1900 E Street, NW., Washington, DC 24 percent to 23 percent based on the and Post Differential—Nonforeign 20415–8200; fax: (202) 606–4264; or results of the 2006 COLA survey in Areas e-mail: [email protected]. Alaska. The 1 percentage point reduction proposed in this rule would FOR FURTHER INFORMATION CONTACT: J. 1. The authority citation for subpart B further reduce the rates in these areas to Stanley Austin, (202) 606–2838; fax: of 5 CFR part 591 continues to read as 22 percent. However, 5 CFR 591.228(c) (202) 606–4264; or e-mail: follows: limits COLA rate decreases to 1 [email protected]. Authority: 5 U.S.C. 5941; E.O. 10000, 3 percentage point in a 12-month period. CFR, 1943–1948 Comp., p. 792; and E.O. SUPPLEMENTARY INFORMATION: Section Therefore, we will not implement COLA 12510, 3 CFR, 1985 Comp., p. 338. 5941 of title 5, United States Code, rate reductions under this proposed rule authorizes Federal agencies to pay cost- until 12 months have elapsed since the 2. Revise appendix A of subpart B to of-living allowances (COLAs) to white- effective date of the proposed read as follows: collar Federal and U.S. Postal Service reductions based on the 2006 survey Appendix A to Subpart B of Part 591— employees stationed in Alaska, Hawaii, results. For example, if the proposed Places and Rates at Which Allowances Guam and the Northern Mariana reductions based on the 2006 survey Are Paid Islands, Puerto Rico, and the U.S. Virgin results become effective in mid-October Islands (USVI). Executive Order 10000, This appendix lists the places approved for of this year, the reductions proposed a cost-of-living allowance and shows the as amended, delegates to the Office of under this rule would not be authorized allowance rate for each area. The Personnel Management (OPM) the implemented before mid-October of allowance rate shown is paid as a percentage authority to administer nonforeign area 2009. of an employee’s rate of basic pay. The rates COLAs and prescribes certain The 2007 interim adjustments would are subject to change based on the results of operational features of the program. also increase the COLA rate for Puerto future surveys.

Allowance Geographic coverage rate (percent)

State of Alaska: City of Anchorage and 80-kilometer (50-mile) radius by road ...... 22 City of Fairbanks and 80-kilometer (50-mile) radius by road ...... 22 City of Juneau and 80-kilometer (50-mile) radius by road ...... 22

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Allowance Geographic coverage rate (percent)

Rest of the State ...... 25 State of Hawaii: City and County of Honolulu ...... 25 Hawaii County, Hawaii ...... 18 County of Kauai ...... 25 County of Maui and County of Kalawao ...... 25 Territory of Guam and Commonwealth of the Northern Mariana Islands ...... 25 Commonwealth of Puerto Rico ...... 14 U.S. Virgin Islands ...... 25

[FR Doc. E8–19592 Filed 8–22–08; 8:45 am] BILLING CODE 6325–39–P

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OFFICE OF PERSONNEL Personnel Management (OPM) the TABLE 1—ANCHORAGE AND WASH- MANAGEMENT authority to administer nonforeign area INGTON-BALTIMORE CPI–U COLAs and prescribes certain CHANGES 2004 TO 2006 Nonforeign Area Cost-of-Living operational features of the program. Allowances; 2007 Interim Adjustments OPM conducts living-cost surveys in Survey area CPI–U AGENCY: Office of Personnel each allowance area and in the Washington, DC, area to determine Anchorage 2006 CPI–U First Management. Half ...... 176.7 ACTION: Notice. whether, and to what degree, COLA area Anchorage 2007 CPI–U First living costs are higher than those in the Half ...... 179.394 SUMMARY: This notice publishes the DC area. Anchorage change ...... 1 .5246% 2007 interim adjustments for the Alaska As required by section 591.223 of title DC-Baltimore 2006 CPI–U first and Caribbean Nonforeign Cost-of- half ...... 127.7 5, Code of Federal Regulations, OPM Living Allowance (COLA) areas. The DC-Baltimore 2007 CPI–U first conducts COLA surveys in the Alaska, Federal Government conducts COLA half ...... 132.0 Pacific, and Caribbean areas on a 3-year surveys in Alaska, Hawaii, Guam, DC-Baltimore change ...... 3.3673% Puerto Rico, and the U.S. Virgin Islands rotating basis, and in the Washington, to set COLA rates. These surveys are DC, area on an annual basis. OPM sets Next, we multiplied the price indexes conducted once every 3 years on a the COLA rate for each area based on from the four 2006 Alaska surveys— rotating basis. In between COLA the results of these surveys. For areas Anchorage, Fairbanks, Juneau, and Rest surveys, the Government adjusts COLA not surveyed during a particular year, of the State of Alaska (represented by rates for the areas not surveyed using OPM computes interim adjustments to Kodiak)—by the change in the the relative change in the Consumer COLA rates based on the relative change Anchorage CPI–U and divided that by Price Index (CPI) for the COLA areas in the Consumer Price Index (CPI) for the change in the Washington-Baltimore compared with the Washington- the COLA area compared with the CPI–U. We used the Alaska area price Baltimore CPI. The Alaska and Washington, DC, area. (See 5 CFR indexes from the 2006 Alaska survey Caribbean COLA areas were not 591.224–226.) report, published on January 3, 2008, at surveyed in 2007; therefore, OPM is 73 FR 774. The price index is the COLA In 2007, we surveyed the Pacific survey index before the addition of the calculating and publishing interim COLA areas of Honolulu County, adjustments for these COLA areas. adjustment factor specified in 5 CFR Hawaii County, Maui County, and Kauai 591.227. The adjustment factor reflects DATES: We will consider comments County, Hawaii, and Guam. We did not received on or before October 24, 2008. differences in need, access to and survey the Alaska or Caribbean COLA availability of goods and services, and ADDRESSES: Send or deliver comments areas. Therefore, we are adjusting the quality of life in the COLA area relative to Charles D. Grimes III, Deputy previous Alaska and Caribbean survey to the DC area and is a fixed amount. Associate Director for Performance and price indexes using the relative change Therefore, it is not adjusted by the Pay Systems, Strategic Human in CPIs. As required by 5 CFR 591.225, change in the CPI. Resources Policy Division, Office of we used the CPI, All Urban Consumers Table 2 shows the interim adjustment Personnel Management, Room 7300B, (CPI–U), as published by the Bureau of process. For example, the 2006 1900 E Street, NW., Washington, DC Labor Statistics (BLS) for Alaska and the Fairbanks COLA survey adjusted index, 20415–8200; fax: (202) 606–4264; or e- Washington-Baltimore area and the as published in the Federal Register, is mail: [email protected]. Puerto Rico CPI as produced by the 118.90. The Fairbanks adjustment factor FOR FURTHER INFORMATION CONTACT: J. Puerto Rico Department of Work and is 9 points. Therefore, subtracting the Stanley Austin, (202) 606–2838; fax: Human Resources. adjustment factor shows 109.90 as the (202) 606–4264; or e-mail: price index from the 2006 survey. We [email protected]. 2006 Alaska Survey Results and increased this price index by 1.5246 SUPPLEMENTARY INFORMATION: Section Interim Adjustments percent (i.e., multiplied by 1.015246), the change in the Anchorage CPI–U, and 5941 of title 5, United States Code, First, we computed the change in authorizes Federal agencies to pay cost- reduced it by 3.3673 percent (i.e., prices for the Anchorage area compared of-living allowances (COLAs) to white- divided by 1.033673), the change in the with the change in prices for the collar Federal and U.S. Postal Service Washington-Baltimore CPI–U, to give a employees stationed in Alaska, Hawaii, Washington-Baltimore area using the new price index of 107.94. We then Guam and the Northern Mariana CPI–Us for each area. Table 1 shows this added the 9 point adjustment factor to Islands, Puerto Rico, and the U.S. Virgin process. the new price index, which yields a Islands (USVI). Executive Order 10000, 2007 Fairbanks Interim Adjustment as amended, delegates to the Office of COLA rate of 116.94.

TABLE 2—ALASKA COLA AREA CPI–U PRICE INDEX ADJUSTMENTS

Anchorage Fairbanks Juneau Kodiak

2006 COLA Survey Indexes ...... 109.81 118.90 120.08 132.82 Adjustment Factors ...... 7 9 9 9 2006 COLA Survey Price Indexes ...... 102.81 109.90 111 .08 123.82 2007 CPI Adjusted Price Indexes ...... 100.98 107 .94 109.10 121.61 2007 COLA Indexes with Adj. Factors ...... 107.98 116 .94 118.10 130.61

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2005 Caribbean Survey Results and 6.2136 percent (1.0306 x 1.0306), adjustment process, and the final Interim Adjustments exceeding the estimate by the Puerto results. The process we used to compute the Rico Department of Labor and Human interim adjustments for the Caribbean Resources. Using this value for the TABLE 5—CARIBBEAN COLA AREA areas (i.e., Puerto Rico and USVI) is annual inflation rate, we multiplied CPI–U PRICE INDEX ADJUSTMENTS identical to the one for the Alaska areas 106.2136 by 312.2 (the June 2006 CPI) to arrive at a CPI of 331.60 for June except that we used the Puerto Rico CPI Puerto USVI as produced by the Puerto Rico 2007. Table 4 shows the relative change Rico in the Puerto Rico CPI from June 2005 Department of Work and Human 2005 COLA Survey In- Resources, as specified in 5 CFR to June 2007 compared with the Washington-Baltimore CPI–U. dexes ...... 103.06 128.21 591.225. The Puerto Rico Department of Adjustment Factors ...... 7 9 Labor and Human Resources 2005 COLA Survey ABLE UERTO ICO AND ASH implemented a revised methodology for T 4—P R W - Price Indexes ...... 96 .06 119.21 producing its CPI calculations effective INGTON-BALTIMORE CPI–U 2007 CPI Adjusted December 2006. As shown in table 3, CHANGES 2005 TO 2006 Price Indexes ...... 106.90 132.67 the changed methodology had a 2007 COLA Indexes substantial effect on the measured Survey area CPI–U with Adj. Factors ...... 113.90 141.67 inflation rate, demonstrating a significant overstatement of the inflation Puerto Rico 2005 CPI first half 277.2 Interim Adjustments Summarized rate under the old methodology. Puerto Rico 2007 CPI first half 331.6 Puerto Rico change ...... 19 .625% In a proposed rule published with this TABLE 3—PUERTO RICO CPI DC–Baltimore 2005 CPI–U first notice, we propose to adjust COLA rates half ...... 122.8 MEASUREMENTS 2006 TO 2007 based on the interim CPI adjustments. In DC–Baltimore 2007 CPI–U first Alaska, the results indicate that COLA half ...... 132.0 Old New rates in Anchorage, Fairbanks, and DC–Baltimore change ...... 7.4919% Period method- method- Juneau should continue to be reduced ology ology by an additional 1 percentage point in We multiplied the Puerto Rico and each area. (COLA rates may be reduced December 2006 USVI price indexes by the change in the CPI ...... 334.8 100.00 by no more than 1 percentage point in Puerto Rico CPI and divided that by the June 2007 CPI .. 373.5 103 .06 a 12-month period as provided under 5 change in the Washington-Baltimore Percent increase CFR 591.228(c).) In the Caribbean, the CPI–U. We used price indexes for from January results indicate that the COLA rate for Puerto Rico and USVI from the 2005 2006 to June the U.S. Virgin Islands is currently set 2007 ...... 11 .5591% 3 .0600% Caribbean survey report published at 71 FR 63179. As noted in section 4.2.3 of at the appropriate level and the rate for The Puerto Rican Department of Labor the report, we calculated the Puerto Puerto Rico should be increased to 14 and Human Resources estimated the Rico survey index (103.32) after we re- percent. inflation rate for the year beginning June priced water utilities based on a post- Office of Personnel Management. 2006 and ending June 2007 to be in the survey increase in water utility rates. Michael W. Hager, range of 5 to 6 percent under the new The CPI for Puerto Rico already reflects Acting Director. methodology. To provide more this increase; therefore, we reverted to precision, we applied the 3.06 percent the pre-increase index level (103.06) to [FR Doc. E8–19593 Filed 8–22–08; 8:45 am] inflation rate for the last 6 months of the avoid duplication in the interim BILLING CODE 6325–39–P year to the first half of the year. This adjustment calculation. Table 5 shows resulted in an annual inflation rate of the 2005 indexes, the interim

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Reader Aids Federal Register Vol. 73, No. 165 Monday, August 25, 2008

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING AUGUST

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 2 CFR 25...... 45156, 46539 26...... 47818 741–6000 Executive orders and proclamations 3185...... 46529 33...... 48119, 48279 The United States Government Manual 741–6000 3 CFR 39 ...... 45343, 45345, 45346, Other Services 45348, 45350, 45857, 46542, Executive Orders: Electronic and on-line services (voice) 741–6020 46543, 46546, 46548, 46550, 12333...... 45325 47027, 47029, 47032, 47035, Privacy Act Compilation 741–6064 13470...... 45325 Public Laws Update Service (numbers, dates, etc.) 741–6043 47039, 47041, 47043, 47818, TTY for the deaf-and-hard-of-hearing 741–6086 5 CFR 47822, 48286, 48288, 48290, 48292, 48294, 48297 351...... 46530 61...... 48125 ELECTRONIC RESEARCH 532...... 45853 71 ...... 45605, 45606, 45607, Proposed Rules: World Wide Web 46552, 49090, 49933 591...... 50174 73...... 49090 Full text of the daily Federal Register, CFR and other publications 91...... 46797 6 CFR is located at: http://www.gpoaccess.gov/nara/index.html 97...... 44909, 45860 Federal Register information and research tools, including Public 5...... 48117 153...... 47824 Inspection List, indexes, and links to GPO Access are located at: Proposed Rules: Proposed Rules: http://www.archives.gov/federallregister 5...... 48155 25...... 45886 39 ...... 44937, 45174, 45176, 7 CFR E-mail 45178, 45644, 45888, 45891, FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 65...... 45106 45893, 45895, 45898, 45900, an open e-mail service that provides subscribers with a digital 250...... 46169 45902, 46569, 46823, 47561, form of the Federal Register Table of Contents. The digital form 900...... 49085, 49307 48307, 48310, 48312, 48314, of the Federal Register Table of Contents includes HTML and 981...... 45153 49359, 49362, 49364, 49366, PDF links to the full text of each document. 3430...... 44897 49368, 49616 3550...... 49591 61...... 45905 To join or leave, go to http://listserv.access.gpo.gov and select Proposed Rules: 121...... 47857 Online mailing list archives, FEDREGTOC-L, Join or leave the list 210...... 45359 125...... 47857 (or change settings); then follow the instructions. 220...... 45359 135...... 47857 PENS (Public Law Electronic Notification Service) is an e-mail 915...... 49619 service that notifies subscribers of recently enacted laws. 922...... 48156 15 CFR To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 1730...... 47101 70...... 46553 730...... 49311 and select Join or leave the list (or change settings); then follow 8 CFR the instructions. 740...... 49323 Proposed Rules: 742...... 49323 FEDREGTOC-L and PENS are mailing lists only. We cannot 204...... 49109 744...... 49311, 49323 respond to specific inquiries. 214...... 49109, 49122 748...... 49323 Reference questions. Send questions and comments about the 215...... 49109 750...... 49323 Federal Register system to: [email protected] 754...... 49323 9 CFR The Federal Register staff cannot interpret specific documents or 756...... 49311 regulations. 78...... 49933 764...... 49323 772...... 49323 10 CFR Proposed Rules: FEDERAL REGISTER PAGES AND DATE, AUGUST Proposed Rules: 303...... 49371 35...... 45635 44897–45152...... 1 16 CFR 45153–45342...... 4 50 ...... 46557, 47853, 49965 45343–45604...... 5 51...... 46204 Proposed Rules: 72...... 45173 317...... 48317 45605–45852...... 6 430...... 48054 45853–46168...... 7 431...... 50072 17 CFR 46169–46528...... 8 241...... 45862 46529–46796...... 11 12 CFR 271...... 45862 46797–47026...... 12 24...... 46532 Proposed Rules: 47027–47522...... 13 226...... 46190 40...... 44939 47523–47816...... 14 229...... 47817 41...... 44939 47817–48116...... 15 338...... 45854 145...... 44939 48117–48278...... 18 352...... 45854 230...... 45646 48279–49084...... 19 Proposed Rules: 232...... 45646 49085–49306...... 20 219...... 47854 239...... 45646 49307–49590...... 21 240...... 46138 49591–49932...... 22 14 CFR 274...... 45646 49933–50178...... 25 1...... 48119 275...... 45646

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18 CFR 29 CFR 36 CFR 419...... 46575 388...... 45609 215...... 47046 Proposed Rules: 424...... 44952 485...... 44952 Proposed Rules: 1650...... 49093 7...... 46215 410...... 44945 4022...... 47831 Subchapter B...... 45274 486...... 44952 4044...... 47831 19 CFR 44 CFR Proposed Rules: 37 CFR 10...... 45351 4...... 49621 1...... 47534, 47650 64...... 48130 12...... 49934 531...... 49621 2...... 47650 65...... 46809, 48136 102...... 45351 553...... 49621 7...... 47650 67 ...... 44924, 46811, 48142 141...... 49939 778...... 49621 10...... 47650 Proposed Rules: 162...... 45351 779...... 49621 11...... 47650 67 ...... 46849, 46851, 46853, 163...... 45351, 49934 780...... 49621 41...... 47534, 47650 48169, 48170 178...... 45351 785...... 49621 Proposed Rules: 45 CFR Proposed Rules: 786...... 49621 1...... 45662 24...... 45364 790...... 49621 2...... 45662 4...... 48150 1404...... 45660 3...... 45662 1185...... 46529 20 CFR 1910...... 48335 201...... 47113 Proposed Rules: 295...... 47044 1915...... 48335 255...... 47113 160...... 49796 Proposed Rules: 1917...... 48335 162...... 49742, 49796 220...... 44946 1918...... 48335 39 CFR 261...... 46230 404...... 47103 1926...... 48335 111 ...... 48299, 49333, 49348 1602...... 47564 641...... 47770 2550...... 49896 3020...... 45848, 47833 1010...... 48086 46 CFR 40 CFR 315...... 49357 21 CFR 30 CFR 52 ...... 44915, 45158, 45161, Proposed Rules: 16...... 49941 203...... 49943 250...... 49943 45162, 45879, 46200, 47542, 71...... 49244 101...... 47828 47835, 48127, 49610, 49613, 114...... 49244 179...... 49593 251...... 49943 256...... 49943 49949, 49950 115...... 49244 314...... 49603 55...... 44921 122...... 49244 520...... 45610 280...... 49943 281...... 49943 62...... 49349 170...... 49244 522...... 45611 63...... 47546 171...... 49244 530...... 48127 290...... 49943 944...... 46804 70...... 49950 172...... 49244 558...... 45874 174...... 49244 Proposed Rules: 81...... 45162 601...... 49603 131...... 48300 175...... 49244 610...... 49941 18...... 49373 700...... 48159 174...... 45620 176...... 49244 640...... 49941 180 ...... 45312, 45624, 45629, 178...... 49244 812...... 49941 724...... 48159 47057, 47063, 47065, 47072, 179...... 49244 814...... 49603, 49941 773...... 48159 47841, 49101 185...... 49244 822...... 49941 785...... 48159 271...... 45170 860...... 49941 816...... 48159 300 ...... 49349, 49353, 49354 47 CFR 892...... 47523 817...... 48159 845...... 48159 Proposed Rules: 10...... 47550 22 CFR 846...... 48159 52 ...... 45184, 45185, 45186, 27...... 48305 41...... 49091 870...... 48159 45924, 45925, 48165, 48166, 64...... 45354 94...... 47829 872...... 48159 49373, 49625, 49981 Proposed Rules: 121...... 47523 873...... 48159 55...... 47114, 49136 10...... 47568 304...... 49943 874...... 48159 60...... 47119 54...... 48352 875...... 48159 63...... 45673, 47563 64...... 47120 24 CFR 876...... 48159 70...... 49981 73 ...... 45374, 45375, 45376, 5...... 49332 879...... 48159 81...... 45186 45377, 45928, 46232, 46233, Proposed Rules: 880...... 48159 131...... 48351 46234, 47122, 49625, 49626 15...... 46826 882...... 48159 258...... 45187 48 CFR 901...... 49544 884...... 48159 271...... 45193 902...... 49544 885...... 48159 300...... 49377 Ch. 2 ...... 46813 903...... 45368 886...... 48159 745...... 49378 203...... 46814 208...... 46816, 46817 907...... 49544 887...... 48159 41 CFR 941...... 45368 901...... 46213 209...... 46817 945...... 45368 102-192...... 49955 217...... 46817 966...... 45368 32 CFR 225...... 46817 42 CFR 236...... 46818 26 CFR 199...... 46808 405...... 49355 246...... 46817 706...... 49098, 49099 1...... 45612, 47526 411...... 48434 250...... 46814 602...... 47526 412...... 46370, 48434 252 ...... 46814, 46817, 46819 33 CFR Proposed Rules: 413 ...... 46416, 48434, 49355 522...... 46202, 49616 1 ...... 45180, 45656, 45908, 100 ...... 45612, 47531, 49610 417...... 49355 Proposed Rules: 46572, 47563, 49278, 49965 117 ...... 45615, 46191, 46192, 418...... 46464 204...... 48185 48...... 49981 49100 422...... 48434 252...... 48185 165 ...... 44911, 44913, 45615, 483...... 47075 501...... 47123 27 CFR 45617, 45875, 46194, 46200, 489...... 48434 503...... 45194 Proposed Rules: 49610, 49611 Proposed Rules: 512...... 44953 9 ...... 46830, 46836, 46842, 169...... 49100 405...... 44952 513...... 44955, 46579 49123 Proposed Rules: 409...... 44952 528...... 45378 19...... 44952 100...... 45919, 48160 410...... 44952, 46575 546...... 45379 110...... 49131 411...... 44952 549...... 47123 28 CFR 117...... 45922, 49622 414...... 44952 552 ...... 44953, 45194, 45378, 14...... 48298 165...... 48162, 49134 415...... 44952 45379, 47123

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802...... 49141 49 CFR 50 CFR Proposed Rules: 804...... 49141 541...... 47847 17 ...... 45534, 46988, 47326, 17 ...... 45383, 45680, 45806, 808...... 49141 544...... 48151 47706 45935, 46860, 46867, 47258, 809...... 49141 571...... 45355 21...... 47092 48359 810...... 49141 604...... 44927, 46554 216...... 49616 20...... 45689, 48098 21...... 49626, 49631 813...... 49141 Proposed Rules: 622...... 47850 22...... 47574 815...... 49141 22...... 49386 635...... 47851 229...... 49634 819...... 49141 214...... 47124 648 ...... 45358, 45882, 46554, 260...... 46860 48306, 49617 300...... 45201 828...... 49141 356...... 45929 660...... 45883, 46555 402...... 47868 852...... 49141 365...... 45929 665...... 47098 600...... 46579, 47125 1804...... 45679 374...... 45929 679 ...... 45884, 46821, 47559, 660...... 49156 1852...... 45679 594...... 45195 47851, 47852, 49107, 49962, 665 ...... 46580, 47577, 49157, 830...... 49155 49963 49638

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REMINDERS GENERAL SERVICES Resource Limits and published 7-2-08 [FR E8- The items in this list were ADMINISTRATION Exclusions, and Extended 15010] editorially compiled as an aid Federal Management Certification Periods; Bacillus thuringiensis Cry2Ab2 to Federal Register users. Regulation: comments due by 9-2-08; protein; Exemption from the Inclusion or exclusion from Mail Management; published published 7-3-08 [FR E8- Requirement of a Tolerance; this list has no legal 8-25-08 15003] comments due by 9-2-08; significance. HEALTH AND HUMAN COMMERCE DEPARTMENT published 7-2-08 [FR E8- SERVICES DEPARTMENT National Oceanic and 14794] Food and Drug Atmospheric Administration Environmental Statements; RULES GOING INTO Administration Pacific Halibut Fisheries; Notice of Intent: EFFECT AUGUST 25, FDA Regulations; Technical Subsistence Fishing; Coastal Nonpoint Pollution 2008 Amendment; published 8-25- comments due by 9-3-08; Control Programs; States 08 published 8-4-08 [FR E8- and Territories— AGRICULTURE INTERIOR DEPARTMENT 17814] Florida and South DEPARTMENT Fish and Wildlife Service COMMODITY FUTURES Carolina; Open for Agricultural Marketing Financial Assistance: TRADING COMMISSION comments until further Service Wildlife Restoration, Sport Confidential Information and notice; published 2-11- Nectarines and Peaches Fish Restoration, Hunter Commission Records and 08 [FR 08-00596] Grown in California: Education and Safety; Information; comments due Final Authorization of State Changes in Handling published 7-24-08 by 9-2-08; published 8-1-08 Hazardous Waste Requirements for Fresh TRANSPORTATION [FR E8-17529] Management Program Nectarines and Peaches; DEPARTMENT DEFENSE DEPARTMENT Revision: published 7-24-08 Procedures for Transportation TRICARE: Mississippi; comments due Workplace Drug and Alcohol AGRICULTURE Civilian Health and Medical by 9-3-08; published 8-4- Testing Programs; published DEPARTMENT Program of the Uniformed 08 [FR E8-17710] 6-25-08 Animal and Plant Health Services Changes in the Proposed Authorization of TRANSPORTATION Inspection Service John Warner National State Hazardous Waste DEPARTMENT Management Program Brucellosis in Cattle; State Defense Authorization, Federal Aviation etc.; comments due by 9- Revision: and Area Classifications; Administration Texas; published 8-25-08 5-08; published 7-7-08 Alabama; comments due by Modifications of Certain [FR E8-15350] 9-3-08; published 8-4-08 COMMERCE DEPARTMENT Medical Standards and DEFENSE DEPARTMENT [FR E8-17712] National Oceanic and Procedures and Durations of Navy Department Registration Review; Atmospheric Administration Certain Medical Certificates; Payments of Amounts due Biopesticide Dockets Fisheries of the Exclusive published 7-24-08 Mentally Incompetent Opened for Review and Economic Zone Off Alaska: Members of the Naval Comment; comments due Groundfish Fisheries of the COMMENTS DUE NEXT Service; comments due by by 9-2-08; published 7-2-08 Bering Sea and Aleutian WEEK 9-5-08; published 7-7-08 [FR E8-15012] Islands Management [FR E8-15278] Reregistration Eligibility Area; published 7-25-08 AGRICULTURE ENERGY DEPARTMENT Decisions; Availability: DEPARTMENT ENERGY DEPARTMENT Intent to Prepare an Alkyl trimethylenediamines Federal Energy Regulatory Agricultural Marketing et al.; comments due by Service Environmental Assessment Commission and to Conduct Public 9-2-08; published 7-2-08 Apricots Grown in Designated Blanket Authorization Under Scoping Meetings: [FR E8-15008] Counties in Washington; FPA Section 203; published Baja Wind U.S. Residues of Quaternany 7-24-08 Increased Assessment Rate; Ammonium Compounds, comments due by 9-2-08; Transmission, LLC; Cross-Subsidization comments due by 9-3-08; Didecyl Dimethyl Ammonium published 8-18-08 [FR E8- Carbonate and Didecyl Restrictions on Affiliate 19018] published 8-4-08 [FR E8- Transactions; published 7- 17840] Dimethyl Ammonium 24-08 AGRICULTURE Bicarbonate: DEPARTMENT ENVIRONMENTAL ENVIRONMENTAL PROTECTION AGENCY Exemption from the Animal and Plant Health Requirement of a PROTECTION AGENCY Approval and Promulgation of Inspection Service Tolerance; comments due Air Quality Implementation Approval and Promulgation of Importation of Cooked Pork by 9-2-08; published 7-2- Plans: Air Quality Implementation Skins; comments due by 9- 08 [FR E8-14880] Plans: 2-08; published 7-2-08 [FR Illinois; comments due by 9- FEDERAL Pennsylvania; Determination E8-15014] 3-08; published 8-4-08 of Attainment of Fine [FR E8-17698] COMMUNICATIONS Minimum Age Requirements COMMISSION Particle Standard; for the Transport of Indiana; comments due by published 8-25-08 Animals; comments due by 9-3-08; published 8-4-08 Television Broadcasting Determination of Attainment 9-2-08; published 7-31-08 [FR E8-17809] Services: for the Ozone National [FR E8-17591] Approval and Promulgation of Bainbridge, GA; comments Ambient Air Quality Recordkeeping for Approved Implementation Plans: due by 9-4-08; published 8-5-08 [FR E8-17918] Standards for Nonattainment Livestock Facilities and Carbon Monoxide Areas: Slaughtering and Rendering Redesignation to Bismarck, ND; comments Delaware, District of Establishments; comments Attainment, and Approval due by 9-4-08; published Columbia, Maryland, due by 9-5-08; published 7- of Maintenance Plan; El 8-5-08 [FR E8-17917] Pennsylvania, and 7-08 [FR E8-15289] Paso County, TX; Kansas City, MO; comments Virginia; published 7-25-08 AGRICULTURE comments due by 9-3-08; due by 9-4-08; published Exhaust Emission Standards DEPARTMENT published 8-4-08 [FR E8- 8-5-08 [FR E8-17920] for 2012 and Later Model Food and Nutrition Service 17701] Scranton, PA; comments Year Snowmobiles; Food Distribution Program on Atrazine; Pesticide Tolerances; due by 9-4-08; published published 6-25-08 Indian Reservations: comments due by 9-2-08; 8-5-08 [FR E8-17916]

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Sioux City, IA; comments and Threatened Wildlife comments due by 9-3-08; session of Congress which due by 9-4-08; published and Plants; comments published 8-4-08 [FR E8- have become Federal laws. It 8-5-08 [FR E8-17921] due by 9-4-08; published 17777] may be used in conjunction Spokane, WA; comments 8-5-08 [FR E8-17533] Hartzell Propeller Inc. ( )HC with ‘‘PLUS’’ (Public Laws due by 9-2-08; published Migratory Bird Hunting: ( )(2,3)Y(K,R)-2 Two-and Update Service) on 202–741– 7-31-08 [FR E8-17571] Hunting Methods for Three-Bladed Compact 6043. This list is also St. Paul, MN; comments Resident Canada Geese; Series Propellers; available online at http:// due by 9-4-08; published comments due by 9-5-08; comments due by 9-2-08; www.archives.gov/federal- 8-5-08 [FR E8-17926] published 8-6-08 [FR E8- published 7-2-08 [FR E8- register/laws.html. Williston, ND; comments 18003] 14312] Lockheed Model 382 Series The text of laws is not due by 9-4-08; published JUSTICE DEPARTMENT published in the Federal 8-5-08 [FR E8-17915] Airplanes; comments due Justice Programs Office by 9-5-08; published 7-7- Register but may be ordered HEALTH AND HUMAN Criminal Intelligence Systems 08 [FR E8-15181] in ‘‘slip law’’ (individual SERVICES DEPARTMENT pamphlet) form from the Operating Policies; Maryland Air Industries, Inc., Centers for Medicare & Superintendent of Documents, comments due by 9-2-08; Model Fairchild F-27 and Medicaid Services U.S. Government Printing published 7-31-08 [FR E8- FH 227 Series Airplanes; Office, Washington, DC 20402 Medicare Program: 17519] comments due by 9-4-08; (phone, 202–512–1808). The Proposed Changes to the NUCLEAR REGULATORY published 7-21-08 [FR E8- text will also be made Hospital Outpatient COMMISSION 16667] available on the Internet from Prospective, Ambulatory License and Certificate of Establishment and Revocation GPO Access at http:// Surgical Center Payment Compliance Terms; of Class E Airspace: www.gpoaccess.gov/plaws/ Systems and CY 2009 comments due by 8-31-08; Lake Havasu, AZ; index.html. Some laws may Payment Rates; published 8-4-08 [FR E8- comments due by 9-4-08; not yet be available. Correction; comments due 17796] published 7-21-08 [FR E8- by 9-2-08; published 7-18- PENSION BENEFIT 16520] 08 [FR E8-15539] H.R. 4040/P.L. 110–314 GUARANTY CORPORATION Petition for Exemption; Consumer Product Safety HEALTH AND HUMAN Bankruptcy Filing Date Summary of Petition Improvement Act of 2008 SERVICES DEPARTMENT Treated as Plan Termination Received; comments due by (Aug. 14, 2008; 122 Stat. Food and Drug Date for Certain Purposes: 9-2-08; published 8-22-08 3016) Administration Guaranteed Benefits; [FR E8-19477] New Animal Drugs: Allocation of Plan Assets; TRANSPORTATION H.R. 4137/P.L. 110–315 Cephalosporin Drugs; Pension Protection Act (of DEPARTMENT Extralabel Animal Drug 2006); comments due by Higher Education Opportunity National Highway Traffic Act (Aug. 14, 2008; 122 Stat. Use; Order of Prohibition; 9-2-08; published 7-1-08 Safety Administration comments due by 9-2-08; [FR E8-14813] 3078) Federal Motor Vehicle Safety published 7-3-08 [FR E8- SECURITIES AND Standards: H.R. 6432/P.L. 110–316 15052] EXCHANGE COMMISSION Windshield Zone Intrusion; To amend the Federal Food, HOMELAND SECURITY References to Ratings of comments due by 9-5-08; DEPARTMENT Drug, and Cosmetic Act to Nationally Recognized published 7-7-08 [FR E8- revise and extend the animal Coast Guard Statistical Rating 15210] drug user fee program, to Regulated Navigation Area: Organizations; comments Registration of Importers and establish a program of fees Thea Foss and Wheeler- due by 9-5-08; published 7- Importation of Motor relating to generic new animal Osgood Waterway EPA 11-08 [FR E8-15280] Vehicles; Schedule of Fees; drugs, to make certain Superfund Cleanup Site, Security Ratings; comments comments due by 9-3-08; technical corrections to the Commencement Bay, due by 9-5-08; published 7- published 8-4-08 [FR E8- Food and Drug Administration Tacoma, WA; comments 11-08 [FR E8-15281] 17516] Amendments Act of 2007, and due by 9-2-08; published TRANSPORTATION TRANSPORTATION for other purposes. (Aug. 14, 8-20-08 [FR E8-19211] DEPARTMENT DEPARTMENT 2008; 122 Stat. 3509) HOMELAND SECURITY Federal Aviation Pipeline and Hazardous Last List August 14, 2008 DEPARTMENT Administration Materials Safety Transportation Security Airworthiness Directives: Administration Administration Agusta S.p.A. Model A109A Hazardous Materials: False Statements Regarding and A109A II Helicopters; Combination Packages Public Laws Electronic Security Background comments due by 9-5-08; Containing Liquids Notification Service Checks; comments due by published 8-6-08 [FR E8- Intended for Transport by (PENS) 9-2-08; published 7-31-08 17992] Aircraft; comments due by [FR E8-17515] Airbus Model A318, A319, 9-5-08; published 7-7-08 [FR E8-15372] INTERIOR DEPARTMENT A320, and A321 PENS is a free electronic mail Indian Affairs Bureau Airplanes; comments due VETERANS AFFAIRS notification service of newly by 9-3-08; published 8-4- Class III Tribal State Gaming DEPARTMENT enacted public laws. To 08 [FR E8-17782] Compact Process; Vocational Rehabilitation and subscribe, go to http:// comments due by 9-2-08; Dassault Model Falcon Employment Program; Duty listserv.gsa.gov/archives/ published 7-2-08 [FR E8- 2000EX Airplanes; to Assist; comments due by publaws-l.html 14951] comments due by 9-3-08; 9-2-08; published 7-1-08 published 8-4-08 [FR E8- INTERIOR DEPARTMENT [FR E8-14823] Note: This service is strictly 17792] for E-mail notification of new Fish and Wildlife Service Empresa Brasileira de laws. The text of laws is not Endangered and Threatened Aeronautica S.A. LIST OF PUBLIC LAWS available through this service. Wildlife and Plants: (EMBRAER) Model ERJ PENS cannot respond to Amending the Formats of 170 Airplanes and Model This is a continuing list of specific inquiries sent to this the Lists of Endangered ERJ 190 Airplanes; public bills from the current address.

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CFR CHECKLIST Title Stock Number Price Revision Date 900–End ...... (869–064–00038–6) ...... 53.00 Jan. 1, 2008 This checklist, prepared by the Office of the Federal Register, is 13 ...... (869–064–00039–4) ...... 58.00 Jan. 1, 2008 published weekly. It is arranged in the order of CFR titles, stock 14 Parts: numbers, prices, and revision dates. 1–59 ...... (869–064–00040–8) ...... 66.00 Jan. 1, 2008 An asterisk (*) precedes each entry that has been issued since last 60–139 ...... (869–064–00041–6) ...... 61.00 Jan. 1, 2008 week and which is now available for sale at the Government Printing 140–199 ...... (869–064–00042–4) ...... 33.00 Jan. 1, 2008 Office. 200–1199 ...... (869–064–00043–2) ...... 53.00 Jan. 1, 2008 A checklist of current CFR volumes comprising a complete CFR set, 1200–End ...... (869–064–00044–1) ...... 48.00 Jan. 1, 2008 also appears in the latest issue of the LSA (List of CFR Sections 15 Parts: Affected), which is revised monthly. 0–299 ...... (869–064–00045–9) ...... 43.00 Jan. 1, 2008 The CFR is available free on-line through the Government Printing 300–799 ...... (869–064–00046–7) ...... 63.00 Jan. 1, 2008 Office’s GPO Access Service at http://www.gpoaccess.gov/cfr/ 800–End ...... (869–064–00047–5) ...... 45.00 Jan. 1, 2008 index.html. For information about GPO Access call the GPO User 16 Parts: Support Team at 1-888-293-6498 (toll free) or 202-512-1530. 0–999 ...... (869–064–00048–3) ...... 53.00 Jan. 1, 2008 The annual rate for subscription to all revised paper volumes is 1000–End ...... (869–064–00049–1) ...... 63.00 Jan. 1, 2008 $1499.00 domestic, $599.60 additional for foreign mailing. 17 Parts: Mail orders to the Superintendent of Documents, Attn: New Orders, 1–199 ...... (869–064–00051–3) ...... 53.00 Apr. 1, 2008 P.O. Box 371954, Pittsburgh, PA 15250–7954. All orders must be 200–239 ...... (869–064–00052–1) ...... 63.00 Apr. 1, 2008 accompanied by remittance (check, money order, GPO Deposit 240–End ...... (869–064–00053–0) ...... 65.00 Apr. 1, 2008 Account, VISA, Master Card, or Discover). Charge orders may be telephoned to the GPO Order Desk, Monday through Friday, at (202) 18 Parts: 512–1800 from 8:00 a.m. to 4:00 p.m. eastern time, or FAX your 1–399 ...... (869–064–00054–8) ...... 65.00 Apr. 1, 2008 charge orders to (202) 512-2250. 400–End ...... (869–064–00055–6) ...... 29.00 Apr. 1, 2008 Title Stock Number Price Revision Date 19 Parts: 1–140 ...... (869–064–00056–4) ...... 64.00 Apr. 1, 2008 1 ...... (869–064–00001–7) ...... 5.00 4 Jan. 1, 2008 141–199 ...... (869–064–00057–2) ...... 61.00 Apr. 1, 2008 2 ...... (869–064–00002–5) ...... 8.00 Jan. 1, 2008 200–End ...... (869–064–00058–1) ...... 34.00 Apr. 1, 2008 3 (2006 Compilation 20 Parts: and Parts 100 and 1–399 ...... (869–064–00059–9) ...... 53.00 Apr. 1, 2008 102) ...... (869–064–00003–3) ...... 35.00 1 Jan. 1, 2008 400–499 ...... (869–064–00060–2) ...... 67.00 Apr. 1, 2008 4 ...... (869–064–00004–1) ...... 13.00 Jan. 1, 2008 500–End ...... (869–064–00061–1) ...... 66.00 Apr. 1, 2008 5 Parts: 21 Parts: 1–699 ...... (869–064–00005–0) ...... 63.00 Jan. 1, 2008 1–99 ...... (869–064–00062–9) ...... 43.00 Apr. 1, 2008 700–1199 ...... (869–064–00006–8) ...... 53.00 Jan. 1, 2008 100–169 ...... (869–064–00063–7) ...... 52.00 Apr. 1, 2008 1200–End ...... (869–064–00007–6) ...... 64.00 Jan. 1, 2008 170–199 ...... (869–064–00064–5) ...... 53.00 Apr. 1, 2008 200–299 ...... (869–064–00065–3) ...... 20.00 Apr. 1, 2008 6 ...... (869–064–00008–4) ...... 13.50 Jan. 1, 2008 300–499 ...... (869–064–00066–1) ...... 33.00 Apr. 1, 2008 7 Parts: 500–599 ...... (869–064–00067–0) ...... 50.00 Apr. 1, 2008 1–26 ...... (869–064–00009–2) ...... 47.00 Jan. 1, 2008 600–799 ...... (869–064–00068–8) ...... 20.00 Apr. 1, 2008 27–52 ...... (869–064–00010–6) ...... 52.00 Jan. 1, 2008 800–1299 ...... (869–064–00069–6) ...... 63.00 Apr. 1, 2008 53–209 ...... (869–064–00011–4) ...... 40.00 Jan. 1, 2008 1300–End ...... (869–064–00070–0) ...... 28.00 Apr. 1, 2008 210–299 ...... (869–064–00012–2) ...... 65.00 Jan. 1, 2008 22 Parts: 300–399 ...... (869–064–00013–1) ...... 49.00 Jan. 1, 2008 1–299 ...... (869–064–00071–8) ...... 66.00 Apr. 1, 2008 400–699 ...... (869–064–00014–9) ...... 45.00 Jan. 1, 2008 300–End ...... (869–064–00072–6) ...... 48.00 Apr. 1, 2008 700–899 ...... (869–064–00015–7) ...... 46.00 Jan. 1, 2008 900–999 ...... (869–064–00016–5) ...... 63.00 Jan. 1, 2008 23 ...... (869–064–00073–4) ...... 48.00 Apr. 1, 2008 1000–1199 ...... (869–064–00017–3) ...... 22.00 Jan. 1, 2008 24 Parts: 1200–1599 ...... (869–064–00018–1) ...... 64.00 Jan. 1, 2008 0–199 ...... (869–064–00074–2) ...... 63.00 Apr. 1, 2008 1600–1899 ...... (869–064–00019–0) ...... 67.00 Jan. 1, 2008 200–499 ...... (869–064–00075–1) ...... 53.00 Apr. 1, 2008 1900–1939 ...... (869–064–00020–3) ...... 31.00 Jan. 1, 2008 500–699 ...... (869–064–00076–9) ...... 33.00 Apr. 1, 2008 1940–1949 ...... (869–064–00021–1) ...... 50.00 Jan. 1, 2008 700–1699 ...... (869–064–00077–7) ...... 64.00 Apr. 1, 2008 1950–1999 ...... (869–064–00022–0) ...... 49.00 Jan. 1, 2008 1700–End ...... (869–064–00078–5) ...... 33.00 Apr. 1, 2008 2000–End ...... (869–064–00023–8) ...... 53.00 Jan. 1, 2008 25 ...... (869–064–00079–3) ...... 67.00 Apr. 1, 2008 8 ...... (869–064–00024–6) ...... 66.00 Jan. 1, 2008 26 Parts: 9 Parts: §§ 1.0–1–1.60 ...... (869–064–00080–7) ...... 52.00 Apr. 1, 2008 1–199 ...... (869–064–00025–4) ...... 64.00 Jan. 1, 2008 §§ 1.61–1.169 ...... (869–064–00081–5) ...... 66.00 Apr. 1, 2008 200–End ...... (869–064–00026–2) ...... 61.00 Jan. 1, 2008 §§ 1.170–1.300 ...... (869–064–00082–3) ...... 63.00 Apr. 1, 2008 10 Parts: §§ 1.301–1.400 ...... (869–064–00083–1) ...... 50.00 Apr. 1, 2008 1–50 ...... (869–064–00027–1) ...... 64.00 Jan. 1, 2008 §§ 1.401–1.440 ...... (869–064–00084–0) ...... 59.00 Apr. 1, 2008 51–199 ...... (869–064–00028–9) ...... 61.00 Jan. 1, 2008 §§ 1.441–1.500 ...... (869–064–00085–8) ...... 61.00 Apr. 1, 2008 200–499 ...... (869–064–00029–7) ...... 46.00 Jan. 1, 2008 §§ 1.501–1.640 ...... (869–064–00086–6) ...... 52.00 Apr. 1, 2008 500–End ...... (869–064–00030–1) ...... 65.00 Jan. 1, 2008 §§ 1.641–1.850 ...... (869–064–00087–4) ...... 64.00 Apr. 1, 2008 §§ 1.851–1.907 ...... (869–064–00088–2) ...... 64.00 Apr. 1, 2008 11 ...... (869–064–00031–9) 44.00 Jan. 1, 2008 §§ 1.908–1.1000 ...... (869–064–00089–1) ...... 63.00 Apr. 1, 2008 12 Parts: §§ 1.1001–1.1400 ...... (869–064–00090–4) ...... 64.00 Apr. 1, 2008 1–199 ...... (869–064–00032–7) ...... 37.00 Jan. 1, 2008 §§ 1.1401–1.1550 ...... (869–064–00091–2) ...... 61.00 Apr. 1, 2008 200–219 ...... (869–064–00033–5) ...... 40.00 Jan. 1, 2008 §§ 1.1551–End ...... (869–064–00092–1) ...... 53.00 Apr. 1, 2008 220–299 ...... (869–064–00034–3) ...... 64.00 Jan. 1, 2008 2–29 ...... (869–064–00093–9) ...... 63.00 Apr. 1, 2008 300–499 ...... (869–064–00035–1) ...... 47.00 Jan. 1, 2008 30–39 ...... (869–064–00094–7) ...... 44.00 Apr. 1, 2008 500–599 ...... (869–064–00036–0) ...... 42.00 Jan. 1, 2008 40–49 ...... (869–064–00095–5) ...... 31.00 6Apr. 1, 2008 600–899 ...... (869–064–00037–8) ...... 59.00 Jan. 1, 2008 50–299 ...... (869–064–00096–3) ...... 45.00 Apr. 1, 2008

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Title Stock Number Price Revision Date Title Stock Number Price Revision Date 300–499 ...... (869–064–00097–1) ...... 64.00 Apr. 1, 2008 63 (63.1440–63.6175) .... (869–062–00150–9) ...... 32.00 July 1, 2007 500–599 ...... (869–064–00098–0) ...... 12.00 5 Apr. 1, 2008 63 (63.6580–63.8830) .... (869–062–00151–7) ...... 32.00 July 1, 2007 600–End ...... (869–064–00099–8) ...... 20.00 Apr. 1, 2008 63 (63.8980–End) ...... (869–062–00152–5) ...... 35.00 July 1, 2007 27 Parts: 64–71 ...... (869–062–00153–3) ...... 29.00 July 1, 2007 1–39 ...... (869–064–00100–5) ...... 35.00 Apr. 1, 2008 72–80 ...... (869–062–00154–1) ...... 62.00 July 1, 2007 40–399 ...... (869–064–00101–3) ...... 67.00 Apr. 1, 2008 81–84 ...... (869–062–00155–0) ...... 50.00 July 1, 2007 400–End ...... (869–064–00102–1) ...... 21.00 Apr. 1, 2008 85–86 (85–86.599–99) .... (869–062–00156–8) ...... 61.00 July 1, 2007 86 (86.600–1–End) ...... (869–062–00157–6) ...... 61.00 July 1, 2007 28 Parts: ...... 87–99 ...... (869–062–00158–4) ...... 60.00 July 1, 2007 0–42 ...... (869–062–00103–7) ...... 61.00 July 1, 2007 100–135 ...... (869–062–00159–2) ...... 45.00 July 1, 2007 43–End ...... (869–062–00104–5) ...... 60.00 July 1, 2007 136–149 ...... (869–062–00160–6) ...... 61.00 July 1, 2007 29 Parts: 150–189 ...... (869–062–00161–4) ...... 50.00 July 1, 2007 0–99 ...... (869–062–00105–3) ...... 50.00 7July 1, 2007 190–259 ...... (869–062–00162–2) ...... 39.00 7July 1, 2007 100–499 ...... (869–062–00106–1) ...... 23.00 July 1, 2007 260–265 ...... (869–062–00163–1) ...... 50.00 July 1, 2007 500–899 ...... (869–062–00107–0) ...... 61.00 7July 1, 2007 266–299 ...... (869–062–00164–9) ...... 50.00 July 1, 2007 900–1899 ...... (869–062–00108–8) ...... 36.00 July 1, 2007 300–399 ...... (869–062–00165–7) ...... 42.00 July 1, 2007 1900–1910 (§§ 1900 to 400–424 ...... (869–062–00166–5) ...... 56.00 7July 1, 2007 1910.999) ...... (869–062–00109–6) ...... 61.00 July 1, 2007 425–699 ...... (869–062–00167–3) ...... 61.00 July 1, 2007 1910 (§§ 1910.1000 to 700–789 ...... (869–062–00168–1) ...... 61.00 July 1, 2007 end) ...... (869–062–00110–0) ...... 46.00 July 1, 2007 790–End ...... (869–062–00169–0) ...... 61.00 July 1, 2007 1911–1925 ...... (869–062–00111–8) ...... 30.00 July 1, 2007 41 Chapters: 1926 ...... (869–062–00112–6) ...... 50.00 July 1, 2007 1, 1–1 to 1–10 ...... 13.00 3 July 1, 1984 1927–End ...... (869–062–00113–4) ...... 62.00 July 1, 2007 1, 1–11 to Appendix, 2 (2 Reserved) ...... 13.00 3 July 1, 1984 30 Parts: 3–6 ...... 14.00 3 July 1, 1984 1–199 ...... (869–062–00114–2) ...... 57.00 July 1, 2007 7 ...... 6.00 3 July 1, 1984 200–699 ...... (869–062–00115–1) ...... 50.00 July 1, 2007 8 ...... 4.50 3 July 1, 1984 700–End ...... (869–062–00116–9) ...... 58.00 July 1, 2007 9 ...... 13.00 3 July 1, 1984 10–17 ...... 9.50 3 July 1, 1984 31 Parts: 18, Vol. I, Parts 1–5 ...... 13.00 3 July 1, 1984 0–199 ...... (869–062–00117–7) ...... 41.00 July 1, 2007 18, Vol. II, Parts 6–19 ...... 13.00 3 July 1, 1984 200–499 ...... (869–062–00118–5) ...... 46.00 July 1, 2007 18, Vol. III, Parts 20–52 ...... 13.00 3 July 1, 1984 500–End ...... (869–062–00119–3) ...... 62.00 July 1, 2007 19–100 ...... 13.00 3 July 1, 1984 32 Parts: 1–100 ...... (869–062–00170–3) ...... 24.00 July 1, 2007 1–39, Vol. I ...... 15.00 2 July 1, 1984 101 ...... (869–062–00171–1) ...... 21.00 July 1, 2007 1–39, Vol. II ...... 19.00 2 July 1, 1984 102–200 ...... (869–062–00172–0) ...... 56.00 July 1, 2007 1–39, Vol. III ...... 18.00 2 July 1, 1984 201–End ...... (869–062–00173–8) ...... 24.00 July 1, 2007 ...... 1–190 (869–062–00120–7) 61.00 July 1, 2007 42 Parts: 191–399 ...... (869–062–00121–5) ...... 63.00 July 1, 2007 1–399 ...... (869–062–00174–6) ...... 61.00 Oct. 1, 2007 400–629 ...... (869–062–00122–3) ...... 61.00 July 1, 2007 400–413 ...... (869–062–00175–4) ...... 32.00 Oct. 1, 2007 630–699 ...... (869–062–00123–1) ...... 37.00 July 1, 2007 414–429 ...... (869–062–00176–2) ...... 32.00 Oct. 1, 2007 700–799 ...... (869–062–00124–0) ...... 46.00 July 1, 2007 430–End ...... (869–062–00177–1) ...... 64.00 Oct. 1, 2007 800–End ...... (869–062–00125–8) ...... 47.00 July 1, 2007 43 Parts: 33 Parts: 1–999 ...... (869–062–00178–9) ...... 56.00 Oct. 1, 2007 1–124 ...... (869–062–00126–6) ...... 57.00 July 1, 2007 1000–end ...... (869–062–00179–7) ...... 62.00 Oct. 1, 2007 125–199 ...... (869–062–00127–4) ...... 61.00 July 1, 2007 200–End ...... (869–062–00128–2) ...... 57.00 July 1, 2007 44 ...... (869–062–00180–1) ...... 50.00 Oct. 1, 2007 34 Parts: 45 Parts: 1–299 ...... (869–062–00129–1) ...... 50.00 July 1, 2007 1–199 ...... (869–062–00181–9) ...... 60.00 Oct. 1, 2007 300–399 ...... (869–062–00130–4) ...... 40.00 July 1, 2007 200–499 ...... (869–060–00182–7) ...... 34.00 9Oct. 1, 2007 400–End & 35 ...... (869–062–00131–2) ...... 61.00 July 1, 2007 500–1199 ...... (869–062–00183–5) ...... 56.00 Oct. 1, 2007 1200–End ...... (869–062–00184–3) ...... 61.00 Oct. 1, 2007 36 Parts: 1–199 ...... (869–062–00132–1) ...... 37.00 July 1, 2007 46 Parts: 200–299 ...... (869–062–00133–9) ...... 37.00 July 1, 2007 1–40 ...... (869–062–00185–1) ...... 46.00 Oct. 1, 2007 300–End ...... (869–062–00134–7) ...... 61.00 July 1, 2007 41–69 ...... (869–062–00186–0) ...... 39.00 Oct. 1, 2007 70–89 ...... (869–062–00187–8) ...... 14.00 Oct. 1, 2007 37 ...... (869–062–00135–5) ...... 58.00 July 1, 2007 90–139 ...... (869–062–00188–6) ...... 44.00 Oct. 1, 2007 38 Parts: 140–155 ...... (869–062–00189–4) ...... 25.00 Oct. 1, 2007 0–17 ...... (869–062–00136–3) ...... 60.00 July 1, 2007 156–165 ...... (869–062–00190–8) ...... 34.00 Oct. 1, 2007 18–End ...... (869–062–00137–1) ...... 62.00 July 1, 2007 166–199 ...... (869–062–00191–6) ...... 46.00 Oct. 1, 2007 ...... 39 ...... (869–062–00138–0) ...... 42.00 July 1, 2007 200–499 (869–062–00192–4) 40.00 Oct. 1, 2007 500–End ...... (869–062–00193–2) ...... 25.00 Oct. 1, 2007 40 Parts: 47 Parts: 1–49 ...... (869–062–00139–8) ...... 60.00 July 1, 2007 ...... 50–51 ...... (869–062–00140–1) ...... 45.00 July 1, 2007 0–19 (869–062–00194–1) 61.00 Oct. 1, 2007 ...... 52 (52.01–52.1018) ...... (869–062–00141–0) ...... 60.00 July 1, 2007 20–39 (869–062–00195–9) 46.00 Oct. 1, 2007 ...... 52 (52.1019–End) ...... (869–062–00142–8) ...... 64.00 July 1, 2007 40–69 (869–062–00196–7) 40.00 Oct. 1, 2007 ...... 53–59 ...... (869–062–00143–6) ...... 31.00 July 1, 2007 70–79 (869–062–00197–5) 61.00 Oct. 1, 2007 ...... 60 (60.1–End) ...... (869–062–00144–4) ...... 58.00 July 1, 2007 80–End (869–062–00198–3) 61.00 Oct. 1, 2007 60 (Apps) ...... (869–062–00145–2) ...... 57.00 July 1, 2007 48 Chapters: 61–62 ...... (869–062–00146–1) ...... 45.00 July 1, 2007 1 (Parts 1–51) ...... (869–062–00199–1) ...... 63.00 Oct. 1, 2007 63 (63.1–63.599) ...... (869–062–00147–9) ...... 58.00 July 1, 2007 1 (Parts 52–99) ...... (869–062–00200–9) ...... 49.00 Oct. 1, 2007 63 (63.600–63.1199) ...... (869–062–00148–7) ...... 50.00 July 1, 2007 2 (Parts 201–299) ...... (869–062–00201–7) ...... 50.00 Oct. 1, 2007 63 (63.1200–63.1439) .... (869–062–00149–5) ...... 50.00 July 1, 2007 3–6 ...... (869–062–00202–5) ...... 34.00 Oct. 1, 2007

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Title Stock Number Price Revision Date 7–14 ...... (869–062–00203–3) ...... 56.00 Oct. 1, 2007 15–28 ...... (869–062–00204–1) ...... 47.00 Oct. 1, 2007 29–End ...... (869–062–00205–0) ...... 47.00 Oct. 1, 2007 49 Parts: 1–99 ...... (869–062–00206–8) ...... 60.00 Oct. 1, 2007 100–185 ...... (869–062–00207–6) ...... 63.00 Oct. 1, 2007 186–199 ...... (869–062–00208–4) ...... 23.00 Oct. 1, 2007 200–299 ...... (869–062–00208–1) ...... 32.00 Oct. 1, 2007 300–399 ...... (869–062–00210–6) ...... 32.00 Oct. 1, 2007 400–599 ...... (869–062–00210–3) ...... 64.00 Oct. 1, 2007 600–999 ...... (869–062–00212–2) ...... 19.00 Oct. 1, 2007 1000–1199 ...... (869–062–00213–1) ...... 28.00 Oct. 1, 2007 1200–End ...... (869–062–00214–9) ...... 34.00 Oct. 1, 2007 50 Parts: 1–16 ...... (869–062–00215–7) ...... 11.00 Oct. 1, 2007 17.1–17.95(b) ...... (869–062–00216–5) ...... 32.00 Oct. 1, 2007 17.95(c)–end ...... (869–062–00217–3) ...... 32.00 Oct. 1, 2007 17.96–17.99(h) ...... (869–062–00218–1) ...... 61.00 Oct. 1, 2007 17.99(i)–end and 17.100–end ...... (869–062–00219–0) ...... 47.00 8 Oct. 1, 2007 18–199 ...... (869–062–00226–3) ...... 50.00 Oct. 1, 2007 200–599 ...... (869–062–00221–1) ...... 45.00 Oct. 1, 2007 600–659 ...... (869–062–00222–0) ...... 31.00 Oct. 1, 2007 660–End ...... (869–062–00223–8) ...... 31.00 Oct. 1, 2007 CFR Index and Findings Aids ...... (869–064–00050–5) ...... 65.00 Jan. 1, 2008 Complete 2008 CFR set ...... 1,499.00 2008 Microfiche CFR Edition: Subscription (mailed as issued) ...... 406.00 2008 Individual copies ...... 4.00 2008 Complete set (one-time mailing) ...... 332.00 2007 Complete set (one-time mailing) ...... 332.00 2006 1 Because Title 3 is an annual compilation, this volume and all previous volumes should be retained as a permanent reference source. 2 The July 1, 1985 edition of 32 CFR Parts 1–189 contains a note only for Parts 1–39 inclusive. For the full text of the Defense Acquisition Regulations in Parts 1–39, consult the three CFR volumes issued as of July 1, 1984, containing those parts. 3 The July 1, 1985 edition of 41 CFR Chapters 1–100 contains a note only for Chapters 1 to 49 inclusive. For the full text of procurement regulations in Chapters 1 to 49, consult the eleven CFR volumes issued as of July 1, 1984 containing those chapters. 4 No amendments to this volume were promulgated during the period January 1, 2005, through January 1, 2006. The CFR volume issued as of January 1, 2005 should be retained. 5 No amendments to this volume were promulgated during the period April 1, 2000, through April 1, 2007. The CFR volume issued as of April 1, 2000 should be retained. 6 No amendments to this volume were promulgated during the period April 1, 2006 through April 1, 2007. The CFR volume issued as of April 1, 2006 should be retained. 7 No amendments to this volume were promulgated during the period July 1, 2006, through July 1, 2007. The CFR volume issued as of July 1, 2006 should be retained. 8 No amendments to this volume were promulgated during the period October 1, 2005, through October 1, 2007. The CFR volume issued as of October 1, 2005 should be retained. 9 No amendments to this volume were promulgated during the period October 1, 2006, through October 1, 2007. The CFR volume issued as of October 1, 2006 should be retained.

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