12–10–01 Monday Vol. 66 No. 237 Dec. 10, 2001 Pages 63621–63904
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1 II Federal Register / Vol. 66, No. 237 / Monday, December 10, 2001
The FEDERAL REGISTER is published daily, Monday through SUBSCRIPTIONS AND COPIES Friday, except official holidays, by the Office of the Federal Register, National Archives and Records Administration, PUBLIC Washington, DC 20408, under the Federal Register Act (44 U.S.C. Subscriptions: Ch. 15) and the regulations of the Administrative Committee of Paper or fiche 202–512–1800 the Federal Register (1 CFR Ch. I). The Superintendent of Assistance with public subscriptions 512–1806 Documents, U.S. Government Printing Office, Washington, DC 20402 is the exclusive distributor of the official edition. General online information 202–512–1530; 1–888–293–6498 Single copies/back copies: The Federal Register provides a uniform system for making available to the public regulations and legal notices issued by Paper or fiche 512–1800 Federal agencies. These include Presidential proclamations and Assistance with public single copies 512–1803 Executive Orders, Federal agency documents having general FEDERAL AGENCIES applicability and legal effect, documents required to be published Subscriptions: by act of Congress, and other Federal agency documents of public interest. Paper or fiche 523–5243 Assistance with Federal agency subscriptions 523–5243 Documents are on file for public inspection in the Office of the Federal Register the day before they are published, unless the issuing agency requests earlier filing. For a list of documents currently on file for public inspection, see http://www.nara.gov/ What’s NEW! fedreg. Federal Register Table of Contents via e-mail The seal of the National Archives and Records Administration authenticates the Federal Register as the official serial publication Subscribe to FEDREGTOC, to receive the Federal Register Table of established under the Federal Register Act. Under 44 U.S.C. 1507, Contents in your e-mail every day. the contents of the Federal Register shall be judicially noticed. If you get the HTML version, you can click directly to any document The Federal Register is published in paper and on 24x microfiche. It is also available online at no charge as one of the databases in the issue. on GPO Access, a service of the U.S. Government Printing Office. To subscribe, go to http://listserv.access.gpo.gov and select: The online edition of the Federal Register is issued under the Online mailing list archives authority of the Administrative Committee of the Federal Register FEDREGTOC-L as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6 a.m. each Join or leave the list day the Federal Register is published and it includes both text Then follow the instructions. and graphics from Volume 59, Number 1 (January 2, 1994) forward. GPO Access users can choose to retrieve online Federal Register documents as TEXT (ASCII text, graphics omitted), PDF (Adobe Portable Document Format, including full text and all graphics), or SUMMARY (abbreviated text) files. Users should carefully check retrieved material to ensure that documents were properly downloaded. On the World Wide Web, connect to the Federal Register at http:/ /www.access.gpo.gov/nara. Those without World Wide Web access can also connect with a local WAIS client, by Telnet to swais.access.gpo.gov, or by dialing (202) 512-1661 with a computer and modem. When using Telnet or modem, type swais, then log in as guest with no password. For more information about GPO Access, contact the GPO Access User Support Team by E-mail at [email protected]; by fax at (202) 512–1262; or call (202) 512–1530 or 1–888–293–6498 (toll free) between 7 a.m. and 5 p.m. Eastern time, Monday–Friday, except Federal holidays. The annual subscription price for the Federal Register paper edition is $699, or $764 for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $264. Six month subscriptions are available for one-half the annual rate. The charge for individual copies in paper form is $10.00 for each issue, or $10.00 for each group of pages as actually bound; or $2.00 for each issue in microfiche form. All prices include regular domestic postage and handling. International customers please add 25% for foreign handling. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard or Discover. Mail to: New Orders, Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250–7954. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 66 FR 12345.
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2 III
Contents Federal Register Vol. 66, No. 237
Monday, December 10, 2001
Agriculture Department Defense Department See Animal and Plant Health Inspection Service See Army Department See Cooperative State Research, Education, and Extension See Navy Department Service See Farm Service Agency Education Department See Food Safety and Inspection Service NOTICES See Natural Resources Conservation Service Agency information collection activities: See Rural Utilities Service Proposed collection; comment request, 63685–63686 Animal and Plant Health Inspection Service PROPOSED RULES Energy Department Exportation and importation of animals and animal See Energy Information Administration products: See Federal Energy Regulatory Commission African swine fever; disease status change— NOTICES Portugal, 63633–63634 Grants and cooperative agreements; availability, etc.: Solid State Energy Conversion Alliance Core Technology Program, 63686 Army Department Stewardship Science Academic Alliances Program, NOTICES 63686–63687 Meetings: Armed Forces Epidemiological Board, 63684–63685 Energy Information Administration Centers for Disease Control and Prevention NOTICES NOTICES Agency information collection activities: Agency information collection activities: Submission for OMB review; comment request, 63687– Proposed collection; comment request, 63709–63712 63688
Coast Guard Environmental Protection Agency RULES NOTICES Drawbridge operations: Grants and cooperative agreements; availability, etc.: Iowa and Illinois, 63626 Bakery Partnership Program, 63696–63706 Louisiana, 63627 Reports and guidance documents; availability, etc.: Regattas and marine parades: Superfund; dermal risk assessment, 63706–63707 Cingular Wireless Winterfest Boat Parade, 63624–63626 PROPOSED RULES Executive Office of the President Boating safety: Propeller injury avoidance measures; Federal See Presidential Documents requirements, 63645–63650 See Trade Representative, Office of U.S. Rental boats; propeller injury prevention; withdrawn, 63650–63651 Farm Service Agency Civil and criminal penalty proceedings: NOTICES Marine violation notices; response options, 63640–63642 Agency information collection activities: Outer Continental Shelf activities: Proposed collection; comment request, 63668 Gulf of Mexico; petroleum and gas production facilities; safety zones, 63642–63645 Federal Aviation Administration RULES Commerce Department Air traffic operating and flight rules, etc.: See International Trade Administration Reduced vertical separation minimum, 63887–63895 See Minority Business Development Agency Airworthiness directives: See National Oceanic and Atmospheric Administration Agusta S.p.A., 63621–63623 Class E airspace, 63623 Committee for the Implementation of Textile Agreements NOTICES NOTICES Advisory circulars; availability, etc.: Cotton, wool, and man-made textiles: Fire prevention, 63733–63734 Pakistan, 63683–63684 Aeronautical land-use assurance; waivers: Toledo Express Airport, OH, 63734–63738 Cooperative State Research, Education, and Extension Airport noise compatibility program: Service Noise exposure maps— NOTICES Seattle-Tacoma International Airport, WA, 63738– Grants and cooperative agreements; availability, etc.: 63739 Special Research Programs— Passenger facility charges; applications, etc.: Potato Research, 63877–63885 Natrona County International Airport, WY, 63739
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Federal Communications Commission Fish and Wildlife Service RULES RULES Radio stations; table of assignments: Endangered and threatened species: Arizona, 63629 Critical habitat designations— Various States, 63629–63630 Oahu elepaio, 63751–63782 PROPOSED RULES PROPOSED RULES Common carrier services: Endangered and threatened species: Interconnection— San Miguel Island fox, etc. (4 subspecies of island fox), Interstate special access services; performance 63654–63665 measurements and standards, 63651–63653 Migratory bird hunting: Digital television stations; table of assignments: Light goose populations; harvest management, 63665– Texas, 63653 63666 Radio stations; table of assignments: NOTICES California, 63654 Environmental statements; availability, etc.: Tennessee, 63653–63654 Migratory bird hunting— NOTICES Light goose management, 63723–63724 Meetings; Sunshine Act, 63707–63708 Food and Drug Administration Federal Emergency Management Agency NOTICES RULES Human drugs: Flood insurance; communities eligible for sale: Case report tabulations submitted in electronic format; Various States, 63627–63629 patient profile viewer pilot project; request for volunteers, 63712–63713 Federal Energy Regulatory Commission Reports and guidance documents; availability, etc.: NOTICES Food Code; 2001 revision, 63713–63714 Electric rate and corporate regulation filings: Texas Eastern Transmission, LP, 63691–63692 Food Safety and Inspection Service Electric rate and corporate regulation findings: NOTICES GNE, LLC, et al., 63692–63693 Meetings: Environmental statements; notice of intent: Codex Alimentarius Commission— Copiah County Storage Co., 63693–63695 Meat and Poultry Hygiene Codex Committee, 63668– Transcontinental Gas Pipe Line Corp., 63695–63696 63669 Applications, hearings, determinations, etc.: Algonquin Gas Transmission Co., 63688 General Services Administration Alliance Pipeline L.P., 63688–63689 NOTICES Dominion Transmission, Inc., 63689 Agency information collection activities: East Tennessee Natural Gas Co., 63689 Submission for OMB review; comment request, 63708– Llano Estacado Wind, LP, et al., 63690 63709 Natural Gas Pipeline Co. of America, 63690 Shell Offshore Inc., 63690–63691 Health and Human Services Department Tennessee Gas Pipeline Co., 63691 See Centers for Disease Control and Prevention See Food and Drug Administration Federal Law Enforcement Training Center See Inspector General Office, Health and Human Services NOTICES Department Environmental statements; availability, etc.: See Substance Abuse and Mental Health Services Cheletenham, MD; law enforcement requalification Administration training facility, 63744–63745 NOTICES Scientific misconduct findings; administrative actions: Federal Trade Commission Xiong, Momiao, Ph.D., 63709 RULES Appliances, consumer; energy consumption and water use Health Care Financing Administration information in labeling and advertising: See Inspector General Office, Health and Human Services Comparability ranges— Department Refrigerators, refrigerator-freezers, and freezers, etc.; correction, 63749 Housing and Urban Development Department NOTICES Financial Management Service Agency information collection activities: See Fiscal Service Submission for OMB review; comment request, 63716– 63717 Fiscal Service Mortgagee Review Board; administrative actions, 63717– RULES 63723 Financial Management Service: Checks and warrants delivery to addresses outside U.S., Immigration and Naturalization Service territories, and possessions— NOTICES Cambodia (formerly Democratic Kampuchea); reference Agency information collection activities: removed, 63623–63624 Proposed collection; comment request, 63724
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Inspector General Office, Health and Human Services PROPOSED RULES Department Fishery conservation and management: RULES Northeastern United States fisheries— Medicare and State health care programs; fraud and abuse: Northeast monkfish, 63666–63667 Ambulance replenishing safe harbor under anti-kickback NOTICES statute Grants and cooperative agreements; availability, etc.: Correction, 63749 Coral Reef Conservation Program; implementation guidelines, 63675–63680 Interior Department Marine mammals: See Fish and Wildlife Service Incidental taking; authorization letters, etc.— Carpinteria Oil and Gas Processing Facility, CA, Internal Revenue Service repairs; Pacific harbor seals, 63680–63683 NOTICES Agency information collection activities: Natural Resources Conservation Service Proposed collection; comment request, 63745 NOTICES Privacy Act: Environmental statements; availability, etc.: Systems of records, 63783–63875 Hackberry Draw Watershed, NM, 63669
International Trade Administration Navy Department NOTICES NOTICES Antidumping: Meetings: Honey from— Naval Academy, Board of Visitors, 63685 Argentina, 63672–63673 China, 63670–63672 Postal Rate Commission Countervailing duties: NOTICES Honey from— Meetings; Sunshine Act, 63727 Argentina, 63673–63674 Sulfanilic acid from— Hungary, 63674 Presidential Documents See Trade Representative, Office of U.S. Justice Department PROCLAMATIONS See Immigration and Naturalization Service Special observances: See Justice Programs Office National Pearl Harbor Remembrance Day (Proc. 7511), 63897–63900 Justice Programs Office EXECUTIVE ORDERS NOTICES Closing of Executive branch Department and Agencies on Grants and cooperative agreements; availability, etc.: December 24, 2001 (EO 13238), 63901–63903 State Criminal Alien Assistance Program, 63724–63725 Public Debt Bureau Minority Business Development Agency See Fiscal Service NOTICES Grants and cooperative agreements; availability, etc.: Public Health Service Minority Business Development Center Program and See Centers for Disease Control and Prevention Native American Business Development Center See Food and Drug Administration Program, 63674–63675 See Substance Abuse and Mental Health Services Administration National Aeronautics and Space Administration NOTICES Rural Utilities Service Patent licenses; non-exclusive, exclusive, or partially NOTICES exclusive: Environmental statements; availability, etc.: Fiber Materials, Inc., 63725 Georgia Transmission Corp., 63669–63670 International Electronic Machines Corp., 63725
National Archives and Records Administration Securities and Exchange Commission NOTICES NOTICES Agency records schedules; availability, 63725–63727 Investment Company Act of 1940: Shares substitution applications— National Highway Traffic Safety Administration First Variable Life Insurance Co. et al., 63727–63731 NOTICES Reports and guidance documents; availability, etc.: Agency information collection activities: Pro forma financial information use in earnings releases; Submission for OMB review; comment request, 63739– cautionary advice, 63731–63732 63741 Applications, hearings, determinations, etc.: Quicksilver Resources Inc., 63727 National Oceanic and Atmospheric Administration RULES Small Business Administration Fishery conservation and management: NOTICES West Coast States and Western Pacific fisheries— Disaster loan areas: Western Pacific pelagic, 63630–63632 Texas, 63732–63733
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Social Security Administration See Internal Revenue Service PROPOSED RULES Social security benefits: Veterans Affairs Department Federal old age, survivors, and disability insurance— NOTICES Skin disorders; medical criteria; impairments listing, Agency information collection activities: 63634–63640 Proposed collection; comment request, 63746–63748
Substance Abuse and Mental Health Services Administration Separate Parts In This Issue NOTICES Federal agency urine drug testing; certified laboratories Part II meeting minimum standards, list, 63714–63716 Department of Interior, Fish and Wildlife Service, 63751– 63782 Surface Transportation Board NOTICES Part III Rail carriers: Department of Treasury, Internal Revenue Service, 63783– Declaratory order petitions— 63875 Union Pacific Railroad Co., 63741–63742 Railroad services abandonment: Part IV CSX Transportation, Inc., 63742–63743 Department of Agriculture, Cooperative State Research, Norfolk Southern Railway Co., 63743–63744 Education, and Extension Service, 63877–63885 Textile Agreements Implementation Committee Part V See Committee for the Implementation of Textile Department of Transportation, Federal Aviation Agreements Administration, 63887–63895 Trade Representative, Office of U.S. Part VI NOTICES The President, 63897–63900 African Growth and Opportunity Act; implementation: Namibia; benefits eligibility determination, 63733 Part VII Transportation Department The President, 63901–63903 See Coast Guard See Federal Aviation Administration See National Highway Traffic Safety Administration Reader Aids See Surface Transportation Board Consult the Reader Aids section at the end of this issue for NOTICES phone numbers, online resources, finding aids, reminders, Aviation proceedings: and notice of recently enacted public laws. Agreements filed; weekly receipts, 63733 To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http:// Treasury Department listserv.access.gpo.gov and select Online mailing list See Federal Law Enforcement Training Center archives, FEDREGTOC-L, Join or leave the list (or change See Fiscal Service settings); then follow the instructions.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
3 CFR Proclamations: 7511...... 63899 Executive Orders: 11582 (See EO 13238) ...... 63903 13238...... 63903 9 CFR Proposed Rules: 94...... 63633 14 CFR 39...... 63621 71...... 63623 91...... 63888 16 CFR 305...... 63749 20 CFR Proposed Rules: 404...... 63634 31 CFR 211...... 63623 33 CFR 100...... 63624 117 (2 documents) ...... 63626, 63627 Proposed Rules: 1...... 63640 147...... 63642 175...... 63645 181...... 63650 42 CFR 1001...... 63749 44 CFR 64...... 63627 47 CFR 73 (2 documents) ...... 63629 Proposed Rules: 51...... 63651 73 (3 documents) ...... 63653, 63654 50 CFR 17...... 63752 660...... 63630 Proposed Rules: 17...... 63654 20...... 63665 21...... 63665 648...... 63666
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Rules and Regulations Federal Register Vol. 66, No. 237
Monday, December 10, 2001
This section of the FEDERAL REGISTER Comments for inclusion in the Rules airworthiness of these helicopters in contains regulatory documents having general Docket must be received on or before Italy. applicability and legal effect, most of which February 8, 2002. This helicopter model is are keyed to and codified in the Code of ADDRESSES: Submit comments in manufactured in Italy and is typed Federal Regulations, which is published under certificated for operation in the United 50 titles pursuant to 44 U.S.C. 1510. triplicate to the Federal Aviation Administration (FAA), Office of the States under the provisions of 14 CFR The Code of Federal Regulations is sold by Regional Counsel, Southwest Region, 21.29 and the applicable bilateral the Superintendent of Documents. Prices of Attention: Rules Docket No. 2001–SW– agreement. Pursuant to this bilaterial new books are listed in the first FEDERAL 55–AD, 2601 Meacham Blvd., Room agreement, the ENAC has kept the FAA REGISTER issue of each week. 663, Fort Worth, Texas 76137. You may informed of the situation described also send comments electronically to above. The FAA has examined the the Rules Docket at the following findings of the ENAC, reviewed all DEPARTMENT OF TRANSPORTATION address: [email protected]. available information, and determined The applicable service information that AD action is necessary for products Federal Aviation Administration may be obtained from Agusta, 21017 of this type design that are certificated Cascina Costa di Samarate (VA) Italy, for operation in the United States. 14 CFR Part 39 Via Giovanni Agusta 520, telephone 39 Since the unsafe condition described [Docket No. 2001–SW–55–AD; Amendment (0331) 229111, fax 39 (0331) 229605– is likely to exist or develop on other 39–12552; AD 2001–22–51] 222595. This information may be Agusta Model A119 helicopters of the examined at the FAA, Office of the RIN 2120–AA64 same type designs, the FAA issued Regional Counsel, Southwest Region, Emergency AD 2001–22–51 to prevent Airworthiness Directives; Agusta 2601 Meacham Blvd., Room 663, Fort failure of a blade and subsequent loss of S.p.A. Model A119 Helicopters Worth, Texas; or at the Office of the control of the helicopter. The AD Federal Register, 800 North Capitol requires the following for each blade, P/ AGENCY: Federal Aviation Street, NW., suite 700, Washington, DC. N 109–8132–01–107: Administration, DOT. FOR FURTHER INFORMATION CONTACT: • Removing any blade on or before ACTION: Final rule; request for Richard Monschke, Aviation Safety accumulating 50 hours TIS. comments. Engineer, FAA, Rotorcraft Directorate, • Before each flight, visually checking Rotorcraft Standards Staff, Fort Worth, both sides of each blade for a crack. SUMMARY: This document publishes in Texas 76193–0110, telephone (817) • Initially and at specified intervals the Federal Register an amendment 222–5116, fax (817) 222–5961. or before the next flight after any adopting Airworthiness Directive (AD) SUPPLEMENTARY INFORMATION: On abnormal tail rotor vibration, inspecting 2001–22–51, which was sent previously October 30, 2001, the FAA issued each blade for a crack using a 5-power to all known U.S. owners and operators Emergency AD 2001–22–51 for Agusta or higher magnifying glass. of Agusta S.p.A. (Agusta) Model A119 Model A119 helicopters, which requires • Initially and repetitively, dye helicopters by individual letters. This removing a certain part-numbered tail penetrant inspecting each blade for a AD requires removing a certain part- rotor blade on or before accumulating 50 crack. numbered tail rotor blade (blade) on or hours TIS. That Emergency AD also • If a crack is found, removing the before accumulating 50 hours time-in- requires visually or dye penetrant blade. service (TIS). This AD also requires inspecting each blade at specified time The AD revises the Limitations visually or dye penetrant inspecting intervals and removing any cracked section of the maintenance manual by each blade at specified time intervals blade before further flight. That action establishing a 50-hour life limit for and removing any cracked blade before was prompted by the discovery of a blade, P/N 109–8132–01–107. The further flight. This AD is prompted by fatigue crack on a blade during an actions must be accomplished in the discovery of a fatigue crack on a inspection. This condition, if not accordance with the ABT described blade during an inspection. The actions corrected, could result in failure of a previously. An owner/operator (pilot) specified by this AD are intended to blade and subsequent loss of control of may perform the visual check required prevent failure of a blade and the helicopter. by paragraph (b) of the AD and must subsequent loss of control of the The FAA has reviewed Agusta enter compliance in the helicopter helicopter. Bollettino Tecnico No. 119–1, Revision maintenance records in accordance with DATES: Effective December 26, 2001, to A, dated August 22, 2001 (ABT), which 14 CFR 43.11 and 91.417(a)(2)(v)). The all persons except those persons to describes procedures for performing AD allows a pilot to perform this check whom it was made immediately inspections of each blade, part number because it involves only a visual check effective by Emergency AD 2001–22–51, (P/N) 109–8132–01–107, for a crack and for a crack in the blade and can be issued on October 30, 2001, which assigning a new retirement life. The performed equally well by a pilot or a contained the requirements of this Ente Nazionale per l’Aviazione Civile, mechanic. amendment. which is the airworthiness authority for The short compliance time involved The incorporation by reference of Italy, classified the ABT as mandatory is required because the previously certain publications listed in the and issued ADs 2001–124, dated March described critical unsafe condition can regulations is approved by the Director 30, 2001; 2001–348, dated August 20, adversely affect the structural integrity of the Federal Register as of December 2001; and 2001–374, dated August 29, and controllability of the helicopter. 26, 2001. 2001, to ensure the continued Therefore, the actions stated previously
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are required at the specified time suggestions is extremely helpful in PART 39—AIRWORTHINESS intervals, and this AD must be issued evaluating the effectiveness of the AD DIRECTIVES immediately. action and determining whether Since it was found that immediate additional rulemaking action would be 1. The authority citation for part 39 corrective action was required, notice needed. continues to read as follows: and opportunity for prior public Comments are specifically invited on Authority: 49 U.S.C. 106(g), 40113, 44701. comment thereon were impracticable the overall regulatory, economic, and contrary to the public interest, and environmental, and energy aspects of § 39.13 [Amended] good cause existed to make the AD the rule that might suggest a need to 2. Section 39.13 is amended by effective immediately by individual modify the rule. All comments adding a new airworthiness directive to letters issued on October 30, 2001 to all submitted will be available in the Rules read as follows: known U.S. owners and operators of Docket for examination by interested 2001–22–51 Agusta S.p.A: Amendment 39– Agusta Model A119 helicopters. persons. A report that summarizes each 12552. Docket No. 2001–SW–55–AD. However, shortly after the issuance of FAA-public contact concerned with the Applicability: Model A119 helicopters, the emergency AD, ENAC advised us substance of this AD will be filed in the with a tail rotor blade (blade), part number that a replacement blade is being Rules Docket. 109–8132–01–107, installed, certificated in certificated. That replacement blade Commenters wishing the FAA to any category. should have a longer life limit and acknowledge receipt of their mailed Note 1: This AD applies to each helicopter should not require mandatory comments submitted in response to this identified in the preceding applicability inspections. Therefore, a terminating rule must submit a self-addressed, provision, regardless of whether it has been action for the requirements of this AD stamped postcard on which the otherwise modified, altered, or repaired in may become available soon. In the following statement is made: the area subject to the requirements of this meantime, the unsafe condition still ‘‘Comments to Docket No. 2001–SW– AD. For helicopters that have been modified, 55–AD.’’ The postcard will be date altered, or repaired so that the performance exists, and the emergency AD is hereby of the requirements of this AD is affected, the published in the Federal Register as an stamped and returned to the owner/operator must request approval for an amendment to 14 CFR 39.13 to make it commenter. alternative method of compliance in effective to all persons. This published The regulations adopted herein will accordance with paragraph (g) of this AD. version of the AD is identical to the not have a substantial direct effect on The request should include an assessment of version issued on October 30, 2001 the States, on the relationship between the effect of the modification, alteration, or except that the citation in paragraph (b) the national Government and the States, repair on the unsafe condition addressed by for recording compliance with the pilot or on the distribution of power and this AD; and if the unsafe condition has not check is corrected to read 91.417(a)(2)(v) responsibilities among the various been eliminated, the request should include specific proposed actions to address it. instead of the non-existent levels of government. Therefore, it is 91.147(a)(2)(v) cited in the October 30, determined that this final rule does not Compliance: Required as indicated, unless have federalism implications under accomplished previously. 2001 version of this AD. To prevent failure of a blade and We estimate that 2 helicopters of U.S. Executive Order 13132. subsequent loss of control of the helicopter, registry will be affected by this AD, that The FAA has determined that this accomplish the following: it will take approximately 4 work hours regulation is an emergency regulation (a) Remove any blade on or before per helicopter to accomplish the that must be issued immediately to accumulating 50 hours time-in-service (TIS). required actions, and the average labor correct an unsafe condition in aircraft, (b) Before each flight, visually check both rate is $60 per work hour. The and that it is not a ‘‘significant sides of each blade for a crack. An owner/ manufacturer has indicated that the cost regulatory action’’ under Executive operator (pilot) holding at least a private pilot of any replacement blade will be given Order 12866. It has been determined certificate may perform the visual check pro-rata warranty credit. Based on these further that this action involves an required by this paragraph, and must enter compliance into the helicopter maintenance figures, the total cost impact of the AD emergency regulation under DOT records in accordance with 14 CFR 43.11 and on U.S. operators is estimated to be Regulatory Policies and Procedures (44 91.417(a)(2)(v). $480, assuming 100% warranty credit FR 11034, February 26, 1979). If it is (c) Within 10 hours TIS and thereafter at for any replacement blades. determined that this emergency intervals not to exceed 10 hours TIS or before regulation otherwise would be the next flight after any abnormal increase in Comments Invited significant under DOT Regulatory the vibratory level of the helicopter, inspect Although this action is in the form of Policies and Procedures, a final each blade for a crack using a 5-power or a final rule that involves requirements regulatory evaluation will be prepared higher magnifying glass in accordance with affecting flight safety and, thus, was not and placed in the Rules Docket. A copy the Compliance Instructions, Part II, paragraphs 1 through 6, of Agusta Bollettino preceded by notice and an opportunity of it, if filed, may be obtained from the for public comment, comments are Tecnico No. 119–1, Revision A, dated August Rules Docket at the location provided 22, 2001 (ABT). invited on this rule. Interested persons under the caption ADDRESSES. (d) Within 25 hours TIS and thereafter at are invited to comment on this rule by List of Subjects in 14 CFR Part 39 intervals not to exceed 25 hours TIS, dye submitting such written data, views, or penetrant inspect each blade for a crack in arguments as they may desire. Air transportation, Aircraft, Aviation accordance with the Compliance Communications should identify the safety, Incorporation by reference, Instructions, Part III, paragraphs 1 through Rules Docket number and be submitted Safety. 4.5, of the ABT. in triplicate to the address specified (e) Before further flight, remove any blade Adoption of the Amendment under the caption ADDRESSES. All in which a crack is found. communications received on or before Accordingly, pursuant to the (f) This AD revises the Limitations section of the maintenance manual by establishing a the closing date for comments will be authority delegated to me by the 50-hour life limit for each blade, P/N 109– considered, and this rule may be Administrator, the Federal Aviation 8132–01–107. amended in light of the comments Administration amends part 39 of the (g) An alternative method of compliance or received. Factual information that Federal Aviation Regulations (14 CFR adjustment of the compliance time that supports the commenter’s ideas and part 39) as follows: provides an acceptable level of safety may be
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used if approved by the Manager, Regulations FOR FURTHER INFORMATION CONTACT: Department of the Treasury, Group, FAA. Operators shall submit their Joseph R. Yadouga, Airspace Branch, Washington, DC 20227. requests through an FAA Principal Air Traffic Division, Southwest Region, SUPPLEMENTARY INFORMATION: Banking Maintenance Inspector, who may concur or Federal Aviation Administration, Fort comment and then send it to the Manager, and postal facilities in Cambodia have Regulations Group. Worth, TX 76193–0520, telephone: 817– improved since the resumption of 222–5597. Note 2: Information concerning the diplomatic relations in 1993. With existence of approved alternative methods of SUPPLEMENTARY INFORMATION: The FAA respect to postal facilities, the compliance with this AD, if any, may be published this direct final rule with a Department of State has available a obtained from the Regulations Group. request for comments in the Federal system whereby Treasury checks can be (h) Special flight permits will not be Register on August 29, 2001, (66 FR sent to the American Embassy for issued. 45600). The FAA uses the direct final distribution. This arrangement is (i) The inspections shall be done in rulemaking procedure for a feasible for both Treasury and State, accordance with the Compliance noncontroversial rule where the FAA because the number of payees residing Instructions, Part II, paragraphs 1 through 6 believes that there will be no adverse in Cambodia is small. and Part III, paragraphs 1 through 4.5, of public comment. This direct final rule Accordingly, there is reasonable Agusta Bollettino Tecnico No. 119–1, advised the public that no adverse assurance that payees living in Revision A, dated August 22, 2001. This Cambodia will receive checks or incorporation by reference was approved by comments were anticipated, and that the Director of the Federal Register in unless a written adverse comment, or a warrants drawn against funds of the accordance with 5 U.S.C. 552(a) and 1 CFR written notice of intent to submit such United States, its agencies or part 51. Copies may be obtained from Agusta, an adverse comment, were received instrumentalities, and will be able to 21017 Cascina Costa di Samarate (VA) Italy, within the comment period, the negotiate the same for full value. For Via Giovanni Agusta 520, telephone 39 regulation would become effective on this reason, 31 CFR 211.1(a) is being (0331) 229111, fax 39 (0331) 229605–222595; December 27, 2001. No adverse revised to delete the reference to or at the Office of the Federal Register, 800 comments were received, and, thus, this Cambodia. North Capitol Street, NW., suite 700, action confirms that this direct final rule Washington, DC. Rulemaking Analysis will be effective on that date. (j) This amendment becomes effective on This regulation is not subject to the December 26, 2001, to all persons except Issued in Fort Worth, TX, on December 3, those persons to whom it was made 2001. Regulatory Flexibility Act, 5 U.S.C. 601, et seq., because no notice of proposed immediately effective by Emergency AD Robert N. Stevens, 2001–22–51, issued October 30, 2001, which rulemaking is required under 5 U.S.C. Acting Manager, Air Traffic Division, 553 or any other law. contained the requirements of this Southwest Region. amendment. Because this regulation involves a [FR Doc. 01–30482 Filed 12–7–01; 8:45 am] Note 3: The subject of this AD is addressed foreign affairs function of the United in Ente Nazionale per l’Aviazione Civile BILLING CODE 4910–13–M States, it is not subject to Executive (Italy) ADs 2001–124, dated March 30, 2001; Order 12866. Accordingly, a regulatory 2001–348, dated August 20, 2001; and 2001– impact analysis is not required. 374, dated August 29, 2001. DEPARTMENT OF THE TREASURY Notice and Comment Issued in Fort Worth, Texas, on November Fiscal Service 27, 2001. Because this rule removes a restriction on the delivery of checks and Eric Bries, 31 CFR Part 211 warrants to a foreign country, the Acting Manager, Rotorcraft Directorate, Department of the Treasury has Aircraft Certification Service. RIN 1510–AA88 determined that notice of proposed [FR Doc. 01–30211 Filed 12–7–01; 8:45 am] Delivery of Checks and Warrants to rulemaking, public procedure and a BILLING CODE 4910–13–P Addresses Outside the United States, delayed effective date are not required Its Territories and Possessions pursuant to 5 U.S.C. 553(a)(1), 5 U.S.C. 553(b)(B) and 5 U.S.C. 553(d)(1). DEPARTMENT OF TRANSPORTATION AGENCY: Financial Management Service, Fiscal Service, Treasury. List of Subjects in 31 CFR Part 211 Federal Aviation Administration ACTION: Final rule; revision. Foreign Banking, Checks. 14 CFR Part 71 SUMMARY: This final rule amends the For the reasons set forth in the regulations governing the delivery of preamble, 31 CFR Part 211 is amended [Airspace Docket No. 2001–ASW–14] Treasury checks outside the United as follows: States by removing the reference to Revision of Class E Airspace, PART 211—DELIVERY OF CHECKS Democratic Kampuchea, now known as Springhill, LA AND WARRANTS TO ADDRESSES Cambodia, as an area to which checks OUTSIDE THE UNITED STATES, ITS AGENCY: Federal Aviation may not be sent. With the resumption of TERRITORIES AND POSSESSIONS Administration (FAA), DOT. diplomatic relations, there is reasonable ACTION: Direct final rule; confirmation of assurance that payees residing in 1. The authority citation for part 211 effective date. Cambodia will receive and be able to continues to read as follows: negotiate checks for full value. Authority: 5 U.S.C. 301; 31 U.S.C. 321 and SUMMARY: This notice confirms the EFFECTIVE DATE: December 10, 2001. 3329. effective date of a direct final rule which FOR FURTHER INFORMATION CONTACT: 2. Section 211.1 is amended by revises the Class E Airspace, Springhill, William S. Mehr, Manager, revising paragraph (a) to read as follows: LA. Administrative Services Branch, (202) EFFECTIVE DATE: The direct final rule 874–6932, or Tricia Long, Attorney, § 211.1 Withholding delivery of checks. published at 66 FR 45600 and is Office of the Chief Counsel, (202) 874– (a) It is hereby determined that postal, effective 0901 UTC, December 27, 2001. 8615, Financial Management Service, transportation or banking facilities in
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general or local conditions in the Coast Guard finds that good cause exists The staging area of this special local Republic of Cuba and the Democratic for not publishing a NPRM. Publishing regulation will overlap the two existing People’s Republic of Korea (North a NPRM and delaying the effective date temporary fixed security zones in Port Korea) are such that there is not a of this rule would be contrary to public Everglades [COTP MIAMI–01–116 and reasonable assurance that a payee in safety interests since immediate action COTP MIAMI–01–122]. These those areas will actually receive checks is needed to minimize potential danger temporary fixed security zones are or warrants drawn against funds of the to the public because there will be activated when a high capacity United States, or agencies or numerous spectator craft in the area. passenger vessel or a vessel carrying instrumentalities thereof, and be able to Publishing a NPRM is also unnecessary cargoes of particular hazard as defined negotiate the same for full value. because the temporary rule will only be in Title 33, Code of Federal Regulations * * * * * in effect for 6 hours and this is an part 126, enter or moor within the annual event that has been well respective zone. These temporary fixed Dated: November 2, 2001. publicized to the local community. security zones prohibit vessels from Richard L. Gregg, For the same reasons, under 5 U.S.C. entering the security zones without the Commissioner. 553(d)(3), the Coast Guard finds that permission of the Captain of the Port of [FR Doc. 01–30535 Filed 12–7–01; 8:45 am] good cause exists for making this rule Miami. BILLING CODE 4810–35–P effective less than 30 days after The first temporary fixed security publication in the Federal Register. zone [COTP MIAMI–01–116] encompasses all waters west of an DEPARTMENT OF TRANSPORTATION Background and Purpose imaginary line starting with the northern most point 26° 05.98′N, 080° The Cingular Wireless Winterfest Boat ′ Coast Guard Parade is a nighttime parade of 07.15 W, near the west side of the 17th Street Bridge, to the southern most point approximately 110 pleasure boats ° ′ ° ′ 33 CFR Part 100 ranging in length from 20 feet to 200 feet at 26 05.41 N, 080 06.97 W on the tip of the pier near Burt and Jacks [CGD07–01–120] decorated with holiday lights. Approximately 1500 spectator craft are Restaurant. The Coast Guard anticipates RIN 2115–AE46 anticipated to view the parade. The a cruise ship being moored within this parade will form in the staging area at zone; thus this security zone will be Special Local Regulations: Cingular activated and no vessels will be the Port Everglades turning basin and Wireless Winterfest Boat Parade, permitted to enter the zone without the south in the ICW and the parade route Broward County, Fort Lauderdale, FL permission of the Miami Captain of the will proceed north on the ICW to Lake AGENCY: Coast Guard, DOT. Port or his designated representative. Santa Barbara where the parade will The second temporary fixed security ACTION: Temporary final rule. disband. This regulation creates zone [COTP MIAMI–01–122] regulated areas for the staging area, SUMMARY: Temporary special local encompasses the waters of the ICW viewing area, and parade route. The ° regulations are being established for the between a line connecting a point at 26 staging area encompasses the entire Port 05.41′N, 080° 06.97′W on the northern Cingular Wireless Winterfest Boat Everglades turning basin, south to Dania Parade. The event will be held on tip of Port Everglades berth 22 near Burt Sound Light 35 (LLNR 47575). The and Jacks Restaurant and a point December 15, 2001, on the waters of the parade route encompasses the Port Everglades turning basin and the directly east across the Intracoastal Intracoastal Waterway from Dania Waterway (ICW) at 26° 05.41′N, 080° Intracoastal Waterway (ICW) from Dania Sound Light 35 (LLNR 47575) to ′ Sound Light 35 to Pompano Beach Day 06.74 W; and a line drawn from the Pompano Beach day beacon 74 (LLNR corner of Port Everglades berth 29 at Beacon 74. This rule creates 3 regulated 47230). The viewing area covers the ° ′ ° ′ areas around a staging area, parade route point 26 04.72 N, 080 06.92 W, west side of the ICW from the Sunrise easterly across the ICW to John U. Lloyd and viewing area. These regulations are ° ′ ° Boulevard Bridge (26 08.281 N, 080 Beach, State Recreational Area at point needed to provide for the safety of life 06.482′W) south to the New River ° ′ ° ′ on navigable waters during the event. 26 04.72 N, 080 06.81 W. The Coast Sound Light 3 (LLNR 47240). Guard anticipates that a cruise ship will DATES: These regulations are effective Non-participant vessels are not be moored in this second temporary from 5 p.m. on December 15, 2001 until allowed to enter or anchor in the staging fixed security zone, so no person or 11 p.m. on December 15, 2001. area. Further, no vessel is allowed to vessel may enter the security zone ADDRESSES: Documents indicated in this anchor in the vicinity of the shore side without the permission of the Captain of preamble as being available in the viewing area that covers the west side the Port or his designated docket, are part of docket CGD07–01– of the ICW between the Sunrise representative. This second zone 120 and are available for inspection or Boulevard Bridge (26° 08.281′N, 080° overlaps the parade staging area but the copying at Coast Guard Group Miami, 06.482′W and the New River Sound Coast Guard anticipates allowing 100 MacArthur Causeway, Miami Light 3 (LLNR 47240). During the persons to transit the east side of the Beach, Florida, 33139 between 8 a.m. parade transit, these regulations prohibit ICW enroute to the parade staging area and 4 p.m., Monday through Friday, non-participant vessels from (with the cruise ship moored on the except Federal holidays. approaching within 175 yards ahead of west side near terminal 24), while this FOR FURTHER INFORMATION CONTACT: the lead vessel or 175 yards astern of the second temporary security zone is BMC Sorensen, Coast Guard Group last participant vessel in the parade, and activated. The Coast Guard anticipates Miami, Florida at (305) 535–4317. within 15 yards on either side of the further that the cruise ship moored at SUPPLEMENTARY INFORMATION: outboard parade vessels, unless berth 24 will depart the Port sometime authorized by the Coast Guard Patrol during the parade formation and as a Regulatory Information Commander. The event sponsor will result this security zone will be We did not publish a notice of have approximately 20 watercraft to deactivated after the cruise ship departs. proposed rulemaking (NPRM) for this guide mariners around the regulated The regulated area created by this regulation. Under 5 U.S.C. 553(b)(B), the areas. special local regulation will continue to
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be enforced if either security zone above the Department of Transportation (DOT) Paperwork Reduction Act (44 U.S.C. is deactivated. The security zones and (44 FR 11040, February 26, 1979) 3501–3520). special local regulation allow the Coast because the rule will only be in effect Federalism Guard and local law enforcement for 6 hours and vessels will still be maximum flexibility to ensure the safety allowed to transit the regulated areas A rule has implications for federalism of the entire Port and those within the with the permission of the Coast Guard under Executive Order 13132, Port area. The Coast Guard anticipates Patrol Commander. Federalism, if it has a substantial direct no ship arrivals during the timeframe of Small Entities effect on State or local governments and this special local regulation. However, a would either preempt State law or Under the Regulatory Flexibility Act ship may unexpectedly require transit impose a substantial direct cost of (5 U.S.C. 601–612), the Coast Guard into port, necessitating on-scene compliance on them. We have analyzed considered whether this rule would changes. All on-scene changes will be this rule under that Order and have have a significant economic effect upon announced on VHF–FM Channels 13 determined that it does not have a substantial number of small entities. and 16. implications for federalism. ‘‘Small entities’’ include small business, Discussion of Rule not-for-profit organizations that are Unfunded Mandate Reform Act The Coast Guard is establishing 3 independently owned and operated and regulated areas under this regulation, a are not dominant in their fields, and The Unfunded Mandates Reform Act staging area, a viewing area, and a governmental jurisdictions with of 1995 (2 U.S.C. 1531–1538) requires parade route. The staging area populations of less than 50,000. Federal agencies to assess the effects of encompasses all the waters within the This rule may affect the following their discretionary regulatory actions. In Port Everglades turning basin and that entities, some of which may be small particular, the Act addresses actions portion of the Intracoastal Waterway entities: the owners or operators of that may result in the expenditure by a (ICW) extending from Port Everglades vessels intending to transit or anchor in State, local, or tribal government, in the turning basin to Dania Sound Light 35 the Port Everglades turning basin and aggregate, or by the private sector of (LLNR 47575). The viewing area covers portions of the Intracoastal Waterway. $100,000,000 or more in any one year. the west side of the Intracoastal The Coast Guard certifies under 5 U.S.C. Though this rule will not result in such Waterway from the Sunrise Boulevard 605(b) that this rule will not have a an expenditure, we do discuss the Bridge (26° 08.281′N, 080° 06.482′W) significant economic impact on a effects of this rule elsewhere in this south to the New River Sound Light 3 substantial number of small entities preamble. (LLNR 47240). The parade route because the rule will only be in effect Taking of Private Property includes the Intracoastal Waterway from for 6 hours and vessels will still be Dania Sound Light 35 (LLNR 47575) to allowed to transit the regulated areas This rule will not effect a taking of Pompano Beach Daybeacon 74 (LLNR with the permission of the Coast Guard private property or otherwise have 47230). Patrol Commander. taking implications under Executive All non-participant persons and Order 12630, Governmental Actions and Assistance for Small Entities vessels are prohibited from entering or Interference with Constitutionally anchoring in the staging area and all Under section 213(a) of the Small Protected Property Rights. vessels are prohibited from anchoring in Business Regulatory Enforcement the viewing area, unless authorized by Fairness Act of 1996 (Pub. L. 104–121), Civil Justice Reform the Patrol Commander. During the we offer to assist small entities in This rule meets applicable standards parade transit along the parade route, understanding the rule so that they may in sections 3(a) and 3(b)(2) of Executive non-participant vessels are prohibited better evaluate its effects on them and Order 12988, Civil Justice Reform, to from approaching within 175 yards participate in the rulemaking process. minimize litigation, eliminate ahead of the lead vessel or 175 yards Small entities may contact the person ambiguity, and reduce burden. astern of the last participant vessel in listed under FOR FURTHER INFORMATION the parade, and within 15 yards on CONTACT for assistance in understanding Protection of Children either side of the outboard parade and participating in this rulemaking. We vessels. The Coast Guard Patrol also have a point of contact for We have analyzed this rule under Commander may allow vessels to enter commenting on actions by employees of Executive Order 13045, Protection of the staging area when the last the Coast Guard. Small businesses may Children from Environmental Health participant vessel has cleared the send comments on the actions of Risks and Safety Risks. This rule is not staging area. The Coast Guard Patrol Federal employees who enforce, or an economically significant rule and Commander will notify the public via otherwise determine compliance with does not create an environmental risk to Marine Safety Radio Broadcast on VHF Federal regulations to the Small health or safety that may Marine Band Radio, Channel 16 (157.1 Business and Agriculture Regulatory disproportionately affect children. MHz) if vessels are authorized to enter Enforcement Ombudsman and the Indian Tribal Governments the staging area. Regional Small Business Regulatory Fairness Boards. The Ombudsman This rule does not have tribal Regulatory Evaluation evaluates these actions annually and implications under Executive Order This proposal is not a ‘‘significant rates each agency’s responsiveness to 13175, Consultation and Coordination regulatory action’’ under section 3(f) of small business. If you wish to comment with Indian Tribal Governments, Executive Order 12866 and does not on actions by employees of the Coast because it does not have a substantial require an assessment of potential costs Guard, call 1–888–REG–FAIR (1–888– direct effect on one or more Indian and benefits under section 6(a)(3) of that 734–3247). tribes, on the relationship between the Order. The Office of Management and Federal Government and Indian tribes, Budget has not reviewed it under that Collection of Information or on the distribution of power and Order. It is not ‘‘significant’’ under the This rule calls for no new collection responsibilities between the Federal regulatory policies and procedures of of information requirements under the Government and Indian tribes.
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Energy Effects (2) Parade route. The parade route DEPARTMENT OF TRANSPORTATION We have analyzed this rule under includes the Intracoastal Waterway Executive Order 13211, Actions (ICW) from Dania Sound Light 35 (LLNR Coast Guard Concerning Regulations That 47575) to Pompano Beach Daybeacon 74 Significantly Affect Energy Supply, (LLNR 47230). 33 CFR Part 117 Distribution, or Use. We have (3) Viewing area. The viewing area determined that it is not a ‘‘significant covers the west side of the Intracoastal [CGD08–01–041] energy action’’ under that order because Waterway from the Sunrise Boulevard Bridge (26° 08.281′N, 080° 06.482′W) it is not a ‘‘significant regulatory action’’ RIN 2115–AE47 under Executive Order 12866 and is not south to the New River Sound Light 3 likely to have a significant adverse effect (LLNR 47240). Drawbridge Operation Regulation; on the supply, distribution, or use of (4) Coast Guard Patrol Commander. Mississippi River, Iowa and Illinois energy. It has not been designated by the The Coast Guard Patrol Commander is Administrator of the Office of a commissioned, warrant, or petty AGENCY: Coast Guard, DOT. Information and Regulatory Affairs as a officer of the Coast Guard who has been significant energy action. Therefore, it designated by the Commander, Coast ACTION: Temporary deviation. does not require a Statement of Energy Guard Group Miami, Florida and is also Effects under Executive Order 13211. the designated representative of the SUMMARY: The Commander, Eighth Captain of the Port of Miami for Coast Guard District has authorized a Environment purposes of enforcing security zones in temporary deviation from the regulation The Coast Guard has considered the Port Everglades during this event. governing the Burlington Northern environmental impact of this action and (b) Special Local Regulations. Railroad Drawbridge, Mile 0.2, St. Croix has determined pursuant to Figure 2–1, (1) Staging area. Entry or anchoring in River at Prescott, Wisconsin. This paragraph 34(h) of Commandant the staging area by nonparticipating deviation allows the drawbridge to Instruction M16475.1D, that this action vessels is prohibited, unless authorized remain closed to navigation for 29 days is categorically excluded from further by the Patrol Commander. The Coast November 16, until December 15, 2001. environmental documentation. Guard Patrol Commander may allow This action will facilitate maintenance vessels to enter the staging area when List of Subjects in 33 CFR Part 100 work on the bridge. the last participant vessel has departed Marine safety, Navigation (water), the staging area. The Coast Guard Patrol DATES: This temporary deviation is Reporting and recordkeeping Commander will notify the public via effective from 12:01 a.m., November 16, requirements, Waterways. Marine Safety Radio Broadcast on VHF 2001, until 12:01 a.m., December 15, For the reasons discussed in the Marine Band Radio, Channel 16 (157.1 2001. preamble, the Coast Guard amends 33 MHz) if vessels are allowed to enter the CFR part 100 as follows: staging area. FOR FURTHER INFORMATION CONTACT: (2) Parade route. During the parade Roger K. Wiebusch, Bridge PART 100—SAFETY OF LIFE ON transit, non-participant vessels are Administrator, Commander (obr), Eighth NAVIGABLE WATERS prohibited from approaching within 175 Coast Guard District, 1222 Spruce 1. The authority citation for part 100 yards ahead of the lead vessel or 175 Street, St. Louis, MO 63103–2832, (314) continues to read as follows: yards astern of the last participating 539–3900, extension 378. vessel in the parade, and within 15 Authority: 33 U.S.C. 1233 to 1236; 49 CFR yards on either side of the outboard SUPPLEMENTARY INFORMATION: The 1.46; 33 CFR 100.35. parade vessels, unless authorized by the Burlington Northern Railroad 2. A new temporary § 100.35T–07– Coast Guard Patrol Commander. Drawbridge provides a vertical 120 is added to read as follows: (3) Viewing Area. Vessels are clearance of 20.4 feet above normal pool § 100.35T–07–120 Cingular Wireless prohibited from anchoring in the in the closed to navigation position. Winterfest Boat Parade, Broward County, viewing area. Navigation on the waterway is a mixture Fort Lauderdale, FL. (4) Miscellaneous. A succession of not of recreational boating and commercial fewer that 5 short whistle or horn blasts tows. This deviation has been (a) Definitions. from a patrol vessel will be the signal coordinated with waterway users. No (1) Staging area. The staging area for any and all vessels to stop objections were received. includes all waters within the Port immediately. At the discretion of the This deviation allows the bridge to Everglades turning basin, west of a line Coast Guard Patrol Commander, all remain closed to navigation from 12:01 drawn from the 17th Street Causeway vessels may resume normal operations ° ′ ° ′ a.m., November 16, 2001 to 12:01 a.m., Bridge (26 06.044 N, 080 07.089 W) after the passage of the parade December 15, 2001. The bridge will south along the northeast shore of the participants. open during this period of time upon turning basin, east through Bar Cut to (c) Dates. This section becomes receipt of 24 hours advance notice. Light 6 (LLNR 10340), south across Bar effective at 5 p.m. on December 15, 2001 Cut to Light 7 (LLNR 10345), then and terminates at 11 p.m. on December Dated: November 20, 2001. southwest along the southeast shore of 15, 2001. Roy J. Casto, the turning basin to Daybeacon 1 (LLNR 10375) at Coast Guard Station Fort Dated: December 1, 2001. Rear Admiral, U.S. Coast Guard, Commander, Lauderdale. The staging area also James S. Carmichael, Eighth Coast Guard District. includes that portion of the Intracoastal Rear Admiral, U.S. Coast Guard, Commander, [FR Doc. 01–30476 Filed 12–7–01; 8:45 am] Waterway from Port Everglades Turning Seventh Coast Guard District. BILLING CODE 4910–15–U Basin south to Dania Sound Light 35 [FR Doc. 01–30477 Filed 12–7–01; 8:45 am] (LLNR 47575). BILLING CODE 4910–15–U
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DEPARTMENT OF TRANSPORTATION consists of small tugs with tows, fishing FOR FURTHER INFORMATION CONTACT: vessels, sailing vessels, and other Edward Pasterick, Division Director, Coast Guard recreational craft. In case of an Program Marketing and Partnership emergency, the bridge owner will be Division, Federal Insurance 33 CFR Part 117 able to hand crank the draws of the Administration and Mitigation [CGD08–01–044] bridges to the open-to-navigation Directorate, 500 C Street, S.W.; Room position. As an alternate route, the 411, Washington, D.C. 20472, (202) 646– Drawbridge Operating Regulation; south channel fixed spans of the dual 3098. Lake Pontchartrain, LA bridges provide a vertical clearance of SUPPLEMENTARY INFORMATION: The NFIP 50 feet above mean high water. enables property owners to purchase AGENCY: Coast Guard, DOT. The Greater New Orleans Expressway flood insurance which is generally not ACTION: Notice of temporary deviation Commission requested a temporary otherwise available. In return, from regulations. deviation from the normal operation of communities agree to adopt and the drawbridge in order to allow for the SUMMARY: administer local floodplain management The Commander, Eighth connection of new submarine cables to Coast Guard District has issued a aimed at protecting lives and new operate the draw spans of the bridges. construction from future flooding. temporary deviation from the regulation This deviation allows the draws of the governing the operation of the bascule Section 1315 of the National Flood bridges of the Greater New Orleans Insurance Act of 1968, as amended, 42 spans of the Greater New Orleans Expressway Commission Causeway Expressway Commission Causeway U.S.C. 4022, prohibits flood insurance across Lake Pontchartrain to remain coverage as authorized under the across Lake Pontchartrain between closed to navigation from 6 a.m. on Metairie, Jefferson Parish and National Flood Insurance Program, 42 Monday, December 17, 2001 until 6 a.m. U.S.C. 4001 et seq.; unless an Mandeville, St. Tammany Parish, on Wednesday, December 19, 2001. Louisiana. This deviation allows the appropriate public body adopts draws of the bridges to remain closed to Dated: December 3, 2001. adequate floodplain management navigation from 6 a.m. on Monday, J. R. Whitehead, measures with effective enforcement December 17, 2001 until 6 a.m. on Captain, U.S. Coast Guard, Commander, 8th measures. The communities listed in Wednesday, December 19, 2001. This Coast Guard Dist., Acting. this document no longer meet that temporary deviation allows for the [FR Doc. 01–30475 Filed 12–7–01; 8:45 am] statutory requirement for compliance connection of new submarine cables to BILLING CODE 4910–15–U with program regulations, 44 CFR part operate the draw spans of the bridges. 59 et seq. Accordingly, the communities will be suspended on the effective date DATES: This deviation is effective from 6 a.m. on Monday, December 17, 2001 FEDERAL EMERGENCY in the third column. As of that date, until 6 a.m. on Wednesday, December MANAGEMENT AGENCY flood insurance will no longer be 19, 2001. available in the community. However, 44 CFR Part 64 some of these communities may adopt ADDRESSES: Unless otherwise indicated, and submit the required documentation documents referred to in this notice are [Docket No. FEMA–7773] of legally enforceable floodplain available for inspection or copying at Suspension of Community Eligibility management measures after this rule is the office of the Eighth Coast Guard published but prior to the actual District, Bridge Administration Branch, AGENCY: Federal Emergency suspension date. These communities Commander (ob), 501 Magazine Street, Management Agency, FEMA. will not be suspended and will continue New Orleans, Louisiana, 70130–3396 ACTION: Final rule. their eligibility for the sale of insurance. between 7 a.m. and 3 p.m., Monday A notice withdrawing the suspension of through Friday, except Federal holidays. SUMMARY: This rule identifies the communities will be published in The Bridge Administration Branch communities, where the sale of flood the Federal Register. maintains the public docket for this insurance has been authorized under In addition, the Federal Emergency temporary deviation. the National Flood Insurance Program Management Agency has identified the FOR FURTHER INFORMATION CONTACT: (NFIP), that are suspended on the special flood hazard areas in these David Frank, Bridge Administration effective dates listed within this rule communities by publishing a Flood Branch, telephone (504) 589–2965. because of noncompliance with the Insurance Rate Map (FIRM). The date of SUPPLEMENTARY INFORMATION: Presently, floodplain management requirements of the FIRM if one has been published, is the draw is required to open on signal the program. If the Federal Emergency indicated in the fourth column of the if at least three hours notice is given; Management Agency (FEMA) receives table. No direct Federal financial except that, the draw need not be documentation that the community has assistance (except assistance pursuant to opened for the passage of vessels adopted the required floodplain the Robert T. Stafford Disaster Relief Monday through Friday except Federal management measures prior to the and Emergency Assistance Act not in holidays from 5:30 a.m. to 9:30 a.m. and effective suspension date given in this connection with a flood) may legally be from 3 p.m. until 7 p.m. The draw opens rule, the suspension will be withdrawn provided for construction or acquisition on signal for any vessel in distress or by publication in the Federal Register. of buildings in the identified special vessel waiting immediately following EFFECTIVE DATES: The effective date of flood hazard area of communities not the closures listed above. each community’s suspension is the participating in the NFIP and identified During the closure period, the bridges third date (‘‘Susp.’’) listed in the third for more than a year, on the Federal will not be able to open for vessels to column of the following tables. Emergency Management Agency’s transit through the bascule spans of the ADDRESSES: If you wish to determine initial flood insurance map of the bridge. The bridges have a vertical whether a particular community was community as having flood-prone areas clearance of 42 feet above mean high suspended on the suspension date, (section 202(a) of the Flood Disaster water in the closed-to-navigation contact the appropriate FEMA Regional Protection Act of 1973, 42 U.S.C. position. Navigation on the waterway Office or the NFIP servicing contractor. 4106(a), as amended). This prohibition
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against certain types of Federal requirements of the Regulatory Order 12612, Federalism, October 26, assistance becomes effective for the Flexibility Act because the National 1987, 3 CFR, 1987 Comp.; p. 252. communities listed on the date shown Flood Insurance Act of 1968, as Executive Order 12778, Civil Justice in the last column. The Associate amended, 42 U.S.C. 4022, prohibits Reform. This rule meets the applicable Director finds that notice and public flood insurance coverage unless an standards of section 2(b)(2) of Executive comment under 5 U.S.C. 553(b) are appropriate public body adopts Order 12778, October 25, 1991, 56 FR impracticable and unnecessary because adequate floodplain management 55195, 3 CFR, 1991 Comp.; p. 309. communities listed in this final rule measures with effective enforcement have been adequately notified. measures. The communities listed no List of Subjects in 44 CFR Part 64 Each community receives a 6-month, longer comply with the statutory 90-day, and 30-day notification requirements, and after the effective Flood insurance, Floodplains. addressed to the Chief Executive Officer date, flood insurance will no longer be Accordingly, 44 CFR part 64 is that the community will be suspended available in the communities unless amended as follows: unless the required floodplain they take remedial action. management measures are met prior to Regulatory Classification. This final PART 64—[AMENDED] the effective suspension date. Since rule is not a significant regulatory action these notifications have been made, this under the criteria of section 3(f) of 1. The authority citation for Part 64 final rule may take effect within less Executive Order 12866 of September 30, continues to read as follows: than 30 days. 1993, Regulatory Planning and Review, National Environmental Policy Act. 58 FR 51735. Authority: 42 U.S.C. 4001 et seq.; This rule is categorically excluded from Paperwork Reduction Act. This rule Reorganization Plan No. 3 of 1978, 3 CFR, the requirements of 44 CFR part 10, does not involve any collection of 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, Environmental Considerations. No information for purposes of the 3 CFR, 1979 Comp.; p. 376. environmental impact assessment has Paperwork Reduction Act, 44 U.S.C. § 64.6 [Amended] been prepared. 3501 et seq. Regulatory Flexibility Act. The Executive Order 12612, Federalism. 2. The tables published under the Associate Director has determined that This rule involves no policies that have authority of § 64.6 are amended as this rule is exempt from the federalism implications under Executive follows:
Date certain Fed- eral assistance no State and Location Community Effective date authorization/cancellation of Current effective longer available in No. sale of flood insurance in community map date special flood haz- ard areas
Region V Illinois: Bureau County, unincorporated 170729 July 25, 1973, Emerg.; June 15, 1984, Dec. 6, 2001 ..... Dec. 6, 2001. areas. Reg.; December 6, 2001. Minnesota: Cook, City of, St. Louis County 270420 December 3, 1971, Emerg.; March 1, 1977, ...... do...... Do. Reg.; December 6, 2001. Region VIII South Dakota: Grenville, Town of, Day 461201 August 18, 1995, Emerg.; June 8, 1998, ...... do...... Do. County. Reg.; December 6, 2001. Region II New Jersey: New Providence, Borough of, 345306 July 16, 1971, Emerg.; November 23, Dec. 20, 2001 ... Dec. 20, 2001. Union County. 1973, Reg.; December 20, 2001. Roseland, Borough of, Essex County ...... 340193 July 31, 1975, Emerg.; September 2, 1981, ...... do...... Do. Reg.; December 20, 2001. West Caldwell, Borough of, Essex County 340196 September 8, 1972, Emerg.; April 16, ...... do...... Do. 1979, Reg.; December 20, 2001. Region X Washington: Castle Rock, City of, Cowlitz 530277 May 8, 1975, Emerg.; June 18, 1980, Reg.; ...... do...... Do. County. December 20, 2001. Cowlitz County, unincorporated areas ...... 530032 June 18, 1971, Emerg.; August 1, 1980, ...... do...... Do. Reg.; December 20, 2001. Kelso, City of, Cowlitz County ...... 530033 July 28, 1972, Emerg.; December 4, 1979, ...... do...... Do. Reg.; December 20, 2001. Longview, City of, Cowlitz County...... 530034 May 26, 1972, Emerg.; December 18, ...... do...... Do. 1979, Reg.; December 20, 2001. Code for reading third column: Emerg.-Emergency; Reg.-Regular; Susp.-Suspension.
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Dated: December 3, 2001. to a hearing if found by the Commission FEDERAL COMMUNICATIONS Robert F. Shea, to be necessary in order to conform to COMMISSION Acting Administrator, Federal Insurance the 1992 USA-Mexico FM Broadcast Administration and Mitigation Agreement, or if specifically objected to 47 CFR Part 73 Administration. by Mexico. [DA 01–2681; MM Docket Nos. 01–118, 01– [FR Doc. 01–30428 Filed 12–7–01; 8:45 am] 119, 01–122; RM–10106, RM–10127, RM– DATES: Effective January 7, 2002. Filing BILLING CODE 6718–05–P 10130] windows for Channel 283A at Vail, Arizona, and for Channel 251A at Radio Broadcasting Services; Grants, FEDERAL COMMUNICATIONS Patagonia, Arizona, will not be opened Milan, and Shiprock, New Mexico; Van COMMISSION at this time. Instead, the issue of Wert and Columbus Grove, Ohio; opening those allotments for auction Lebanon and Hamilton, Ohio and Fort 47 CFR Part 73 will be addressed by the Commission in Thomas, KY a subsequent Order. [DA 01–2735; MM Docket No. 00–31; RM– AGENCY: Federal Communications 9815; RM–10014; RM–10095] FOR FURTHER INFORMATION CONTACT: Commission. Radio Broadcasting Services; Nancy Joyner, Mass Media Bureau, (202) ACTION: Final rule. 418–2180. Nogales,Vail and Patagonia, AZ SUMMARY: In this document, the SUPPLEMENTARY INFORMATION: AGENCY: Federal Communications This is a Commission allots channels in three Commission. synopsis of the Commission’s Report separate docketed proceedings which and Order, MM Docket No. 00–31, ACTION: Final rule. were proposed together in a multiple adopted November 14, 2001, and docket Notice of Proposed Rule Making. SUMMARY: In response to a proposal filed released November 23, 2001. The full (1) At the request of KXXQ(FM) Radio on behalf of Desert West Air Ranchers text of this Commission decision is Partners, Inc., Channel 264C0 is Corporation, licensee of Station available for inspection and copying substituted for Channel 264A at Grants, KZNO(FM), Nogales, Arizona, the during normal business hours in the New Mexico, Channel 264C0 is Commission substitutes Channel 253A FCC’s Reference Information Center reallotted from Grants to Milan, New for Channel 252A at Nogales, reallots (Room CY–A257), 445 12th Street, SW., Mexico, and the license for Station Channel 253A to Vail, Arizona, as that Washington, DC 20554. The complete KXXQ(FM) is modified to reflect the community’s first local aural text of this decision may also be changes. In addition, Channel 299C1 is transmission service, and modifies the purchased from the Commission’s copy substituted for vacant Channel 265C1 at license for Station KZNO(FM), as contractor, Qualtex International, Shiprock, New Mexico to accommodate requested. See 65 FR 11540, March 3, Portals II, 445 12th Street, SW., Room the changes. See 66 FR 33655 (June 25, 2000. Additionally, in response to a 2001). Channel 264C0 is allotted at CY–B402, Washington, DC 20554, counterproposal filed on behalf of Milan with a site restriction of 21.2 telephone (202) 863–2893. Desert West Air Ranchers Corporation, kilometers (13.2 miles) north of the this document allots Channel 251A to List of Subjects in 47 CFR Part 73 community. Channel 299C1 is allotted Patagonia, Arizona, as that community’s at Shiprock at the original allotment first local aural transmission service. Radio broadcasting. site. Coordinates for Channel 264C0 at And, in response to a counterproposal Part 73 of title 47 of the Code of Milan are 35–21–19 NL and 107–56–52 filed on behalf of Big Broadcasting of Federal Regulations is amended as WL. Coordinates for Channel 299C1 at Arizona, LLC, this document allots follows: Shiprock are 36–46–12 NL and 108–42– Channel 283A to Vail, Arizona, as that 49 WL. (2) At the request of Clear community’s second local FM service. PART 73—RADIO BROADCAST Channel Broadcasting Licenses, Inc., we Coordinates used for Channel 253A at SERVICES substitute Channel 230B1 for Channel Vail, Arizona to accommodate the 230A at Van Wert, reallot the channel to reallotment are 31–55–39 NL and 110– 1. The authority citation for part 73 Columbus Grove, Ohio, as the 37–57 WL; coordinates for Channel continues to read as follows: community’s first local aural 283A at Vail for general application are transmission service, and modify Clear 32–02–48 NL and 110–42–42 WL; Authority: 47 U.S.C. 154, 303, 334, and Channel’s construction permit for its coordinates used for Channel 251A at 336. unbuilt station to reflect the changes. Patagonia are 31–33–05 NL and 110–44– § 73.202 [Amended]. See 66 FR 33656 (June 25, 2001). 45 WL. As Vail and Patagonia are Channel 230B1 is allotted at Columbus located within 320 kilometers (199 2. Section 73.202(b), the Table of FM Grove with a site restriction of 8.1 miles) of the US-Mexico border, Allotments under Arizona, is amended kilometers (5.0 miles) northwest of the concurrence of the Mexican government by removing Channel 252A at Nogales. community. Coordinates for Channel has been requested for Channels 253A, 230B1 at Columbus Grove are 40–57–33 and 283A at Vail, and for Channel 251A 3. Section 73.202(b), the Table of FM NL and 84–08–14 WL. (3) At the joint at Patagonia, but has not been received. Allotments under Arizona, is amended request of Infinity Radio License Inc. Therefore, if construction permits are by adding Patagonia, Channel 251A; and and Caron Broadcasting, we reallot granted for the specified channels at Vail, Channel 253A and Channel 283A. Channel 247A from Lebanon, Ohio to Vail and Patagonia prior to receipt of Federal Communications Commission. Fort Thomas, Kentucky, as the final notification by the Mexican John A. Karousos, community’s first local aural government, the authorizations will transmission service, and the modify Chief, Allocations Branch, Policy and Rules include the following condition: Station WAQZ(FM)’s license to reflect Division, Mass Media Bureau. ‘‘Operation with the facilities specified the change. We also reallot Channel herein is subject to modification, [FR Doc. 01–30391 Filed 12–7–01; 8:45 am] 243B from Hamilton, Ohio to Lebanon, suspension or termination without right BILLING CODE 6712–01–P as a replacement channel for the
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community’s first local aural 4. Section 73.202(b), the Table of FM Wildlife Service (FWS) on the effects of transmission service and modify Station Allotments under Kentucky, is amended the Hawaii longline fleet on the WYGY(FM)’s license to reflect the by adding Fort Thomas, Channel 247A. endangered short-tailed albatross. In change. See 66 FR 33657 (June 25, Federal Communications Commission. October 2001, FWS amended its 2001). Channel 247A can be reallotted John A. Karousos, biological opinion on the short-tailed from Lebanon to Fort Thomas at albatross allowing Hawaii longline Chief, Allocations Branch, Policy and Rules petitioner’s requested site 14.7 Division, Mass Media Bureau. vessels to use basket-style longline gear kilometers (9.1 miles) north of Fort as an alternative method for deep-set [FR Doc. 01–30388 Filed 12–7–01; 8:45 am] Thomas. Channel 243B can be reallotted tuna longline fishing, which is from Hamilton to Lebanon at Station BILLING CODE 6712–01–P implemented by this emergency interim WYGY(FM)’s existing site 13.9 rule. kilometers (8.6 miles) southwest of the DEPARTMENT OF COMMERCE DATES: 1. The expiration date of the community. Coordinates for Channel emergency interim rule published on 247A at Fort Thomas, Kentucky, are 39– National Oceanic and Atmospheric June 12, 2001 (66 FR 31564), is 11–51 NL and 84–22–56 WL. Administration extended to June 8, 2002. Coordinates for Channel 243B at 2. The amendments to §§ 660.12, Lebanon, Ohio, are 39–21–11 NL and 50 CFR Part 660 660.35 (a)(7), and (a)(10) in this 84–19–30 WL. [Docket No. 010511123–1123–01; I.D. emergency interim rule are effective DATES: Effective December 31, 2001. 042001D] from December 11, 2001, through June FOR FURTHER INFORMATION CONTACT: 8, 2002. Victoria M. McCauley, Mass Media RIN 0648–AP24 Bureau, (202) 418–2180. ADDRESSES: Copies of the environmental Fisheries Off West Coast States and in assessment and regulatory impact SUPPLEMENTARY INFORMATION: This is a the Western Pacific; Western Pacific review prepared for this emergency synopsis of the Commission’s Report Pelagic Fisheries; Hawaii-based interim rule may be obtained from Dr. and Order, MM Docket Nos. 01–118, Pelagic Longline Restrictions and Charles Karnella, Administrator, Pacific 01–119, and 01–122, adopted November Seasonal Area Closure, and Sea Turtle Islands Area Office (PIAO), National 7, 2001, and released November 16, and Sea Bird Mitigation Measures Marine Fisheries Service, 1601 2001. The full text of this document is Kapiolani Blvd., Suite 1110, Honolulu, available for public inspection and AGENCY: National Marine Fisheries HI, 96814–4700. copying during regular business hours Service (NMFS), National Oceanic and at the FCC Reference Information Atmospheric Administration (NOAA), FOR FURTHER INFORMATION CONTACT: Center, Portals II, 445 12th Street, SW., Commerce. Alvin Katekaru, PIAO, at 808-–973– Room CY–A257, Washington, DC, ACTION: Emergency interim rule and 2937. extension of expiration date. 20554. This document may also be SUPPLEMENTARY INFORMATION: On June purchased from the Commission’s SUMMARY: This action extends an 12, 2001, NMFS issued an emergency duplicating contractor, Qualex emergency interim rule, now in effect, interim rule (66 FR 31561) International, Portals II, 445 12th Street, applicable to vessels registered for use implementing temporary measures for SW, Room CY–B402, Washington, DC, under a Hawaii longline limited access the Hawaii-based pelagic longline 20554, telephone 202–863–2893, permit (Hawaii longline vessels) and fishery (Hawaii longline fishery) to facsimile 202–863–2898, or via e-mail allows the use of basket-style longline avoid the likelihood of jeopardy to sea [email protected]. gear as an alternative method for deep- turtles and to reduce adverse effects to List of Subjects in 47 CFR Part 73 set tuna longline fishing. This the short-tailed albatross. These Radio broadcasting. emergency interim rule: Prohibits the measures are consistent with NMFS’ targeting of swordfish north of the March 29, 2001, Biological Opinion on Part 73 of Title 47 of the Code of equator by Hawaii longline vessels; the Fishery Management Plan for Federal Regulations is amended as prohibits longline fishing by Hawaii Pelagic Fisheries of the Western Pacific follows: longline vessels in waters south of the Region and FWS’ November 28, 2000, ° Biological Opinion on the Effects of the PART 73—RADIO BROADCAST Hawaiian Islands (from 15 N. lat. to the ° ° Hawaii-based Domestic Longline Fleet SERVICES equator, and from 145 W. long. to 180 long.) during the months of April and on the Short-tailed Albatross 1. The authority citation for Part 73 May; allows re-registration of vessels to (Phoebastria albatrus) (short-tailed continues to read as follows: Hawaii longline limited access permits albatross BiOp). NMFS received no Authority: 47 U.S.C. 154, 303, 334, and only in October; imposes additional sea written comments on the June 12, 2001, 336. turtle handling and resuscitation emergency interim rule. measures; and requires all Hawaii The action taken to protect and § 73.202 [Amended]. longline vessel operators to attend an conserve sea turtles complies with a 2. Section 73.202(b), the Table of FM annual protected species workshop. March 30, 2001, Order Modifying Allotments under Ohio, is amended by This emergency interim rule Injunction (Order) issued by the Court removing Channel 230A at Van Wert implements an order issued by the U.S. in Center for Marine Conservation v. adding Columbus Grove, Channel District Court for the District of Hawaii NMFS, CV No. 99-00152. This 230B1, and by removing Channel 247A (Court) in March 2001 to reduce the emergency interim rule codifies that and adding Channel 243B at Lebanon. number of sea turtles injured and killed Order in 50 CFR part 660 under the 3. Section 73.202(b), the Table of FM incidental to longline fishing authority of section 305 (c) of the Allotments under New Mexico, is operations. Other parts of this Magnuson-Stevenson Fishery amended by removing Channel 264A at emergency interim rule implement the Conservation and Management Act Grants, adding Milan, Channel 264C0, terms and conditions contained in an (Magnuson-Stevens Act), 16 U.S.C. 1855 and removing Channel 265C1 and amended November 2000 biological (c). Background information on the adding Channel 299C1 at Shiprock. opinion issued by the U.S. Fish and Order was published in several previous
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Federal Register documents (64 FR longline gear; and (2) to employ a line- these measures become moot because, 72290, December 27, 1999; 65 FR 16346, setting machine or basket-style longline under this emergency interim rule, March 28, 2000; 65 FR 37917, June 19, gear (as discussed below) with weights targeting swordfish north of the equator 2000; 65 FR 51992, August 25, 2000; 65 (minimum weight = 45 g) attached to is prohibited under the sea turtle take FR 66186, November 3, 2000; 66 FR each branch line within 1 m of the hook mitigation measures. 1110, February 22, 2001; and at 66 FR when making tuna target sets (the only Changes From the Original Emergency 15358, March 19, 2001; 66 FR 31561, type of set allowed under this Interim Rule June 12, 2001) and is not repeated here. emergency interim rule north of the The turtle component of this equator). Also, the crew of a Hawaii This emergency interim rule contains emergency interim rule (a) prohibits longline vessel is required to apply adjustments to regulatory measures at § Hawaii longline vessels from using certain sea bird handling techniques to 660.12 by adding a definition for longline gear to target swordfish north increase the likelihood of survival of ‘‘basket-style longline gear,’’ by of the equator; (b) requires Hawaii any short-tailed albatross that is suspending § 660.35 (a)(7), and by longline vessels to deploy longline gear incidentally taken and brought on board adding § 660.35 (a)(10) that allows the such that the ‘‘sag’’ (deepest point) the vessel alive. If a short-tailed use of basket-style longline gear as an between any two floats is at least 100 m albatross is brought aboard a Hawaii alternative to a line-setting machine or (328.1 ft) beneath the sea surface and longline vessel, the vessel operator must line-shooter (currently required for all the float line suspending the main determine if it exhibits the following Hawaii longline vessels fishing above longline beneath a float is at least 20 m traits: Head is held erect and the bird 23° N. lat.). (65.6 ft) long, with a minimum of 15 responds to noise and motion stimuli; Extension of this emergency interim branch lines deployed between any 2 bird breathes without noise; both wings rule is authorized under section 305 floats; (c) prohibits a Hawaii longline can flap and retract to normal folded (c)(3)(B) of the Magnuson-Stevens vessel from possessing light sticks on position on back; and the bird can stand Fishery Conservation and Management board the vessel; (d) prohibits Hawaii on both feet with toes pointed forward. Act. Background information on other longline vessels from fishing with If a short-tailed albatross fails to exhibit aspects of this emergency interim rule longline gear during the months of May even one of these traits, the vessel regarding longline sag depth and non- and April in the area bounded on the operator must contact NMFS regulatory requirements of the Court south by the equator, on the west by immediately. In addition, any short- Order are presented in the Federal 180° long., on the east by 145° W. long., tailed albatross recovered dead must be Register announcing the emergency and on the north by 15° N. lat.; (e) frozen immediately and surrendered as interim rule on June 12, 2001 (66 FR allows the re-registration of a Hawaii soon as possible to NMFS. 3156). This information is not repeated longline vessel that has been de- This emergency interim rule here. registered from a Hawaii longline implements an amendment to the short- Recent, Unforeseen Events or Recently limited access permit after March 29, tailed albatross BiOp issued by FWS on Discovered Circumstances 2001, only during the month of October; October 18, 2001, in response to NMFS’ (f) requires operators of Hawaii longline request of August 15, 2001, to allow On October 18, 2001, FWS amended vessels to annually attend a protected basket-style longline gear to be deployed the terms and conditions of its species workshop conducted by NMFS; without a line-setting machine north of November 2000 short-tailed albatross (g) requires Hawaii longline vessel 23° N. lat. under the terms and BiOp to allow the use of basket-style operators to cease gear retrieval if a sea conditions of that biological opinion. longline gear in the Hawaii longline turtle is discovered hooked or entangled This gear type is regarded as a fishery. This amendment is based on on a longline until the turtle has been traditional rope or tarred longline information provided by NMFS removed from the gear or brought onto fishing method in the Hawaii longline demonstrating that this method of deep- the vessel’s deck; (h) requires that hooks fishery. The FWS made this adjustment set longline fishing is an acceptable be removed from sea turtles as quickly because this gear type, when it is alternative to monofilament longline and carefully as possible; however, if a deployed slack, sinks at approximately deployed with a line-setting machine in hook cannot be removed, that the line 9 m per minute through the first 50 m minimizing sea bird take. This gear, be cut as close to the hook as possible; of the water column, which is when deployed slack, has a sinking rate (i) requires that wire or bolt cutters comparable to the sink rate of a such that birds diving on the bait are capable of cutting through a longline monofilament longline deployed by a unable to get the bait or become hooked hook be on board the vessel to facilitate line-setting machine. The FWS or entangled in the gear. At present cutting of hooks imbedded in sea determined that the use of basket-style there is one Hawaii longline vessel that turtles; and (j) requires the operator of longline gear, like a line-setting uses basket-style longline gear. While a Hawaii longline vessel to bring machine, minimizes the incidental take using this gear, this vessel has not comatose sea turtles on board the vessel of sea birds, including the short-tailed observed or reported any sea turtle and to perform resuscitation on such albatross. At present, there is one vessel interactions. Both the Council and turtles as prescribed in 50 CFR 223.206 in the Hawaii longline fishery that uses NMFS believe that this vessel should be (d)(1). the basket-style longline gear. Both the allowed to continue using this method The seabird protection component of Western Pacific Fishery Management of fishing. Therefore, this emergency this emergency interim rule implements Council (Council) and NMFS strongly interim rule includes the basket-style the terms and conditions of the short- support the use of basket-style longline longline gear as an alternative to line- tailed albatross BiOp, as amended. This gear in the fishery. setting machine or line shooter biological opinion requires operators The short-tailed albatross BiOp also currently required of all Hawaii longline and crew of Hawaii longline vessels requires all Hawaii longline vessel vessels targeting tuna north of 23° N. lat. operating with longline gear north of 23° operators to attend annually a protected around the Hawaiian Islands. N. lat. to (1) use thawed blue-dyed bait species workshop. The BiOp also in a manner specified by NMFS and contains seabird take mitigation Classification discard offal strategically to distract sea measures for longline fishing targeting The Assistant Administrator for birds during the setting and hauling of swordfish north of 23° N. lat.; however, Fisheries, NOAA (AA) has determined
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that extension of the emergency interim December 11, 2001, through June 8, § 660.12 Definitions. rule is necessary to comply with a U.S. 2002. * * * * * District Court Order and the mandatory List of Subjects in 50 CFR Part 660 Basket-style longline gear means a terms and conditions of a BiOp issued Administrative practice and type of longline gear that is divided into under section 7 of the Endangered units called ‘‘baskets’’ each consisting of Species Act. procedure, American Samoa, Fisheries, Fishing, Guam, Hawaiian Natives, a segment of main line to which 10 or This emergency interim rule has been Indians, Northern Mariana Islands, more branch lines with hooks are determined to be not significant for the Reporting and recordkeeping spliced. The lines are made of multiple purposes of Executive Order 12866. requirements. braided strands of cotton, nylon, or The AA finds for good cause that other synthetic fibers impregnated with Dated: December 3, 2001. tar or other heavy coatings that cause providing prior notice and opportunity Rebecca Lent, for public comment is unnecessary the lines to sink rapidly in seawater. Deputy Assistant Administrator for * * * * * because this action implements a Court Regulatory Programs, National Marine Order and mandatory terms and Fisheries Service. 3. Effective from December 11, 2001, conditions of a BiOp, authorized under For the reasons set out in the through June 8, 2002, in § 660.35, the ESA, thus precluding preamble, 50 CFR part 660 is amended paragraph (a)(7) is suspended and a new implementation of any alternative. as follows: paragraph (a)(10) is added to read as Similarly, the AA finds, for good cause, follows: under 5 U.S.C. 553 (d)(3), that delaying PART 660—FISHERIES OFF WEST the effectiveness of this rule for 30 days COAST STATES AND IN THE § 660.35 Seabird take mitigation measures. is impracticable given the explicit WESTERN PACIFIC (a) * * * directive from the Court and the mandatory requirements of the FWS’s 1. The authority citation for part 660 (10) Use a line-setting machine or BiOp. Further, the AA finds, under 5 continues to read as follows: line-shooter to set the main longline, or U.S.C. 553 (d)(1), that this rule relieves Authority: 16 U.S.C. 1801 et seq. use basket-style longline gear such that a restriction by allowing the use of a 2. Effective from December 11, 2001, the main longline is deployed slack to longline gear type that was previously through June 8, 2002, in § 660.12, a maximize its sinking rate; prohibited above 23° N. lat. definition for ‘‘Basket-style longline * * * * * Accordingly, the AA is making this gear’’ is added in alphabetical order to [FR Doc. 01–30384 Filed 12–7–01; 8:45 am] emergency interim rule effective from read as follows: BILLING CODE 3510–22–S
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Proposed Rules Federal Register Vol. 66, No. 237
Monday, December 10, 2001
This section of the FEDERAL REGISTER of your message; do not send attached was restricted. We adopted the interim contains notices to the public of the proposed files. Please include your name and rule without change in a document issuance of rules and regulations. The address in your message and ‘‘Docket published in the Federal Register on purpose of these notices is to give interested No. 01–026–1’’ on the subject line. August 28, 2000 (65 FR 51997, Docket persons an opportunity to participate in the You may read any comments that we No. 99–096–2). rule making prior to the adoption of the final receive on this docket in our reading rules. Portugal responded quickly to the room. The reading room is located in presence of ASF, which was confined to room 1141 of the USDA South Building, four premises. Following depopulation DEPARTMENT OF AGRICULTURE 14th Street and Independence Avenue of the affected herds, Portugal SW., Washington, DC. Normal reading conducted extensive serological Animal and Plant Health Inspection room hours are 8 a.m. to 4:30 p.m., surveillance. This testing indicated that Service Monday through Friday, except ASF had not spread beyond the affected holidays. To be sure someone is there to premises. The Government of Portugal 9 CFR Part 94 help you, please call (202) 690–2817 recently requested that APHIS recognize before coming. [Docket No. 01–026–1] Portugal as a region considered free of APHIS documents published in the ASF. Change in Disease Status of Portugal Federal Register, and related In response to that request, we Because of African Swine Fever information, including the names of reviewed the documentation submitted organizations and individuals who have by the Government of Portugal in AGENCY: Animal and Plant Health commented on APHIS dockets, are support of its request, and a team of Inspection Service, USDA. available on the Internet at http:// APHIS officials performed a site visit to ACTION: Proposed rule. www.aphis.usda.gov/ppd/rad/ conduct an evaluation of Portugal’s webrepor.html. animal health program with regard to SUMMARY: We are proposing to remove ASF. You may review the on-site Portugal from the list of regions where FOR FURTHER INFORMATION CONTACT: Dr. evaluation on the Internet at http:// African swine fever exists. We are Gary Colgrove, Chief Staff Veterinarian, www.aphis.usda.gov/vs/reg- proposing this action because Portugal National Center for Import and Export, request.html. The evaluation consisted is now free of African swine fever. This VS, APHIS, 4700 River Road Unit 38, of a review of Portugal’s veterinary action would relieve restrictions due to Riverdale, MD 20737–1231; (301) 734– service infrastructure, laboratory and African swine fever on the importation 4356. diagnostic procedures, vaccination of pork and pork products into the SUPPLEMENTARY INFORMATION: practices, and administration of laws United States from Portugal. However, Background and regulations intended to prevent the because Portugal is on the list of regions The regulations in 9 CFR part 94 introduction of communicable animal where hog cholera exists and the list of (referred to below as the regulations) diseases into Portugal. After reviewing regions that are subject to certain govern the importation of certain the documentation provided by Portugal restrictions because of their proximity to animals and animal products into the and the data gathered during the site or trading relationships with rinderpest- United States in order to prevent the visit by APHIS officials, we have or foot-and-mouth disease-affected introduction of various animal diseases, determined that Portugal qualifies to be countries, Portugal would continue to including rinderpest, foot-and-mouth recognized as free of ASF. be subject to certain restrictions disease (FMD), African swine fever However, Portugal is still considered regarding the importation into the (ASF), hog cholera, and swine vesicular to be affected with hog cholera, also United States of pork and pork disease. These are dangerous and known as classical swine fever, so pork products. destructive communicable diseases of and pork products from Portugal offered DATES: We invite you to comment on ruminants and swine. Section 94.8 of for importation into the United States this docket. We will consider all the regulations lists regions of the world would remain subject to the restrictions comments we receive that are where ASF exists or is reasonably in § 94.9 for hog cholera. Similarly, dry- postmarked, delivered, or e-mailed by believed to exist. Section 94.8 also cured pork products from Portugal February 8, 2002. restricts the importation of pork and would continue to be subject to the ADDRESSES: You may submit comments pork products into the United States restrictions in § 94.17 due to hog by postal mail/commercial delivery or from the listed regions. cholera. Additionally, pork and pork by e-mail. If you use postal mail/ On December 29, 1999, we published products from Portugal would continue commercial delivery, please send four in the Federal Register an interim rule to be subject to the restrictions in copies of your comment (an original and (64 FR 72912–72913, Docket No. 99– § 94.11 because Portugal is one of the three copies) to: Docket No. 01–026–1, 096–1) that added Portugal to the list in countries listed in § 94.11(a) that have Regulatory Analysis and Development, § 94.8 of regions where ASF exists been declared free of rinderpest and PPD, APHIS, Station 3C71, 4700 River because the presence of ASF was FMD, but from which the importation of Road Unit 118, Riverdale, MD 20737– confirmed in that region on November meat and other animal products is 1238. Please state that your comment 15, 1999. As a result of that action, the restricted due to the nature of their trade refers to Docket No. 01–026–1. If you importation into the United States of with countries affected with rinderpest use e-mail, address your comment to any pork and pork products that left or FMD or because they have a land [email protected]. Your Portugal on or after November 5, 1999, border with a country affected with comment must be contained in the body the effective date of that interim rule, rinderpest or FMD.
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Executive Order 12866 and Regulatory Executive Order 12988 SUMMARY: We propose to revise the Flexibility Act This proposed rule has been reviewed criteria in the Listing of Impairments under Executive Order 12988, Civil (the listings) that we use to evaluate This proposed rule has been reviewed claims involving skin disorders. We under Executive Order 12866. For this Justice Reform. If this proposed rule is adopted: (1) All State and local laws and apply these criteria when you claim action, the Office of Management and benefits based on disability under title Budget has waived its review process regulations that are inconsistent with this rule will be preempted; (2) no II and title XVI of the Social Security required under Executive Order 12866. Act (the Act). The proposed revisions We are proposing to remove Portugal retroactive effect will be given to this rule; and (3) administrative proceedings will reflect advances in medical from the list of regions where ASF knowledge, treatment, and methods of exists. We are proposing this action will not be required before parties may file suit in court challenging this rule. evaluating skin disorders. because Portugal is now free of ASF. DATES: To be sure your comments are This action would relieve restrictions Paperwork Reduction Act considered, we must receive them by due to ASF on the importation of pork This proposed rule contains no February 8, 2002. and pork products into the United information collection or recordkeeping ADDRESSES: You may give us your States from Portugal. However, because requirements under the Paperwork comments by using: our Internet site Portugal is on the list of regions where Reduction Act of 1995 (44 U.S.C. 3501 facility (i.e., Social Security Online) at: hog cholera exists and the list of regions et seq.). http://www.ssa.gov/regulations/, e-mail that are subject to certain restrictions to [email protected]; telefax to (410) because of their proximity to or trading List of Subjects in 9 CFR Part 94 966–2830; or by letter to the relationships with rinderpest- or FMD- Animal diseases, Imports, Livestock, Commissioner of Social Security, P.O. affected countries, Portugal would Meat and meat products, Milk, Poultry Box 17703, Baltimore, Maryland 21235– continue to be subject to certain and poultry products, Reporting and 7703. restrictions regarding the importation recordkeeping requirements. You may also deliver them to the into the United States of pork and pork Accordingly, we propose to amend 9 Office of Process and Innovation products. CFR part 94 as follows: Management, Social Security The following analysis addresses the Administration, L2109 West Low Rise economic effect of this rule on small PART 94—RINDERPEST, FOOT-AND- Building, 6401 Security Boulevard, entities, as required by the Regulatory MOUTH DISEASE, FOWL PEST (FOWL Baltimore, Maryland 21235–6401, Flexibility Act. PLAGUE), EXOTIC NEWCASTLE between 8:00 a.m. and 4:30 p.m. on Entities in the United States likely to DISEASE, AFRICAN SWINE FEVER, regular business days. Comments are be affected by this proposed rule HOG CHOLERA, AND BOVINE posted on our Internet site, or you may include those engaged in the production SPONGIFORM ENCEPHALOPATHY: inspect them physically on regular of swine and processed pork products. PROHIBITED AND RESTRICTED business days by making arrangements Since Portugal has never exported pork IMPORTATIONS with the contact person shown in this or pork products to the United States, 1. The authority citation for part 94 preamble. we anticipate that this proposed rule would continue to read as follows: Electronic Version: The electronic file would have no economic effect on U.S. of this document is available on the date swine importers, hog meat processors, Authority: 7 U.S.C. 450, 7711, 7712, 7713, of publication in the Federal Register at 7714, 7751, and 7754; 19 U.S.C. 1306; 21 hog producers, or any other entities, U.S.C. 111, 114a, 134a, 134b, 134c, 134f, 136, http://www.access.gpo.gov/su docs/ large or small. However, should and 136a; 31 U.S.C. 9701; 42 U.S.C. 4331 and aces/aces140.html. It is also available Portugal commence the exportation of 4332; 7 CFR 2.22, 2.80, and 371.4. on the Internet site for SSA (i.e., Social pork and pork products to the United Security Online): http://www.ssa.gov/ States, restrictions on the importation of § 94.8 [Amended] regulations/. pork and pork products into the United 2. In § 94.8, the introductory text of FOR FURTHER INFORMATION CONTACT: States from Portugal would still be in the section would be amended by Suzanne DiMarino, Social Insurance place because Portugal is on the list of removing the word ‘‘Portugal,’’. Specialist, Office of Process and regions where hog cholera exists and the Done in Washington, DC, this 4th day of Innovation Management, Social Security list of regions that are subject to certain December, 2001. Administration, L2109 West Low Rise, restrictions because of their proximity to W. Ron DeHaven, 6401 Security Boulevard, Baltimore, or trading relationships with rinderpest- Acting Administrator, Animal and Plant Maryland 21235–6401, (410) 965–1769 or FMD-affected countries. Given those Health Inspection Service. or TTY (410) 966–5609. For information continuing restrictions, we believe any [FR Doc. 01–30463 Filed 12–7–01; 8:45 am] on eligibility or filing for benefits, call potential imports of processed pork and BILLING CODE 3410–34–U our national toll-free number 1–800– pork products from Portugal would be 772–1213 or TTY 1–800–325–0778, or minimal. Likewise, because any visit our Internet web site, Social potential increase in imports of SOCIAL SECURITY ADMINISTRATION Security Online, at http://www.ssa.gov. processed pork and pork products from SUPPLEMENTARY INFORMATION: Portugal would be slight, the potential 20 CFR Part 404 effect on U.S. swine producers and What Programs Would These Proposed processors of pork is expected to be [Regulations No. 4 and 16] Regulations Affect? minimal. RIN 0960–AF29 These proposed regulations would Under these circumstances, the affect disability determinations and Administrator of the Animal and Plant Revised Medical Criteria for Evaluating decisions we make for you under title II Health Inspection Service has Skin Disorders and title XVI of the Act. In addition, to determined that this action would not AGENCY: Social Security Administration. the extent that Medicare and Medicaid have a significant economic impact on eligibility are based on entitlement to ACTION: Proposed rules. a substantial number of small entities. benefits under title II and eligibility for
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benefits under title XVI, these proposed • Widows, widowers, and surviving of any medically determinable physical regulations would also affect the divorced spouses (see 20 CFR § 404.336) or mental impairment or combination of Medicare and Medicaid programs. of insured workers. impairments that can be expected to Under title XVI of the Act, we provide Who Can Get Disability Benefits? result in death or that has lasted or can for Supplemental Security Income (SSI) be expected to last for a continuous Under title II of the Act, we provide payments on the basis of disability if period of at least 12 months. Our for the payment of disability benefits if you have limited income and resources. definitions of disability are shown in you are disabled and belong to one of How Do We Define Disability? the following table: the following three groups: • Workers insured under the Act, Under both the title II and title XVI • Children of insured workers, and programs, disability must be the result
Disability means you have a medically determinable impairment(s) that meets the If you file a claim under . . . And you are . . . statutory duration requirement and results in . . .
title II ...... an adult or child ...... the inability to do any substantial gainful activity (SGA). title XVI ...... an adult ...... the inability to do any SGA. title XVI ...... a child ...... marked and severe functional limitations.
What Are the Listings? 1985 (50 FR 50068), we indicated that determination or decision, we will find The listings contain examples of due to advances in medical treatment, the medical improvement is not related impairments that we consider severe technology, and program experience we to the ability to work. If your condition enough to prevent you as an adult from would periodically review and update has medically improved so that you no doing any gainful activity. If you are a the listings. The current listings for the longer meet or equal the prior listing, child seeking SSI benefits based on evaluation of skin impairments would we evaluate your case further to disability, the listings describe no longer be effective on July 2, 2003 determine whether you are currently impairments that we consider severe (66 FR 34361 (June 28, 2001)). disabled. We may find that you are currently disabled, depending on the enough to result in marked and severe How Long Would These Proposed Rules full circumstances of your case. See 20 functional limitations. Although the Be Effective? listings are contained only in appendix CFR 404.1594(c)(3)(i), 1 to subpart P of part 404 of our rules, These proposed rules would remain 416.994(b)(2)(iv)(A). If you are a child we incorporate them by reference in the in effect for 8 years from the date we who is eligible for SSI payments, we SSI program in § 416.925 of our publish them as final rules in the follow a similar rule when we decide regulations, and apply them to claims Federal Register, unless we extend whether you have experienced medical under both title II and title XVI of the them, or revise and issue them again. improvement in your condition. 20 CFR Act. We will continue to apply our current 416.994a(b)(2). listings until we evaluate the public What Revisions Are We Proposing To How Do We Use the Listings? comments on these proposed rules and Make? There are listings for adults (part A) determine whether they should be and for children (part B). We apply the issued as final rules. If we finalize these To present the skin listing criteria in medical criteria in part A when we proposed rules, when any final rules part A of Appendix 1 in a more logical assess your claim if you are an adult, become effective, we will apply them to order, and make the listings easier to new applications filed on or after the use, we propose to: i.e., a person age 18 or over. • If you are a child, we first use the effective date of the final rules, and to Revise the titles to put them in criteria in part B. If the B criteria do not cases that are pending in the plain language; • Revise the order and update the apply, and the specific disease administrative review process. In diagnostic groupings of skin process(es) has a similar effect on adults accordance with our usual practice, we would explain how we would apply any impairments; and children, we then use the criteria in • Add a listing for photosensitivity part A. (See §§ 404.1525, 404.1526, final rules in greater detail in the preamble to the final rules. disorders; 416.925 and 416.926.) • Provide a more uniform and clearly When we conduct reviews to We use the criteria in the listings only defined statement of severity required determine whether your disability to make favorable findings of disability. for a listing-level skin impairment; We never deny a claim or find that continues, we would not find that your • Expand the guidance in the disability has ceased because your disability has ended based only on any introductory text to the listing; and impairment(s) does not meet or changes in the listings. Our regulations • Make nonsubstantive editorial medically equal a listing. explain that we continue to use our changes. prior listings when we review your case In addition, we propose to add a set Why Are We Proposing To Revise the if you receive disability benefits or SSI Listings for Skin Impairments? of childhood skin listings in part B of payments based on our determination or Appendix 1. We are proposing these revisions to decision that your impairment(s) met or update the medical criteria and provide equaled the listings. In these cases, we How Are We Proposing To Change the more information about how we determine whether you have Introductory Text to the Adult Skin evaluate skin impairments. We last experienced medical improvement, and Listings? published final rules containing if so, whether the medical improvement We propose to change the heading comprehensive revisions to the skin is related to the ability to work. If your title from 8.00 Skin to 8.00 Skin listings in the Federal Register on impairment(s) still meets or equals the Disorders. March 27, 1979 (44 FR 18170). In same listing section that we used to We propose to expand and subsequent rules published December 6, make our most recent favorable significantly reorganize the introductory
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text to the skin impairments listings in movements effectively based on the we propose that skin lesions must have current 8.00A and 8.00B in order to medical and other evidence in the case persisted for at least 3 months despite provide additional guidance in applying record, generally without developing continuing treatment as prescribed. The the skin listings. In doing so, we additional evidence about your ability proposed timeframe will allow us to propose to: to perform the specific activities listed predict, with a high degree of certainty, • Expand and supplement the first as examples. which impairments resulting in the sentence of current 8.00A and move it • Proposed 8.00C2 explains how we inability to perform gainful activity will into proposed 8.00C; evaluate symptoms (including pain) also satisfy the duration requirement of • Expand and supplement the second consistent with our rules in the Act. In addition, the proposed sentence of current 8.00A and move it §§ 404.1525(f) and 416.925(f) and timeframe will help to ensure that we into proposed 8.00F; §§ 404.1529 and 416.929. do not decide cases prematurely or • • Expand the third sentence of Proposed 8.00C3 explains that unnecessarily delay making decisions. current 8.00A and move it into while skin impairments often respond proposed 8.00C(3); and to treatment, there is a wide variation in Proposed 8.00G—How Do We Assess • Expand the material in 8.00B and how people respond, including side Impairments if There Is No Prescribed move it into proposed 8.00D. effects to drug therapy. Therefore, we Treatment, or the Extensive Lesions We also propose to add new material will consider each case on an individual Have Not Persisted for at Least 3 in all the proposed sections of the basis. Months? introductory text. A detailed description of the new and modified paragraphs Proposed 8.00D—How Do We Assess This section explains how we assess follows. Impairments That Involve More Than a skin impairment when there is no One Body System? record of ongoing treatment, such Proposed 8.00A—What Skin This section modifies current 8.00B. It treatment has lasted less than 3 months, Impairments Do We Evaluate With clarifies that other impairments, in or the extensive lesions have not yet These Listings? addition to systemic ones, can involve persisted for at least 3 months. It This new section provides a detailed the skin and explains how we evaluate describes how we continue through the description of the more common such impairments under the listings. It sequential evaluation process if the impairments that may be disabling also broadens the list of examples of listing(s) cannot be met due to covered by the skin listings. impairments that affect skin and other insufficient longitudinal treatment records. Proposed 8.00B—What Documentation body systems. Do We Need? Proposed 8.00E—How Do We Evaluate How Are We Proposing To Change the We propose to add a new section that Burns? Criteria in the Listings for Evaluating Skin Impairments in Adults? discusses the documentation we require We propose to include this new in evaluating skin impairment(s) cases. section on burns in the introductory text 8.01 Category of Impairments, Skin The proposed section explains the to the skin listings in response to many information we expect to find in a inquiries that we receive on how we Most of the changes we propose to complete dermatologic case record in evaluate these injuries. This new make to the skin listings are not order to make a reasonable assessment paragraph notes that burns frequently significant. For instance, we propose to of severity. It also explains the affect more than one body system. It update the medical terminology and to importance of diagnostic procedures, then explains that we evaluate the broaden and reorganize the skin listings. which produce laboratory findings or specific impairment resulting from A significant change we do propose to other evidence from generally burns using the criteria of the affected make is to add a listing, 8.07, for acceptable methods, in accurately body system. photosensitivity disorders. Currently, diagnosing skin impairments. Proposed 8.00F—How Do We Determine such disorders may be found equivalent Proposed 8.00C—How Do We Determine if an Impairment Will Continue at a in severity to a listed skin impairment. if Your Skin Impairment(s) Prevents Disabling Level of Severity in Order to We also propose to define ‘‘extensive You From Doing Any Gainful Activity? Meet the Duration Requirement? lesions’’ and to add to each listing a requirement that the extensive lesions This section, which is partially new We propose to add this section to must persist, despite continuing and partially based on modification to explain how we will determine if the treatment as prescribed, for a period of the first sentence of current 8.00A, will duration requirement is or will be met. at least 3 months. This is explained in explain the three factors we consider This section is partially new and 8.00F of the introductory text. when evaluating the severity of skin partially based on the second sentence impairments. The proposed section of current 8.00A. The following is a detailed consists of three subsections: We state that the extensive skin explanation of the proposed listing • Proposed 8.00C1 defines ‘‘extensive lesions must persist for at least 3 criteria. lesions’’, a term in proposed listings months despite continuing treatment as Proposed Listing 8.02—Ichthyosis 8.02 through 8.07. That definition prescribed in order for us to infer that explains that the term extensive not the duration requirement will be met. We propose to revise the title of only refers to the amount of surface area Currently, each listing requires that the listing 8.02 to ichthyosis so that it affected, but also to the limitations skin lesions not respond to prescribed covers the general group of disorders resulting from the lesions. Hence, these treatment, but there is no statement of characterized by noninflammatory listings require a qualitative, as well as how long the lesions must last despite scaling of the skin. This prevents the a quantitative, evaluation of the effect of prescribed treatment before we can need to also cite the inherited disorder the skin lesions. This section also gives evaluate the skin impairment(s) under ichthyosiform erythroderma, which we examples of extensive lesions. We will the listing criteria. Since most skin do not commonly see. We also propose determine whether you can ambulate impairments improve significantly to move exfoliative dermatitis to listing effectively or can perform fine and gross within 3 months after treatment begins, 8.05 with the other dermatitis disorders.
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Proposed Listing 8.03—Bullous Disease Proposed Listing 8.07—Photosensitivity Clarity of These Proposed Rules (e.g., Pemphigus, Erythema Multiforme Disorders (e.g., Xeroderma Executive Order 12866 requires each Bullosum, Epidermolysis Bullosa, Pigmentosum) agency to write all rules in plain Bullous Pemphigoid, Dermatitis We propose to add a listing for language. In addition to your Herpetiformis) evaluating photosensitivity disorders, substantive comments on these We propose to revise the title of such as xeroderma pigmentosum, in proposed rules, we invite your listing 8.03 so that we can apply it to all adults. Some individuals with these comments on how to make these types of bullous diseases. Then, through disorders are now surviving into proposed rules easier to understand. adulthood and thus we believe it For example: the use of examples, we propose to cite • the four currently listed diseases and appropriate to have a separate listing for Have we organized the material to epidermolysis bullosa. these disorders. For more information suit your needs? about this new listing disorder, we refer • Are the requirements in the rules Proposed Listing 8.04—Chronic you to the following: clearly stated? Infections of the Skin or Mucous 1. Photosensitivity (Section 15), in: • Do the rules contain technical Membranes Harper J, Oranje A, Prose N, (eds) language or jargon that is not clear? Textbook of Pediatric Dermatology, vols • Would a different format (grouping We propose to revise the title of 1 & 2, Oxford: Blackwell Science, and order of sections, use of headings, listing 8.04 so that the listing will 2000:895–936. paragraphing) make the rules easier to include infections other than deep 2. Roelandts R., The Diagnosis of understand? mycotic (fungal) infections. In this • Photosensitivity, Arch Dermatol, Would more (but shorter) sections listing we propose to use the words 2000:136:1152–7. be better? ‘‘fungating’’ (to grow exuberantly like a • 3. Epstein JH., Photosensitivity and Could we improve clarity by adding fungus or spongy growth) and Photoallergy, Semin Cutan Med Surg., tables, lists, or diagrams? ‘‘ulcerating’’ (a lesion through the skin • 1999:18:274–84. What else could we do to make the or a mucous membrane resulting from rules easier to understand? loss of tissue, usually with Why Are We Proposing To Add Listings inflammation) to modify the term for Evaluating Skin Impairments in Regulatory Procedures ‘‘extensive lesions’’ because they are Children? Executive Order (E.O.) 12866 descriptive of the different types of We propose to add new listings to We have consulted with the Office of lesions frequently associated with the evaluate claims filed by persons under more severe types of chronic infections. Management and Budget (OMB) and age 18 who have skin impairments to determined that these proposed rules Listing-level severity is characterized by maintain consistency with the other either fungating or ulcerating lesions. meet the requirements for a significant body system listings which have both regulatory action under E.O. 12866. Proposed Listing 8.05—Dermatitis (e.g., adult and child criteria. Thus, they were subject to OMB review. Psoriasis, Dyshidrosis, Atopic How Do the Skin Listings We Are Regulatory Flexibility Act Dermatitis, Exfoliative Dermatitis, Proposing for Children Differ From We certify that these proposed rules Allergic Contact Dermatitis) Those We Are Proposing for Adults? would not have a significant economic We propose to revise the title of The skin listings we are proposing for impact on a substantial number of small listing 8.05 so that we can use it to children are identical in content to entities because they affect only evaluate miscellaneous inflammatory those we are proposing for adults, individuals. Thus, a regulatory conditions of the skin, rather than just except that we propose to include flexibility analysis as provided in the the three conditions currently cited. The examples of erythropoietic porphyrias Regulatory Flexibility Act, as amended, new title will allow us to use this listing and hemangiomas in 108.00D, and not is not required. to evaluate environmental skin in 8.00D. We did this because the skin conditions such as allergic contact manifestations of these disorders are not Paperwork Reduction Act dermatitis. likely to be the primary manifestations These proposed rules contain Proposed Listing 8.06—Hidradenitis in adults. For example, most reporting requirements at 8.00B, 8.00C, Suppurativa hemangiomas disappear spontaneously 8.00D, 108.00B, 108.00C, and 108.00D. or are surgically removed in childhood. The public reporting burden is We propose to remove the reference to When the hemangiomas are associated accounted for in the Information acne conglobrata from listing 8.06 with Kasabach-Merritt Syndrome, a rare Collection Requests for the various because it is not usually disabling and condition in which the low number of forms that the public uses to submit the frequently responds well to current blood platelets cause bleeding, the information to SSA. Consequently, a 1- treatment. Also, we propose different hemic manifestations are obvious in hour placeholder burden is being severity criteria for this listing. We are adults. Similarly, in erythropoietic assigned to the specific reporting taking out the condition of ‘‘not porphyria, a rare metabolic disorder requirement(s) contained in these rules. amenable to surgical treatment’’ since characterized by a deficiency of the We are seeking clearance of the burdens most lesions associated with enzyme ferrochelatase that is essential referenced in these rules because they hidradenitis suppurativa involve local to the synthesis of hemoglobin, a major were not considered during the inflammation of the apocrine glands and symptom in children is the clearance of the forms. An Information occur in the axillae, inguinal areas, or hypersensitivity of their skin to sunlight Collection Request has been submitted perineum. Due to advances in medical and some types of artificial light. to OMB. We are soliciting comments on treatments, these conditions do not Generally, by adulthood, anemia is a the burden estimate; the need for the usually require surgery; but if surgery is prominent manifestation in the more information; its practical utility; ways to needed, continuing treatment as severe cases, with possible enhance its quality, utility and clarity; prescribed includes any necessary complications related to liver and and on ways to minimize the burden on surgical procedures. gallbladder function. respondents, including the use of
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automated collection techniques or APPENDIX 1 TO SUBPART P OF PART the duration of the impairment(s). An other forms of information technology. 404—LISTING OF IMPAIRMENTS assessment of these issues may require: (i) a description of the treatment prescribed Comments should be submitted to the * * * * * Social Security Administration at the (e.g., the type, dosage, method and frequency Part A of administration of medication or therapy); following address: Social Security (ii) your response to the treatment; Administration, Attn: SSA Reports * * * * * (iii) any adverse effects of such treatment; Clearance Officer, Rm. 1–A–20 8.00 Skin Disorders or Operations Building, 6401 Security (iv) the expected duration of the treatment. Boulevard, Baltimore, MD 21235–6401. A. What skin impairments do we evaluate (b) Because treatment itself or the effects of with these listings? We use these listings to treatment may be temporary, in most cases Comments can be received for evaluate skin impairments that may result between 30 and 60 days after sufficient time must elapse to allow us to from hereditary, congenital, or acquired evaluate the impact and expected duration of publication of this notice. Comments pathological processes. Examples of treatment and side effects. You must follow will be most useful if received by SSA impairments covered by these listings prescribed treatment for at least 3 months within 30 days of publication. include: ichthyosis, bullous diseases, chronic before your impairment can be determined to infections of the skin or mucous membranes, meet a skin listing. We consider your specific List of Subjects in 20 CFR Part 404 dermatitis, hidradenitis suppurativa, and response to treatment when we evaluate photosensitivity disorders. overall severity of your impairment. Administrative practice and B. What documentation do we need? Your procedure, Blind, Disability benefits, D. How do we assess impairments that case record should include information about involve more than one body system? These Old-Age, Survivors, and Disability onset, duration, frequency of flare-ups, and listings are only examples of common skin Insurance, Reporting and recordkeeping prognosis; location, size, and appearance of disorders that we consider severe enough to requirements, Social Security. lesions; and, when applicable: history of prevent you from doing any gainful activity. exposure to toxins, allergens, or irritants; If your impairment(s) does not meet the Dated: December 3, 2001. familial incidence; seasonal variation; and criteria of any of these listings, we must also Jo Anne B. Barnhart, stress factors. To confirm the diagnosis, we consider whether you have an impairment often need laboratory findings (e.g., biopsy or Commissioner of Social Security. that satisfies the criteria of a listing in serological testing) or evidence from other another body system. Also, when your For the reasons set out in the medically acceptable methods consistent impairment involves more than one body preamble, we propose to amend subpart with the prevailing state of medical system, we first evaluate the predominant P of part 404 of 20 CFR chapter III as knowledge and clinical practice. feature under the appropriate body system. set forth below: C. How do we determine if your skin For example: impairment(s) prevents you from doing any (1) Tuberous sclerosis has cutaneous PART 404—FEDERAL OLD-AGE, gainful activity? We base our assessment of SURVIVORS AND DISABILITY severity on whether your skin lesions are manifestations, but the more dominant feature involves the brain, often resulting in INSURANCE (1950–) extensive, how your symptoms (including pain) limit you, the extent of your treatment, seizures (11.02 and 11.03) and organic and how your treatment affects you. mental disorders (12.02); 1. The authority citation for subpart P (2) Malignant tumors of the skin (e.g., of part 404 continues to read as follows: (1) Extensive skin lesions. Extensive skin lesions are those that involve sufficient malignant melanoma) are neoplastic diseases Authority: Secs. 202, 205(a), (b), and (d)– surface area over multiple body sites or and we first evaluate them under 13.00ff; (h), 216(i), 221(a) and (i), 222(c), 223, 225, involve critical body areas, and result in very (3) Connective tissue disorders or immune and 702(a)(5) of the Social Security Act (42 serious limitations. Examples of extensive system disorders (e.g., systemic lupus U.S.C. 402, 405(a), (b), and (d)–(h), 416(i), lesions that result in very serious limitations erythematosis or HIV infection) involve more 421(a) and (i), 422(c), 423, 425, and include: than one body system. We first evaluate these 902(a)(5)); sec. 211(b), Pub. L. 104–193, 110 (a) Skin lesions that interfere with motion disorders under 14.00ff; Stat. 2105, 2189. of joints that very seriously limit your use of (4) Scleroderma, although at times limited to skin only, usually involves other body Appendix 1 to Subpart P of Part 404— more than one extremity, i.e. two upper extremities, two lower extremities, or one systems as a part of generalized systemic Listing of Impairments (Amended) upper and one lower extremity; or sclerosis which we evaluate under listing (b) Skin lesions on the palms of the hands 14.04. However, when it involves skin 2. Item 9 of the introductory text contractures restricting joint motion we also before part A is amended by revising the or the axillary areas that very seriously limit your ability to do fine and gross motor consider the appropriate criteria in 1.00ff; heading title, revising the expiration movements; or (5) Facial disfigurement resulting from skin date for section 8.00, and adding section (c) Skin lesions on the soles of the feet, the lesions may also be associated with physical 108.00 and its expiration date as perineum, or the inguinal areas that very functional loss such as impairment of sight, follows: seriously limit your ability to ambulate. hearing, speech, and mastication, which we * * * * * (2) Symptoms (including pain). Symptoms evaluate under the appropriate criteria in (including pain) may be important factors 2.00ff and 5.00ff. Facial disfigurement or any 9. Skin Disorders (8.00 and 108.00): contributing to the severity of your skin kind of physical deformity due to skin (date 8 years from the date of impairment(s). We assess the impact of lesions may also result in psychological publication of final rules in the Federal symptoms as explained in §§ 404.1525(f), impairment(s) with socialization, mood, or Register). 404.1529, 416.925(f), and 416.929. other related limitations. We evaluate those * * * * * (3) Treatment. Skin impairments impairments under the appropriate criteria in frequently respond to treatment, however 12.00ff. 3. The list of sections for part A of response to treatment can vary widely, with E. How do we evaluate burns? Electrical, appendix 1 is amended by revising 8.00 some impairments becoming resistant to chemical, or thermal traumatic burns to read ‘‘8.00 Skin Disorders’’. treatment. frequently affect more than one body system 4. The list of sections for part B of (a) We assess the effects of treatment by (e.g., musculoskeletal, special senses, appendix 1 is amended by revising of determining if there is improvement in the respiratory, cardiovascular, skin, renal, 108.00 to read ‘‘108.00 Skin Disorders’’. symptoms, signs, and laboratory findings of neurological, or mental). Consequently, we the disorder, and if there are side effects that evaluate impairments that can result from 5. Section 8.00 in part A of appendix may result in functional limitations. We severe burns under the criteria of the affected 1 is revised and section 108.00 in part assess the effects of medication, therapy, body systems. For example, we evaluate soft B of appendix 1 is added to read as surgery, or any other form of treatment you tissue injuries resulting from burns under the follows: receive when determining the severity and musculoskeletal system criteria in 1.00ff and
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we evaluate renal failure resulting from burns 8.06 Hidradenitis suppurativa, with symptoms, signs, and laboratory findings of under the genito-urinary system criteria in extensive lesions involving the axillae, the disorder, and if there are side effects that 6.00ff. inguinal areas, or perineum that persist for at may result in functional limitations. We F. How do we determine if an impairment least 3 months despite continuing treatment assess the effects of medication, therapy, will continue at a disabling level of severity as prescribed. surgery, or any other form of treatment you in order to meet the duration requirement? If 8.07 Photosensitivity disorders (e.g., receive when determining the severity and you have extensive skin lesions, and they xeroderma pigmentosum), with extensive the duration of the impairment(s). An persist for at least 3 months despite lesions that persist for at least 3 months assessment of these issues may require: continuing treatment as prescribed, these despite continuing treatment as prescribed. (i) a description of the treatment prescribed listings allow us to infer that they will * * * * * (e.g., the type, dosage, method and frequency continue at that level of severity for at least of administration of medication or therapy); 12 months. By persist, we mean the Part B (ii) your response to the treatment; longitudinal clinical record shows that, with * * * * * (iii) any adverse effects of such treatment; few exceptions, the lesions have been at the or level of severity specified in the listing and 108.00 Skin Disorders (iv) the expected duration of the treatment. that this pattern could be expected to A. What skin impairments do we evaluate (b) Because treatment itself or the effects of continue. Where adverse effects of treatment with these listings? We use these listings to treatment may be temporary, in most cases contribute to the impairment severity, the evaluate skin impairments that may result sufficient time must elapse to allow us to duration or expected duration of the from hereditary, congenital, or acquired evaluate the impact and expected duration of treatment must be considered in assessing pathological processes. Examples of treatment and side effects. You must follow the duration of the impairment(s). impairments covered by these listings prescribed treatment for at least 3 months G. How do we assess skin impairments if include: ichthyosis, bullous diseases, chronic before your impairment can be determined to there is no prescribed treatment, or extensive infections of the skin or mucous membranes, meet a skin listing. We consider your specific lesions have not persisted for 3 months? dermatitis, hidradenitis suppurativa, and response to treatment when we evaluate (1) For your impairment to meet a skin photosensitivity disorders. overall severity of your impairment. listing, you must have extensive lesions that B. What documentation do we need? Your D. How do we assess impairments that persist for at least 3 months despite case record should include information about involve more than one body system? These continuing treatment as prescribed, and you onset, duration, frequency of flare-ups, and listings are only examples of common skin must follow that treatment, unless you have prognosis; location, size, and appearance of disorders that we consider severe enough to an acceptable reason for failing to follow lesions; and, when applicable: history of result in marked and severe functional prescribed treatment (see §§ 404.1530 and exposure to toxins, allergens, or irritants; limitations. If your impairment(s) does not 416.930). familial incidence; seasonal variation; and meet the criteria of any of these listings, we (2) If you have not received ongoing stress factors. To confirm the diagnosis, we must also consider whether you have an treatment nor have an ongoing relationship often need laboratory findings (e.g., biopsy or impairment that satisfies the criteria of a with the medical community despite the serological testing) or evidence from other listing in another body system. Also, when existence of a severe impairment(s), or if your medically acceptable methods consistent your impairment involves more than one skin lesions have not persisted for at least 3 with the prevailing state of medical months, but you are undergoing continuing body system, we first evaluate the knowledge and clinical practice. predominant feature under the appropriate treatment as prescribed, you still may have C. How do we determine if your skin body system. For example: an impairment(s) that medically equals the impairment(s) results in marked and severe (1) Tuberous sclerosis has cutaneous listings. An individual who has an limitations? We base our assessment of manifestations, but the more dominant impairment(s) that does not meet or severity on whether your skin lesions are feature involves the brain, often resulting in medically equal the listings may or may not extensive, how your symptoms (including have the residual functional capacity to pain) limit you, the extent of your treatment, seizures (111.02 and 111.03) and organic engage in substantial gainful activity. For and how your treatment affects you. mental disorders (112.02); such an individual, we proceed to the fourth, (1) Extensive skin lesions. Extensive skin (2) Malignant tumors of the skin (e.g., and if necessary, the fifth steps of the lesions are those that involve sufficient malignant melanoma) are neoplastic diseases sequential evaluation process in §§ 404.1520 surface area over multiple body sites or and we first evaluate them under 113.00ff; and 416.920. When we decide whether an involve critical body areas, and result in very (3) Connective tissue disorders or immune adult continues to be disabled, we use the serious limitations. Examples of extensive system disorders (e.g., systemic lupus rules in §§ 404.1594 and 416.994, as lesions that result in very serious limitations erythematosis or HIV infection) involve more appropriate. We will base our evaluation on include: than one body system. We first evaluate these the current objective medical evidence and (a) Skin lesions that interfere with motion disorders under 114.00ff; other available evidence. We will take into of joints that very seriously limit your use of (4) Scleroderma, although at times limited consideration your medical history, more than one extremity, i.e. two upper to skin only, usually involves other body symptoms, and acceptable medical source extremities, two lower extremities, or one systems as a part of generalized systemic opinions. upper and one lower extremity; or sclerosis which we evaluate under listing 8.01 Category of Impairments, Skin (b) Skin lesions on the palms of the hands 114.04. However, when it involves skin 8.02 Ichthyosis, with extensive lesions that or the axillary areas that very seriously limit contractures restricting joint motion we also persist for at least 3 months despite your ability to do fine and gross motor consider the appropriate criteria in 101.00ff; continuing treatment as prescribed. movements; or (5) Facial disfigurement resulting from skin 8.03 Bullous disease (e.g., pemphigus, (c) Skin lesions on the soles of the feet, the lesions may also be associated with physical erythema multiforme bullosum, perineum, or the inguinal areas that very functional loss such as impairment of sight, epidermolysis bullosa, bullous pemphigoid, seriously limit your ability to ambulate. hearing, speech, and mastication, which we dermatitis herpetiformis), with extensive (2) Symptoms (including pain). Symptoms evaluate under the appropriate criteria in lesions that persist for at least 3 months (including pain) may be important factors 102.00ff and 105.00ff. Facial disfigurement or despite continuing treatment as prescribed. contributing to the severity of your skin any kind of physical deformity due to skin 8.04 Chronic infections of the skin or impairment(s). We assess the impact of lesions may also result in psychological mucous membranes, with extensive symptoms as explained in §§ 404.1525(f), impairment(s) with socialization, mood, or fungating, or extensive ulcerating lesions that 404.1529, 416.925(f) and 416.929. other related limitations. We evaluate those persist for at least 3 months despite (3) Treatment. Skin impairments impairments under the appropriate criteria in continuing treatment as prescribed. frequently respond to treatment, however 112.00ff; 8.05 Dermatitis (e.g., psoriasis, dyshidrosis, response to treatment can vary widely, with (6) We evaluate erythropoietic porphyrias atopic dermatitis, exfoliative dermatitis, some impairments becoming resistant to under 107.00ff; allergic contact dermatitis), with extensive treatment. (7) We evaluate hemangiomas associated lesions that persist for at least 3 months (a) We assess the effects of treatment by with thrombocytopenia and hemorrhage (e.g., despite continuing treatment as prescribed. determining if there is improvement in the Kasabach-Merritt Syndrome) involving
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coagulation defects, under 107.00ff. But, lesions that persist for at least 3 months (2) By delivery to room PL–401 on the when hemangiomas impinge on vital despite continuing treatment as prescribed. Plaza level of the Nassif Building, 400 structures or interfere with function or 108.04 Chronic infections of the skin or Seventh Street SW., Washington, DC, feeding, we evaluate them under the mucous membranes, with extensive between 9 a.m. and 5 p.m., Monday appropriate body system. fungating or extensive ulcerating lesions that E. How do we evaluate burns? Electrical, persist for at least 3 months despite through Friday, except Federal holidays. chemical, or thermal traumatic burns continuing treatment as prescribed. The telephone number is 202–366– frequently affect more than one body system 108.05 Dermatitis (e.g., psoriasis, 9329. (e.g., musculoskeletal, special senses, dyshidrosis, atopic dermatitis, exfoliative (3) By fax to the Docket Management respiratory, cardiovascular, skin, renal, dermatitis, allergic contact dermatitis), with Facility at 202–493–2251. neurological, or mental). Consequently, we extensive lesions that persist for at least 3 (4) Electronically through the web site evaluate impairments that can result from months despite continuing treatment as for the Docket Management System at severe burns under the criteria of the affected prescribed. http://dms.dot.gov. body systems. For example, we evaluate soft 108.06 Hidradenitis suppurativa, with The Docket Management Facility tissue injuries resulting from burns under the extensive lesions involving the axillae, musculoskeletal system criteria in 101.00ff maintains the public docket for this inguinal areas, or perineum that persist for at rulemaking. Comments and material and we evaluate renal failure resulting from least 3 months despite continuing treatment burns under the genito-urinary system as prescribed. received from the public, as well as criteria in 106.00ff. 108.07 Photosensitivity disorders (e.g., documents mentioned in this preamble F. How do we determine if an impairment xeroderma pigmentosum), with extensive as being available in the docket, will will continue at a disabling level of severity lesions that persist for at least 3 months become part of this docket and will be in order to meet the duration requirement? If despite continuing treatment as prescribed. available for inspection or copying at you have extensive skin lesions, and they * * * * * room PL–401 on the Plaza level of the persist for at least 3 months despite Nassif Building, 400 Seventh Street continuing treatment as prescribed, these [FR Doc. 01–30431 Filed 12–7–01; 8:45 am] listings allow us to infer that they will BILLING CODE 4191–02–U SW., Washington, DC, between 9 a.m. continue at that level of severity for at least and 5 p.m., Monday through Friday, 12 months. By persist, we mean the except Federal holidays. You may also find this docket on the Internet at http:/ longitudinal clinical record shows that, with DEPARTMENT OF TRANSPORTATION few exceptions, the lesions have been at the /dms.dot.gov. level of severity specified in the listing and Coast Guard FOR FURTHER INFORMATION CONTACT: If that this pattern could be expected to you have questions on this proposed continue. Where adverse effects of treatment contribute to the impairment severity, the 33 CFR Part 1 rule, call LCDR Scott Budka, Project Manager, Office of Investigations & duration or expected duration of the [USCG–2001–9175] treatment must be considered in assessing Analysis (G–MOA), Coast Guard, the duration of the impairment(s). RIN 2115–AG15 telephone 202–267–2026. If you have G. How do we assess skin impairments if questions on viewing or submitting there is no prescribed treatment, or extensive Revised Options for Responding to material to the docket, call Dorothy lesions have not persisted for 3 months? Notices of Violations Beard, Chief, Dockets, Department of (1) For your impairment to meet a skin Transportation, telephone 202–366– listing, you must have extensive lesions that AGENCY: Coast Guard, DOT. 5149. persist for at least 3 months despite ACTION: Notice of proposed rulemaking. continuing treatment as prescribed, and you SUPPLEMENTARY INFORMATION: must follow that treatment, unless you have SUMMARY: The Coast Guard proposes Request for Comments an acceptable reason for failing to follow changing the procedure for Notices of prescribed treatment (see §§ 404.1530 and Violation when the recipient fails to We encourage you to participate in 416.930). this rulemaking by submitting (2) If you have not received ongoing either accept or decline it within 45 days. Instead of automatically comments and related material. If you treatment nor have an ongoing relationship do so, please include your name and with the medical community despite the converting the Notice of Violation to a existence of a severe impairment(s), or if your marine violation case with its lengthier address, identify the docket number for skin lesions have not persisted for at least 3 processing and potentially higher this rulemaking (USCG–2001–9175), months, but you are undergoing continuing penalties, we would treat the Notice of indicate the specific section of this treatment as prescribed, you still may have Violation as a default and proceed with document to which each comment an impairment(s) that medically equals the the civil penalty. Our proposal would applies, and give the reason for each listings or, in the case of a childhood claim not change the party’s existing option to comment. You may submit your for SSI payments under Title XVI, comments and material by mail, hand functionally equals the listings. (See choose marine violation processing at any time during the 45-day response delivery, fax, or electronic means to the §§ 404.1526, 416.926, and 416.926a.) When Docket Management Facility at the we decide whether a child receiving SSI period. ADDRESSES payments continues to be disabled, we use address under ; but please DATES: Comments and related material the rules in § 416.994a. We will base our submit your comments and material by evaluation on the current objective medical must reach the Docket Management only one means. If you submit them by evidence and other available evidence. We Facility on or before February 8, 2002. mail or hand delivery, submit them in will take into consideration your medical ADDRESSES: To make sure that your an unbound format, no larger than 81⁄2 history, symptoms, and acceptable medical comments and related material are not by 11 inches, suitable for copying and source opinions. entered more than once in the docket, electronic filing. If you submit them by 108.01 Category of Impairments, Skin please submit them by only one of the mail and would like to know that they 108.02 Ichthyosis, with extensive lesions following means: reached the Facility, please enclose a that persist for at least 3 months despite continuing treatment as prescribed. (1) By mail to the Docket Management stamped, self-addressed postcard or 108.03 Bullous disease (e.g., pemphigus, Facility (USCG–2001–9175), U.S. envelope. We will consider all erythema multiforme bullosum, Department of Transportation, room PL– comments and material received during epidermolysis bullosa, bullous pemphigoid, 401, 400 Seventh Street SW., the comment period. We may change dermatitis herpetiformis), with extensive Washington, DC 20590–0001. this proposed rule in view of them.
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Public Meeting About 95% of the parties accept, 4% provide fuller processing and a higher We do not plan to hold a public decline, and 1% fail to respond to the potential penalty than NOVs ($27,500 meeting. But you may submit a request NOV issuance within the 45-day maximum MV penalty per charge while for one to the Docket Management response period. To improve the scheduled NOV penalties of $50 to program’s efficiency, we are proposing a Facility at the address under ADDRESSES $3000 per charge are fixed by explaining why one would be change in processing NOVs for which COMDTINST M5582). We propose beneficial. If we determine that a public we receive no response. By streamlining changing the procedure that results the process for each ‘‘fail to respond’’ meeting would aid this rulemaking, we when you fail to respond. After 45 days NOV that we now automatically convert will hold one at a time and place we would treat the NOV as a default and to an MV case, we would expect to save announced by a later notice in the assess the scheduled penalty. MV processing time. Further, the Coast Federal Register. The proposed change would affect Guard would be able to quickly only those parties who receive an NOV Background dispense with these cases and alleviate and fail to respond to it within the Notices of Violation provide an the situation noted earlier, where the allotted 45 days, about 1% of issued optional simplified civil penalty process first case has not finished processing NOVs. Currently, of about 2300 NOVs for first and second minor violations of before a second or third NOV is issued issued each year, approximately 95% of a law, regulation, or order enforced by to the same party. the recipients accept, 4% decline, and the Coast Guard. A Notice of Violation Discussion of Proposal 1% fail to respond. We spend an average of 8 hours per MV case. For (NOV) is like a ticket issued for a minor We propose changing the procedure each ‘‘fail to respond’’ NOV we now motor vehicle offense. that results when an NOV recipient fails automatically convert to an MV case, we Until we started issuing NOVs, the to either accept or decline it within 45 would save some MV processing time marine violation (MV) procedures of 33 days. Conversion of an NOV to an MV by showing the NOV charge as proved. CFR 1.07–10 applied to all Coast Guard case costs the Coast Guard about 8 If, however, all of these parties declined civil penalty cases. The lengthy additional hours of personnel time in their NOVs, the Coast Guard processing time for MV cases resulted in processing and reviewing the case and expenditure of resources would remain some parties being charged with second also subjects the party to a lengthier the same. The parties who decline the or third violations before their first adjudication time and potentially higher NOV would shorten their MV violation had been fully processed. We penalty assessments. Instead of processing time by up to 45 days, established the NOV procedures in 33 automatically converting the NOV to an depending on how quickly they respond CFR 1.07–11 in 1994 (59 FR 66477, MV case with its lengthier processing to the NOV. December 27, 1994). and potentially higher penalties, we NOVs offer both the party and the would treat the NOV as a default and Small Entities Coast Guard the benefits of speedier proceed with the civil penalty on the Under the Regulatory Flexibility Act processing and a scheduled penalty that NOV. Our proposal would not change (5 U.S.C. 601–612), we have considered is fixed lower than the maximum the party’s existing option to choose whether this proposed rule would have penalty amount for the offense. The marine violation processing at any time a significant economic impact on a NOV form (CG–5582) describes the during the 45-day response period. substantial number of small entities. processing options available to the However, the party would have to The term ‘‘small entities’’ comprises party. NOV recipients choose between specifically request MV processing by small businesses, not-for-profit NOV and MV processing. They have 45 marking the NOV as declined and organizations that are independently days in which to notify the Coast Guard returning it to the Coast Guard. of their choice. owned and operated and are not At present, if you receive an NOV, Regulatory Evaluation dominant in their fields, and you can accept it, decline it, or take no This proposed rule is not a governmental jurisdictions with action on it. If you accept it, you pay the ‘‘significant regulatory action’’ under populations of less than 50,000. scheduled penalty set out on the NOV, section 3(f) of Executive Order 12866, The proposed rule would not change which is between $50 and $3,000. In Regulatory Planning and Review, and the choice (accept or decline the NOV this case, Coast Guard records show does not require an assessment of option) currently required by 33 CFR your case as proved. Declining an NOV potential costs and benefits under section 1.07–11. The only change is like choosing to ‘‘go to court’’ over a section 6(a)(3) of that Order. The Office proposed is in the handling we provide, traffic ticket. Your NOV is converted to of Management and Budget has not by default, to those parties who fail to a MV case and a Coast Guard hearing reviewed it under that Order. It is not make their choice within the 45 days officer processes the case and sets any ‘‘significant’’ under the regulatory allotted. Therefore, the Coast Guard penalty—up to the maximum $27,500 policies and procedures of the certifies under 5 U.S.C. 605(b) that this per offense. If you take no action during Department of Transportation (DOT) (44 proposed rule would not have a the 45-day response period, the NOV is FR 11040, February 26, l979). significant economic impact on a automatically converted to an MV case, We expect the economic impact of substantial number of small entities. If just as if you had declined the NOV. this proposed rule to be so minimal that you think that your business, Once you decline or fail to take action a full Regulatory Evaluation under organization, or governmental on an NOV and it is converted to an MV paragraph 10e of the regulatory policies jurisdiction qualifies as a small entity case, the scheduled penalty amount on and procedures of DOT is unnecessary. and that this rule would have a the NOV is no longer the maximum This proposed rule would change the significant economic impact on it, penalty for your offense; it is the Notice of Violation (NOV) regulations in please submit a comment to the Docket maximum for an MV case, as previously 33 CFR 1.07–11. Today, if you fail to Management Facility at the address noted. respond to your NOV by accepting or under ADDRESSES. In your comment, Recently, we completed a review of declining it within 45 days, we convert explain why you think it qualifies and the NOV program. The Coast Guard the NOV to a marine violation (MV) how and to what degree this rule would issues about 2300 NOVs each year. case, as if you declined it. MV cases economically affect it.
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Collection of Information between the Federal Government and 45 days will result in a finding of This proposed rule would call for no Indian tribes, or on the distribution of default and the Coast Guard will new collection of information under the power and responsibilities between the proceed with the civil penalty in the Paperwork Reduction Act of 1995 (44 Federal Government and Indian tribes. amount recommended on the Notice of Violation without processing the U.S.C. 3501–3520). Energy Effects violation under the procedures Federalism We have analyzed this proposed rule described in 33 CFR 1.07–10(b). A rule has implications for federalism under Executive Order 13211, Actions * * * * * under Executive Order 13132, Concerning Regulations That (d) If a party declines a Notice of Federalism, if it has a substantial direct Significantly Affect Energy Supply, Violation within 45 days, the case file effect on State or local governments and Distribution, or Use. We have will be sent to the District Commander would either preempt State law or determined that it is not a ‘‘significant for processing under the procedures impose a substantial direct cost of energy action’’ under that order because described in 33 CFR 1.07–10(b). compliance on them. We have analyzed it is not a ‘‘significant regulatory action’’ (e) If a party pays the proposed this proposed rule under that Order and under Executive Order 12866 and is not penalty on the Notice of Violation have determined that it does not have likely to have a significant adverse effect within 45 days, a finding of proved will implications for federalism. on the supply, distribution, or use of be entered into the case file. energy. It has not been designated by the (f) If a party fails within 45 days to Unfunded Mandates Reform Act Administrator of the Office of either pay the proposed penalty on the The Unfunded Mandates Reform Act Information and Regulatory Affairs as a Notice of Violation or decline the Notice of 1995 (2 U.S.C. 1531–1538) requires significant energy action. Therefore, it of Violation, the Coast Guard will enter Federal agencies to assess the effects of does not require a Statement of Energy a finding of default in the case file and their discretionary regulatory actions. In Effects under Executive Order 13211. proceed with the civil penalty in the particular, the Act addresses actions Environment amount recommended on the Notice of that may result in the expenditure by a Violation without processing the State, local, or tribal government, in the We have considered the violation under the procedures aggregate, or by the private sector of environmental impact of this proposed described in 33 CFR 1.07–10(b). rule and concluded that, under figure 2– $100,000,000 or more in any one year. Dated: November 5, 2001. Though this proposed rule would not 1, paragraph (34)(a) of Commandant Paul J. Pluta, result in such an expenditure, we do Instruction M16475.lD, this rule is discuss the effects of this rule elsewhere categorically excluded from further Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety and in this preamble. environmental documentation. The changes proposed here are procedural Environmental Protection. Taking of Private Property and serve to update and streamline the [FR Doc. 01–30480 Filed 12–7–01; 8:45 am] This proposed rule would not effect a Coast Guard’s processing of NOVs. A BILLING CODE 4910–15–U taking of private property or otherwise ‘‘Categorical Exclusion Determination’’ have taking implications under is available in the docket where DEPARTMENT OF TRANSPORTATION Executive Order 12630, Governmental indicated under ADDRESSES. Actions and Interference with List of Subjects in 33 CFR Part 1 Coast Guard Constitutionally Protected Property Administrative practice and Rights. 33 CFR Part 147 procedure, Authority delegations Civil Justice Reform (Government agencies), Freedom of [CGD08–01–025] This proposed rule meets applicable information, Penalties. RIN 2115–AG22 standards in sections 3(a) and 3(b)(2) of For the reasons discussed in the Executive Order 12988, Civil Justice preamble, the Coast Guard proposes to Safety Zones for Outer Continental Reform, to minimize litigation, amend 33 CFR part 1 as follows: Shelf Facilities in the Gulf of Mexico eliminate ambiguity, and reduce burden. PART 1—GENERAL PROVISIONS AGENCY: Coast Guard, DOT. ACTION: Notice of proposed rulemaking. Protection of Children Subpart 1.07—Enforcement; Civil and We have analyzed this proposed rule Criminal Penalty Proceedings SUMMARY: The Coast Guard proposes to under Executive Order 13045, establish safety zones around five 1. The authority citation for subpart Protection of Children from petroleum and gas production facilities 1.07 continues to read as follows: Environmental Health Risks and Safety in the Outer Continental Shelf in the Risks. This rule is not an economically Authority: 14 U.S.C. 633; Sec. 6079(d), Gulf of Mexico. The four platforms and significant rule and would not create an Pub. L. 100–690, 102 Stat. 4181; 49 CFR 1.46. one moored spar buoy need to be environmental risk to health or risk to 2. In § 1.07–11, a new paragraph (b)(7) protected from vessels operating outside safety that might disproportionately is added, paragraph (d) is revised, and the normal shipping channels and affect children. paragraphs (e) and (f) are added, as fairways. Placing safety zones around follows: these facilities will significantly reduce Indian Tribal Governments the threat of allisions, oil spills and This proposed rule does not have § 1.07–11 Notice of Violation. releases of natural gas. The proposed tribal implications under Executive * * * * * regulation prevents all vessels from Order 13175, Consultation and (b) * * * entering or remaining in specified areas Coordination with Indian Tribal (7) A statement that failure to either around the platforms except for the Governments, because it would not have pay the proposed penalty on the Notice following: An attending vessel; a vessel a substantial direct effect on one or of Violation or decline the Notice of under 100 feet in length overall not more Indian tribes, on the relationship Violation and request a hearing within engaged in towing; or a vessel
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authorized by the Eighth Coast Guard Background and Purpose indicated that the location, production District Commander. The Coast Guard proposes to establish level, and personnel levels on board the DATES: Comments and related material safety zones around the following facilities make it highly likely that any must reach the Coast Guard on or before petroleum producing facilities in the allision with the facilities would result February 8, 2002. Gulf of Mexico: ExxonMobil Hoover in a catastrophic event. The Enchilada Floating OCS Facility, a moored spar Platform is located near the edge of a ADDRESSES: You may mail comments shipping safety fairway. The and related material to Commander, buoy, Alaminos Canyon Block 25A ° ′ ″ ExxonMobil Hoover Floating OCS Eighth Coast Guard District (m), Hale (AC25A), located at position 26 56 33 ° ′ ″ Facility, Brutus TLP, Morpeth TLP and Boggs Federal Bldg., 501 Magazine N, 94 41 19.55 W; Sir Douglas Morpeth Tension Leg Platform (Morpeth TLP), Allegheny TLP are located in open Street, New Orleans LA 70130, or waters where no fixed structures Ewing Bank Block 921A (EB 921A), comments and related material may be previously existed. All are high located at position 28°02′05.28″ N, delivered to Room 1341 at the same production oil and gas drilling 90°01′22.12″ W; and Allegheny Tension address between 8 a.m. and 3:30 p.m., platforms producing from 20,000 to Leg Platform (Allegheny TLP), Green Monday through Friday, except Federal 108,000 barrels of oil per day, and are Canyon Block 254A (GC 254A), located holidays. The telephone number is (504) manned with crews ranging from at position 27°41′29.65″ N, 90°16′31.93″ 589–6271. Commander, Eighth Coast approximately 18 to 160 people. Guard District (m) maintains the public W; Brutus Tension Leg Platform (Brutus The Coast Guard has reviewed docket for this rulemaking. Comments TLP), Green Canyon Block 158 (GC 158), ° ′ ″ ExxonMobil Production Company’s, and material received from the public, located at position 27 47 42.86 N, ° ′ ″ British Borneo USA, Inc’s and Shell as well as documents indicated in this 90 38 51.15 W; Enchilada Platform, Exploration and Production’s concerns preamble as being available in the Garden Banks Block 128A (GB 128A), ° ′ ″ and agrees that the risk of allision to the docket, will become part of this docket located at position 27 52 31.31 N, ° ′ ″ facilities and the potential for loss of life and will be available for inspection or 91 59 11.09 W. and damage to the environment copying at Commander, Eighth Coast These five proposed safety zones are resulting from such an accident warrant Guard District (m) between 8 a.m. and in the deepwater area of the Gulf of the establishment of these safety zones. 3:30 p.m., Monday through Friday, Mexico. For the purposes of this The proposed regulation would except Federal holidays. regulation it is considered to be waters significantly reduce this threat of of 304.8 meters (1,000 feet) or greater FOR FURTHER INFORMATION CONTACT: LT allisions, oil spills and natural gas and depth extending to the limits of the increase the safety of life, property, and Karrie Trebbe, Project Manager for Exclusive Economic Zone (EEZ) Eighth Coast Guard District the environment in the Gulf of Mexico. contiguous to the territorial sea of the This regulation is issued pursuant to 14 Commander, Hale Boggs Federal Bldg., United States and extending to a 501 Magazine Street, New Orleans LA U.S.C. 85 as set out in the authority distance up to 200 nautical miles from citation for all of 33 CFR part 147. 70130, telephone (504) 589–6271. the baseline from which the breadth of SUPPLEMENTARY INFORMATION: the sea is measured. Navigation in the Discussion of Proposed Rule Requests for Comments area of the proposed safety zones In addition to the general risks consists of large commercial shipping discussed above, the following specific We encourage you to participate in vessels, fishing vessels, cruise ships, risks apply to the individual facilities. this rulemaking by submitting tugs with tows and the occasional The specific risk factors, which comments and related material. If you recreational vessel. The deepwater area necessitate a safety zone for the do so, please include your name and also includes an extensive system of ExxonMobil Hoover Floating OCS address, identify the docket number for fairways. The fairways include the Gulf Facility, a moored spar buoy, are as this rulemaking [CGD08–01–025], of Mexico East-West Fairway, the follows: (1) There is no designated indicate the specific section of this entrance/exit route of the Mississippi fairway at this distance offshore and document to which each comment River, and the Houston-Galveston Safety mariners use the facility as a applies, and give the reason for each Fairway. Significant amounts of vessel navigational aid; (2) the facility has a comment. Please submit all comments traffic occur in or near the various high production capacity of 100,000 and related material in an unbound fairways in the deepwater area. barrels of petroleum oil per day and 325 format, no larger than 81⁄2 by 11 inches, ExxonMobil Production Company, million cubic feet of gas per day; and (3) suitable for copying. If you would like British Borneo USA, Inc and Shell the facility is manned with a crew of to know they reached us, please enclose Exploration and Production have 160. a stamped, self-addressed postcard or requested that the Coast Guard establish The specific risk factors, which envelope. We will consider all safety zones in the Gulf of Mexico necessitate a safety zone for the Morpeth comments and material received during around the following: ExxonMobil TLP, are as follows: (1) Proximity to the the comment period. We may change Production Company, the ExxonMobil Gulf of Mexico East-West fairway; (2) this proposed rule in view of them. Hoover Floating OCS Facility, a moored the facility has a high production spar buoy; British Borneo platforms, the Public Meeting capacity of 15,000 barrels of petroleum Morpeth TLP and the Allegheny TLP; oil per day and 12,000 cubic feet of gas We do not plan to hold a public and Shell platforms, the Brutus TLP and per day; and (3) the facility is manned meeting. But you may submit a request the Enchilada Platform. with a crew of 18. for a meeting by writing to Commander, The request for the safety zones was The specific risk factors, which Eighth Coast Guard District (m) at the made due to the high level of shipping necessitate a safety zone for the address under ADDRESSES explaining activity around the facilities and the Allegheny TLP, are as follows: (1) There why one would be beneficial. If we safety concerns for both the personnel is no designated fairway at this distance determine that one would aid this on board the facilities and the offshore and mariners use the facility as rulemaking, we will hold one at a time environment. ExxonMobil Production a navigational aid; (2) the facility has a and place announced by a later notice Company, British Borneo USA, Inc and high production capacity of 23,500 in the Federal Register. Shell Exploration and Production, barrels of petroleum oil per day and 32
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million cubic feet of gas per day; and (3) minutes) to their destination depending Civil Justice Reform the facility is manned with a crew of 18. on how fast the vessel is traveling. The The specific risk factors, which Coast Guard expects the impact of this This proposed rule meets applicable necessitate a safety zone for the Brutus regulation on small entities to be standards in sections 3(a) and 3(b)(2) of TLP, are as follows: (1) Proximity to the minimal. Executive Order 12988, Civil Justice Gulf of Mexico East-West fairway; (2) Reform, to minimize litigation, If you think that your business, eliminate ambiguity, and reduce the facility has a high production organization, or governmental capacity of 100,000 barrels of petroleum burden. jurisdiction qualifies as a small entity oil per day and 150 million cubic feet and that this rule would have a Protection of Children of gas per day; and (3) the facility is significant economic impact on it, manned with a crew of 150. We have analyzed this proposed rule The specific risk factors, which please submit a comment (see under Executive Order 13045, necessitate a safety zone for the ADDRESSES) explaining why you think it Protection of Children from Enchilada Platform, are as follows: (1) qualifies and how and to what degree Environmental Health Risks and Safety Proximity to the Gulf of Mexico East- this rule would economically affect it. Risks. This rule is not an economically West fairway; (2) the facility has a high Assistance for Small Entities significant rule and does not concern an production capacity of 108,000 barrels environmental risk to health or risk to of petroleum oil per day and 384 Small businesses may send comments safety that may disproportionately affect million cubic feet of gas per day; and (3) on the actions of Federal Employees children. who enforce, or otherwise determine the facility is manned with a crew of 35. Environment compliance with Federal regulations to Regulatory Evaluation the Small Business and Agriculture We considered the environmental This proposed rule is not a Regulatory Enforcement Ombudsman impact of this proposed rule and ‘‘significant regulatory action’’ under and the Regional Small Business concluded that, under figure 2–1, section 3(f) of Executive Order 12866 Regulatory Fairness Boards. The paragraph (34)(g), of Commandant and does not require an assessment of Ombudsman evaluates these actions Instruction M16475.lD, this proposed potential costs and benefits under annually and rates each agency’s rule is categorically excluded from section 6(a)(3) of that Order. The Office responsiveness to small business. If you further environmental documentation. of Management and Budget has not wish to comment on actions by A ‘‘Categorical Exclusion reviewed it under that Order. It is not employees of the Coast Guard, call 1– Determination’’ is available in the significant under the regulatory policies 888–REG–FAIR (1–888–734–3247). docket for inspection or copying where and procedures of the Department of indicated under ADDRESSES. Transportation (44 FR 11040; February Collection of Information 26, 1979). Indian Tribal Governments We expect the economic impact of This proposed rule would call for no new collection of information under the This rule does not have tribal this proposed rule to be so minimal that implications under Executive Order a full Regulatory Evaluation under Paperwork Reduction Act of 1995 (44 U.S.C. 3501–3520). 13175, Consultation and Coordination paragraph 10e of the regulatory policies with Indian Tribal Governments, and procedures of DOT is unnecessary. Federalism because it does not have a substantial The impacts on routine navigation are direct effect on one or more Indian expected to be minimal because the We have analyzed this proposed rule tribes, on the relationship between the safety zone will not encompass any under Executive Order 13132 and have Federal Government and Indian Tribes, nearby safety fairways. determined that this rule does not have or on the distribution of power and implications for federalism under that Small Entities responsibilities between the Federal order. Under the Regulatory Flexibility Act Government and Indian tribes. (5 U.S.C. 601–612.), we considered Unfunded Mandates Reform Act Energy Effects whether this proposed rule would have a significant economic impact on a The Unfunded Mandates Reform Act We have analyzed this proposed rule substantial number of small entities. of 1995 (2 U.S.C. 1531–1538) governs under Executive Order 13211, Actions The term ‘‘small entities’’ comprises the issuance of Federal regulations that Concerning Regulations That small businesses, not-for-profit require unfunded mandates. An Significantly Affect Energy Supply, organizations that are independently unfunded mandate is a regulation that Distribution, or Use. We have owned and operated and are not requires a State, local, or tribal determined that it is not a ‘‘significant dominant in their fields, and government or the private sector to energy action’’ under that order because governmental jurisdictions with incur direct costs without the Federal it is not a ‘‘significant regulatory action’’ populations of less than 50,000. Government’s having first provided the under Executive Order 12866 and is not The Coast Guard certifies under 5 funds to pay those costs. This proposed likely to have a significant adverse effect U.S.C. 605(b) that this proposed rule rule would not impose an unfunded on the supply, distribution, or use of would not have a significant economic mandate. energy. It has not been designated by the impact on a substantial number of small Taking of Private Property Administrator of the Office of entities. Since the offshore facilities are Information and Regulatory Affairs as a located far offshore, few privately This proposed rule would not effect a significant energy action. Therefore, it owned fishing vessels and recreational taking of private property or otherwise does not require a Statement of Energy boats/yachts may be operating in the have taking implications under Effects under Executive Order 13211. area and alternate routes are available Executive Order 12630, Governmental List of Subjects in 33 CFR Part 147 for these vessels. Deviation of their Actions and Interference with intended course may cause a minimal Constitutionally Protected Property Continental shelf, Marine safety, loss of time (estimated loss of four to ten Rights. Navigation (water).
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For the reasons discussed in the § 147.821 Brutus Tension Leg Platform would reduce the number of boaters preamble, the Coast Guard proposes to safety zone. who are seriously or fatally injured amend 33 CFR part 147 as follows: (a) Description. The Brutus Tension when struck by a non-planing Leg Platform (Brutus TLP), Green recreational houseboat with propeller- PART 147—SAFETY ZONES Canyon Block 158 (GC 158), is located driven propulsion. ° ′ ″ ° ′ ″ 1. The authority citation for part 147 at position 27 47 42.86 N, 90 38 51.15 DATES: Comments and related material continues to read as follows: W. The area within 500 meters (1640.4 must reach the Docket Management feet) from each point on the structure’s Facility on or before March 11, 2002. Authority: 14 U.S.C. 85; 43 U.S.C. 1333; 49 outer edge is a safety zone. ADDRESSES: To make sure that your CFR 1.46. (b) Regulation. No vessel may enter or comments and related material are not 2. Add §§ 147.815, 147.817, 147.819, remain in this safety zone except the entered more than once in the docket, 147.821 and 147.23 to read as follows: following: (1) An attending vessel, please submit them by only one of the (2) A vessel under 100 feet in length following means: § 147.815 ExxonMobil Hoover Floating overall not engaged in towing, or (1) By mail to the Docket Management OCS Facility safety zone. (3) A vessel authorized by the Facility (USCG–2001–10163), U.S. (a) Description. The ExxonMobil Commander, Eighth Coast Guard Department of Transportation, room PL– Hoover Floating OCS Facility, a moored District. 401, 400 Seventh Street SW., spar buoy, Alaminos Canyon Block 25A Washington, DC 20590–0001. § 147.823 Enchilada Platform safety zone. (AC25A), is located at position (2) By delivery to room PL–401 on the 26°56′33″ N, 94°41′19.55″ W. The area (a) Description. The Enchilada Plaza level of the Nassif Building, 400 within 500 meters (1640.4 feet) from Platform, Garden Banks Block 128A (GB Seventh Street SW., Washington, DC, each point on the structure’s outer edge 128A), is located at position between 9 a.m. and 5 p.m., Monday ° ′ ″ ° ′ ″ is a safety zone. 27 52 31.31 N, 91 59 11.09 W. The through Friday, except Federal holidays. (b) Regulation. No vessel may enter or area within 500 meters (1640.4 feet) The telephone number is 202–366– remain in this safety zone except the from each point on the structure’s outer 9329. following: (1) An attending vessel, edge, not to extend into the adjacent (3) By fax to the Docket Management (2) A vessel under 100 feet in length East—West Gulf of Mexico Fairway, is Facility at 202–493–2251. overall not engaged in towing, or a safety zone. (4) Electronically through the Internet (3) A vessel authorized by the (b) Regulation. No vessel may enter or Site for the Docket Management System Commander, Eighth Coast Guard remain in this safety zone except the at http://dms.dot.gov. The Docket District. following: (1) An attending vessel, Management Facility maintains the (2) A vessel under 100 feet in length public docket for this rulemaking. § 147.817 Sir Douglas Morpeth Tension overall not engaged in towing, or Comments and material received from Leg Platform safety zone. (3) A vessel authorized by the the public, as well as documents (a) Description. The Sir Douglas Commander, Eighth Coast Guard mentioned in this preamble as being Morpeth Tension Leg Platform (Morpeth District. available in the docket, will become part TLP), Ewing Bank Block 921A (EB Dated: August 27, 2001. of this docket and will be available for 921A), is located at position 28°02′5.28″ R.J. Casto, inspection or copying at room PL–401 N, 90°01′22.12″ W. The area within 500 on the Plaza level of the Nassif Building, meters (1640.4 feet) from each point on Rear Admiral, U.S. Coast Guard, Commander, Eighth Coast Guard District. 400 Seventh Street SW., Washington, the structure’s outer edge is a safety DC, between 9 a.m. and 5 p.m., Monday [FR Doc. 01–30481 Filed 12–7–01; 8:45 am] zone. through Friday, except Federal holidays. (b) Regulation. No vessel may enter or BILLING CODE 4910–15–U You may also find this docket on the remain in this safety zone except the Internet at http://dms.dot.gov. You may following: (1) An attending vessel, DEPARTMENT OF TRANSPORTATION obtain a copy of this proposed rule by (2) A vessel under 100 feet in length calling the U. S. Coast Guard Infoline at overall not engaged in towing, or Coast Guard 1–800–368–5647, or read it on the (3) A vessel authorized by the Internet, at the web site for the Office of Commander, Eighth Coast Guard 33 CFR Part 175 Boating Safety, at http:// District. www.uscgboating.org or at http:// [USCG–2001–10163] § 147.819 Allegheny Tension Leg Platform dms.dot.gov. safety zone. RIN 2115–AG18 FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed (a) Description. The Allegheny Federal Requirements For Propeller rule, contact Carlton Perry, Project Tension Leg Platform (Allegheny TLP), Injury Avoidance Measures Green Canyon Block 254A (GC 254A), is Manager, Office of Boating Safety, U.S. located at position 27°41′29.65″ N, AGENCY: Coast Guard, DOT. Coast Guard, by telephone at 202–267– ° ′ ″ 90 16 31.93 W. The area within 500 ACTION: Notice of proposed rulemaking. 0979 or by e-mail at meters (1640.4 feet) from each point on [email protected]. If you have the structure’s outer edge is a safety SUMMARY: The Coast Guard proposes to questions on viewing or submitting zone. require owners of non-planing material to the docket, call Dorothy (b) Regulation. No vessel may enter or recreational houseboats with propeller- Beard, Chief, Dockets, Department of remain in this safety zone except the driven propulsion located aft of the Transportation, telephone 202–366– following: (1) An attending vessel, transom to install one of two propulsion 5149. (2) A vessel under 100 feet in length unit measures or employ three SUPPLEMENTARY INFORMATION: overall not engaged in towing, or combined measures. This change (3) A vessel authorized by the responds to recommendations made by Request for Comments Commander, Eighth Coast Guard the National Boating Safety Advisory We encourage you to participate in District. Council (NBSAC). The proposed rule this rulemaking by submitting
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comments and related material. If you industry, we published a notice of in which individuals are injured by the do so, please include your name and request for comments in the Federal propeller. We also asked for information address, identify the docket number for Register in May 1995 (60 FR 25191). We about other devices or interventions this rulemaking (USCG–2001–10163), asked the recreational boating public to (propeller injury avoidance measures) indicate the specific section of this comment on: (1) The economic and that may reduce the severity of injuries document to which each comment other impacts of establishing a to individuals involved in propeller- applies, and give the reason for each requirement for propeller guards on strike accidents. comment. You may submit your recreational houseboats and other The devices or interventions we asked comments and material by mail, hand displacement (non-planing) vessels; (2) about included: (1) Swimming ladder delivery, fax, or electronic means to the suggestions on alternatives to propeller locations and interlocks; (2) large Docket Management Facility at the guards that should also be considered; warning notices to make the operators, address under ADDRESSES; but please (3) recommendations on the passengers and swimmers more aware submit your comments and material by applicability of regulations; and (4) of the dangers; (3) propeller location only one means. If you submit them by concerns of the livery and charter wands; (4) clear vision aft to alert mail or hand delivery, submit them in industries. operators to the presence of swimmers an unbound format, no larger than 81⁄2 We received over 100 comments near the propeller; (5) propeller shaft by 11 inches, suitable for copying and during the 60-day comment period. engagement alarms to alert passengers electronic filing. If you submit them by Various parties, including the National and swimmers of a rotating propeller; mail and want to know they reached the Association of State Boating Law (6) conversion of a standard inboard, Facility, please enclose a stamped, self- Administrators (NASBLA) requested an outboard, or inboard/outboard engine addressed postcard or envelope. We will extension of the comment period. To with a jet pump propulsion engine; (7) consider all comments and material accommodate this request, we ignition cut-off/auto throttle and neutral received during the comment period. published a notice to reopen the returns to stop the propeller when the We may change this proposed rule in comment period for an additional 120- helm is vacated or unattended; and (8) view of them. days in August 1995 (60 FR 40545). We education specifically directed to the received 1,994 comments to this notice, location and dangers of propellers. We Public Meeting including more than 1,800 form letters also solicited comments on propeller We do not plan to hold a public that supported a requirement to use guards, and any other devices that might meeting but you may submit a request propeller guard technology or jet pump reduce the occurrence or severity of for one to the Docket Management propulsion on rental houseboats. An injuries due to propeller strikes. Based Facility at the address under ADDRESSES additional 69 comments also supported on requests from the public, we explaining why one would be developing such a requirement. Fifty- published a notice that extended the beneficial. If we determine that a public seven comments objected to such a comment period an additional 210 days meeting would aid this rulemaking, we requirement. The information received in August 1997 (62 FR 44507). will hold one at a time and place was voluminous, but too general to help Summary of Comments. In response announced by a later notice in the us develop a regulation. to the ANPRM and the notices, we Federal Register. Advance Notice of Proposed received 2,027 comments, more than Rulemaking. We published an advance 1,800 of which were form letters and Background and Purpose notice of proposed rulemaking none of which contained information Regulatory History. The Coast Guard (ANPRM) in March 1996 (61 FR 13123) sufficient to support proposing received requests from the National that asked questions to gather current requirements for manufacturers of new Boating Safety Advisory Council and specific information about the recreational boats, nor did they help us (NBSAC), propeller strike prevention injuries involving propeller strikes and determine the estimated burdens and organizations, and the general public to rented boats. We also announced a costs to boat manufacturers. Of the total require installation of propeller guards series of meetings across the country to comments received, 95% were in favor on recreational houseboats and other enable the public to express their views. of initiating a Federal regulation. displacement (non-planing) vessels, Some of the questions specifically NBSAC Consultation. At the April 30, including those leased by livery sought out the following information: 2000, NBSAC Subcommittee meeting, operations. While accident data the appropriate Federal and State roles we presented the results of our research currently available to us does not show in reducing propeller strike incidents; on accident report statistics: vessels a high number of reported fatalities from whether government intervention is most frequently involved with injuries propeller strikes annually, the number appropriate; and if so, whether it should are open recreational motorboats in the of responses to the 1995 and 1997 be directed at the vessels, their category ‘‘16 feet to less than 26 feet in notices of request for comments manufacturers, their operators, their length.’’ We announced our intention to (discussed below) indicate a great deal owners, or the companies leasing such initiate a regulatory project that would of public interest in whether and how vessels. require owners of this category of the Federal government should act to Second Notice of Request for recreational vessels to attach pre-printed prevent propeller-strike accidents. After Comments. After reviewing available warning labels at strategic locations on consideration of public input and research and the comments from the their vessels. We would also propose consultation with the National Boating public, and consulting with NBSAC at requirements for owners to attach a Safety Advisory Council (NBSAC), we its November 1996 meeting, we propeller guard on a smaller number of determined that we should promulgate published another notice of request for rental non-planing houseboats. The regulations for owners of houseboats as comments in April 1997 (62 FR 22991) Subcommittee report included the Coast non-planing recreational vessels with and provided a 90-day comment period. Guard rulemaking project description. propeller-driven propulsion aft of the We solicited comments on the The Subcommittee presented its report transom. effectiveness of specific devices and to the full Council at the May 1, 2000, Initial Notice of Request for interventions that may reduce the meeting and the Council accepted the Comments. To gather information from number of recreational boating Subcommittee’s report without the recreational boating public and accidents involving rented powerboats amendment.
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At the October 2000 NBSAC with persons in the water and minimize ignition cut-off switch (if factory Subcommittee meeting, the serious and fatal injuries due to installed). Subcommittee reviewed the preferred propeller strikes. We are not requiring owners of alternative from its April 2000 meeting Discussion of Proposed Rule vessels not for rent to install an and recommended that we propose, emergency ignition cut-off switch instead, an expanded list of 1. Section 175.03 of Title 33 Code of because it may be cost-prohibitive. interventions for vessels in the category Federal Regulations would be amended However, if a vessel has an emergency ‘‘16 feet to less than 26 feet in length.’’ to include definitions of the following ignition cut-off switch that was installed As a result, we developed and presented terms used in this subpart: clear vision at the factory, vessel operators must use a number of propeller injury avoidance aft, houseboat, ignition cut-off switch, it. If a vessel does not have a factory- measures to NBSAC for their review. non-planing vessel, planing vessel, and installed emergency ignition cut-off Again, the full Council accepted the swim ladder interlock. We would switch, we encourage, but do not Subcommittee report. specifically like public comment on require the owner to get one. At the April 2001 NBSAC these terms and definitions. We would specifically like public Subcommittee meeting, we presented 2. Part 175—Equipment Requirements comment on the availability of, and the expanded list of alternatives from would be revised by adding a new experience with, the safety devices which owners of the affected vessels can subpart E—Propeller Injury Avoidance described in this proposed rule. We choose for their vessels. After discussing Measures. would also like feedback about your the alternatives and their cost, the 3. New section 175.301, Applicability, experience operating a vessel with a Council recommended that the Coast would describe the category of propeller guard; fitting a propeller guard Guard, instead, develop four specific recreational vessels that are subject to to a vessel drive unit; or concerns about regulations: the new requirements: Non-planing propeller guard clogging, if any. (1) Require owners of all propeller recreational houseboats with propeller- driven vessels 12 feet in length and 5. Phase-in period for installing safety driven propulsion located aft of the longer with propellers aft of the transom measures. To minimize the immediate transom. We would specifically like to display propeller warning labels and economic burden on owners of both public comment on definitions for terms to employ an emergency cut-off switch, rental and non-rental vessels and to used in this section. where installed; provide a reasonable time period for (2) Require manufacturers and 4. New sections 175.310 and 175.315 compliance, we would provide a phase- importers of new planing vessels 12 feet would describe the specific safety in period for implementing the safety to 26 feet in length with propellers aft measures required by this proposed measures. Owners of vessels not for of the transom to select and install one rule. Section 175.310 instructs owners rent, lease, or charter would have 2 of several factory installed propeller and operators of vessels for rent; section years from the date that a final rule is injury avoidance methods; 175.315 instructs owners and operators published to install the prescribed (3) Require manufacturers and of vessels not for rent. safety measures. Owners of vessels for rent, lease, or charter would have an importers of new non-planing vessels 12 Owner and Operator Requirements for additional year (3 years) from the date feet in length and longer with propellers Vessels for Rent aft of the transom to select and install that a final rule is published to install one of several factory installed propeller Under proposed section 175.310, the prescribed safety measures. We are injury avoidance methods; and owners of recreational, non-planing allowing owners of vessels for rent an (4) Require owners of all non-planing houseboats for rent with propeller- extra year because, in many cases, they rental boats with propellers aft of the driven propulsion located aft of the have multiple vessels on which they transom to install either a jet propulsion transom must equip their vessels with must install the safety measures. either a propeller guard, or a system or a propeller guard or all of Regulatory Evaluation several propeller injury avoidance combination of three propeller injury measures. avoidance measures: A swim ladder This proposed rule is not a This regulatory project would focus interlock, an aft visibility device, and an ‘‘significant regulatory action’’ under on implementing the fourth NBSAC emergency ignition cut-off switch. section 3(f) of Executive Order 12866, recommendation. We will address the Operators of vessels for rent must use Regulatory Planning and Review, and other NBSAC recommendations in either a propeller guard or all three does not require an assessment of subsequent regulatory projects. Due to propeller injury avoidance measures potential costs and benefits under the extensive broadening of the initial listed above. section 6(a)(3) of that Order. The Office of Management and Budget (OMB) has regulatory project, we are withdrawing Owner and Operator Requirements for not reviewed this rule under that Order. the initial regulatory project, as Vessels Not for Rent published in the Notices section of this It is not ‘‘significant’’ under the document, and initiating the first of a Under proposed section 175.315, regulatory policies and procedures of series of separate regulatory projects in owners of recreational, non-planing the Department of Transportation (DOT) response to recent NBSAC houseboats not for rent with propeller- (44 FR 11040, February 26, 1979). recommendations. We have placed the driven propulsion located aft of the A draft Regulatory Evaluation under public docket for the initial regulatory transom must equip their vessels with paragraph 10e of the regulatory policies project (CGD 95–041) into a new public either a propeller guard, or both of the and procedures of DOT follows: docket (USCG–2001–10299) at the following propeller injury avoidance Costs of Proposed Rule Docket Management System (DMS) at measures: a swim ladder interlock and the above address under ADDRESSES for an aft visibility device. We estimate that this rule would public viewing. Operators of vessels not for rent must impose a $12 to $30 million economic Use of the propeller injury avoidance use either a propeller guard, or all of the cost on owners of approximately measures described in this proposed following propeller injury avoidance 100,000 non-planing houseboats. rule would, in most cases, prevent measures: a swim ladder interlock, an Approximately 5,000 of these vessels direct contact of the propeller blades aft visibility device, and an emergency are rented, leased or chartered.
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Owners who lease, rent, or charter Transportation has calculated to be have a significant economic effect on it, non-planing recreational houseboats $506,300. please submit a comment to the Docket would have to install either a propeller In addition, two propeller-related Management Facility at the address guard or three combined measures. The fatalities were reported in the accident under ADDRESSES. In your comment, three measures include a swim ladder database from 1990 through 1999. If explain why you think it qualifies and interlock ($100 plus installation), a clear compliance with the regulation prevents how and to what degree this rule would visibility aft device ($20, self-installed), these fatalities, then the total monetary affect it. and an ignition cut-off switch ($40, plus benefits of fatalities avoided, based on installation). Owners of non-planing the value society is willing to pay to Assistance for Small Entities non-rental recreational houseboats avert a fatality, are $5.4 million ($2,700,000 × 2 deaths). The total Under section 213(a) of the Small would not be required to install an Business Regulatory Enforcement ignition cut-off switch. Therefore, in our monetary benefit to society for avoiding Fairness Act of 1996 (Public Law 104– calculation of the total minimum cost to all of the injuries and fatalities 121), we want to assist small entities in this group of owners, we have only involving non-planing houseboats are understanding this proposed rule so that included the cost of the other two $14.5 million ($9.1 for injuries and $5.4 they can better evaluate its effect on measures. for fatalities) over a 10-year period. This them and participate in the rulemaking. Owners could convert their engine exceeds our lowest cost estimates of $12 If the rule would affect your small into a jet pump at a cost of $2500 and million. If at least twelve fatalities are business, organization, or governmental be exempt from this rule. Because we do averted due to the implementation of jurisdiction and you have questions not expect many houseboat owners to the regulation, the benefits will exceed concerning its provisions or options for do this, the maximum cost is based on our highest cost estimates of $30 million compliance, please contact Carlton installation of a propeller guard, which for this rule. Perry, Project Manager, Office of Boating we estimate to be $300 (self-installed). Vessel owners may incur additional benefits from lower insurance premiums Safety, by telephone at 202–267–0979, To minimize the immediate economic as a result of their use of improved or by e-mail at [email protected]. impact of this rule, owners of non-rental safety measures. Small businesses may send comments houseboats are provided two years to The Coast Guard expects that this rule comply; rental and livery businesses are on the actions of Federal employees would reduce the number of people who enforce, or otherwise determine granted an additional year (three years) who are killed or injured due to a to comply. compliance with, Federal regulations to propeller strike involving non-planing the Small Business and Agriculture We estimate that costs to the recreational houseboats. government would be minimal. The Regulatory Enforcement Ombudsman Coast Guard would have to expand its Small Entities and the Regional Small Business Boarding Officer personnel training to Under the Regulatory Flexibility Act Regulatory Fairness Boards. The include checking for installation of the (5 U.S.C. 601–612), we have considered Ombudsman evaluates these actions injury avoidance measures, a propeller whether this proposed rule would have annually and rates each agency’s guard, or a jet pump engine in a safe and a significant economic impact on a responsiveness to small business. If you determinative manner, during currently substantial number of small entities. wish to comment on actions by required field boardings of recreational The term ‘‘small entities’’ comprises employees of the Coast Guard, call 1– vessels for safety equipment checks. small businesses, not-for-profit 888–REG–FAIR (1–888–734–3247). Benefits of Proposed Rule organizations that are independently Collection of Information owned and operated and are not This proposed rule is appropriate dominant in their fields, and This proposed rule would call for no because the Boating Accident Reporting governmental jurisdictions with new collection of information under the Database (BARD) shows that the number populations of less than 50,000. Paperwork Reduction Act of 1995 (44 of injuries and fatalities reported during Individuals, not small entities, own U.S.C. 3501–3520). calendar years 1990 through 1999 the majority of non-planing recreational occurred at a chronic rate. BARD data houseboats affected by this rule; Federalism for the same period revealed a total of however, under the Regulatory A rule has implications for 18 injuries and 2 fatalities involving Flexibility Act, the Coast Guard must non-planing recreational houseboats. Federalism under Executive Order determine the impact on small entities. 13132, Federalism, if it has a substantial The number of injuries to be prevented The Coast Guard estimates that there are direct effect on State or local by this rule may be greatly understated 300 houseboat rental facilities that must governments and would either preempt since many boaters are unaware of the install the propeller injury avoidance State law or impose a substantial direct requirement to report accidents. measures required by this rule. In order cost of compliance on them The benefits of avoiding future to minimize the burden on these small propeller strike injuries and fatalities entities, the Coast Guard would provide We have analyzed this proposed rule are based on the eighteen propeller them 3 years (an additional year beyond under that Order and have determined strike injuries and two fatalities caused the 2 years provided to owners of non- that it does not have implications for by non-planing houseboats from 1990 rental houseboats) to comply with this federalism. Under this proposal, the through 1999. If we anticipate 100% rule. Coast Guard establishment of a compliance with this regulation and Therefore, the Coast Guard certifies performance standard or equipment assume the eighteen injuries to be under 5 U.S.C. 605(b) that this proposed installation requirement would not severe, then the total monetary benefits rule would not have a significant conflict with any existing State statute. of injuries avoided are $9.1 million. The economic impact on a substantial The Coast Guard routinely consults with total monetary benefits of injuries number of small entities. If you think the National Association of State avoided are based on the value society that your business, organization, or Boating Law Administrators (NASBLA) is willing to pay to avert a severe injury, governmental jurisdiction qualifies as a and will continue to do so on this which the Office of the Secretary of small entity and that this rule would specific regulatory project.
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Unfunded Mandates Reform Act Energy Effects Houseboat means a motorized vessel designed primarily with The Unfunded Mandates Reform Act We have analyzed this proposed rule under Executive Order 13211, Actions accommodation spaces with little or no of 1995 (2 U.S.C. 1531–1538) requires foredeck or cockpit, with low freeboard Federal agencies to assess the effects of Concerning Regulations That Significantly Affect Energy Supply, and with a low length to beam ratio. their discretionary regulatory actions. In Ignition cut-off switch means a device particular, the Act addresses actions Distribution, or Use. We have determined that it is not a ‘‘significant that interrupts the engine ignition to that may result in the expenditure by a stop the engine when the operator State, local, or tribal government, in the energy action’’ under that order because it is not a ‘‘significant regulatory action’’ moves away from the engine throttle aggregate, or by the private sector of control station. $100,000,000 or more in any one year. under Executive Order 12866 and is not likely to have a significant adverse effect * * * * * Though this proposed rule would not Non-planing vessel means a vessel result in such an expenditure, we do on the supply, distribution, or use of energy. It has not been designated by the with a hull that is designed to ride discuss the effects of this rule elsewhere through the water at any speed. in this preamble. Administrator of the Office of Information and Regulatory Affairs as a * * * * * Taking of Private Property significant energy action. Therefore, it Planing vessel means a vessel with a does not require a Statement of Energy hull that is designed to ride on top of This proposed rule would not effect a Effects under Executive Order 13211. the water beyond a minimum speed. taking of private property or otherwise have taking implications under Environment * * * * * Swim ladder interlock means a device Executive Order 12630, Governmental We have considered the that interrupts the engine ignition to Actions and Interference with environmental impact of this proposed stop the engine when a swim ladder is Constitutionally Protected Property rule and concluded that, under figure 2– moved into position near the propeller. Rights. 1, paragraph (34)(d), of Commandant * * * * * Civil Justice Reform Instruction M16475.1D, this proposed 3. Amend part 175 by adding a new rule is categorically excluded from subpart E—Propeller Injury Avoidance This proposed rule meets applicable further environmental documentation. Measures as follows: standards in sections 3(a) and 3(b)(2) of The proposed rule requires owners of Executive Order 12988, Civil Justice non-planing recreational houseboats Subpart E—Propeller Injury Avoidance Reform, to minimize litigation, with propeller-driven propulsion Measures eliminate ambiguity, and reduce located aft of the transom to install one burden. of two propulsion unit measures or § 175.301 Applicability. three combined measures. The propeller Protection of Children § 175.310 Propeller safety measures for guard devices do not create sufficient rental houseboats. We have analyzed this proposed rule drag through the water for these slow under Executive Order 13045, moving non-planing vessels to result in § 175.315 Propeller safety measures for Protection of Children from an increase of consumption of fossil non-rental houseboats. Environmental Health Risks and Safety fuels or increase air pollution due to § 175.301 Applicability. increased exhaust. A ‘‘Categorical Risks. This rule is not an economically (a) Sections 175.310 and 175.315 significant rule and does not concern an Exclusion Determination’’ is available in the docket where indicated under apply to recreational vessels described environmental risk to health or risk to in § 175.1, which: ADDRESSES. safety that may disproportionately affect (1) Are monohull houseboats; children. List of Subjects in 33 CFR Part 175 (2) Use a propulsion drive unit with Indian Tribal Governments Marine Safety. an exposed propeller located aft of the transom; and This proposed rule does not have For the reasons discussed in the (3) Are designed to be operated in a tribal implications under Executive preamble, the Coast Guard proposes to non-planing manner. Order 13175, Consultation and amend 33 CFR part 175 as follows: (b) Sections 175.310 and 175.315 do Coordination with Indian Tribal PART 175—EQUIPMENT not apply to multi-hull vessels or Governments, because it would not have REQUIREMENTS planing vessels. a substantial direct effect on one or more Indian tribes, on the relationship 1. The authority citation for part 175 § 175.310 Propeller safety measures for rental houseboats. between the Federal Government and continues to read as follows: (a) If you own a recreational non- Indian tribes, or on the distribution of Authority: 46 U.S.C. 4302; 49 CFR 1.46. power and responsibilities between the planing houseboat and provide it for 2. Amend § 175.3 by adding the Federal Government and Indian tribes. rent, charter or lease, you must either— following undesignated definitions in (1) Cover each exposed propeller To help the Coast Guard establish alphabetical order to the rest of the located aft of the transom with a regular and meaningful consultation section, to read as follows: propeller guard attached in a secure and collaboration with Indian and manner; or; Alaskan Native tribes, we published a § 175.3 Definitions. (2) Do all of the following— notice in the Federal Register (66 FR * * * * * (i) Install and maintain an interlock 36361, July 11, 2001) requesting Clear visibility aft device means a device for each swim ladder; comments on how to best carry out the device, such as a video camera and (ii) Install and maintain a clear Order. We invite your comments on monitor or a mirror, that allows the visibility aft device that provides a clear how this proposed rule might impact operator to see aft of the vessel from the view, aft of the vessel from the engine tribal governments, even if that impact engine throttle control station to be throttle control area; and may not constitute a ‘‘tribal aware of the presence of a swimmer (iii) Install and maintain an implication’’ under the Order. near a propeller. emergency ignition cut-off switch.
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(b) If you operate a rented, chartered, rulemaking under the following enable the public to express their views. or leased vessel that has an exposed Regulatory Identification Number: (RIN) Some of the questions specifically propeller located aft of the transom, you 2115–AE37 (USCG–2001–10299; CGD sought out the following information: must— 95–041). The Coast Guard lacks the appropriate Federal and State roles (1) Use all swim ladder interlock sufficient data to demonstrate that the in reducing propeller strike incidents; devices; benefits of requirements for whether government intervention is (2) Use a clear visibility aft device that manufacturers clearly outweigh the appropriate; and if so, whether it should provides a clear view, aft of the vessel costs and burdens. be directed at the vessels, their from the engine throttle control station; DATES: This withdrawal of the March manufacturers, their operators, their and 26, 1996 (61 FR 13123) advance notice owners, or the companies leasing such (3) Use the emergency ignition cut-off of proposed rulemaking is made on vessels. switch. December 10, 2001. Second Notice of Request for Comments. After reviewing available FOR FURTHER INFORMATION CONTACT: § 175.315 Propeller safety measures for research and the comments from the Randolph Doubt, Project Manager, non-rental houseboats. public, and consulting with the National Recreational Boating Product Assurance (a) If you own a recreational non- Boating Safety Advisory Council Division, Office of Boating Safety, 202– planing houseboat and do not provide it (NBSAC) at its November 1996 meeting, 267–0981. for rent, charter or lease, you must we published another notice of request either— SUPPLEMENTARY INFORMATION: for comments in April 1997 (62 FR (1) Cover each exposed propeller Regulatory History 22991) and provided a 90-day comment located aft of the transom with a period. We solicited comments on the propeller guard attached in a secure Initial Notice of Request for effectiveness of specific devices and manner; or Comments. To gather information from interventions that may reduce the (2) Do both of the following— the recreational boating public and number of recreational boating (i) Install and maintain an interlock industry, we published a notice of accidents involving rented powerboats device for each swim ladder; and request for comments in the Federal in which individuals are injured by the (ii) Install and maintain a clear Register in May 1995 (60 FR 25191). We propeller. We also asked for information visibility aft device that provides a clear asked the recreational boating public to about other devices or interventions view, aft of the vessel from the engine comment on: (1) The economic and (propeller injury avoidance measures) throttle control station. other impacts of establishing a that may reduce the severity of injuries (b) If you operate a vessel with an requirement for propeller guards on to individuals involved in propeller- exposed propeller located aft of the recreational houseboats and other strike accidents. transom, you must— displacement (non-planing) vessels; (2) The devices or interventions we asked (1) Use all swim ladder interlock suggestions on alternatives to propeller about included: (1) Swimming ladder devices; guards that should also be considered; locations and interlocks; (2) large (2) Use a clear visibility aft device that (3) recommendations on the warning notices to make the operators, provides a clear view, aft of the vessel applicability of regulations; and (4) passengers and swimmers more aware from the engine throttle control area; concerns of the livery and charter of the dangers; (3) propeller location and industries. wands; (4) clear vision aft to alert (3) Use the emergency ignition cut-off We received over 100 comments operators to the presence of swimmers switch (if factory installed). during the 60-day comment period. near the propeller; (5) propeller shaft Various parties, including the National engagement alarms to alert passengers Dated: October 15, 2001. Association of State Boating Law and swimmers of a rotating propeller; Terry M. Cross, Administrators (NASBLA) requested an (6) conversion of a standard inboard, Rear Admiral, U.S. Coast Guard, Assistant extension of the comment period. To outboard, or inboard/outboard engine Commandant for Operations. accommodate this request, we with a jet pump propulsion engine; (7) [FR Doc. 01–30479 Filed 12–7–01; 8:45 am] published a notice to reopen the ignition cut-off/auto throttle and neutral BILLING CODE 4910–15–U comment period for an additional 120- returns to stop the propeller when the days in August 1995 (60 FR 40545). We helm is vacated or unattended; and (8) received 1,994 comments to this notice, education specifically directed to the DEPARTMENT OF TRANSPORTATION including more than 1,800 form letters location and dangers of propellers. We that supported a requirement to use also solicited comments on propeller Coast Guard propeller guard technology or jet pump guards, and any other devices that might propulsion on rental houseboats. An reduce the occurrence or severity of 33 CFR Part 181 additional 69 comments also supported injuries due to propeller strikes. Based [USCG–2001–10299; CGD 95–041] developing such a requirement. Fifty- on requests from the public, we seven comments objected to such a published a notice that extended the RIN 2115–AE37 requirement. The information received comment period an additional 210 days Propeller Injury Prevention Aboard was voluminous, but too general to help in August 1997 [62 FR 44507]. Rental Boats us develop a regulation. Summary of Comments. In response Advance Notice of Proposed to the ANPRM and the notices, we AGENCY: Coast Guard, DOT. Rulemaking. We published an advance received 2,027 comments, more than ACTION: Notice of withdrawal. notice of proposed rulemaking 1,800 of which were form letters and (ANPRM) in March 1996 (61 FR 13123) none of which contained information SUMMARY: The Coast Guard is that asked questions to gather current sufficient to support proposing withdrawing its proposed rulemaking and specific information about the requirements for manufacturers of new regarding requirements for injuries involving propeller strikes and recreational boats, nor did they help us manufacturers to prevent propeller rented boats. We also announced a determine the estimated burdens and strike injuries and terminating series of meetings across the country to costs to boat manufacturers. Of the total
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comments received, 95% were in favor several propeller injury avoidance that these services are provisioned in a of initiating a Federal regulation. measures. just, reasonable, and nondiscriminatory NBSAC Consultation. At the April 30, manner. Withdrawal 2000 NBSAC Subcommittee meeting, DATES: Comments are due January 9, we presented the results of our research We are withdrawing the rulemaking 2002, and Reply Comments are due on accident report statistics: vessels because of (1) the lack of substantive January 30, 2002. most frequently involved with injuries information about the benefits to society FOR FURTHER INFORMATION CONTACT: Jon are open recreational motorboats in the of a requirement for manufacturers to Reel, Attorney Advisor, Policy and category ‘‘16 feet to less than 26 feet in prevent propeller strike injuries, and (2) Program Planning Division, Common length.’’ We announced our intention to to simplify the development of a series Carrier Bureau, (202) 418–1580. initiate a regulatory project that would of new regulatory projects initiated in SUPPLEMENTARY INFORMATION: This is a require owners of this category of response to the recent, broader NBSAC summary of the Commission’s Notice of recreational vessels to attach pre-printed recommendations. For these reasons, we Proposed Rulemaking (NPRM) in CC warning labels at strategic locations on are terminating further rulemaking Docket No. 01–321, FCC 01–339, their vessels. We would also propose under RIN 2115–AE37 (USCG–2001– adopted November 16, 2001, and requirements for owners to attach a 10299). released November 19, 2001. The propeller guard on a smaller number of We have placed the public docket complete text of this Notice of Proposed rental, non-planing houseboats. The (CGD 95–041) for this project into an Rulemaking is available for inspection Subcommittee report included the Coast electronic docket under the Department and copying during normal business Guard rulemaking project description. of Transportation Docket Management hours in the FCC Reference Information The Subcommittee presented its report System (DMS) under a new docket Center, Portals II, 445 12th Street, SW., to the full Council at the May 1, 2000 number: USCG–2001–10299. This new Room CY–A257, Washington, DC, meeting and the Council accepted the docket number will allow the public to 20554. This document may also be Subcommittee’s report without access the early docket records purchased from the Commission’s amendment. electronically. These early docket duplicating contractor, Qualex At the October 2000 NBSAC records serve as background for new International, Portals II, 445 12th Street, Subcommittee meeting, the regulatory projects the Coast Guard is SW., Room CY–B402, Washington, DC Subcommittee reviewed the preferred initiating in response to 20554, telephone 202–863–2893, alternative from its April 2000 meeting recommendations from the NBSAC in facsimile 202–863–2898, or via e-mail and recommended that we propose, its April 2001 meeting. [email protected]. It is also available instead, an expanded list of We are publishing a notice of on the Commission’s website at http:// interventions for vessels in the category proposed rulemaking elsewhere in this www.fcc.gov. ‘‘16 feet to less than 26 feet in length.’’ issue under RIN 2115–AG18 (USCG– As a result, we developed and presented 2001–10163). This rulemaking is the Synopsis of the Notice of Proposed a number of propeller injury avoidance first of a series of separate regulatory Rulemaking measures to NBSAC for their review. projects initiated in response to the 1. Jurisdiction and Enforcement. The Again, the full Council accepted the recent NBSAC recommendations. Subcommittee report. Commission has broad authority to At the April 2001 NBSAC Dated: October 15, 2001. establish national performance Subcommittee meeting, we presented Terry M. Cross, measurements and standards for special the expanded list of alternatives from Rear Admiral, U.S. Coast Guard, Assistant access services pursuant to sections 201, which owners of the affected vessels can Commandant for Operations. 202, and 272 of the Act. The choose for their vessels. After discussing [FR Doc. 01–30478 Filed 12–7–01; 8:45 am] Commission seeks comment on how, if the alternatives and their cost, the BILLING CODE 4910–15–U the Commission were to adopt special Council recommended that the Coast access measures and standards, the state Guard, instead, develop four specific commissions might participate in regulations: FEDERAL COMMUNICATIONS enforcing these requirements. The (1) Require owners of all propeller COMMISSION Commission also seeks comment on driven vessels 12 feet in length and whether and to what extent the longer with propellers aft of the transom 47 CFR Part 51 Commission should exercise the fully panoply of enforcement mechanisms to display propeller warning labels and [CC Docket No. 01–321; FCC 01–339] to employ an emergency cut-off switch, available to it under the Act to enforce where installed; Performance Measurements and any national measurements and (2) Require manufacturers and Standards for Interstate Special standards it may adopt. importers of new planing vessels 12 feet Access Services 2. Performance Measures and to 26 feet in length with propellers aft Standards. In this NPRM, the of the transom to select and install one AGENCY: Federal Communications Commission seeks comment on whether of several factory installed propeller Commission. the Commission should adopt interstate injury avoidance methods; ACTION: Proposed rule. special access measures and standards (3) Require manufacturers and at this juncture. It seeks comment on importers of new non-planing vessels 12 SUMMARY: This document seeks whether national measurements, feet in length and longer with propellers comment on whether the Commission standards, and reporting requirements aft of the transom to select and install should adopt a select group of for special access provisioning should one of several factory installed propeller performance measurements and apply to all incumbent LECs, or should injury avoidance methods; and standards for evaluating incumbent exclude small, rural or midsized (4) Require owners of all non-planing local exchange carrier (incumbent LEC) incumbent LECs. The Commission also rental boats with propellers aft of the performance in the provisioning of seeks comment on whether the transom to install either a jet propulsion special access services. These comments proposed performance measurements system or a propeller guard or all of will assist the Commission in ensuring and standards for unbundled network
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elements should apply to provisioning the services discussed herein are Description and Estimate of the Number of both high-capacity loops and special provisioned in a nondiscriminatory, just of Small Entities to Which the Proposed access circuits. and reasonable manner, the Commission Rules Will Apply 3. Suggested Model Performance will suspend any reporting Measures and Standards. The NPRM requirements that have become 9. The RFA directs agencies to calls commenters attention to unnecessary. Accordingly, the provide a description and, an estimate measurements and standards that have Commission seeks comment on whether where feasible, of the number of small been proposed by New York in it should establish a sunset date on entities that will be affected by any Proceeding on Motion of the which the proposed reporting rules. The RFA generally defines the Commission to Review Service Quality requirements would cease to apply to term ‘‘small entity’’ as having the same Standards for Telephone Companies, meaning as the terms ‘‘small business,’’ Order Adopting Revisions to Inter- incumbent LECs. In particular, the Commission asks parties to comment on ‘‘small organization,’’ and ‘‘small Carrier Service Quality Guidelines, Case governmental jurisdiction.’’ For the 97–C–0139 (December 15, 2000); New whether the reporting requirements should sunset on a date certain, such as purposes of this Order, the RFA defines York State Carrier-to-Carrier Guidelines a ‘‘small business’’ to be the same as a Performance Standards and Reports, in two, three or four years, or whether ‘‘small business concern’’ under the NYPSC Case 97–C–0139 (Jan. 2001), and it should establish a specific trigger Small Business Act, 15 U.S.C. 632, in Texas in Texas Performance Remedy event. Similarly, for BOCs, the Plan and Performance Measurement, Commission seeks comment on whether unless the Commission has developed Attachment 17 to Texas 271 Agreement these rules should sunset on a date one or more definitions that are (Version 2.0) (Aug. 2001). To facilitate certain after section 271 approval. The appropriate to its activities. Under the access by commenters, these documents Commission also requests comments on Small Business Act, a ‘‘small business have been filed in the docket of the additional proposals parties may have concern’’ is one that: (1) Is instant proceeding, CC Docket No. 01– on establishing a sunset date. independently owned and operated; (2) 321. The NPRM also calls commenters is not dominant in its field of operation; attention to proposals by WorldCom on Initial Regulatory Flexibility Analysis and (3) meets any additional criteria August 6, 2001 and by Time Warner on established by the Small Business 6. As required by the Regulatory July 16, 2001; these documents have Administration (SBA). Consistent with Flexibility Act (RFA), as amended, the also been filed in the docket of the the SBA’s Office of Advocacy’s view, we Commission has prepared this Initial instant proceeding, CC Docket. No. 01– have included small incumbent LECs in Regulatory Flexibility Analysis (IRFA) 321. Commenters are also directed to this RFA analysis. We emphasize, of the expected economic impact on the performance measurements and however, that this RFA action has no small entities by the policies and rules standards in the Performance effect on the Commission’s analyses and proposed in this NPRM. Written public Measurements and Standards for determinations in other, non-RFA comments are requested on this IRFA. Unbundled Network Elements and contexts. Interconnection Notice, CC Docket No. Comments must be identified as 01–318, FCC No. 01–331, at Section responses to the IRFA and must be filed 10. Local Exchange Carriers. The most IV.B. by the deadlines for comments on the reliable source of information regarding 4. Implementation. The Commission NPRM. The Commission will send a the number of LECs nationwide appears asks commenters to discuss the same copy of the NPRM, including this IRFA, to be the data that we collect annually issues that apply in the context of to the Chief Counsel for Advocacy of the in connection with the performance measures and standards for Small Business Administration. In Telecommunications Relay Service. UNEs and interconnection, namely (1) addition, the NPRM will be published According to our most recent data, there How may we best ensure that reported in the Federal Register. are 1,335 incumbent LECs. Although data are sufficiently accurate to form the some of these carriers may not be basis for an enforcement action? (2) Need for, and Objectives of, the independently owned and operated, or Should penalties be imposed if data Proposed Rules have more than 1,500 employees, we are inaccuracies are detected? (3) How may unable at this time to estimate with the Commission ensure the valid and 7. In this NPRM, the Commission seeks comment on whether it should greater precision the number of LECs accurate implementation of business that would qualify as small business rules and exclusions? (4) What auditing adopt a limited number of concerns under the SBA’s definition. procedures, if any, are reasonable? (5) measurements and standards for Consequently, we estimate that there are Would industry workshops under the evaluating incumbent local exchange direction of regulators be useful, and if carrier performance with respect to less than 1,335 small entity incumbent so, should we adopt safeguards against ordering, provisioning and maintaining LECs that may be affected by the delay and stalemate? In addition, the and repairing of the facilities that are proposals in the NPRM. Commission solicits comment on critical for competitive carriers to Description of Projected Reporting, appropriate reporting procedures that compete for end-user customers. Recordkeeping and Other Compliance may help foster competition while Requirements avoiding increases on the overall Legal Basis burdens imposed on incumbent LECs. 8. The legal basis for any action that 11. We expect that any proposal we The Commission also seeks comment may be taken pursuant to the NPRM is may adopt pursuant this NPRM will not regarding the development, substantially increase existing reporting, implementation, and analysis of the contained in sections 1, 2, 4, 201, 202, 205, 206, 207, 209, 272, 303(r) and recordkeeping or other compliance results of statistical measures that might requirements. The Commission already be applicable and appropriately used in 503(b) of the Communications Act of 1934, as amended, 47 U.S.C. 151, 152, requires the filing of service quality analyzing performance data. reports and many states require the 5. Sunset Requirements. The 154, 201, 202, 205, 206, 207, 209, 272, same of incumbent LECs. Commission contemplates that when 303(r) and 503(b).
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Steps Taken To Minimize Significant 20554. In addition to filing comments Federal Communications Commission. Economic Impact on Small Entities, and with the FCC, interested parties should Barbara A. Kreisman, Significant Alternatives Considered serve the petitioner, or its counsel or Chief, Video Services Division, Mass Media 12. One objective of this proceeding is consultant, as follows: Vincent A. Bureau. to adopt reporting requirements for Pepper, Pepper & Corazzini, LLP, 1776 [FR Doc. 01–30390 Filed 12–7–01; 8:45 am] UNEs that will not increase the existing K Street, NW., Suite 200, Washington, BILLING CODE 6712–01–P regulatory burdens on small carriers. DC 20006–2334 (Counsel for KWTX/ KBTX Licensee Corporation). Ordering Clauses FOR FURTHER INFORMATION CONTACT: Pam FEDERAL COMMUNICATIONS 13. Pursuant to Sections 1, 2, 4, 201, Blumenthal, Mass Media Bureau, (202) COMMISSION 202, 205, 206, 207, 209, 272, 303(r) and 418–1600. 47 CFR Part 73 503(b) of the Communications Act of SUPPLEMENTARY INFORMATION: This is a 1934, as amended, 47 U.S.C. 151, 152, synopsis of the Commission’s Further [DA 01–2682; MM Docket No. 99–196; RM– 154, 201, 202, 205, 206, 207, 209, 272, Notice of Proposed Rule Making, MM 9619, RM–9874] 303(r), and 503(b) a NOTICE OF Docket No. 00–124, adopted December PROPOSED RULEMAKING IS 4, 2001, and released December 5, 2001. Radio Broadcasting Services; Bethel ADOPTED. The full text of this document is Springs, Martin, Tiptonville, Trenton, 14. CC Docket No. 00–51 IS HEREBY available for public inspection and South Fulton, TN TERMINATED. copying during regular business hours 15. The Commission’s Consumer in the FCC Reference Information AGENCY: Federal Communications Information Bureau, Reference Center, Portals II, 445 12th Street, SW., Commission. Information Center, SHALL SEND a Room CY-A257, Washington, DC, ACTION: Proposed rule; dismissal. copy of this NPRM, including the Initial 20554. This document may also be SUMMARY: Regulatory Flexibility Analysis, to the purchased from the Commission’s The Allocations Branch Chief Counsel for Advocacy of the Small duplicating contractor, Qualex dismisses the petition for rule making Business Administration. International, Portals II, 445 12th Street, filed by Sherry A. Brown proposing the allotment of Channel 249A at Bethel Federal Communications Commission. SW., Room CY-B402, Washington, DC, Springs, Tennessee, as being Magalie Roman Salas, 20554, telephone 202–863–2893, facsimile 202–863–2898, or via-e-mail procedurally defective for failure to Secretary. properly file comments in compliance [FR Doc. 01–30434 Filed 12–7–01; 8:45 am] [email protected]. Provisions of the Regulatory with sections 1.415(b) and 1.420(e) of BILLING CODE 6712–01–P Flexibility Act of 1980 do not apply to the Commission’s Rules. See 64 FR this proceeding. 29979, June 4, 1999. In addition, the Members of the public should note counterproposal filed by Thunderbolt FEDERAL COMMUNICATIONS Broadcasting Company, proposing two COMMISSION that from the time a Notice of Proposed Rule Making is issued until the matter options for the substitution of Channel 267C3 for Channel 269A at Martin, and 47 CFR Part 73 is no longer subject to Commission consideration or court review, all ex the reallotment of Channel 267C3 to [DA 01–2785, MM Docket No. 00–124, RM– parte contacts are prohibited in South Fulton, Tennessee (described 9893] Commission proceedings, such as this more fully in the Report and Order) is one, which involve channel allotments. disposed of as follows: Option I is Digital Television Broadcast Service; denied because it required the Bryan, TX See 47 CFR 1.1204(b) for rules governing permissible ex parte contacts. downgrade of vacant Channel 267C3 at AGENCY: Federal Communications For information regarding proper Tiptonville, Tennessee, and there are Commission. filing procedures for comments, see 47 expressions of interest for the Class C3 ACTION: Proposed rule. CFR 1.415 and 1.420. channel. Option II is dismissed for failure to be ‘‘technically correct’’ and SUMMARY: The Commission requests List of Subjects in 47 CFR Part 73 ‘‘substantially complete’’ as required at comments on a request filed by KWTX/ Television, Digital television the time it is filed. KBTX License Corporation, requesting broadcasting. FOR FURTHER INFORMATION CONTACT: the substitution of DTV channel 50 for For the reasons discussed in the Sharon P. McDonald, Mass Media DTV channel 59 at Bryan, Texas. DTV preamble, the Federal Communications Bureau, (202) 418–2180. Channel 50 can be allotted to Bryan, Commission proposes to amend 47 CFR SUPPLEMENTARY INFORMATION: This is a Texas, in compliance with the principle part 73 as follows: synopsis of the Commission’s Report community coverage requirements of and Order, MM Docket No. 99–196, Section 73.625(a) at reference PART 73—TELEVISION BROADCAST adopted November 7, 2001, and released coordinates (30–33–16 N. and 96–01–51 SERVICES November 16, 2001. The full text of this W.). As requested, we propose to allot 1. The authority citation for part 73 Commission decision is available for DTV Channel 50 to Bryan with a power continues to read as follows: inspection and copying during normal of 1000 and a height above average business hours in the FCC Reference terrain (HAAT) of 477 meters. Authority: 47 U.S.C. 154, 303, 334, and 336. Information Center (Room CY-A257), DATES: Comments must be filed on or 445 12th Street, SW., Washington, DC. before January 28, 2002, and reply § 73.622 [Amended] The complete text of this decision may comments on or before February 12, 2. Section 73.622(b), the Table of also be purchased from the 2002. Digital Television Allotments under Commission’s copy contractors, Qualex, ADDRESSES: Federal Communications Texas is amended by removing DTV International, Portals II, 445 12th Street, Commission, 445 12th Street, SW., Channel 59 and adding DTV Channel 50 SW., Room CY-B402, Washington, DC Room TW-A325, Washington, DC at Bryan. 20554.
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Federal Communications Commission. 01–322 adopted November 14, 2001, DEPARTMENT OF THE INTERIOR John A. Karousos, and released Fish and Wildlife Service Chief, Allocations Branch, Policy and Rules November 23, 2001. The full text of Division, Mass Media Bureau. this Commission decision is available 50 CFR Part 17 [FR Doc. 01–30389 Filed 12–7–01; 8:45 am] for inspection and copying during BILLING CODE 6712–01–P normal business hours in the FCC’s RIN 1018–AI28 Reference Information Center at Portals Endangered and Threatened Wildlife II, 445 12th Street, SW., CY–A257, FEDERAL COMMUNICATIONS and Plants; Listing the San Miguel COMMISSION Washington, DC 20554. This document Island Fox, Santa Rosa Island Fox, may also be may also be purchased from Santa Cruz Island Fox, and Santa 47 CFR Part 73 the Commission’s duplicating Catalina Island Fox as Endangered contractors, Qualex International, [DA 01–2737; MM Docket No. 01–322; RM– Portals II, 445 12th Street, SW., Room AGENCY: Fish and Wildlife Service, 10332] CY–B402, Washington DC 20554, Interior. telephone 202–863–2893, facsimile ACTION: Proposed rule. Radio Broadcasting Services; Fremont 202–863–2898, or via e-mail and Sunnyvale, CA SUMMARY: We, the U.S. Fish and [email protected]. Wildlife Service (Service), propose AGENCY: Federal Communications The provisions of the Regulatory endangered status pursuant to the Commission. Flexibility Act of 1980 do not apply to Endangered Species Act (Act) of 1973, ACTION: Proposed rule. this proceeding. as amended (16 U.S.C. 1531 et seq.), for Members of the public should note four subspecies of island fox (Urocyon SUMMARY: This document requests that from the time a Notice of Proposed littoralis): San Miguel Island Fox comments on a petition for rulemaking (Urocyon littoralis littoralis), Santa Rosa Rule Making is issued until the matter filed on behalf of Chase Radio Island Fox (U. l. santarosae), Santa Cruz Properties, L.L.C., licensee of Station is no longer subject to Commission Island Fox (U. l. santacruzae), and Santa KCNL(FM), Channel 285A, at Fremont, consideration or court review, all ex Catalina Island Fox (U. l. catalinae). California, requesting the reallotment of parte contacts are prohibited in Island fox populations on these four Channel 285A from Fremont to Commission proceedings, such as this islands have experienced precipitous Sunnyvale, California, and modification one, which involve channel allotments. declines since 1995. The three island of its authorization accordingly, See 47 CFR 1.1204(b) for rules fox subspecies inhabiting the northern pursuant to the provisions of section governing permissible ex parte contacts. Channel Islands (San Miguel, Santa 1.420(i) of the Commission’s Rules. For information regarding proper Rosa, and Santa Cruz) have declined Coordinates used for requested Channel filing procedures for comments, See 47 due to predation by golden eagles 285A at Sunnyvale, California, are 37– CFR 1.415 and 1.420. (Aquila chrysaetos). Island foxes on San 18–41 North Latitude and 121–48–58 Miguel and Santa Rosa islands have West Longitude. List of Subjects in 47 CFR Part 73 been effectively extirpated in the wild; Petitioner’s reallotment proposal captive breeding efforts are underway Radio broadcasting. complies with the provisions of section on both islands. On Santa Cruz Island, 1.420(i) of the Commission’s Rules, and For the reasons discussed in the the island fox population decreased therefore, the Commission will not preamble, the Federal Communications from 1,300 to less than 100 animals; accept competing expressions of interest Commission proposes to amend 47 CFR captive breeding efforts on Santa Cruz in the use of Channel 285A at part 73 as follows: will begin in the fall of 2001. The Santa Sunnyvale, California, or require the Catalina Island fox population petitioner to demonstrate the PART 73—RADIO BROADCAST experienced a precipitous decline in availability of an additional equivalent SERVICES 1999 as a result of an outbreak of canine class channel. distemper virus; fewer than 200 Santa DATES: Comments must be filed on or 1. The authority citation for Part 73 Catalina Island foxes are thought to before January 14, 2002, and reply continues to read as follows: remain in the wild. comments on or before January 29, Authority: 47 U.S.C. 154, 303. 334, and DATES: Comments from all interested 2002. 336. parties must be received by February 8, 2002. Public hearing requests must be ADDRESSES: Secretary, Federal § 73.202 [Amended]. received by January 24, 2002. Communications Commission, 445 12th Street, SW., Room TW–A325, 2. Section 73.202(b), the Table of FM ADDRESSES: If you wish to comment, Washington, DC 20554. In addition to Allotments under California, is you may submit your comments and filing comments with the FCC, amended by adding Sunnyvale, Channel materials concerning this proposal by any one of several methods. interested parties should serve the 285A, and removing Channel 285A at (1) You may submit written comments petitioner’s counsel, as follows: Harry C. Fremont. Martin; Fletcher, Heald & Hildreth, to the Field Supervisor, U.S. Fish and Federal Communications Commission. P.L.C.; 1300 North 17th Street, 11th Wildlife Service, Ventura Fish and Floor; Arlington, Virginia 22209. John A. Karousos, Wildlife Office, 2493 Portola Road, Suite B, Ventura, California 93003. FOR FURTHER INFORMATION CONTACT: R. Chief, Allocations Branch, Policy and Rules Division, Mass Media Bureau. (2) You may send comments by Barthen Gorman, Mass Media Bureau, electronic mail (e-mail) to: [FR Doc. 01–30387 Filed 12–7–01; 8:45 am] (202) 418–2180. [email protected]. SUPPLEMENTARY INFORMATION: This is a BILLING CODE 6712–01–P See the Public Comments Solicited synopsis of the Commission’s Notice of section below for file format and other Proposed Rule Making, MM Docket No. information about electronic filing.
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(3) You may hand-deliver comments (George and Wayne 1991), possibly from The diminutive island fox is the to our office at 2493 Portola Road, Suite chance overwater dispersal by rafting on largest native carnivore on the Channel B, Ventura, California 93003. floating debris (Moore and Collins Islands. The island fox is a habitat FOR FURTHER INFORMATION CONTACT: 1995). Fossil evidence indicates that generalist, occurring in valley and Diane Noda, Field Supervisor, U.S. Fish island foxes inhabited the northern foothill grasslands, southern coastal and Wildlife Service, Ventura Fish and Channel Islands (San Miguel, Santa dunes, coastal bluff, coastal sage scrub, Wildlife Office, at the address above Rosa, and Santa Cruz) between 10,000 to maritime cactus scrub, island chaparral, (telephone 805/644–1766; facsimile 16,000 years ago (Orr 1968). However, southern coastal oak woodland, 805/644–3958). island foxes are thought to have existed southern riparian woodland, bishop on the northern Channel Islands even SUPPLEMENTARY INFORMATION: (Pinus muricata) and torrey pine (Pinus before that time, during a period when torreyana) forests, and coastal marsh Background Santa Cruz, Santa Rosa, and San Miguel habitats. Although foxes can be found in The island fox was first described as were one land mass referred to as a wide variety of habitats on the islands, Vulpes littoralis by Baird in 1857 from ‘‘Santarosae,’’ last known to have been they prefer areas of diverse topography the type locality of San Miguel Island, united 18,000 years before present and vegetation (Von Bloeker 1967; Santa Barbara County, California. (Johnson 1978, 1983). The island fox Laughrin 1977; Moore and Collins Merriam (1888, in Hall and Kelson was thought to have reached the 1995). Laughrin (1973, 1980) found 1959) reclassified the island fox into the southern Channel Islands (San Nicolas, woodland habitats to support higher genus Urocyon and later described San Clemente, and Santa Catalina) densities of island fox due to increased island foxes from Santa Catalina, San much more recently (2,200 to 3,800 food availability, while Crooks and Van Clemente, and Santa Cruz islands as years ago), most likely introduced to Vuren (1996) found island foxes to these islands by Native Americans as three separate taxa (U. catalinae, U. prefer fennel grasslands and avoid pets or semi-domesticates (Collins clementae, and U. littoralis santacruzae) ravines and scrub oak patches. 1991a, b). However, island fox remains (Merriam 1903). Grinnell et al. 1937 Island foxes are omnivores, taking a recently recovered from San Nicolas revised Merriam’s classification, placing wide variety of seasonally available Island extend this time period to foxes from all islands under the species plants and animals (Collins and approximately 5,200 years before U. littoralis and assigning each island Laughrin 1979; Collins 1980; Kovach present (Vellanoweth 1998). and Dow 1981; Moore and Collins 1995; population a subspecific designation (U. Genetic evidence confirms the pattern l. catalinae on Santa Catalina Island, U. of dispersal suggested by archeological Crowell 2001). Island foxes forage l. clementae on San Clemente Island, U. and geological findings (Gilbert et al. opportunistically on any food items l. dickeyi on San Nicolas Island, U. l. 1990). The pattern of genetic relatedness encountered within their home range. littoralis on San Miguel Island, U. l. supports the geological evidence of the Selection of food items is determined santacruzae on Santa Cruz Island, and sequence of isolation for each island, largely by availability, which varies by U. l. santarosae on Santa Rosa Island). and each population, as rising sea levels habitat and island, as well as seasonally Recent morphological and genetic separated Santarosae into the northern and annually. Island foxes prey on studies support the division of the U. Channel Islands. Santa Cruz separated native deer mice (Peromyscus littoralis complex into six subspecies from the other northern Channel Islands maniculatus), as well as introduced which are each limited in range to a first, about 11,500 years ago, followed house mice (Mus musculus) and rats single island (Gilbert et al. 1990; Wayne by the separation of San Miguel and (Rattus rattus). Small mammals may be et al. 1991a; Collins 1991a, 1993; Santa Rosa about 9,500 years ago. especially important prey during the Goldstein et al. 1999). Each subspecies Together with the fossil record, genetic breeding season, because they are large, is reproductively isolated from the evidence indicates that San Clemente energy-rich food items that adult foxes others by a minimum of 5 kilometers (3 was the first southern Channel Island can bring back to their growing pups miles) of ocean waters. The island fox colonized, probably by immigrants from (Garcelon et al. 1999). In addition to is closely related to the mainland gray San Miguel. Dispersal then occurred small mammals, island foxes feed on fox, U. cinereoargenteus, but is smaller from San Clemente to San Nicolas and ground-nesting birds such as horned in size and darker in coloration (Moore then Santa Catalina (Gilbert et al. 1990). larks (Eremophila alpestris) and western and Collins 1995). Island forms of species generally have meadowlarks (Sturnella neglecta), and a The island fox is a diminutive canid, less genetic variability than their wide variety of insect prey (Moore and weighing approximately 1.4 to 2.7 mainland counterparts (Gill 1980), and Collins 1995). At certain times of the kilograms (3 to 6 pounds) and standing island foxes are no exception. Mainland year, foxes feed heavily on orthopterans approximately 0.3 meters (1 foot) tall. gray foxes are more variable both (e.g., grasshoppers and crickets) (Crooks Dorsal coloration is grayish-white and morphologically and genetically than and VanVuren 1995), especially black. The base of the ears and sides of island foxes (Wayne et al. 1991b; Jerusalem crickets (Stenopelmatus the neck and limbs are cinnamon-rufous Goldstein et al. 1999). Island fox fuscus). Less common in the diet are in color. The underbelly is a dull white, population size and genetic variability amphibians, reptiles, and carrion of and the tail is conspicuously short. seem to decrease with island size; the marine mammals (Collins and Laughrin Island foxes display sexual size smallest island fox populations, San 1979). Island foxes feed on a wide dimorphism, with males being larger Miguel and San Nicolas, show the least variety of native plants, including the and heavier than females (Moore and genetic variability, with San Nicolas fruits of manzanita (Arctostaphylos Collins 1995). having virtually no genetic variability, spp.), summer holly (Comarostaphylis Island foxes inhabit the six largest which is highly unusual among spp.), toyon (Heteromeles spp.), chollo islands (San Miguel, Santa Rosa, Santa mammals. This lack of variability could cactus (Opuntia spp.), island cherry Cruz, San Nicolas, Santa Catalina, and be attributed either to extensive (Prunus ilicifolia), sumac (Rhus spp.), San Clemente islands) off the coast of inbreeding, or to the population having rose (Rosa spp.), nightshade (Solanum southern California. Genetic evidence passed through a bottleneck, a period of spp.), and huckleberry (Vaccinium spp.) suggests that all island foxes are very low population (George and Wayne (Moore and Collins 1995). Fruiting descended from one colonization event 1991). shrubs do not occur on San Miguel
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Island, where island foxes rely more on disperse from their birth territories by through the population in 1999 (Timm the fruits of the low growing sea-fig, winter, although others may stay on et al. 2000). Carpobrotus chilensis. their natal territories into their second San Clemente and San Nicolas islands The island fox is a docile canid, year (Coonan 2001). Island foxes can have island fox populations estimated at exhibiting little fear of humans in many mate at the end of their first year more than 500 and 738 individuals, instances. Although primarily (Collins and Laughrin 1979), although respectively (D. Garcelon, unpublished nocturnal, the island fox is more diurnal most breeding involves older animals. data; Roemer 2000), although the San than the mainland gray fox (Collins and Coonan et al. (1998) found that only 16 Nicolas estimate is likely an Laughrin 1979; Fausett 1993). This is percent of females under the age of 2 overestimate, as it did not factor in thought to be a result of the historical bred over a 5-year period, in contrast to habitat suitability (Grace Smith, absence of large predators and freedom 60 percent of older females. Department of the Navy, pers. comm. from human harassment on the islands Due to the low reproductive output of 2001). San Clemente Island has not (Laughrin 1977). island foxes, survival of adults is the experienced the sharp declines seen on Mated island foxes maintain most important factor influencing other islands; however, 13 years of territories that are separate from the population growth rate (Roemer et al. trapping data display a slow decline of territories of other pairs (Crooks and 1994; 2001a). Compared with the gray island fox since the early 1990s Van Vuren 1996; Roemer et al. 2001a). fox, island fox populations are skewed (Garcelon 1999; D. Garcelon, Island fox home range size varies with toward older adults (Laughrin 1980; unpublished data). Populations of the sex, season, population density, Garcelon 1988). Adult island foxes live San Nicolas Island fox appear to be landscape features, and habitat type an average of 4 to 6 years (Moore and stable. However, its small population (Laughrin 1977; Crooks and Van Vuren Collins 1995), although this may be an size (Roemer et al. 1994), insular nature, 1996; Thompson et al. 1998; Roemer et underestimate (Coonan et al. 1998). lack of resistance to canine distemper al. 2001a). Estimates of territory size In the 1970s, island foxes were found and other diseases (Garcelon et al. range from 0.24 square kilometers (km2) at higher densities than any other canid 1992), high densities (Roemer 2000), (59 acres (ac)) in mixed habitat (Crooks species, likely due to the lack of and low genetic variability (Wayne et al. and Van Vuren 1996) and 0.87 km2 (214 competition and predation compared 1991a) increase the vulnerability of this ac) in grassland habitat (Roemer 1999) with the island foxes’ mainland canid subspecies (Roemer 1999). Protective on Santa Cruz Island, to 0.77 km2 (190 counterparts (Laughrin 1980). At the measures have been put in place on ac) in canyons on San Clemente Island time of Laughrin’s early studies, island these islands, such as implementing a (Thompson et al. 1998). Island fox fox populations were stable on all wildfire management plan and feral cat territory configuration changes after the islands except Santa Catalina (Laughrin management program and removing all death and replacement of paired male 1973). Pre-decline trapping on Santa feral ungulates, to prevent further foxes, but not after the death and Cruz Island in 1993 and 1994 decline of these two subspecies. replacement of paired females or reconfirmed that island foxes existed at juveniles, indicating that adult males high densities (Roemer et al. 2001a) San Miguel Island Fox (Urocyon are involved in territory formation and San Miguel, Santa Rosa, Santa Cruz, littoralis littoralis) maintenance (Roemer et al. 2001a). and Santa Catalina island foxes have The first quantitative surveys for Although island foxes appear experienced precipitous declines in the island foxes on San Miguel Island were monogamous, copulations with last 6 years (Coonan et al. 1998, 2000, conducted by Laughrin in the early individuals other than the mate, and and in review; Roemer 1999; Timm et 1970s (Laughrin 1973). Trap efficiency offspring as a result of those unions, are al. 2000; Roemer et al. in press). Total was high (43 percent) and Laughrin common (Roemer et al. 2001a). island fox numbers rangewide have concluded that island fox populations Courtship activities occur from late fallen from approximately 6,000 were stable at 2.7 foxes per km 2 (7 foxes January to early March; genetic evidence individuals (Roemer et al. 1994) to per square mile (mi 2)), although this suggests that inbreeding avoidance fewer than 1,660 (Tim Coonan, Channel may be an underestimate. In the late occurs (Roemer et al. 2001a). Recent Islands National Park, pers. comm. 1970s, the island foxes on San Miguel endocrine assays on fecal samples from 2001a). Island fox populations on San had an average density of 4.6 foxes per San Miguel Island indicate that, unlike Miguel and Santa Cruz islands have sq. km (12 foxes per mi 2) for a total all other canids studied to date, island declined by an estimated 80 to 90 estimated population of 151 to 498 foxes are induced rather than percent and have a 50 percent chance of individuals (Collins and Laughrin spontaneous ovulators (i.e., the presence extinction over the next 5 to 10 years 1979). Island foxes on San Miguel Island of males is necessary in order for (Roemer 1999; Roemer et al. in press). were not surveyed again until the females to go into estrous) (Bauman et During the period of decline, island fox National Park Service (NPS) instituted a al. 2001). Young are born from late population monitoring was not long-term population study in 1993 April through May after a gestation conducted on Santa Rosa Island; which recorded an average density of period of approximately 50 days. Island however, anecdotal observations and 7.7 foxes per sq. km (20 foxes per mi 2) foxes give birth to their young in simple recent trapping efforts showed that a on two trapping grids and estimated the dens, which are usually not excavated similar decline occurred for this total population at more than 300 foxes by the foxes themselves (Moore and subspecies as well (Roemer 1999; (Roemer et al. 1994; Coonan et al. 1998). Collins 1995). Rather, any available Coonan 2001). Island fox populations on A third trapping grid was added the sheltered site (e.g., brush pile, rock the northern Channel Islands are following year, and yielded the highest crevice, and hollow stump) is used considered critically endangered and in island fox densities ever recorded to (Laughrin 1977). Litter size ranges from need of immediate conservation action that point (15.8 foxes per km 2 (41 foxes one to five (average = 2.17). Both island (Coonan et al. 1998; Roemer 1999; per mi 2) in one study area), resulting in fox care for the young (Garcelon et al. Roemer et al. 2001b). On Santa Catalina, an island-wide estimate of 450 adults 1999). By 2 months of age, young foxes island foxes are now rare on the larger (Coonan et al. 1998). Annual population spend most of the day outside the den eastern portion of the island. This monitoring using capture-mark- and will remain with their parents decline is thought to be a result of a recapture techniques documented a throughout the summer. Some pups canine distemper outbreak that swept substantial decline in island fox
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populations on San Miguel Island females). The last known fox in the wild Santa Cruz Island is currently between 1994 and 1999 (Coonan et al. on Santa Rosa Island was brought into occupied by a large feral pig population 1998; Coonan et al. in review). In the captivity in May 2001 (T. Coonan, pers. (estimated at approximately 3,000 to last 7 years, estimated population size comm. 2001a). As with San Miguel 5,000 individuals), which facilitates the dropped from as many as 450 adults in Island, approximately half the captive colonization of the island by golden 1994 (Coonan et al. 1998) to 17 adults foxes were moved to a second facility in eagles. The Nature Conservancy and the currently (T. Coonan, unpublished October 2001 (T. Coonan, pers. comm. NPS are planning an island-wide pig data). Data from a remote camera survey 2001b). eradication program which will take and from fox sign (scat and tracks) years to complete. indicate only one fox (a lone female that Santa Cruz Island Fox (Urocyon Santa Catalina Island Fox (Urocyon has evaded capture efforts) exists in the littoralis santacruzae) littoralis catalinae) wild on San Miguel Island (Coonan et Santa Cruz Island is the largest of the al. in review); the remaining 16 foxes Channel Islands and has supported the Santa Catalina Island has the largest are captive. highest known densities of island fox in human population, a large population of In 1999, NPS captured 14 individuals the past (Laughrin 1973). Laughrin domestic dogs, and the highest degree of (4 males and 10 females) from the San (1971) estimated the island fox human activity and accessibility of the Miguel Island fox subspecies to protect population of Santa Cruz Island to be Channel Islands. Island fox numbers on them from further losses to predation approximately 3,000 individuals. Santa Catalina Island have fluctuated and to initiate a captive propagation Average density between 1973 and 1977 widely over the past 30 years. In program. Captive breeding over the last was 7.9 foxes per km 2 (20.4 foxes per Laughrin’s early 1970s studies, only 2 2 years has brought the captive San mi 2) (Laughrin 1980). Following island foxes were trapped on Santa Miguel Island fox population up to 16 Laughrin’s studies, island fox Catalina Island for a trap efficiency of 6 adults (5 males and 11 females) and 5 populations on Santa Cruz Island were percent and an average density of 0.1 fox per km 2 2 pups (all males). The captive San not surveyed again until 1993, when (0.3 foxes per mi ) (Laughrin 1973). This density was 37 Miguel Island fox population has high island foxes were found to be at an percent lower than any other island parasite loads, which may affect the average density of 8.2 foxes per km 2 during this study. The reason for past health of individual foxes (L. Munson, (21.2 foxes per mi 2) (Roemer et al. low island fox numbers on Santa unpublished data). Until September 1994). Since that time, the population Catalina Island is unknown; the 2001, all captive San Miguel Island has decreased from an estimated 1,312 available food and habitats are foxes were held in one breeding facility, in 1993 to an estimated size of 133 in comparable to that on the other islands. putting the subspecies in danger of 1999 (Roemer 1999; Roemer et al. 1994; Island fox numbers on Santa Catalina extinction due to a catastrophic event Roemer et al. in press). In 1998, trapping Island increased slightly between 1975 such as wildfire or disease outbreak. efficiency was low (2.9 percent), and and 1977 with average densities of 0.29 The NPS moved half the captive foxes island fox density ranged from 0.0 to 2.4 into a second breeding facility on San foxes per km 2 (0.77 foxes per mi 2) foxes per km 2 (0.0 to 6.2 foxes per mi 2), Miguel Island in October 2001 to (Propst 1975) and 0.30 foxes per km 2 the lowest ever reported from Santa minimize this risk (T. Coonan, pers. (0.8 foxes per mi 2) (Laughrin 1980). Cruz Island (Roemer 1999). comm. 2001b). Between 1988 and 1991, average density Population monitoring efforts in 2001 increased, ranging from 2.6 to 12.8 foxes Santa Rosa Island Fox (Urocyon have yielded captures of 75 individual per km 2 (6.7 to 33.1 foxes per mi 2) littoralis santarosae) foxes. Of these, 27 have been outfitted (Garcelon et al. 1991). The Santa The earliest island fox trapping study with radio collars. The highest numbers Catalina Island fox population increased from Santa Rosa reported a trapping of foxes were captured in the areas of to an estimated 1,342 foxes by 1994 efficiency of 50 percent and a density of relatively high cover. Five radio- (Roemer et al. 1994). 4.2 foxes per km 2 (11 foxes per mi 2) collared fox carcasses have been The Santa Catalina Island fox (Laughrin 1973). Little population data retrieved, and all deaths have been population has experienced a recent has been collected on Santa Rosa Island attributable to predation by golden dramatic decline attributed to canine foxes since Laughrin’s studies. eagles (David Garcelon, Institute for distemper, presumably introduced by However, recent trapping data in 1998 Wildlife Studies, pers. comm. 2001). domestic dogs, in the eastern portion of and 2000 as well as anecdotal evidence The Island Fox Conservation Working the island (Timm et al. 2000). Santa suggests that Santa Rosa has Group, a team of experts convened by Catalina Island is separated into a large experienced a decline similar to those the NPS to recommend appropriate eastern side (40,000 acres) and a small on Santa Cruz and San Miguel Islands recovery actions for the island fox, western side (8,000 acres) by a narrow (Roemer 1999; Coonan 2001). During found that ‘‘the existence of one pair of isthmus, which has apparently served as 132 trap nights in 1998, trap success golden eagles on the island as of a barrier to the canine distemper virus. was 4.8 percent, and only nine October 1, 2001, will warrant bringing Trap success on the eastern side individuals were captured (Roemer foxes into captivity as the necessary dropped from 26 percent in 1998 to 0.96 1999). Anecdotal sightings by park and conservative step in preserving the percent in 1999 and 2000, while ranch staff became much less frequent Santa Cruz Island fox population.’’ remaining stable at approximately 36 than in previous years (Coonan 2001). Intensive trapping efforts to capture and percent on the western portion. Two Believing that fewer than 100 island relocate the remaining golden eagles in live foxes and one deceased fox foxes remained on Santa Rosa Island (T. the spring and summer of 2001 have recovered from the eastern portion of Coonan pers. comm. 1999), the NPS resulted in three captures; however, four the island tested positive for canine captured 10 adult foxes (four males and eagles remain on the island (Brian Latta, distemper virus, constituting the first six females) to initiate captive breeding Santa Cruz Predatory Bird Research positive record of canine distemper in in March 2000. Two seasons of captive Group (SCPBRG), pers. comm. 2001b). island foxes (Timm et al. 2000). Island breeding have increased the captive Thus, captive breeding of foxes will be fox trapping efforts during 2000 and population to 22 adults (9 males and 13 initiated on Santa Cruz Island in early 2001 captured 137 island foxes on the females) and 10 pups (3 males and 7 2002 (T. Coonan, pers. comm. 2001b). western end and 37 on the eastern
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portion of Santa Catalina Island (D. Island fox, Santa Cruz Island fox, and mammals on Santa Rosa, Santa Cruz, Garcelon, unpublished data). Santa Catalina Island fox to the list of Santa Catalina, and San Clemente A captive propagation program for the endangered species pursuant to the Act. islands (CDFG 1987). Since that time, Santa Catalina Island fox is currently Due to a lack of funding, we did not alien species removal programs have underway. The Institute for Wildlife issue a 90-day finding for the petition. eradicated or reduced the introduced Studies captured 16 adults (10 females In response to our lack of action on the herbivore populations on many islands, and 6 males) between February and petition, the Center sent us a 60-day but pigs remain on Santa Cruz Island; mid-March 2001 as the founder notice of intent to sue on December 4, deer, elk, and horses remain on Santa population for the captive breeding 2000. This proposed rule satisfies a Rosa Island; and pigs and goats remain program. Of these, three were pregnant measure in the settlement agreement on Santa Catalina Island. Even though females, which gave birth to a total of with the Center (Center for Biological many of the introduced herbivores have 18 pups. Twelve of these pups died Diversity, et al. v. Norton, Civ. No. 01– been removed, their earlier presence within 7 days of birth, likely due to 2063 (JR) (D.D.C.), entered by the Court facilitated the invasion of and spread of stress to the females from capture on October 2, 2001. non-native annual grasses on the during late pregnancy. The six islands. This invasion continues to be a Summary of Factors Affecting the remaining pups will be released onto problem as native island habitats are Species the east end of the island in the fall of replaced by annual grasslands, which 2001 (Steve Timm, Institute for Wildlife Section 4 of the Endangered Species constitute less preferred habitats for Studies, pers. comm. 2001). Act and its implementing regulations foxes. On Santa Rosa Island, the In addition to the captive breeding (50 CFR part 424) issued to implement continued presence of deer likely results program, the Santa Catalina the listing provisions of the Act in less available food for foxes, as deer Conservancy and the Institute for establish procedures for adding species browse the flowering and fruiting Wildlife Studies initiated a to the Federal Lists. A species may be branches of native shrubs such as translocation program in 2001 to determined to be an endangered or manzanita and toyon, which can be an repopulate island foxes on the east side threatened species due to one or more important component of island fox diets of the island. Of the 10 island foxes of the five factors described in section during some seasons. relocated from the west end to the east 4(a)(1) of the Act. These factors and Even after the removal of non-native end, one has died as a result of trauma, their application to the four island fox grazers on some islands, habitat potentially from a vehicle strike (S. subspecies are as follows: recovery is slow (Hochberg et al. 1979) Timm, pers. comm. 2001). The A. The Present or Threatened and threatened by the spread of non- remaining nine foxes appear to be alive Destruction, Modification, or native plants that became established and healthy. Curtailment of Its Habitat or Range during the ranching era. These exotic Previous Federal Action species continue to invade and modify Habitat on all islands occupied by island fox habitat resulting in lower We published an updated candidate island foxes has been heavily affected diversity of vegetation, less diverse Notice of Review for animals on by a history of livestock grazing, habitat structure, and reduced food December 30, 1982 (47 FR 58454). This cultivation, and other disturbance. A availability. The replacement of native notice included all six subspecies of century and a half of overgrazing by shrub communities by non-native island fox in a list of category 2 non-native herbivores, including sheep annual grasslands has reduced candidate species. We maintained all (Ovis aries), goats (Capra hircus), rabbits protective cover for island foxes, making six subspecies of island fox as category (Oryctolagus cuniculus), deer them more vulnerable to predation 2 candidates in subsequent notices: (Odocoileus hemionus), elk (Cervus (Roemer 1999; Coonan et al. in review). September 18, 1985 (50 FR 37958), elaphus), cattle (Bos taurus), pigs (Sus Annual grasslands also offer fewer food January 6, 1989 (54 FR 554), November scrofa), and horses (Equus caballus) resources to foxes, and the seeds of 21, 1991 (56 FR 58804) and November resulted in substantial impacts to the annual grasses can become lodged in the 15, 1994 (59 FR 58982). As announced soils, topography, and vegetation of the eyes of island foxes, causing damage or in a notice published in the February islands (Coblentz 1980; Johnson 1980; temporary blindness (Laughrin 1977). 28, 1996, Federal Register (61 FR 7596), O’Malley 1994; Peart et al. 1994). we discontinued the designation of Damage to native island plants and their B. Overutilization for Commercial, category 2 candidates. Thus, all six habitats on the northern Channel Recreational, Scientific, or Educational subspecies of island fox were not Islands by introduced stock and game Purposes included in this and subsequent notices animals is evidenced by our 1997 listing Although island foxes were used in of review. In our most recent Notice of of 13 endemic island plants as the past for pelts and ceremonial uses Review, published on October 30, 2001 endangered or threatened (62 FR 40954). by Native Americans (Collins 1991b), (65 FR 54808), we included the San One result of overgrazing has been the island foxes are not currently known to Miguel, Santa Rosa, Santa Cruz and replacement of much of the native be exploited for commercial, Santa Catalina island foxes as candidate coastal sage scrub, chaparral, and oak recreational, scientific, or educational species. Candidate species are those woodland habitats with other purposes. species for which listing is warranted vegetation, especially non-native annual but precluded by other pending listing grasses such as Avena and Bromus spp. C. Disease or Predation actions, in accordance with section (Brumbaugh 1980; Klinger et al. 1994). Predation. Recent island fox declines 4(b)(3)(B)(iii) of the Act. Annual grasslands are less preferred as on San Miguel, Santa Cruz, and Santa On June 1, 2000, we received a habitat by island foxes (Laughrin 1977; Rosa islands have been attributed to petition from the Center for Biological Kovach and Dow 1982). The California predation by golden eagles (Roemer Diversity (Center) in Tucson, Arizona, Department of Fish and Game (CDFG), 1999; Coonan et al. in review; Roemer and the Institute for Wildlife Studies in in recommending the retention of the et al. in press). Roemer (1999) linked 19 Arcata, California, requesting that we island foxes classification as threatened of 21 documented island fox mortalities add four subspecies of island fox, the under State law, cited the continued on Santa Cruz Island between April San Miguel Island fox, Santa Rosa habitat degradation by herbivorous 1994 and July 1997 to golden eagles. On
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San Miguel Island, 5 of 7 mortalities of (Buteo jamaicensis), which preyed only Service, and The Nature Conservancy radio-collared foxes were attributed to occasionally on young island foxes funded a golden eagle removal program golden eagle predation during 1998 to (Laughrin 1973; Moore and Collins beginning in August of 1999. Between 1999 (Coonan et al. in review). No data 1995). The docile and inquisitive nature the fall of 1999 and 2000, 13 golden exist from Santa Rosa Island, but due to of the island fox (Laughrin 1977) eagles were captured from Santa Cruz its location between Santa Cruz and San suggests an evolutionary history lacking Island and relocated to northern Miguel islands, island foxes on Santa predation (Carlquist 1974). California. When trapping efforts ceased Rosa Island likely experience similar The recent colonization of the in the fall of 2000, an estimated seven predation pressures from golden eagles. northern Channel Islands by golden golden eagles remained on the northern As island foxes did not evolve under the eagles is likely a combination of two Channel Islands (Brian Walton, presence of a large avian predator, they factors: (1) Introduction of exotic SCPBRG, pers. comm. 2000). Golden are likely not vigilant towards avian mammals on the northern Channel eagle trapping was resumed in 2001, predators, and thus provide an easy Islands resulting in a historically with six eagles removed from Santa target for golden eagles (Roemer et al. in unprecedented prey base, and (2) the Cruz Island. Additional golden eagles press). Golden eagle predation likely extirpation of bald eagles (Haliaeetus seem to be coming from the mainland; continues to be the leading cause of leucocephalus) from the islands as a currently, five eagles (two adult females, mortality of island foxes on Santa Cruz result of one adult male and two subadults) Island. The deaths of 5 radio-collared dichlorodiphenyltrichloroethane (DDT) remain on Santa Cruz Island. Due to foxes during radio-tracking efforts in poisoning. Historically, the small trap wariness, the abundance of feral pig 2001 have been attributed to golden population of vertebrate island fauna prey, and the harsh topography of Santa eagle predation, based on the state of the would have provided little prey for Cruz Island, the remaining golden eagles carcasses and the presence of golden golden eagles, which rely on a diet of have proven difficult to trap (B. Latta, eagle feathers or avian feces at the small terrestrial vertebrates. Before the pers. comm. 2001a). Thus, despite these carcass site (D. Garcelon, pers. comm. ranching era on the Channel Islands, efforts to remove golden eagles from the 2001). transient golden eagles landing on the islands, golden eagle predation The current level of golden eagle islands would have found little prey to continues to be the main cause of activity on the northern Channel Islands encourage them to establish permanent mortality of island foxes on Santa Cruz is historically unprecedented (Paul residence. Furthermore, nesting bald Island, and would likely constitute a Collins, Santa Barbara Museum of eagles would have discouraged foraging serious predation threat to any foxes Natural History, unpublished data). golden eagles from establishing subsequently released from captive Golden eagles were known to residence by aggressively defending breeding programs on Santa Rosa and occasionally visit the islands but never their already established territories. San Miguel islands. to establish residence (Diamond and Bald eagles are represented in the Jones 1980; Jones and Collins, in prep.). prehistoric fossil record of the northern We are currently investigating the The first known active golden eagle nest Channel Islands (Guthrie 1993) and bred feasibility of reintroducing bald eagles from the Channel Islands was located on there until 1960 when nest failures, as to the northern Channel Islands Santa Cruz Island in 1999 (Gary Roemer, a result of DDT contamination, (Valoppi et al. 2000). As part of this New Mexico State University, pers. extirpated them from the northern feasibility study, releases of juvenile comm. 1999; SCPBRG 2001), but golden Channel Islands (Kiff 1980). bald eagles to Santa Rosa or Santa Cruz eagles were likely established on the Roemer et al. (in press) modeled time- Island could begin as early as 2002 (Dan island as early as 1994 (Roemer et al. in energy budgets and predation rates of Welsh, U.S. Fish and Wildlife Service, press). Island fox remains along with the golden eagles on Santa Cruz Island to pers. comm. 2001). The feasibility study remains of feral piglets (Sus scrofa), determine if the precipitous decline in is being conducted as a pilot project to ravens (Corvus corax), Brandt’s island foxes could be attributed to assess the potential breeding success of cormorants (Phalacrocorax pencillatus), predation alone. They concluded that bald eagles on the northern Channel and western gulls (Larus occidentalis) the island fox declines on the northern Islands, and will include several aspects were found in the nest. In September Channel Islands are a consequence of of monitoring bald eagle movement and 1999, surveys by SCPBRG identified 12 hyper-predation, defined as when a prey exposure to 2, 2-Bis (p-chlorophenyl)-1, resident golden eagles, including species that can sustain high predation 1-dechloroethylene (DDE), the possibly five breeding pairs on Santa rates subsidizes the extinction of metabolized form of DDT. The presence Cruz Island. Santa Cruz Island is now another prey species by acting as an of territorial golden eagles on the the main nesting and roosting location alternate food resource for a shared islands may hinder bald eagle for golden eagles on the northern predator (Courchamp et al. 1999). In reintroduction, because territorial Channel Islands, although one pair of this case, the large feral pig population golden eagles may chase away non- golden eagles may have nested on Santa enabled the golden eagle to colonize nesting bald eagles (B. Latta, pers. Rosa Island (B. Latta, pers. comm. 1999). Santa Cruz Island; a resident golden comm. 2001a). Currently, the NPS is in Golden eagles breeding on Santa Cruz eagle population could not have been the process of capturing golden eagles Island are thought to ‘‘commute’’ to supported by the native terrestrial on the northern Channel Islands as part Santa Rosa and San Miguel islands to vertebrate fauna (Roemer et al. in press). of an overall island fox recovery feed, where eagles have fewer Their model indicates that as few as six strategy. The presence of territorial bald alternative prey species to island foxes golden eagles could have driven the eagles on the northern Channel Islands (i.e., no feral pigs as there are on Santa island fox populations to the current may assist in discouraging transient Cruz Island) and foxes have less cover low levels. Between 1999 and the golden eagles from establishing breeding from vegetation to hide them from avian present, 19 golden eagles have been territories on the islands. However, the predators (Roemer 1999). translocated from Santa Cruz Island success of bald eagle introduction Before golden eagles started utilizing (SCPBRG 2001). efforts is uncertain, and would take the northern Channel Islands in the To protect island foxes on the years to discern, due to the long time it 1990s, the only known predator of northern Channel Islands from further takes for bald eagles to reach sexual island foxes was the red-tailed hawk declines, the National Park Service, the maturity (4 years or more). Therefore, if
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reintroduction efforts are successful, (Linda Munson, University of California populations (between 58 and 100 bald eagles will not nest on this island at Davis, pers. comm. 2001). Although percent in 1997–98), heartworm is not until 2006. To ensure that no golden the outbreak of canine distemper that thought to be responsible for the decline eagles return to the northern Channel precipitated the sudden decline of of island foxes for the following reasons: Islands, a large resident bald eagle island foxes on Santa Catalina Island (1) Seroprevalence on San Nicolas population would be necessary, because has apparently run its course, the Santa Island, where the population is stable, is Santa Cruz Island is large enough for Catalina Island subspecies remains higher than on Santa Cruz Island, where many eagle breeding territories. susceptible to another outbreak of the the population is decreasing (Roemer et Disease. On Santa Catalina Island, the disease due to the continued exposure al. in press), (2) heartworm was present large sudden decline in island foxes has to domestic dogs that may transmit the in all four subspecies in or before 1988, been attributed to canine distemper, virus. pre-dating the population declines, (3) most likely brought to the island by a Administration of an experimental seroprevalence in the San Miguel domestic dog (Timm et al. 2000). The canine distemper vaccine developed for population was high in 1994, when steep and sudden pattern of decline on ferrets (another species highly densities on that island reached the Santa Catalina Island is more indicative susceptible to canine distemper) to highest levels ever recorded for island of a disease outbreak rather than the some island foxes captured on Santa foxes, and (4) necropsy results have slower decline due to predation seen on Catalina Island has had promising found few adults worms in the hearts of the northern Channel Islands (Timm et preliminary results (S. Timm, pers. island foxes and no evidence of al. 2000). In addition to positive testing comm. 2001). With further testing, the heartworm disease (Roemer 1999). for canine distemper in foxes caught on vaccine may prove useful for protecting However, heartworm may have the east end of Santa Catalina Island, the island foxes on all islands from future contributed to mortality in older foxes evidence suggesting a disease-related canine distemper outbreaks. (Roemer et al. in press), exacerbating the decline versus other causes are: (1) The All island fox populations have been conservation crisis for the island fox. population decline on Santa Catalina surveyed for other canine diseases and Necropsies performed at the Island is of a similar magnitude (90 parasites. Although island foxes are University of California at Davis have percent) as on the northern Channel known to carry antibodies for a variety detected an unusually high degree of Islands, but has occurred within 1 year of canine diseases, none of these could thyroid atrophy (characterized by a rather than the steady 6-year decline explain the type or geographic complete absence of colloid in the seen on San Miguel, Santa Cruz, and distribution of the observed decline on thyroid gland) in island foxes from San Santa Rosa Islands; (2) the declines on the northern Channel Islands (Garcelon Clemente, Santa Catalina, San Nicolas, the northern islands are island-wide, et al. 1992; Coonan et al. 2000; Roemer and San Miguel islands (L. Munson, while the geographically restricted 1999; Roemer et al. in press). Although pers. comm. 2001). The cause of thyroid western population on Santa Catalina pathology work has not identified a atrophy in island foxes has yet to be Island has remained relatively healthy; specific cause of population decline investigated; thyroid atrophy in other and (3) sick foxes have been seen on (with the exception of canine distemper species has been linked to high levels of Santa Catalina Island but not on the virus on Santa Catalina Island), some polychlorinated biphenyl (PCBs). It is northern islands (G. Roemer, pers. underlying diseases or parasites may unclear how thyroid atrophy is affecting comm. 2000). also affect population viability or fox populations (L. Munson, pers. Two healthy adult foxes caught on the individual health (L. Munson, pers. comm. 2001). Pathology work on 89 east end of Santa Catalina Island in 1999 comm. 2001). The most common foxes has also detected an increased tested positive for canine distemper, antibodies found in island foxes are prevalence of emaciation (20 percent constituting the first positive records of canine adenovirus and canine pre-1994; 47 percent post-1994); it is canine distemper in island fox. A parvovirus (Garcelon et al. 1992). unknown why increased emaciation has necropsy of one island fox identified the Canine herpesvirus, coronavirus, occurred. cause of death as canine distemper leptospirosis, and toxoplasmosis have Island foxes held in captivity are (Timm et al. 2000). No island foxes been recorded at low levels (Garcelon et likely to be exposed to increased tested positive for canine distemper in al. 1992, Coonan et al. 2000, Roemer et parasite loads due to artificial densities a previous comprehensive serologic al. in press). The relative occurrence of and unnaturally low mobility. On San survey of all islands (Garcelon et al. canine adenovirus was similar before Miguel Island, captive island foxes have 1992), nor did any foxes from San and after the population crashes on been found to have high parasite loads Clemente, Santa Cruz, or San Miguel these islands, while antibodies for of Angiocaulus spp., Spirocerca spp., test positive for canine distemper virus parvovirus were detected from a small and Uncinaria spp. (L. Munson, during the period (1994 to 1997) of the number of samples from 1994, but not unpublished data). These parasites, fox decline on the northern islands detected in 1995 or 1997 samples thought to have had minor effects on the (Roemer et al. in press). The absence of (Coonan et al. 2000). Canine adenovirus population in the past (see Coonan et al. antibodies to canine distemper virus in may be typically present in the island in review), may have significant effects any island foxes during these studies fox populations (Garcelon et al. 1992), on individual fox health due to the implies that either the virus had never with little effect on individual health. facilitation of their spread and density been introduced to the islands, or the Canine parvovirus has been found in by the captive breeding situation. For species is highly susceptible to the virus other wild canids and can result in example, fox handlers have noticed high and none survive infection. As the mortality of pups, prior to emergence incidence of rectal bleeding in the closely related mainland gray fox is from the den (Garcelon et al. 1992). captive San Miguel population, likely highly susceptible to canine distemper Canine heartworm (Dirofilaria due to Uncinaria (a type of hookworm). virus, island foxes likely have high immitis) has been documented in four Hookworms feed on the inner lining of susceptibility as well (Garcelon et al. island fox subspecies (San Miguel, the small intestine and cause loss of 1992). This hypothesis is supported by Santa Cruz, Santa Rosa, and San Nicolas blood or hemorrhaging to the host, the deaths of two island foxes in zoos island foxes; Roemer et al. 2000). sometimes to the point of severe anemia from the inappropriate administration of Despite the high seroprevalence or and death. The NPS is working to modified live canine distemper vaccine occurence of heartworm in these address this threat by developing a
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treatment process for hookworm in benefit the welfare of the island fox. The ranch dogs on the island provided that coordination with the veterinary team of NPS developed a draft recovery plan for the dogs have proof of vaccination in the Island Fox Conservation Working island foxes on the northern Channel compliance with Santa Barbara County Group. Captive breeding programs to Islands to guide their recovery options. regulations, which requires only rabies facilitate recovery are planned to Steps are being taken to eliminate feral shots. continue for these four island fox pigs on Santa Cruz Island and decrease Federal protection of golden eagles by subspecies. Therefore, exposure to predation pressure on island foxes by the Bald and Golden Eagle Protection increased parasitic loads will continue relocating golden eagles from the Act of 1962, as amended, has increased to be a threat. northern Channel Islands. However, in the golden eagle population on some cases because of conflicting mainland California (B. Walton, pers. D. The Inadequacy of Existing management concerns, other priorities, comm. 2000). As a result, golden eagles Regulatory Mechanisms and lack of funding, conservation efforts have expanded their range in order to The primary causes of the decline of are not proceeding as quickly as establish breeding territories. The the island fox are the degradation of necessary. In addition to removing protections afforded golden eagles limit habitat by introduced herbivores, golden eagles, their feral pig prey base management alternatives to protect unprecedented predation by golden must be removed to prevent golden island foxes. Lethal removal of golden eagles, and the rapid transmission of eagles from recolonizing the islands. eagles would require a depredation canine distemper through the Santa San Miguel Island is under the permit from the Service. Such a permit Catalina subspecies. Federal, State and jurisdiction of the Navy, but the NPS would allow golden eagles to be taken local laws have not been sufficient to assists in managing the natural, historic, by firearms, traps, or other suitable prevent past and ongoing losses of and scientific values of San Miguel means except by poison or from aircraft island foxes. Island through a Memorandum of (50 CFR 22.23). The regulatory In 1971, the State of California listed Agreement (MOA) originally signed in restrictions on taking golden eagles limit the island fox as State-rare (a 1963, an amendment signed in 1976, the effectiveness of golden eagle designation later changed to and a supplemental Interagency removal, as the very steep topography threatened), which means that it may Agreement (IA) signed in 1985. The on Santa Cruz Island makes lethal not be taken without a special (i.e., MOA states that the ‘‘paramount use of removal of golden eagles from the scientific collecting) permit (CRC, Title the islands and their environs shall be ground unfeasible. 14, Section 41) or an incidental take for the purpose of a missile test range, California State law (Food and permit issued pursuant to section 2081 and all activities conducted by or in Agricultural Code 31752.5) prohibits of the California Endangered Species behalf of the Department of the Interior lethal control of feral cats unless cats are Act. However, this protection applies on such islands, shall recognize the held for a minimum of six days. This generally only to actual possession or priority of such use’’ (Navy 1963). In law prevents the Catalina Island intentional killing of individual addition to San Miguel, Santa Cruz and Conservancy from taking steps to animals, or actual death of individual Santa Rosa lie wholly within the Navy’s eradicate feral cats on the island, as it animals incidental to otherwise lawful Pacific Missile Test Center (PMTC) Sea does not have adequate facilities to hold activity, and may afford little or no Test Range. The 1985 IA provides for cats (see Factor E). protection to habitat. State law does not PMTC to have access and use of require Federal agencies to avoid or E. Other Natural or Manmade Factors portions of those islands, for Affecting Its Continued Existence compensate for impacts to the island fox expeditious processing of any necessary and its habitat. There are currently no permits by NPS, and for mitigation of Several other factors, including State regulatory mechanisms designed damage of park resources from any such competition from introduced species to protect island foxes on federally activity (Navy 1985). Should the Navy and stochastic environmental factors, managed lands, including San Miguel, no longer require use of the islands, may have negative effects on island Santa Rosa, and Santa Cruz islands. NPS would seek authorization for the foxes and their habitats. Federal law governs the management islands to be preserved and protected as Competition with feral cats. CDFG, in of NPS and Navy lands, including the units within the NPS system (Navy recommending the retention of the National Environmental Policy Act 1976). To date, conflicts concerning threatened classification of the island (NEPA), the Endangered Species Act, protection of sensitive resources on San fox under State law, cited competition the National Park Service Organic Act, Miguel Island have not occurred. with feral cats on Santa Catalina, San and the Marine Mammal Protection Act. However, if the Navy were to resume Nicolas, and San Clemente islands Many federally listed plant and animals use of San Miguel Island, there are no (CDFG 1987). The effects of cats on species, including 14 listed plants, the mechanisms in place to protect the island foxes are unknown and may brown pelican (Pelecanus occidentalis), island fox. differ among islands. Feral cats the southern sea otter (Enhydra lutris On islands managed by Federal outweigh island fox by an average of 2 nereis), the island night lizard (Xantusia agencies, prohibitions against bringing to 1 and may negatively affect island riversiana), and the western snowy domestic pets to the islands exist. These foxes by direct aggression, predation on plover (Charadrius alexandrinus prohibitions are difficult to enforce and young, disease transmission, and nivosus), occur on the Channel Islands. violations are known to occur. Boaters competition for food resources NPS management is further dictated by have been observed bringing pets (Laughrin 1978). Island fox population Department of the Interior policies and onshore to all three northern Channel decreases on San Nicolas Island were NPS policies and guidelines, including Islands with island fox populations. On accompanied by a concomitant increase NPS guidelines for natural resources Santa Catalina Island, health certificates in feral cat populations (Laughrin 1978). management (NPS 1991), and the or quarantines are not necessary to bring The presence of feral cats increases the Channel Islands National Park domestic pets to the islands, exposing risk of a transfer of infectious disease to Management Plan (NPS 1985). Both the island foxes to increased risk of disease. island foxes (Roelke-Parker et al. 1996). NPS and the Navy have adequate On Santa Rosa Island, a ranching Feral cats have been found to displace authority to manage the land and enterprise operating under a special use island foxes from habitats on San activities under their administration to permit from the NPS is allowed to have Nicolas Island (Kovach and Dow 1985).
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As has been seen on San Nicolas and Santa Rosa islands, which no longer Critical Habitat San Clemente islands, feral cats are have wild populations, the Critical habitat is defined in section 3 extremely difficult to eradicate, concentration of all island foxes into of the Act as: (i) The specific areas requiring ongoing yearly programs to small geographic areas increases the within the geographical area occupied keep numbers controlled (Phillips and vulnerability of these subspecies to by a species, at the time it is listed in Schmidt 1997). No feral cat control disease outbreaks. The extremely small accordance with the Act, on which are exists on Santa Catalina Island due to island fox population sizes on San found those physical or biological local ordinances and resistance to lethal Miguel, Santa Rosa and Santa Cruz features (I) essential to the conservation control from the residents of the island. islands puts those populations at risk of of the species and (II) that may require Lack of genetic variability. As a extinction due to demographic factors as special management consideration or population becomes genetically well. For example, 4 of the 14 original protection and, (ii) specific areas homogenous, its susceptibility to island foxes brought into the captive outside the geographical area occupied disease, parasites, and extinction propagation program on San Miguel by a species at the time it is listed in increases (O’Brien and Evermann 1988) Island were male. Skewed sex ratios accordance with the provisions of and its ability to evolve and adapt to may hinder recovery efforts for the section 4 of the Act, upon a environmental change is diminished species, because island foxes typically determination that such areas are (Templeton 1994). The four island fox form long-standing pair bonds and subspecies that have suffered large essential for the conservation of the unpaired females have never been species. ‘‘Conservation’’ means the use population declines could be at risk of recorded to raise a litter. having reduced genetic variability. Such of all methods and procedures needed Road mortalities. The fearless nature to bring the species to the point at population or demographic of island foxes, coupled with relatively ‘‘bottlenecks’’ may result in reductions which listing under the Act is no longer high vehicle traffic on the southern necessary. in genetic variation, depending on the Channel Islands, results in a number of size of the bottleneck and the growth Section 4(a)(3) of the Act, as vehicle collisions each year on islands amended, and implementing regulations rate of the population afterward (Meffe with human populations (Wilson 1976; and Carroll 1997). In fact, at least one (50 CFR 424.12) require that, to the Garcelon 1999; G. Smith, unpublished maximum extent prudent and previously variable microsatellite locus data). For example, on San Nicolas is now fixed (i.e., one DNA marker no determinable, the Secretary designate Island where vehicle collisions are the critical habitat at the time the species is longer exhibits any genetic variability) largest documented mortality source, an in the San Miguel Island captive determined to be endangered or average of 13 fox carcasses attributed to population following the decline (Gray threatened. Our regulations (50 CFR vehicle collisions are recovered each et al. 2001). The San Nicolas Island fox 424.12(a)(1) state that the designation of year (G. Smith, unpublished data). On has an unusually low degree of genetic critical habitat is not prudent when one San Clemente Island, vehicle strikes variability (Gilbert et al. 1990; Wayne et or both of the following situations claimed a minimum of 26 foxes between al. 1991a; Goldstein et al. 1999), which exist—(1) The species is threatened by the years 1991 and 1995 (Garcelon may have been due to a major historical taking or other human activity, and 1999), while in earlier times, Wilson bottleneck (Gilbert et al. 1990). A lack identification of critical habitat can be (1976) estimated that approximately 25 of genetic variability can correspond to expected to increase the degree of threat island foxes were killed each year. a reduced resistance to disease or to the species, or (2) such designation of physical abnormalities due to Although no records have been kept, critical habitat would not be beneficial inbreeding. Due to the low numbers of vehicle collisions on Santa Catalina to the species. individuals in the captive breeding Island likely cause a number of deaths In the case of these subspecies, programs and the lack of wild comparable to San Nicolas and San designation of critical habitat would not populations on San Miguel and Santa Clemente Islands. Vehicle collisions on be expected to increase the threats to the Rosa Islands, the lack of genetic the northern Channel Islands are subspecies and may provide some variability threatens the island foxes uncommon due to low traffic volume benefits. The primary regulatory effect from these islands. and the rough unpaved nature of most of critical habitat is the section 7 Stochastic environmental and roads. requirement that agencies refrain from population factors. Island endemic We have carefully assessed the best taking any action that destroys or species have high extinction risk due to scientific and commercial information adversely modifies critical habitat. isolation and small population sizes available regarding the past, present, While a critical habitat designation for (MacArthur and Wilson 1967). Because and future threats faced by these taxa in habitat currently occupied by this the island fox is restricted to small determining to propose this rule. The species would not be likely to change islands, it is more subject to the effects precipitous declines of all four island the section 7 consultation outcome of environmental perturbations and fox subspecies addressed in this rule are because an action that destroys or decline of birth rates due to low due to the indirect and direct effects of adversely modifies such critical habitat densities (i.e., Allee effects; Allee 1931) the introduction of non-native mammals would also be likely to result in than species occurring on the mainland. on all islands. Other threats include jeopardy to the species, there may be Reduced population size exposes the disease and competition from feral cats, instances where section 7 consultation island fox to both catastrophic road mortality on Santa Catalina Island, would be triggered only if critical environmental events (e.g., drought, and natural events which could habitat is designated. Examples could wildfire, or disease) and demographic diminish or destroy the small extant include unoccupied habitat or occupied factors (e.g., skewed sex ratios) that populations. Existing regulatory habitat that may become unoccupied in could cause or hasten extinction. mechanisms are inadequate to protect the future. Designating critical habitat Wildfires could affect island foxes by these taxa. Based on our evaluation, the may also produce some educational or reducing food availability, altering preferred action is to list the San Miguel informational benefits. Therefore, vegetation or resulting in the death of Island fox, Santa Cruz Island fox, Santa designation of critical habitat is prudent individual foxes (especially pups during Rosa Island fox, and Santa Catalina for the San Miguel, Santa Rosa, Santa the denning season). On San Miguel and Island fox as endangered. Cruz, and San Clemente Island foxes.
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However, our budget for listing critical habitat, the responsible Federal transport, or ship any such wildlife that activities is currently insufficient to agency must enter into consultation has been taken illegally. Further, it is allow us to immediately complete all with the Service, under section 7(a)(2) illegal for any person to attempt to the listing actions required by the Act. of the Act. San Miguel and Santa Rosa commit, to solicit another person to Listing these four island fox subspecies islands are entirely federally owned and commit, or to cause to be committed, without designation of critical habitat managed. Although 75 percent of Santa any of these acts. Certain exceptions will allow us to concentrate our limited Cruz Island is owned by The Nature apply to our agents and State resources on higher priority critical Conservancy, the entire island lies conservation agencies. habitat and other listing actions, while within the Channel Islands National Permits may be issued to carry out allowing us to put in place protections Park and Channel Islands National otherwise prohibited activities needed for the conservation of these Marine Sanctuary, and The Nature involving endangered wildlife under island fox subspecies without further Conservancy and the NPS coordinate certain circumstances. Regulations delay. This is consistent with section many of the resource management governing permits are codified at 50 4(b)(6)(C)(i) of the Act, which states that activities occurring on the island. Santa CFR 17.22 and 17.23. Such permits are final listing decisions may be issued Catalina Island is the only island fox available for scientific purposes, to without critical habitat designations locality that does not have substantial enhance the propagation or survival of when it is essential that such Federal involvement. Federal agency the species, and/or for incidental take in determinations be promptly published. actions that may affect the San Miguel, the course of otherwise lawful activities. We will prepare a critical habitat Santa Rosa, Santa Cruz, and Santa Permits are also available for zoological designation in the future at such time Catalina island foxes and may require exhibitions, educational purposes, or when our available resources allow it. conference and/or consultation with us special purposes consistent with the include, but are not limited to, those purposes of the Act. Requests for copies Available Conservation Measures within the jurisdiction of the U.S. Army of the regulations on listed species and Conservation measures provided to Corps of Engineers, the Navy, the NPS, inquiries about prohibitions and permits species listed as endangered or and the National Oceanic and may be addressed to the U.S. Fish and threatened under the Endangered Atmospheric Administration. Wildlife Service, Endangered Species Species Act include recognition, The listing of the San Miguel, Santa Permits, 911 NE 11th Avenue, Portland, recovery actions, requirements for Rosa, Santa Cruz, and Santa Catalina Oregon 97232–4181 (503/231–2063, Federal protection, and prohibitions island foxes as endangered would facsimile 503/231–6243). against certain practices. Recognition provide for the development and As published in the Federal Register through listing encourages public implementation of a recovery plan for on July 1, 1994 (59 FR 34272), it is our awareness and results in conservation these taxa. Such a plan will bring policy to identify to the maximum actions by Federal, State, and local together Federal, State, and local efforts extent practicable at the time a species agencies, private organizations, and for the conservation of these taxa. The is listed those activities that would or individuals. The Act provides for plan will establish a framework for would not constitute a violation of possible land acquisition and agencies to coordinate activities and to section 9 of the Act. The intent of this cooperation with the States and requires cooperate with each other in policy is to increase public awareness of that recovery actions be carried out for conservation efforts. The plan will set the effect of this listing on proposed and all listed species. Funding may be recovery priorities and estimate the ongoing activities within the species’ available through section 6 of the Act costs of the tasks necessary to range. for the State to conduct recovery accomplish the priorities. It will also We believe that, based on the best activities. The protection required of describe site-specific management available information, the following Federal agencies and the prohibitions actions necessary to achieve the actions are not likely to result in a against certain activities involving listed conservation of the San Miguel, Santa violation of section 9, provided these animals are discussed, in part, below. Rosa, Santa Cruz, and Santa Catalina activities are carried out in accordance Section 7(a) of the Act, as amended, island foxes. Additionally, pursuant to with existing regulations and permit requires Federal agencies to evaluate section 6 of the Act, we would be able requirements: their actions with respect to any species to grant funds to the State for (1) Possession, delivery, or movement, that is proposed or listed as endangered management actions promoting the including interstate transport and or threatened and with respect to its protection and recovery of the San import into or export from the United critical habitat, if any is being Miguel, Santa Rosa, Santa Cruz, and States, involving no commercial designated. Regulations implementing Santa Catalina island foxes. activity, of dead specimens of these taxa this interagency cooperation provision The Act and its implementing that were collected prior to the date of of the Act are codified at 50 CFR part regulations set forth a series of general publication in the Federal Register of a 402. Section 7(a)(4) of the Act requires prohibitions and exceptions that apply final regulation adding these taxa to the Federal agencies to confer with the to all endangered wildlife. These list of endangered species; Service on any action that is likely to prohibitions of section 9(a)(2) of the Act, (2) Actions that may affect the San jeopardize the continued existence of a implemented by 50 CFR 17.21 for Miguel, Santa Rosa, Santa Cruz, or Santa species proposed for listing or result in endangered species, make it illegal for Catalina island foxes that are destruction or adverse modification of any person subject to the jurisdiction of authorized, funded, or carried out by a proposed critical habitat. If a species is the United States to take (includes Federal agency, when the action is subsequently listed, section 7(a)(2) of harass, harm, pursue, hunt, shoot, conducted in accordance with an the Act requires Federal agencies to wound, kill, trap, capture, or collect; or incidental take statement issued by us ensure that activities they authorize, to attempt any of these), import or under section 7 of the Act; fund, or carry out are not likely to export, ship in interstate commerce in (3) Actions that may affect the Santa jeopardize the continued existence of the course of commercial activity, or sell Cruz or Santa Catalina island foxes that the species or destroy or adversely or offer for sale in interstate or foreign are not authorized, funded, or carried modify its critical habitat. If a Federal commerce any listed species. It is also out by a Federal agency, when the action may affect a listed species or its illegal to possess, sell, deliver, carry, action is conducted in accordance with
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an incidental take permit issued by us suggestions from the public, other You may request a public hearing on under section 10(a)(1)(B) of the Act. To concerned governmental agencies, the this proposal. Your request for a hearing obtain a permit, an applicant must scientific community, industry, or any must be made in writing and filed develop a habitat conservation plan and other interested party concerning this within 45 days of the date of publication apply for an incidental take permit that proposed rule are hereby solicited. of the proposal in the Federal Register. minimizes and mitigates impacts to the Comments particularly are sought Address your requests to the Field species to the maximum extent concerning: Supervisor (see ADDRESSES section). practicable; and (1) Biological, commercial, trade, or Peer Review (4) Actions that may affect the San other relevant data concerning any Miguel, Santa Rosa, Santa Cruz, or Santa threat (or lack thereof) to San Miguel, In accordance with our policy Catalina island foxes that are conducted Santa Rosa, Santa Cruz, or Santa published on July 1, 1994 (59 FR in accordance with the conditions of a Catalina island foxes; 34270), we will seek expert opinions of section 10(a)(1)(A) permit for scientific (2) The reasons why any habitat at least three appropriate independent research or to enhance the propagation should or should not be determined to specialists regarding this proposed rule. or survival of the species. be critical habitat pursuant to section 4 The purpose of such review is to ensure We believe that the following actions of the Act; listing decisions are based on could result in a violation of section 9; (3) Additional information concerning scientifically sound data, assumptions, however, possible violations are not the essential habitat features (biotic and and analysis. We will send copies of limited to these actions alone: abiotic), range, distribution, and this proposed rule immediately (1) Unauthorized collecting, trapping, population size of these taxa; and following publication in the Federal capturing, killing, harassing, sale, (4) Current or planned activities in the Register to these peer reviewers. We delivery, or movement, including subject area and their possible impacts will invite these peer reviewers to interstate, and foreign commerce, or on these taxa. comment, during the public comment harming, or attempting any of these If you wish to comment, you may period, on the specific assumptions and actions, of San Miguel, Santa Rosa, submit your comments and materials conclusions regarding the proposed Santa Cruz, or Santa Catalina island concerning this proposal by any one of designation of critical habitat. foxes without a permit (research several methods, as listed above in Executive Order 12866 activities where San Miguel, Santa Rosa, ADDRESSES. If you submit comments by Executive Order 12866 requires Santa Cruz, or Santa Catalina island e-mail, please submit comments as an foxes are trapped or captured will agencies to write regulations that are ASCII file format and avoid the use of easy to understand. We invite your require a permit under section special characters and encryption. 10(a)(1)(A) of the Endangered Species comments on how to make this proposal Please include ‘‘Attn: [RIN 1018–AI28]’’ easier to understand including answers Act); and your name and return address in (2) The transportation of unvaccinated to questions such as the following: (1) your e-mail message. If you do not domestic animals, which transmit Is the discussion in the SUPPLEMENTARY receive a confirmation from the system diseases or parasites to island foxes INFORMATION section of the preamble that we have received your e-mail causing serious injury or death on the helpful in understanding the proposal? message, contact us directly by calling San Miguel, Santa Rosa, Santa Cruz, or (2) Does the proposal contain technical our Ventura Fish and Wildlife Office at Santa Catalina islands; language or jargon that interferes with (3) Destruction or alteration of phone number 805/644–1766. Please its clarity? (3) Does the format of the occupied habitat of the San Miguel, note that this e-mail address will be proposal (grouping and order of Santa Rosa, Santa Cruz, or Santa closed out at the termination of the sections, use of headings, paragraphing, Catalina island foxes (e.g., excavating, public comment period. etc.) aid or reduce its clarity? What else compacting, grading, discing, or Our practice is to make comments, could we do to make the proposal easier removing soil or vegetation); including names and home addresses of to understand? (4) Destruction or alteration of San respondents, available for public review Miguel, Santa Rosa, Santa Cruz, or Santa during regular business hours. National Environmental Policy Act Catalina island fox dens, even when Commenters may request that we We have determined that an seasonally unoccupied when the withhold their home address, which we environmental impact statement and destruction results in irreparable harm; will honor to the extent allowable by environmental assessment, as defined and law. In some circumstances, we may under the authority of the National (5) Discharges or dumping of toxic also withhold a commenter’s identity, as Environmental Policy Act of 1969, need chemicals, or other pollutants into San allowable by law. If you wish us to not be prepared in connection with Miguel, Santa Rosa, Santa Cruz, or Santa withhold your name or address, you regulations adopted pursuant to section Catalina island fox habitat, including must state this request prominently at 4(a) of the Act. A notice outlining the dens or burrows, that results in death or the beginning of your comment. Service’s reasons for this determination injury of the species or that results in However, we will not consider was published in the Federal Register degradation of their occupied habitat. anonymous comments. To the extent on October 25, 1983 (48 FR 49244). Questions regarding whether specific consistent with applicable law, we will Paperwork Reduction Act activities would constitute a violation of make all submissions from section 9 should be directed to our organizations or businesses, and from This rule does not contain any Ventura Fish and Wildlife Office (see individuals identifying themselves as information collection requirements for ADDRESSES section). representatives or officials of which Office of Management and organizations or businesses, available Budget (OMB) approval under the Public Comments Solicited for public inspection in their entirety. Paperwork Reduction Act, 44 U.S.C. The Service intends that any final Comments and materials received will 3501 et seq., is required. Any action resulting from this proposal will be available for public inspection, by information collection related to the be as accurate and as effective as appointment, during normal business rule pertaining to permits for possible. Therefore, comments or hours at the above address. endangered and threatened species has
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OMB approval and is assigned clearance References Cited I, title 50 of the Code of Federal number 1018–0094. This rule does not Regulations, as set forth below: alter that information collection A complete list of all references cited requirement. For additional information herein is available upon request from PART 17—[AMENDED] concerning permits and associated the Ventura Fish and Wildlife Office requirements for endangered wildlife (see ADDRESSES section). 1. The authority citation for part 17 species, see 50 CFR 17.22. Author continues to read as follows: Executive Order 13211 The primary author of this proposed Authority: 16 U.S.C. 1361–1407; 16 U.S.C. 1531–1544; 16 U.S.C. 4201–4245; Pub. L. 99– On May 18, 2001, the President issued rule is Bridget Fahey, U.S. Fish and 625, 100 Stat. 3500, unless otherwise noted. an Executive Order (E.O. 13211) on Wildlife Service, Ventura Fish and regulations that significantly affect Wildlife Office (see ADDRESSES section). 2. Section 17.11(h) is amended by adding the following, in alphabetical energy supply, distribution, and use. List of Subjects in 50 CFR Part 17 Executive Order 13211 requires agencies order under MAMMALS, to the List of to prepare Statements of Energy Effects Endangered and threatened species, Endangered and Threatened Wildlife: when undertaking certain actions. This Exports, Imports, Reporting and record rule is not expected to significantly keeping requirements, Transportation. § 17.11 Endangered and threatened affect energy supplies, distribution, or wildlife. Proposed Regulation Promulgation use. Therefore, this action is not a * * * * * significant energy action and no Accordingly, we hereby propose to (h) * * * Statement of Energy Effects is required. amend part 17, subchapter B of chapter
Species Vertebrate popu- Historic range lation where endan- Status When listed Critical habi- Special Common name Scientific name gered or threatened tat rules
MAMMALS
******* Fox, San Miguel Is- Urocyon littoralis U.S.A., CA ...... U.S.A., CA ...... E ...... NA NA land. littoralis. Fox, Santa Catalina Urocyon littoralis U.S.A., CA ...... U.S.A., CA ...... E ...... NA NA Island. catalinae. Fox, Santa Cruz Is- Urocyon littoralis U.S.A., CA ...... U.S.A., CA ...... E ...... NA NA land. santacruzae. Fox, Santa Rosa Is- Urocyon littoralis U.S.A., CA ...... U.S.A., CA ...... E ...... NA NA land. santarosae.
*******
Dated: November 29, 2001. October 12, 2001. The rule would should be sent to the above address. Marshall P. Jones, Jr., implement our preferred alternative Alternatively, comments may be Acting Director, U.S. Fish and Wildlife identified in a Draft Environmental submitted electronically to the Service. Impact Statement (DEIS) on light goose following address: [FR Doc. 01–30188 Filed 12–7–01; 8:45 am] management. The rule would authorize [email protected]. new methods of take for light goose BILLING CODE 4310–55–P FOR FURTHER INFORMATION CONTACT: Jon hunting. In addition, the rule would Andrew, Chief, Division of Migratory revise the regulations for the Bird Management, (703) 358–1714. DEPARTMENT OF THE INTERIOR management of overabundant light goose populations and modifies the SUPPLEMENTARY INFORMATION: On Fish and Wildlife Service conservation order that will increase September 28, 2001 (66 FR 49668), and take of such populations. October 5, 2001 (66 FR 51274), notices 50 CFR Parts 20 and 21 were published in the Federal Register DATES: Written comments on the announcing the availability of our DEIS RIN 1018–AI07 proposed rule must be received on or on light goose management. The DEIS before January 25, 2002. Migratory Bird Hunting and Permits; evaluates four management alternatives ADDRESSES: Regulations for Managing Harvest of Comments on the proposed to address habitat destruction and Light Goose Populations; Extension of rule should be mailed to Chief, Division agricultural depredations caused by Comment Period of Migratory Bird Management, U.S. light geese on various breeding, Fish and Wildlife Service, Department migration, and wintering areas: (1) No AGENCY: Fish and Wildlife Service, of the Interior, ms 634—ARLSQ, 1849 C Action or a continuation to manage light Interior. Street NW., Washington, DC 20240. goose populations through existing ACTION: Proposed rule; extension of Requests for copies of the DEIS should wildlife management policies and comment period. be mailed to the above address. Copies practices (Alternative A); (2) modify of the DEIS can be downloaded from the harvest regulation options and refuge SUMMARY: The U.S. Fish and Wildlife Division of Migratory Bird Management management (Alternative B) Service (Service) is extending the web site at http:// (PREFERRED); (3) implement direct comment period on a proposed rule migratorybirds.fws.gov/issues/snowgse/ agency control of light goose published in the Federal Register on tblcont.html. Comments on the DEIS populations on migration and wintering
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areas in the U.S. (Alternative C); (4) seek Dated: November 21, 2001. (978) 465–0492. Comments may also be direct light goose population control on Joseph E. Doddridge, submitted via facsimile (fax) to (978) breeding grounds in Canada (Alternative Assistant Secretary for Fish and Wildlife and 465–3116. Comments and requests for D). Our preferred alternative Parks. information should be marked (Alternative B) modifies existing light [FR Doc. 01–30411 Filed 12–7–01; 8:45 am] ‘‘Monkfish Amendment 2.’’ The Council goose hunting regulations to expand BILLING CODE 4310–55–P will not accept unsigned faxes or methods of take during normal hunting comments by email. season frameworks. In addition, we FOR FURTHER INFORMATION CONTACT: propose to create a conservation order to DEPARTMENT OF COMMERCE Contact Paul J. Howard, Executive Director, telephone (978) 465–0492. allow take of light geese outside of National Oceanic and Atmospheric SUPPLEMENTARY INFORMATION: normal hunting season frameworks. On Administration October 12, 2001 (66 FR 52077) we Background published a proposed rule in the 50 CFR Part 648 Federal Register that would implement The FMP, implemented November 8, [I.D. 112701C] our preferred alternative. On November 1999 (64 CFR 54732, October 7, 1999), contains management programs for the 7, 2001 (66 FR 56266) we published a Fisheries of the Northeastern United Northern and Southern Fishery correction in the Federal Register that States; Northeast Monkfish Fishery; Management Areas (NFMA and SFMA, added New Jersey to the list of States Scoping Process respectively) based on incremental eligible to implement special light goose AGENCY: reductions in fishing mortality rates to regulations. We inadvertently omitted National Marine Fisheries Service (NMFS), National Oceanic and stop overfishing and rebuild monkfish New Jersey from the list of States Atmospheric Administration (NOAA), stocks by 2009. The FMP calls for contained in the proposed rule. Commerce. elimination of the directed fishery for We have received a request to extend ACTION: Notification of intent to prepare monkfish in Year 4, starting May 1, the comment period on the DEIS. The a Supplemental Environmental Impact 2002, unless a plan review during Year Service invites careful consideration by Statement (SEIS) and notice of scoping 3 indicates that the Councils should use all parties, and welcomes serious process; request for comments. another management measure. The 31st scrutiny from those committed to the Northeast Regional stock Assessment long-term conservation of migratory SUMMARY: The New England and Mid- Workshop SAW 31) conducted by birds. Therefore, to facilitate substantive Atlantic Fishery Management Councils NMFS in 2000 concluded that the (Councils) announce their intent to public review, we are also extending the current proxy-based biological reference prepare Amendment 2 to the Monkfish comment period on the proposed rule points on which the plan is based are Fishery Management Plan (FMP) and to unreliable, and that current fishing from December 11, 2001, to January 25, prepare an SEIS in accordance with the 2002. Extension of the comment period mortality rates could not be reliably National Environmental Policy Act estimated. Based on this assessment, the on the DEIS is made through a separate (NEPA) to analyze the impacts of any notice in this issue of the Federal Councils are considering a 1-year delay proposed management measures on the in the Year 4 default measures. Register. human environment. The Councils, A new assessment, scheduled for In order to be considered, electronic with New England Council having the January, 2002 will address many of the submission of comments must include lead authority, jointly manage the issues raised at SAW 31, and your name and postal mailing address; fishery. The amendment would be incorporate data collected during a we will not consider anonymous developed pursuant to the Magnuson- cooperative survey with the monkfish comments. All comments received, Stevens Fishery Conservation and industry in the spring of 2001. The including names and addresses, will Management Act (Magnuson-Stevens Councils intend to consider this new become part of the public record. The Act). The Councils also formally scientific information and take public may inspect comments during announce the initiation of a public appropriate action to modify the FMP so normal business hours in Room 634— process to determine the scope of issues that the goal of rebuilding the stocks can Arlington Square Building, 4401 N. to be addressed in the environmental be achieved by 2009. Fairfax Drive, Arlington, Virginia. impact statement (EIS). The purpose of In addition, while the Councils were Requests for such comments will be this notice is to alert the interested developing the original Monkfish FMP, handled in accordance with the public of the scoping process and to a new fishery for monkfish emerged in provide for public participation in Freedom of Information Act and the the waters south of the North Carolina/ compliance with NEPA. Council on Environmental Quality’s Virginia border. Some vessels from that DATES: The Councils will discuss and area began participating in the fishery National Environmental Policy Act take scoping comments at public shortly after publication of a notice of regulations [40 CFR 1506.6(f)]. Our meetings in January and February 2002. control date for limited entry into the practice is to make comments available See SUPPLEMENTARY INFORMATION for Atlantic monkfish fishery on February for public review during regular specific dates and times. Written 27, 1995 (60 FR 10574). These vessels business hours. Individual respondents scoping comments must be received on did not hold any northeast fishery may request that we withhold their or before 5 p.m. local time, February 11, permits and, therefore, did not receive home address from the record, which 2002. timely notice of the actions related to we will honor to the extent allowable by ADDRESSES: Written comments and the monkfish fishery being considered law. If a respondent wishes us to requests for copies of the scoping by the Councils. Although the withhold his/her name and/or address, document and other information should management unit for the FMP was this must be stated prominently at the be directed to Paul J. Howard, Executive initially defined as ending at the North beginning of the comment. Director, New England Fishery Carolina/Virginia border, which would Management Council, 50 Water Street, have excluded those vessels from the Newburyport, MA, 01950, Telephone FMP provisions, the boundary was
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shifted southward (to the North 2001) and the Councils will consider where the public scoping comments Carolina/South Carolina border) during scoping comments submitted in that will be heard when those agendas are the development of the FMP. process when preparing Amendment 2. finalized. Meanwhile, the public hearing NMFS and the Councils will jointly All persons affected by, or otherwise document mistakenly retained the develop EFH analysis and management interested in monkfish fisheries original management unit definition alternatives to minimize adverse effects management, are invited and with the North Carolina/Virginia of fishing activities on EFH for encouraged to participate in this boundary as its Southern border. As a consideration in the FMP. process, and to assist the Councils in result of the circumstances described Scoping Process developing the scope of issues to be above, a number of vessels failed to The public will have an opportunity considered and alternatives to be qualify for limited access permits. to provide oral comments at the January analyzed in the SEIS. The Councils will Because of some confusion regarding meetings of the Councils and may also use the scoping process to identify the correct southern boundary line, the submit written comments through and eliminate from consideration issues Councils are considering options for February 11, 2002 [see DATES and that are not significant. addressing this issue in Amendment 2. ADDRESSES]. The New England Council Authority: 16 U.S.C. 1801 et seq. Third, in response to a U.S. District meeting is scheduled for January 15-17, Dated: December 4, 2001. Court Order (AOC v. Daley, September 2002 at the Courtyard by Marriott, 14, 2000), NMFS and the Councils are Portsmouth, NH and the Mid-Atlantic Valerie L. Chambers, re-evaluating the essential fish habitat Council meeting for January 29-31 at the Acting Director, Office of Sustainable (EFH) components of the FMP. NMFS Meadowlands Plaza Hotel, Secaucus, Fisheries, National Marine Fisheries Service. has already initiated scoping on this NJ. The Councils will notify the public [FR Doc. 01–30464 Filed 12–7–01; 8:45 am] matter (66 FR 46979, September 10, of the specific times on the agendas BILLING CODE 3510–22–S
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Notices Federal Register Vol. 66, No. 237
Monday, December 10, 2001
This section of the FEDERAL REGISTER entered into by FSA. That section also Comments will be summarized and contains documents other than rules or authorizes transfers of security property included in the request for OMB proposed rules that are applicable to the as the Secretary deems necessary to approval of the information collection. public. Notices of hearings and investigations, carry out the purpose of the loan or All comments will also become a matter committee meetings, agency decisions and protect the Government’s financial of public record. rulings, delegations of authority, filing of petitions and applications and agency interest. Section 335 of the Act provides Signed in Washington, DC, on November statements of organization and functions are servicing authority for real estate 20, 2001. examples of documents appearing in this security, operation or lease of realty, John W. Williams, section. disposition of property, conveyance of Acting Administrator, Farm Service Agency. real property interests of the United [FR Doc. 01–30392 Filed 12–7–01; 8:45 am] States, including dispositions for DEPARTMENT OF AGRICULTURE easements and rights of way. The BILLING CODE 3410–05–P information collection required by this Farm Service Agency subpart relates to a program benefit DEPARTMENT OF AGRICULTURE recipient or loan borrower requesting Request for Extension of a Currently action on security which they own Food Safety and Inspection Service Approved Information Collection which has been mortgaged to the AGENCY: Farm Service Agency, USDA. Agency to secure a Government loan. [Docket No. 01–038N] ACTION: Notice and request for The information to be collected will comments. primarily be financial data not already Codex Alimentarius: Meeting of the on file, such as borrower asset values. Codex Committee on Meat and Poultry SUMMARY: In accordance with the Estimate of Burden: Public reporting Hygiene Paperwork Reduction Act of 1995, this burden for this collection of information AGENCY: notice announces the intent of the Farm is estimated to average .42 hours per Office of the Under Secretary Service Agency (FSA) to request an response. for Food Safety, USDA. extension of currently approved Respondents: Individuals or ACTION: Notice of public meeting, information collection for a regulation households, businesses or other for request for comments. used in support of the FSA Farm Loan profit farming entities. SUMMARY: The Office of the Under Programs (FLP). This renewal does not Estimated Number of Respondents: Secretary for Food Safety, U.S. involve any revisions to the program 15,246. Department of Agriculture (USDA), is rules. Estimated Number of Responses per Respondent: 1. sponsoring a public meeting on DATES: Comments on this notice must be Estimated Total Annual Burden on December 12, 2001, to provide received on or before February 8, 2002 Respondents: 6,436 hours. information and receive public to be assured consideration. Comments are invited on: (a) Whether comments on agenda items that will be FOR FURTHER INFORMATION CONTACT: the collection of information is discussed at the Eighth Session of the Michael Cumpton, Senior Loan Officer, necessary for the proper performance of Codex Committee on Meat and Poultry USDA, Farm Service Agency, Farm the functions of the agency, including Hygiene, which will be held in Loan Programs, Loan Servicing whether the information will have Wellington, New Zealand, on February Division, 1400 Independence Avenue, practical utility; (b) the accuracy of the 18–22, 2002. The Under Secretary SW., STOP 0523, Washington, DC agency’s estimate of burden including recognizes the importance of providing 20250–0523; Telephone (202) 690–4014; the validity of the methodology and interested parties with information Electronic mail: assumptions used; (c) ways to enhance about the Codex Committee on Meat [email protected]. the quality, utility and clarity of the and Poultry Hygiene of the Codex Alimentarius Commission and to SUPPLEMENTARY INFORMATION: information to be collected; (d) ways to Title: (7 CFR 1965–A) Servicing of minimize the burden of the collection of address items on the Agenda for the 8th Real Estate Security for Farmer Program information on those who are to Session of the Committee. Loans and Certain Note-Only Cases. respond, including through the use of DATES: The public meeting is scheduled OMB Control Number: 0560–0158. appropriate automated, electronic, for Wednesday, December 12, 2001, Expiration Date: Jan. 31, 2002. mechanical, or other technological from 9 a.m. to 12 p.m. Type of Request: Extension of a collection techniques or other forms of ADDRESSES: The public meeting will be Currently Approved Information information technology. These held at the Washington Plaza Hotel in Collection. comments should be sent to the Desk the Diplomat Room, 10 Thomas Circle, Abstract: This regulation promulgates Officer for Agriculture, Office of Washington, DC. provisions of sections 331 and 335 of Information and Regulatory Affairs, To receive copies of the documents the Consolidated Farm and Rural Office of Management and Budget, referenced in the notice contact the FSIS Development Act (Act) (7 U.S.C. Secs. Washington, DC 20503 and to Michael Docket Room, U.S. Department of 1981 and 1985). Section 331 of the Act, Cumpton, Senior Loan Officer, USDA, Agriculture, Food Safety and Inspection in part, authorizes the Secretary of FSA, Farm Loan Programs, Loan Service, Room 102, Cotton Annex, 300 Agriculture to modify, subordinate and Servicing Division, 1400 Independence 12th Street, SW., Washington, DC release terms of security instruments, Avenue, SW., STOP 0523, Washington, 20250–3700. The documents will also leases, contracts, and agreements DC 20250–0523. be accessible via the World Wide Web
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at the following address: http:// Public Meeting Resources Conservation Service Rules (7 www.codexalimentarius.net/agend.htm. At the December 10th public meeting, CFR part 650); the Natural Resources If you have comments, please send an the agenda items will be described and Conservation Service, U.S. Department original and two copies to the FSIS discussed, and attendees will have the of Agriculture, gives notice that an Docket Room at the address above and opportunity to pose questions and offer environmental impact statement is not reference Docket 01–038N and the comments. Written comments should being prepared for the rehabilitation of document number. All comments state that they relate to activities of the two dams (Sites 1 and 2) and a submitted will be available for public 8th Session of the Codex Committee on floodwater diversion (FD–1) in the inspection in the Docket Room between Meat and Poultry Hygiene. Hackberry Draw Watershed. 8:30 a.m. and 4:30 p.m., Monday FOR FURTHER INFORMATION CONTACT: through Friday. Additional Public Notification Rosendo Trevin˜ o III; State FOR FURTHER INFORMATION CONTACT: Public awareness of all segments of Conservationist; Natural Resources Patrick J. Clerkin, Associate U.S. rulemaking and policy development is Conservation Service; 6200 Jefferson, Manager for Codex, U.S. Codex Office, important. Consequently, in an effort to NE; Albuquerque, NM 87109–3734; Food Safety and Inspection Service, better ensure that minorities, women, telephone 505–761–4400. Room 4861, South Building, 1400 and persons with disabilities are aware SUPPLEMENTARY INFORMATION: The Independence Avenue, SW., of this notice, FSIS will announce it and environmental assessment (EA) of this Washington, DC 20250, Phone: (202) provide copies of this Federal Register federally assisted action indicates that 205–7760, Fax: (202) 720–3157. publication in the FSIS Constituent the project will not cause significant SUPPLEMENTARY INFORMATION: Update. FSIS provides a weekly local, regional, or national effects on the Constituent Update, which is human environment. As a result of these Background communicated via fax to over 300 findings, Rosendo Trevin˜ o III, State The Codex Alimentarius Commission organizations and individuals. In Conservationist, has determined that the was established in 1962 by two United addition, the update is available on-line preparation and review of an Nations organizations, the Food and through the FSIS web page located at environmental impact statement are not Agriculture Organization (FAO) and the http://www.fsis.usda.gov. The update is needed for this project. World Health Organization (WHO). used to provide information regarding The project purpose is flood damage Codex is the major international FSIS policies, procedures, regulations, prevention. The action includes the organization for encouraging fair Federal Register notices, FSIS public rehabilitation of two floodwater international trade in food and meetings, recalls, and any other types of retarding dams and one floodwater protecting the health and economic information that could effect or would diversion. The Notice of a Finding of No interests of consumers. Through be of interest to our constituents/ Significant Impact (FNSI) has been adoption of food standards, codes of stakeholders. The constituent fax list forwarded to the Environmental practice, and other guidelines consists of industry, trade, and farm Protection Agency; various Federal, developed by its committees, and by groups, consumer interest groups, allied state, and local agencies; and interested promoting their adoption and health professionals, scientific parties. A limited number of copies of implementation by governments, Codex professionals, and other individuals that the FNSI are available to fill single copy seeks to ensure that the world’s food have requested to be included. Through requests at the above address. Basic data supply is sound, wholesome, free from these various channels, FSIS is able to developed during the EA are on file and adulteration, and correctly labeled. In provide information to a much broader, may be reviewed by contacting Rosendo the United States, USDA, FDA, and EPA more diverse audience. Trevin˜ o III. No administrative action on manage and carry out U.S. Codex For more information and to be added implementation of the proposed action activities. to the constituent fax list, fax your will be taken until 30 days after the date The Codex Executive Committee request to the Congressional and Public of this publication in the Federal (CEC), at its 47th Session in 2000, asked Affairs Office, at (202) 720–5704. Register. that the Codex Committee on Meat F. Edward Scarbrough, Rosendo Trevin˜ o III, Hygiene reconvene to redraft the U.S. Manager for Codex Alimentarius. State Conservationist. existing codes on meat hygiene so that [FR Doc. 01–30393 Filed 12–7–01; 8:45 am] [FR Doc. 01–30398 Filed 12–7–01; 8:45 am] they reflect contemporary BILLING CODE 3410–DM–P BILLING CODE 3410–16–P developments. The CEC also asked that the scope of the existing codes include poultry hygiene. These DEPARTMENT OF AGRICULTURE DEPARTMENT OF AGRICULTURE recommendations were confirmed by the 24th Session of the Codex Natural Resources Conservation Rural Utilities Service Alimentarius Commission in July 2001, Service and it was agreed that the name of the Georgia Transmission Corporation; Committee would be amended to the Hackberry Draw Watershed, Eddy Notice of Finding of No Significant Codex Committee on Meat and Poultry County, NM Impact Hygiene (CCMPH). AGENCY: Natural Resources AGENCY: Rural Utilities Service, USDA. Issues To Be Discussed at the Public Conservation Service ACTION: Notice of finding of no Meeting ACTION: Notice of a finding of no significant impact. significant impact. The provisional agenda items to be SUMMARY: Notice is hereby given that discussed during the public meeting are: SUMMARY: Pursuant to section 102(2)(c) the Rural Utilities Service (RUS) has —Proposed Draft General Principles of of the National Environmental Policy made a finding of no significant impact Meat Hygiene Act of 1969; the Council on (FONSI) with respect to a request from —Proposed Draft Code of Hygienic Environmental Quality Regulations (40 Georgia Transmission Corporation for Practice for Fresh Meat CFR part 1500); and the Natural assistance from the RUS to finance the
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construction of a 230 kV transmission DEPARTMENT OF AGRICULTURE Springs Road. The transmission line and line in Mitchell County, Georgia. substation would require virtually no Rural Utilities Service clearing or major earth movement FOR FURTHER INFORMATION CONTACT: Bob activities. The transmission line support Quigel, Environmental Protection Georgia Transmission Corporation; structures will be between 60 and 80 Specialist, Engineering and Notice of Finding of No Significant feet tall. The substation will require 2.25 Environmental Staff, RUS, Stop 1571, Impact acres. 1400 Independence Avenue, SW., AGENCY: Rural Utilities Service, USDA. Copies of the FONSI are available for Washington, DC 20250–1571, telephone review at, or can be obtained from, RUS (202) 720–0468, fax (202) 720–0820, e- ACTION: Notice of finding of no significant impact. at the address provided herein or from mail at [email protected]. Ms. Wende Martin, Georgia SUPPLEMENTARY INFORMATION: No SUMMARY: Notice is hereby given that Transmission Corporation, 2100 East comments were received by RUS via e- the Rural Utilities Service (RUS) has Exchange Place, Tucker, Georgia 30085– mail or telephone during the 30-day made a finding of no significant impact 2088, telephone (770) 270–7591. Ms. comment period, which closed on (FONSI) with respect to a request from Martin’s e-mail address is November 5, 2001. However, mail Georgia Transmission Corporation for [email protected]. service to the U.S. Department of assistance from the RUS to finance the Dated: December 4, 2001. Agriculture has been disrupted during construction of a 230 kV transmission Alfred Rodgers, line and a 230/25 kV substation in Hall the comment period due to screening of Acting Assistant Administrator, Electric mail for potential anthrax County, Georgia. Program, Rural Utilities Service. contamination. Any person that sent FOR FURTHER INFORMATION CONTACT: Bob [FR Doc. 01–30454 Filed 12–7–01; 8:45 am] Quigel, Environmental Protection written comments on the environmental BILLING CODE 3410–15–P assessment through the U.S. Postal Specialist, Engineering and Service to RUS during the comment Environmental Staff, RUS, Stop 1571, period should contact RUS at the 1400 Independence Avenue, SW., telephone number listed above within 5 Washington, DC 20250–1571, telephone DEPARTMENT OF COMMERCE (202) 720–0468, fax (202) 720–0820, e- working days of this notice to ensure International Trade Administration their comments are considered prior to mail at [email protected]. project construction. Should RUS SUPPLEMENTARY INFORMATION: No [A–570–863] conclude that any written comments comments were received by RUS via e- that may have been submitted during mail or telephone during the 30-day Notice of Amended Final the official comment period warrant comment period, which closed on Determination of Sales at Less Than further review and would cause November 23, 2001. However, mail Fair Value and Antidumping Duty reconsideration of RUS’ decision, the service to the U.S. Department of Order; Honey From the People’s public would be so notified. Otherwise, Agriculture has been disrupted during Republic of China this FONSI notice will serve as the final the comment period due to screening of AGENCY: public notice of this project. mail for potential anthrax Import Administration, contamination. Any person that sent International Trade Administration, The project is to be named the written comments on the environmental Department of Commerce. Raccoon Creek Transmission Line. assessment through the U.S. Postal ACTION: Notice of antidumping duty Georgia Transmission Corporation Service to RUS during the comment order and amendment to final proposes to construct the 230 kV period should contact RUS at the determination. electric transmission line south of telephone number listed above within 5 Albany, Georgia, in Mitchell County. working days of this notice to ensure EFFECTIVE DATE: December 10, 2001. The approximate length of the their comments are considered prior to FOR FURTHER INFORMATION CONTACT: transmission line is 6 miles. It will project construction. Should RUS Angelica Mendoza, Charles Rast, or traverse between Plant Mitchell located conclude that any written comments Donna Kinsella at (202) 482–3019, (202) west of Route 19 near the Dougherty/ that may have been submitted during 482–1324, or (202) 482–0194, Mitchell County line to the 500/230 kV the official comment period warrant respectively; Antidumping and Raccoon Creek Substation which is further review and would cause Countervailing Duty Enforcement Group currently under development near the reconsideration of RUS’ decision, the III, Office Eight, Import Administration, intersection of Jackson Darry Road and public would be so notified. Otherwise, International Trade Administration, Stagecoach Road. this FONSI notice will serve as the final U.S. Department of Commerce, 14th Copies of the FONSI are available for public notice of this project. Street and Constitution Avenue NW., review at, or can be obtained from, RUS The transmission line will tap off of Washington, DC 20230. at the address provided herein or from the existing 230 kV Gainesville #2— Mr. John Lasseter, Georgia Transmission Winder transmission line at a point The Applicable Statute and Regulations Corporation, 2100 East Exchange Place, approximately 1⁄2 mile southeast of the Unless otherwise indicated, all Tucker, Georgia 30085–2088, telephone junction of Lee Land Road and Webb citations to the statute are references to (770) 270–7710. Mr. Lasseter’s e-mail Girth Road. The transmission line will the provisions effective January 1, 1995, address is [email protected]. traverse approximately 8.25 miles in a the effective date of the amendments southwesterly direction paralleling made to the Tariff Act of 1930 (the Act) Dated: December 4, 2001. Georgia Power Company’s 500 kV by the Uruguay Round Agreements Act. Alfred Rodgers, Norcross-Oconee transmission line to In addition, unless otherwise indicated, Acting Assistant Administrator, Electric the proposed 230/25 kV Spout Spring all citations to the Department of Program, Rural Utilities Service. Substation which is to be located Commerce (Department) regulations are [FR Doc. 01–30453 Filed 12–7–01; 8:45 am] approximately 2000 feet east of the to the regulations codified at 19 CFR BILLING CODE 3410–15–P intersection of Williams Road and Spout part 351 (April 2000).
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Scope of Order Department should have included only final weighted-average dumping For purposes of this investigation, the the freight expenses associated with raw margins are shown below. honey consumed in the production of products covered are natural honey, Antidumping Duty Order processed honey during the POI. artificial honey containing more than 50 On November 19, 2001, the U.S. percent natural honey by weight, Petitioners argue that, contrary to respondents’ claims, the Department did International Trade Commission (the preparations of natural honey ITC) notified the Department of its final containing more than 50 percent natural in fact calculate raw honey expenses based on the freight costs associated determination, pursuant to section honey by weight, and flavored honey. 735(b)(1)(A)(i) of the Act, that an The subject merchandise includes all with raw honey consumed in the production of processed honey during industry in the United States is grades and colors of honey whether in materially injured by reason of LTFV liquid, creamed, comb, cut comb, or the POI. Department’s Position: We disagree imports of subject merchandise from the chunk form, and whether packaged for PRC. In addition, the ITC made an retail or in bulk form. with Zhejiang, Inner Mongolia, and Kunshan that our method of calculating affirmative determination that critical The merchandise subject to this circumstances exist with respect to investigation is currently classifiable inland freight for raw honey constitutes a ministerial error. Our computations subject imports from the PRC for which under subheadings 0409.00.00, the Department made affirmative critical 1702.90.90, and 2106.90.99 of the for each respondent are shown in the final determination analysis circumstances determinations. In harmonized tariff schedule of the rendering its critical circumstances United States (HTSUS). Although the memoranda. See Memorandum to the File from Fred Baker through Donna determination, we note that three ITC HTSUS subheadings are provided for Commissioners found that critical Kinsella, dated September 26, 2001 at convenience and U.S. Customs Service circumstances exist with regard to such Appendix V and Memoranda to the File (Customs) purposes, the Department’s merchandise, and three Commissioners from Angelica Mendoza through Donna written description of the merchandise found that critical circumstances do not Kinsella, dated September 26, 2001 at under investigation is dispositive. exist with regard to imports of subject Appendix V. These memoranda show merchandise from the PRC. Section Amendment to the Final Determination that we used both raw honey purchase 771(11) of the Act provides that if the volumes and raw honey consumption On September 26, 2001, the Commissioners voting on a volumes in calculating the total raw Department determined that honey from determination ‘‘are evenly divided as to honey inland freight costs. We used the the People’s Republic of China (PRC) is whether the determination should be being, or is likely to be, sold in the volumes of raw honey consumed affirmative or negative, the ITC shall be United States at less than fair value (column E) to represent the quantity to deemed to have made an affirmative (LTFV), as provided in section 735(a) of which freight costs should be attributed. determination.’’ We consider that the the Tariff Act. See Notice of Final We used the volumes of raw honey tie-vote provision in section 771(11) Determination of Sales at Less Than purchased (column C) as the basis for applies to critical circumstances Fair Value; Honey from the People’s allocating a percentage of the total cost determinations. Republic of China, 66 FR 50608 of inland freight to each individual We note that critical circumstances (October 4, 2001). On October 10, 2001, supplier of raw honey. The volumes decisions are referred to as both respondents Zhejiang Native Produce purchased from each supplier during ‘‘determinations’’ and ‘‘findings’’ in the and Animal By-Products Import and the POI were the only supplier-specific statute. Moreover, while the legislative Export Corporation (Zhejiang), Inner volumes on the record, and were history will sometimes refer to the ITC’s Mongolia Autonomous Region Native identified in the analysis memorandum critical circumstances decisions as Produce and Animal By-Products for each company as the quantities we ‘‘findings’’ (see, e.g., H.R. Rep. No. 96– Import and Export Corporation (Inner intended to use for allocation purposes. 317, at 69 (1979), these decisions are Mongolia), and Kunshan Foreign Trade Comment 2: Kunshan argues that the more often identified as Co., Ltd. (Kunshan), filed timely Department used an incorrect surrogate ‘‘determinations.’’ See, e.g., S. Rep. No. allegations that the Department made labor rate to calculate direct labor, 96–249, at 74 (1979); H.R. Rep. No. 103– ministerial errors in the final indirect labor, and packing labor. 826 (Part 1), at 50 (1994). Since the determination. On October 15, 2001, Department’s Position: We agree. In terms ‘‘findings’’ and ‘‘determinations’’ petitioners filed timely comments in the final determination, the Department are used interchangeably in the statute rebuttal to respondents’ ministerial error calculated Kunshan’s direct labor, and legislative history, the use of one or allegations. indirect labor, and packing labor, using the other does not preclude the Section 735(e) of the Act defines a a standard country-wide rate from the application of section 771(11) to the ‘‘ministerial error’’ to include ‘‘errors in Department’s website, but from a ITC’s consideration of the critical addition, subtraction, or other country other than the PRC. We have circumstances issue. arithmetic function, clerical errors corrected this error in this amended Congress promulgated the critical resulting from inaccurate copying, final determination. circumstances provision in order ‘‘to duplication, or the like, and any other We are amending the final provide prompt relief to domestic type of unintentional error which the determination of the antidumping duty industries suffering from large volumes administering authority considers investigation of honey from the PRC to of, or a surge over a short period of, ministerial.’’ See also section 351.224(f) reflect the correction of a ministerial imports and to deter exporters whose of the Department’s regulations. error with respect to Kunshan. As a merchandise is subject to an Comment 1: Zhejiang, Inner result of this correction the margin has investigation from circumventing the Mongolia, and Kunshan argue that the also changed for the four cooperative intent of the law by increasing their Department erred in its calculation of respondents who were not selected as exports to the United States during the total raw honey costs by including the mandatory respondents but who were period between initiation of an freight expenses associated with raw given separate rates. Those four investigation and a preliminary honey purchased during the period of respondents are High Hope, Shanghai determination by the [Department].’’ investigation (POI). They argue that the Eswell, Anhui, and Henan. The revised H.R. Rep. 96–317, at 63 (1979). In
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amending the critical circumstances merchandise that are entered, or DEPARTMENT OF COMMERCE provisions in 1988, Congress developed withdrawn from warehouse, for ‘‘an improved critical circumstances consumption on or after February 10, International Trade Administration procedure [that] will significantly 2001, the date 90 days prior to the date [A–357–812] strengthen antidumping and of publication of the preliminary countervailing duty procedures by determination in the Federal Register Notice of Antidumping Duty Order; revitalizing a provision that has up to (see Notice of Preliminary Honey From Argentina now been ineffective.’’ H.R. Rep. No. Determination of Sales at Less Than 100–576, at 611 (1988). Considering this Fair Value; Honey from the PRC, 66 FR AGENCY: Import Administration, legislative history, we conclude that 24101, (May 11, 2001)), in accordance International Trade Administration, Congress did not intend to limit the with the critical circumstances finding Department of Commerce. availability of retroactive relief in cases in the final determination. ACTION: Notice of Antidumping Duty such as this one to only those instances On or after the date of publication of Orders. where two-thirds of the ITC votes to this notice in the Federal Register, grant such relief. Moreover, as noted Customs must require, at the same time EFFECTIVE DATE: December 10, 2001. above, the ITC itself explicitly stated in as importers would normally deposit FOR FURTHER INFORMATION CONTACT: its final injury determination that it estimated duties on this merchandise, a Melissa Blackledge at (202) 482–3518 or made ‘‘an affirmative determination that cash deposit equal to the estimated Donna Kinsella at (202) 482–0194, critical circumstances exist with respect weighted-average antidumping duty Antidumping and Countervailing Duty to subject imports from China for which margins noted below: Enforcement Group III, Import Commerce made affirmative critical Administration, International Trade circumstances determinations.’’ See Exporter/Manufac- Margin Critical cir- Administration, U.S. Department of cum- Commerce, 14th Street and Constitution Honey from Argentina and China, Inv. ture (percent) stances Nos. 701–TA–402 and 731–TA–892–893 Avenue, NW., Washington, DC 20230. (Final), USITC Pub., 3470 (November Inner Mongolia .... 57.13 No. Applicable Statute and Regulations: 19, 2001). Kunshan ...... 49.60 Yes. Unless otherwise indicated, all citations Therefore, for all the reasons Zhejiang ...... 25.88 Yes. to the statute are references to the discussed above, we consider the ITC to High Hope ...... 45.46 Yes. provisions effective January 1, 1995, the have made an affirmative critical Shanghai Eswell 45.46 No. effective date of the amendments made circumstances determination. The Anhui ...... 45.46 No. to the Tariff Act of 1930 (the Tariff Act) Henan ...... 45.46 No. Department’s finding in this regard is PRC-wide Entity 183.80 Yes. by the Uruguay Round Agreements Act. consistent with the Department’s In addition, unless otherwise indicated, treatment of this issue in previous The ‘‘PRC-wide’’ rate applies to all all citations to the Department of critical circumstances cases involving exporters in the PRC of subject Commerce’s (the Department’s) tie votes at the ITC. See Notice of merchandise not specifically listed regulations refer to the regulations Amendment of Final Determination of above. codified at 19 CFR part 351 (2000). Sales at Less Than Fair Value and In accordance with section Scope of the Order Antidumping Duty Order: Certain 735(c)(1)(B) of the Act, we are directing Preserved Mushrooms from the PRC, 64 the United States Customs Service to For purposes of this order, the FR 8308 (February 19, 1999) and Notice continue suspending liquidation of all products covered are natural honey, of Antidumping Order: Coumarin from imports of the subject merchandise from artificial honey containing more than 50 the People’s Republic of China, 60 FR the PRC. Customs shall require a cash percent natural honey by weight, 7751 (February 9, 1995). deposit or the posting of a bond equal preparations of natural honey In accordance with section 736(a)(1) to the weighted-average amount by containing more than 50 percent natural of the Act, the Department will direct which normal value exceeds the export honey by weight, and flavored honey. Customs to assess, upon further advice price as indicated in the chart above. The subject merchandise includes all by the Department, antidumping duties These suspension-of-liquidation grades and colors of honey whether in equal to the amount by which the instructions will remain in effect until liquid, creamed, comb, cut comb, or normal value of the subject merchandise further notice. chunk form, and whether packaged for exceeds the U.S. price of the subject This notice constitutes the retail or in bulk form. merchandise for all relevant entries of antidumping duty order with respect to The merchandise subject to this order honey from the PRC. These honey from the PRC, pursuant to section is currently classifiable under antidumping duties will be assessed on 736(a) of the Act. Interested parties may subheadings 0409.00.00, 1702.90, and all unliquidated entries of honey from contact the Department’s Central 2106.90.99 of the Harmonized Tariff the PRC entered, or withdrawn from Records Unit, room B–099 of the main Schedule of the United States (HTSUS). warehouse, for consumption on or after Commerce building, for copies of an Although the HTSUS subheadings are May 11, 2001, the date on which the updated list of the antidumping duty provided for convenience and U.S. Department published its notice of orders currently in effect. Customs Service (U.S. Customs) preliminary determination for this This determination and order are purposes, the Department’s written investigation in the Federal Register, issued and published in accordance description of the merchandise under except for subject merchandise exported with sections 735(d), 736(a), and investigation is dispositive. by Kunshan, High Hope, Zhejiang, or 777(i)(1) of the Act. other companies not specifically named Antidumping Duty Order below. For merchandise exported by Dated: November 28, 2001. In accordance with section 735(a) of Kunshan, High Hope, Zhejiang, or by Richard W. Moreland, the Tariff Act, as amended, the other companies not specifically named Acting Assistant Secretary for Import Department made its final below, we are directing the Customs Administration. determination that honey from Service to assess antidumping duties on [FR Doc. 01–30468 Filed 12–7–01; 8:45 am] Argentina is being sold at less than fair all unliquidated entries of the subject BILLING CODE 3510–DS–P value (see Notice of Final Determination
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of Sales at Less Than Fair Value: Honey adjusted for export subsidies, are as of natural honey containing more than From Argentina, 66 FR 50611 (October follows: 50 percent natural honeys by weight, 4, 2001)). On November 9, 2001, the and flavored honey. The subject Department issued an amended final Producer/manufacturer/ Cash deposit merchandise includes all grades and determination (see Notice of Amended rate colors of honey whether in liquid, exporter (percent) Final Determination of Sales at Less creamed, combs, cut comb, or chunk Than Fair Value: Honey, 66 FR 58434 Asociacion Cooperativas form, and whether packaged for retail or (November 21, 2001)). On November 13, Argentinas (ACA) ...... 31.92 in bulk form. 2001, the International Trade Radix S.R.L. (Radix) ...... 27.04 The merchandise subject to this Commission (the Commission) notified ConAgra Argentina ...... 55.15 investigation is currently classifiable the Department of its final All Others ...... 30.24 under subheadings 0409.00.00, 1702.90, determination pursuant to section and 2106.90.99 of the Harmonized Tariff 735(b)(1)(A)(i) of the Tariff Act that an This notice constitutes the Schedule of the United States (HTSUS). industry in the United States is antidumping duty order with respect to Although the HTSUS subheadings are materially injured by reason of less- honey from Argentina. Interested parties provided for convenience and U.S. than-fair-value imports of subject may contact the Department’s Central Customs Service (Customs) purposes, merchandise from Argentina. Records Unit, room B–099 of the main the Department’s written description of In accordance with section 736(a)(1) Commerce building, for copies of an the merchandise under investigation is of the Tariff Act, the Department will updated list of antidumping duty orders dispositive. currently in effect. direct Customs officers to assess, upon Countervailing Duty Order further advice by the Department, This order is published in accordance with section 736(a) of the Tariff Act. In accordance with section 705(d) of antidumping duties equal to the amount the Act, on October 4, 2001, the Dated: November 30, 2001. by which the normal value of the Department published in the Federal merchandise exceeds the export price Richard W. Moreland, Register its final affirmative (or constructed export price) of the Acting Assistant Secretary for Import determination in the countervailing merchandise for all relevant entries of Administration. duty investigation of Honey from honey from Argentina. These [FR Doc. 01–30469 Filed 12–7–01; 8:45 am] Argentina (66 FR 50613). On November antidumping duties will be assessed on BILLING CODE 3510–DS–P 19, 2001, the International Trade all unliquidated entries of honey from Commission (ITC) notified the Argentina entered, or withdrawn from Department of its final determination, warehouse, for consumption on or after DEPARTMENT OF COMMERCE pursuant to section 705(b)(1)(A)(i) of the May 11, 2001, the date on which the Act, that an industry in the United International Trade Administration Department published its notice of States is materially injured by reason of preliminary determination in the [C–357–813] imports of honey from Argentina. Federal Register (66 FR 24108). Therefore, countervailing duties will Effective on the date of publication of Notice of Countervailing Duty Order: be assessed on all unliquidated entries the order, customs officers must require, Honey From Argentina of honey from Argentina entered, or at the same time as importers would withdrawn from warehouse, for AGENCY: Import Administration, normally deposit estimated duties on consumption on or after March 13, International Trade Administration, this merchandise, a cash deposit equal 2001, the date on which the Department Department of Commerce. to the estimated weighted-average published its preliminary countervailing antidumping duty margins as noted EFFECTIVE DATE: December 10, 2001. duty determination in the Federal below. The ‘‘All Others’’ rate applies to FOR FURTHER INFORMATION CONTACT: Register, and before July 11, 2001, the all exporters of honey not specifically Thomas Gilgunn at (202) 482–4236, or date that the Department instructed the listed. Holly Hawkins at (202) 482–0414, Office U.S. Customs Service to terminate the Article VI.5 of the General Agreement of AD/CVD Enforcement VII, Group III, suspension of liquidation in accordance on Tariffs and Trade (GATT 1994) Import Administration, U.S. Department with section 703(d) of the Act, and on prohibits assessing antidumping duties of Commerce, Room 7866, 14th Street all entries and withdrawals on or after on the portion of the margin attributable and Constitution Avenue, NW., the date of publication of this to an export subsidy. In this case, the Washington, DC 20230. countervailing duty order in the Federal product under investigation is subject to SUPPLEMENTARY INFORMATION: Register. Section 703(d) of the Act states a countervailing duty investigation. See that the suspension of liquidation Notice of Final Affirmative The Applicable Statute and Regulations pursuant to a preliminary determination Countervailing Duty Determination: Unless otherwise indicated, all may not remain in effect for longer than Honey from Argentina, 66 FR 50613 citations to the statute are references to four months. Entries of honey made on (October 4, 2001). Therefore, for all the Tariff Act of 1930, as amended (the or after July 11, 2001, and prior to the entries of honey from Argentina entered, Act). In addition, unless otherwise date of publication of this order in the or withdrawn from warehouse, for indicated, all citations to the Federal Register are not liable for the consumption on or after the date on Department of Commerce (the assessment of countervailing duties due which the order in the companion Department) regulations refer to the to the Department’s termination, countervailing duty investigation is regulations codified at 19 CFR part 351 effective July 11, 2001, of suspension of published in the Federal Register, we (2000). liquidation. will request for duty deposit purposes In accordance with section 706 of the that the Customs Service deduct the Scope of Order Act, the Department will direct U.S. portion of the margin attributable to The merchandise subject to this Customs officers to reinstate the export subsidies as determined in the investigation is natural honey, artificial suspension of liquidation effective the countervailing duty investigation. The honey containing more than 50 percent date of publication of this notice in the antidumping duty cash deposit rates, as natural honeys by weight, preparations Federal Register and to assess, upon
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further advice by the Department EFFECTIVE DATE: December 10, 2001. Sulfanilic Acid from Hungary.’’ pursuant to section 706(a)(1) of the Act, FOR FURTHER INFORMATION CONTACT: Therefore, pursuant to 703(c) of the Act countervailing duties for each entry of Melani Miller at (202) 482-0116, Office and 19 CFR 351.205(b)(2), the the subject merchandise in an amount of AD/CVD Enforcement I, Group I, Department is postponing the based on the countervailable subsidy Import Administration, International preliminary determination until no later rate for the subject merchandise. Trade Administration, U.S. Department than February 25, 2002. On or after the date of publication of of Commerce, 14th Street and We are issuing and publishing this this notice in the Federal Register, U.S. Constitution Ave, NW., Washington, DC notice in accordance with sections Customs officers must require, at the 20230. 703(c)(2) and 777(i)(1) of the Act. same time as importers would normally Dated: December 4, 2001. deposit estimated duties on this Postponement of Preliminary merchandise, a cash deposit equal to the Determination Bernard T. Carreau. Acting Assistant Secretary, for Import countervailable subsidy rate noted The Applicable Statute and Regulations below. In accordance with section Administration. 777A(e)(2)(B) of the Act, we have Unless otherwise indicated, all [FR Doc. 01–30471 Filed 12–7–01; 8:45 am] calculated an aggregate or industry-wide citations to the statute are references to BILLING CODE 3510–DS–P rate for all of the producers/exporters of the provisions effective January 1, 1995, honey under investigation. We have the effective date of the amendments determined that the total estimated made to the Tariff Act of 1930 (‘‘the DEPARTMENT OF COMMERCE countervailable subsidy rate is 4.53 Act’’) by the Uruguay Round Agreements Act. All citations to the Minority Business Development percent ad valorem. However, due to a Agency program-wide change, we have Department of Commerce’s (‘‘the established a cash deposit rate of 5.85 Department’’) regulations are to 19 CFR [Docket No. 000724217–1278–04] percent ad valorem in accordance with Part 351 (2001). section 351.526(a) of the Department’s Statutory Time Limits Amendment to Selection Procedures regulations. To Include Site Visits This notice constitutes the Section 703(b)(1) of the Act, requires countervailing duty order with respect the Department to make a preliminary AGENCY: Minority Business to honey from Argentina pursuant to determination in a countervailing duty Development Agency, Commerce. investigation within 65 days after the section 706(a) of the Act. Interested ACTION: Notice. parties may contact the Central Records date on which the Department initiates Unit, for an updated list of an investigation. However, if the SUMMARY: This notice announces the countervailing duty orders currently in Department concludes that the parties Minority Business Development effect. concerned are cooperating and Agency’s (MBDA) amendment of prior This countervailing duty order is determines pursuant to section 703(c) of Federal Register notices published by published in accordance with section the Act that the case is extraordinarily MBDA that identified selection 706(a) of the Act and 19 CFR 351.211. complicated and additional time is procedures for MBDA’s Minority necessary to make the preliminary Dated: November 28, 2001. Business Development Center Program determination, according to section Richard W. Moreland, and its Native American Business 703(c) of the Act, the Department may Development Center Program. MBDA Acting Assistant Secretary, for Import postpone making the preliminary Administration. amends the selection procedures to determination until no later than 130 provide that the National Director or his [FR Doc. 01–30470 Filed 12–7–01; 8:45 am] days after the date of initiation of the designee reserves the right to conduct a BILLING CODE 3510–DS–P investigation. site visit to the location of qualified Background applicants receiving an average of at DEPARTMENT OF COMMERCE least 70% of the total points available On October 18, 2001, the Department for all four evaluation criterion. initiated the countervailing duty International Trade Administration DATES: December 10, 2001. investigation of sulfanilic acid from [C–437–805] Hungary. See Notice of Initiation of FOR FURTHER INFORMATION CONTACT: Ms. Countervailing Duty Investigation: Juanita E. Berry at (202) 482–3262. Sulfanilic Acid From Hungary: Sulfanilic Acid from Hungary, 66 FR SUPPLEMENTARY INFORMATION: Under Postponement of Preliminary 54229 (October 26, 2001). Currently, the Executive Order 11625, MBDA provides Determination of Countervailing Duty preliminary determination must be business development services to Investigation issued by December 24, 2001. persons who are members of groups AGENCY: Import Administration, determined by the U. S. Department of Postponement of Preliminary Commerce to be socially or International Trade Administration, Determination Department of Commerce. economically disadvantaged, and to ACTION: Notice of postponement of Because of the complexity of certain business concerns owned and preliminary determination. issues in this investigation (e.g., change controlled by such individuals. in ownership and privatization and new MBDA has determined that site visits SUMMARY: The Department of Commerce subsidy allegations), it is not practicable to qualified applicants would support is postponing the preliminary to complete the preliminary MBDA’s selection and would confirm determination of the countervailing determination within the original time the applicant’s stated ability to best duty investigation of sulfanilic acid limit. See December 4, 2001 fulfill MBDA’s Funding Priorities, from Hungary. This postponement is memorandum to Richard W. Moreland, particularly identifying and working to made pursuant to section 703(c) of the ‘‘Extension of Time Limit for the meet the needs of minority businesses Tariff Act of 1930, as amended by the Preliminary Determination: seeking to obtain large-scale contracts Uruguay Round Agreements Act. Countervailing Duty Investigation of with institutional customers, as set out
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in the prior Federal Register Notices (65 DEPARTMENT OF COMMERCE received by NOAA on or before January FR 52069 and 66 FR 58990). 14, 2002. National Oceanic and Atmospheric Therefore, MBDA’s prior Federal ADDRESSES: Only written comments will Administration Register notices (65 FR 52069 and 66 FR be accepted. Please send your comments 41202 and 66 FR 58990) are hereby [Docket No. 011113275–1275–01; I.D. by mail or fax to: David Kennedy, amended to provide that the National 120401A] NOAA Coral Program Coordinator, Office of Response and Restoration, N/ Director or his designee reserves the RIN 0648–ZB11 ORR, NOAA National Ocean Service, right to conduct a site visit to applicant Coral Reef Conservation Program 1305 East-West Highway, Silver Spring, organizations receiving an average of at MD 20910, Fax: 301-713-4389. least 70% of the total points available Proposed Implementation Guidelines FOR FURTHER INFORMATION CONTACT: Bill for all four evaluation criterion in order AGENCY: National Oceanic and Millhouser, Pacific Regional Manager, to assist with the application of the Atmospheric Administration (NOAA), CPD/OCRM, N/ORM-3, NOAA National selection procedures provided at 65 FR Commerce. Ocean Service, 1305 East-West 52083 and 52095 and 66 FR 59000. ACTION: Request for comments on Highway, Silver Spring, MD 20910; The Department of Commerce Pre- Proposed Implementation Guidelines 301–713–3155 extension 189, Internet: Award Notification Requirements for for the Coral Reef Conservation [email protected]; or Robin Grants and Cooperative Agreements Program. Bruckner, Community-based Restoration contained in the Federal Register notice Coordinator, NOAA Restoration Center, of October 1, 2001 (66 FR 49917), are SUMMARY: The purpose of this document F/HC3, NOAA National Marine applicable to this notice. is to request comments on NOAA’s Fisheries Service, 1315 East-West proposed Implementation Guidelines Highway, Silver Spring, MD 20910; Executive Order 12866: This notice (Guidelines) for the Coral Reef 301–713–0174 extension 162, Internet: was determined to be not significant for Conservation Program (Program) under [email protected]. purposes of E.O. 12866. the Coral Reef Conservation Act of 2000 SUPPLEMENTARY INFORMATION: Administrative Procedure Act: The (Act). The Act authorizes the Secretary provisions of the Administrative of Commerce (Secretary), through the I. Background Procedure Act requiring notice of NOAA Administrator (Administrator) The Coral Reef Conservation Act of proposed rulemaking, the opportunity and subject to the availability of funds, 2000 (16 U.S.C. 6401 et seq.) was for public participation, and a delay in to provide matching grants of financial enacted on December 14, 2000, for the effective date, are inapplicable because assistance for coral reef conservation following purposes: this notice is a matter relating to public projects under the Act (Coral Reef (1) To preserve, sustain and restore property, loans, grants, benefits, or Conservation Program). As per the Act, the condition of coral reef ecosystems; contracts 5 U.S.C. 553(a)(2), NOAA has developed this set of (2) To promote the wise management proposed Implementation Guidelines and sustainable use of coral reef Regulatory Flexibility Act: Because a for the Program for Fiscal Year (FY) ecosystems to benefit local communities notice of proposed rulemaking and 2002 through FY 2004. NOAA proposes and the Nation; opportunities for public comment are to use several existing grant programs (3) To develop sound scientific not required to be given for this notice and mechanisms to implement the information on the condition of coral by 5 U.S.C. 553 or by any other law, the Program. Final Guidelines and specific reef ecosystems and the threats to such analytical requirements of the Program information including available ecosystems; Regulatory Flexibility Act, 5 U.S.C. 601 funding, dates, and detailed application (4) To assist in the preservation of are inapplicable. requirements and proposal evaluation coral reefs by supporting conservation criteria will be published annually in a programs, including projects that Executive Order 13132: This notice involve affected local communities and does not contain policies with separate Federal Register solicitation. NOAA is in the process of developing non-governmental organizations; Federalism implications as that term is (5) To provide financial resources for defined in Executive Order 13132. a National Coral Reef Action Strategy (Strategy), as also required under the those programs and projects; and (6) To establish a formal mechanism Authority: 15 U.S.C. 1512 and Executive Act. The purpose of the Strategy is to for the collecting and allocating of Order 11625. provide an implementation plan to monetary donations from the private advance coral reef conservation, Dated: December 4, 2001. sector to be used for coral reef including a basis for funding allocations Juanita E. Berry, conservation projects. to be made under the Program. The Federal Register Liaison Officer, Minority Under section 6403 of the Act, the Final Strategy will be published Business Development Agency. Secretary, through the NOAA concurrently with the Final Program Ronald N. Langston, Administrator (Administrator) and Guidelines and the FY 2002 Program subject to the availability of funds, is National Director, Minority Business Solicitation in the first quarter of Development Agency. authorized to provide matching grants calendar year 2002. The Department of of financial assistance for coral reef [FR Doc. 01–30416 Filed 12–7–01; 8:45 am] Commerce Pre-Award Notification conservation projects. Section 6408(c)of BILLING CODE 3510–21–P Requirements for Grants and the Act authorizes up to $8,000,000 in Cooperative Agreements contained in each of FY 2001 through FY 2004 for the Federal Register notice of October 1, projects under the Program. 2001 (66 FR 49917), will be applicable As required under section 6403(j) of to solicitations under this Program. This the Act, NOAA has developed this set document is not a solicitation for FY of proposed Implementation Guidelines 2002 project proposals. for the Program and through this DATES: In order to be considered, document, is making them available for comments on this document must be public review and comment.
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NOAA proposes to use several V. Eligible Coral Reef Conservation The total annual Program funding existing grant programs and Activities amount, suggested ranges for funding mechanisms to implement the Program. As described in section 6403(g) of the requests, and specific funding categories Each fiscal year the Program will Act, projects considered for funding under which an applicant may choose publish a Federal Register notice to under this Program must be consistent to be considered will be published in describe the availability of funds and with the National Coral Reef Action the Program’s annual Federal Register solicitation. solicit project proposals. These annual Strategy, scheduled to be published Program funding awarded during any solicitations, beginning in FY 2002, will concurrently in the Federal Register provide greater detail on the year’s given fiscal year will be distributed, per with the FY 2002 solicitation for section 6403(d) of the Act, in the program priorities, application process, proposals, in the first quarter calendar and proposal evaluation criteria. This following manner: year 2002. In addition, per the same (1) No less than 40 percent of funds document is not a solicitation for project section, the Administrator may not proposals. available shall be awarded for coral reef approve a project proposal unless it will conservation projects in the Pacific II. Electronic Access enhance the conservation of coral reefs Ocean within the maritime areas and by addressing at least one of the zones subject to the jurisdiction or The Coral Reef Conservation Act of following: control of the United States; 2000 can be found on the Internet at: (1) Implementing coral conservation (2) No less than 40 percent of funds http://thomas.loc.gov/ (Select Bill Text, programs which promote sustainable available shall be awarded for coral reef then select 106th Congress, search on development and ensure effective, long- conservation projects in the Atlantic Bill Number HR 1653, select H.R. term conservation of coral reefs; Ocean, Gulf of Mexico and the 1653.EH). Information on the U.S. Coral (2) Addressing the conflicts arising Caribbean Sea within the maritime areas Reef Task Force, established June 11, from the use of environments near coral and zones subject to the jurisdiction or 1998 under Executive Order 13089, can reefs or from the use of corals, species control of the United States; and be found at: http://coralreef.gov. associated with coral reefs, and coral (3) Remaining funds shall be awarded III. Coral Reef Conservation Program products; for projects that address emerging (3) Enhancing compliance with laws priorities or threats, including The objective of the Program is to that prohibit or regulate the taking of international priorities or threats, provide financial assistance for coral coral products or species associated identified by the Administrator. When reef conservation projects consistent with coral reefs or regulate the use and identifying emerging threats or with the Act and National Coral Reef management of coral reef ecosystems; priorities, the Administrator may Action Strategy currently under (4) Developing sound scientific consult with the Coral Reef Task Force. development. NOAA’s role in information on the condition of coral administering the Program is to reef ecosystems or the threats to such VII. Funding Categories and strengthen and support the development ecosystems, including factors that cause Mechanisms and implementation of sound coral reef coral disease; In order to ensure adequate funding conservation projects, as well as ensure (5) Promoting and assisting to for each of the purposes envisioned that the most beneficial projects are implement cooperative coral reef under the Act and provide for a recommended for funding. conservation projects that involve balanced overall Program, existing affected local communities, non- NOAA programs will be used to award IV. Applicant Eligibility Requirements governmental organizations, or others in funds in the five funding categories As per section 6403(c) of the Act, the private sector; described below. Each of the five eligible applicants include: any natural (6) Increasing public knowledge and categories references the general activity r esource management authority of a awareness of coral reef ecosystems and and applicant eligibility requirements state or other government authority with issues regarding their long term associated with proposals submitted jurisdiction over coral reefs or whose conservation; therein. Specific activity and applicant activities directly or indirectly affect (7) Mapping the location and eligibility information and proposal coral reefs or coral reef ecosystems, or distribution of coral reefs; evaluation criteria for each category, educational or non-governmental (8) Developing and implementing consistent with Guideline sections IV. institutions with demonstrated expertise techniques to monitor and assess the Applicant Eligibility Requirements, VI. in the conservation of coral reefs. Each status and condition of coral reefs; Funding and Funding Distribution, VIII. subcategory of funding under this (9) Developing and implementing Matching Funds, IX. Application Program, as described in section VII of cost-effective methods to restore Process, and X. Project Review, will be this document, encompasses a specific degraded coral reef ecosystems; or published in each year’s solicitation for subgroup of eligible applicants, per this (10) Promoting ecologically sound proposals. section. navigation and anchorages near coral (1) U.S. state and territorial reefs. government coral reef conservation As a matter of policy, funding Federal activities, as described in section V(1- agency activities under this Program VI. Program Funding and Distribution 10) of the Guidelines (section 6403(g) of will be a low priority unless such Section 6408(c) of the Act authorizes the Act) for the purposes of activities are an essential part of a up to $8,000,000 for use by the comprehensively managing coral reef cooperative project with other eligible Secretary for each of FY 2001 through ecosystems and associated fisheries governmental or non-governmental FY 2004 for the Coral Reef Conservation within their jurisdictions. Eligibility to entities. Program. The number of individual receive an award is limited to one NOAA agencies are not eligible for awards to be made each year will agency in each state or territory with funding under this Program, as funding depend on the total amount of funds jurisdiction over coral reefs, as for such activities is provided for under appropriated for coral reef activities designated by the respective governors. section 6406 of the Act (National within NOAA and the portion of those These proposals will be reviewed and Program). funds that are allocated to this Program. awarded by the National Ocean Service
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(NOS) Office of Ocean and Coastal implementing cooperative coral reef determines that the project meets the Resource Management (OCRM) per conservation activities as described in following two requirements: guidelines published June 28, 2001 in section V(1-10) of the Guidelines (1) No reasonable means are available the Federal Register (66 FR 34425), and (section 6403(g) of the Act). Eligible through which an applicant can meet pursuant to Section 310 of the Coastal applicants include all international the matching requirement, and Zone Management Act, under title, governmental and non-governmental (2) The probable benefit of such Coastal Zone Management entities, including those in the Freely project outweighs the public interest in Administration Awards, CFDA 11.419. Associated States of the Pacific. These such matching requirement. (2) U.S. state and territorial proposals will be reviewed and awarded Applicants must specify in their government coral reef ecosystem by the NOS International Programs proposal the source and amount of the monitoring and/or assessment activities, Office or the NMFS Office of Habitat proposed match and may be asked to as described in section V(8) of the Conservation, as appropriate, under provide letters of commitment to Guidelines (section 6403(g)(8) of the title, Habitat Conservation, CFDA confirm stated contributions. In the case Act). Such activities include the 11.463. of a waiver request, the applicant must collection, analysis, and reporting of The annual solicitation will establish provide a detailed justification long-term coral reef monitoring data the range of funds available and specific explaining the need for the waiver, as pursuant to scientifically valid evaluation criteria for each of these five described in section IX(6) of these methodologies and protocols. Eligible categories. NOAA may add additional Guidelines. applicants are limited to one natural funding categories in the annual Notwithstanding any other provision resource management authority in each solicitation based on available funding herein, and in accordance with 48 U.S. state or territory with jurisdiction and/or coral reef conservation priorities U.S.C. 1469a(d), this Program shall over coral reefs, as designated by the under the Strategy. Applicants will be waive any requirement for local respective governors. Cooperative required to specify in their application matching funds for any project under agreements between these agencies and the category(s) under which they are $200,000 (including in kind the NOS National Centers for Coastal applying for funding. Selected contributions) to the governments of and Ocean Science (NCCOS) will be applications may be funded and awards Insular Areas, defined as the developed without competition under administered by NOAA, through either jurisdictions of the U.S. Virgin Islands, title, Financial Assistance for National NMFS or NOS. Generally, one award Guam, American Samoa, and the Centers of Coastal Ocean Science, CFDA will be made for each proposal accepted Commonwealth of the Northern Mariana 11.426. for funding. Islands. (3) U.S. state, territorial, or other governmental and non-governmental NOAA will determine the most IX. Application Process entities, not eligible under other appropriate funding mechanisms (grant, NOAA will publish in the Federal categories, for the purpose of cooperative agreement, or interagency Register one annual notification implementing cooperative coral reef agreement) for selected individual soliciting project proposals, pursuant to conservation, protection, restoration, projects, in consultation with the these Guidelines. Applications research, or education projects, as applicant, based on the degree of direct submitted in response to solicitation described in section V(1-10) of the NOAA involvement with the project notices will be screened for eligibility Guidelines (section 6403(g) of the Act). beyond the provision of financial and conformance with the Program These proposals will be reviewed and assistance. Guidelines. awarded by the National Marine Proposals from non-Federal To submit a proposal, a complete Fisheries Service (NMFS) Office of applicants that are selected for funding NOAA standard grants application Habitat Conservation under title, Habitat will be funded either through a project package must be filed in accordance Conservation, CFDA 11.463. grant or cooperative agreement. Selected with the guidelines in this document (4) Projects to develop, improve, or Federal proposals will be funded and instructions in the Department of amend Fishery Management Plans to through interagency agreements; Commerce Pre-Award Notification conserve, protect and restore coral reef however, under the Program, such Requirements for Grants and habitats and associated fishery agreements must include a local sponsor Cooperative Agreements contained the populations within the U.S. Exclusive of the coral reef conservation project. Federal Register notice of October 1, Economic Zone; with the overall goal of VIII. Matching Funds 2001 (66 FR 49917). improving the management of coral A more detailed description of reefs and associated organisms through As per section 6403(b)(1) of the Act, specific application requirements will the avoidance of fishing impacts, Federal funds for any coral conservation be published in the annual solicitation; ecosystem management or similar project funded under this Program may however, pursuant to section 6403(e)of approaches and practices; as described not exceed 50 percent of the total costs the Act and NOAA, each application in section V(3) of the Guidelines of such project. The match may must include the following elements: (section 6403(g)(3) of the Act). Eligible comprise a variety of public and private (1) A cover sheet with the name of the applicants include Regional Fishery sources and can include in-kind individual or entity responsible for Management Councils with jurisdiction contributions and other non-cash conducting the project; over coral reefs, as established under the support. NOAA strongly encourages (2) A description of the qualifications Magnuson-Stevens Fishery applicants to leverage as much of the individual(s) who will conduct Conservation and Management Act (16 investment as possible. Federal funds the project; USC 1801 et seq.). These proposals will may not be considered as matching (3) A succinct statement of the be reviewed and awarded by the NMFS funds. purposes of the project, including the Office of Habitat Conservation under For applicants who cannot meet the specific geographic location where the title, Habitat Conservation, CFDA match requirement, as per section project will be carried out; 11.463. 6403(b)(2) of the Act, the Secretary may (4) An estimate of the funds and time (5) International coral reef waive all or part of the matching required to complete the project conservation projects for the purpose of requirement if the Administrator including: a detailed breakdown by
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category of cost estimates as they relate each Federal agency, state government, review and reviewers will not provide a to specific aspects of the project, with or other government jurisdiction, consensus opinion. The identities of the appropriate justification for both the including the relevant regional Fishery peer reviewers will be kept anonymous Federal and non-Federal shares; Management Councils established under to the degree permitted by law. Specific (5) Evidence of support for the project the Magnuson-Stevens Fishery evaluation criteria for projects by appropriate representatives of states Conservation and Management Act (16 submitted under each funding category or other government jurisdictions in U.S.C. 1801 et seq.), or any National will be published in each annual which the project will be conducted, Marine Sanctuary, with jurisdiction or Federal Register solicitation. including obtaining or proceeding to management authority over coral reef (3) Each NOAA Program Office will obtain all applicable State and/or ecosystems in the area where the project subsequently implement an internal Federal permits, consultations, and is to be conducted. Pursuant to this review process to rank each proposal consistencies. U.S. state or territorial requirement of the Act, NOAA will that is appropriate for funding under applicants must also provide evidence apply the following standard in their program based upon consideration of coordination with all relevant state or requesting comments: of: comments and recommendations territorial agencies, including a list of (A) Proposals for projects in state or from the reviews under paragraphs (1) agencies consulted in developing the territorial waters, including Federal and (2), and their evaluation of each proposal; marine protected areas in such waters proposal consistent with the five (6) Information regarding the amount (e.g. National Marine Sanctuaries), will following criteria: of matching funding available to the be submitted to that state or territorial (A) Direct Benefit to Coral Reef applicant. In the case of a waiver government’s designated U.S. Coral Reef Resources and Ecosystems. NOAA will request, the applicant must provide a Task Force point of contact for evaluate proposals based on the detailed justification explaining the comment; potential of the project to meet goals need for the waiver including attempts (B) Proposals for projects in Federal and objectives stated in section 6403(g) to obtain sources of matching funds, waters will be submitted to the relevant of the Act. how the benefit of the project outweighs Fishery Management Council for (B) Technical Merit and Adequacy of the public interest in providing match, comment; Implementation Plan. Proposals will be and any other extenuating (C) Proposals for projects which evaluated on the technical feasibility of circumstances preventing the require Federal permits will be the project and the qualifications of availability of match; submitted to the Federal agency which project leaders and/or partners based on (7) A description of how the project issued the permit for comment; demonstrated abilities to: meets one or more the goals and (D) Proposals for projects in Federal (i) Deliver the conservation objective objectives stated in section V of the marine protected areas managed by stated in the proposal; Guidelines (section 6403(g) of the Act); Federal agencies (e.g. National Wildlife (ii) Provide educational benefits, and Refuges, National Parks, National where appropriate; (8) Any other information the Marine Sanctuaries, etc.) will be (iii) Incorporate assessment of project Administrator considers to be necessary submitted to the respective Federal success in terms of meeting the for evaluating the eligibility of the management authority for comment; proposed objectives; project for funding under this title. and (iv) Demonstrate that the conservation In order to streamline the application (E) NOAA will seek comments from activity will be sustainable and long- and award process, and to allow NOAA other government entities, authorities, lasting; to fully evaluate all coral reef and/or jurisdictions, including (v) Provide assurance that conservation applications in the context international entities for projects implementation of the project will meet of the overall Program, applicants must proposed outside of U.S. waters, as all state environmental laws and Federal indicate under which category(s) (as necessary based on the nature and scope consistency requirements by obtaining described in section VII of these of the proposed project. or proceeding to obtain applicable Guidelines) they are seeking funds, and Specifically, agencies will be permits and consultations; and are encouraged to submit only one requested to comment on: the extent to (C) Past Performance. Proposals will comprehensive application per which the project is consistent with be evaluated on the previous solicitation. The Program will give locally established coral reef accomplishments of the applicants in preference to projects where requested conservation priorities and projects; achieving coral reef conservation funding will be used to complete whether the project has been objectives similar to those outlined in proposed coral reef conservation coordinated with existing or planned section V. Eligible Coral Reef activities within a period of 12 months projects; suggestions for improving Conservation Activities of these from the time the awards are project coordination and/or technical Guidelines. Applicants submitting their distributed. approach; and appropriate staff points first coral reef conservation project of contact. Each entity will be provided should document past experience in X. Project Review 21 days to review and comment on related activities; As per section 6203(f) of the Act, subject proposals. Comments submitted (D) Consistency with the National NOAA will review eligible coral reef will be part of the public record. Coral Reef Action Strategy and the conservation proposals using an (2) Each NOAA program office will National Action Plan to Conserve Coral external governmental review and provide for a merit-based peer review Reefs. Proposals will be evaluated on merit-based peer review. After such and standardized documentation of that how well they meet the respective reviews, NOAA will implement an review for proposals considered programmatic goals and objectives (e.g. internal ranking and selection process. appropriate for funding under their goals and objectives for restoration) The overall project review and selection respective category(s). Each proposal outlined in the National Coral Reef process will include the following five will be reviewed by a minimum of three Action Strategy, currently under steps: individuals with knowledge of the development pursuant to Section 6402 (1) NOAA will request and consider subject of the proposal. Each reviewer of the Act, and the National Action Plan written comments on the proposal from will submit a separate and individual to Conserve Coral Reefs (U.S. Coral Reef
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Task Force, 2000, http://coralreef.gov). for marine protected areas and marine responsibilities, and funding, entered Applicants are strongly encouraged to resources consistent with the National into between NOAA and another review both documents and identify in Marine Sanctuaries Act (16 U.S.C. 1431 Federal agency where NOAA is funding their application the specific et seq.) and the Magnuson-Stevens the other Federal agency, pursuant to conservation objectives that their project Fishery Conservation and Management the Act. proposal will address; and Act (16 U.S.C. 1801 et seq.); law (10) Secretary means the Secretary of (E) Cost-effectiveness and Budget enforcement; conflict resolution Commerce. Justification. Proposals will be initiatives; community outreach and (11) State means any State of the evaluated on their ability to demonstrate education; and that promote safe and United States that contains a coral reef that significant benefit will be generated ecologically sound navigation. ecosystem within its seaward for the most reasonable cost. Projects (3) Cooperative Agreement means a boundaries, American Samoa, Guam, will also be reviewed in terms of their legal instrument reflecting a the Northern Mariana Islands, Puerto need for funding and the ability of relationship between the Department of Rico, and the Virgin Islands, and any NOAA funds to act as a catalyst to Commerce (DoC) and a recipient other territory or possession of the implement projects and precipitate whenever: (1) the principal purpose of United States, or separate sovereign in partnerships and other sources of the relationship is to transfer money, free association with the United States, funding to achieve conservation property, services or anything of value that contains a coral reef ecosystem objectives. Preference will be given to to accomplish a public purpose of within its seaward boundaries. projects that will be completed within a support or stimulation authorized by Classification: This is a new Program period of 12 months from the time the Federal statute, and (2) substantial and will be added to the Catalog of awards are distributed; involvement (e.g. collaboration, Federal Domestic Assistance under the (4) A NOAA review panel made up of participation, or intervention by DoC in Coastal Zone Management Act (11.419), representatives from each NOAA the management of the project) is Financial Assistance for National program office will review the project anticipated between DoC and the Centers for Coastal Ocean Science rankings from each program office and recipient during performance of the (11.426), and Habitat Conservation make consensus-based, final project contemplated activity. (11.463). The Program uses only the selections and funding (4) Coral means species of the phylum existing NOAA Federal assistance recommendations to be presented to the Cnidaria, including-- application package requirements per 15 NOAA Administrator, or his designee, (A) all species of the orders CFR parts 14 and 24. for final approval. The review panel and Antipatharia (black corals), Scleractinia The program will determine NEPA Administrator, or designee, will ensure (stony corals), Gorgonacea (horny compliance on a project by project basis. that the Act requirements for geographic corals), Stolonifera (organpipe corals This action has been determined to be funding distribution and consistency and others), Alcyanacea (soft corals), not significant for purposes of Executive with the overall Program goals outlined and Coenothecalia (blue coral), of the Order 12866. in the Strategy have been met. NOAA class Anthozoa; and The use of the standard grants reserves the right to consult with (B) all species of the order application package referred to in this applicants, prior to making an award, to Hydrocorallina (fire corals and notice involves collection-of- determine the exact amount of funds to hydrocorals) of the class Hydrozoa. information requirements subject to the be awarded, as well as the most (5) Coral Reef means any reefs or Paperwork Reduction Act. The use of appropriate funding category and shoals composed primarily of corals. Standard Forms 424, 424A, 424B, and mechanism under which to consider the (6) Coral Reef Ecosystem means coral SF–LLL have been approved by OMB project for funding; and and other species of reef organisms under the respective control numbers (5) NOAA will provide written (including reef plants) associated with 0348–0043, 0348–0044, 0348–0040, and notification of a proposal’s approval or coral reefs, and the non-living 0348–0046. disapproval to each applicant within 6 environmental factors that directly The proposed guidelines also contain months of submitting a coral reef affect coral reefs, that together function new collection-of- information conservation proposal. Similarly, NOAA as an ecological unit in nature. requirements subject to review and will also provide written notification of (7) Coral Products means any living or approval by the Office of Management a project’s approval to each State or dead specimens, parts, or derivatives, or and Budget (OMB) under the Paperwork other government jurisdiction that any product containing specimens, Reduction Act. These requirements will provided comments and/or reviews. parts, or derivatives, of any species be submitted to OMB for approval. referred to in paragraph (3). Public reporting burden for these Definitions (8) Grant means a legal instrument collections of information is estimated In this Program: reflecting a relationship between DoC to average one hour per request for a (1) Administrator means the and a recipient whenever: (1) the matching funds waiver (section IX(6) of Administrator of the National Oceanic principal purpose of the relationship is these Guidelines) and one hour per and Atmospheric Administration. to transfer money, property, services, or comment on proposals (section X(1) of (2) Conservation means the use of anything of value in order to accomplish these Guidelines), including the time for methods and procedures necessary to a public purpose of support or reviewing instructions, searching preserve or sustain corals and associated stimulation authorized by Federal existing data sources, gathering and species as diverse, viable, and self- statute, and (2) no substantial maintaining the data needed, and perpetuating coral reef ecosystems, involvement is anticipated between DoC completing and reviewing the collection including all activities associated with and the recipient during the of information. resource management, such as performance of the contemplated Public comment is sought regarding: assessment, conservation, protection, activity. whether this proposed collection of restoration, sustainable use, and (9) Interagency Agreement, for the information is necessary for the proper management of habitat; mapping; purposes of these Guidelines, means a performance of the functions of the habitat monitoring; assistance in the written document containing specific agency, including whether the development of management strategies provisions of governing authorities, information shall have practical utility;
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the accuracy of the burden estimate; Mammal Conservation Division, Office Comments and Responses ways to enhance the quality, utility, and of Protected Resources, NMFS, 1315 On September 12, 2001 (66 FR 47453), clarity of the information to be East-West Highway, Silver Spring, MD NMFS published a notice of receipt and collected; and ways to minimize the 20910–3225. a 30–day public comment period was burden of the collection of information, FOR FURTHER INFORMATION CONTACT: provided on the application and including through the use of automated Simona P. Roberts, (301) 713–2322, ext. proposed authorization. Comments were collection techniques or other forms of 106 or Christina Fahy, (562) 980–4023. received from the Santa Barbara County information technology. Send comments SUPPLEMENTARY INFORMATION: Energy Division, the California Coastal on these or any other aspects of the Commission, the City of Carpinteria, collection of information to NOAA Background and a private citizen. Office of Response and Restoration at the ADDRESSES above, and to OMB at the Sections 101 (a)(5)(A) and (D) of the Cumulative Impact Concerns MMPA (16 U.S.C. 1361 et seq.) direct Office of Information and Regulatory Comment 1: The California Coastal the Secretary of Commerce to allow, Affairs, Office of Management and Commission recommended that the upon request, the incidental, but not Budget, Washington, DC 20503 authorization address the potential for intentional taking of small numbers of (Attention: NOAA Desk Officer). cumulative impacts from chronic marine mammals by U.S. citizens who Notwithstanding any other provision disturbances to the Pacific harbor seal engage in a specified activity (other than of law, no person is required to respond rookery located near the gas pipeline commercial fishing) within a specified to, nor shall any person be subject to a and the possibility that additional geographical region if certain findings penalty for failure to comply with, a disturbances such as the proposed are made and either regulations are collection of information subject to the activity could cause the seal rookery to issued or, if the taking is limited to Paperwork Reduction Act, unless that permanently abandon this location. harassment, notice of a proposed collection displays a currently valid Response: Based on previous authorization is provided to the public OMB control number. observations conducted in the vicinity for review. Dated: November 30, 2001. of the gas pipeline and pier, as well as Authorization may be granted if Scott Gudes, daily observations made by the NMFS finds, based on the best available Carpinteria Seal Watch, there is no Acting Under Secretary for Oceans and scientific evidence, that the taking will Atmosphere/Administrator and Deputy evidence that chronic disturbances, Under Secretary have a negligible impact on the marine such as people walking along the beach, mammal species or stock(s). Negligible [FR Doc. 01–30383 Filed 12–7–01; 8:45 am] are negatively impacting the Pacific impact is defined in regulation (50 CFR BILLING CODE 3510–JE–S harbor seals hauling out on the beach 216.103) as ‘‘an impact resulting from over the long-term (Seagars, 1986; the specified activity that cannot be Howorth,1995). From information DEPARTMENT OF COMMERCE reasonably expected to, and is not provided by Howorth (1995), the most reasonably likely to, adversely affect the negative disturbance to date, resulting National Oceanic and Atmospheric species or stock through effects on in haul-out abandonment, has been not Administration annual rates of recruitment or survival’’. from direct disturbance by humans but [I.D. 112101B] Summary of Request rather from disturbance and pup injury and predation by a coyote. Based on Small Takes of Marine Mammals On June 17, 2001, NMFS received an these previous documented Incidental to Specified Activities; application from Venoco, Inc., the observations at Carpinteria and nearby Repairs at the Carpinteria Oil and Gas owner and operator of the Carpinteria haul-out sites, there is very low Processing Facility, Carpinteria, CA Oil and Gas Processing Facility in probability that the harbor seals will Carpinteria, CA, requesting an IHA for completely abandon the Carpinteria AGENCY: National Marine Fisheries the take of small numbers of Pacific haul-out site as a result of Venoco’s Service (NMFS), National Oceanic and harbor seals incidental to repair of gas repair activities. While there is evidence Atmospheric Administration (NOAA), pipeline supports and pier pilings at from other haul-out sites in San Commerce. Casitas Pier. Francisco Bay that seals will abandon ACTION: Notice of issuance of an On October 24, 2001, Venoco notified haul-out sites during chronic daytime incidental harassment authorization. NMFS that the project had been disturbance, the San Francisco Bay seals modified such that only repairs to the did not completely abandon the site and SUMMARY: In accordance with provisions gas pipeline supports and not the pier continued to use the site during of the Marine Mammal Protection Act were to be made. In addition, Venoco nighttime hours when there was no (MMPA) as amended, notification is revised its original Project Execution disturbance (Paulbitsky, 1975; hereby given that an Incidental Plan and Wildlife Protection Plan to Risebrough et al., 1980). Harassment Authorization (IHA) to take better address the issue of acoustic Biologically, the primary concerns of small numbers of Pacific harbor seals harassment. A detailed description of harbor seal haul-out site abandonment (Phoca vitulina richardsi) by harassment the work proposed for 2001 is contained are physiological stress resulting from incidental to repairs at the Carpinteria in the revised Project Execution Plan, the inability to find alternate haul-out Oil and Gas Processing Facility in which are available upon request (see sites and the inability to find alternate Carpinteria, CA., has been issued to ADDRESSES). haul-out sites for pupping and molting. Venoco, Inc. Venoco plans to complete all repair In the Carpinteria case, there are two DATES: Effective from November 28, activities in a three-week period. alternate haul-out sites in the vicinity; 2001, until November 28, 2002. However, to account for potential offshore rocks west of the beach and off ADDRESSES: The application, Wildlife weather and logistical delays and Carpinteria Beach State Park. Harbor Protection Plans, Project Execution reduce further paperwork, the IHA will seals have been observed hauling out in Plans, and IHA are available by writing be issued for a full 1–year period these locations after having been to Donna Wieting, Chief, Marine (November 2001–November 2002). disturbed on the beach (Sadler, 1976;
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Rambo, 1978; Bowland, 1978; Transportation, 2001). Until there is proposed authorization. The City Carpinteria Seal Watch records; better data on the operational supports NMFS’ proposals to condition Howorth, 1995). In order to minimize requirements of ramping-up pile driving the authorization so that all noise, disturbance to the Carpinteria site as activities in varying sediment types, sudden movement, and unnecessary much as possible all activities NMFS will not require ramp-up for any personnel be minimized in or adjacent undertaken by Venoco will be subject to pile-driving activity. In contrast, NMFS to the project site. the mitigation conditions in the IHA, does support an initial ramp-up period Response: NMFS has made the which are designed to reduce the sights at the commencement of seismic and Municipal Code part of the IHA and sounds associated with human shallow-hazard surveys. conditions by restricting work on the presence. Further, there will be no NMFS found no scientific or pipeline and other activities occurring access to the beach from December 1– anecdotal evidence that scheduling pile on the beach or surf zone within 750 ft May 31, pursuant to the City of driving activities only during periods of (230 m) of the harbor seal haul-out from Carpineria’s Municipal Code, low tides would reduce the disturbance December 1–May 31. eliminating potential disturbance from to seals while they are hauled out. On Comment 5: The private citizen who Venoco’s activities during the pupping the contrary, the greatest number of commented volunteers with the season. harbor seals observed hauled out at the Carpinteria Seal Watch. This Carpinteria site was in the month of commentor protested the application for Mitigation, Monitoring and Reporting September during an early morning low takings and requested that NMFS Concerns tide (Horworth, 1995). Clearly the tide condition the authorization so that: (1) Comment 2: The County of Santa cycles, as well as still undetermined work would not occur between Barbara, Energy Division and the environmental variables, play a November 30 and May 31, (2) work California Coastal Commission both significant role in harbor seal haul out would not occur during the molting recommended that NMFS require safety behavior; however, Howorth (1995) season, (3) work would be ceased if the zones and ramp-up procedures for the noted that the most prevalent cause of seals are not returning in ‘‘usual’’ pile driving operations occurring near natural disturbance to the Carpinteria numbers during the evening hours after the harbor seal haul-out area to address haul out site was from waves striking the workday, and (4) monitoring the potential for acoustic harassment the beach and washing over seals on the biologist(s) would consult with and injury. Specifically, the County of rising tides. If pile driving activities Carpinteria Seal Watch representatives Santa Barbara recommended that occurred during this rising tide phase, it to discuss daily observations and data NMFS’ mitigation requirements follow may be very difficult for monitors to collection. previous conditions imposed by the determine a causal relationship between Response: The IHA issued by NMFS California Coastal Commission for work seals entering the water, environmental restricts work on the pipeline and other necessary to stabilize two leaking oil variables, and repair activities. In order activities occurring on the beach or surf wells located in the surf zone, including to gather more information on the zone from December 1–May 31. designating a 500–foot (152–meter) relationship between harbor seal However, based on previous harbor seal safety zone around pile driving activity, behavior, environmental factors, and the observations there is no scientific or an initial ramp up period at the repair activities, the IHA requires the anecdotal evidence to support commencement of pile driving collection and reporting of the following restricting work during the molting activities, and scheduling of pile driving information: tide height, sea state, season (SRS Technologies, 2001). activities during periods of low tides to weather conditions, type of repair Scientific research and monitoring the maximum extent feasible. activity being conducted, and harbor studies carried out on haul-out sites on Response: Under the IHA, Venoco seal observations (including number Vandenberg Air Force Base in California must establish a 500–foot (152–meter) and age ranges present and behavior). from 1997 through 2001 have shown buffer zone around each of the pile Comment 3: The California Coastal that molting Pacific harbor seals driving sites. If any marine mammal is Commission recommended that the entering the water because of sighted within this 500–foot (152– authorization require the presence of disturbance from rocket launches are meter) zone immediately prior to one or more onsite biological monitors not adversely affected in their ability to planned commencement of driving, pile with the authority to suspend project molt and do not become subject to driving must not occur until marine operations if marine mammals are thermo-regulatory stress. Until similar mammals have left the area. In addition, observed within or enter into site-specific research is carried out on pile driving must not commence unless established safety zones or if it is the Carpinteria haul-out, NMFS accepts the buffer zone can be monitored for a determined that impacts to marine the Vandenberg evidence as the best minimum of 15 minutes immediately mammals are greater than those scientific information available on the prior to the start-up of the pile driving authorized in the IHA. behavior of the California stock of episode. Due to the characteristics of the Response: All IHA’s require the Pacific harbor seals during molting. sounds produced by these pile-driving presence of one or more onsite While on average the greatest number of operations, NMFS does not support an biological monitors, with relevant harbor seals haul out during the molting initial ramp-up period during Venoco’s marine mammal experience and season (starting in May and continuing repairs. Pile driving in a different approved by NMFS, to document through the summer), this is sediment type (i.e., clay) than at marine mammal presence and any confounded at the Carpinteria site by a Carpinteria has shown that instituting disturbances. These monitors have the September estimate of 364 seals during an initial ramp-up period at the authority to suspend activities that are an early morning low tide (Horworth, commencement of pile-driving activities in violation of the conditions set out in 1995). Clearly, not only molting and may lengthen the period of time and the IHA. pupping, but tide cycle, as well as still necessitate higher energy levels to Comment 4: The City of Carpinteria undetermined environmental variables, adequately drive the piles, thus requested that the City’s Municipal play a significant role in harbor seal increasing the amount of time marine Code governing access to the city beach haul-out behavior. mammals are exposed to increased from December 1-May 31 each year be Given this difficulty in determining sound levels (California Department of made part of the conditions of the the underlying natural factors involved
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in harbor seal haul-out behavior, NMFS February through March) and molting injury and mortality due to repair cannot assume that in all cases a failure season (summer months). The pups activities. of seals to return to the beach during the born at these sites are weaned in 4 to 6 If operationally feasible, all repairs evening hours after work has finished is weeks, so nearly all pups are will take place during daylight hours in a direct result of the daytime work independent by the end of May. Twenty a three-week period before the annual activities. However, in order to mitigate to 30 pups are usually born there each harbor seal pupping period and while for disturbances that could result from year (Howorth, 1995, 1998). A peak the beach is open to the public. During Venoco’s activities, the IHA is abundance count made during the 1998 this period few, if any, seals are present conditioned such that if the biological pupping season was 345 seals (Howorth, on shore because beachwalkers, dogs, monitor(s) have direct evidence that 1998). joggers, kayakers, and others frequent work activities during the day resulted The project site is adjacent to a small the beach during daylight hours. During in 100 percent haul-out abandonment beach used by harbor seals as a haul-out November, early storms and currents with no return to the haul-out site after and rookery area. Harbor seals continue erode the sand covering the rocks and work has ceased for a full 48–hour to use this area despite pier activity and reefs, which will also reduce the period, then the monitor must notify human presence (Howorth, 1995, 1998). amount of excavation necessary to Venoco, and Venoco must contact Two-hundred and sixty-five feet (ft) (81 expose the base of the pier pilings. NMFS to discuss appropriate changes to meters (m)) east of Casitas Pier, a small Work on pilings closest to the haul- the mitigation plan. sandy beach and offshore rock area out site will be conducted at the NMFS agrees that the Carpinteria Seal marks the western limits of the local beginning of the project and only during Watch data will be an important harbor seal haul outs. low tides (American Marine Corp., 2000). Therefore, any potential for contribution to the overall monitoring of California sea lions (Zalophus disturbing harbor seals would be limited the marine mammal impacts of californianus) do occasionally haul out to times of low tide or approximately 4 Venoco’s activities. In addition, the Seal on the beach or rocks adjacent to the hours each 24–hour period. Watchers provide an invaluable service project site. However, such individuals in educating the public about the To reduce the potential for are usually not healthy and are taken to potential for human activities to acoustically and visually disturbing the the Santa Barbara Marine Mammal negatively impact the harbor seals and seals, mitigation measures include: Center (Howorth, 1995, 1998). their haul-out habitat. The biological establishment of a 500–foot (152–meter) monitor(s) will consult with Seal Watch Bottlenose dolphins (Tursiops buffer zone around each of the pile representatives at the beginning and end truncatus) and the eastern North Pacific driving sites; equipping the diving air of Venoco’s repair activities to share gray whale (Eschrichtius robustus) have compressor, trucks, and equipment observational data. been reported near the project site motors with quiet mufflers; (Howorth, 1995, 1998). Both species, disconnecting backup alarms on trucks; Description of Marine Mammals and when sighted near the project site, have securing all lines, floats, cables, etc. Habitat Potentially Affected by the consistently avoided the pier. Years of used in handling materials to the pier or Activity data from previous projects and from removing them from the site; instruction Harbor seals generally are non- the Carpinteria Seal Watch have not of all personnel on avoidance of rapid migratory, with local movements observed any instances of cetaceans or sudden movements, shouting, associated with such factors as tides, within the project area. throwing objects or other actions that weather, season, food availability, and Potential Effects on Marine Mammals could startle the seals; allowing only the reproduction (Scheffer and Slipp, 1944; and their Habitat minimum number of people needed to Fisher, 1952; Bigg, 1969, 1981). They perform the work on the beach; insuring haul out on rocks, reefs, beaches, and Potential harassment may result from divers stay submerged while performing drifting glacial ice, and feed in marine, noise generated by repair activities to their tasks; and using hand-held radio estuarine, and occasionally fresh waters. the pipeline as well as from the physical for verbal communications from the pier Harbor seals have also displayed strong presence of people and machinery on or other project site to divers or workers. fidelity for haulout sites (Pitcher and the beaches. Successful implementation by Venoco Calkins, 1979; Pitcher and McAllister, Seals may be disturbed and leave the and their contractors of additional 1981). The eastern Pacific harbor seal beach when pile driving activities are mitigation measures specified by NMFS has an estimated population of 285,000 underway; however, previous in the IHA are designed to further individuals distributed along the entire monitoring has shown that all seals reduce the potential for adverse impacts west coast of North America from the returned once activities had ceased on Pacific harbor seals in the area. Pribilof and Aleutian Islands in Alaska (Venoco, 2001). Monitoring to Baja, CA. Number of Marine Mammals In Carpinteria, Pacific harbor seals Issuance of the IHA requires Venoco Potentially Harassed haul out year round. This area is one of to monitor the impact of pile driving two along the mainland coast of During repair work carried out by and other repair activities on harbor southern California that is readily Venoco an estimated 364 Pacific harbor seals. Monitoring will be conducted by accessible to the public. The other haul seals have the potential to be one or more NMFS-approved biologists. out is in La Jolla, CA. There are four incidentally harassed. This number is As part of the IHA monitoring other sizable haul outs along the the maximum count documented by requirements, Venoco will notify the mainland coast of Santa Barbara County, Howorth (1995, 1998) during the designated on-site biological monitor(s) one at Naples, one at Point Conception, summer molting season. at least 30 minutes before a pile driving session begins and if there are and two at Vandenberg Air Force Base. Mitigation However, unlike the Carpinteria haul unexpected changes to the work plan. In out, these sites are on private land and Mitigation measures described in this addition, monitoring information not readily accessible to the public. section have been designed to reduce should be collected a minimum of 1 In Carpinteria, peak numbers are the potential for harassment and hour before the work day begins, a reached during the pupping season (late eliminate the potential for incidental minimum of 15 minutes prior to
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planned pile driving sessions, during Endangered Species Act (ESA) requirements defined by NMFS in the pile driving sessions, and for a Consultation IHA are implemented successfully. minimum of 1 hour after pile driving or This proposed authorization would NMFS has determined that the proposed other work is completed. not allow the take of any species listed activity would result in the harassment On-site biological monitor(s) are as endangered or threatened under the of only small numbers of Pacific harbor required to collect the following ESA; therefore, no ESA Section 7 seals and would have a negligible information related to harbor seals: (1) consultation was necessary for issuance impact on stocks of harbor seals in date; (2) time of arrival/departure of of the IHA. California waters. monitor(s) and work crew; (3) number of Coastal Zone Management Act Dated: December 3, 2001. harbor seals on the beach; (4) number of Consistency David Cottingham, harbor seals in the water; (5) number of Deputy Director, Office of Protected On November 19, 2001, the California adults, subadults, and pups; (6) number Resources, National Marine Fisheries Service. Coastal Commission issued a of molting seals; (7) disturbance [FR Doc. 01–30465 Filed 12–7–01; 8:45 am] conditioned emergency permit to reactions observed; and (8) BILLING CODE 3510–22–S Venoco, Inc. to begin repair activities on Concurrently, the monitor(s) will record the Carpinteria pipeline. The type of repair activity (including determination to issue an emergency specific equipment used), location of permit was based on the conclusion of COMMITTEE FOR THE activity, and duration of activity. The the Commission that an imminent threat IMPLEMENTATION OF TEXTILE monitor(s) will also collect the to the nearby seal haul-out and the AGREEMENTS following information related to marine environment will exist if repairs Announcement of Import Restraint environmental conditions: (1) date; (2) to the pipeline are not made due to Limits for Certain Cotton and Man- time; (3) cloud cover; (4) visibility; (5) inadequate support of the pipeline Made Fiber Textile Products Produced wind direction; (6) wind velocity; (7) during the winter storm season. The or Manufactured in Pakistan swell direction; (8) swell height; and (9) Commission’s emergency permit tidal stage. The presence of other marine contains conditions similar to NMFS′ December 4, 2001. mammal species on the beach and in the IHA designed to prevent the ‘‘take’’ of AGENCY: Committee for the water is also a requirement. marine mammals during the course of Implementation of Textile Agreements The NMFS-approved biological Venoco’s activities. All of the marine (CITA). mammal conditions were added to the monitor has the authority under the IHA ACTION: Issuing a directive to the Coastal Commission’s permit in close to prevent pile driving operations from Commissioner of Customs establishing consultation with NMFS. commencing if a harbor seal pup is limits. sighted on the beach. If a harbor seal Conclusions pup is sighted after pile driving has NMFS has determined that the impact EFFECTIVE DATE: January 1, 2002. begun, then the monitor is required to of conducting repair activities at the FOR FURTHER INFORMATION CONTACT: Ross notify Venoco, who must stop pile Carpinteria Oil and Gas Processing Arnold, International Trade Specialist, driving as soon as operationally Facility in Carpinteria, CA, will have a Office of Textiles and Apparel, U.S. practicable and consult immediately negligible impact on Pacific harbor seal Department of Commerce, (202) 482– with NMFS’ Southwest Regional Office. stocks in California. While behavioral 4212. For information on the quota status of these limits, refer to the Quota Reporting modifications may be made by individuals to avoid the resultant noise Status Reports posted on the bulletin During periods of operation, Venoco and activities, the avoidance of the area boards of each Customs port, call (202) will provide weekly reports to NMFS’ is not reasonably expected to, and is not 927–5850, or refer to the U.S. Customs Southwest Regional Administrator, reasonably likely to, adversely affect the website at http:// including a summary of the previous annual rates of recruitment or survival www.customs.ustreas.gov. For week’s monitoring activities and an of the stock. information on embargoes and quota re- estimate of the number of seals that may The number of potential harassment openings, refer to the Office of Textiles have been disturbed as a result of repair takings is estimated to be small. In and Apparel website at http:// activities. A description of the repair addition, no take by injury or death is otexa.ita.doc.gov. activities at the time of observation will anticipated, and the potential for such SUPPLEMENTARY INFORMATION: also be provided. taking will be avoided through the incorporation of the mitigation Authority: Section 204 of the Agricultural An interim report must be submitted measures mentioned in this document Act of 1956, as amended (7 U.S.C. 1854); to the Southwest Regional Executive Order 11651 of March 3, 1972, as and in the IHA. Haul-out sites, amended. Administrator on or about July 30, 2001. rookeries, mating grounds, areas of This report will contain a description of concentrated feeding, and other areas of The import restraint limits for textile the methods, results, and interpretation special significance for harbor seals products, produced or manufactured in of all monitoring tasks. A draft final within or near the planned area of Pakistan and exported during the period report is due 90 days after expiration of operations will be avoided in order to January 1, 2002 through December 31, the IHA. If comments are received from minimize any potential impacts. 2002 are based on limits notified to the the Regional Administrator on the draft Textiles Monitoring Body pursuant to final report, then the final report must Authorization the Uruguay Round Agreement on be submitted to the Southwest Regional NMFS has issued an IHA for repair Textiles and Clothing (ATC). Administrator within 30 days after activities at the Carpinteria Oil and Gas Pursuant to the provisions of the ATC, receiving comments. If no comments are Processing Facility in Carpinteria, CA the third stage of the integration of received from the Southwest Regional from November 28, 2001, until textile and apparel products into the Administrator, the draft final report will November 28, 2002, provided the General Agreement on Tariffs and Trade be considered the final report. mitigation, monitoring, and reporting 1994 will take place on January 1, 2002
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4 (see 60 FR 21075, published on May 1, Twelve-month restraint Category 359–C: only HTS numbers 1995). Accordingly, certain previously Category limit 6103.42.2025, 6103.49.8034, 6104.62.1020, 6104.69.8010, 6114.20.0048, 6114.20.0052, restrained categories have been 6203.42.2010, 6203.42.2090, 6204.62.2010, modified and their limit has been 336/636 ...... 721,444 dozen. 6211.32.0010, 6211.32.0025 and revised, and other limits have been 338 ...... 6,238,373 dozen. 6211.42.0010; Category 659–C: only HTS eliminated. Integrated products will no 339 ...... 1,934,985 dozen. numbers 6103.23.0055, 6103.43.2020, 340/640 ...... 961,925 dozen of 6103.43.2025, 6103.49.2000, 6103.49.8038, longer be subject to quota. 6104.63.1020, 6104.63.1030, 6104.69.1000, In the letter published below, the which not more than 360,721 dozen shall 6104.69.8014, 6114.30.3044, 6114.30.3054, Chairman of CITA directs the 6203.43.2010, 6203.43.2090, 6203.49.1010, be in Categories 6203.49.1090, 6204.63.1510, 6204.69.1010, Commissioner of Customs to establish 3 340–D/640–D . 6210.10.9010, 6211.33.0010, 6211.33.0017 the 2002 limits. 341/641 ...... 1,082,165 dozen. and 6211.43.0010. Carryforward that has been applied to 342/642 ...... 535,616 dozen. 5 Category 369–S: only HTS number the 2001 limits is being deducted from 347/348 ...... 1,132,284 dozen. 6307.10.2005. the 2002 limits. 6 Category 666–P: only HTS numbers 351/651 ...... 455,399 dozen. 6302.22.1010, 6302.22.1020, 6302.22.2010, A description of the textile and 352/652 ...... 1,138,500 dozen. 6302.32.1010, 6302.32.1020, 6302.32.2010 apparel categories in terms of HTS 359–C/659–C 4 ...... 2,164,331 kilograms. and 6302.32.2020. numbers is available in the 360 ...... 7,315,629 numbers. 7 Category 666–S: only HTS numbers CORRELATION: Textile and Apparel 361 ...... 8,506,544 numbers. 6302.22.1030, 6302.22.1040, 6302.22.2020, 6302.32.1030, 6302.32.1040, 6302.32.2030 Categories with the Harmonized Tariff 363 ...... 58,026,017 numbers. and 6302.32.2040. Schedule of the United States (see 369–S 5 ...... 1,042,777 kilograms. The limits set forth above are subject to Federal Register notice 65 FR 82328, 613/614 ...... 33,630,217 square adjustment pursuant to the provisions of the published on December 28, 2000). meters ATC and administrative arrangements Information regarding the availability of 615 ...... 35,776,820 square notified to the Textiles Monitoring Body. meters. the 2002 CORRELATION will be Products in the above categories exported published in the Federal Register at a 625/626/627/628/629 110,033,519 square during 2001 shall be charged to the later date. meters of which not applicable category limits for that year (see more than directive dated November 2, 2000) to the D. Michael Hutchinson, 55,016,761 square extent of any unfilled balances. In the event Acting Chairman, Committee for the meters shall be in the limits established for that period have Implementation of Textile Agreements. Category 625; not been exhausted by previous entries, such more than products shall be charged to the limits set Committee for the Implementation of Textile 55,016,761 square Agreements forth in this directive. meters shall be in Products to be integrated into the General December 4, 2001. Category 626; not Agreement on Tariffs and Trade 1994 on Commissioner of Customs, more than January 1, 2002 (listed in the Federal Register Department of the Treasury, Washington, DC 55,016,761 square notice published on May 1, 1995, 60 FR 20229. meters shall be in 21075) which are exported during 2001 shall Dear Commissioner: Pursuant to section Category 627; not be charged to the applicable 2001 limits to 204 of the Agricultural Act of 1956, as more than the extent of any unfilled balances. After amended (7 U.S.C. 1854); Executive Order 11,382,779 square January 1, 2002, should those 2001 limits be 11651 of March 3, 1972, as amended; and the meters shall be in filled, such products shall no longer be Uruguay Round Agreement on Textiles and Category 628; and charged to any limit. Clothing (ATC), you are directed to prohibit, not more than In carrying out the above directions, the effective on January 1, 2002, entry into the 55,016,761 square Commissioner of Customs should construe United States for consumption and meters shall be in entry into the United States for consumption withdrawal from warehouse for consumption Category 629. to include entry for consumption into the of cotton and man-made fiber textile 638/639 ...... 604,934 dozen. Commonwealth of Puerto Rico. products in the following categories, 647/648 ...... 1,146,931 dozen. The Committee for the Implementation of produced or manufactured in Pakistan and 666–P 6 ...... 1,018,061 kilograms. Textile Agreements has determined that exported during the twelve-month period 666–S 7 ...... 5,389,734 kilograms. these actions fall within the foreign affairs beginning on January 1, 2002 and extending exception of the rulemaking provisions of 5 through December 31, 2002, in excess of the 1 Category 239pt.: only HTS number U.S.C. 553(a)(1). following limits: 6209.20.5040 (diapers). 2 Sincerely, Category 331pt.: all HTS numbers except D. Michael Hutchinson, 6116.10.1720, 6116.10.4810, 6116.10.5510, Category Twelve-month restraint 6116.10.7510, 6116.92.6410, 6116.92.6420, Acting Chairman, Committee for the limit 6116.92.6430, 6116.92.6440, 6116.92.7450, Implementation of Textile Agreements. 6116.92.7460, 6116.92.7470, 6116.92.8800, [FR Doc.01–30435 Filed 12–7–01; 8:45 am] Specific limits 6116.92.9400 and 6116.99.9510; Category BILLING CODE 3510–DR–S 219 ...... 12,361,182 square 631pt.: all HTS numbers except 6116.10.1730, meters. 6116.10.4820, 6116.10.5520, 6116.10.7520, 226/313 ...... 169,841,711 square 6116.93.8800, 6116.93.9400, 6116.99.4800, meters. 6116.99.5400 and 6116.99.9530. 237 ...... 601,202 dozen. 3 Category 340–D: only HTS numbers DEPARTMENT OF DEFENSE 239pt. 1 ...... 2,596,432 kilograms. 6205.20.2015, 6205.20.2020, 6205.20.2025 and 6205.20.2030; Category 640–D: only HTS Department of the Army 314 ...... 8,989,949 square me- numbers 6205.30.2010, 6205.30.2020, ters. 6205.30.2030, 6205.30.2040, 6205.90.3030 315 ...... 109,140,142 square and 6205.90.4030. Armed Forces Epidemiological Board meters. (AFEB); Closed Meeting 317/617 ...... 48,310,478 square meters. AGENCY: Office of The Surgeon General, 331pt./631pt. 2 ...... 787,805 dozen pairs. DoD. 334/634 ...... 336,230 dozen. ACTION: Notice of closed meeting. 335/635 ...... 548,386 dozen.
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SUMMARY: In accordance with section Superintendent, U.S. Naval Academy, Group, Office of the Chief Information 10(a)(2) of Public Law 92–463, The Annapolis, MD 21402–5000, telephone Officer, publishes that notice containing Federal Advisory Committee Act, this number (410) 293–1503. proposed information collection announces the forthcoming select AFEB SUPPLEMENTARY INFORMATION: This requests prior to submission of these subcommittee meeting. This Board will notice of meeting is provided per the requests to OMB. Each proposed meet via teleconference on 20 December Federal Advisory Committee Act (5 information collection, grouped by 2001. The purpose of the meeting is to U.S.C. App. 2). The executive session of office, contains the following: (1) Type review a draft manuscript and make the meeting will consist of discussions of review requested, e.g. new, revision, recommendations on potential policy of information, which pertain to the extension, existing or reinstatement; (2) implications. The manuscript has not conduct of various midshipmen at the Title; (3) Summary of the collection; (4) formally been published and is Naval Academy and internal Board of Description of the need for, and protected by intellectual property rights. Visitors matters. Discussion of such proposed use of, the information; (5) This meeting will be closed to the information cannot be adequately Respondents and frequency of public. segregated from other topics, which collection; and (6) Reporting and/or FOR FURTHER INFORMATION CONTACT: Lt precludes opening the executive session Recordkeeping burden. OMB invites Col James R. Riddle, Executive of this meeting to the public. In public comment. The Department of Secretary, Armed Forces accordance with 5 U.S.C. App. 2, Education is especially interested in Epidemiological Board, Skyline Six, section 10(d), the Secretary of the Navy public comment addressing the 5109 Leesburg Pike, Room 682, Falls has determined in writing that the following issues: (1) Is this collection Church, Virginia 22041–3258, (703) special committee meeting shall be necessary to the proper functions of the 681–8012/3. partially closed to the public because Department; (2) will this information be SUPPLEMENTARY INFORMATION: None. they will be concerned with matters as processed and used in a timely manner; outlined in section 552(b)(2), (5), (6), (3) is the estimate of burden accurate; Luz D. Ortiz, and (7) of title 5 U.S.C. Due to an (4) how might the Department enhance Army Federal Register Liaison Officer. unavoidable delay in administrative the quality, utility, and clarity of the [FR Doc. 01–30462 Filed 12–7–01; 8:45 am] processing, the 15 days advance notice information to be collected; and (5) how BILLING CODE 3710–08–M could not be provided. might the Department minimize the Dated: December 5, 2001. burden of this collection on the T.J. Welsh, respondents, including through the use DEPARTMENT OF DEFENSE of information technology. Lieutenant Commander, U.S. Navy, Judge Department of the Navy Advocate General’s Corps, Federal Register Dated: December 4, 2001. Liaison Officer. John Tressler, Meeting of the U.S. Naval Academy [FR Doc. 01–30534 Filed 12–7–01; 8:45 am] Leader, Regulatory Information Management, Board of Visitors BILLING CODE 3810–FF–P Office of the Chief Information, Officer. AGENCY: Department of the Navy, DOD. Office of Special Education and ACTION: Notice of partially closed Rehabilitative Services DEPARTMENT OF EDUCATION meeting. Type of Review: New. SUMMARY: The U.S. Naval Academy Notice of Proposed Information Title: Field Test of Agency Capacity to Board of Visitors will meet to make such Collection Requests Implement Reporting Requirements Associated with Draft Evaluation inquiry as the Board shall deem AGENCY: Department of Education. necessary into the state of morale and Standard 3 and section 101 (a)(10)(c) of SUMMARY: The Leader, Regulatory the Rehabilitation Act, as Amended. discipline, the curriculum, instruction, Information Management Group, Office physical equipment, fiscal affairs, and Frequency: One time. of the Chief Information Officer, invites Affected Public: State, Local, or Tribal academic methods of the Naval comments on the proposed information Academy. During this meeting inquiries Gov’t, SEAs or LEAs. collection requests as required by the Reporting and Recordkeeping Hour will relate to the internal personnel Paperwork Reduction Act of 1995. rules and practices of the Academy, may Burden: DATES: Interested persons are invited to involve on-going criminal Responses: 81. submit comments on or before February Burden Hours: 9,801. investigations, and include discussions 8, 2002. of personal information the disclosure Abstract: This field test will assess SUPPLEMENTARY INFORMATION: of which would constitute a clearly Section Designated State Unit (VR agency) unwarranted invasion of personal 3506 of the Paperwork Reduction Act of capacity to obtain and use privacy. The executive session of this 1995 (44 U.S.C. Chapter 35) requires unemployment insurance wage record meeting will be closed to the public. that the Office of Management and data maintained by the State Budget (OMB) provide interested Employment Security Agencies (SESAs) DATES: The meeting will be held on Federal agencies and the public an early needed to implement a proposed Friday, December 14, 2001, from 8:30 opportunity to comment on information evaluation standard and associated a.m. to 1 p.m. The closed Executive collection requests. OMB may amend or performance indicators mandated by the Session will be from 12:15 p.m. to 1 waive the requirement for public 1992 amendments to the Rehabilitation p.m. consultation to the extent that public Act, as amended by the Workforce ADDRESSES: The meeting will be held in participation in the approval process Investment Act of 1998. the Bo Coppedge Dining Room of would defeat the purpose of the Requests for copies of the proposed Alumni Hall at the U.S. Naval Academy. information collection, violate State or information collection request may be FOR FURTHER INFORMATION CONTACT: Federal law, or substantially interfere accessed from http://edicsweb.ed.gov, or Lieutenant Commander Thomas E. with any agency’s ability to perform its should be addressed to Vivian Reese, Osborn, Executive Secretary to the statutory obligations. The Leader, Department of Education, 400 Maryland Board of Visitors, Office of the Regulatory Information Management Avenue, SW., Room 4050, Regional
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Office Building 3, Washington, DC located at http://e-center.doe.gov. technology to a sufficient maturity level 20202–4651. Requests may also be Comments and/or questions prior to the that it will be adopted by the Industrial electronically mailed to the internet issuance of the solicitation shall be Team(s). The Phase II effort will be address [email protected] or faxed to forwarded to the mailing address or E- limited to approximately $500,000 (DOE 202–708–9346. Please specify the mail address provided below. Funding) and twenty-four (24) months. complete title of the information FOR FURTHER INFORMATION CONTACT: Phase II renewal awards may be collection when making your request. Mary S. Gabriele, MS I07, U.S. partially funded to pick only the aspects Comments regarding burden and/or Department of Energy, National Energy of the Phase II work that have sufficient the collection activity requirements Technology Laboratory, 3610 Collins merit to the SECA Industrial Team(s). should be directed to Sheila Carey at Ferry Road, P.O. Box 880, Morgantown, Applicants are advised that a (202) 708–6287 or via her internet WV 26507–0880, E-mail Address: minimum of 20% cost sharing will be address [email protected]. [email protected], Telephone required in Phase I and Phase II for Individuals who use a Number: (304) 285–4253. technologies proposed under Topic telecommunications device for the deaf SUPPLEMENTARY INFORMATION: The Areas 1 through 5. Cost sharing is not (TDD) may call the Federal Information subject solicitation will focus on mandatory for Phase I or Phase II under Relay Service (FIRS) at 1–800–877– specific sub-topics under the following Topic Area 6, but is highly encouraged. 8339. six Core Technology topic areas: Once released, the solicitation will be [FR Doc. 01–30413 Filed 12–7–01; 8:45 am] 1. Fuel Processing. available for downloading from the IIPS BILLING CODE 4000–01–P 2. Manufacturing. Internet page. At this Internet site you 3. Controls & Diagnostics. will also be able to register with IIPS, 4. Power Electronics. enabling you to submit an application. DEPARTMENT OF ENERGY 5. Modeling & Simulation. If you need technical assistance in 6. Materials. registering or for any other IIPS National Energy Technology Each topic area contains one or more function, call the IIPS Help Desk at Laboratory sub-topics that describe needs for (800) 683–0751 or E-mail the Help Desk specific science, engineering and personnel at IIPS—HelpDesk@e- Notice of Availability of a Financial technologies to support the SECA center.doe.gov. The solicitation will Assistance Solicitation Industrial Teams. The Core Technology only be made available in IIPS, no hard Program will focus on generating new (paper) copies of the solicitation and AGENCY: National Energy Technology scientific and engineering knowledge related documents will be made Laboratory (NETL), Department of and on creating technology available. Energy (DOE). breakthroughs to address technical risks Prospective applicants who would ACTION: Notice of availability of a and barriers that limit achievement of like to be notified as soon as the Financial Assistance Solicitation. the SECA performance and cost goals solicitation is available should subscribe for solid-state fuel cell systems. to the Business Alert Mailing List at SUMMARY: Notice is hereby given of the Universities and small business research http://www.netl.doe.gov/business. Once intent to issue Financial Assistance entities are considered well suited for you subscribe, you will receive an Program Solicitation No. DE-PS26– this role of generating new knowledge announcement by E-mail that the 02NT40865 entitled ‘‘Solid State Energy and creating breakthroughs. The solicitation has been released to the Conversion Alliance (SECA) Core solicitation is however open to any public. Telephone requests, written Technology Program.’’ The purpose of nonprofit or for-profit organization, requests, E-mail requests, or facsimile the SECA Core Technology Program is university or other institution of higher requests for a copy of the solicitation to develop science and technologies that education, or non-federal agency, unless package will not be accepted and/or address specific technical challenges otherwise restricted by the Simpson- honored. Applications must be prepared and barriers faced by the SECA Craig Amendment. and submitted in accordance with the Industrial Teams. The goal for SECA The DOE anticipates award of instructions and forms contained in the Industrial Teams is to develop a 3 multiple cooperative agreements in the solicitation. The actual solicitation kilowatt (kW)–10kW solid-oxide fuel various topic/subtopic areas; but the document will allow for requests for cell system including stack and balance DOE reserves the right to award the explanation and/or interpretation. of plant that has a Factory Cost of $400/ agreement type and number deemed in Issued in Morgantown, WV on November kW by 2010. Additional information its best interest. Each award will consist associated with the SECA program is 30, 2001. of two phases, and the selection for each Randolph L. Kesling, located at http://www.seca.doe.gov. phase will be based on a competitive Director, Acquisition and Assistance Division. DATES: The solicitation will be available process. Phase I will investigate the on the ‘‘Industry Interactive feasibility of the proposed concept/ [FR Doc. 01–30444 Filed 12–7–01; 8:45 am] Procurement System’’ (IIPS) Web page approach and will be limited to BILLING CODE 6450–01–P located at http://e-center.doe.gov on or approximately $150,000 (DOE Funding) about December 10, 2001. Prospective and twelve (12) months. Only Phase I DEPARTMENT OF ENERGY applicants can obtain access to the recipients will have the opportunity to solicitation from the above Internet submit a renewal application to receive National Nuclear Security address or through the DOE/NETL’s funds for Phase II research. If the Phase Administration; Stewardship Science Internet address at http:// I work demonstrates feasibility, the Academic Alliances Program Financial www.netl.doe.gov/business. selected Industrial Team members see Assistance Number DE–PS03– ADDRESSES: The solicitation and any sufficient commercialization merit, and 01SF22349 subsequent amendments will be adequate program funds are available, published on the DOE/NETL’s Internet the recipient will be awarded a Phase II AGENCY: National Nuclear Security address at http://www.netl.doe.gov/ renewal agreement. Phase II work Administration (NNSA), U.S. business and on the IIPS Web page includes advancing the science and Department of Energy (DOE).
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ACTION: Notice of competitive financial hydrodynamics, (2) high-energy-density changed environment since September assistance solicitation. physics and fluid dynamics, and (3) 11, 2001. low-energy nuclear science. The DOE has responsibilities for tracking SUMMARY: The DOE/NNSA, through the Stewardship Science Academic actual and potential emergency Oakland Operations Office, is seeking Alliances Program is an expansion of situations on the U.S. electric energy applications/proposals in specific areas the currently funded ‘‘Inertial Fusion supply system so that Federal of physical science with the principal Science in Support of Stockpile emergency response and national goals of: (1) Grow the U.S. scientific Stewardship’’ Grant Program. The Office security measures can be implemented community, through the funding of of Research, Development and in a timely and effective manner, as research projects at universities, in areas Simulation anticipates supporting necessary. DOE has had regulations in of fundamental science and technology multiple awards in physical sciences place since the 1980’s requiring electric relevant to stockpile stewardship, with totaling approximately $12.5M energy entities to report on systems’ a focus on those areas that have not annually, subject to the availability of incidents and disturbances. been traditionally supported by other funds, as a result of this solicitation. In 1998, the DOE received OMB federal agencies and for which there is Awards will be for one to three-year approval, under Form EIA–417R, to a recruiting need within the NNSA/DP projects of work at a funding level collect electric systems’ emergency laboratories complex; and (2) Providing appropriate for the proposed scopes. information through December 31, 2001. fundamental-science information and Funding of awards will range up to DOE is requesting emergency approval developing advanced experimental approximately $2,000,000 per year for to continue use of the existing Form measurement techniques in selected Centers of Excellence and will range up EIA–417R while the revised form is areas of physical sciences: condensed to a few hundred thousand dollars per being prepared for submittal to OMB. matter physics and materials science, year for Research Grants. The During the summer of 2001, DOE hydrodynamics, plasma and high- solicitation document contains all the developed revised reporting energy-density physics, fluid dynamics, information relative to this action for requirements for the form and issued a and low-energy nuclear science. prospective applicants. The North request for public comments. The ADDRESSES: The formal solicitation American Industry Classification Federal Register notice (66 FR 47189) document, Stewardship Science System (NAICS) number for this requesting public comments was Academic Alliances Program (DE– program is 541. published on September 11. Given the PS03–01SF22349), is available through events of September 11, 2001, public the Industry Interactive Procurement Issued in Oakland, CA, on December 3, 2001. comments received in response to the System (IIPS) located at the following Federal Register notice, and R. Arlene Coleman, URL: http://e-center.doe.gov. IIPS consultations with affected groups, DOE provides the medium for disseminating Acting Director, Financial Assistance Center, is reassessing the information it will Oakland Operations Office. solicitations, receiving financial require on electric power systems’ assistance applications and evaluating [FR Doc. 01–30443 Filed 12–7–01; 8:45 am] incidents and disturbances. DOE will applications in a paperless BILLING CODE 6450–01–P not complete this reassessment prior to environment. Completed applications expiration of the EIA–417R’s approval, are required to be submitted via IIPS. and thus needs to request an emergency DEPARTMENT OF ENERGY Individuals who have the authority to 6-month approval to continue collecting enter their university or academic Energy Information Administration information under the existing institution into a financial assistance regulations (10 CFR 205.350—353). award and intend to submit proposals/ Agency Information Collection DATES: Comments must be filed with applications via the IIPS system must Activities: Submission for emergency OMB by December 17, 2001. register and receive confirmation that OMB Review; Comment Request ADDRESSES: Send comments to the they are registered prior to being able to Bryon Allen, OMB Desk Officer for submit an application on the IIPS AGENCY: Energy Information DOE, Office of Information and system. An IIPS ‘‘User Guide for Administration (EIA), Department of Regulatory Affairs, Office of Contractor’’ can be obtained by going to Energy (DOE). Management and Budget. To ensure the IIPS Homepage at the following ACTION: Agency information collection receipt of the comments by the due date, URL: http://e-center.doe.gov and then activities: Submission for Emergency submission by FAX at 202–395–7285 or clicking on the ‘‘Help’’ button. OMB review; comment request. e-mail to [email protected] is Questions regarding the operation of recommended. The mailing address is IIPS may be e-mailed to the IIPS Help SUMMARY: The EIA has submitted the 726 Jackson Place NW., Washington, DC Desk at [email protected] energy information collections listed at 20503. The OMB DOE Desk Officer may or call the help desk at (800) 683–0751. the end of this notice to the Office of be telephoned at (202) 395–7318. (A FOR FURTHER INFORMATION CONTACT: Ms Management and Budget (OMB) for copy of your comments should also be Bertha Crisp, Contract Specialist, U.S. emergency processing under section provided to EIA’s Statistics and Department of Energy, Oakland 3507(j)(1) of the Paperwork Reduction Methods Group at the address below.) Operations Office, 1301 Clay Street, N– Act of 1995 (Pub. L. 104–13) (44 U.S.C. FOR FURTHER INFORMATION CONTACT: 700, Oakland, CA 94612–5208; e-mail 3501 et seq.). The DOE is requesting an Requests for additional information [email protected] emergency clearance from OMB for the should be directed to Herbert Miller,. To SUPPLEMENTARY INFORMATION: Proposals Form EIA–417R by December 18, 2001. ensure receipt of the comments by the for Research Grants and Centers of This form is used to collect information due date, submission by FAX at 202– Excellence are invited from universities on emergency situations in U.S. electric 287–1705 or e-mail to or other academic institutions in the power systems. Approval of the request [email protected] is following specific areas of physical will provide DOE with the time recommended. The mailing address is science: (1) Properties of materials necessary to more thoroughly evaluate Statistics and Methods Group (EI–70), under extreme conditions and its information needs in light of the Forrestal Building, U.S. Department of
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Energy, Washington, DC 20585–0670. DEPARTMENT OF ENERGY 888 First Street, NE., Washington, DC Mr. Miller may be contacted by 20426, in accordance with sections telephone at (202) 287–1711. Federal Energy Regulatory 385.214 or 385.211 of the Commission’s Commission Rules and Regulations. All such motions SUPPLEMENTARY INFORMATION: This or protests must be filed in accordance section contains the following [Docket No. RP02–59–000] with section 154.210 of the information about the energy Commission’s Regulations. Protests will information collection submitted to Algonquin Gas Transmission Company; Notice of Compliance Filing be considered by the Commission in OMB for review: (1) The collection determining the appropriate action to be number and title; (2) the sponsor (i.e., December 4, 2001 taken, but will not serve to make the Department of Energy component); Take notice that on November 28, protestants parties to the proceedings. (3) the current OMB docket number (if 2001 Algonquin Gas Transmission Any person wishing to become a party applicable); (4) the type of request (i.e, Company (Algonquin) tendered for must file a motion to intervene. Copies new, revision, extension, or filing as part of its FERC Gas Tariff, of this filing are on file with the reinstatement); (5) response obligation Fourth Revised Volume No. 1 and Commission and are available for public (i.e., mandatory, voluntary, or required Original Volume No. 2, the revised tariff inspection. This filing may also be to obtain or retain benefits); (6) a sheets listed on Appendix A to the filing viewed on the web at http:// description of the need for and to become effective January 1, 2002. www.ferc.gov using the ‘‘RIMS’’ link, proposed use of the information; (7) a Algonquin states that the purpose of select ‘‘Docket#’’ and follow the categorical description of the likely this filing is to revise the Gas Research instructions (call 202–208–2222 for respondents; and (8) an estimate of the Institute (GRI) surcharges to be effective assistance). Comments, protests and total annual reporting burden (i.e., the January 1, 2002 in compliance with the interventions may be filed electronically estimated number of likely respondents January 21, 1998, Stipulation and via the Internet in lieu of paper. See, 18 times the proposed frequency of Agreement Concerning GRI Funding CFR 385.2001(a)(1)(iii) and the response per year times the average approved by the Commission in Gas instructions on the Commission’s web hours per response). Research Institute, 83 FERC ¶ 61,093 site under the ‘‘e-Filing’’ link. 1. Form EIA–417R, ‘‘Electric Power (1998), order on reh’g, 83 FERC ¶ 61, System Emergency Report’’. 331 (1998). Linwood A. Watson, Jr., Algonquin states that the filing Acting Secretary. 2. Office of Emergency Management, complies with the surcharges set forth [FR Doc. 01–30408 Filed 12–7–01; 8:45 am] Office of Security and Emergency in Appendix A to the Stipulation and BILLING CODE 6717–01–P Operations. Agreement as adjusted upward by 10% 3. OMB Number 1901–0288. consistent with Article II, Section 1.0 of 4. Reinstatement (emergency the Stipulation and Agreement, which DEPARTMENT OF ENERGY clearance request). was approved for filing by GRI member Federal Energy Regulatory 5. Mandatory. pipelines to be effective on January 1, 2002 without suspension or potential Commission 6. The Form EIA–417R serves the refund obligation by OMTR letter order [Docket No. RP00–445–001] purpose of alerting the Federal issued September 19, 2001 in GRI’s government about actual or projected Docket No. RP01–434. Alliance Pipeline L.P.; Notice of incidents that will impact the Specifically, Algonquin states that the Negotiated Rates operational and/or reliability of the approved 2002 surcharges are as Nation’s domestic electric power follows: (1) A GRI volumetric surcharge December 4, 2001. systems. Respondents are the owners of 0.55¢ per dekatherm will be charged Take notice that on November 26, and/or operators of the Nation’s electric on all non-discounted firm commodity 2001, Alliance Pipeline L.P. (Alliance) power systems. Data are used to and interruptible transportation tendered for filing as part of its FERC examine the incidents and track services; (2) a 0.88¢ per dekatherm Gas Tariff, Volume No. 1, the following recovery process, along with alerting the surcharge will be charged on all non- tariff sheets to become effective January senior policy makers of the Executive discounted firm commodity units 1, 2002: branch. delivered to small customers qualifying First Revised Sheet No. 11 7. Businesses or other for-profit; for service under Algonquin’s Rate First Revised Sheet No. 12 Federal Government; Not-for-profit Schedules AFT–1S and AFT–ES; (3) a First Revised Sheet No. 13 First Revised Sheet No. 14 institutions; and State, Local or Tribal reservation surcharge of 6.6¢ per Governments. dekatherm per month will be charged Alliance states that it provides firm service under Rate Schedule FT–1 for its 8. 139 total burden hours; (48 on non-discounted firm high load factor existing shippers, all of whom have respondents × 1 report × 2.89 hours/ customers, i.e., greater than 50% load agreed to pay negotiated rates. The report). factor; and (4) a reservation surcharge of 4.07¢ per dekatherm per month will be negotiated rate agreements provide that Statutory Authority: Section 3507(j)(1) of charged on non-discounted firm low changes in Alliance’s costs will be the Paperwork Reduction Act of 1995 (Pub. load factor customers, i.e., less than or reflected in its negotiated rates from L. No. 104–13). equal to 50% load factor. time to time. Alliance states that the Issued in Washington, D.C., December 4, Algonquin states that copies of the tariff sheets listed above set forth the 2001. filing were mailed to all affected essential elements of its Rate Schedule Jay H. Casselberry, customers of Algonquin and interested FT–1 negotiated rate transactions, Agency Clearance Officer, Statistics and state commissions. including the rates thereunder, and that Methods Group, Energy Information Any person desiring to be heard or to it is filing the listed tariff sheets to Administration. protest said filing should file a motion reflect changes made to the rates [FR Doc. 01–30445 Filed 12–7–01; 8:45 am] to intervene or a protest with the charged under its negotiated rate BILLING CODE 6450–01–P Federal Energy Regulatory Commission, agreements as a result of changes in its
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costs. Alliance states that its filing is to intervene or a protest with the was approved for filing by GRI member made pursuant to the authorization set Federal Energy Regulatory Commission, pipelines to be effective on January 1, forth in its negotiated rates agreements 888 First Street, NE., Washington, DC 2002 without suspension or potential and section 39 of the General Terms and 20426, in accordance with sections refund obligation by OMTR letter order Conditions of its FERC Gas Tariff. 385.214 or 385.211 of the Commission’s issued September 19, 2001 in GRI’s Alliance states that copies of its filing Rules and Regulations. All such motions Docket No. RP01–434. have been mailed to all customers, state or protests must be filed in accordance Specifically, East Tennessee states commissions, and other interested with section 154.210 of the that the approved 2002 surcharges are as customers. Commission’s Regulations. Protests will follows: (1) A GRI volumetric surcharge Any person desiring to be heard or to be considered by the Commission in of 0.55¢ per dekatherm will be charged protest said filing should file a motion determining the appropriate action to be to intervene or a protest with the taken, but will not serve to make on all non-discounted firm commodity Federal Energy Regulatory Commission, protestants parties to the proceedings. and interruptible transportation 888 First Street, NE., Washington, DC Any person wishing to become a party services; (2) a 0.88¢ per dekatherm 20426, in accordance with sections must file a motion to intervene. Copies surcharge will be charged on all non- 385.214 or 385.211 of the Commission’s of this filing are on file with the discounted firm commodity units Rules and Regulations. All such motions Commission and are available for public delivered to small customers qualifying or protests must be filed in accordance inspection. This filing may also be for service under East Tennessee’s Rate with section 154.210 of the viewed on the web at http:// Schedule FT–GS; (3) a reservation Commission’s Regulations. Protests will www.ferc.gov using the ‘‘RIMS’’ link, surcharge of 6.6¢ per dekatherm per be considered by the Commission in select ‘‘Docket#’’ and follow the month will be charged on non- determining the appropriate action to be instructions (call 202–208–2222 for discounted firm high load factor taken, but will not serve to make assistance). Comments, protests and customers, i.e., greater than 50% load protestants parties to the proceedings. interventions may be filed electronically factor; and (4) a reservation surcharge of Any person wishing to become a party via the Internet in lieu of paper. See, 18 4.07¢ per dekatherm per month will be must file a motion to intervene. Copies CFR 385.2001(a)(1)(iii) and the charged on non-discounted firm low of this filing are on file with the instructions on the Commission’s web load factor customers, i.e., less than or Commission and are available for public site under the ‘‘e-Filing’’ link. equal to 50% load factor. inspection. This filing may also be East Tennessee states that copies of viewed on the web at http:// Linwood A. Watson, Jr., www.ferc.gov using the ‘‘RIMS’’ link, Acting Secretary. the filing were mailed to all affected customers of East Tennessee and select ‘‘Docket#’’ and follow the [FR Doc. 01–30404 Filed 12–7–01; 8:45 am] interested state commissions. instructions (call 202–208–2222 for BILLING CODE 6717–01–P assistance). Comments, protests and Any person desiring to be heard or to interventions may be filed electronically protest said filing should file a motion via the Internet in lieu of paper. See, 18 DEPARTMENT OF ENERGY to intervene or a protest with the CFR 385.2001(a)(1)(iii) and the Federal Energy Regulatory Commission, instructions on the Commission’s web Federal Energy Regulatory 888 First Street, NE., Washington, DC site under the ‘‘e-Filing’’ link. Commission 20426, in accordance with sections 385.214 or 385.211 of the Commission’s Linwood A. Watson, Jr., [Docket No. RP02–58–000] Rules and Regulations. All such motions Acting Secretary. East Tennessee Natural Gas Company; or protests must be filed in accordance [FR Doc. 01–30406 Filed 12–7–01; 8:45 am] Notice of Compliance Filing with section 154.210 of the BILLING CODE 6717–01–P Commission’s Regulations. Protests will December 4, 2001. be considered by the Commission in Take notice that on November 28, determining the appropriate action to be DEPARTMENT OF ENERGY 2001, East Tennessee Natural Gas taken, but will not serve to make Company (East Tennessee) tendered for protestants parties to the proceedings. Federal Energy Regulatory filing as part of its FERC Gas Tariff, Commission Second Revised Volume No. 1, Twenty- Any person wishing to become a party must file a motion to intervene. Copies [Docket No. RP96–383–035] Second Revised Sheet No. 4 and First Revised Sheet No. 4A to become of this filing are on file with the Dominion Transmission, Inc.; Notice of effective January 1, 2002. Commission and are available for public Negotiated Rate East Tennessee states that the purpose inspection. This filing may also be of this filing is to revise the Gas viewed on the web at http:// December 4, 2001. Research Institute (GRI) surcharges to be www.ferc.gov using the ‘‘RIMS’’ link, Take notice that on November 27, effective January 1, 2002 in compliance select ‘‘Docket#’’ and follow the 2001, Dominion Transmission, Inc. with the January 21, 1998, Stipulation instructions (call 202–208–2222 for (DTI) filed with the Commission the and Agreement Concerning GRI assistance). Comments, protests and following tariff sheets for disclosure of Funding approved by the Commission interventions may be filed electronically a recently negotiated rate transaction: in Gas Research Institute, 83 FERC via the Internet in lieu of paper. See, 18 Sixth Revised Sheet No. 1300 ¶ 61,093 (1998), order on reh’g, 83 FERC CFR 385.2001(a)(1)(iii) and the Second Revised Sheet No. 1406 ¶ 61,331 (1998). instructions on the Commission’s web DTI states that copies of its letter of East Tennessee states that the filing site under the ‘‘e-Filing’’ link. transmittal and enclosures have been complies with the surcharges set forth Linwood A. Watson, Jr., served upon DTI’s customers and in Appendix A to the Stipulation and interested state commissions. Agreement as adjusted upward by 10% Acting Secretary. Any person desiring to be heard or to consistent with Article II, Section 1.0 of [FR Doc. 01–30407 Filed 12–7–01; 8:45 am] protest said filing should file a motion the Stipulation and Agreement, which BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY via the Internet in lieu of paper. See, 18 CFR 385.2001(a)(1)(iii) and the Federal Energy Regulatory Federal Energy Regulatory instructions on the Commission’s web Commission Commission site under the ‘‘e-Filing’’ link. [Docket No. RP99–176–044] [Docket No. EC02–26–000] Linwood A. Watson, Jr., Natural Gas Pipeline Company of Acting Secretary. Llano Estacado Wind, LP Shell America; Notice of Negotiated Rate [FR Doc. 01–30405 Filed 12–7–01; 8:45 am] WindEnergy Inc.; Notice of Filing BILLING CODE 6717–01–P December 4, 2001. December 4, 2001. Take notice that on November 28, Take notice that on November 14, 2001, Natural Gas Pipeline Company of DEPARTMENT OF ENERGY 2001, Llano Estacado Wind, LP (Llano America (Natural) tendered for filing to Estacado Wind) and Shell WindEnergy, become part of its FERC Gas Tariff, Federal Energy Regulatory Inc. (Shell WindEnergy) (collectively, Sixth Revised Volume No. 1, Substitute Commission Applicants) tendered for filing the Original Sheet No. 26T, to be effective [Docket No. RP02–99–000] Federal Energy Regulatory Commission November 21, 2001. (Commission) an application pursuant On November 21, 2001, Natural filed Shell Offshore Inc., Complainant, v. to section 203 of the Federal Power Act Original Sheet No. 26T at Docket No. Transcontinental Gas Pipeline for authorization of a disposition of RP99–176–043 to implement a Corporation, Williams Gas jurisdictional facilities whereby Shell negotiated rate transaction under Rate Processing—Gulf Coast Company, WindEnergy will indirectly acquire all Schedule ITS with Nicor Enerchange, L.P., and Williams Field Services the interests in Llano Estacado Wind, LLC. Subsequently, it was discovered Company, Respondents; Notice of including jurisdictional rate schedules that certain provisions were Complaint and certain substation and inadvertently omitted. Therefore, interconnection facilities. Natural is now submitting Substitute December 4, 2001. Llano Estacado Wind owns the Llano Original Sheet No. 26T reflecting the Take notice that on November 30, Estacado Wind Ranch at White Dear, a appropriate provisions to be accepted in 2001, pursuant to rule 206 of the rules wind-powered generation facility and lieu of Original Sheet No. 26T of practice and procedure of the Federal Qualifying Small Power Production previously submitted on November 21, Energy Regulatory Commission Facility with a nameplate gross output 2001. (Commission), 18 CFR 385.206, Shell rating of 79.8 megawatts. Applicants Natural requests waivers of the Offshore Inc. (Shell) tendered for filing have requested confidential treatment of Commission’s Regulations, including a Complaint Requesting Fast Track certain commercially sensitive the 30-day notice requirement of section Processing and Request for Interim information. 154.207, to the extent necessary to Relief against Transcontinental Gas Any person desiring to be heard or to permit the proposed tariff sheet to Pipeline Corporation (Transco), protest such filing should file a motion become effective November 21, 2001. Williams Gas Processing—Gulf Coast to intervene or protest with the Federal Natural states that copies of the filing Company, L.P.(WGP), and Williams Energy Regulatory Commission, 888 are being mailed to its customers, Field Services Company (WFS). Shell First Street, NE., Washington, DC 20426, interested state commissions and all alleges that Transco, in concert with its in accordance with Rules 211 and 214 parties set out on the Commission’s affiliates WGP and WFS, are acting in an of the Commission’s Rules of Practice official service list in Docket No. RP99– anti-competitive manner in connection and Procedure (18 CFR 385.211 and 176. with the transportation of gas in 385.214). All such motions and protests Any person desiring to be heard or to interstate commerce. More specifically, should be filed on or before December protest said filing should file a motion Shell alleges that Transco and its 14, 2001. Protests will be considered by to intervene or a protest with the affiliates are implementing the the Commission to determine the Federal Energy Regulatory Commission, abandonment of the North Padre appropriate action to be taken, but will 888 First Street, NE., Washington, DC facilities in a manner that frustrates the not serve to make protestants parties to 20426, in accordance with sections Commission’s expectation that the the proceedings. Any person wishing to 385.214 or 385.211 of the Commission’s abandonment would foster competition become a party must file a motion to Rules and Regulations. All such motions within the gathering industry and in a intervene. Copies of this filing are on or protests must be filed in accordance manner contrary to the Commission’s file with the Commission and are with section 154.210 of the policies and effective regulation of the available for public inspection. This Commission’s Regulations. Protests will interstate transportation of natural gas. filing may also be viewed on the web at be considered by the Commission in Shell has requested the Commission http://www.ferc.gov using the ‘‘RIMS’’ determining the appropriate action to be to: (1) Reassert jurisdiction over link, select ‘‘Docket#’’ and follow the taken, but will not serve to make Transco’s integrated system to protect instructions (call 202–208–2222 for protestants parties to the proceedings. shippers such as Shell from the anti- assistance). Comments, protests and Any person wishing to become a party competitive behavior of Transco and its interventions may be filed electronically must file a motion to intervene. Copies affiliates; (2) protect Shell from the via the Internet in lieu of paper. See, 18 of this filing are on file with the immediate danger of losing its essential CFR 385.2001(a)(1)(iii) and the Commission and are available for public service on the North Padre facilities and instructions on the Commission’s web inspection. This filing may also be the jurisdictional IT-feeder facilities by site under the ‘‘e-Filing’’ link. viewed on the web at http:// providing immediate interim relief www.ferc.gov using the ‘‘RIMS’’ link, requiring Transco and its affiliates to Linwood A. Watson, Jr., select ‘‘Docket#’’ and follow the continue service without interruption at Acting Secretary. instructions (call 202–208–2222 for the Pre-December 1, 2001 rates, and [FR Doc. 01–30402 Filed 12–7–01; 8:45 am] assistance). Comments, protests and under the same terms and conditions of BILLING CODE 6717–01–P interventions may be filed electronically service; and (3) provide permanent
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relief to Shell against the loss of Commission’s February 23, 2001 Order effective January 1, 2002 in compliance essential service on the North Padre Issuing Certificates and Authorizing with the January 21, 1998, Stipulation facilities and the jurisdictional IT-feeder Abandonment in Docket Nos. CP00–65– and Agreement Concerning GRI facilities by requiring Transco and its 000, et al., and the Commission’s Funding approved by the Commission affiliates to continue service without November 2, 2001 letter order in Docket in Gas Research Institute, 83 FERC ¶ interruption at just and reasonable rates Nos. RP02–17–000 and CP00–65–005. 61,093 (1998), order on reh’g, 83 FERC and terms and conditions of service. Tennessee requests that the Commission ¶ 61,331 (1998). Any person desiring to be heard or to accept and approve on an expedited Texas Eastern states that the filing protest this filing should file a motion basis the negotiated rates in the complies with the surcharges set forth to intervene or protest with the Federal November 5 Lateral Service Agreement in Appendix A to the Stipulation and Energy Regulatory Commission, 888 to be effective on December 1, 2001. Agreement as adjusted upward by 10% First Street, NE., Washington, DC 20426, Any person desiring to be heard or to consistent with Article II, Section 1.0 of in accordance with rules 211 and 214 of protest said filing should file a motion the Stipulation and Agreement, which the Commission’s rules of practice and to intervene or a protest with the was approved for filing by GRI member procedure (18 CFR 385.211 and Federal Energy Regulatory Commission, pipelines to be effective on January 1, 385.214). All such motions or protests 888 First Street, NE., Washington, DC 2002 without suspension or potential must be filed on or before December 14, 20426, in accordance with sections refund obligation by OMTR letter order 2001. Protests will be considered by the 385.214 or 385.211 of the Commission’s issued September 19, 2001 in GRI’s Commission in determining the Rules and Regulations. All such motions Docket No. RP01–434. appropriate action to be taken, but will or protests must be filed in accordance Specifically, Texas Eastern states that not serve to make protestants parties to with section 154.210 of the the approved 2002 surcharges are as the proceeding. Any person wishing to Commission’s Regulations. Protests will follows: (1) A GRI volumetric surcharge become a party must file a motion to be considered by the Commission in of 0.55¢ per dekatherm will be charged intervene. Answers to the complaint determining the appropriate action to be on all non-discounted firm commodity shall also be due on or before December taken, but will not serve to make and interruptible transportation 14, 2001. Copies of this filing are on file protestants parties to the proceedings. services; (2) a 0.88¢ per dekatherm with the Commission and are available Any person wishing to become a party surcharge will be charged on all non- for public inspection. This filing may must file a motion to intervene. Copies discounted firm commodity units also be viewed on the web at http:// of this filing are on file with the delivered to small customers qualifying www.ferc.gov using the ‘‘RIMS’’ link, Commission and are available for public for service under Texas Eastern’s Rate select ‘‘Docket#’’ and follow the inspection. This filing may also be Schedule SCT; (3) a reservation instructions (call 202–208–2222 for viewed on the web at http:// surcharge of 6.6¢ per dekatherm per assistance). Comments, protests and www.ferc.gov using the ‘‘RIMS’’ link, month will be charged on non- interventions may be filed electronically select ‘‘Docket#’’ and follow the discounted firm high load factor via the Internet in lieu of paper. See, 18 instructions (call 202–208–2222 for customers, i.e., greater than 50% load CFR 385.2001(a)(1)(iii) and the assistance). Comments, protests and factor; and (4) a reservation surcharge of instructions on the Commission’s web interventions may be filed electronically 4.07¢ per dekatherm per month will be site under the ‘‘e-Filing’’ link. via the Internet in lieu of paper. See, 18 charged on non-discounted firm low load factor customers, i.e., less than or CFR 385.2001(a)(1)(iii) and the Linwood A. Watson, Jr., equal to 50% load factor. instructions on the Commission’s web Texas Eastern states that copies of the Acting Secretary. site under the ‘‘e-Filing’’ link. [FR Doc. 01–30410 Filed 12–7–01; 8:45 am] filing were mailed to all affected BILLING CODE 6717–01–P Linwood A. Watson, Jr., customers of Texas Eastern and Acting Secretary. interested state commissions. [FR Doc. 01–30403 Filed 12–7–01; 8:45 am] Any person desiring to be heard or to protest said filing should file a motion DEPARTMENT OF ENERGY BILLING CODE 6717–01–P to intervene or a protest with the Federal Energy Regulatory Federal Energy Regulatory Commission, Commission DEPARTMENT OF ENERGY 888 First Street, NE., Washington, DC 20426, in accordance with sections [Docket Nos. RP96–312–063] Federal Energy Regulatory 385.214 or 385.211 of the Commission’s Tennessee Gas Pipeline Company; Commission Rules and Regulations. All such motions or protests must be filed in accordance Notice of Negotiated Rate and [Docket No. RP02–60–000] Compliance Filing with Section 154.210 of the Texas Eastern Transmission, LP; Commission’s Regulations. Protests will December 4, 2001. Notice of Compliance Filing be considered by the Commission in Take notice that on November 27, determining the appropriate action to be 2001, Tennessee Gas Pipeline Company December 4, 2001. taken, but will not serve to make (Tennessee), submitted for filing and Take notice that on November 28, protestants parties to the proceedings. approval a Gas Transportation 2001, Texas Eastern Transmission, LP Any person wishing to become a party Agreement between Tennessee and (Texas Eastern) tendered for filing as must file a motion to intervene. Copies eCORP Marketing, L.L.C., pursuant to part of its FERC Gas Tariff, Seventh of this filing are on file with the Tennessee’s Rate Schedule FT–IL for Revised Volume No. 1 and First Revised Commission and are available for public service on Tennessee’s Stagecoach Volume No. 2, the revised tariff sheets inspection. This filing may also be Lateral, dated November 5, 2001 listed on Appendix A to the filing, to viewed on the web at http:// (November 5 Lateral Service become effective January 1, 2002. www.ferc.gov using the ‘‘RIMS’’ link, Agreement). Texas Eastern states that the purpose select ‘‘Docket#’’ and follow the Tennessee states that the filing is of this filing is to revise the Gas instructions (call 202–208–2222 for being made in compliance with the Research Institute (GRI) surcharges to be assistance). Comments, protests and
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interventions may be filed electronically Comment date: December 17, 2001, in November 27, 2001, which was revised via the Internet in lieu of paper. See, 18 accordance with Standard Paragraph E to reflect the name change and to satisfy CFR 385.2001(a)(1)(iii) and the at the end of this notice. the Commission’s regulations in 18 CFR instructions on the Commission’s Web 35.9. 3. Northeast Utilities Service Company, site under the ‘‘e-Filing’’ link. Comment date: December 19, 2001, in Select Energy, Inc., Northeast accordance with Standard Paragraph E Linwood A. Watson, Jr., Generation Company at the end of this notice. Acting Secretary. [Docket No. ER96–496–010, Docket No. [FR Doc. 01–30409 Filed 12–7–01; 8:45 am] ER99–14–007, and Docket No. ER99–4463– 6. Southern Company Services, Inc. BILLING CODE 6717–01–P 001] [Docket No. ER02–419–000] Take notice that on November 28, Take notice that on November 28, 2001, Northeast Utilities Service 2001, Southern Company Services, Inc. DEPARTMENT OF ENERGY Company (NUSCO), on behalf of The (SCS), acting on behalf of Alabama Connecticut Light and Power Company, Power Company, Georgia Power Federal Energy Regulatory Western Massachusetts Electric Company, Gulf Power Company, Commission Company, Holyoke Water Power Mississippi Power Company, and Company, Holyoke Power and Electric Savannah Electric and Power Company [Docket No. EG02–4–000, et al.] Company, and Public Service of New (collectively referred to as Southern Hampshire (the NU Operating Companies), filed eleven (11) service GNE, LLC, et al.; Electric Rate and Companies), and Select Energy, Inc. agreements for point-to-point Corporate Regulation Filings (Select), and Northeast Generation transmission service under the Open December 3, 2001. Company (NGC) (collectively, Access Transmission Tariff of Southern Take notice that the following filings Applicants) jointly filed with the Companies (FERC Electric Tariff, Fourth have been made with the Commission: Federal Energy Regulatory Commission Revised Volume No. 5). Specifically, (Commission), an updated market this filing concerns seven (7) agreements 1. GNE, LLC power analysis. This filing serves as the for short-term firm point-to-point [Docket No. EG02–4–000] triennial updated market power analysis transmission service executed between in Docket Nos. ER96–496–000 for the SCS, as agent for Southern Companies, Take notice that on November 30, NU Operating Companies; ER99–14–000 2001, GNE, LLC located at 1 Katahdin and: (i) TXU Energy Trading Company; for Select; and ER99–4463–000 for NGC. (ii) Enron Power Marketing, Inc.; (iii) Avenue, Millinocket, Maine, 04462– In addition, Applicants request the 1398, tendered for filing with the Cinergy Services, Inc.; (iv) Cargill- Commission to synchronize their future Alliant, LLC; (v) Avista Energy, Inc.; (vi) Federal Energy Regulatory Commission triennial market power updates. Sempra Energy Trading Corporation; (Commission) an amendment to Comment date: December 19, 2001, in and (vii) NRG Power Marketing, Inc. application for exempt wholesale accordance with Standard Paragraph E This filing also concerns four (4) generator status pursuant to Part 365 of at the end of this notice. agreements for non-firm point-to-point the Commission’s regulations. transmission service executed between GNE, LLC is a Delaware limited 4. Phoenix Wind Power LLC SCS, as agent for Southern Companies, liability company that will own and [Docket No. ER02–417–000] and: (i) TXU Energy Trading Company; operate four hydroelectric plants located Take notice that on November 28, (ii) Cargill-Alliant, LLC; (iii) Sempra at or near Millinocket, Maine, with a 2001, Phoenix Wind Power LLC filed Energy Trading Corporation; and (iv) total nameplate capacity of with the Federal Energy Regulatory NRG Power Marketing, Inc. approximately 130 megawatts and Commission (Commission) a Notice of Comment date: December 19, 2001, in certain undivided joint ownership Succession informing the Commission accordance with Standard Paragraph E interest in several transmission that the name of PPM One LLC had been at the end of this notice. interconnection components that will be changed to Phoenix Wind Power LLC. part of the eligible facility. GNE, LLC Phoenix Wind Power LLC included 7. Tucson Electric Power Company will be engaged directly and exclusively with the Notice of Succession its First [Docket No. ER02–420–000] in the business of owning and operating Revised Rate Schedule No. 1, effective Take notice that on November 28, all or part of one or more eligible November 27, 2001, which was revised 2001, Tucson Electric Power Company facilities and selling electric energy at to reflect the name change and to satisfy tendered for filing one (1) Umbrella wholesale. the Commission’s regulations in 18 CFR Service Agreement (for short-term firm Comment date: December 24, 2001, in 35.9. service) and one (1) Service Agreement accordance with Standard Paragraph E Comment date: December 19, 2001, in (for non-firm service) pursuant to Part II at the end of this notice. The accordance with Standard Paragraph E of Tucson’s Open Access Transmission Commission will limit its consideration at the end of this notice. Tariff, which was filed in Docket No. of comments to those that concern the 5. Klamath Generation LLC ER01–208–000. adequacy or accuracy of the application. The details of the service agreements [Docket No. ER02–418–000] 2. Portland General Electric Company are as follows: Take notice that on November 28, Umbrella Agreement for Short-Term [Docket No. ES01–33–001] 2001, Klamath Generation LLC filed Firm Point-to-Point Transmission Take notice that on November 28, with the Federal Energy Regulatory Service dated as of July 24, 2001 by and 2001, Portland General Electric Commission (Commission) a Notice of between Tucson Electric Power Company submitted an amendment to Succession informing the Commission Company PPL EnergyPlus, LLC–FERC its original application pursuant to that the name of PPM Four LLC had Electric Tariff Vol. No. 2, Service section 204 of the Federal Power Act. been changed to Klamath Generation Agreement No. 182. No service has The amendment seeks authorization to LLC. Klamath Generation LLC included commenced at this time. issue short-term debt securities in an with the Notice of Succession its First Form of Service Agreement for Non- amount not to exceed $550 million. Revised Rate Schedule No. 1, effective Firm Point-to-Point Transmission
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Service dated as of July 24, 2001 by and 11. Michigan Electric Transmission practice and procedure (18 CFR 385.211 between Tucson Electric Power Company and Consumers Energy and 385.214). All such motions or Company and PPL EnergyPlus, LLC— Company protests should be filed on or before the comment date. Protests will be FERC Electric Tariff Vol. No. 2, Service [Docket No. ER02–424–000] Agreement No. 183. No service has considered by the Commission in commenced at this time. Take notice that on November 28, determining the appropriate action to be Comment date: December 19, 2001, in 2001, Consumers Energy Company taken, but will not serve to make accordance with Standard Paragraph E (Consumers) and Michigan Electric protestants parties to the proceeding. at the end of this notice. Transmission Company (Michigan Any person wishing to become a party Transco) tendered for filing a Notice of must file a motion to intervene. Copies 8. Southwest Power Pool, Inc. Succession and several documents of this filing are on file with the [Docket No. ER02–421–000] related to the transfer of specified Rate Commission and are available for public Schedules from Consumers to Michigan Take notice that on November 28, inspection. This filing may also be Transco. (The filing is intended to 2001, Southwest Power Pool, Inc. (SPP) viewed on the Web at http:// supplement a prior filing in Docket No. tendered for filing with the Federal www.ferc.gov using the ‘‘RIMS’’ link, ER01–1683–000). Energy Regulatory Commission select ‘‘Docket#’’ and follow the The changes therein noted are to instructions (call 202–208–2222 for (Commission), a Notice of Cancellation become effective April 1, 2001. for SPP Service Agreement Nos. 518 assistance). Comments, protests and A full copy of the filing was served interventions may be filed electronically through 521, between SPP and upon the Michigan Public Service McCurtain Energy Associates, LLC, and via the Internet in lieu of paper. See, 18 Commission, and the Customers served CFR 385.2001(a)(1)(iii) and the SPP Service Agreement Nos. 522 under the affected Rate Schedules. through 524, between SPP and instructions on the Commission’s web Comment date: December 19, 2001, in site under the ‘‘e-Filing’’ link. Sequoyah Energy Associates, LLC accordance with Standard Paragraph E (collectively, Transmission Customers). at the end of this notice. Linwood A. Watson, Jr., SPP requests an effective date of Acting Secretary. 12. Cleco Power LLC November 6, 2001 for this cancellation. [FR Doc. 01–30399 Filed 12–7–01; 8:45 am] Copies of this filing have been served [Docket No. ER02–425–000] BILLING CODE 6717–01–P upon the Transmission Customers. Take notice that on November 28, Comment date: December 19, 2001, in 2001, Cleco Power LLC (Cleco) filed a accordance with Standard Paragraph E Revised Electric System Interconnection DEPARTMENT OF ENERGY at the end of this notice. Agreement with Southwestern Electric Federal Energy Regulatory 9. West Texas Utilities Company Power Company that provides for a new delivery point for SWEPCO deliveries at Commission [Docket No. ER02–422–000] Grand Bayou and the terms and [Docket No. CP02–25–000] Take notice that on November 28, conditions for the installation of new 2001, West Texas Utilities Company meter and communications equipment Copiah County Storage Company; (WTU) submitted for filing revised tariff associated with that delivery point. The Notice of Intent To Prepare an sheets under WTU’s Wholesale Power revised agreement is designated as Cleco Environmental Assessment for the Choice Tariff (WPC Tariff) to modify Power LLC First Revised Rate Schedule Proposed Copiah Storage Project and billing procedures. FERC No. 17. Request for Comments on WTU seeks an effective date of August Comment date: December 19, 2001, in Environmental Issues 1, 2001. accordance with Standard Paragraph E December 4, 2001. WTU states that a copy of this filing at the end of this notice. has been served on all customers taking The staff of the Federal Energy service under the WPC Tariff and the 13. American Transmission Company Regulatory Commission (FERC or Public Utilities Commission of Texas. LLC Commission) will prepare an environmental assessment (EA) that will Comment date: December 19, 2001, in [Docket No. ER02–426–000] discuss the environmental impacts of accordance with Standard Paragraph E Take notice that on November 28, at the end of this notice. the Copiah Storage Project involving 2001, American Transmission Company construction and operation of facilities 10. Commonwealth Edison Company LLC (ATCLLC) tendered for filing an by Copiah County Storage Company executed Distribution-Transmission [Docket No. ER02–423–000] (Copiah) in Copiah County, Interconnection Agreement between Mississippi.1 Copiah proposes to Take notice that on November 28, ATCLLC and Cloverland Electric 2001 Commonwealth Edison Company construct a compressor station, a natural Cooperative. gas storage cavern, approximately 635 (ComEd) submitted for filing a Form of ATCLLC requests an effective date of Service Agreement for Firm Point-to- feet of 20-inch-diameter pipeline, and June 29, 2001. up to five freshwater withdrawal/brine Point Transmission Service (Service Comment date: December 19, 2001, in injection well sites. This EA will be Agreement) between ComEd and Exelon accordance with Standard Paragraph E used by the Commission in its decision- Generation Company, LLC (Exelon) at the end of this notice. making process to determine whether under the terms of ComEd’s Open the project is in the public convenience Access Transmission Tariff (OATT). Standard Paragraph and necessity. ComEd requests an effective date of E. Any person desiring to be heard or If you are a landowner receiving this November 21, 2001. to protest such filing should file a notice, you may be contacted by a Copies of this filing were served on motion to intervene or protest with the pipeline company representative about Exelon. Federal Energy Regulatory Commission, Comment date: December 19, 2001, in 888 First Street, NE., Washington, DC 1 Copiah’s application was filed with the accordance with Standard Paragraph E 20426, in accordance with rules 211 and Commissiion under section 7 of the Natural Gas Act at the end of this notice. 214 of the Commission’s rules of and part 157 of the Commission’s regulations.
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the acquisition of an easement to Land Requirements for Construction this proceeding. A comment period will construct, operate, and maintain the Approximately 730 acres have been be allotted for review if the EA is proposed facilities. The pipeline identified by Copiah as the project area. published. We will consider all company would seek to negotiate a However, only 59 acres would be comments on the EA before we make mutually acceptable agreement. disturbed by construction and 53 acres our recommendations to the However, if the project is approved by would be necessary for the operation of Commission. the Commission, that approval conveys the proposed project. To ensure your comments are with it the right of eminent domain. considered, please carefully follow the Therefore, if easement negotiations fail The EA Process instructions in the public participation to produce an agreement, the pipeline The National Environmental Policy section below. company could initiate condemnation Act (NEPA) requires the Commission to Currently Identified Environmental proceedings in accordance with state take into account the environmental Issues law. impacts that could result from an action A fact sheet prepared by the FERC whenever it considers the issuance of a We have already identified several entitled ‘‘An Interstate Natural Gas Certificate of Public Convenience and issues that we think deserve attention Facility On My Land? What Do I Need Necessity. NEPA also requires us3 to based on a preliminary review of the To Know?’’ was attached to the project discover and address concerns the proposed facilities and the notice Copiah provided to affected public may have about proposals. We environmental information provided by landowners. This fact sheet addresses a call this ‘‘scoping’’. The main goal of the Copiah. This preliminary list of issues number of typically asked questions, scoping process is to focus the analysis may be changed based on your including the use of eminent domain in the EA on the important comments and our analysis. • The project would be located in a and how to participate in the environmental issues. By this Notice of United States Environmental Protection Commission’s proceedings. It is Intent, the Commission requests public Agency-designated sole-source aquifer available for viewing on the FERC comments on the scope of the issues it area, the Southern Hills Regional Internet Web site (www.ferc.gov). will address in the EA. All comments Aquifer System. received are considered during the Summary of the Proposed Project • The project would require preparation of the EA. State and local approximately 34 million barrels of non- Copiah wants to provide a storage government representatives are potable freshwater for cavern solution facility that would act as a reservoir for encouraged to notify their constituents leaching. The rate of withdrawal from a supply of natural gas to the of this proposed action and encourage each well would be approximately 600 Mississippi regional area. The proposed them to comment on their areas of to 1,000 gallons per minute (gpm). Brine project would meet load swings brought concern. resulting from cavern leaching would be about by gas-fired electric generation The EA will discuss impacts that disposed of by injection into disposal and the peak winter heating load and could occur as a result of the wells. growth of local distribution companies construction and operation of the for rapid fuel delivery services to nearby proposed project under these general Public Participation pipeline systems. The storage facility headings: You can make a difference by would have an initial natural gas storage • Geology and soils working capacity of approximately 3.3 • providing us with your specific Land use comments or concerns about the project. billion cubic feet (Bcf) with 300,000 • Water resources, fisheries, and By becoming a commentor, your dekatherms per day (Dth/d) of wetlands concerns will be addressed in the EA deliverability capability and 150,000 • Endangered and threatened species Dth/d of injection capability. • Vegetation and wildlife and considered by the Commission. You Specifically, Copiah seeks authority to • Air quality and noise should focus on the potential construct and operate: • Cultural resources environmental effects of the proposal, • A single 3.3 Bcf capacity gas storage We will also evaluate possible alternatives to the proposal (including cavern extending approximately 5,500 alternatives to the proposed project or alternative locations), and measures to feet below the ground surface within an portions of the project, and make avoid or lessen environmental impact. underground salt dome; recommendations on how to lessen or The more specific your comments, the • 13,350 horsepower (hp) of gas avoid impacts on the various resource more useful they will be. Please engine-driven compression at the new areas. carefully follow these instructions to Copiah Storage Project compressor Our independent analysis of the ensure that your comments are received station to provide compression for issues will be in the EA. Depending on in time and properly recorded: • Send an original and two copies of injection and withdrawal of natural gas the comments received during the your letter to: Secretary, Federal Energy from the gas storage cavern; scoping process, the EA may be Regulatory Commission, 888 First St., • Approximately 635 feet of 20-inch- published and mailed to Federal, state, NE., Room 1A, Washington, DC 20426. diameter pipeline from the compressor and local agencies, public interest • Label one copy of the comments for station to the storage cavern wellhead; groups, interested individuals, affected the attention of Gas/Hydro. and landowners, newspapers, libraries, and • • the Commission’s official service list for Reference Docket No. CP02–025– Up to five well sites consisting of a 000. freshwater withdrawal well and brine • Submit your comments so that they injection well at each site. Reference and Files Maintenance Branch, 888 First Street, NE., Washington, DC 20426, or call (202) will be received in Washington, DC on The location of the project facilities is 208–1371. For instructions on connecting to RIMS or before January 15, 2002. 2 shown in appendix 1. refer to the last page of this notice. Copies of the Comments, protests, and appendices were sent to all those receiving this interventions may be filed electronically 2 The appendices referenced in this notice are not notice in the mail. being printed in the Federal Register. Copies are 3 ‘‘We’’, ‘‘us’’, and ‘‘our’’ refer to the via the Internet in lieu of paper. See 18 available on the Commission’s Web site at the environmental staff of the Office of Energy Projects CFR 385.2001(a)(1)(iii) and the ‘‘RIMS’’ link or from the Commission’s Public (OEP). instructions on the Commission’s Web
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site at http://www.ferc.gov under the ‘‘e- Commission’s Office of External Affairs within Transco property and no Filing’’ link and link to the User’s at (202) 208–1088 or on the FERC Web additional land will be required for this Guide. Before you can file comments site (www.ferc.gov) using the ‘‘RIMS’’ project. you will need to create an account link to information in this docket Summary of the Proposed Project which can be created by clicking on number. Click on the ‘‘RIMS’’ link, ‘‘Login to File’’ and then ‘‘New User select ‘‘Docket #’’ from the RIMS Menu, Transco proposes to modify its Account.’’ and follow the instructions. For existing compressor site at Compressor Everyone who responds to this notice assistance with access to RIMS, the Station 35 in Harris County, Texas to or comments throughout the EA process RIMS helpline can be reached at (202) comply with Clean Air Act will be retained on our mailing list. If 208–2222. Amendments (CAA) of 1990 and the you do not want to send comments at Similarly, the ‘‘CIPS’’ link on the Texas Natural Resource Conservation this time but still want to remain on our FERC Internet Web site provides access Commission for the Houston-Galveston mailing list, please return the to the texts of formal documents issued Intrastate Air Quality Control Region. Information Request (appendix 3). If you by the Commission, such as orders, To reduce emissions and comply with do not return the Information Request, notices, and rulemakings. From the the CAA, Transco proposes to: you will be taken off the mailing list. FERC Internet Web site, click on the • Install 2 electric motors driving two Due to current events, we cannot ‘‘CIPS’’ link, select ‘‘Docket #’’ from the 7455 HP centrifugal compressors and guarantee that we will receive mail on CIPS menu, and follow the instructions. associated equipment; a timely basis from the U.S. Postal For assistance with access to CIPS, the • Remove 4 existing gas-fired Service, and we do not know how long CIPS helpline can be reached at (202) compressors; this situation will continue. However, 208–2474. • Construct a new 75 feet x 110 feet we continue to receive filings from Linwood A. Watson, Jr., compressor building, a 35 feet x 72 feet private mail delivery services, including Acting Secretary. auxiliary building, a 120 feet x 200 feet messenger services in a reliable manner. electrical auxiliary building and a 16 [FR Doc. 01–30401 Filed 12–7–01; 8:45 am] The Commission encourages electronic feet × 50 feet switchgear station; filing of any comments or interventions BILLING CODE 6717–01–P • Demolish the old compressor or protests to this proceeding. We will building and remove associated include all comments that we receive DEPARTMENT OF ENERGY equipment; and; within a reasonable time frame in our • Modify existing yard piping. environmental analysis of this project. Federal Energy Regulatory Land Requirements for Construction Commission Becoming an Intervenor Construction of the proposed facilities In addition to involvement in the EA [Docket No. CP01–433–000] would require about 4 acres of land in scoping process, you may want to Transcontinental Gas Pipe Line a completely fenced site that has been become an official party to the Corporation; Notice of Intent To previously disturbed. proceeding known as an ‘‘intervenor’’. Prepare an Environmental Assessment The EA Process Intervenors play a more formal role in for the Proposed Station 35 Clean Air The National Environmental Policy the process. Among other things, Project and Request for Comments on Act (NEPA) requires the Commission to intervenors have the right to receive Environmental Issues copies of case-related Commission take into account the environmental documents and filings by other December 4, 2001. impacts that could result from an action intervenors. Likewise, each intervenor The staff of the Federal Energy whenever it considers the issuance of a must provide 14 copies of its filings to Regulatory Commission (FERC or Certificate of Public Convenience and the Secretary of the Commission and Commission) will prepare an Necessity. NEPA also requires us 2 to must send a copy of its filings to all environmental assessment (EA) that will discover and address concerns the other parties on the Commission’s discuss the environmental impacts of public may have about proposals. We service list for this proceeding. If you the Station 35 Clean Air Project call this ‘‘scoping’’. The main goal of the want to become an intervenor you must involving construction and operation of scoping process is to focus the analysis file a motion to intervene according to facilities by Transcontinental Gas Pipe in the EA on the important Rule 214 of the Commission’s rules of Line Corporation (Transco) in Harris environmental issues. By this Notice of practice and procedure (18 CFR County, Texas.1 These facilities would Intent, the Commission requests public 385.214) (see appendix 2).4 Only consist of 14,910 horsepower (hp) of comments on the scope of the issues it intervenors have the right to seek compression at an existing compressor will address in the EA. All comments rehearing of the Commission’s decision. station. The EA will be used by the received are considered during the Affected landowners and parties with Commission in its decision-making preparation of the EA. State and local environmental concerns may be granted process to determine whether the government representatives are intervenor status upon showing good project is in the public convenience and encouraged to notify their constituents cause by stating that they have a clear necessity. of this proposed action and encourage and direct interest in this proceeding If you are a landowner you might them to comment on their areas of which would not be adequately have also received previous notification concern. represented by any other parties. You do from Transco. FERC regulations require The EA will discuss impacts that not need intervenor status to have your the applicant to notify all landowners could occur as a result of the environmental comments considered. within one-half mile of the compressor construction and operation of the Additional information about the station. However, the proposed facility proposed project under these general proposed project is available from the modifications will take place entirely headings:
4 Interventions may also be filed electronically via 1 Transco’s application was filed with the 2 ‘‘We’’, ‘‘us’’, and ‘‘our’’ refer to the the Internet in lieu of paper. See the previous Commission under section 7 of the Natural Gas Act environmental staff of the Office of Energy Projects discussion on filing comments electronically. and part 157 of the Commission’s regulations. (OEP).
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1. Geology and soils. 16. Reference Docket No. CP01–433– Additional information about the 2. Land use. 000. proposed project is available from the 3. Water resources, fisheries, and 17. Mail your comments so that they Commission’s Office of External Affairs wetlands. will be received in Washington, DC on at (202) 208–1088 or on the FERC Web 4. Cultural resources. or before (January 15, 2002). site (www.ferc.gov) using the ‘‘RIMS’’ 5. Vegetation and wildlife. Comments, protests and interventions link to information in this docket 6. Air quality and noise. may be filed electronically via the number. Click on the ‘‘RIMS’’ link, 7. Endangered and threatened species. Internet in lieu of paper. See 18 CFR 8. Hazardous waste. select ‘‘Docket #’’ from the RIMS Menu, 9. Public safety. 385.2001(a)(1)(iii) and the instructions and follow the instructions. For 10. Water resources, fisheries, and on the Commission’s Web site under the assistance with access to RIMS, the wetlands. ‘‘e-Filing’’ link. RIMS helpline can be reached at (202) Our independent analysis of the If you do not want to send comments 208–2222. issues will be in the EA. Depending on at this time but still want to remain on Similarly, the ‘‘CIPS’’ link on the the comments received during the our mailing list, please return the FERC Internet Web site provides access scoping process, the EA may be Information request (appendix 2). If you to the texts of formal documents issued published and mailed to Federal, state, do not return the Information Request, by the Commission, such as orders, and local agencies, public interest you will be removed from the notices, and rulemakings. From the groups, interested individuals, affected environmental mailing list. FERC Internet Web site, click on the landowners, newspapers, libraries, and Due to current events, we cannot ‘‘CIPS’’ link, select ‘‘Docket #’’ from the the Commission’s official service list for guarantee that we will receive mail on CIPS menu, and follow the instructions. this proceeding. A comment period will a timely basis from the U.S. Postal For assistance with access to CIPS, the be allotted for review if the EA is Service, and we do not know how long CIPS helpline can be reached at (202) published. We will consider all this situation will continue. However, 208–2474. comments on the EA before we make we continue to receive filings from private delivery services, including Linwood A. Watson, Jr., our recommendations to the Acting Secretary. Commission. messenger services in a reliable manner. To ensure your comments are The Commission encourages electronic [FR Doc. 01–30400 Filed 12–7–01; 8:45 am] considered, please carefully follow the filing of any comments or interventions BILLING CODE 6717–01–P instructions in the public participation or protests to this proceeding. We will section beginning on page 4. include all comments that we receive within a reasonable time frame in our ENVIRONMENTAL PROTECTION Currently Identified Environmental environmental analysis of this project. AGENCY Issues Becoming an Intervenor [FRL–7114–8] We have already identified several issues that we think deserve attention In addition to involvement in the EA Equipment Containing Ozone based on a preliminary review of the scoping process, you may want to Depleting Substances at Industrial proposed facilities and the become an official party to the Bakeries environmental information provided by proceeding known as an ‘‘intervenor’’. Transco. This preliminary list of issues Intervenors play a more formal role in AGENCY: Environmental Protection may be changed based on your the process. Among other things, Agency (EPA). comments and our analysis. intervenors have the right to receive ACTION: Notice of proposed bakery 11. Air quality effects. copies of case-related Commission partnership program and request for 12. Noise impact. documents and filings by other comments. 13. Land-use compatibility. intervenors. Likewise, each intervenor SUMMARY: In today’s Federal Register Public Participation must provide 14 copies of its filings to the Secretary of the Commission and the Environmental Protection Agency You can make a difference by must send a copy of its filings to all announces a unique voluntary providing us with your specific other parties on the Commission’s Partnership Program for the baking comments or concerns about the project. service list for this proceeding. If you industry. EPA believes that there are By becoming a commentor, your want to become an intervenor you must many bakeries that are leaking ozone concerns will be addressed in the EA file a motion to intervene according to depleting substances, including and considered by the Commission. You Rule 214 of the Commission’s rules of chlorofluorocarbons (CFCs), in excess of should focus on the potential practice and procedure (18 CFR permitted levels, and therefore, intends environmental effects of the proposal, 385.214) (see appendix 2).3 Only to establish a voluntary program for alternatives to the proposal (including intervenors have the right to seek reducing these emissions in an alternative locations/routes), and rehearing of the Commission’s decision. expeditious, highly cost-effective measures to avoid or lessen Affected landowners and parties with manner. This program generally environmental impact. The more environmental concerns may be granted requires participants to audit certain specific your comments, the more useful intervenor status upon showing good appliances and phase out Class I they will be. Please carefully follow cause by stating that they have a clear industrial process refrigeration these instructions to ensure that your and direct interest in this proceeding appliances. It also provides incentives comments are received in time and which would not be adequately to replace existing appliances with non- properly recorded: represented by any other parties. You do ozone depleting systems, and requires 14 Send an original and two copies of not need intervenor status to have your compliance with the leak repair your letter to: Secretary, Federal Energy environmental comments considered. regulations. Regulatory Commission, 888 First St., Participation in the partnership NE., Room 1A, Washington, DC 20426. 3 Interventions may also be filed electronically via program is purely voluntary, and this is 15. Label one copy of the comments the Internet in lieu of paper. See the previous not a rule, but it does combine the for the attention of (Gas/Hydro Branch). discussion on filing comments electronically. advantages of predictability and
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reduced penalties with incentives to SUPPLEMENTARY INFORMATION: Many to non-ODS, pollution prevention move away from the use of ozone industries, including most industrial equipment. depleting substances (ODS). bakeries, use ozone depleting In the interests of promoting fast, Participating companies will be asked to substances [ODS], such as CFCs and efficient and widespread emission agree to phase out use of the more hydrochlorofluorocarbons [HCFCs], to reductions, and better compliance with hazardous Class I ODS by July 15, 2003, cool their products. Like other the regulatory structure, EPA intends to reflecting the fact that use of these industrial sources, most industrial offer and enter into agreements with substances is being rapidly phased out bakeries have industrial process baking companies providing for the under existing rules. Bakeries that have refrigeration appliances that are subject following: • installed non-ODS systems by March 15, to 40 CFR part 82, subpart F. The Audit their facilities; 2002, can avoid all penalties under this • Identify problem areas; equipment that produces the product • agreement. Bakeries that install non- contains CFCs or other ozone depleting Pay a greatly reduced penalty, and ODS systems after that date but no later substances in jackets around the propose solutions that will protect the than July 15, 2004 (unless an extension product. The equipment may sometimes environment; and, • Ensure greater compliance with the is granted) are limited to penalties of leak these coolants in sizeable quantities refrigerant recycling and emissions $10,000 per appliance. All other into the air, not into the product. If reduction regulations found at 40 CFR appliances must pay a per pound certain leak rates are exceeded, the penalty for any leaks that cross a high part 82, subpart F. company may be required to retrofit or EPA’s proposal offers clear and threshold but again, this per pound retire the equipment. penalty can be avoided by conversion to consistent terms to reduce uncertainty EPA has concluded two large and eliminate the need for extended, non-ODS systems. Companies already industrial process refrigeration under national investigation for individualized negotiations. Presented enforcement cases, one of which here are the basic elements, illustrations violations are not eligible to participate involved a baking company with in this program. EPA solicits comments and a chronology of key steps that EPA bakeries in several states. In both cases, and participants will be expected to on the Bakery Partnership Program the companies voluntarily chose to described below. take. The basic elements of the program replace their industrial process are as follows: DATES: Comments should be submitted refrigeration appliances with equipment • Notice to EPA. Bakeries not already by January 9, 2002. designed to prevent pollution. The the subject of a national enforcement ADDRESSES: Comments should be ozone depleting coolant was replaced by investigation or action, and which have submitted: Bakery Partnership Program a cooling system which uses a industrial process refrigeration Comments, the Docket Clerk, secondary loop containing a cooling appliances containing 50 pounds or Enforcement and Compliance Docket solution, glycol, that is not an ozone more of ODS refrigerants, are eligible to and Information Center (Mail Code depleting substance. Although the participate. Companies intending to 2201A), Docket Number EC–2001–007, primary loop of the refrigeration system participate should notify EPA by March U.S. Environmental Protection Agency, may still contain some ozone depleting 15, 2002 and as soon thereafter as Ariel Rios Building, 1200 Pennsylvania substances, the quantity is greatly possible, but no later than March 30, Ave, NW., Washington, DC 20460 (in reduced, and the ODS refrigerant is 2002, identify the number of appliances triplicate, if possible). Please use a font located where vibration and the to be audited. If some of the industrial size no smaller than 12. Commenters are potential for leaks is greatly reduced. process refrigeration appliances have encouraged to submit their comments The EPA wants to encourage all been converted to non-ODS systems electronically in lieu of or in addition to companies with industrial process prior to March 15, 2002, a count of these standard delivery, by sending those refrigeration appliances that may be appliances should also be provided. If, comments electronically to a separate leaking to consider a similar pollution during the audit, a more accurate tally email box established for the purpose of prevention approach to ensuring their is obtained, an updated notice may be receiving comments and other notices compliance with the refrigerant submitted at that time. Appendix A under this Bakery Partnership Program: recycling and emissions reduction contains a sample notice of [email protected]. Attach electronic regulations found at 40 CFR part 82, participation. It can be sent by comments as an ASCii (text) file, and subpart F. electronic mail or hard copy mail, but avoid the use of special characters and EPA is inviting the baking industry to electronic mail or e-mail is preferred. any form of encryption. Be sure to participate in a voluntary program to • Annualized leak rate. For the include the docket number, EC–2001– address these potential violations. It purposes of this Partnership Agreement, 007 on your document. Comments may offers an expedited way for companies the annualized leak rate shall be also be faxed to (202) 501–1011. In to correct past violations and prevent calculated for every instance in which person, deliver comments to future ones, in return for a release from refrigerant was added to the appliance. Enforcement and Compliance Docket past liabilities and reduced penalties. The leak rate shall be calculated by the and Information Center, U.S. The largest trade association formula agreed upon by EPA in the Environmental Protection Agency, Ariel representing bakeries accepted this Compliance Guidance for Industrial Rios Building, Room 4033, 1200 invitation on behalf of its members. The Process Refrigeration Leak Repair Pennsylvania Ave, NW., Washington, total number of industrial bakeries is Regulations under Section 608 of the DC 20460. Persons interested in not exactly known yet, but it is believed Clean Air Act. reviewing this docket may do so by that there may be over 1000 bakeries in • Audit. Participating companies calling (202) 564–2614 or (202) 564– the United States. Each bakery will must audit up to June 15, 2003, i.e., 2119. likely have one or more industrial assess the compliance status of all their FOR FURTHER INFORMATION CONTACT: Mr. process refrigeration appliances that are industrial process refrigeration Charles Garlow, Air Enforcement subject to the regulations, such as appliances and facilities. They must Division (2242A), U.S. EPA, 1200 mixers or chillers, at each bakery. Many then report to EPA a summary of their Pennsylvania Ave NW., Washington, DC of these industrial process refrigeration findings, by July 15, 2003. If a company 20460, telephone 202–564–1088. appliances, have already been converted complies with the program, EPA intends
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to grant a release from civil liability for appliances and to submit plans if later than 30 days after receipt of the the matters identified and corrected, so needed, for those appliances by July 15, CAFO. long as reduced penalties are paid as 2003 and pay penalties as specified in • Per pound penalties. Additional described below. However, if violative the agreement. EPA expects the plans ‘‘per pound’’ penalties for all appliance conduct is not identified and corrected, for Class I appliances to be fully leaks discovered during the audit, EPA is not granting any release for such implemented by July 15, 2003, but may occurring after a 35% annualized leak problems. Good faith participants in this grant additional time in exceptional rate, must be calculated on a 12 month Partnership Program will receive a circumstances pursuant to 40 CFR basis, beginning when the auditing release for the period of time prior to 82.156(i)(7). period starts, i.e., September 30, 2000. September 30, 2000, even though this • Class II appliances. All Class II At the end of the 12 month period period may not be audited. If a facility appliances must be audited by June 15, following a 35% annualized leak rate, has installed non-ODS technology on 2003. Class II appliances are those per pound calculations cease, unless a any of their appliances prior to the containing Class II controlled subsequent 35% annualized leak is March 15, 2002 start date for this substances, listed in appendix B to discovered, in which case another 12 partnership program, such an appliance subpart A of 40 CFR part 82 (including month period of calculation begins. Per need not be audited, and a complete all HCFC refrigerants, such as R–22). If pound penalty calculations end June 15, release from civil liabilities and any of these appliances are being 2003. • penalties will be granted for such changed/converted to non-ODS systems, No per pound penalties for appliances. By non-ODS systems, EPA then plans to accomplish this must be replacement with non-ODS system. means systems that contain no ODS at submitted by July 15, 2003 as agreed to Switching to a non-ODS system is in the July 2002 AOC. encouraged. If a participating company all [e.g. HFC systems or ammonia • systems] or no ODS in the secondary CAFO. EPA will issue Compliance agrees to replace an ODS system with a loop, but may contain an ODS in the Agreement Final Orders [CAFOs] to non-ODS system in an appliance, no primary loop. Typically, the ODS in the participating companies that reflect the ‘‘per pound’’ penalties need be paid for primary loop [compressor] is a much audit findings, implementation plans that appliance. If a company is facing smaller volume, and is not subjected to and schedule of corrections, any high per pound penalties for a particular the vibration in the process areas that reduced penalties that must be paid and appliance but has decided that it does may cause greater leaks. If the primary a release from civil liability conditioned not make technical or economic sense loop contains less than 50 pounds of on completion of the implementation for the company to convert that ODS, as is frequently the case, then the plans and corrections. EPA will issue particular appliance to a non-ODS appliance is exempt from the leak repair CAFOs at the completion of all audits in system, it may instead substitute another appliance[s] and still avoid the regulations. It is still subject to other July of 2003. If a company has only per pound penalties for the first requirements such as the ‘‘no venting’’ Class I appliances, EPA will issue the appliance. The first appliance must still requirement of 40 CFR 82.154(a). CAFO in July of 2002. Companies must be brought into full compliance. This • also commit to compliance with all Class I appliances. All Class I regulations. ‘‘bubbled compliance’’ concept would appliances must be audited and • Plan Implementation. By July 15, allow a company to substitute another converted either to a non-ODS system or 2003 for Class I appliances and by July appliance or appliances that have 120% to a system using an ODS with an ozone 15, 2004 for Class II appliances, all of the full charge of the appliance that depleting potential [ODP] of less than plans for equipment changes/ will not be changed/converted. For 0.1. Class I appliances are those conversions should be completely example, if a 1000 pound appliance has containing Class I controlled substances, implemented, unless extensions are very high per pound penalties that the listed in appendix A to subpart A of 40 granted pursuant to 40 CFR 82.156(i)(7). company wishes to avoid, it may avoid CFR part 82, and include CFC EPA is still considering whether the those penalties either by converting this refrigerants (e.g., R–12). Leaks from proposal outlined above satisfies the appliance to a non-ODS system, or by these Class I appliances are more Clean Air Act requirement that Section converting one or more other ODS damaging to the Earth’s ozone layer than 113(a) administrative orders must containing appliances [that were not an equivalent amount of leakage from require compliance within twelve already required to convert to non-ODS Class II appliances. The phaseout of the months of their issuance. systems] which have a total charge of at production of CFCs was completed as of • Program Completion. By July 15, least 1200 pounds. This could be one December 31, 1995. Since the 2004 or such later date that all other appliance with a full charge of availability of CFCs will continue to conversions are completed, the 1200 pounds or two appliances of 600 decrease over time, EPA believes that participating company will notify EPA pounds each or some other combination this is a good time to switch to a less and EPA will respond with a of appliances that total at least 1200 ozone-depleting technology. EPA confirmation letter acknowledging the pounds of refrigerant. If the two 600 estimates that the vast majority of completion of the Bakery Partnership pound appliances in this example had appliances in this industry have already Program. per pound penalties of their own, those switched from using Class I ODS to penalties would still be due, unless either Class II or non-ODS systems. Penalties some other appliance or appliances in Participating companies must identify • Per appliance penalty. A penalty of turn were converted to non-ODS their Class I appliances and submit a $10,000 shall be paid for all ODS systems in their stead, at the 1.2 to 1 plan for change/conversion to either the containing appliances, regardless of ratio, as above. Class II ODS with an ODP of 0.1 or less, whether violations are identified or not, • Start-up period. No leaks will be such as R–22, or to a non-ODS system. except that no penalties are due for any counted as part of the per pound The audits must be completed and plans appliance converted to a non-ODS calculation for the period 60 days after must be submitted to EPA by July 15, system before March 15, 2002. No a new installation or after an appliance 2002. An Administrative Order on bakery facility must pay more than is changed/converted to a non-ODS or Consent [AOC] will incorporate a pledge $50,000 in these penalties. This penalty lower than 0.1 ODP system, as a ‘‘start to complete the audits of Class II will be paid with other penalties no up’’ period.
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• Per pound amounts. Per pound these appliances, then this may be would be $45,000 [$10,000 + $15,000 + penalties will be calculated per persuasive in deciding to convert these $20,000]. If a large leak rate was appliance as follows: $20 per pound for appliances to a non-ODS system in discovered in December 2000, that does up to 500 pounds, $30 per pound for order to avoid the per pound penalties. not start another 12 month block period 501–1000 pounds and $40 per pound If, instead, the company chooses to up to December 2001, as this is a leak for the pounds over 1000 for each 12 convert some or all of the Class I inside the October 2000–2001 12 month month period after a 35% annualized appliances to a Class II ODS refrigerant period. If after October 2001 this same leak rate is identified. with an ODP of less than 0.1, rather than appliance had another annualized leak In summary, all sources must achieve a non-ODS system, then the per pound greater than 35%, for example, a 90% and maintain full compliance with the penalties will still be due and payable annualized leak rate, then leaks after refrigerant recycling and emissions by 30 days after receipt of the CAFO, that point would be calculated as above reduction regulations found at 40 CFR which should be shortly after July 2003. and added to the $45,000 total. This part 82, subpart F. In addition, Auditing and calculation of per pound process should continue through June appliances using class I substances must penalties should continue through June 15, 2003 and a total per pound penalty be audited and changed/converted. 15, 2003 to ensure continuing should be calculated for this appliance, Appliances using class II substances compliance and lowered emissions. and for all other appliances. The must be audited. Owners of Class I and By July 15, 2002, this company must company then has the option of paying II appliances may elect to convert to prepare a plan and submit this plan to this per pound penalty or avoiding it by non-ODS to avoid paying fees for higher EPA, indicating which of the appliances submitting a plan for converting to a leaks. Each company will sign an are the Class I appliances, and what non-ODS system. EPA hopes that this Administrative Order on Consent [AOC] changes or conversions the company financial incentive will cause more on or before July 15, 2002 and sign a pledges to make to them, with a companies to choose conversion to non- Consent Agreement Final Order [CAFO] schedule for the work anticipated. The ODS systems while still giving the on or before July 15, 2003, which will company should submit, along with the company the flexibility to decide which specify a conditional waiver of liability. plans, the auditing summaries for the option is best for it. These are the main points of interest in Class I appliances [see the sample On July 15, 2003, the company should this partnership agreement. There are below]. EPA will incorporate the plans submit audit summaries and plans for some other minor details that are for these four Class I appliances, along any equipment changes/conversions mentioned in the Partnership with the pledge to continue auditing the that it intends to make to the Class II Agreement and the other Appendices, other appliances and to prepare and appliances. It should also be prepared to which should be self explanatory. Other submit plans for them within a year in pay any penalties that may be due approaches to achieving the objectives an Administrative Order on Consent shortly after the CAFO is received by of this program were considered by EPA [AOC] which should be signed by both the company. EPA will also prepare a and the industry representatives, but the company, and then by EPA. EPA CAFO with the release from civil this approach was chosen as being the will return a copy of the signed AOC to liability for all matters that the company best from the point of view of the company. has identified as being a potential administrative ease of implementation For the other Class II appliances, a problem and corrected. This listing of and environmental improvement. similar audit of compliance should audit discovered problems can be Here is an example of what a begin covering the period from included in the plan for equipment participating company may encounter September 30, 2000 until June 15, 2003. changes/conversions or can be listed during participation in this partnership Per pound penalties, if any, should be separately. It can include matters such agreement: calculated for these appliances. As with as technician certification, better If a participating company, is eligible the Class I appliances, if the company recordkeeping systems, equipment and wants to participate, it should send wishes to avoid paying these per pound certifications, etc. Problem areas, or a notice to EPA by March 15, 2002, penalties, it may do so by agreeing to violations, not so identified and identifying the company and its convert the Class II systems to non-ODS corrected will not receive a release from facilities and appliances. If this systems. The company should make that liability, so it is very important to company has five bakeries and five decision and submit plans, if any, for identify all these problem areas and appliances in each bakery, for a total of such conversions to EPA by July 15, 25 appliances, seven of which have 2003. These plans will be incorporated correct all these problems. By July 15, 2004, the company will been converted to a non-ODS system in the CAFO. EPA expects that these have completed the equipment changes/ prior to March 15, 2002, then there will plans will be implemented by July 15, conversions, unless more time is needed be a $10,000 penalty per appliance for 2004 with the possibility of extensions and corrected other problems identified the 18 ODS containing appliances. This if additional time is needed. company will, however, get a release In calculating per pound penalties, in the audit. The company will send a from civil liability for all 25 appliances this company should look at each letter certifying that all these matters for problems identified and corrected. appliance and calculate its per pound have been attended to and EPA will The company is best advised to pay penalties, if any. If, for example, the first reply accepting this certification and particular attention to their Class I Class I appliance had a 50% annualized thanking the company for participating. appliances, if any, as audits must be leak rate in October 2000 and thereafter This is the end of the program for this conducted and a decision on these in the next 12 months had small and company. appliances must be made by July 15, large leaks totaling 1500 pounds, then Key Dates 2002. If there are four Class I appliances, the per pound penalty for these 1500 they should be audited first to pounds would be calculated as follows: September 30, 2000 determine what ‘‘per pound’’ penalties $20 per pound for the first 500 pounds Begins period of compliance audit and may be due for these appliances. If the or $10,000, $30 per pound for pounds monthly measurement of annual leak per pound penalties determined from 501–1000 or $15,000 and $40 per pound rates from industrial process this audit indicate that a large per for pounds 1001–1500 or $20,000. Thus, refrigeration appliances for all pound penalty may be due for several of the total for this 12 month block period partnership participants.
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‘‘Look-back’’ period gives credit to EPA issues compliance agreement/ title6/608/leak.html. EPA has also made companies that have taken steps to final order reflecting conversion to Class available a sample inspector’s checklist improve leak management. II or non-ODS systems, and payment of to the trade association, which is stipulated penalties. available online at http://www.epa.gov/ March 15, 2002 ozone/title6/608/compguid/ July 15, 2004 Notice of intent to participate in compguid.html or http://www.epa.gov/ partnership program Bakeries must complete conversion to oeca/ore/aed/bakery/index.html or by —Companies must identify charging non-ODS systems reflected in contacting the Ozone Hotline at 800– capacity and location of all appliances implementation plans, unless program 296–1996. using over 50 lbs of Class I or Class has granted an extension. Conclusion II ozone depleting substances, and Key Definitions those which have converted to use of Annualized leak rate—(pounds of EPA believes that the above-described non-ODS refrigerant in secondary program is the best, most cost-effective loop by March 15, 2002. refrigerant added/pounds of full charge) × (365 days/# days since refrigerant last way to achieve immediate —Companies commit to complete audit × environmental improvement and and submit implementation plans by added) 100%. Appliance—industrial process achieve significant progress in resolving July 15, 2002, to convert Class I refrigeration device containing 50 the myriad compliance concerns that appliances to at least Class II, and to pounds or more of ODS refrigerants. may be present in this industry. Its pay stipulated penalties or switch to Class I—an ODS listed in appendix A terms, conditions and protections will non-ODS refrigeration appliances by to 40 CFR part 82, subpart A. be available only to those companies July 15, 2003 (unless extension Class II—an ODS listed in appendix B that are eligible and elect to participate. granted). to 40 CFR part 82, subpart A. As appropriate, non-participants may be —All penalties waived for appliances ODS—ozone depleting substance. subject to enforcement actions in which that have been converted to non-ODSs Facility—a discrete parcel of real significant penalties would be sought by March 15, 2002. property or such a parcel improved by for violations of the part 82 regulations —Program open to all companies not Participating Company’s building, at issue here. subject of national enforcement structure, factory, plant, premises, or investigation. Comments on the approach outlined other thing, related to Participating above, as well as on the specific items Company’s wholesale baking/bakery July 15, 2002 and terms reflected in the following business, and containing at least one Appendices, are solicited. To be fully EPA issues administrative order/ appliance as defined in this agreement. considered, comments must be received information request on consent to Non-ODS system—systems that by January 9, 2002. participating companies reflecting contain no ODS at all [e.g. HFC systems commitment to complete audit by June or ammonia systems] or no ODS in the Eric Schaeffer, 15, 2003 and submit implementation secondary loop, but may contain an Director, Office of Regulatory Enforcement, plans for Class II appliances by July 15, ODS in the primary loop. 2003. Office of Enforcement and Compliance Assurance. Companies that have switched all Additional Sources of General appliances to non-ODS by March 15, Information Attachments Partnership Agreement with Appendices: 2002 may receive compliance To find out more about compliance agreement/final order (CAFO) Sample Identification of Facilities/ with Title VI of the Clean Air Act, Appliances due March 15, 2002 discharging all liabilities for past access the EPA’s web site at violations without payment of penalty. Sample AOC www.epa.gov/ozone. The U.S. Sample CAFO June 15, 2003 Environmental Protection Agency (EPA) and the Chemical Manufacturer’s Ozone-Depleting Substance Emission Audits are completed. Association (CMA) have developed a Reduction Bakery Partnership July 15, 2003 guidance document entitled Compliance Agreement Guidance For Industrial Process Bakeries submit audit results and Refrigeration Leak Repair Regulations The United States Environmental final implementation plans. Under Section 608 of the Clean Air Act Protection Agency (‘‘EPA’’) and Bakeries pay stipulated penalties for [see http://www.epa.gov/ozone/title6/ llllll (‘‘Participating 12 months following any single month 608/compguid/compguid.html] that Company’’), the parties to this in which annualized leak rate exceeds provides greater detail than the agreement, desire to enter into and be 35%, but: discussion on the EPA web site. The bound by the terms of this Ozone- —Bakeries can avoid stipulated guidance document is intended for Depleting Substance (ODS) Emission penalties if implementation plan those persons who are responsible for Reduction Bakery Partnership commits to replace leaking appliance complying with the requirements. The Agreement (‘‘Agreement’’). with non-ODS system no later than guidance should not be used to replace Introduction July 15, 2004 (unless program grants the actual regulations published in the extension). Federal Register on August 8, 1995 (60 The Agreement specifies an audit, —Bakeries can ‘‘bubble’’ by substituting FR 40420) [see http://www.epa.gov/ self-disclosure and corrective action ODS conversion at another appliance spdpublc/title6/608/leakfrm.txt] ; program, which shall result in a release (must have charge 120% greater than however, it can act as a supplement to from liability for the conditions that are leaking appliance). explain the requirements. Reliance on identified and corrected. This All Class I ODS appliances must this fact sheet alone will likely not Agreement incorporates the features of convert to at least Class II ODS result in compliance. Another useful the Bakery Partnership Program as appliances by July 15, 2003, unless web site is one pertaining to general detailed in the Federal Register on this program grants extension. leak repair: http://www.epa.gov/ozone/ topic, published January ll, 2002.
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Applicability with an appliance containing a agreement shall apply to the former 1. This Partnership Agreement shall refrigerant with an ozone depleting owner for the period during which the apply to and be binding upon both EPA potential that is lower than that which facility was owned by the former owner, and Participating Company, including was used in the retired appliance. provided all applicable terms and but not limited to its officers, directors, 9. ‘‘Appliance’’ means an industrial conditions are otherwise satisfied. The agents, servants, employees, successors, process refrigeration appliance agreement shall also apply and assigns. Participating Company containing 50 pounds of more of ODS prospectively, according to its terms, to the party to whom the facility is shall give notice of this Agreement to refrigerant that is housed within the transferred, if the new owner provides any successor in interest prior to the facility. 10. ‘‘ODS’’ means Ozone Depleting EPA with written confirmation of intent transfer of any ownership interest in any Substance used as a refrigerant. to comply with the agreement. machinery subject to Title VI, Clean Air Act (42 U.S.C. 7671 et. seq.) (the ‘‘Act’’) Initial Notice Audit Conduct, Report and Plans and its incorporating regulations, 40 11. Participating Company represents 12. Participating Company agrees to CFR Part 82 (‘‘Regulations’’). The Notice that: assist EPA with EPA’s review of audit for this Program (‘‘Program Notice’’) was a. It notified EPA of Participating results. Such assistance may take the given to the baking industry by the EPA Company’s intent to participate in the form of responding to telephone calls in cooperation with baking industry Ozone Depleting Substance Emission for clarification and other reasonable trade officials and trade journals. Reduction Bakery Partnership Program informal inquiries, without the need for 2. In order for a Participating by 5 p.m. Eastern Time, March 15, 2002 formal information demands. Company to be eligible to participate in by submitting this executed Partnership 13. Participating Company agrees to this Agreement, the Participating Agreement. identify all facilities with applicable Company must be a wholesale bakery b. Annex A, submitted with this industrial process refrigeration not currently under corporate-wide Agreement, or updated shortly appliances. investigation by EPA for a violation of thereafter, is a true, accurate, and 14. Participating Company agrees to Title VI of the Clean Air Act. complete identification of: undertake a reasonable investigation Definitions i. Name of the Participating Company; and to the extent it can reasonably and assemble such information, report to 3. ‘‘Participating company’’ means ii. Name, street address, ZIP code, and EPA for each applicable appliance, any eligible company and its wholly-or city of each facility at which the dates of service, beginning September partially-owned subsidiaries, including Participating Company believes any 30, 2000 and continuing until June 15, all their bakeries, which agree to abide subject appliance is presently located; 2003; pounds of refrigerant added; days by the conditions of this Agreement. and since the last addition of refrigerant; 4. ‘‘Corporate-wide investigation’’ iii. State in which the facility is percent annualized leak rate; and any means an investigation that requires located; and associated comments by using a information disclosure from either (1) iv. EPA region in which the facility is spreadsheet such as the one contained five or more facilities owned by a located; and in Annex C. To the extent that a change company that seeks to be a Participating v. The number or best estimate of the in system components, such as a new Company or (2) all facilities that are number of appliances with more than 50 compressor, may have altered the full subject to Title VI and owned by a pounds of refrigerant when fully charge, or where other special company that seeks to be a Participating charged, as determined by calculation, conditions arise, these conditions Company. weight, manufacturer supplied should be noted in the comments 5. ‘‘Non-ODS system’’ means information, or an established range as section. pollution prevention technology described in 40 CFR 82.152. 15. Participating Company agrees to recommended to and agreed upon by vi. The number or best estimate of the complete audits of all industrial process EPA that supplants standard ODS number of non-ODS industrial process refrigeration appliances at each facility, technology, including but not limited to refrigeration appliances. except for those appliances converted to glycol, chilled water, or other non-ODS c. Participating Company certifies that a non-ODS system prior to March 15, coolant in a secondary-loop system or it is eligible to be a participating 2002, and notify EPA with a summary totally non-ODS systems, such as HFCs company, that is, it meets the of the audit results as specified in the or ammonia. qualifications specified in paragraphs 2 preceding paragraph and corrective 6. ‘‘Facility’’ means a discrete parcel and 3. actions planned, as necessary, by July of real property or such a parcel d. Participating Company agrees to 15, 2002 for Class I appliances and by improved by Participating Company’s audit all its facilities as specified below July 15, 2003 for Class II appliances. building, structure, factory, plant, and disclose the summary results of Participating Company may, at its sole premises, or other thing, related to such audits to EPA and correct any and discretion, include commercial and Participating Company’s baking/bakery all violations in accordance with this comfort cooling appliances subject to 40 business, containing at least one Agreement. CFR 82.156(i) in the audit for appliance. e. Participating Company agrees to compliance and receive a release from 7. ‘‘Retrofit’’ means to install new or toll the applicable statute of limitations liability for problems identified and modified parts in an appliance which during the life of the Agreement that corrected. were not provided as a part of the may apply to the violations that may 16. Participating Company agrees to originally manufactured equipment. The have occurred within the time period calculate the total per appliance and per retrofitted appliance must use a five years prior to the signing of this pound penalties, if any, due and owing refrigerant with an ozone depleting Agreement. by July 15, 2003 in accordance with the potential that is lower than that which f. In the event that ownership of a method outlined in the Federal Register was used before the retrofit. facility subject to this agreement is (or final announcement of the Bakery 8. ‘‘Retire’’ means to withdraw an was) transferred during the period Partnership Program, and to submit this appliance from service and replace it covered by the agreement, the calculation to EPA.
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17. Participating Company agrees to employees who disclose violations or violations disclosed and corrected, is to provide, in writing, by July 15, 2003, the potential violations to the auditing team the derogation of EPA’s full enforcement steps that Participating Company will under the Act and the Regulations are and compliance authority at the take to achieve continuous compliance not subject to adverse job actions conclusion of the Partnership. with the requirements of 40 CFR Part (including without limitation 28. EPA does not forbear or relinquish 82. Such measures may include, but are disciplinary action, denial of promotion, any right to access and inspection under not limited to, such things as training, bonuses or pay) on the basis of such this agreement. record keeping, replacement, repair, employee disclosing such violations or 29. If EPA believes that the installation of non-ODS systems. See potential violations in accordance with Participating Company has Annex E for additional required company policies. miscategorized or mischaracterized any Compliance Plan elements. Participating problem/violation under this Participating Company Records Company agrees to implement this Plan. Agreement, the Dispute Resolution Retention section of this Agreement shall be Audit Compliance Program 23. Participating Company agrees to utilized. 18. For all Class I appliances keep and retain on site or readily Participating Company will complete an available any and all records from Release From Liability/CAFO audit and submit plans for the retrofit of March 15, 1999 until two years after the 30. Participating Company these appliances with an ODS having an conclusion of all obligations under this understands and acknowledges that ozone depleting potential of 0.1 or less Agreement. Records for appliances that participation in the Program will not or retirement/replacement with a non- have been converted to non-ODS absolve Participating Company or its ODS system. Plans for these Class I systems need not retain records for more employees from any criminal liability. appliances must be submitted by July than three years prior to the completion Good faith compliance efforts with this 15, 2002, with a schedule for the of the conversion to the non-ODS program, as always, will be considered completion of these activities within system. Such records shall be from both in the context of any alleged criminal one year, unless additional time is Participating Company and its liability. allowed pursuant to 40 CFR 82.156(i)(7). employees, agents and any contractors 31. EPA agrees to execute an These plans will be incorporated in an working for Participating Company. All administrative Consent Agreement Final Administrative Order on Consent records are required to be retained for Order conditionally releasing [AOC]. See Annex B. this period of time to facilitate review Participating Company from civil 19. For Class II appliances, by EPA, should EPA choose to conduct liability for any and all violations or Participating Company will sign an such a review. Participating Company potential violations that have been self- Administrative Order on Consent agrees to notify all employees, agents disclosed and corrected, on condition agreeing to develop, within the next and contractors that any such record is that Participating Company pays twelve months, plans, where needed, for not to be destroyed. penalties that may be due and the replacement of these Class II completes the plans with compliance appliances with non-ODS systems. Penalties schedules that have been submitted and 20. If any appliance within a facility 24. A ‘‘per appliance’’ penalty of agreed upon by the Participating owned by Participating Company $10,000, with a cap of $50,000 per Company and the EPA. A complete contains a refrigerant that is not an EPA- facility, shall be due and owing for each release from civil liability will be approved refrigerant for that particular industrial process refrigeration granted for any appliance that is end-use (such as R–409A use in an appliance that contains greater than 50 converted to a non-ODS system. Good industrial process refrigeration pounds of ODS after March 15, 2002. A faith participants in this Partnership appliance) or is not in compliance with ‘‘per pound’’ penalty, as specified in the Program will receive a release for the use restrictions of an approved above-referenced Federal Register period of time prior to September 30, refrigerant, Participating Company must notice, shall be calculated for each 2000, even though this period may not take immediate steps to properly appliance, unless equipment be audited. recover said refrigerant from the conversions to non-ODS systems 32. EPA and Participating Company appliance (in accordance with the eliminate this penalty. will execute an Administrative Regulations) and replace it with an 25. The total penalty shall be paid Compliance Order on Consent and approved refrigerant, in accordance within 30 days of receipt of the CAFO CAFO confirming that understanding. with any use restrictions. Recovered which should be shortly after July 2003. Publicity refrigerant must be sent to an EPA- Forbearance certified refrigerant reclaimer for 33. Participating Company may ultimate reclamation or disposal. 26. EPA agrees to forbear on Part 82 publicize that it is partnering with the enforcement activity against EPA in an effort to reduce ODS Certification of Complete Compliance Participating Company during the emissions. 21. Participating Company shall sign course of this Agreement. EPA may 34. Upon request by the Participating and submit to EPA a Certification of however, inspect and request Company, EPA will recognize and Complete Compliance (Annex D) when information to ensure that the audits are acknowledge Participating Company’s all plans, retrofits and other steps being conducted fully and properly. participation and assistance under the necessary to ensure continuous 27. Participating Company Program. compliance have been finalized. understands that any violations discovered by EPA subsequent to the Access and Inspection Employee Participation completion of the audit or compliance 35. Without prior notice, any 22. Participating Company shall efforts and/or the expiration of this authorized representative of EPA provide a procedure for its employees to Agreement are subject to standard (including a designated contractor), report violations or potential problems regulatory enforcement. That is, nothing upon presentation of credentials at any to the auditing team. Participating in this Agreement, other than the release of Participating Company’s facilities, Company agrees to ensure that from civil liability for problems/ may enter such location(s) at reasonable
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times to determine compliance with this dispute elevation, the Office of Air and or Agreement. Access under this clause is Radiation staff and managers will be Title VI Coordinator, Attention: Charlie subject to the normal health and safety consulted. Participating Company Garlow, US EPA Air Enforcement and confidentiality requirements in agrees that elevation within EPA is the Division, 1200 Pennsylvania Ave effect at such facilities. sole and final dispute resolution NW., Mail Code 2242A, Washington, Dispute Resolution mechanism. [EPA is exploring D.C. 20460, additional ways to resolve disputes such 202–564–1088 36. Should the need arise, as Alternative Dispute Resolution with Participating Company agrees to first a third party]. Integration engage in informal dispute resolution with EPA’s Air Enforcement Division Effective Date 42. This Agreement and the Annexes and Federal Register notice incorporated staff concerning any determination 38. This Agreement shall become by reference in this Agreement, made by EPA in its review of the effective upon the date signed by the represents the final form of the contract program. Such informal dispute parties to this agreement (below). resolution will consist of negotiations between EPA and Participating between Participating Company and the Miscellaneous Company. No oral modifications to the designated attorney(s) and/or Division 39. Nothing in this Agreement will Agreement will be binding upon either Director of the Air Enforcement Division relieve the Participating Company of its party. at the address in paragraph 41. To obligation to comply with any other Signatures exercise informal dispute resolution, Clean Air Act provision, other Participating Company shall send a environmental law, or applicable 43. EPA and the Participating written notice to EPA outlining the environmental regulations, either state Company represent that they have nature of the dispute or disagreement or Federal. examined this agreement and the and request informal negotiations to 40. Participating Company agrees to attached and incorporated annexes and resolve the dispute. Such period of accept service from EPA by mail with Federal Register notice and agree to the informal negotiations shall not extend respect to all matters relating to this terms by signing and dating below. beyond thirty (30) days from the date Agreement at the address listed below 44. Each person signing this when the notice was received, unless (if different from the one listed in Agreement represents that he or she is the parties agree otherwise in writing. Annex A). authorized to legally bind the party on 37. Should the Participating Company lllllllllllllllllllll whose behalf he or she is signing. be dissatisfied with the results of the lllllllllllllllllllll 45. Agreed To: informal dispute resolution, the lllllllllllllllllllll BY lllllllllllllllllll Participating Company may request that lllllllllllllllllllll [Participating Company] the dispute be elevated to the Director lllllllllllllllll 41. EPA agrees to accept service from DATE: of the Office of Regulatory Enforcement BY lllllllllllllllllll Participating Company by mail with or the Assistant Administrator of the U.S. Environmental Protection Agency Office of Enforcement and Compliance respect to all matters relating to this DATE: lllllllllllllllll Assurance, Headquarters US EPA, to Agreement at the address listed below determine the outcome of the dispute or Electronically preferred: Annex A—Sample Identification of disagreement. As part of any such [email protected] Facilities
Number of ODS-containing and non- Participating company/facility name Location, mailing address, city, zip State Region ODS appliances, if known
Marvy Bread/Plant 4 ...... 123 Main St, Lodi 94588 ...... CA .... 9 15 ODS, 5 non-ODS.
Annex B—Sample Administrative Findings application to EPA shall be timely made Order on Consent pursuant to 40 CFR 82.156(i)(7). 1. Respondent is a Participating 5. Within 12 months of this Order, United States Environmental Protection Company under the above-identified Respondent shall prepare and submit to Agency Bakery Partnership Program. EPA plans for the conversion of Class II In the Matter of [Participating Company] 2. EPA promulgated regulations for appliances to non-ODS systems, for the Respondent. Bakery Partnership Program, the control of Ozone Depleting appliances identified in Attachment B, Agreement Number llllll Substances, appearing in 40 CFR Part attached hereto. 82, Subpart F. 6. Consistent with the Bakery Findings and Order 3. Respondent owns or operates Partnership Agreement entered into certain affected equipment under Part between EPA and [the Participating Pursuant to Sections 113(a)(3) and 82 that contains or contained Ozone Company], per appliance and per pound 114 of the Clean Air Act (‘‘CAA’’), Depleting Substances, at facilities penalties shall be calculated and consistent with the Bakery Partnership identified in Attachment A attached submitted to EPA by July 15, 2003. Program identified above and entered hereto. 7. Pursuant to Section 113(a) of the into between the United States CAA, failure to comply with this Order Environmental Protection Agency Order may lead to a civil action to obtain (‘‘EPA’’) and Respondent, and based 4. Respondent shall retrofit or replace compliance or an action for penalties. upon available information, EPA hereby the referenced equipment as specified in Issued this llll day of llllll, makes and issues the following Findings Attachment A by the date(s) there 2003 and Order, with the expressed consent indicated. Where additional time may lllllllllllllllllllll of Respondent: be required to complete these actions, U.S. Environmental Protection Agency
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8. [Participating Company] consents Annex C—Leak Rate Calculation Sheet Then multiply that number by 365 to the issuance of this Order and further for each Appliance—Sample days. agrees not to contest EPA’s authority to Beanie Bread/ Plant 4. The Appliance Then divide that number by days issue this Order. Serial Number 456789 containing 350 since the last add. Signed this llll day of llllll, pounds full charge of R–22. Multiply that number by 100 to 2003 The leak rate is calculated by dividing express it as a percentage, if over 35%. lllllllllllllllllllll the number of pounds added by the full For [Participating Company] charge [here 350 pounds].
Days since Leak rate Date lbs added last add (percent) Comments
10/28/00 ... 112 base ...... 2/20/01 ..... 60 115 54 2/27/01 ..... 14 7 ...... 5/31/01 ..... 30 93 33 6/18/01 ..... 166 18 961 12/3/01 ..... 100 168 62 Total pounds added since high leak rate=310 pounds × $20 per pound=$6200, the ‘‘per pound’’ penalty.
Annex D—Certification of Completion B. Only technicians certified in greater than 50 pounds of a class I or and Compliance accordance with 40 CFR Part 82 will class II substance. perform refrigerant-related service on I certify, based on personal 6. Name of the technician performing refrigerant containing appliances. inspection, that correction of the work on each appliance containing C. Technicians will use/ have violations/problems identified as a part greater than 50 pounds of a class I or available for use and use, as required, class II substance. of the Bakery Partnership Agreement recycle/recovery equipment certified with the United States Environmental 7. A copy of the technician pursuant to 40 CFR 82.156. certification card for all technicians Protection Agency, dated llll, is D. Repairs to refrigerant-leaking performing work. complete. appliances will be conducted within the I certify that llllll, time frames outlined in 40 CFR 82.156. 8. Refrigerant purchase records. Participating Company, has corrected all E. Initial verification tests on 9. A copy of the recycle/recovery violations, and training, recordkeeping, industrial process equipment will be equipment owner’s certification. equipment replacement, and all other conducted following any refrigerant- J. Each participant will provide necessary and prudent measures have related repairs. refresher training on the refrigerant been taken to ensure complete F. Follow-up verification tests on compliance program annually for compliance with Title VI, Clean Air Act industrial process equipment will be facility personnel responsible for (42 U.S.C. 7671 et seq.). conducted within thirty days of any oversight of maintenance and service of I certify that the following summary refrigerant-related repairs. refrigerant-containing appliances. of the actions taken are true and G. Leak rates will be calculated (a) complete: when refrigerant is added to appliances Sample CAFO lllllllllllllllllllll containing greater than 50 pounds of a United States Environmental Protection lllllllllllllllllllll class I or class II substance and (b) when Agency the follow-up verification test reveals an lllllllllllllllllllll Washington, D.C. lllllllllllllllllllll unsuccessful repair. H. Procedures documenting what In the Matter of: [Participating Company] I certify that I am an officer of additional action will be taken as a Respondent. Docket No. CAA–HQ–2003– llllll , Participating Company, result of a failed repair will be written. XXX and am duly authorized to sign and I. Each Participating Company will Consent Agreement and Final Order complete this Certification of maintain the following records in a Compliance on behalf of Participating single location at each facility: I. Preliminary Statement Company. 1. An inventory of appliances lllllllllllllllllllll containing greater than 50 pounds of a 1. The United States Environmental Name (print) class I or class II substance and their Protection Agency (‘‘EPA’’) and lllllllllllllllllllll refrigerant capacities. [Participating Company] have entered Signature 2. A unique identification for each into a voluntary Bakery Partnership lllllllllllllllllllll appliance containing greater than 50 Agreement, pursuant to which an audit Date pounds of a class I or class II substance. of compliance status and self-correction 3. Date the refrigerant-related service program has been undertaken. It was Annex E—Compliance Plan Required further agreed by the parties that certain Elements for Appliances Containing is performed on each appliance containing greater than 50 pounds of a civil penalties would be paid pursuant Greater than 50 pounds of a Class I or to the administrative authority of Class II substance class I or class II substance. 4. Type of refrigerant-related service Section 113(d) of the Clean Air Act A. Each Participating Company will performed on each appliance containing (‘‘CAA), 42 U.S.C. 7413(d). have at least one employee in each greater than 50 pounds of a class I or 2. This Consent Agreement and Final facility responsible for ensuring class II substance. Order [CAFO] is issued pursuant to the compliance with the refrigerant 5. Amount and type of refrigerant authority of 40 CFR 22.13(b), 22.18(b)(2) Compliance Plan. added to each appliance containing and (3), which pertain to the quick
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resolution and settlement of matters issue addressed in this Consent 17. Pursuant to 42 U.S.C. 7413(d)(5) without the filing of a complaint. Agreement. and 31 U.S.C. 3717, Respondent shall 3. This Consent Agreement and Final 9. Respondent and EPA represent that pay the following amounts: Order resolves the liability for violations they are duly authorized to execute this a. Interest. Any unpaid portion of the that may have been discovered pursuant Consent Agreement and that the parties assessed penalty shall bear interest at to an audit of the Respondent’s facilities signing this Agreement on their behalf the rate established pursuant to 26 regarding compliance with Title VI of are duly authorized to bind Respondent U.S.C. 6621(a)(2) from the date a the Clean Air Act, Stratospheric Ozone and EPA to the terms of this Consent conformed copy of this CAFO is Protection, and more particularly 40 Agreement. received by Respondent; provided, CFR Part 82, Subpart F, relating to 10. Respondent agrees not to claim or however, that no interest shall be recycling and emissions reductions from attempt to claim a federal income tax payable on any portion of the assessed appliances containing ozone depleting deduction or credit covering all or any penalty that is paid within 30 days of substances. part of the civil penalty paid to the the date a copy of this CAFO is received II. Consent Agreement United States Treasurer. by Respondent. 11. Respondent and EPA stipulate to b. Attorney Fees, Collection Costs, 4. As a result of the voluntary audit issuance of the proposed Final Order Nonpayment Penalty. Pursuant to 42 conducted pursuant to the Bakery below. U.S.C. 7413(d)(5), should Respondent Partnership Agreement, EPA and [Participating Company], Respondent fail to pay on a timely basis the amount Respondent have agreed to resolve this of the assessed penalty, Respondent matter by executing this Consent By (Print name) shall be required to pay, in addition to Agreement. Title: such penalty and interest, the United 5. For the purpose of this proceeding, Dated: lllllllllllllllll States’ enforcement expenses, including Respondent does not contest the U.S. Environmental Protection Agency, but not limited to attorney fees and jurisdiction of this tribunal, consents to Complainant costs incurred by the United States for the assessment of the civil penalty as By collection proceedings, and a quarterly specified below, and consents to Headquarters EPA implement the corrective action Plans nonpayment penalty for each quarter Dated: lllllllllllllllll and Other Conditions, attached hereto. during which such failure to pay 6. The execution of this Consent persists. Such nonpayment penalty shall III. Final Order Agreement is not an admission of be ten percent of the aggregate amount liability by Respondent, and It Is Hereby Ordered and Adjudged as of Respondent’s outstanding penalties Respondent neither admits nor denies follows: and nonpayment penalties accrued from any specific factual allegations 12. Respondent shall comply with all the beginning of such quarter. contained herein. EPA alleges that one terms of the Consent Agreement. 18. This document constitutes an or more of the conditions contained in 13. For the reasons set forth above, ‘‘enforcement response’’ as that term is the attached Summary of Audit Respondent is hereby assessed a penalty used in the CAA Penalty Policy for the Findings constitutes a violation of 40 in the amount of $llllll . purposes of determining Respondent’s CFR Part 82. 14. Respondent shall pay the assessed ‘‘full compliance history’’ as provided 7. As a complete settlement for all penalty no later than thirty (30) calendar in Section 113(e) of the CAA, 42 U.S.C. problematic conditions specified in the days from the date a conformed copy of 7413(e). attached Summary of Audit Findings, this Consent Agreement and Final Order 19. Each party shall bear its own Respondent hereby agrees to pay to the (‘‘CAFO) is received by Respondent. costs, fees, and disbursements in this United States a civil penalty as specified 15. All payments under this CAFO action. in the attached Penalty Calculation. EPA shall be made by certified check or 20. The provisions of this CAFO shall agrees to conditionally release money order, payable to the United be binding on Respondent, its officers, Respondent from civil liability for the States Treasurer, mailed to: U.S. directors, employees, agents, servants, conditions, and only those conditions, Environmental Protection Agency, authorized representatives, successors identified in the attached Summary of (Washington D.C. Hearing Clerk), P.O. and assigns. Audit Findings, except for those Box 360277, Pittsburgh, Pennsylvania It Is So Ordered. appliances that are identified as having 15251–6277. A transmittal letter, Dated this llll day of llllll, been or being converted to non-ozone indicating Respondent’s name, complete 1999. depleting substances, for which a address, and this case docket number lllllllllllllllllllll complete release of civil liability is must accompany the payment. Environmental Appeals Judge Respondent shall file a copy of the Environmental Appeals Board granted. This release is conditioned U.S. Environmental Protection Agency upon the satisfactory completion of the check and of the transmittal letter with Plans and Other Conditions attached the Headquarters Hearing Clerk. Certificate of Service hereto, and the timely payment of the 16. Failure to pay the penalty assessed civil penalty. Good faith participants in under this CAFO may subject I certify that the forgoing Consent this Partnership Program will receive a Respondent to a civil action pursuant to Agreement and Final Order was sent to release for the period of time prior to Section 113(d)(5) of the CAA, 42 U.S.C. the following persons, in the manner September 15, 2000, even though this 7413(d)(5), to collect any unpaid portion specified, on the date below: period may not be audited. The parties of the assessed penalty, together with Original hand-delivered: Eurika Durr, agree that the attached Summary of interest, handling charges, enforcement EAB Hearing Clerk, U.S. Audit Findings, Penalty Calculation and expenses, including attorneys fees, and Environmental Protection Agency, Plans and Other Conditions are nonpayment penalties. In any such Mail Code 1103B, 607 14th Street incorporated herein by reference and collection action, the validity, amount, NW., Suite 500, Washington, DC made a part of this CAFO. and appropriateness of this order or the 20005 8. Respondent waives its right to penalty assessed hereunder are not Copy by certified mail, return receipt request an adjudicatory hearing on any subject to review. requested:
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llllll Registered Agent for Sample Summary of Findings The leak rate is calculated by dividing [Participating Company] the number of pounds added by the full [Participating Company’s address] Annex C—Leak Rate Calculation Sheet charge [here 350 pounds]. Dated: lllllllllllllllll for each Appliance—Sample Then multiply that number by 365 U.S. EPA llllllllllllllll Marvy Bread/Plant 4. The Appliance days. Serial Number 456789 containing 350 Then divide that number by days pounds full charge of R–22. since the last add. Multiply that number by 100 to express it as a percentage, if over 35%.
days since Leak rate Date lbs added last add (percent) Comments
10/28/00 ...... 112 base ...... 2/20/01 ...... 60 115 54 2/27/01 ...... 14 7 ...... 5/31/01 ...... 30 93 33 6/18/01 ...... 166 18 961 12/3/01 ...... 100 168 62 Total pounds added since high leak rate = 310 pounds × $20 per pound = $6200, the ‘‘per pound’’ penalty.
Technician Certifications for two SUMMARY: The U.S. Environmental Appointments to review the docket can technicians, Joe Jones and Sam Spade, Protection Agency (EPA) has developed be made by calling (703) 603–9232. at Plant 4 were missing. and is requesting public comment on a FOR FURTHER INFORMATION CONTACT: Those certifications are now on file. draft Risk Assessment Guidance for Contact the RCRA/Superfund Call Service records before September Superfund: Volume I Human Health Center at (800) 424–9346; from the 2000 were missing. Evaluation Manual (Part E, Washington, DC, metropolitan area call Sample Penalty Calculation Supplemental Guidance for Dermal Risk (703) 412–9810. The Assessment) (RAGS Part E). EPA is also Telecommunications Device for the Deaf Marvy Bread Plant 4 The Appliance requesting data pertinent to reducing (TDD) number is (800) 553–7672; from Serial Number 456789 containing 350 the uncertainty and variability in the Washington, DC, metropolitan area pounds full charge of R–22. assessing the risks from dermal the number is (703) 412–3323. For Per pound penalty: $6,200—waived as exposure. RAGS Part E is available technical inquiries, you may contact Lee this machine is being converted to non- electronically on the Internet at http:// Hofmann, Office of Solid Waste and ODS. www.epa.gov/superfund/programs/risk/ Emergency Response, Mail Code 5101, Per appliance penalty: 10,000. ragse/index.htm. This guidance is U.S. Environmental Protection Agency, Total Penalty: 10,000. intended to assist risk assessors and 1200 Pennsylvania Ave., NW., Sample Plans and Other Conditions others in addressing concerns resulting Washington, DC 20460: telephone from the evaluation of dermal exposure number 202–260–2230, email Beanie Bread agrees to convert the risk assessment pathways. It proposes a [email protected]. Bun Mixer at Plant 4, Serial Number consistent methodology for assessing SUPPLEMENTARY INFORMATION: 45678, to a non-ODS system. the exposures from the dermal pathway Completion date: July 30, 2004. for Superfund human health risk Background Beanie Bread agrees to develop a assessments. It incorporates and updates In January 1992, the Office of Health computer based recordkeeping program principles of the EPA (1992) interim and Environmental Assessment (OHEA), to ensure that complete and accurate report, ‘‘Dermal Exposure Assessment: in the Office of Research and records are retained as required. Principles and Applications’’. Development (ORD) of the U.S. Completion date: September 30, 2003. DATES: You may submit comments and Environmental Protection Agency (EPA) [FR Doc. 01–30459 Filed 12–7–01; 8:45 am] data until February 8, 2002. Comments issued an interim report, Dermal BILLING CODE 6560–50–P received after that date may be Exposure Assessment: Principles and considered to the extent feasible. Applications (DEA). The DEA provided guidance for conducting dermal ENVIRONMENTAL PROTECTION ADDRESSES: You are invited to submit exposure assessments and was peer- AGENCY written comments and data to: EPA, reviewed by EPA’s Science Advisory Superfund Docket RAGS Part E, Mail Board. A Workgroup was subsequently [FRL–7115–1] Code 5202G, 1200 Pennsylvania Ave, formed to develop guidance for NW., Washington, DC 20460. For cost Superfund based on the DEA. In August Notice of Availability of the Draft savings the draft RAGS Part E document 1992, a draft Superfund Interim Dermal Supplemental Guidance for Dermal is available electronically on the Risk Assessment Guidance was Risk Assessment, Risk Assessment Internet at http://www.epa.gov/ circulated for comment but was never Guidance for Superfund, Volume I, superfund/programs/risk/ragse/ issued. This current guidance Part E index.htm. EPA plans to print the supersedes the 1992 Superfund AGENCY: Environmental Protection document only after it is finalized. The document. Agency. Superfund Docket, containing the RAGS This 2001 Superfund RAGS Part E, Part E document and public comments, Supplemental Guidance for Dermal Risk ACTION: Notice of availability, request is physically located at 1235 Jefferson Assessment (RAGS Part E) is the result for comment, request for data. Davis Highway, Arlington, Virginia. of Superfund RAGS Part E Workgroup
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meetings from FY 95 through FY 01 on —Event time, frequency and duration of Table B.3: Calculation of Dermal Absorbed issues associated with the exposure Dose for Organic Chemicals in Water characterization of risk resulting from 3.2 Estimation of Dermal Exposure to Table B.4: Calculation of Dermal Absorbed the dermal exposure pathway. RAGS Chemicals in Soil Dose for Inorganic Chemicals in Water Appendix C: Soil Pathway Part E updates recommendations 3.2.1 Standard Equation for Dermal Contact with Chemicals in Soil Appendix D: Sample Calculations presented in the DEA, and incorporates 3.2.2 Exposure Parameters RAGS Part E focuses on dermal contact additional information from the —Skin Surface Area with soil and water, and it does not provide Exposure Factors Handbook (U.S. EPA, —Soil-to-Skin Adherence Factors guidance on quantifying dermal absorption of 1997a) and scientific literature, as cited. —Recommended Soil Adherence Factors chemicals resulting from exposure to vapors. Users of this guidance are strongly —Dermal Absorption Fraction from Soil The Superfund RAGS Part E Workgroup encouraged to review and understand —Age-adjusted Dermal Factor agreed with the finding in the DEA report the material presented in the DEA. This —Event Time, Exposure Frequency and that many chemicals, with low vapor guidance is considered interim, pending Duration pressure and low environmental 3.3 Estimation of Dermal Exposure to concentrations, cannot achieve adequate release of any update to the DEA from vapor concentration to pose a dermal ORD. As more data become available, Chemicals in Sediment 4.0 Toxicity Assessment exposure hazard. For chemicals with the RAGS Part E may be updated. 4.1 Principles of Route-to-route potential to achieve adequate vapor This Supplemental Guidance for Extrapolation concentrations, this guidance assumes that Dermal Risk Assessment (RAGS Part E) 4.2 Adjustment of Toxicity Factors they are primarily absorbed through the has undergone external peer review in 4.3 Calculation of Absorbed Toxicity respiratory tract. January 1998 and in February 2000. Values Goals Also, EPA’s Risk Assessment Forum 4.4 Direct Toxicity 5.0 Risk Characterization EPA welcomes feedback on this draft conducted a Peer Consultation 5.1 Quantitative Risk Evaluation RAGS Part E document. EPA is seeking Workshop on this document in 5.1.1 Risk Calculations public comment at this time in order to December 1998. 5.1.2 Risks for All Routes of Exposure ensure hearing the widest range of views and obtaining all information relevant to the Elements of the RAGS Part E Approach 5.2 Uncertainty Assessment 5.2.1 Hazard Identification development of policy. In addition, EPA is soliciting data pertinent to reducing Risk Assessment Guidance for 5.2.2 Exposure Assessment —Dermal Exposure to Water— uncertainty and variability in assessing risks Superfund: Volume I–Human Health from dermal exposure. EPA will review Uncertainties Associated with the Model Evaluation Manual (Part E, public comments received on the draft RAGS for DA event Part E document and will make appropriate Supplemental Guidance for Dermal Risk —Dermal Exposure to Soil changes in the document. EPA expects to Assessment) (RAGS Part E) is structured 5.2.3 Toxicity Assessment respond in a summarized manner to the to be consistent with the four steps of 5.2.4 Risk Characterization principal comments received on the draft the Superfund risk assessment process: 6.0 Conclusions/Recommendations RAGS Part E document as a matter of public hazard identification, exposure 6.1 Summary information. assessment, toxicity assessment, and 6.2 Exposures Not Included in Current risk characterization. RAGS Part E is Dermal Guidance Dated: November 30, 2001. organized into six chapters and four 6.3 Recommendations Michael H. Shapiro, appendices. To provide an indication of 7.0 References Principal Deputy Assistant Administrator, the scope of the document, we have Appendix A: Water Pathway Office of Solid Waste and Emergency included the Table of Contents below: A.1 Dermal Absorption Model Response. A.1.1 Calculation of Parameters in Daevent [FR Doc. 01–30457 Filed 12–7–01; 8:45 am] 1.0 Introduction and Flowchart A.1.2 Model Validation BILLING CODE 6560–50–P 1.1 Introduction A.2 Estimation of Kp for Organic 1.2 Organization of Document Compounds 1.3 Flowcharts A.3 Estimation of Kp for Inorganic and 2.0 Hazard Identification Ionized Organic Compounds FEDERAL COMMUNICATIONS 2.1 Choosing Contaminants of Concern A.4 Uncertainty Analysis COMMISSION for the Dermal-water Pathway A.5 Screening Procedure for Chemicals in 2.2 Choosing Contaminants of Concern Water Sunshine Act Meeting; Open for the Dermal-soil Pathway A.6 Procedures for Calculating Dermal Commission Meeting Wednesday, 3.0 Exposure Assessment Dose December 12, 2001 3.1 Estimation of Dermal Exposures to A.6.1 Stepwise Procedure for Calculating Chemicals in Water Dermal Dose Using Given Equations The Federal Communications 3.1.1 Standard Equation for Dermal A.6.2 Stepwise Procedure for Calculating Commission will hold an Open Meeting Contact with Chemicals in Water Dermal Dose Using Spreadsheets 3.1.2 Exposure Parameters Appendix B: Screening Tables and Reference on the subjects listed below on —Permeability coefficient for compounds Values for The Water Pathway Wednesday, December 12, 2001, which in water (Kp in cm/hr) Table B.1: Flynn Data Set is scheduled to commence at 9:30 a.m. —Chemical concentration in water Table B.2: Predicted Kp for 200’s Organic in Room TW–C305, at 445 12th Street, —Skin surface area Contaminants In Water SW., Washington, DC.
Item No. Bureau Subject
1 ...... Common Carrier ...... Title: Development of a Regulatory Framework for Incumbent LEC Broadband Services; and SBC Petition for Expedited Ruling That it is Non-Dominant in its Provision of Advanced Services and for Forbearance from Dominant Carrier Regulation of Those Services. Summary: The Commission will consider a Notice of Proposed Rule Making initiating a com- prehensive examination of the appropriate regulatory framework for incumbent LECs’ provi- sion of broadband services. As part of this proceeding, the Commission also invites com- ment on the petition filed by SBC Communications, Inc.
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Item No. Bureau Subject
2 ...... Common Carrier ...... Title: Review of the Section 251 Unbundling Obligations of Incumbent Local Exchange Car- riers; Implementation of the Local Competition Provisions of the Telecommunications Act of the 1996 (CC Docket No. 96–98); and Deployment of Wireline Services Offering Advanced Telecommunications Capability (CC Docket No. 98–147). Summary: The Commission will consider a Notice of Proposed Rule Making to initiate its ‘‘tri- ennial’’ review of the definitions of and rules concerning access to incumbent LEC unbundled network elements. 3 ...... Common Carrier ...... Title: Numbering Resource Optimization (CC Docket No. 99–200); Petition for Declaratory Ruling and Request for Expedited Action on the July 15, 1997 Order of the Pennsylvania Public Utility Commission Regarding Area Codes 412, 610, 215, and 717 (CC Docket No. 96–98); and Telephone Number Portability (CC Docket No. 95–116). Summary: The Commission will consider a Third Report and Order and Second Order on Reconsideration in CC Docket No. 96–98 and CC Docket No. 99–200 regarding plans for nationwide thousands-block number pooling and other strategies to ensure that the num- bering resources of the North American Numbering Plan are used efficiently. 4 ...... Mass Media ...... Title: Review of the Commission’s Broadcast and Cable Equal Employment Opportunity Rules and Policies (MM Docket No. 98–204). Summary: The Commission will consider a Second Notice of Proposed Rule Making con- cerning new equal opportunity rules for broadcast licensees and cable entities. 5 ...... Office of Engineering and Title: Reallocation and Service Rules for the 698–746 MHz ASpectrum Band (Television Technology and Wireless Channels 52–59) (GN Docket No. 01–74). Telecommunications. Summary: The Commission will consider a Report and Order concerning allocation and serv- ice rules to reallocate television channels 52–59, pursuant to the Balanced Budget Act of 1997. 6 ...... Office of Engineering and Title: Revision of Part 15 of the Commission’s Rules Regarding Ultra-Wideband Transmission Technology. System (ET Docket No. 98–153). Summary: The Commission will consider a First Report and Order to provide for new ultra- wideband devices.
Additional information concerning Federal Communications Commission. FOR FURTHER INFORMATION CONTACT: this meeting may be obtained from Magalie Roman Salas, Robert A. Yevoli, Public Buildings Maureen Peratino or David Fiske, Office Secretary. Service, GSA (202) 219–1403. of Media Relations, telephone number [FR Doc. 01–30623 Filed 12–6–01; 8:45 am] ADDRESSES: Comments regarding this (202) 418–0500; TTY 1–888–835–5322. BILLING CODE 6712–01–M burden estimate or any other aspect of Copies of materials adopted at this this collection of information, including meeting can be purchased from the suggestions for reducing this burden, FCC’s duplicating contractor, Qualex GENERAL SERVICES should be submitted to: Edward Springer, GSA Desk Officer, OMB Room International (202) 863–2893; Fax (202) ADMINISTRATION 10236, NEOB, Washington, DC 20503, 863–2898; TTY (202) 863–2897. These [OMB Control No. 3090–0043] and a copy to Stephanie Morris, General copies are available in paper format and Services Administration (MVP), 1800 F alternative media, including large print/ Submission for OMB Review; Street, NW., Room 4035, Washington, type; digital disk; and audio tape. Comment Request Entitled Appraisal DC 20405. Qualex International may be reached by of Fair Annual Parking Rate Per Space SUPPLEMENTARY INFORMATION: e-mail at [email protected] for Standard Level User Charge (GSA This meeting can be viewed over Form 3357) A. Purpose The General Services Administration George Mason University’s Capitol AGENCY: General Services is requesting the Office of Management Connection. The Capitol Connection Administration (GSA). also will carry the meeting live via the and Budget (OMB) to review and ACTION: Notice of a request for an approve information collection, 3090– Internet. For information on these extension to an existing OMB clearance. services call (703) 993–3100. The audio 0043, concerning Appraisal of Fair portion of the meeting will be broadcast SUMMARY: Under the provisions of the Annual Parking Rate Per Space for live on the Internet via the FCC’s Paperwork Reduction Act of 1995 (44 Standard Level User Charge (GSA Form Internet audio broadcast page at U.S.C. Chapter 35), the General Services 3357). Form 3357 is needed by GSA
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Administration, Acquisition Policy falsified research in the Pigmentation signed statement from his immediate Division (MVP), 1800 F Street, NW., Application by (a) falsely claiming that supervisor stating that the supervisor Room 4035, Washington, DC 20405, or he had performed an extensive series of has reviewed the materials and finds no by telephoning (202) 501–4744, or by simulations to evaluate the power to indication of plagiarism, falsification or faxing your request to (202) 501–4067. detect genes influencing pigmentation fabrication of data, nor any other form Please cite OMB Control No. 3090–0043, traits by the proposed statistical of scientific misconduct; (e) for the next Appraisal of Fair Annual Parking Rate analysis, and (b) falsely representing academic year, Dr. Xiong is required to Per Space for Standard Level User estimates from previous work on participate in a course in the Charge (GSA Form 3357), in all unrelated individuals as being responsible conduct of research, and in correspondence. appropriate for large families in the the year after completing the course, Dated: December 3, 2001. proposed research. serve as a co-instructor in a small The Voluntary Exclusion Agreement Michael Carleton, discussion group for all breakout (Agreement) states that Dr. Xiong: Chief Information Officer. sessions of the course; and (f) within (1) Will not serve as a principal two years, Dr. Xiong must write a formal [FR Doc. 01–30461 Filed 12–7–01; 8:45 am] investigator on PHS grants for one (1) essay, of publication quality, in English BILLING CODE 6820–61–M year, beginning on November 26, 2001; and Chinese, on plagiarism for (2) Will exclude himself from serving submission to the Executive Vice in any advisory capacity to PHS, President for Research, UTHSCH, and DEPARTMENT OF HEALTH AND including but not limited to service on for publication. HUMAN SERVICES any PHS advisory committee, board, FOR FURTHER INFORMATION CONTACT: and/or peer review committee, or as a Director, Division of Investigative Office of the Secretary consultant for a period of three (3) years, beginning on November 26, 2001; Oversight, Office of Research Integrity, Findings of Scientific Misconduct (3) Agrees that he and any institution 5515 Security Lane, Suite 700, Rockville, MD 20852, (301) 443–5330. AGENCY: Office of the Secretary, HHS. employing him are required to certify, ACTION: Notice. in every PHS application or report in Chris B. Pascal, which Dr. Xiong is involved: (a) That all Director, Office of Research Integrity. SUMMARY: Notice is hereby given that persons who contribute original sources [FR Doc. 01–30437 Filed 12–7–01; 8:45 am] the Office of Research Integrity (ORI) of ideas, data, or research results to the BILLING CODE 4150–31–P and the Assistant Secretary for Health applications or reports are properly have taken final action in the following cited or otherwise acknowledged; and case: (b) that the applications or reports do DEPARTMENT OF HEALTH AND Momiao Xiong, Ph.D., The University not contain any falsified, fabricated, or HUMAN SERVICES of Texas Health Science Center at misleading information, for a period of Houston: On November 26, 2001, the three (3) years, beginning on November Centers for Disease Control and U.S. Public Health Service (PHS) 26, 2001. This requires Dr. Xiong and Prevention entered into a Voluntary Exclusion the institution, with respect to Dr. Agreement with The University of Texas Xiong’s contributions to the application [60Day–02–15] Health Science Center at Houston or report, to certify that all individuals Proposed Data Collections Submitted (UTHSCH) and Momiao Xiong, Ph.D., (both within and outside the institution) for Public Comment and an Assistant Professor at UTHSCH. who contributed to the application or Recommendations Based on the report of an inquiry report are acknowledged. The conducted by UTHSCH, and any related institution must also send a copy of the In compliance with the requirement actions and findings by UTHSCH, as certification to ORI; and of section 3506(c)(2)(A) of the well as additional analysis conducted (4) Accepts the following UTHSCH Paperwork Reduction Act of 1995 for by ORI in its oversight review, PHS administrative actions: (a) Dr. Xiong opportunity for public comment on found that Dr. Xiong engaged in must send a formal, written apology to proposed data collection projects, the scientific misconduct by plagiarizing the principal and co-investigators Centers for Disease Control and and fabricating data in National Institute explicitly acknowledging his plagiarism Prevention (CDC) will publish periodic of General Medical Sciences (NIGMS), from their grant application; (b) for a summaries of proposed projects. To National Institutes of Health (NIH), one year period starting October 11, request more information on the grant application R01 GM64353–01, 2001, Dr. Xiong may not: (i) Submit, as proposed projects or to obtain a copy of ‘‘Genetics of Human Pigmentation and a principal investigator, any new grant the data collection plans and Skin Response’’ (Pigmentation applications, including applications to instruments, call the CDC Reports Application), on which he was a co- any federal, state, or local government Clearance Officer on (404) 639–7090. investigator. The plagiarized and agencies, as well as any private Comments are invited on: (a) Whether fabricated data were essential to the foundations or agencies; or (ii) submit the proposed collection of information scientific validity of the proposed any publications without providing is necessary for the proper performance research and were important for NIH’s certification, co-signed by his of the functions of the agency, including scientific evaluation of the Pigmentation immediate supervisor, that any whether the information shall have Application. Dr. Xiong has admitted his manuscript for publication does not practical utility; (b) the accuracy of the actions. contain any plagiarized information or agency’s estimate of the burden of the Specifically, PHS and UTHSCH found any falsified, fabricated, or misleading proposed collection of information; (c) that Dr. Xiong: (1) plagiarized text from information; (c) for an additional two ways to enhance the quality, utility, and another researcher’s grant application, year period, Dr. Xiong must similarly clarity of the information to be which Dr. Xiong had obtained during certify any grant application or collected; and (d) ways to minimize the the NIH confidential review process and publication; (d) for the next three years, burden of the collection of information used without appropriate citation in the to submit any grant application or on respondents, including through the Pigmentation Application; and (2) publication, Dr. Xiong must have a use of automated collection techniques
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or other forms of information since 1996 little is known about how the knowledge, skills, resources, and technology. Send comments to Seleda funds are allocated and utilized in each barriers to effective implementation. Perryman, CDC Assistant Reports state and what each state’s public health To meet these objectives, a variety of Clearance Officer, 1600 Clifton Road, needs are with regard to rape prevention data collection tasks will be employed. MS–D24, Atlanta, GA 30333. Written and education. In order to effectively A critical review of the published comments should be received within 60 administer and collaboratively work literature and related materials days of this notice. with state’s to enhance the utilization of Proposed Project: Evaluation of Block pertaining to the monies for RPE will be these funds, the CDC needs to know conducted to provide guidance for the Grants for Rape Prevention and how these funds are allocated, what Education—New—National Center for survey instrument development. Two e- activities are being conducted with mail surveys will be conducted: One Injury Prevention and Control (NCIPC), these funds and the kinds of data they Centers for Disease Control and with the state health department RPE are collecting. The primary objectives of coordinators and the other with sexual Prevention (CDC). The Rape Prevention this study are to: and Education (RPE) Grant Program assault coalition directors. Each survey strengthens violence against women 1. Document the intended goals and instrument will take approximately 30 prevention efforts by supporting objectives of the RPE program as it minutes to complete. Site visits will be increased awareness, education and relates to the activities of state health conducted with a sample of 15 sites to training, and the operation of hotlines. departments and sexual assault obtain more detailed information about The purpose of this program is to award coalitions, from the perspective of the RPE programs and the current formula grants to States and Territories various stakeholder levels (e.g., systems in place. Sites will be to be used for RPE programs conducted National, state and local); 2. Assess the purposefully selected to maximize by rape crisis centers, state sexual allocation mechanisms, uses, and variability and interviews will be assault coalitions, and other public and impact of the funds for RPE as they conducted with both the state health private nonprofit entities. relate to these documented intentions; department RPE coordinators and the Although the Rape Prevention and and, 3. Assess public health needs of state sexual assault coalition directors. Education program has been funded states and local programs in terms of There is no cost to the respondent.
Number of re- Average bur- Respondents Number of re- sponses/re- den/response Total burden spondents spondent (in hours) (in hours)
State Health Department RPE Coordinators ...... 59 1 30/60 30 State Sexual Assault Coalition Directors ...... 59 1 30/60 30 State Health Department RPE Coordinators ...... 15 1 3 45 State Sexual Assault Coalition Directors ...... 15 1 3 45
Total ...... 150
Dated: December 3, 2001. instruments, call the CDC Reports conducted annually since 1992 and is Nancy E. Cheal, Clearance Officer on (404) 639–7090. directed by the Division of Health Care Acting Associate Director for Policy, Planning Comments are invited on: (a) Whether Statistics, National Center for Health and Evaluation, Centers for Disease Control the proposed collection of information Statistics, CDC. The purpose of the and Prevention. is necessary for the proper performance NHAMCS is to meet the needs and [FR Doc. 01–30395 Filed 12–7–01; 8:45 am] of the functions of the agency, including demands for statistical information BILLING CODE 4163–18–P whether the information shall have about the provision of ambulatory practical utility; (b) the accuracy of the medical care services in the United agency’s estimate of the burden of the States. Ambulatory services are DEPARTMENT OF HEALTH AND proposed collection of information; (c) rendered in a wide variety of settings, HUMAN SERVICES ways to enhance the quality, utility, and including physicians’ offices and clarity of the information to be hospital outpatient and emergency Centers for Disease Control and collected; and (d) ways to minimize the departments. The target universe of the Prevention burden of the collection of information NHAMCS is in-person visits made in on respondents, including through the [60 Day–02–14] the U.S. to outpatient departments and use of automated collection techniques emergency departments of non-Federal, Proposed Data Collections Submitted or other forms of information technology. Send comments to Anne short-stay hospitals (hospitals with an for Public Comment and average length of stay of less than 30 Recommendations O’Connor, CDC Assistant Reports Clearance Officer, 1600 Clifton Road, days) or those whose specialty is general In compliance with the requirement MS-D24, Atlanta, GA 30333. Written (medical or surgical) or children’s of section 3506(c)(2)(A) of the comments should be received within 60 general. The NHAMCS was initiated to Paperwork Reduction Act of 1995 for days of this notice. complement the National Ambulatory opportunity for public comment on Proposed Project: National Hospital Medical Care Survey (NAMCS, OMB proposed data collection projects, the Ambulatory Medical Care Survey No. 0920–0234) which provides similar Centers for Disease Control and (NHAMCS) OMB No. 0920–0278— data concerning patient visits to Prevention (CDC) will publish periodic Revision—National Center for Health physicians’ offices. The NAMCS and summaries of proposed projects. To Statistics, (NCHS) Centers for Disease NHAMCS are the principal sources of request more information on the Control and Prevention (CDC). The data on approximately 90 percent of proposed projects or to obtain a copy of National Hospital Ambulatory Medical ambulatory care provided in the United the data collection plans and Care Survey (NHAMCS) has been States.
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The NHAMCS provides a range of determining health care work force selected statistics in a large research baseline data on the characteristics of needs, and assessing the health status of effort, to an in-depth analysis of the the users and providers of ambulatory the population. entire NHAMCS data set covering medical care. Data collected include Users of NHAMCS data include, but several years. patients’ demographic characteristics are not limited to, congressional offices, To calculate the burden hours the and reason(s) for visit, and the Federal agencies such as NIH, state and number of respondents for the physicians’ diagnosis(es), diagnostic local governments, schools of public equipment and services, medications, health, colleges and universities, private NHAMCS is based on an annual sample and disposition. These data, together industry, nonprofit foundations, of approximately 500 hospitals with an with trend data, may be used to monitor professional associations, as well as 94 percent participation rate. The total the effects of change in the health care individual practitioners, researchers, cost to respondents is estimated to be system, for the planning of health administrators, and health planners. $300,000. services, improving medical education, Uses vary from the inclusion of a few
Number of re- Avg. burden/ Response bur- Respondents (non-Federal general and short-stay hospitals) Number of re- sponses/re- response den spondents spondent (in hrs.) (in hrs.)
Induction forms: Ineligible hospitals ...... 50 1 15/60 13 Eligible hospitals ...... 440 1 1 440 Emergency departments ...... 400 1 1 400 Outpatient departments ...... 240 4 1 960 Patient record forms: Emergency departments ...... 400 100 5/60 3,333 Outpatient departments ...... 240 200 5/60 4,000 Pediatric emergency services and equipment ...... 400 1 30/60 200
Total ...... 9,346
Dated: November 30, 2001. agency’s estimate of the burden of the ambulatory patients to non-Federal Nancy E. Cheal, proposed collection of information; (c) office-based physicians (excluding those Acting Associate Director for Policy, Planning ways to enhance the quality, utility, and in the specialties of anesthesiology, and Evaluation, Centers for Disease Control clarity of the information to be radiology, and pathology) who are and Prevention. collected; and (d) ways to minimize the engaged in direct patient care. Since [FR Doc. 01–30396 Filed 12–7–01; 8:45 am] burden of the collection of information more than 80 percent of all direct BILLING CODE 4163–18–P on respondents, including through the ambulatory medical care visits occur in use of automated collection techniques physicians’ offices, the NAMCS or other forms of information provides data on the majority of DEPARTMENT OF HEALTH AND technology. Send comments to Anne ambulatory medical care services. To HUMAN SERVICES O’Connor, CDC Assistant Reports complement these data, in 1992 NCHS Clearance Officer, 1600 Clifton Road, initiated the National Hospital Centers for Disease Control and MS–D24, Atlanta, GA 30333. Written Ambulatory Medical Care Survey Prevention comments should be received within 60 (NHAMCS, OMB No. 0920–0278) to days of this notice. [60 Day–02–13] provide data concerning patient visits to Proposed Project: National hospital outpatient and emergency Proposed Data Collections Submitted Ambulatory Medical Care Survey OMB departments. The NAMCS, together for Public Comment and No. 0920–0234—Revision—National with the NHAMCS constitute the Recommendations Center for Health Statics (NCHS), ambulatory component of the National Centers for Disease Control and Health Care Survey (NHCS), and will In compliance with the requirement Prevention, (CDC). The National provide coverage of more than 90 of section 3506(c)(2)(A) of the Ambulatory Medical Care Survey percent of ambulatory medical care. Paperwork Reduction Act of 1995 for (NAMCS) was conducted annually from The NAMCS provides a range of opportunity for public comment on 1973 to 1981, again in 1985, and baseline data on the characteristics of proposed data collection projects, the resumed as an annual survey in 1989. It the users and providers of ambulatory Centers for Disease Control and is directed by the Division of Health medical care. Data collected include the Prevention (CDC) will publish periodic Care Statistics, National Center for patients’ demographic characteristics summaries of proposed projects. To Health Statistics, CDC. The purpose of and reason(s) for visit, and the request more information on the NAMCS is to meet the needs and physicians’ diagnosis(es) and diagnostic proposed projects or to obtain a copy of demands for statistical information services, medications and disposition. the data collection plans and about the provision of ambulatory These data, together with trend data, instruments, call the CDC Reports medical care services in the United may be used to monitor the effects of Clearance Officer on (404) 639–7090. States. Ambulatory services are change in the health care system, Comments are invited on: (a) Whether rendered in a wide variety of settings, provide new insights into ambulatory the proposed collection of information including physicians’ offices and medical care, and stimulate further is necessary for the proper performance hospital outpatient and emergency research on the use, organization, and of the functions of the agency, including departments. The NAMCS target delivery of ambulatory care. whether the information shall have population consists of all office visits Users of NAMCS data include, but are practical utility; (b) the accuracy of the within the United States made by not limited to, congressional and other
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federal government agencies such as administrators and health planners. based on a sample of 3,150 physicians NIH and FDA, state and local Uses vary from the inclusion of a few with a 50 percent participation rate (this governments, medical schools, schools selected statistics in a large research includes physicians who are out-of- of public health, colleges and effort, to an in-depth analysis of the scope as well as those who refuse). The universities, private businesses, entire NAMCS data set covering several total cost to respondents is estimated to nonprofit foundations and corporations, years. be $300,000. professional associations, as well as To calculate the burden hours the individual practitioners, researchers, number of respondents for NAMCS is
Number of re- Avg. burden/ Response bur- Respondents Number of re- sponse/re- responses den spondents spondent (in hrs.) (in hrs.)
Office-based physicians Induction form ...... 1,575 1 25/60 656 Patient record form ...... 1,575 30 5/60 3,938
Total ...... 4,594
Dated: November 30, 2001. on the pilot project may be submitted at Format—BLAs.’’ A joint CBER and Nancy E. Cheal, any time. CDER guidance for industry entitled Acting Associate Director for Policy, Planning ADDRESSES: Submit written requests to ‘‘Providing Regulatory Submissions in and Evaluation, Centers for Disease Control participate and comments regarding this Electronic Format—General and Prevention. pilot project to the Dockets Management Considerations,’’ provides [FR Doc. 01–30397 Filed 12–7–01; 8:45 am] Branch (HFA–305), Food and Drug recommendations for the file formats for BILLING CODE 4163–18–P Administration, 5630 Fishers Lane, rm. clinical datasets (64 FR 4433, January 1061, Rockville, MD 20852. Submit 28, 1999). written comments on the pilot project to The datasets described in these DEPARTMENT OF HEALTH AND the Dockets Management Branch guidance documents are organized by HUMAN SERVICES (address above). Submit electronic domain (e.g., labs, adverse events). For comments to http://www.fda.gov/ NDAs, however, we also recommend the Food and Drug Administration dockets/ecomments. submission of CRTs organized by [Docket No. 01N–0496 ] FOR FURTHER INFORMATION CONTACT: individual patients—a format we call Randy Levin, Center for Drug Evaluation patient profiles. Patient profiles are Patient Profile Viewer; Notice of Pilot and Research (HFD–001), Food and provided in portable document format Project Drug Administration, 5600 Fishers (PDF) and not as electronic datasets. Lane, Rockville, MD 20857, 301–594– Patient profiles are not recommended AGENCY: Food and Drug Administration, 5411, e-mail: [email protected]. for submissions to CBER. CDER is HHS. SUPPLEMENTARY INFORMATION: working with CBER to update the ACTION: Notice. guidance documents with more detailed I. Background standards for the submission of CRT SUMMARY: The Food and Drug Under current FDA regulations (21 datasets and metadata. Administration (FDA), Center for Drug CFR 314.50), applicants must provide Recently, we have received Evaluation and Research (CDER), is CRTs with NDAs. Since November recommendations for a standard seeking volunteers to participate in a 1997, under 21 CFR part 11, we have presentation of the most common CRT pilot project involving the testing of the accepted CRTs in electronic format datasets and metadata from the Clinical Patient Profile Viewer (PPV). The PPV is instead of paper. Data Interchange Standards Consortium, computer software that allows a We have published several guidance Inc. (CDISC). CDISC is a nonprofit reviewer to display data collected from documents that provide organization and its members are from case report tabulations (CRTs) submitted recommendations concerning electronic pharmaceutical companies, in electronic format. We are working submissions. In the Federal Register of biotechnology companies, contract with PPD Informatics to develop the January 28, 1999 (64 FR 4432), CDER research organizations, and software PPV under a Cooperative Research and published the guidance entitled vendors. Development Agreement (CRADA) in an ‘‘Providing Regulatory Submissions in CDER has also entered into a CRADA effort to improve review efficiency, Electronic Format—NDAs.’’ This with PPD Informatics (PPD) to develop develop standards for submission of guidance describes how applicants can a module for PPD’s commercially data, and eliminate the need for the provide CRTs as electronic datasets. available CrossGraphs software that will submission of patient profiles by This guidance also offers generate patient profiles directly from applicants of new drug applications recommendations on how to organize CRT datasets provided with NDA (NDAs). To help in this development, the datasets and how to provide submissions. The use of standardized we are seeking volunteers to provide descriptive information on the datasets datasets and metadata reduces the CRT datasets from clinical studies to and the data variables (metadata). In the amount of preparation required by the test the PPV. Data supplied during the Federal Register of November 12, 1999 reviewer to generate patient profiles and pilot project will not replace any (64 FR 61647), the Center for Biologics would eliminate the need for applicants regulatory requirements for submitting Evaluation and Research (CBER) to provide patient profiles in PDF. The CRTs. provides similar recommendations for purpose of the pilot project is to test the DATES: Submit written or electronic biologic license applications (BLAs) in PPV module with standardized datasets requests to participate in the pilot their guidance entitled ‘‘Providing and metadata and to obtain feedback project by January 9, 2002. Comments Regulatory Submissions in Electronic from reviewers and pharmaceutical
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companies on the creation and use of data and metadata electronically. and Applied Nutrition (HFS–627), Food standardized clinical data and metadata. Received comments may be seen in the and Drug Administration, 200 C St. SW., Dockets Management Branch between 9 Washington, DC 20204, 202–205–8140. II. Pilot Project Description a.m. and 4 p.m., Monday through (After December 14, 2001, the Center for The pilot project is part of an effort to Friday. Food Safety and Applied Nutrition’s improve the standards for submission of address will be 5100 Paint Branch clinical data. Eventually, we expect to V. Electronic Access Pkwy., College Park, MD 20740.) recommend detailed clinical data and These instructions will be available SUPPLEMENTARY INFORMATION: metadata standards for the submission on the Internet at http://www.fda.gov/ of CRTs. Participants in this PPV pilot cder/regulatory/ersr/default.htm. I. Background project will not only assist us in testing Dated: December 3, 2001. FDA provides assistance to Federal, the use of the PPV and standard clinical Margaret M. Dotzel, State, local, and tribal governmental data and metadata but will also bodies with jurisdiction over food safety Associate Commissioner for Policy. familiarize themselves with the process to help ensure that food provided to at an early stage of development. Only [FR Doc. 01–30430 Filed 12–5–01; 11:21 am] consumers by retail food establishments a few participants are needed for this BILLING CODE 4160–01–S is not a vehicle of communicable pilot. diseases. A primary mechanism for providing that assistance is the regular DEPARTMENT OF HEALTH AND A. Initial Approach publication of a model code that sets out Because a limited number of HUMAN SERVICES FDA’s best advice for a uniform system voluntary participants are needed, the Food and Drug Administration of regulation that is designed to help agency will use its discretion in ensure that food sold or offered for choosing volunteers, based on their [Docket No. 01D–0532] human consumption by retail food experience with providing CRTs and establishments is safe, unadulterated, their familiarity with the standards Food Code; 2001 Revision; Availability and honestly presented. recommended by CDISC. During the AGENCY: Food and Drug Administration, In 1971, the CFP was established to pilot project, the agency will make HHS. provide a dialogue on food safety issues. available to the public specific technical The CFP is a voluntary organization ACTION: Notice. instructions for providing the clinical comprised of Federal, State, and local data and metadata for testing. See the SUMMARY: The Food and Drug regulatory officials, food industry Electronic Access section for Administration (FDA) is announcing the representatives, consumer groups, and instructions. Participants in the pilot availability of the 2001 revision of the academia. The public also may project will be asked to provide clinical Food Code (2001 Food Code). This 2001 participate in the CFP process. The trial datasets and metadata as described revision was initiated in cooperation Conference meets biennially for in the technical instructions and to with the Conference for Food Protection discussion among all parties regarding provide technical feedback. (CFP or Conference) to help ensure that ways to improve food safety in the retail segment of the food industry. FDA B. Scope food sold or offered for human consumption by retail food recognizes the CFP as a voluntary The pilot project will test the PPV establishments is safe, unadulterated, national organization that is qualified to module and the preparation and use of and honestly presented. provide technical guidance and information toward the development the submitted data and metadata. DATES: Submit written or electronic Existing requirements for the comments on the 2001 Food Code at any and implementation of codes and submission of CRT datasets will not be time. standards pertaining to retail food waived, suspended, or modified for service, retail food stores, and retail ADDRESSES: Submit written requests for purposes of this pilot project. vending operations. At the 1986 meeting single copies of the 2001 Food Code to of the CFP, it was recommended that the III. Pilot Project Participation the Office of Field Programs (HFS–600), three distinct model codes in existence Written requests to volunteer for the Center for Food Safety and Applied at that time (retail food stores, food pilot project should be submitted to the Nutrition, Food and Drug service facilities, and vending) be Dockets Management Branch (address Administration, 200 C St. SW., combined into a Food Protection above). Requests are to be identified Washington, DC 20204 (after December Unicode. The CFP endorsed this with the docket number found in 14, 2001, the Center for Food Safety and approach, FDA concurred, and issued brackets in the heading of this Applied Nutrition’s address will be the first Food Code in 1993. FDA has document. 5100 Paint Branch Pkwy., College Park, issued subsequent versions of the Food MD 20740). Send two self-addressed Code every 2 years. Revisions to the IV. Comments adhesive labels to assist that office in Food Code are based in part on Interested persons may submit to the processing your request. Submit written recommendations that are cooperatively Dockets Management Branch (mail and comments on the 2001 Food Code to the developed by CFP members in response electronic addresses above) written Dockets Management Branch (HFA– to issues submitted to the CFP by comments regarding this pilot project. 305), Food and Drug Administration, interested parties. Two copies of any comments are to be 5630 Fishers Lane, rm. 1061, Rockville, The 2001 Food Code responds to submitted, except that individuals may MD 20852. Submit electronic comments recommendations made by the CFP and submit one copy. Comments are to be to http://www.fda.gov/dockets/ addresses needed clarifications, identified with the docket number ecomments. See the SUPPLEMENTARY updates, and corrections. Significant found in brackets in the heading of this INFORMATION section for electronic changes between the 2001 Food Code document. FDA will consider comments access and ordering information for the and the 1999 Food Code include the in making a determination on electronic 2001 Food Code. following: filing and in drafting a guidance FOR FURTHER INFORMATION CONTACT: • A revised definition of juice, document for submitting clinical trial Glenda R. Lewis, Center for Food Safety information on juice treated to control
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pathogens, and information that revised biennially to keep it up-to-date. spiral bound, Microsoft Word 97 files on addresses issues relating to juice Each revision is based on comments diskette, enhanced electronic version on provided to populations that are received on a previous Food Code, as cassette or CD–ROM, particularly vulnerable to foodborne well as issues presented to the CFP for including Adobe Reader. The enhanced illness; further development and discussion. versions include electronic features • A revised definition of ‘‘highly Each revision also reflects current such as hypertext links that enable the susceptible populations’’ and new public comment. The Conference reader to locate quickly a specific code definitions relating to employee health engages in outreach in a number of provision and to read simultaneously including ‘‘exclusion’’ and ‘‘restriction’’; ways. First and foremost, its members the text of cross-referenced documents. • New provisions for the communicate within their respective Dated: December 5, 2001. refrigeration and labeling of eggs constituencies (industry—retail food Margaret M. Dotzel, consistent with new requirements in the store, food service, vending, processing; Code of Federal Regulations (CFR); government—Federal, State, and local; Associate Commissioner for Policy. • An updated roast beef cooking consumer and academia). In addition, [FR Doc. 01–30489 Filed 12–5–01; 4:08 pm] chart consistent with new U.S. the Conference has a Web site at http:/ BILLING CODE 4160–01–S Department of Agriculture/Food Safety /www.foodprotect.org; press releases go and Inspection Service criteria; out to various organizations; and • A revised preface to recognize members receive a Conference DEPARTMENT OF HEALTH AND Federal performance standards relating newsletter. Thus, each revision of the HUMAN SERVICES to food products and processes. (Federal Food Code is part of an ongoing Substance Abuse and Mental Health performance standards are acceptable, dialogue and serves effectively as a Services Administration equivalent alternatives to the command- ‘‘draft’’ for the next revision. and-control provisions that now provide The 2001 Food Code does not create Current List of Laboratories Which specific times and temperatures for or confer any rights for or on any person Meet Minimum Standards To Engage in cooking); and does not operate to bind FDA or the • Urine Drug Testing for Federal A new definition for ‘‘shiga toxin- public. An alternative approach may be Agencies producing E. coli’’ and a replacement of used if such an approach satisfies the references to ‘‘E. coli 0157:H7 ‘‘with requirements of applicable statutes and AGENCY: Substance Abuse and Mental Ashiga toxin-producing E. coli’’; regulations. Health Services Administration, HHS. • Clarification of hand washing ACTION: Notice. procedures with respect to time and II. Comments water temperature; application of hand The public may comment on this SUMMARY: The Department of Health and washing procedures to persons with document at any time. The public may Human Services notifies Federal prosthetic devices; and hand washing comment in one of two ways: (1) By agencies of the laboratories currently procedures before donning gloves; participating in the CFP meeting held certified to meet standards of Subpart C • Clarification of the provisions biennially for the purpose of, among of Mandatory Guidelines for Federal relating to marking refrigerated, ready- other things, considering recommended Workplace Drug Testing Programs (59 to-eat food to indicate its shelf life; changes to the Food Code; or (2) by FR 29916, 29925). A notice listing all • A new provision that allows the commenting in writing or electronically currently certified laboratories is use of a thermometer embedded in a to FDA. Comments submitted to the published in the Federal Register nonfood substance as a means of agency may be offered for consideration during the first week of each month. If monitoring the temperature of food and vote at a subsequent CFP meeting. any laboratory’s certification is products in a refrigerator, as well as Interested persons, at any time, may suspended or revoked, the laboratory encouraging the use of small diameter submit written or electronic comments will be omitted from subsequent lists probes for measuring the internal to the Dockets Management Branch until such time as it is restored to full temperature of thin masses of food; (address above) on the 2001 Food Code. certification under the Guidelines. • New provisions that address Two copies of any comments are to be If any laboratory has withdrawn from backflow prevention devices for submitted, except that individuals may the National Laboratory Certification beverage carbonators; submit one copy. Comments are to be Program during the past month, it will • Additional references relating to identified with the docket number be listed at the end, and will be omitted time as a public health control and found in brackets in the heading of this from the monthly listing thereafter. cooling; and document. The 2001 Food Code and • This notice is also available on the Provisions updated to reflect received comments may be seen in the internet at the following websites: consistency with the current CFR and Dockets Management Branch between 9 http://workplace.samhsa.gov; http:// guidances issued by Federal agencies. a.m. and 4 p.m., Monday through www.drugfreeworkplace.gov; and The 2001 Food Code is a level 1 Friday. http://www.health.org/workplace. guidance being issued consistent with FDA’s good guidance practices III. Electronic Access and Ordering FOR FURTHER INFORMATION CONTACT: Mrs. regulation in § 10.115 (21 CFR 10.115). Information Giselle Hersh or Dr. Walter Vogl, With certain exceptions, this regulation Persons with access to the Internet Division of Workplace Programs, 5600 requires that the public be afforded an may obtain the document at http:// Fishers Lane, Rockwall 2 Building, opportunity to comment on level 1 www.cfsan.fda.gov/´dms/guidance.html, Room 815, Rockville, Maryland 20857; guidance documents before their http://vm.cfsan.fda.gov/list.html, or Tel.: (301) 443–6014, Fax: (301) 443– implementation. FDA is not seeking http://www.fedworld.com. In addition, 3031. public comment before implementing the 2001 Food Code may be ordered SUPPLEMENTARY INFORMATION: this edition of the Food Code because from the National Technical Information Mandatory Guidelines for Federal we have determined that it is not Service, U.S. Department of Commerce, Workplace Drug Testing were developed feasible or appropriate in accordance Springfield, VA 22161, 1–800–553– in accordance with Executive Order with § 10.115(g)(2). The Food Code is 6847, in several formats: Docutek copy, 12564 and section 503 of Pub. L. 100–
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71. Subpart C of the Guidelines, DrugProof, Divison of Dynacare, 543 South Medical College Hospitals Toxicology ‘‘Certification of Laboratories Engaged Hull St., Montgomery, AL 36103, 888–777– Laboratory, Department of Pathology, 3000 in Urine Drug Testing for Federal 9497/334–241–0522 (Formerly: Alabama Arlington Ave., Toledo, OH 43699, 419– Agencies,’’ sets strict standards which Reference Laboratories, Inc.) 383–5213 laboratories must meet in order to DrugProof, Division of Dynacare/Laboratory MedTox Laboratories, Inc., 402 W. County conduct urine drug testing for Federal of Pathology, LLC, 1229 Madison St., Suite Rd. D, St. Paul, MN 55112, 651–636–7466/ 800–832–3244 agencies. To become certified an 500, Nordstrom Medical Tower, Seattle, applicant laboratory must undergo three WA 98104, 206–386–2672/800–898–0180 MetroLab-Legacy Laboratory Services, 1225 (Formerly: Laboratory of Pathology of NE 2nd Ave., Portland, OR 97232, 503– rounds of performance testing plus an Seattle, Inc., DrugProof, Division of 413–5295/800–950–5295 on-site inspection. Laboratory of Pathology of Seattle, Inc.) To maintain that certification a Minneapolis Veterans Affairs Medical Center, DrugScan, Inc., P.O. Box 2969, 1119 Mearns Forensic Toxicology Laboratory, 1 Veterans laboratory must participate in a Rd., Warminster, PA 18974, 215–674–9310 Drive, Minneapolis, Minnesota 55417, quarterly performance testing program Dynacare Kasper Medical Laboratories,* 612–725–2088 plus periodic, on-site inspections. 14940–123 Ave., Edmonton, Alberta, National Toxicology Laboratories, Inc., 1100 Laboratories which claim to be in the Canada T5V 1B4, 780–451–3702/800–661– California Ave., Bakersfield, CA 93304, applicant stage of certification are not to 9876 661–322–4250/800–350–3515 be considered as meeting the minimum ElSohly Laboratories, Inc., 5 Industrial Park Northwest Drug Testing, a division of NWT requirements expressed in the HHS Dr., Oxford, MS 38655, 662–236–2609 Inc., 1141 E. 3900 South, Salt Lake City, Guidelines. A laboratory must have its Express Analytical Labs, 1301 18th Ave NW, UT 84124, 801–293–2300/800–322–3361 (Formerly: NWT Drug Testing, NorthWest letter of certification from SAMHSA, Suite 110, Austin, MN 55912, 507–437– Toxicology, Inc.) HHS (formerly: HHS/NIDA) which 7322 One Source Toxicology Laboratory, Inc., 1705 attests that it has met minimum Gamma-Dynacare Medical Laboratories,* A Center Street, Deer Park, TX 77536, 713– standards. Division of the Gamma-Dynacare 920–2559 (Formerly: University of Texas In accordance with Subpart C of the Laboratory Partnership, 245 Pall Mall St., Medical Branch, Clinical Chemistry Guidelines, the following laboratories London, ONT, Canada N6A 1P4, 519–679– Division; UTMB Pathology-Toxicology meet the minimum standards set forth 1630 Laboratory) in the Guidelines: General Medical Laboratories, 36 South Oregon Medical Laboratories, P.O. Box 972, Brooks St., Madison, WI 53715, 608–267– ACL Laboratories, 8901 W. Lincoln Ave., 722 East 11th Ave., Eugene, OR 97440– West Allis, WI 53227, 414–328–7840/800– 6267 0972, 541–687–2134 877–7016 (Formerly: Bayshore Clinical Kroll Laboratory Specialists, Inc., 1111 Pacific Toxicology Laboratories, 6160 Variel Laboratory) Newton St., Gretna, LA 70053, 504–361– Ave., Woodland Hills, CA 91367, 818–598– ACM Medical Laboratory, Inc., 160 Elmgrove 8989/800–433–3823 (Formerly: Laboratory 3110/800–328–6942 (Formerly: Centinela Park, Rochester, NY 14624, 716–429–2264 Specialists, Inc.) Hospital Airport Toxicology Laboratory Advanced Toxicology Network, 3560 Air LabOne, Inc., 10101 Renner Blvd., Lenexa, Pathology Associates Medical Laboratories, Center Cove, Suite 101, Memphis, TN KS 66219, 913–888–3927/800–728–4064 110 West Cliff Drive, Spokane, WA 99204, 38118, 901–794–5770/888–290–1150 (Formerly: Center for Laboratory Services, 509–755–8991/800–541–7891x8991 a Division of LabOne, Inc.) Aegis Analytical Laboratories, Inc., 345 Hill PharmChem Laboratories, Inc., Texas Ave., Nashville, TN 37210, 615–255–2400 Laboratory Corporation of America Holdings, Division, 7606 Pebble Dr., Fort Worth, TX Alliance Laboratory Services, 3200 Burnet 7207 N. Gessner Road, Houston, TX 77040, 76118, 817–215–8800 (Formerly: Harris Ave., Cincinnati, OH 45229, 513–585–9000 713–856–8288/800–800–2387 Medical Laboratory) (Formerly: Jewish Hospital of Cincinnati, Laboratory Corporation of America Holdings, Physicians Reference Laboratory, 7800 West Inc.) 69 First Ave., Raritan, NJ 08869, 908–526– 110th St., Overland Park, KS 66210, 913– American Medical Laboratories, Inc., 14225 2400/800–437–4986 (Formerly: Roche 339–0372/800–821–3627 Biomedical Laboratories, Inc.) Newbrook Dr., Chantilly, VA 20151, 703– Quest Diagnostics Incorporated, 3175 802–6900 Laboratory Corporation of America Holdings, Presidential Dr., Atlanta, GA 30340, 770– Associated Pathologists Laboratories, Inc., 1904 Alexander Drive, Research Triangle 452–1590 (Formerly: SmithKline Beecham 4230 South Burnham Ave., Suite 250, Las Park, NC 27709, 919–572–6900/800–833– Clinical Laboratories, SmithKline Bio- Vegas, NV 89119–5412, 702–733–7866/ 3984 (Formerly: LabCorp Occupational Science Laboratories) 800–433–2750 Testing Services, Inc., CompuChem Quest Diagnostics Incorporated, 4770 Regent Baptist Medical Center—Toxicology Laboratories, Inc.; CompuChem Blvd., Irving, TX 75063, 800–842–6152 Laboratory, 9601 I–630, Exit 7, Little Rock, Laboratories, Inc., A Subsidiary of Roche (Moved from the Dallas location on 03/31/ AR 72205–7299, 501–202–2783 (Formerly: Biomedical Laboratory; Roche 01; Formerly: SmithKline Beecham Forensic Toxicology Laboratory Baptist CompuChem Laboratories, Inc., A Member Clinical Laboratories, SmithKline Bio- Medical Center) of the Roche Group) Science Laboratories) Clinical Laboratory Partners, LLC, 129 East Laboratory Corporation of America Holdings, Quest Diagnostics Incorporated, 400 Egypt Cedar St., Newington, CT 06111, 860–696– 10788 Roselle Street, San Diego, CA 92121, Rd., Norristown, PA 19403, 610–631–4600/ 8115 (Formerly: Hartford Hospital 800–882–7272 (Formerly: Poisonlab, Inc.) 877–642–2216 (Formerly: SmithKline Toxicology Laboratory) Laboratory Corporation of America Holdings, Beecham Clinical Laboratories, SmithKline Clinical Reference Lab, 8433 Quivira Rd., 1120 Stateline Road West, Southaven, MS Bio-Science Laboratories) Lenexa, KS 66215–2802, 800–445–6917 38671, 866–827–8042/800–233–6339 Quest Diagnostics Incorporated, 506 E. State Cox Health Systems, Department of (Formerly: LabCorp Occupational Testing Pkwy., Schaumburg, IL 60173, 800–669– Toxicology, 1423 North Jefferson Ave., Services, Inc., MedExpress/National 6995/847–885–2010 (Formerly: SmithKline Springfield, MO 65802, 800–876–3652/ Laboratory Center) Beecham Clinical Laboratories, 417–269–3093 (Formerly: Cox Medical Marshfield Laboratories, Forensic Toxicology International Toxicology Laboratories) Centers) Laboratory, 1000 North Oak Ave., Quest Diagnostics Incorporated, 7470 Diagnostic Services Inc., dba DSI, 12700 Marshfield, WI 54449, 715–389–3734/800– Mission Valley Rd., San Diego, CA 92108– Westlinks Drive, Fort Myers, FL 33913, 331–3734 4406, 619–686–3200/800–446–4728 941–561–8200/800–735–5416 MAXXAM Analytics Inc.,* 5540 McAdam (Formerly: Nichols Institute, Nichols Doctors Laboratory, Inc., P.O. Box 2658, 2906 Rd., Mississauga, ON, Canada L4Z 1P1, Institute Substance Abuse Testing (NISAT), Julia Dr., Valdosta, GA 31602, 912–244– 905–890–2555 (Formerly: NOVAMANN CORNING Nichols Institute, CORNING 4468 (Ontario) Inc.) Clinical Laboratories)
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Quest Diagnostics Incorporated, 7600 Tyrone considered for the NLCP may apply directly forms and other available documents Ave., Van Nuys, CA 91405, 818–989–2520/ to the NLCP contractor just as U.S. submitted to OMB may be obtained 800–877–2520 (Formerly: SmithKline laboratories do. from Mr. Eddins. Beecham Clinical Laboratories) Upon finding a Canadian laboratory to be Scientific Testing Laboratories, Inc., 463 qualified, the DHHS will recommend that SUPPLEMENTARY INFORMATION: The Southlake Blvd., Richmond, VA 23236, DOT certify the laboratory (Federal Register, Department has submitted the proposal 804–378–9130 16 July 1996) as meeting the minimum for the collection of information, as S.E.D. Medical Laboratories, 5601 Office standards of the ‘‘Mandatory Guidelines for described below, to OMB for review, as Blvd., Albuquerque, NM 87109, 505–727– Workplace Drug Testing’’ (59 Federal required by the Paperwork Reduction 6300/800–999–5227 Register, 9 June 1994, Pages 29908–29931). Act (44 U.S.C. Chapter 35). The Notice After receiving the DOT certification, the South Bend Medical Foundation, Inc., 530 N. lists the following information: (1) The laboratory will be included in the monthly Lafayette Blvd., South Bend, IN 46601, list of DHHS certified laboratories and title of the information collection 219–234–4176 participate in the NLCP certification proposal; (2) the office of the agency to Southwest Laboratories, 2727 W. Baseline maintenance program. collect the information; (3) the OMB Rd., Tempe, AZ 85283, 602–438–8507/ approval number, if applicable; (4) the 800–279–0027 Richard Kopanda, description of the need for the Sparrow Health System, Toxicology Testing Executive Officer, Substance Abuse and information and its proposed use; (5) Center, St. Lawrence Campus 1210 W. Mental Health Services Administration. the agency form number, if applicable; Saginaw, Lansing, MI 48915, 517–377– [FR Doc. 01–30422 Filed 12–7–01; 8:45 am] (6) what members of the public will be 0520 (Formerly: St. Lawrence Hospital & BILLING CODE 4160–20–U Healthcare System) affected by the proposal; (7) how frequently information submissions will St. Anthony Hospital Toxicology Laboratory, 1000 N. Lee St., Oklahoma City, OK 73101, be required; (8) an estimate of the total 405–272–7052 DEPARTMENT OF HOUSING AND number of hours needed to prepare the Toxicology & Drug Monitoring Laboratory, URBAN DEVELOPMENT information submission including number of respondents, frequency of University of Missouri Hospital & Clinics, [Docket No. FR–4650–N–88] 2703 Clark Lane, Suite B, Lower Level, response, and hours of response; (9) Columbia, MO 65202, 573–882–1273 Notice of Submission of Proposed whether the proposal is new, an Toxicology Testing Service, Inc., 5426 N.W. Information Collection to OMB; HUD extension, reinstatement, or revision of 79th Ave., Miami, FL 33166, 305–593– Mobility-Impaired Tenant Survey an information collection requirement; 2260 and (10) the name and telephone Universal Toxicology Laboratories (Florida), AGENCY: Office of the Chief Information number of an agency official familiar LLC, 5361 NW 33rd Avenue, Fort Officer, HUD. with the proposal and of the OMB Desk Lauderdale, FL 33309, 954–717–0300, 800– ACTION: Notice. Officer for the Department. 419–7187x419 (Formerly: Integrated This Notice also lists the following Regional Laboratories, Cedars Medical SUMMARY: The proposed information Center, Department of Pathology) information: collection requirement described below Title of Proposal: HUD Mobility- Universal Toxicology Laboratories, LLC, 9930 has been submitted to the Office of W. Highway 80, Midland, TX 79706, 915– Impaired Tenant Survey. 561–8851/888–953–8851 Management and Budget (OMB) for OMB Approval Number: 2528–XXXX. review, as required by the Paperwork US Army Forensic Toxicology Drug Testing Form Numbers: None. Laboratory, Fort Meade, Building 2490, Reduction Act. The Department is Description of the Need for the Wilson Street, Fort George G. Meade, MD soliciting public comments on the Information and its Proposed Use: The 20755–5235, 301–677–7085 subject proposal. proposed survey to HUD Mobility- lllll DATES: Comments Due Date: January 9, Impaired Tenants will attempt to obtain *The Standards Council of Canada (SCC) 2002. information regarding the reasonable voted to end its Laboratory Accreditation ADDRESSES: Interested persons are accommodation process. The results of Program for Substance Abuse (LAPSA) invited to submit comments regarding the survey will help HUD verify effective May 12, 1998. Laboratories certified this proposal. Comments should refer to compliance with requirements for through that program were accredited to the proposal by name and/or OMB discrimination-free housing, including conduct forensic urine drug testing as approval number and should be sent to: housing for the mobility impaired. The required by U.S. Department of Transportation (DOT) regulations. As of that Joseph F. Lackey, Jr., OMB Desk Officer, survey will be administered via the date, the certification of those accredited Office of Management and Budget, telephone and should take no more than Canadian laboratories will continue under Room 10235, New Executive Office 15 to 20 minutes per respondent. We DOT authority. The responsibility for Building, Washington, DC 20503. anticipate 480 respondents to the conducting quarterly performance testing FOR FURTHER INFORMATION CONTACT: survey, which is a one-time survey. The plus periodic on-site inspections of those Wayne Eddins, Reports Management anticipated timeframe from survey start LAPSA-accredited laboratories was Officer, Q, Department of Housing and to survey completion is approximately 8 transferred to the U.S. DHHS, with the weeks. DHHS’ National Laboratory Certification Urban Development, 451 Seventh Street, Southwest, Washington, DC 20410; e- Respondents: Individuals or Program (NLCP) contractor continuing to _ have an active role in the performance testing mail Wayne [email protected]; Households, Federal Government, State, and laboratory inspection processes. Other telephone (202) 708–2374. This is not a Local or Tribal Government. Canadian laboratories wishing to be toll-free number. Copies of the proposed Frequency of Submission: One-Time.
Number of re- × Frequency of × Hours per re- spondents response sponse = Burden hours
Reporing burden 480 1 0.3 160
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Total Estimated Burden Hours: 480. ADDRESSES: Interested persons are frequently information submissions will Status: New Collection. invited to submit comments regarding be required; (8) an estimate of the total Authority: Section 3507 of the Paperwork this proposal. Comments should refer to number of hours needed to prepare the Reduction Act of 1995, 44 U.S.C. 35, as the proposal by name and/or OMB information submission including amended. approval number and should be sent to: number of respondents, frequency of Dated: December 4, 2001. Joseph F. Lackey, Jr., OMB Desk Officer, response, and hours of response; (9) Wayne Eddins, Office of Management and Budget, whether the proposal is new, an Departmental Reports Management Officer, Room 10235, New Executive Office extension, reinstatement, or revision of Office of the Chief Information Officer. Building, Washington, DC 20503. an information collection requirement; [FR Doc. 01–30439 Filed 12–7–01; 8:45 am] FOR FURTHER INFORMATION CONTACT: and (10) the name and telephone number of an agency official familiar BILLING CODE 4210–72–M Wayne Eddins, Reports Management Officer, Q, Department of Housing and with the proposal and of the OMB Desk Urban Development, 451 Seventh Street, Officer for the Department. DEPARTMENT OF HOUSING AND Southwest, Washington, DC 20410; e- This Notice also lists the following URBAN DEVELOPMENT mail [email protected]; information: [Docket No. FR–4650–N–87] telephone (202) 708–2374. This is not a Title of Proposal: Information toll-free number. Copies of the proposed Collection to Identify Users and Uses of Notice of Submission of Proposed forms and other available documents Electronic Permitting Applications. Information Collection to OMB; submitted to OMB may be obtained OMB Approval Number: 2528–XXXX. Information Collection To Identify from Mr. Eddins. Form Numbers: None. Users and Uses of Electronic SUPPLEMENTARY INFORMATION: The Permitting Applications Description of the Need for the Department has submitted the proposal Information and its Proposed Use: A AGENCY: Office of the Chief Information for the collection of information, as survey of the uses and users of Officer, HUD. described below, to OMB for review, as electronic permitting systems will assist ACTION: Notice. required by the paperwork Reduction communities and software developers to Act (44 U.S.C. Chapter 35). The Notice understand their requirements. This SUMMARY: The proposed information lists the following information: (1) The information will be published by HUD collection requirement described below title of the information collection to aid in the development and selection has been submitted to the Office of proposal; (2) the office of the agency to of systems for use by community Management and Budget (OMB) for collect the information; (3) the OMB building code officers. review, as required by the Paperwork approval number, if applicable; (4) the Reduction Act. The Department is description of the need for the Respondents: Business or other for- soliciting public comments on the information and its proposed use; (5) profit, State, Local, or Tribal subject proposal. the agency form number, if applicable; Government. DATES: Comments Due Date: January 9, (6) what members of the public will be Frequency of Submission: One-Time. 2002. affected by the proposal; (7) how Reporting Burden:
Number of re- × Frequency of × Hours per re- spondents responses sponse = Burden hours
Application ...... 200 1 2 400
Total Estimated Burden Hours: 400. SUMMARY: In compliance with section description of and the cause for Status: New Collection. 202(c) of the National Housing Act, administrative action against a HUD- Authority: Section 3507 of the Paperwork notice is hereby given of the cause and approved mortgagee’’ by the Reduction Act of 1995, 44 U.S.C. 35, as description of administrative actions Department’s Mortgagee Review Board. amended. taken by HUD’s Mortgagee Review In compliance with the requirements of Dated: December 4, 2001. Board against HUD-approved Section 202(c)(5), notice is hereby given Wayne Eddins, mortgagees. of administrative actions that have been taken by the Mortgagee Review Board Departmental Reports Management Officer, FOR FURTHER INFORMATION CONTACT: D. Office of the Chief Information Officer. from April 14, 2001 through September Jackson Kinkaid, Secretary to the 30, 2001. [FR Doc. 01–30440 Filed 12–7–01; 8:45 am] Mortgagee Review Board, 451 7th Street, BILLING CODE 210–72–M SW., Washington, DC 20410, P–200, 1. 1st American Home Loan, telephone: (202) 708–3041 extension Merrilville, IN 3574 (this is not a toll-free number). A [Docket No. 01–1470–MR] DEPARTMENT OF HOUSING AND Telecommunications Device for Hearing URBAN DEVELOPMENT Action: Settlement Agreement signed and Speech-Impaired Individuals (TTY) May 21, 2001. Without admitting fault [Docket No. FR–4558–N–07] is available at 1 (800) 877–8339 (Federal or liability, 1st American Home Loan Information Relay Service). (‘‘FAHL’’) agreed to a civil money Mortgagee Review Board; SUPPLEMENTARY INFORMATION: Section penalty of $7,000. FAHL also agreed to Administrative Actions 202(c)(5) of the National Housing Act indemnify HUD for any losses incurred AGENCY: Office of the Assistant (added by section 142 of the Department on one loan. Secretary for Housing-Federal Housing of Housing and Urban Development Cause: HUD’s Quality Assurance Commissioner, HUD. Reform Act of 1989, Public Law 101– Division made the following findings of 235, approved December 15, 1989), violations of HUD/FHA requirements: ACTION: Notice. requires that HUD ‘‘publish a FAHL failed to ensure that loan officers
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worked exclusively for FAHL; FAHL violations of HUD/FHA requirements: Cause: HUD’s Quality Assurance paid referral fees to other lenders; FAHL BMC failed to file annual loan Division made the following finding of failed to establish, maintain and origination reports for 1998, which violations of HUD/FHA requirements: implement a Quality Control Plan; and supplements the requirements of the CMC allowed a non FHA approved FAHL failed to maintain complete loan Home Mortgage Disclosure Act; BMC lender, Select Financial Services, to origination files for review. failed to establish, maintain and originate 63 HUD/FHA insured loans. implement a Quality Control Plan in 2. Altiva Financial Corporation, 8. Colonial Atlantic Mortgage, Silver compliance with HUD/FHA Formerly Known as MEGO Mortgage Spring, MD requirements; BMC failed to retain Corporation, Atlanta, GA documents originating mortgagees are [Docket No. 00–1162–MR] [Docket No. 01–1428–MR] required to maintain; BMC charged Action: Settlement Agreement signed Action: In a letter dated May 18, 2001, unallowable fees and allowed July 25, 2001. Without admitting fault or the Board withdrew Altiva Financial unexplained and/or pre-paid credits; liability, Colonial Atlantic Mortgage Corporation’s (‘‘Altiva’’) HUD/FHA and BMC failed to itemize on the HUD– (‘‘CAM’’) agreed to a civil money approval for three years. The Board also 1 Settlement Statement the items paid penalty of $4,000. voted to impose a civil money penalty on behalf of the borrowers. Cause: HUD’s Quality Assurance of $104,500. 5. California Empire Financial Group, Division made the following findings of Cause: HUD’s Office of Inspector Inc., Rancho Cucamonga, CA violations of HUD/FHA requirements: General made the following findings of CAM failed to file annual loan violations of HUD/FHA requirements: [Docket No. 00–1094–MR] origination reports for 1997–1998, Altiva failed to ensure that the loan Action: Settlement Agreement signed which supplements the requirements of amount did not exceed the cost of June 1, 2001. Without admitting fault or the Home Mortgage Disclosure Act; repairs described in the borrowers’ Title liability, California Empire Financial CAM accepted faxed copies of required I loan application in seventeen loans; Group, Inc. (‘‘CEFG’’) agreed to a civil documents in 2 loans; and CAM failed Altiva failed to properly evaluate the money penalty of $11,000. [For the prior to have, implement and maintain an borrowers’ income and/or liabilities; Federal Register notice on the proposed adequate Quality Control Plan that Altiva failed to document the borrowers’ settlement agreement, see 65 FR at meets HUD guidelines. source of funds for the initial payment; 53731, September 5, 2000.] 9. Columbia National, Inc., Columbia, and Altiva failed to ensure that loan Cause: HUD’s Quality Assurance MD proceeds were only used for the eligible Division made the following findings of purposes cited in the loan application. violations of HUD/FHA requirements: [Docket No. 01–1405–MR] CEFG allowed non-employees to 3. America’s Mortgage, Inc., Roswell, Action: Settlement Agreement signed originate HUD/FHA loans; and CEFG GA May 21, 2001. Without admitting fault allowed employees to act as real estate or liability, Columbia National, Inc. [Docket No. 00–1334–MR] agents and loan officers. (‘‘CN’’) agreed to an administrative Action: Settlement Agreement signed 6. Casey Duncan Group, Inc., payment of $24,000. CN also agreed to May 3, 2001. Without admitting fault or Timonium, MD indemnify HUD for any losses incurred liability, America’s Mortgage, Inc. on 24 loans. (‘‘AMI’’) agreed to a civil money penalty [Docket No. 01–1447–MR] Cause: CN self reported two loans to of $3,000. Action: In a letter dated May 8, 2001, HUD after discovering fraud during the Cause: HUD’s Quality Assurance the Board withdrew Casey Duncan course of its own quality assurance Division made the following findings of Group, Inc.’s (‘‘CDGI’’) HUD/FHA audit of a branch office it later shut violations of HUD/FHA requirements: approval for five years. down. Thereafter, HUD’s Quality AMI failed to file annual loan Cause: In conjunction with a related Assurance Division initiated a review origination reports for 1996–1998, MRB action, American SkyCorp, Inc., and made the following findings of which supplements the requirements of HUD’s Departmental Enforcement violations of HUD/FHA requirements: the Home Mortgage Disclosure Act; AMI Center observed the following violations CN used falsified documentation or failed to establish, maintain and of HUD/FHA requirements: CDGI failed conflicting information to originate implement a Quality Control Plan in to exclude participants that were loans and obtain HUD/FHA mortgage compliance with HUD/FHA suspended from participating in federal insurance; CN failed to document the requirements; and AMI failed to report government programs; CDGI failed to borrower’s source of funds used for to HUD a violation of law or regulation, meet basic lender approval down payment or closing costs; CN false statement, or program abuse. requirements by its surrender of its approved mortgage loans where loan license to originate mortgages in the 4. BancGroup Mortgage Corporation, origination documents passed through State of Maryland; and CDGI failed to Palos Hills, IL the hands of an interested third party; maintain the requirements for a main CN approved mortgage loans where the [Docket No. 00–1159–MR] office. ratios exceeded HUD/FHA guidelines; Action: Settlement Agreement signed 7. Cendant Mortgage Corporation, Mt. CN approved mortgage loans where the August 28, 2001. Without admitting Laurel, NJ borrower’s stability of income was not fault or liability, BancGroup Mortgage adequately documented; CN failed to Corporation (‘‘BMC’’) agreed to a civil [Docket No. 01–1523–MR] properly verify the borrower’s previous money penalty of $12,000. In addition, Action: Settlement Agreement signed rental history; CN approved mortgage BMC agreed to refund all impermissible September 25, 2001. Without admitting loans where borrowers were charged fees charged to borrowers on FHA/HUD fault or liability, Cendant Mortgage fees which were not specifically loans it closed between September 1, Corporation (‘‘CMC’’) agreed to a permitted by HUD/FHA; CN failed to 1998 and August 31, 1999. payment of $10,000. In addition, obtain insured ten year warranty plans Cause: HUD’s Quality Assurance Cendant agreed to indemnify HUD for from a HUD/FHA approved entity for Division made the following findings of any losses incurred on 36 loans. high loan to value, new construction
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loans; CN failed to obtain letters of 12. DLM Financial Services Control Plan in compliance with HUD credit reference where the borrower had Corporation, d/b/a First Financial requirements; FFMBC failed to submit not established traditional credit; CN Mortgage, a/k/a The Home Store, One Time Mortgage Insurance failed to properly document the Fresno, CA Premiums Payments within 15 days of borrower’s income; CN failed to ensure [Docket No. 01–1521–MR] loan closing; FFMBC failed to determine that the property’s valuation conditions that borrowers met minimum cash Action: In a letter dated August 16, were met in accordance with HUD/FHA investment requirements; FFMBC failed 2001, the Board withdrew DLM requirements; CN approved a mortgage to verify the source and adequacy of Financial Services Corporation’s loan with a reduced up-front mortgage funds for the down payment and/or (‘‘DLM’’) [d/b/a First Financial insurance premium where the borrower closing costs; FFMBC failed to verify Mortgage, a/k/a The Home Store] HUD/ did not meet the criteria for the reduced income used to qualify the borrower; FHA approval for three years. The Board MIP as outlined by HUD/FHA and FFMBC failed to resolve conflicts in also voted to impose a civil money requirements; and CN failed to ensure information contained within the loan penalty of $65,000. that the borrower met the minimum Cause: HUD’s Quality Assurance file prior to loan closing. required cash investment. Division made the following findings of 15. First Union Mortgage Corporation, 10. Corona Hills Financial, Inc., d/b/a violations of HUD/FHA requirements: Raleigh, NC DLM failed to maintain and implement American Capitol Mortgage, Boise, ID [Docket No. 01–1536–MR] a Quality control Plan in compliance [Docket No. 00–1157–MR] with HUD requirements; DLM Action: Settlement Agreement signed Action: Settlement Agreement signed knowingly did business with a September 18, 2001. Without admitting June 1, 2001. Without admitting fault or debarred, suspended, ineligible or fault or liability, First Union Mortgage liability, Corona Hills Financial, Inc. d/ voluntarily excluded individual; DLM Corporation (‘‘FUMC’’) agreed to b/a/American Capitol Mortgage used false information in originating an indemnify HUD for any losses incurred (‘‘ACM’’) agreed to pay a civil money FHA insured loan; DLM allowed non- on 4 loans. penalty of $5,500. ACM also agreed to employees to originate HUD/FHA Cause: HUD’s Departmental surrender to HUD any assets that it mortgage loans; DLM allowed Enforcement Center made the following accrued for the next 5 years up to employees to have dual employment; findings of violations of HUD/FHA $60,000. and DLM failed to retain complete requirements resulting from a Quality Assurance Division review of Fidelity Cause: HUD’s Quality Assurance origination files. Home Mortgage Corporation, a loan Division made the following findings of 13. Eagle Home Loans and Realty, Inc., correspondent that FUMC sponsored: violations of HUD/FHA requirements: Sacramento, CA FUMC failed to properly verify the ACM failed to file an annual loan source and adequacy of funds for the origination report for 1998 which [Docket No. 00–1129–MR] down payment and failed to properly supplements the requirements of the Action: Settlement Agreement signed verify income requirements. Home Mortgage Disclosure Act; ACM May 21, 2001. Without admitting fault used independent contractors to or liability, Eagle Home Loans and 16. Golden Home Mortgage originate HUD/FHA insured loans; ACM Realty, Inc. (‘‘EHLR’’) agreed to a civil Corporation, Concord, CA money penalty of $1000. [For the prior used false documentation to originate [Docket No. 01–1471–MR] HUD/FHA insured loans; ACM failed to Federal Register notice on the proposed provide complete loan origination files settlement agreement, see 65 FR at Action: Settlement Agreement signed for review; ACM used income/ 53732, September 5, 2000.] August 28, 2001. Without admitting employment documents that do not Cause: HUD’s Quality Assurance fault or liability, Golden Home Mortgage support the borrower’s income; ACM Division made the following findings of Corporation (‘‘GHMC’’) agreed to a civil failed to include all known liabilities in violations of HUD/FHA requirements: money penalty of $20,000. In calculating the ratios; ACM failed to EHLR failed to file annual loan settlement, GHMC agreed to withdraw properly document the source of funds origination reports for 1995 through its appeal of the withdrawal of HUD/ for a gift; and ACM used an expired 1999 which supplements the FHA approval for five years that the conditional commitment. requirements of the Home Mortgage Board had imposed on GHMC in a letter Disclosure Act; EHLR failed to maintain dated January 29, 2001. It further agreed 11. Cypress Financial Mortgage and implement a Quality Control Plan; to forever forfeit its FHA approval. Corporation, Inc., Davie, FL EHLR shared office space with its parent Cause: HUD’s Quality Assurance [Docket No. 00–1163–MR] company; and EHLR did not clearly Division made the following findings of identify the office space to the public. violations of HUD/FHA requirements: Action: In a letter dated May 18, 2001, GHMC originated 19 HUD/FHA insured the Board withdrew Cypress Financial 14. First Funding Mortgage Bankers mortgages in which false statements Mortgage Corporation, Inc.’s (‘‘Cypress’’) Corporation, Rosedale, NY were submitted to HUD and GHMC was HUD/FHA approval for three years. The [Docket No. 00–1323–MR] aware of these false statements; GHMC Board also voted to impose a civil Action: Settlement Agreement signed failed to ensure that non-profit money penalty of $22,000. June 1, 2001. Without admitting fault or mortgagors did not exceed 10% profit Cause: HUD’s Quality Assurance liability, First Funding Mortgage on properties purchased from HUD with Division made the following findings of Bankers Corporation (‘‘FFMBC’’) agreed a 30 % discount; GHMC processed a violations of HUD/FHA requirements: to a civil money penalty of $60,000. loan that resulted in the Department Cypress failed to maintain and FFMBC also agreed to indemnify HUD over-insuring an FHA loan; GHMC implement a Quality Control Plan; and for any losses incurred on 11 loans. failed to accurately prepare the closing Cypress used false information to Cause: HUD’s Quality Assurance instructions causing the sponsor to originate loans to obtain HUD/FHA Division made the following findings of submit false and/or inaccurate HUD–1 insurance and misrepresented the Title violations of HUD/FHA requirements: Settlement Statements to the I program to borrowers. FFMBC failed to maintain a Quality Department in 38 loans; GHMC used
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falsified documentation in originating implement a quality control plan in used for borrowers’ down payment and/ an FHA loan; GHMC falsely certified compliance with HUD requirements; or closing costs and thereby, did not that a repair condition, the repair of a HLMC failed to remit timely Up Front ensure that borrowers met their swimming pool, had been satisfied in Mortgage Insurance Premiums; HLMC minimum required investment in 4 one loan; GHMC processed loans failed to segregate escrow funds; HLMC loans; and JRM allowed real estate containing false and/or inaccurate failed to submit loans for endorsement agents to accept second deeds of trust owner occupancy information in two in a timely manner; HLMC submitted and/or promissory notes from loans; GHMC failed to properly ineligible loans for endorsement; HLMC mortgagors in exchange for making the document the transfer of gift funds in used other entities to originate loans mortgagors’ minimum required two loans; GHMC provided false through branch office arrangements; investment in 3 loans. statements and/or certifications HLMC used independent contractors as 22. Johnson Mortgage Corporation, New concerning housing counseling in 16 loan originators; and HLMC failed to Orleans, LA loans; GHMC provided false information properly verify the source and adequacy concerning face-to-face interviews, used of funds for the down payment and/or [Docket No. 01–1514–MR] non-employees to perform loan closing. Action: Settlement Agreement signed origination functions, and failed to meet 19. InterAmerican Mortgage July 25, 2001. Without admitting fault or face-to-face with first-time homebuyers Corporation, Rosedale, NY liability, Johnson Mortgage Corporation in five loans; GHMC failed to process (‘‘JMC’’) agreed to a payment of $16,500. loan applications within HUD/FHA [Docket No. 01–1482–MR] Cause: HUD’s Quality Assurance guidelines in four loans; GHMC charged Action: Settlement Agreement signed Division made the following finding of unallowable fees on FHA loans in two July 25, 2001. Without admitting fault or violations of HUD/FHA requirements: loans; GHMC allowed a mortgagor to liability, InterAmerican Mortgage JMC failed to maintain and implement sign a blank document; and GHMC Corporation (‘‘IAMC’’) agreed to pay a Quality Control Plan in compliance failed to file annual loan origination HUD $524,256.79, representing losses with HUD/FHA requirements, despite reports for 1996–1998, which HUD incurred on 5 loans that were part previous findings on this requirement supplements the requirements of the of a prior August 27, 1997 Settlement and JMC’s assurance of corrective Home Mortgage Disclosure Act. Agreement with HUD. action. Cause: The Board followed up on 17. Herring National Bank, Vernon, TX 23. Malone Mortgage Company IAMC’s failure to indemnify HUD on America, Ltd., Carlsbad, CA [Docket No. 01–1391–MR] five loans which were the subject of an Action: Settlement Agreement signed August 27, 1997 Settlement Agreement. [Docket No. 00–1081–MR] August 28, 2001. Without admitting This failure to indemnify violated HUD Action: Settlement Agreement signed fault or liability, Herring National Bank regulations and breached the 1997 May 21, 2001. Without admitting fault (‘‘Herring’’) agreed to a civil money Settlement Agreement. or liability, Malone Mortgage Company penalty of $30,000. Herring also agreed 20. Intercoastal Funding Corporation, America, Ltd. ‘‘(MMC’’) agreed to a civil to indemnify HUD for any losses Huntington Beach, CA money penalty of $100,000. MMC also incurred on 6 loans. agreed to indemnify HUD for any losses Cause: HUD’s Quality Assurance [Docket No. 00–1320–MR] incurred on 4 loans. [For the prior Division made the following findings of Action: Settlement Agreement signed Federal Register notice on the proposed violations of HUD/FHA requirements: May 3, 2001. Without admitting fault or settlement agreement, see 65 FR at Herring operated branch offices under liability, Intercoastal Funding 53735, September 5, 2000.] prohibited branch arrangements; Corporation agreed to a civil money Cause: HUD’s Quality Assurance Herring failed to meet the requirements payment of $11,000. Division made the following findings of for late endorsements in three loans; Cause: HUD’s Quality Assurance violations of HUD/FHA requirements: Herring failed to adequately document Division made the following finding of MMC employed, as a loan officer, an the sufficiency and/or source of funds to violations of HUD/FHA requirements: individual who was concurrently close three transactions; Herring failed Intercoastal Funding Corporation failed working for the mortgagor entity and to support income used to qualify the to maintain and implement a Quality had an ownership interest in another mortgagor in one loan; and Herring Control Plan in compliance with HUD lending institution; MMC’s files were failed to obtain the required field requirements. found to contain false completion reviews on properties previously sold 21. J & R Mortgage, Inc., San Mateo, CA inspections and 203(k) escrow draws; by HUD’s Real Estate Owned Division in MMC charged consulting fees and three loans. [Docket No. 00–1127–MR] inspection fees that were unearned; 18. Home Loan Mortgage Corporation, Action: Settlement Agreement signed MMC originated single-family 203(k) Hesperia, CA May 3, 2001. Without admitting fault or mortgages for the purpose of financing liability, J & R Mortgage, Inc. (‘‘JRM’’) the acquisition of multifamily housing [Docket No. 01–1426–MR] agreed to a civil money penalty of complexes with the knowledge that title Action: Settlement Agreement signed $25,000. JRM also agreed to indemnify to the properties would be subsequently May 3, 2001. Without admitting fault or HUD for any losses incurred on 6 loans. transferred to limited partnerships; liability, Home Loan Mortgage Cause: HUD’s Quality Assurance MMC processed, approved and closed Corporation (‘‘HLMC’’) agreed to a civil Division made the following findings of mortgages where the mortgagor failed to money penalty of $144,000. HLMC also violations of HUD/FHA requirements: meet the minimum capital investment agreed to indemnify HUD for any losses JRM used false information to originate requirements due to the receipt of Low incurred on 7 loans. 9 loans; JRM allowed non-employees to Income Housing Tax Credits; MMC Cause: HUD’s Quality Assurance take loan applications in 9 loans; JRM failed to verify adequate funds from an Division made the following findings of permitted ‘‘straw buyers’’ to qualify for acceptable source to be used to close the violations of HUD/FHA requirements: HUD/FHA insured mortgages in 3 loans; mortgages and to meet the reserve HLMC failed to maintain and JRM failed to verify the source of funds requirements after closing the FHA
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insured mortgages; MMC provided FHA MFC shared office space and Statements; and Megamerica failed to insured financing to a nonprofit where commingled employees with Miracle maintain complete loan files for a there was less than an arms-length Financial, a non-HUD approved lender; minimum period of two years from the transaction between the nonprofit’s MFC failed to obtain and analyze the date of insurance endorsement. officers and entities providing goods terms and conditions of the real estate 27. Mission Hills Mortgage Corporation, and services; MMC permitted the transaction to consider the acquisition Santa Ana, CA nonprofit mortgagor to close on FHA cost of recently acquired properties in insured mortgages and subsequently sell the underwriting of loans; MFC failed to [Docket No. 00–1350–MR] the properties via Contract for Deed; properly verify the source and adequacy Action: Settlement Agreement signed MMC originated FHA insured mortgages of funds for the down payment and/or July 25, 2001. Without admitting fault or using Uniform Residential Appraisal closing cost; MFC charged borrowers liability, Mission Hills Mortgage Reports (URAR) that were found to be fees which are not in compliance with Corporation (‘‘MHMC’’) agreed to a civil deficient, which resulted in overstated HUD/FHA guidelines; and MFC failed money penalty of $60,000. In addition, values; MMC escrowed and released to maintain and implement a quality MHMC agreed to indemnify HUD for excess amounts for mortgage payments; control plan in compliance with HUD any losses incurred on 15 loans. MMC did not properly value requirements. Further, MHMC agreed to audit its FHA/ commercial space that was acquired by 25. Marketplace Home Mortgage, LLC, HUD loan files for a specific time period an affiliate of the mortgagor entity; Edina, MN and refund any unallowable fees to MMC failed to properly account for a mortgagors. credit that was to have been given to the [Docket No. 01–1479–MR] Cause: HUD’s Quality Assurance mortgagor from the seller, thereby Action: Settlement Agreement signed Division made the following findings of reducing the acquisition cost; MMC July 25, 2001. Without admitting fault or violations of HUD/FHA requirements: used an incorrect sales price when liability, Marketplace Home Mortgage, MHMC failed to maintain and determining acquisition cost for the LLC (‘‘MHM’’) agreed to a civil money implement a quality control plan in purpose of calculating maximum penalty of $20,000. In addition, MHM compliance with HUD requirements; mortgage amounts; MMC submitted to agreed to indemnify HUD for any losses MHMC provided false information in HUD for endorsement loans that were incurred on 4 loans. originating and obtaining HUD/FHA closed incorrectly; MMC closed and Cause: HUD’s Quality Assurance mortgage insurance in one loan; MHMC submitted for endorsement mortgages Division made the following findings of failed to properly verify the source and on properties that exceeded the 4 unit violations of HUD/FHA requirements: adequacy of funds for the down- limit in effect for single-family MHM allowed a non-FHA approved payment and/or closing; MHMC failed programs; MMC failed to obtain as-is entity to originate 6 HUD/FHA loans to properly verify credit history; MHMC appraisals on properties that were that were registered with the failed to provide acceptable acquired as part of bulk purchases; Department as loans originated by compensating factors for high ratios; MMC originated inaccurate MHM; and MHM failed to file annual MHMC failed to evaluate properly correspondence that was used by the loan origination reports for 1996–1997, effective income; MHMC charged mortgagor when applying for Low which supplements the requirements of unallowable fees; MHMC failed to Income Housing Tax Credits; MMC the Home Mortgage Disclosure Act. resolve discrepancies; MHMC failed to permitted the mortgagor to receive include liabilities in one loan; and payment for sweat equity for repair 26. Megamerica Mortgage Group, Inc., MHMC failed to maintain complete items completed by the mortgagor; San Antonio, TX origination files. MMC processed, approved, and closed [Docket No. 00–1319–MR] loans where the properties were not Action: Settlement Agreement signed 28. Molton, Allen & Williams eligible for 203(k) mortgage insurance; May 3, 2001. Without admitting fault or Corporation, Birmingham, AL MMC failed to ensure that rehabilitation liability, Megamerica Mortgage Group, [Docket No. 01–1544–MR] work was completed in a timely Inc. (‘‘Megamerica’’) agreed to Action: Settlement Agreement signed manner; MMC approved and closed a indemnify HUD for any losses incurred September 18, 2001. Without admitting loan with a high loan to value ratio on on 5 loans. fault or liability, Molton, Allen & a property that was less than one year Cause: HUD’s Quality Assurance Williams Corporation (‘‘MAWC’’) agreed old; and MMC failed to resolve Division made the following findings of to indemnify HUD for any losses discrepancies in documents used to violations of HUD/FHA requirements: incurred on 2 loans. originate FHA insured mortgages. Megamerica recruited non-HUD approved entities and allowed non- Cause: HUD’s Departmental 24. Marathon Financial Corporation, Enforcement Center made the following Southfield, MI Megamerica employees to originate loans which Megamerica processed and finding of violations of HUD/FHA [Docket No. 00–1362–MR] submitted to be approved for FHA requirements resulting from a Quality Action: Settlement Agreement signed insurance; Megamerica allowed Assurance Division review of Colonial June 1, 2001. Without admitting fault or prohibited branch arrangements; Atlantic Mortgage, a loan correspondent liability, Marathon Financial Megamerica signed false Lender that MAWC sponsored: MAWC failed to Corporation (‘‘MFC’’) agreed to a civil Certifications contained in addenda to properly verify the source and adequacy money penalty of $15,000. MFC also the Uniform Residential Loan of funds for the down payment or agreed to indemnify HUD for any losses Applications; Megamerica made income requirements in two loans. incurred in one loan. prohibited payments to entities that 29. Money Line Classic Corporation, Cause: HUD’s Quality Assurance both prepared loan applications and Whittier CA Division made the following findings of received real estate commissions on the violations of HUD/FHA requirements: same FHA loan transactions; [Docket No. 01–1398–MR] MFC failed to make timely payments of Megamerica failed to disclose payments Action: In a letter dated July 26, 2001, Upfront Mortgage Insurance Premiums; to brokers on the HUD–1 Settlement the Board voted to impose a civil money
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penalty on Money Line Classic violations of HUD/FHA requirements: fault or liability, RBMG agreed to Corporation (‘‘MLCC’’) of $45,000. MOI failed to maintain and implement indemnify HUD for any losses incurred Cause: HUD’s Quality Assurance a Quality Control Plan; MOI failed to on six loans. Division made the following findings of file annual loan origination reports for Cause: HUD’s Quality Assurance violations of HUD/FHA requirements: 1996–1998, which supplements the Division made the following finding of MLCC failed to maintain and implement requirements of the Home Mortgage violations of HUD/FHA requirements: a Quality Control Plan in compliance Disclosure Act; MOI failed to conduct RBMG failed to properly verify the with HUD requirements; MLCC failed to face-to-face interviews with four first source and adequacy of funds for the notify the Department of program time home buyers; MOI allowed non- down payment or income requirements abuses; MLCC failed to designate a MOI employees in six cases to take loan in six loans. senior corporate officer to conduct applications and process paperwork on 36. Twins, Inc., Columbia, SC exclusively the affairs of MLCC during HUD/FHA insured mortgages; and MOI normal business hours; MLCC failed to used false information in originating [Docket No. 00–1076–MR] provide office space that is clearly seven loans and obtaining HUD/FHA Action: Settlement Agreement signed identified to the public; and MLCC mortgage insurance. May 21, 2001. Without admitting fault failed to retain complete origination or liability, Twins, Inc. (‘‘TI’’) agreed to files. 33. Norwest Mortgage, Inc., Des Moines, IA a civil money penalty of $8,000. In 30. Mortgage Loan Specialists, Inc., addition, the Department reinstated TI Solana Beach, CA [Docket No. 99–1038–MR] as an FHA approved mortgagee. The Action: Settlement Agreement signed Board had previously withdrawn TI’s [Docket No. 01–1429–MR] May 3, 2001. Without admitting fault or HUD/FHA approval for three years in a Action: Settlement Agreement signed liability, Norwest Mortgage, Inc., now letter dated September 29, 2000. [For July 18, 2001. Without admitting fault or known as Wells Fargo Home Mortgage, the prior Federal Register notice on the liability, Mortgage Loan Specialists, Inc. Inc., (‘‘Norwest’’) agreed to a civil proposed settlement agreement, see 65 (‘‘MLS’’) agreed to a civil money penalty money penalty of $75,000. Norwest also FR at 53737, September 5, 2000.] of $192,500. agreed to indemnify HUD for any losses Cause: HUD’s Quality Assurance Cause: HUD’s Quality Assurance incurred, including interest, from Division made the following findings of Division made the following findings of Norwest’s submission of insurance violations of HUD/FHA requirements: violations of HUD/FHA requirements: claims on 39 loans that were subject to TI shared office space with its parent MLS allowed prohibited branch a 1996 settlement agreement. [For the company and maintained an office not arrangements or net branches; MLS prior Federal Register notice on the clearly identified to the public; TI failed to file annual loan origination proposed settlement agreement, see 65 commingled employees with its parent reports for 1997–1999, which FR at 53736, September 5, 2000.] company; TI used more than one entity supplements the requirements of the Cause: Contrary to the terms of a Home Mortgage Disclosure Act; and to conduct its loan origination function; March 22, 1996 Settlement Agreement, MLS failed to maintain and implement TI failed to maintain an adequate Norwest submitted claims for FHA a Quality Control Plan. Quality Control Plan for the origination insurance on 39 loans on which of HUD/FHA insured mortgages; TI 31. MortgageOne Financial Services, Norwest had agreed to not submit such failed to properly implement its Quality Kissimmee, FL claims. Control Plan; and TI charged mortgagors unallowable fees. [Docket No. 01–1472–MR] 34. PMA Mortgage, Inc., Long Beach, Action: Settlement Agreement signed CA 37. U.S. Lending Corporation, Long May 21, 2001. Without admitting fault [Docket No. 01–1485–MR] Beach, CA or liability, MortgageOne Financial Services (‘‘MOFS’’) agreed to a civil Action: In a letter dated August 14, [Docket No. 01–1537–MR] money penalty of $10,000. 2001, the Board withdrew PMA Action: In a letter dated July 26, 2001, Cause: HUD’s Quality Assurance Mortgage, Inc.’’s (‘‘PMA’’) HUD/FHA the Board withdrew U.S. Lending Division made the following findings of approval for three years. Corporation’s (‘‘USLC’’) HUD/FHA violations of HUD/FHA requirements: Cause: HUD’s Quality Assurance approval for five years. In addition, the MOFS failed to implement a Quality Division made the following findings of Board voted to impose a civil money Control Plan in compliance with HUD/ violations of HUD/FHA requirements: penalty of $35,000. FHA requirements; MOFS failed to PMA failed to maintain and implement Cause: While preparing for an assure that interested third parties did a quality control plan in compliance administrative hearing against not participate in the origination and/or with HUD requirements; PMA used Milestone Mortgage Corporation, HUD’s processing of loans to be insured by the falsified documentation and/or Mortgagee Review Board staff learned Department; and MOFS falsely certified conflicting information in originating that Milestone, despite its immediate loan documents to obtain HUD/FHA loans and obtaining HUD/FHA mortgage withdrawal from FHA programs was insurance. insurance; PMA failed to properly verify operating under the name of U.S. the source and adequacy of funds for the Lending Corporation and was still 32. Mortgage One, Inc., Minneapolis, down payment and/or closing costs; originating FHA insured loans. The MN PMA failed to identify sales within the Board voted to immediately withdraw [Docket No. 00–1343–MR] last 12 months on appraisals; and PMA USLC’s approval based on the following Action: Settlement Agreement signed requested a seller to backdate loan violations of HUD/FHA requirements: July 25, 2001. Without admitting fault or documents. USLC circumvented the Mortgagee liability, Mortgage One, Inc. (‘‘MOI’’) 35. RBMG, Inc., Columbia SC Review Board’s withdrawal action agreed to a civil money penalty of against Milestone Mortgage Corporation; $15,000. [Docket No. 01–1545–MR] USLC failed to exclude participants that Cause: HUD’s Quality Assurance Action: Settlement Agreement signed are suspended from participating in Division made the following findings of September 25, 2001. Without admitting federal government programs; USLC
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used non FHA approved offices to WCMS failed to file annual loan announcing the availability of our DEIS originate FHA insured mortgages; USLC origination reports for 1995–1999, on light goose management. On October failed to maintain complete origination which supplements the requirements of 12, 2001 (66 FR 52147) we published a files; USLC failed to maintain an office the Home Mortgage Disclosure Act; and notice in the Federal Register to space that was separate and apart from WCMS failed to properly document announce the schedule of public that of another entity; USLC failed to liabilities. hearings to invite further public meet the staffing requirement of at least Dated: December 3, 2001. participation in the DEIS review process. two full-time employees at a main John C. Weicher, office; USLC failed to follow proper The DEIS evaluates four management Assistant Secretary for Housing—FHA, alternatives to address habitat quality control procedures; and USLC Commissioner, Chairman, Mortgagee Review failed to establish and maintain an Board. destruction and agricultural depredations caused by light geese on adequate Quality Control Plan for the [FR Doc. 01–30438 Filed 12–7–01; 8:45 am] origination of HUD/FHA insured various breeding, migration, and BILLING CODE 4210–27–P mortgages. [For the prior Federal wintering areas: (1) No Action or a Register notice relating to Milestone continuation to manage light goose populations through existing wildlife Mortgage Corporation, see 66 FR at page DEPARTMENT OF THE INTERIOR 38307, July 23, 2001.] management policies and practices (Alternative A); (2) modify harvest Fish and Wildlife Service 38. Valley Mortgage Company, Inc., regulation options and refuge McAllen, TX Notice of Availability; Draft management (Alternative B) [Docket No. 01–1411–MR] Environmental Impact Statement on (PREFERRED); (3) implement direct Action: Settlement Agreement signed Light Goose Management; Extension agency control of light goose August 28, 2001. Without admitting of Comment Period populations on migration and wintering fault or liability, Valley Mortgage areas in the U.S. (Alternative C); (4) seek AGENCY: Fish and Wildlife Service, Company, Inc., (‘‘VMCI’’) agreed to a direct light goose population control on Interior. civil money penalty of $25,000. VMCI breeding grounds in Canada (Alternative ACTION: also agreed to indemnify HUD for any Notice of availability for public D). Our preferred alternative losses incurred on 11 loans. At the time comment; extension of comment period. (Alternative B) modifies existing light of settlement, VMCI paid HUD an goose hunting regulations to expand SUMMARY: The U.S. Fish and Wildlife methods of take during normal hunting additional $77,604.22 for losses Service (Service) is extending the season frameworks. In addition, we incurred on three loans upon which comment period on a Draft propose to create a conservation order to HUD had paid claims and had sold the Environmental Impact Statement (DEIS) allow take of light geese outside of property. which is available for public review. normal hunting season frameworks. We Cause: HUD’s Quality Assurance The DEIS analyzes the potential would also modify management Division made the following findings of environmental impacts of several practices on certain National Wildlife violations of HUD/FHA requirements: management alternatives for addressing Refuges to alter the availability of food VMCI failed to verify the source of problems associated with overabundant and sanctuary to light geese. On October funds for closing and/or to pay off debts; light goose populations. The Service 12, 2001 (66 FR 52077) we published a VMCI used inaccurate and/or unstable invites the public to comment on the proposed rule in the Federal Register income to qualify mortgagors; VMCI DEIS. that would implement our preferred omitted mortgagor liabilities and/or the DATES: Written comments on the DEIS alternative. liabilities of the non-purchasing spouse must be received on or before January We have received a request to extend in one loan qualification; VMCI failed to 25, 2002. the comment period on the DEIS. The adequately document mortgagors’ credit ADDRESSES: Requests for copies of the Service invites careful consideration by histories in one loan; VMCI failed to all parties, and welcomes serious update credit documents in excess of DEIS should be mailed to Chief, Division of Migratory Bird Management, scrutiny from those committed to the 120 days at the time of closing; VMCI long-term conservation of migratory failed to clarify or document important U.S. Fish and Wildlife Service, Department of the Interior, ms 634— birds. Therefore, to facilitate substantive file discrepancies in one loan; VMCI public review, we are extending the closed a loan in excess of the maximum ARLSQ, 1849 C Street NW., Washington, D.C. 20240. Copies of the comment period from December 14, allowable resulting in an over-insured 2001, to January 25, 2002. Extension of mortgage; and VMCI failed to perform DEIS can be downloaded from the Division of Migratory Bird Management the comment period on the proposed sufficient investigation and analysis to rule is made through a separate notice certify that a condominium project web site at http:// migratorybirds.fws.gov/issues/snowgse/ in the Federal Register. satisfied the eligibility criteria for a In order to be considered, electronic tblcont.html. Comments on the DEIS ‘‘spot loan’. submission of comments must include should be sent to the above address. your name and postal mailing address; 39. West Coast Mortgage Securities, Alternatively, comments may be Inc., San Diego, CA we will not consider anonymous submitted electronically to the comments. All comments received, [Docket No. 00–1130–MR] following address: _ _ including names and addresses, will Action: Settlement Agreement signed white goose [email protected]. become part of the public record. The August 28, 2001. Without admitting FOR FURTHER INFORMATION CONTACT: Jon public may inspect comments during fault or liability, West Coast Mortgage Andrew, Chief, Division of Migratory normal business hours in Room 634— Securities, Inc., (‘‘WCMS’’) agreed to a Bird Management, (703) 358–1714. Arlington Square Building, 4401 N. civil money penalty of $1,000. SUPPLEMENTARY INFORMATION: On Fairfax Drive, Arlington, Virginia. Cause: HUD’s Quality Assurance September 28, 2001 (66 FR 49668), and Requests for such comments will be Division made the following findings of October 5, 2001 (66 FR 51274), notices handled in accordance with the violations of HUD/FHA requirements: were published in the Federal Register Freedom of Information Act and the
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Council on Environmental Quality’s Overview of This Information DEPARTMENT OF JUSTICE National Environmental Policy Act Collection regulations [40 CFR 1506.6(f)]. Our Bureau of Justice Assistance (1) Type of Information Collection: practice is to make comments available [OJP(BJA)–1343] for public review during regular Extension of a currently approved collection. business hours. Individual respondents Announcement of the Availability of may request that we withhold their (2) Title of the Form/Collection: the State Criminal Alien Assistance home address from the record, which Refugee/Asylee Relative Petition. Program for FY 2002 we will honor to the extent allowable by (3) Agency form number, if any, and law. If a respondent wishes us to the applicable component of the AGENCY: Office of Justice Programs, withhold his/her name and/or address, Department of Justice sponsoring the Bureau of Justice Assistance, Justice. this must be stated prominently at the collection: Form I–730. Adjudications ACTION: Notice of solicitation. beginning of the comment. Division, Immigration and SUMMARY: Announcement of the Dated: November 19, 2001. Naturalization Service. availability of the Bureau of Justice Kevin R. Adams, (4) Affected public who will be asked or required to respond, as well as a brief Assistance (BJA) State Criminal Alien Acting Deputy Director. Assistance Program (SCAAP) funding [FR Doc. 01–30412 Filed 12–7–01; 8:45 am] abstract: Primary: Individuals or Households. This form will be used by for FY 2002. BILLING CODE 4310–55–P an asylee or refugee to file on behalf of DATES: Applicant account registration his or her spouse and/or children through an Internet-based system begins provided that the relationship to the on January 3, 2002 and continues until DEPARTMENT OF JUSTICE refugee/asylee existed prior to their February 1, 2002. Submission of applications begins on January 3, 2002 Immigration and Naturalization Service admission to the United States. The information collected on this form will and continues until February 1, 2002. Agency Information Collection be used by the Service to determine ADDRESS: Bureau of Justice Assistance, Activities: Comment Request; Notice eligibility for the requested immigration 810 Seventh Street, NW, Washington, of Information Collection Under benefit. DC 20531. Review, Refugee/Asylee Relative (5) An estimate of the total number of FOR FURTHER INFORMATION CONTACT: For Petition respondents and the amount of time SCAAP program guidance and technical The Department of Justice, estimated for an average respondent to assistance, please log on to the Bureau Immigration and Naturalization Service respond: 86,400 responses at 35 minutes of Justice Assistance Home Page at: has submitted the following information per response. http://www.ojp.usdoj.gov/BJA and select collection request for review and (6) An estimate of the total public ‘‘SCAAP’’ or call the Office of Justice clearance in accordance with the burden (in hours) associated with the Programs Grants Management System Paperwork Reduction Act of 1995. The collection: 50,371 annual burden hours. Hotline at 1–888–549–9901, Option #4. proposed information collection is If you have additional comments, For general information about online published to obtain comments from the suggestions, or need a copy of the application procedures for other public and affected agencies. Comments proposed information collection solicitations, please call the U.S. are encouraged and will be accepted for instrument with instructions, or Department of Justice Response Center sixty days until February 8, 2002. additional information, please contact 1–800–421–6770. Written comments and suggestions Richard A. Sloan 202–514–3291, SUPPLEMENTARY INFORMATION: from the public and affected agencies Director, Policy Directives and Authority concerning the proposed collection of Instructions Branch, Immigration and information should address one or more Naturalization Service, U.S. Department This action is authorized under the of the following four points: of Justice, Room 4034, 425 I Street, NW., Omnibus Crime Control and Safe Streets (1) Evaluate whether the proposed Washington, DC 20536. Additionally, Act of 1968, sections 201–03, as collection of information is necessary comments and/or suggestions regarding amended, 42 U.S.C. 3721–23 (1994). for the proper performance of the the item(s) contained in this notice, Background functions of the agency, including especially regarding the estimated whether the information will have public burden and associated response SCAAP provides Federal assistance to practical utility; time may also be directed to Mr. states and units of general government (2) Evaluate the accuracy of the Richard A. Solan. for costs incurred for the imprisonment of undocumented criminal aliens, who agencies estimate of the burden of the If additional information is required are charged or convicted of one felony proposed collection of information, contact: Mr. Robert B. Briggs, Clearance or two misdemeanor offenses. Potential including the validity of the Officer, United States Department of applicants may no longer submit hard methodology and assumptions used; Justice, Information Management and copy application forms and diskettes. (3) Enhance the quality, utility, and Security Staff, Justice Management For FY 2002, state and local clarity of the information to be Division, Patrick Henry Building, 601 D governments apply for payment via a collected; and Street, NW., Suite 1600, Washington, (4) Minimize the burden of the paperless, electronic, end-to-end DC 20530. collection of information on those who distributive, Internet-based web-site are to respond, including through the Dated: December 3, 2001. application. BJA anticipates providing use of appropriate automated, Richard A. Sloan, over 490 payments of varying amounts electronic, mechanical, or other Department Clearance Officer, United States from a FY2002 funding total of technological collection techniques or Department of Justice, Immigration and approximately $550 million. other forms of information technology, Naturalization Service. Potential applicants with questions e.g., permitting electronic submission of [FR Doc. 01–30386 Filed 12–7–01; 8:45 am] should call the Office of Justice responses. BILLING CODE 4410–10–M Programs Grants Management System
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Hotline at 1–888–549–9901, Option #4. entitled ‘‘Flame Imaging System,’’ covered by a proposed schedule. These, For access to program guidance and the which is assigned to the United States too, may be requested and will be online application, connect to http:// of America as represented by the provided once the appraisal is www.ojp.usdoj.gov/BJA and select Administrator of the National completed. Requesters will be given 30 ‘‘SCAAP’’ Aeronautics and Space Administration. days to submit comments. Dated: December 5, 2001. Written objections to the prospective ADDRESSES: To request a copy of any Richard R. Nedelkoff, grant of a license should be sent to records schedule identified in this Randall M. Heald, Assistant Chief notice, write to the Life Cycle Director, Bureau of Justice Assistance. Counsel/Patent Counsel. Management Division (NWML), [FR Doc. 01–30456 Filed 12–7–01; 8:45 am] DATE(S): Responses to this notice must National Archives and Records BILLING CODE 4410–10–P be received by December 26, 2001. Administration (NARA), 8601 Adelphi FOR FURTHER INFORMATION CONTACT: Road, College Park, MD 20740–6001. Randall M. Heald, Assistant Chief Requests also may be transmitted by NATIONAL AERONAUTICS AND Counsel/Patent Counsel, John F. FAX to 301–713–6852 or by e-mail to SPACE ADMINISTRATION Kennedy Space Center, Mail Code CC– [email protected]. Requesters [Notice (01–155)] A, Kennedy Space Center, FL 32899, must cite the control number, which telephone (321) 867–7214. appears in parentheses after the name of Notice of Prospective Patent License the agency which submitted the Dated: November 30, 2001. schedule, and must provide a mailing AGENCY: National Aeronautics and Edward A. Frankle, address. Those who desire appraisal Space Administration. General Counsel. reports should so indicate in their ACTION: Notice of Prospective Patent [FR Doc. 01–30425 Filed 12–7–01; 8:45 am] request. License. BILLING CODE 7510–01–P FOR FURTHER INFORMATION CONTACT: SUMMARY: NASA hereby gives notice Michael Miller, Director, Modern that Fiber Materials, Inc. of Biddeford, Records Programs (NWM), National NATIONAL ARCHIVES AND RECORDS Archives and Records Administration, Maine has applied for an exclusive ADMINISTRATION license to practice the invention 8601 Adelphi Road, College Park, MD described and claimed in U.S. Patent 20740–6001. Telephone: (301) 713– Records Schedules; Availability and 7110. E-mail: No. 5,610,363, entitled ‘‘Enhanced Request for Comments Whipple Shield,’’ which is assigned to [email protected]. the United States of America as AGENCY: National Archives and Records SUPPLEMENTARY INFORMATION: Each year represented by the Administrator of the Administration (NARA). Federal agencies create billions of National Aeronautics and Space ACTION: Notice of availability of records on paper, film, magnetic tape, Administration. Written objections to proposed records schedules; request for and other media. To control this the prospective grant of a license should comments. accumulation, agency records managers be sent to Johnson Space Center. prepare schedules proposing retention SUMMARY: The National Archives and periods for records and submit these DATE(S): Responses to this notice must Records Administration (NARA) be received by January 9, 2002. schedules for NARA’s approval, using publishes notice at least once monthly the Standard Form (SF) 115, Request for FOR FURTHER INFORMATION CONTACT: of certain Federal agency requests for Records Disposition Authority. These James M. Cate, Patent Attorney, NASA records disposition authority (records schedules provide for the timely transfer Johnson Space Center, Mail Stop HA, schedules). Once approved by NARA, into the National Archives of Houston, TX 77058–8452; telephone records schedules provide mandatory historically valuable records and (281) 483–1001. instructions on what happens to records authorize the disposal of all other Dated: November 30, 2001. when no longer needed for current records after the agency no longer needs Edward A. Frankle, Government business. They authorize them to conduct its business. Some General Counsel. the preservation of records of schedules are comprehensive and cover continuing value in the National [FR Doc. 01–30426 Filed 12–7–01; 8:45 am] all the records of an agency or one of its Archives of the United States and the BILLING CODE 7510–01–P major subdivisions. Most schedules, destruction, after a specified period, of however, cover records of only one records lacking administrative, legal, office or program or a few series of NATIONAL AERONAUTICS AND research, or other value. Notice is records. Many of these update SPACE ADMINISTRATION published for records schedules in previously approved schedules, and which agencies propose to destroy some include records proposed as [Notice (01–154)] records not previously authorized for permanent. disposal or reduce the retention period Notice of Prospective Patent License No Federal records are authorized for of records already authorized for destruction without the approval of the AGENCY: National Aeronautics and disposal. NARA invites public Archivist of the United States. This Space Administration. comments on such records schedules, as approval is granted only after a ACTION: Notice of prospective patent required by 44 U.S.C. 3303a(a). thorough consideration of their license. DATES: Requests for copies must be administrative use by the agency of received in writing on or before January origin, the rights of the Government and SUMMARY: NASA hereby gives notice 24, 2002. Once the appraisal of the of private persons directly affected by that International Electronic Machines records is completed, NARA will send the Government’s activities, and Corporation, 60 Fourth Avenue, Albany, a copy of the schedule. NARA staff whether or not they have historical or New York, has applied for an exclusive usually prepare appraisal other value. license to practice the invention memorandums that contain additional Besides identifying the Federal disclosed in U.S. Patent No. 5,726,632, information concerning the records agencies and any subdivisions
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requesting disposition authority, this and conflict of interest that do not relate recordkeeping copies of files, public notice lists the organizational to actual cases in the agency. Included accumulated in the Office of General unit(s) accumulating the records or are legal opinions and related Counsel and the Office of Congressional indicates agency-wide applicability in background materials. Proposed for and Legislative Affairs, that pertain to the case of schedules that cover records permanent retention are recordkeeping legislation that directly affects the that may be accumulated throughout an copies of legal opinions relating to the agency’s enabling legislation. agency. This notice provides the control mission of the agency and standards of 9. Federal Emergency Management number assigned to each schedule, the conduct records relating to actual cases Agency, Mitigation Directorate (N1– total number of schedule items, and the in the agency. The related electronic 311–01–7, 5 items, 5 temporary items). number of temporary items (the records copies of documents created using Records relating to disaster response, proposed for destruction). It also electronic mail and word processing including grant administration records includes a brief description of the were previously approved for disposal. relating to disaster response. Also temporary records. The records 4. Department of Defense, Defense included are records relating to FEMA schedule itself contains a full Contract Audit Agency, Agency-wide activities to reduce and mitigate losses description of the records at the file unit (N1–372–02–1, 6 items, 6 temporary in future disasters including hazard level as well as their disposition. If items). Records relating to the use of mitigation, technical assistance, grants NARA staff has prepared an appraisal Government charge cards for obtaining and agreements securing the memorandum for the schedule, it too small purchase items. Included are such development rights of disaster-prone includes information about the records. records as receipts, statements of parcels of land. Also included are Further information about the charges and amounts due, certifications electronic copies of documents created disposition process is available on of payments to be made, and electronic using electronic mail and word request. copies of records created using processing. electronic mail and word processing. 10. Federal Retirement Thrift Schedules Pending 5. Department of Defense, National Investment Board, Office of Automated 1. Department of the Army, Agency- Imagery and Mapping Agency (N1–537– Systems (N1–474–01–1, 2 items, 2 wide (N1–AU–00–16, 7 items, 7 01–4, 65 items, 65 temporary items). temporary items). Web site feedback temporary items). Records relating to Paper and electronic records relating to records and statistical reports on web readiness training of senior intelligence safety, health, and environmental site utilization. This schedule reduces officers. Included are such records as matters, including electronic copies of the retention period for the correspondence, planning committee documents created using electronic mail recordkeeping copies of these files, invitations and minutes, on-going and word processing. Records relate to which were previously approved for training files, budget and financial general medical and health matters, disposal. Also included are electronic status reports, and inspection files. Also industrial hygiene, safety programs, fire copies of documents created using included are electronic copies of prevention, and environmental electronic mail and word processing. documents created using electronic mail protection. 11. National Archives and Records and word-processing. This schedule 6. Department of the Navy, Agency- Administration, Agency-wide (N1–64– authorizes the agency to apply the wide. (N1–NU–02–1, 13 items, 9 02–2, 2 items, 2 temporary items). proposed disposition instructions to any temporary items). Records relating to Security backups for agency desktop recordkeeping medium. investigations or inquiries conducted by computer applications created and 2. Department of the Army, Agency- the Navy Inspector General. Included maintained to restore the system in the wide (N1–AU–01–10, 25 items, 25 are such records as case files, final event of a system failure or other temporary items). Short-term records investigative reports, working papers, unintentional loss of data. documenting security measures correspondence, and final reports. Also 12. National Archives and Records undertaken to protect classified included are electronic copies of Administration, Access Programs (N1– information and the activities and documents created using electronic mail 64–02–3, 3 items, 3 temporary items). resources allocated to support military and word processing and a database Electronic systems containing operations. Included are records relating used for tracking the progress of each researcher application information and to such matters as investigations of investigation. Recordkeeping copies of data recording the movement of security breaches, the protection of historically significant case files are researchers within the agency’s research automated systems, signal security proposed for permanent retention. complex in College Park, Maryland. operations, the allocation and 7. Department of the Navy, Agency- 13. National Credit Union distribution of communications security wide, (N1–NU–02–2, 3 items, 3 Administration, Agency-wide (N1–413– material, and strategic and tactical temporary items). Records relating to 02–1, 10 items, 8 temporary items). planning for military operations. Also non-combat counterintelligence Subject files, chronological files, and included are electronic copies of investigations and inquiries conducted regional files, accumulated by offices documents created using electronic mail in order to determine the suitability of other than the Office of the Board, and and word processing. This schedule U.S. citizens and foreign nationals for individual working files. Also included allows the agency to expedite disposal base access and employment purposes. are electronic copies of documents of these records, which previously were Also included are electronic copies of created using electronic mail and word approved for disposal. It also authorizes records created using electronic mail processing. Recordkeeping copies of the agency to apply the proposed and word processing. agency directives and operating manual disposition instructions to any 8. Federal Emergency Management case files created in central and regional recordkeeping medium. Agency, Agency-wide (N1–311–01–1, 5 offices are proposed for permanent 3. Department of Defense, Defense items, 4 temporary items). Records retention. Contract Audit Agency (N1–372–01–2, 4 relating to pending legislation of interest 14. Nuclear Regulatory Commission, items, 2 temporary items). Records to the agency, including electronic Office of the Secretary of the pertaining to legal matters not related to copies of records created using Commission (N1–431–01–2, 51 items, the mission of the agency, including electronic mail and word processing. 39 temporary items). Electronic records files pertaining to standards of conduct Proposed for permanent retention are in the Commission’s Agencywide
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Document Access and Management SECURITIES AND EXCHANGE granting the application after the date System (ADAMS) accumulated by the COMMISSION mentioned above, unless the Office of the Secretary of the Commission determines to order a Commission, including electronic Issuer Delisting; Notice of Application hearing on the matter. to Withdraw From Listing and copies of records created using office For the Commission, by the Division of automation tools and of records used to Registration on the American Stock Market Regulation, pursuant to delegated create ADAMS portable document Exchange LLC (Quicksilver Resources authority.4 format files. Records proposed for Inc., Common Stock, $.001 par value) Jonathan G. Katz, File No. 1–14837 disposal include electronic Secretary. recordkeeping copies of records related December 4, 2001. [FR Doc. 01–30415 Filed 12–7–01; 8:45 am] to committees and conferences for Quicksilver Resources Inc., a BILLING CODE 8010–01–M which the agency is not the sponsor, Delaware Corporation (‘‘Issuer’’), has routine correspondence files, and filed an application with the Securities rulemaking docket files. Paper copies of and Exchange Commission SECURITIES AND EXCHANGE these records were previously approved (‘‘Commission’’), pursuant to section COMMISSION for disposal. Series proposed for 12(d) of the Securities Exchange Act of [Release No. IC–25308; File No. 812–12556] permanent retention include 1934 (‘‘Act’’) 1 and Rule 12d2–2(d) recordkeeping copies of such files as thereunder,2 to withdraw its Common First Variable Life Insurance Company, decisional dockets, records relating to Stock, $.001 par value (‘‘Security’’), et al. committees and conferences sponsored from listing and registration on the by the agency, program correspondence American Stock Exchange LLC December 4, 2001. at the Commission level, rulemaking (‘‘Amex’’). AGENCY: Securities and Exchange records, and transcripts of Commission On September 28, 2001, the Board of Commission (‘‘SEC or ‘‘Commission’’). meetings. Directors of the Issuer unanimously Summary of Application: Applicants 15. Office of Personnel Management, approved a resolution to withdraw the seek an order pursuant to Section 26(c) Office of the Chief Information Officer Issuer’s Security from listing on the of the Investment Company Act of 1940 (N1–478–02–1, 8 items, 8 temporary Amex and to list the Security on the (‘‘1940 Act’’), approving the substitution items). Year 2000 (Y2K) project records, New York Stock Exchange, Inc. of shares of certain Portfolios of Variable including such records as plans, test (‘‘NYSE’’). In making the decision to Investors Series Trust (‘‘VIST’’) for documentation, correspondence, withdraw the Security from listing on shares of certain portfolios of other reports, and electronic copies of records the Exchange, the Issuer considered the variable insurance products funds as created using electronic mail and word direct and indirect costs and the follows: (1) Shares of the Pilgrim Baxter processing. division of the market resulting from Insurance Series Fund, Inc.—PBHG dual listing. The Issuer states that Small Cap Growth Portfolio for shares of Dated: December 4, 2001. trading in the Security ceased on the the VIST Small Cap Growth Portfolio; Michael J. Kurtz, Amex on October 22, 2001 and began on (2) shares of the American Century VP Assistant Archivist for Record Services— the NYSE the same day. International Growth Fund for shares of Washington, DC. The Issuer stated in its application the VIST World Equity Portfolio; (3) [FR Doc. 01–30436 Filed 12–7–01; 8:45 am] that it has met the requirements of shares of the American Century VP BILLING CODE 7515–01–U Amex Rule 18 by complying with all Ultra Fund for shares of the VIST applicable laws in effect in the State of Growth Portfolio; (4) shares of the Delaware, in which it is incorporated American Century VP Income and and with the Amex’s rules governing an Growth Fund for shares of the VIST POSTAL RATE COMMISSION issuer’s voluntary withdrawal of a Matrix Equity Portfolio; (5) shares of the security from listing and registration. Fidelity Variable Insurance Products Sunshine Act Meeting The Issuer’s application relates solely to Fund—Growth & Income Portfolio for the Security’s withdrawal from listing shares of the VIST Growth & Income Name of Agency: Postal Rate on the Amex and shall have no effect Portfolio; (6) shares of the Fidelity Commission. upon its listing on the NYSE or its Variable Insurance Products Fund— Time and Date: December 12, 2001 at registration under section 12(b) of the Growth & Income Portfolio for shares of 10 a.m. Act.3 the VIST Multiple Strategies Portfolio; Any interested person may, on or (7) shares of the Federated High Income Place: Commission conference room, before December 27, 2001, submit by Bond Fund II for shares of the VIST 1333, H Street NW., Suite 300, letter to the Secretary of the Securities High Income Bond Portfolio; and (8) Washington, DC 20268–0001. and Exchange Commission, 450 Fifth shares of the Federated U.S. Status: Open. Street, NW., Washington, DC 20549– Government Securities Fund II for Matters to be Considered: Election of 0609, facts bearing upon whether the shares of the VIST U.S. Government vice-chairman. application has been made in Bond Portfolio. Applicants also seek an accordance with the rules of the Amex order, pursuant to Section 17(b) of the CONTACT PERSON FOR MORE INFORMATION: and what terms, if any, should be 1940 Act, granting exemptions from Stephen L. Sharfman, general counsel imposed by the Commission for the Section 17(a) to permit Applicants to Postal Rate Commission, 202–789–6820. protection of investors. The carry out the above-referenced Dated: December 5, 2001. Commission, based on the information substitution by means of in-kind redemption and purchase. Steven W. Williams. submitted to it, will issue an order Applicants: First Variable Life Acting Secretary. 1 15 U.S.C. 78l(d). Insurance Company (‘‘First Variable’’), [FR Doc. 01–30501 Filed 12–5–01; 4:07 pm] 2 17 CFR 240.12d–2(d). BILLING CODE 7710–FW–M 3 15 U.S.C. 78l(b). 4 17 CFR 200.30–3(a)(1).
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First Variable Annuity Fund E Protective Life Insurance Company, a The Trust is registered as an open-end (‘‘Account E’’), First Variable Annuity subsidiary of Protective Life Corporation management investment company Fund A (‘‘Account A’’) and Separate of Birmingham, Alabama, acquired the under the 1940 Act and its shares are Account VL (‘‘Account VL’’) of First stock of First Variable from ILona registered as securities under the Variable Life Insurance Company. First Financial Group, Inc., formerly known Securities Act of 1933 (‘‘1933 Act’’). The Variable is referred to herein as the as Irish Life of North America, Inc., shares of the Trust are sold exclusively ‘‘Insurance Company Applicant.’’ which had owned all of the outstanding to the Separate Account Applicants to Account E, Account A and Account VL stock of First Variable until that date. fund benefits under the Contracts. First are referred to herein as the ‘‘Separate 2. Account E is a segregated asset Variable Advisory Services Corporation Account Applicants.’’ account of First Variable. Account E was (‘‘FVAS’’) is the investment adviser for Filing Date: The application established by First Variable on the Trust. FVAS is a wholly-owned (‘‘Application’’) was filed on June 21, December 4, 1979, under Arkansas subsidiary of First Variable, the ultimate 2001 and amendments thereto were insurance laws. Account E is used to parent of which is Protective Life filed on October 11, 2001 and December fund certain Contracts issued by First Corporation. FVAS has engaged sub- 3, 2001. Variable. Account E is divided into advisers for each of the Portfolios of the Hearing or Notification of Hearing: An several subaccounts, each of which Trust to make investment decisions and order granting the Application will be invests in and reflects the investment place orders. issued unless the Commission orders a performance of a specific underlying 7. Applicants request the hearing. Interested persons may request registered investment company or Commission’s approval to effect the a hearing by writing to the Secretary of portfolio thereof. Account E is registered substitutions of the shares of portfolios the Commission and serving Applicants as a unit investment trust under the of other variable insurance products with a copy of the request, personally or 1940 Act. funds (‘‘Substituting Portfolios’’) for the by mail. Hearing requests should be 3. Account A is a segregated asset shares of the Replaced Portfolios (the received by the Commission by 5:30 account of First Variable. Account A ‘‘Substitution’’). The Substituting p.m. on December 27, 2001, and should was established by First Variable on July Portfolios are series of open-end be accompanied by proof of service on 1, 1968 under Arkansas insurance laws. management investment companies Applicants, in the form of an affidavit Account A is used to fund certain registered under the 1940 Act, the or, for lawyers, a certificate of service. Contracts issued by First Variable. shares of which are registered as Hearing requests should state the nature Account A is divided into several securities under the 1933 Act. of the requester’s interest, the reason for subaccounts, each of which invests in Applicants represent that the the request, and the issues contested. and reflects the investment performance Substituting Portfolios, in general, have Persons may request notification of a of a specific underlying registered similar investment objectives to, and hearing by writing to the Secretary of investment company or portfolio more assets, better performance and the Commission. thereof. Account A is registered as a lower expense ratios than, the Replaced unit investment trust under the 1940 ADDRESSES: For the Commission: Portfolios. The Replaced Portfolios and Act. Secretary, Securities and Exchange the corresponding Substituting 4. Account VL is a segregated asset Portfolios are as follows: Commission, 450 Fifth Street, NW., account of First Variable. Account VL Washington, DC 20549–0609. For was established by First Variable on Replaced portfolios Substituting portfolios Applicants: c/o Raymond A. O’Hara III, March 6, 1987, under Arkansas Esquire, Blazzard, Grodd & Hasenauer, insurance laws. Account VL is used to High Income Bond Federated High In- PC, P.O. Box 5108, Westport, fund certain Contracts issued by First Portfolio. come Bond Fund II. Connecticut 06881. Copies to: Steve M. Variable. Account VL is divided into World Equity Portfolio American Century VP Callaway, Esquire, Senior Associate several subaccounts, each of which International Growth Fund. Counsel, Protective Life Corporation, invests in and reflects the investment Birmingham, Alabama 35202. Small Cap Growth PBHG Small Cap performance of a specific underlying Portfolio. Growth Portfolio. FOR FURTHER INFORMATION CONTACT: registered investment company or Matrix Equity Portfolio American Century VP Alison Toledo, Senior Counsel, or Lorna portfolio thereof. Account VL is Income and Growth MacLeod, Branch Chief, Division of registered as a unit investment trust Fund. Investment Management, Office of under the 1940 Act. U.S. Government Federated U.S. Gov- Insurance Products, at (202) 942–0670. 5. The segregated asset accounts Bond Portfolio. ernment Securities SUPPLEMENTARY INFORMATION: The support certain variable annuity Fund II. contracts and variable life insurance Growth Portfolio ...... American Century VP following is a summary of the Ultra Fund. Application. The complete Application policies (collectively, the ‘‘Contracts’’) Multiple Strategies Fidelity VIP Growth & is available for a fee from the Public issued by the Insurance Company Portfolio. Income Portfolio. Reference Branch of the Commission, Applicant. Under the Contracts, First Growth & Income Fidelity VIP Growth & 450 Fifth Street, NW., Washington, DC Variable reserves the right to substitute Portfolio. Income Portfolio. 20549, (tel. (202) 942–8090). one or more of the variable investment options with another variable 8. The investment objectives of the Applicants’ Representations investment option. These contractual Replaced Portfolios and Substituted 1. First Variable is a stock life provisions have been disclosed in the Portfolios are as follows: insurance company that was organized prospectus or the statements of (a) The stated objective for the High under Arkansas law in 1968. It engages additional information relating to the Income Bond Portfolio and the principally in the business of variable contracts. Federated Income Bond Fund II is to life insurance, variable annuities and 6. The Trust was organized as a seek a high level of current income fixed annuities. First Variable holds Massachusetts business trust on while secondarily seeking capital licenses to sell insurance in 49 states, December 23, 1986. The Trust is appreciation by investing primarily in the District of Columbia and the U.S. comprised of eight separate series fixed-income securities, including Virgin Islands. On October 1, 2001, (‘‘Portfolios’’ or ‘‘Replaced Portfolios’’). corporate bonds and notes, discount
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bonds, zero-coupon bonds, convertible least 80% of the Portfolios assets will be including lower-quality debt securities, securities and preferred stocks and invested in U.S. Government Securities; as well as stocks that are not currently bonds issued with warrants, which are the remainder may be invested in paying dividends, but offer prospects for rated Baa or below by Moody’s or BBB investment grade corporate securities future income or capital appreciation. or below by Standard & Poor’s or in and in cash and money market (h) The Growth & Income Portfolio’s unrated securities determined to be of instruments. The Federated U.S. investment objective is to seek growth of comparable quality. The same Government Securities Fund II’s capital and income. The Portfolio individual, Mark E. Durbiano, manages investment objective is to provide pursues this objective by investing both of these Portfolios. current income by investing at least primarily in dividend-paying common (b) The World Equity Portfolio’s 65% of its assets in U.S. government stocks, as well as fixed income stated objective is to seek maximum securities, including mortgage backed securities. The Fidelity VIP Growth & long-term total return by investing securities issued by U.S. government Income Portfolio’s investment objective primarily in common stocks, and agencies. In addition, the Fund may is to seek high total return through a securities convertible into common invest up to 35% of its assets in combination of current income and stocks, traded in securities markets investment grade non-government capital appreciation. The Portfolio located around the world, including the mortgage-backed securities. invests a majority of its assets in United States. This objective is to be Morningstar classifies both portfolios common stocks with a focus on those obtained via international blue chips as Intermediate Government Bond that pay current dividends and show and domestic U.S. small cap stocks. The Funds. potential for capital appreciation. The American Century VP International (f) The Growth Portfolio’s investment Portfolio also invests in bonds, Growth Portfolio’s stated objective is to objective is to seek capital growth; it including lower-quality debt securities, seek capital growth by investing also seeks current income when as well as stocks that are not currently primarily in large cap equities in consistent with its primary objective. It paying dividends, but offer prospects for developed countries around the world. pursues its objective by investing future income or capital appreciation. primarily in common stocks and The Portfolio also invests in preferred Both of the Portfolios have been securities convertible into common stock and convertible debt and it can characterized by Morningstar as Large/ stock. Securities are selected on the invest in the United States. Value and Large/Blend over the last 10 Morningstar Inc. (‘‘Morningstar’’), a basis of their issuers long-term potential years. provider of mutual fund, stock and for expanding their earnings, variable insurance investment profitability, and size and on the basis 9. For the shares of each Replaced information, assigns both of these of potential increases in market Portfolio held on behalf of their Portfolios to a Large-Growth investment recognition of their securities. The respective Separate Accounts at the style box focusing on international American Century VP Ultra Fund’s close of business on the date selected for equities. investment objective is to seek long- the Substitution, First Variable will (c) The objective of the Small Cap term capital growth. The Portfolio redeem those shares for cash or in-kind. Growth Portfolio and the PBHG Small pursues this objective by investing in Simultaneously, First Variable, on Cap Growth Portfolio is to seek capital large company stocks that the manager behalf of each of its Separate Account appreciation by investing primarily in believes will increase in value over Applicants, will place a purchase order common stocks of emerging companies time, using a growth investment for shares of each Substituting Portfolio with the potential for significant capital strategy. The strategy looks for so that each purchase will be for the appreciation and strong earnings growth companies with earnings and revenues exact amount of the redemption with attendant risk. The Portfolios that are not only growing, but also proceeds, which may be partly or normally invest at least 65% of assets in growing at a successfully faster or wholly in-kind. Accordingly, at all common stocks and convertible accelerating pace. times monies attributable to Owners securities issued by companies with Both portfolios are classified by then invested in the Replaced Portfolio market capitalization or annual Morningstar as large cap growth funds. will remain fully invested and will revenues not exceeding $1 billion at the (g) The Multiple Strategies Portfolio’s result in no change in the amount of any time of purchase. Both Portfolios are investment objective is to seek as high Owner’s contract value, death benefit or managed by the same entity—Pilgrim a level of total return as the manager investment in the applicable Separate Baxter & Associates, Ltd. considers consistent with prudent Account Applicant. (d) The Matrix Equity Portfolio’s investment risk. The Portfolio invests in 10. In connection with the investment objective is to seek capital equity securities, fixed income redemption of all shares of each appreciation and current income by securities and money market Replaced Portfolio, it is anticipated that investing in a diversified portfolio of instruments. Equity securities are the Replaced Portfolio will incur equity securities. The American Century selected on the basis of their issuers brokerage fees and expenses in VP Income and Growth Portfolio’s long-term potential for expanding their connection with such redemption. To investment objective is to seek capital earnings, profitability, and size and on alleviate the potential impact, the growth by investing in common stocks, the basis of potential increases in redemptions for certain Replaced with income as a secondary objective. market recognition of their securities. Portfolios will be effected partly for cash Over the last ten years, both Portfolios The Fidelity VIP Growth & Income and partly for portfolio securities have had substantially similar Portfolio’s investment objective is to redeemed in-kind. In addition, investment styles and Morningstar has seek high total return through a Applicants will use the in-kind and categorized each fund as either being combination of current income and cash redemption proceeds to purchase Large/Value or Large/Blend during that capital appreciation. The Portfolio shares of the Substituting Portfolio. In time period. invests a majority of its assets in effecting the in-kind redemptions and (e) The U.S. Government Bond common stocks with a focus on those transfers, the Trust has informed the Portfolio’s investment objective is to that pay current dividends and show Applicants that it will comply with the seek current income and preservation of potential for capital appreciation. The requirements of Rule 17a–7 under the capital. Under normal circumstances, at Portfolio also invests in bonds, 1940 Act and the procedures established
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thereunder by the Board of Trustees of currently being paid by existing Owners Act (now Section 26(c)) was enacted as the Trust. to be greater after the proposed part of the Investment Company Act 11. As noted above, the portfolio Substitution than before the proposed Amendments of 1970. Prior to the securities received from the in-kind Substitution. The proposed Substitution enactment of these amendments, a redemptions will be used together with will not be treated as a transfer for the depositor of a unit investment trust the cash proceeds to purchase the shares purpose of assessing transfer charges. could substitute new securities for those of the Substituting Portfolios. The Moreover, First Variable will allow the held by the trust by notifying the trust’s Applicants have determined that Owners, with respect to shares security holders of the substitution partially effecting the redemption of substituted, to transfer the Contract within five (5) days after the shares of the Replaced Portfolios in-kind values held in the subaccount invested substitution. In 1966, Commission, is appropriate, based on the similarity of in the Substituting Portfolio for a period concerned with the high sales charges certain types of portfolio securities that of thirty-one days without collecting then common to most unit investment may be held by the Replaced Portfolio transfer fees or imposing any additional trusts and the disadvantageous position and its corresponding Substituting restrictions on transfers. Moreover, such in which such charges placed investors Portfolio. The Trust has advised the a transfer will not be counted as a who did not want to remain invested in Applicants that the valuation of any in- transfer request under any contractual the substituted security, recommended kind redemptions will be made on a provisions of the Contracts that limit the that Section 26 be amended to require basis consistent with the normal number of transfers that may be made that a proposed substitution of the valuation procedures of the Replaced without charge. underlying investments of a trust Portfolio and that of the Substituting 16. In anticipation of the filing of this receive prior Commission approval. Portfolio. Application, the respective Applicants 2. Applicants submit that the 12. The full net asset value of the have supplemented the prospectuses for Substitution does not present the type of redeemed shares held by the Separate the Contracts to reflect the proposed costly forced redemption or other harms Account Applicants will be reflected in Substitution. Within five days after the that Section 26(c) was intended to guard the Owners’ contract values following Substitution, First Variable will send to against and is consistent with the the Substitution. The Applicants Owners written notice of the protection of investors and the purposes represent that the Owners will not bear, Substitution (the ‘‘Notice’’), identifying fairly intended by the 1940 Act for the directly or indirectly any expenses, the shares of the Replaced Portfolios following reasons: including brokerage expenses, for the that have been eliminated and the (a) The Substitution will continue to Substitution so that the full net asset shares of the Substituting Portfolios that fulfill Owners’ objectives and risk value of redeemed shares of the have been substituted. First Variable expectations, because the investment Replaced Portfolio held by the Separate will include in such mailing the objectives of each Substituting Portfolio Account Applicants will be reflected in applicable prospectus supplement for are substantially similar to those of each the Owners’ contract values following the Contracts of the Separate Account Replaced Portfolio. the Substitution. Applicants describing the Substitution. (b) After receipt of the Notice 13. The Trust is fully advised of the For those Contracts that already include informing an Owner of the Substitution, terms of the Substitution. Applicants as a variable investment option the an Owner may request that his or her anticipate that until the Substitution Substituting Portfolio, First Variable assets be reallocated to another occurs, the Trust will conduct the does not intend to mail a copy of the subaccount at any time during the Free trading of portfolio securities in prospectus for the Substituting Portfolio Transfer Period. The Free Transfer accordance with the investment to the Owners, because they already will Period provides sufficient time for objectives and strategies stated in the have received a copy of a prospectus Owners to consider their reinvestment Trust’s prospectus and in a manner that that includes the Substituting Portfolio options; provides for the anticipated in the ordinary course. For those (c) The Substitution will be at net redemptions of shares held by the Contracts that do not include as a asset value of the respective shares, Separate Account Applicants. variable investment option the without the imposition of any transfer 14. Applicants have determined that Substituting Portfolio, First Variable or similar charge; the Contracts allow the Substitution as will have amended the applicable (d) Neither the Owners, the Replaced described in the application, and that registration statement and will provide Portfolio nor the Substituting Portfolio the transactions can be consummated as a copy of the prospectus supplement for will bear any costs of the Substitution, described therein under applicable the Contract and the prospectus for the including brokerage fees, and insurance laws and under the Contracts. Substituting Portfolio with the Notice. accordingly, the Substitution will have In addition, prior to effecting the Owners will be advised in the Notice no impact on the Owners’ Contract Substitution, Applicants will have that for a period of thirty-one days from values; complied with any regulatory the mailing of the Notice, Owners may (e) The Substitution will in no way requirements they believe are necessary transfer all assets, as substituted, to any alter the contractual obligations of First to complete the transactions in each other available subaccount without Variable or the rights and privileges of jurisdiction where the Contracts are limitation or charge (the ‘‘Free Transfer Owners under the Contracts; qualified for sale. Period’’). (f) The Substitution will in no way 15. Affected Owners will not incur alter the tax benefits to Owners; and any fees or charges, directly or Applicants’ Legal Analysis (g) The Substitution is expected to indirectly, as a result of the 1. Section 26(c) of the 1940 Act confer certain economic benefits on Substitution, nor will the rights or provides that ‘‘[i]t shall be unlawful for Owners by virtue of enhanced asset size obligations of First Variable under the any depositor or trustee of a registered and lower expenses. Contracts be altered in any way. The unit investment trust holding the 3. The Applicants have determined proposed Substitution will not have any security of a single issuer to substitute that each Substituting Portfolio is an adverse tax consequences to Owners. another security for such security unless appropriate replacement for each The proposed Substitution will not the [SEC] shall have approved such Replaced Portfolio and an appropriate cause Contract fees and charges substitution.’’ Section 26(b) of the 1940 investment vehicle for the Owners
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because they share similar investment than the American Century Substituting consideration to be paid and received; objectives. Accordingly, the Insurance Portfolios), their advisers and/or their do not involve over-reaching; are Company Applicant has specifically affiliates, that would exceed the consistent with the policies of the determined that the Substituting amounts that First Variable or FVAS, Replaced Portfolios of the Trust; and are Portfolios are appropriate investment the Trust’s adviser, had received from consistent with the general purposes of vehicles for owners who have allocated the Replaced Portfolios, including the 1940 Act. values to the Replaced Portfolios and without limitations, 12b-1, shareholder 10. Applicants represent that for all that the Substitution will be consistent service, administrative or other service the reasons stated above, with regard to with Owners’ investment objectives. fees, revenue sharing or other Section 26(c) of the 1940 Act, the 4. As of December 31, 2000, each arrangements, either with respect to Substitution is reasonable and fair. It is Substituting Portfolio had lower specific reference to the Substituting expected that existing and future expense ratios than its corresponding Portfolios or as part of an overall Owners will benefit from the Replaced Portfolio, and with the business arrangement. consolidation of assets in the exception of American Century VP 7. Applicants represent that the Substituting Portfolios. The transactions International Growth Fund, American returns for most of the Substituting effecting the Substitution will be Century VP Income and Growth Fund Portfolios have generally been higher effected in conformity with Section and American Century VP Ultra Fund, than the returns of the corresponding 22(c) of the 1940 Act and Rule 22c–1 each Substituting Portfolio pays Replaced Portfolios, and that while thereunder. Moreover, the partial in- management fees that are equal to or there is no guarantee that past kind redemptions of portfolios’ less than the corresponding Replaced performance will continue, the return securities of the Replaced Portfolios will Portfolio. Applicants believe that the data supports Applicants’ view that the be effected in conformity with Rule addition of assets resulting from the Substitution is not expected to give rise 17a–7 under the 1940 Act and the Substitution will likely result in lower to diminution in performance or other procedures of the Trust established expense ratios for the Owners that have adverse effects on Contract values. pursuant to Rule 17a–7. The Owners’ allocated their Contract values to the 8. Section 17(a)(1) of the 1940 Act interests after the Substitution, in Substituting Portfolios. prohibits any affiliated person of a practical economic terms, will not differ The expense structure of the registered investment company, or an in any measurable way from such American Century Fund is substantially affiliated person of an affiliated person, interests immediately prior to the different from that of the Trust. The from selling any security or other Substitution. In each case, the Trust pays, in addition to a management property to such registered investment consideration to be received and paid is, fee, all of its own expenses, which may company. Section 17(a)(2) of the 1940 therefore, reasonable and fair. vary from year to year. In contrast, Act prohibits any of the persons services provided by American Century described above from purchasing any Conclusion under the American Century security or other property from such Applicants submit, for all of the Management Agreement are offered registered investment company. The reasons stated herein, that their requests under a unified fee arrangement. For the proposed Substitution will be effected meet the standards set out in Sections services it provides to the American in part through in-kind redemptions and 6(c), 17(b) and 26(c) of the 1940 Act and Century Fund, American Century purchases and may be deemed to entail that an Order should, therefore, be receives a unified management fee the indirect purchase of shares of a granted. Accordingly, Applicants based on a percentage of the average net related Substituting Portfolio with request an Order pursuant to Sections assets of the series of the Fund, portfolio securities of the Replaced 6(c), 17(b) and 26(c) of the 1940 Act including each of the American Century Portfolio and the indirect sale of approving the Substitution. Substituting Portfolios. Out of that fee securities of the Replaced Portfolio for For the Commission, by the Division of American Century pays all expenses of shares of the Substituting Portfolio. managing and operating the American Investment Management, pursuant to 9. Section 17(b) of the 1940 Act delegated authority. Century Fund except brokerage provides that the Commission may grant Jonathan G. Katz, expenses, taxes, interest, fees and an Order exempting transactions expenses of the Fund’s independent prohibited by Section 17(a) of the 1940 Secretary. directors (including legal counsel fees), Act upon application if evidence [FR Doc. 01–30442 Filed 12–7–01; 8:45 am] and extraordinary expenses. In each establishes that: BILLING CODE 8010–01–P substution into the American Century (a) The terms of the proposed Fund, the overall expense ratios of the transaction, including the consideration Substituting Portfolios are lower and, in to be paid or received, are reasonable SECURITIES AND EXCHANGE some cases, significantly so. and fair and do not involve over- COMMISSION 5. With respect to the First Variable reaching on the part of any person [Release Nos. 33–8039, 34–45124, FR–59] separate accounts investing in the concerned; American Century Substituting (b) The proposed transaction is Cautionary Advice Regarding the Use Portfolios, Applicants represent that consistent with the investment policy of of ‘‘Pro Forma’’ Financial Information there will be no increase in the contract each registered investment company in Earnings Releases charges from their current levels for a concerned, as recited in its registration AGENCY: Securities and Exchange period of at least two years from the statement and reports filed under the Commission. date of the Commission order requested 1940 Act; and herein. (c) The proposed transaction is SUMMARY: The Securities and Exchange 6. Applicants represent that First consistent with the general purposes of Commission is issuing a statement Variable does not currently receive (and the 1940 Act. regarding the use by public companies will not receive for three years from the The Applicants represent that the of ‘‘pro forma’’ financial information in date of the Commission order requested terms of the proposed transactions, as earnings releases. herein) any direct or indirect benefit described in this Application are: FOR FURTHER INFORMATION CONTACT: John from the Substituting Portfolios (other reasonable and fair, including the M. Morrissey, Deputy Chief Accountant,
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at 202–942–4400, or Paula Dubberly, information. Because ‘‘pro forma’’ deviated from GAAP and the amounts of Chief Counsel of the Division of information is information derived by each of those deviations. Corporation Finance, at 202–942–2900. selective editing of financial Fifth, as always, and especially in SUPPLEMENTARY INFORMATION: As we information compiled in accordance light of the disclosure that we expect to approach year end, we believe it is with GAAP, companies should be see accompanying these presentations, appropriate to sound a warning to particularly mindful of their obligation we encourage investors to compare any public companies and other registrants not to mislead investors when using this summary or ‘‘pro forma’’ financial who present to the public their earnings information. presentation with the results reported and results of operations on the basis of Second, a presentation of financial on GAAP-based financials by the same methodologies other than Generally results that is addressed to a limited company. Read before you invest; Accepted Accounting Principles feature of a company’s overall financial understand before you commit. (‘‘GAAP’’). This presentation in an results (for example, earnings before Companies with questions about the earnings release is often referred to as interest, taxes, depreciation, and use of ‘‘pro forma’’ financial ‘‘pro forma’’ financial information. In amortization), or that sets forth presentations in earnings releases are this context, that term has no defined calculations of financial results on a encouraged to call John M. Morrissey, meaning and no uniform characteristics. basis other than GAAP, raises particular Deputy Chief Accountant, at 202–942– We wish to caution public companies concerns. Such a statement misleads 4400, or Paula Dubberly, Chief Counsel on their use of this ‘‘pro forma’’ investors when the company does not of the Division of Corporation Finance, clearly disclose the basis of its financial information and to alert at 202–942–2900. Investors are presentation. Investors cannot investors to the potential dangers of encouraged to read our investor alert on understand, much less compare, this such information. ‘‘pro forma’’ financial statements ‘‘pro forma’’ financial information ‘‘Pro forma’’ financial information can (available at http://www.sec.gov/ without any indication of the principles serve useful purposes. Public companies investor.shtml). that underlie its presentation. To inform may quite appropriately wish to focus investors fully, companies need to By the Commission. investors’ attention on critical describe accurately the controlling Dated: December 4, 2001. components of quarterly or annual principles. For example, when a Jonathan G. Katz, financial results in order to provide a company purports to announce earnings Secretary. meaningful comparison to results for the before ‘‘unusual or nonrecurring same period of prior years or to [FR Doc. 01–30414 Filed 12–7–01; 8:45 am] transactions,’’ it should describe the BILLING CODE 8010–01–P emphasize the results of core particular transactions and the kind of operations. To a large extent, this has transactions that are omitted and apply been the intended function of the methodology described when disclosures in a company’s presenting purportedly comparable SMALL BUSINESS ADMINISTRATION Management’s Discussion and Analysis information about other periods. section of its reports. There is no Third, companies must pay attention [Declaration of Disaster #3378] prohibition preventing public to the materiality of the information that companies from publishing is omitted from a ‘‘pro forma’’ State of Texas; Disaster Loan Areas interpretations of their results, or presentation. Statements about a publishing summaries of GAAP company’s financial results that are Medina County and the contiguous financial statements. literally true nonetheless may be counties of Atascosa, Bandera, Bexar, Moreover, as part of our commitment misleading if they omit material Frio, Uvalde and Zavala in the State of to improve the quality, timeliness, and information. For example, investors are Texas constitute a disaster area as a accessibility of publicly available likely to be deceived if a company uses result of severe storms and tornadoes financial information, we believe that— a ‘‘pro forma’’ presentation to recast a that occurred on October 12, 2001. with appropriate disclosures about their loss as if it were a profit, or to obscure Applications for loans for physical limitations—accurate interpretations of a material result of GAAP financial damage as a result of this disaster may results and summaries of GAAP statements, without clear and be filed until the close of business on financial statements taken as a whole comprehensible explanations of the February 1, 2002 and for economic can be quite useful to investors. nature and size of the omissions. injury may be filed until the close of Nonetheless, we are concerned that Fourth, we commend the earnings business on September 3, 2002 at the ‘‘pro forma’’ financial information, press release guidelines jointly address listed below or other locally under certain circumstances, can developed by the Financial Executives announced locations: U.S. Small mislead investors if it obscures GAAP International and the National Investors Business Administration, Disaster Area results. Because this ‘‘pro forma’’ Relations Institute and we encourage 3 Office, 4400 Amon Carter Blvd., Suite financial information by its very nature public companies to consider and 102, Ft. Worth, TX 76155. departs from traditional accounting follow those recommendations before The interest rates are: conventions, its use can make it hard for determining whether to issue ‘‘pro investors to compare an issuer’s forma’’ results, and before deciding how (Percent) financial information with other to structure a proposed ‘‘pro forma’’ reporting periods and with other statement. A presentation of financial For Physical Damage: companies. results that is addressed to a limited Homeowners with Credit Avail- For these reasons, we believe it is feature of financial results or that sets able Elsewhere ...... 6.500 Homeowners without Credit appropriate to alert public companies forth calculations of financial results on Available Elsewhere ...... 3.250 and their advisors of the following a basis other than GAAP generally will Businesses with Credit Avail- propositions: not be deemed to be misleading merely able Elsewhere ...... 8.000 First, the antifraud provisions of the due to its deviation from GAAP if the Businesses and Non-Profit Or- federal securities laws apply to a company in the same public statement ganizations without Credit company issuing ‘‘pro forma’’ financial discloses in plain English how it has Available Elsewhere ...... 4.000
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(Percent) adopted an effective visa system and Parties: Members of the International Air related procedures to prevent unlawful Transport Association. Others (Including Non-Profit transshipment and the use of counterfeit Subject: Organizations) with Credit documents, and (2) have implemented Telex Mail Vote A105 dated October 2, Available Elsewhere ...... 6.375 2001 and follow, or are making substantial Resolution 832 (to defer implementation of For Economic Injury: progress toward implementing and Businesses and Small Agricul- the weekly remittance procedures in tural Cooperatives without following, certain customs procedures Malaysia until 1 April 2002) Credit Available Elsewhere 4.000 that assist the Customs Service in Telex dated November 6, 2001— verifying the origin of the products. Declaration of Approval Intended effective date: 23 October 2001. The number assigned to this disaster In Proclamation 7350 (Oct. 2, 2000), the President designated Namibia as a Docket Number: OST–2001–11035. for physical damage is 337811 and for Date Filed: November 20, 2001. economic injury is 9N6700. ‘‘beneficiary sub-Saharan African country.’’ Proclamation 7350 delegated Parties: Members of the International Air Transport Association. (Catalog of Federal Domestic Assistance to the Office of United States Trade Program Nos. 59002 and 59008) Subject: Representative (USTR) the authority to PTC23 AFR–TC3 0136 dated 29 October Dated: December 3, 2001. determine whether designated countries 2001 Hector V. Barreto, have met the two requirements Mail Vote 0177—TC23/TC123 Africa- Administrator. described above. The President directed Japan/Korea [FR Doc. 01–30427 Filed 12–7–01; 8:45 am] the USTR to announce any such Expedited Resolution 010k determinations in the Federal Register PTC23 AFR–TC3 0147 dated 23 November BILLING CODE 8025–01–P 2001 (Affirmative) and to implement them through PTC23 AFR–TC3 0137 dated 29 October modifications of the Harmonized Tariff 2001 OFFICE OF THE UNITED STATES Schedule of the United States (HTS). Mail Vote 0178—TC23/TC123 Africa-South TRADE REPRESENTATIVE Based on actions that Namibia has East Asia Expedited taken, I have determined that Namibia Resolution 010L Determinations Under the African has satisfied these two requirements. PTC23 AFR–TC3 00148 dated 23 Growth and Opportunity Act Accordingly, pursuant to the November 2001 (Affirmative) authority vested in the USTR by Intended effective date: 1 December 2001. AGENCY: Office of the United States Proclamation 7350, U.S. note 7(a) to Docket Number: OST–2001–11044. Trade Representative. Date Filed: November 23, 2001. subchapter II of chapter 98 of the HTS Parties: Members of the International Air ACTION: Notice. and U.S. note 1 to subchapter XIX of Transport Association. chapter 98 of the HTS are each modified SUMMARY: The United States Trade Subject: by inserting ‘‘Namibia’’ in alphabetical Representative has determined that PTC COMP 0879 dated 23 November 2001 sequence in the list of countries. The Mail Vote 182—Resolution 010n Namibia has adopted an effective visa foregoing modifications to the HTS are TC2/12/23/123 Special Passenger system and related procedures to effective with respect to articles entered, Amending Resolution from Latvia prevent unlawful transshipment and the or withdrawn from warehouse for Intended effective date: 1 February 2002. use of counterfeit documents in consumption, on or after the effective Docket Number: OST–2001–11045. connection with shipments of textile Date Filed: November 23, 2001. date of this notice. Importers claiming and apparel articles and has Parties: Members of the International Air preferential tariff treatment under the implemented and follows, or is making Transport Association. AGOA for entries of textile and apparel substantial progress toward Subject: articles should ensure that those entries implementing and following, the PTC23 ME–TC3 0128 dated 16 November meet the applicable visa requirements. 2001 customs procedures required by the See Visa Requirements Under the (Mail Vote 172) African Growth and Opportunity Act. African Growth and Opportunity Act, 66 TC23/TC123 Middle East-South East Asia Therefore, imports of eligible products FR 7837 (2001). Resolutions r1–r15 from Namibia qualify for the textile and MINUTES—PTC23 ME–TC3 0124 dated 30 apparel benefits provided under the Robert B. Zoellick, October 2001 filed with Docket OST– AGOA. United States Trade Representative. 2001–10978 TABLES—PTC23 ME–TC3 Fares 0057 EFFECTIVE DATE: December 3, 2001. [FR Doc. 01–30460 Filed 12–7–01; 8:45 am] dated 16 November 2001 FOR FURTHER INFORMATION CONTACT: BILLING CODE 3190–01–M Intended effective date: 1 April 2002. Chris Moore, Director for African Dorothy Y. Beard, Affairs, Office of United States Trade Federal Register Liaison. Representative, (202) 395–9514. DEPARTMENT OF TRANSPORTATION [FR Doc. 01–30421 Filed 12–7–01; 8:45 am] SUPPLEMENTARY INFORMATION: The Office of the Secretary BILLING CODE 4910–62–P African Growth and Opportunity Act (Title I of the Trade and Development Aviation Proceedings, Agreements Act of 2000, Public Law 106–200) Filed During the Week Ending DEPARTMENT OF TRANSPORTATION (AGOA) provides preferential tariff November 23, 2001 treatment for imports of certain textile Federal Aviation Administration and apparel products of beneficiary sub- The following Agreements were filed Saharan African countries. The textile with the Department of Transportation Advisory Circular 33.17–1, Fire and apparel trade benefits under the under provisions of 49 U.S.C. Sections Prevention 412 and 414. Answers may be filed AGOA are available to imports of AGENCY: within 21 days after the filing of the Federal Aviation eligible products from countries that the Administration (FAA), DOT. President designates as ‘‘beneficiary applications. ACTION: Notice of availability of sub-Saharan African countries,’’ Docket Number: OST–2001–11027. proposed advisory circular. provided that these countries (1) have Date Filed: November 19, 2001.
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SUMMARY: This notice announces the 106(g), 40113, 44701–44702, 44704, and enhance the aesthetics of the availability of proposed Advisory would provide guidance for the surrounding community. Circular (AC) 33.17–1, titled ‘‘Fire requirements in 14 CFR part 33. The proceeds from the sale of the land Prevention’’. Issued in Burlington, Massachusetts on will be reinvested in an approved noise DATES: Comments must be received on November 30, 2001. compatibility project as prescribed by or before February 8, 2002. Fran Favara, the Secretary of Transportation, or be ADDRESSES: Send all comments on the Acting Manager, Engine and Propeller paid to the Secretary of Transportation proposed AC to the Federal Aviation Directorate, Aircraft Certification Service. for deposit in the Trust Fund. Administration, Attn: Marc Bouthillier, [FR Doc. 01–30484 Filed 12–7–01; 8:45 am] DATES: Comments must be received on Engine and Propeller Standards Staff, BILLING CODE 4910–13–M or before January 9, 2002. ANE–110, Engine and Propeller Directorate, Aircraft Certification FOR FURTHER INFORMATION CONTACT: Mr. Service, 12 New England Executive DEPARTMENT OF TRANSPORTATION Lawrence C. King, Federal Aviation Park, Burlington, MA 01803–5299. Administration, Great Lakes Region, Federal Aviation Administration Detroit Airports District Office, DET FOR FURTHER INFORMATION CONTACT: ADO–670.2, Willow Run Airport, East, Marc Bouthillier, Engine and Propeller Public Notice For Waiver of 8820 Beck Road, Belleville, Michigan Standards Staff, ANE–110, at the above Aeronautical Land-Use Assurance; 48111, (734) 487–7293. Documents address, telephone (781) 238–7120, fax Toledo Express Airport; Toledo, OH reflecting this FAA action may be (781) 238–7199. If you have access to reviewed at this same location or at the Internet, you may also obtain further AGENCY: Federal Aviation Toledo Express Airport, Toledo, Ohio. information by writing to the following Administration, DOT. address: ‘‘[email protected]’’. SUPPLEMENTARY INFORMATION: Following ACTION: Notice of intent of waiver with SUPPLEMENTARY INFORMATION: is a legal description of the property respect to land. located in Lucas County, Ohio, and Comments Invited described as follows: SUMMARY: The Federal Aviation A copy of the proposed AC may be Administration (FAA) is considering a East 1 obtained by contacting the person proposal to change a portion of airport named under FOR FURTHER INFORMATION land from aeronautical use to non- A parcel of land being part of Lots 3 CONTACT, or Internet users may obtain a aeronautical use and to authorize the and 4 in Ellwood Farms and Lots 13 and copy at the following address: ‘‘http:// sale of the airport property. The 14 in Hamlin’s Subdivision, all in the www.airweb.faa.gov/rgl’’. Interested proposal consists of sixty-seven parcels Northeast quarter of Section 12, Town 7 persons are invited to comment on the of land totaling approximately 122.5 North, Range 9 East, Monclova proposed AC, and to submit such acres for industrial land use. Current Township, Lucas County, Ohio, and written data, views, or arguments as use and present condition is vacant being more particularly described as they desire. Commenters must identify grassland. There are no impacts to the follows: the subject of the AC, and submit airport by allowing the airport to Commencing at the point of intersection comments to the address specified dispose of this property. The land was of the South line of the Northeast above. All communications received on acquired under FAA Project No(s). AIP– quarter of said Section 12 with the or before the closing date for comments 3–39–0077–1190, AIP–3–39–0077–1692, Northeasterly line of the Ohio Turnpike, will be considered by the Engine and AIP–3–39–0077–1993, AIP–3–39–0077– said point being the TRUE POINT OF Propeller Directorate, Aircraft 2293, AIP–3–39–0077–2594, and AIP– BEGINNING of the parcel here in Certification Service, before issuance of 3–39–0077–2794. Approval does not described; the final AC. constitute a commitment by the FAA to thence on the Northeasterly line of the Background financially assist in the sale of the Ohio Turnpike, the following five calls: This draft advisory circular (AC) subject airport property nor a Northwesterly, on a curve to the right, would provide guidance and acceptable determination that all measures covered a distance of 692.28 feet to a point, said methods, but no the only methods that by the program are eligible for Airport curve having a radius of 22778.31 feet, may be used to demonstrate compliance Improvement Program funding from the a central angle of 01°44′29″, a chord with the fire prevention requirements FAA. The disposition of proceeds from bearing of North 70°43′05″ West, and a under Title 14 Code of Federal the sale of the airport property will be chord distance of 692.25 feet; South Regulations (14 CFR), part 33. Section in accordance with the FAA’s Policy 00°36′17″ West, a distance of 21.22 feet 33.17 is the primary section addressed and Procedures Concerning the Use of to a point; Northwesterly, on a curve to in this proposed AC, although other Airport Revenue, published in the the right, a distance of 209.03 feet to a sections of part 33 that address fire Federal Register on February 16, 1999. point, said curve having a radius of prevention may also be applicable. This proposal is for approximately 122.5 22798.31 feet, a central angle of Other related parts and sections are acres in total. 00°31′31″, a chord bearing of North listed in AC 20–135, Powerplant In accordance with section 47107(h) 69°36′09″ West, and a chord distance of Installation and Propulsion System of title 49, United States Code, this 209.03 feet; South 20°39′36″ West, a Component Fire Protection Methods, notice is required to be published in the distance of 10.00 feet to a point; Standards and Criteria, Appendix 1. Federal Register 30 days before Northwesterly, on a curve to the right, This proposed AC is intended to modifying the land-use assurance that a distance of 383.19 feet to the provide guidance relating to these requires the property to be used for an intersection with the West line of Lot 13 requirements, and is considered a aeronautical purpose. The proposed in Hamlin’s Subdivision, said curve supplement to AC 20–135. land will be used for commercial/ having a radius of 22808.31 feet, a This advisory circular would be industrial development, which will central angle of 00°57′45″, a chord published under the authority granted provide additional jobs in an bearing of North 68°51′31″ West, and a to the Administrator by 49 U.S.C. economically challenged area and chord distance of 383.19 feet;
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thence North 00°45′49″ East, on the thence south 89°32′19″ West, on the East 3 West line of said Lot 13, a distance of south line of Lot 2, a distance of 609.54 473.70 feet to a point; feet to the intersection with the East line A parcel of land being part of East ° ′ ″ of Lot 3 in Ellwood Farms; one-half of the West one-half of the thence North 45 32 23 East, a distance Northwest quarter of Section 1, Town 7 of 330.31 feet to the intersection with thence South 00°31′55″ West, on the North, Range 9 East, Springfield the Southwesterly right-of-way line of East line of Lot 3, a distance of 145.74 Township, Lucas County, Ohio, and Garden Road, said point being 30.00 feet feet to the intersection with the being more particularly described as Southwesterly from as measured at right Northeasterly right-of-way line of follows: angles to the centerline of Garden Road; Garden Road; thence South 44°27′37″ East, on the Commencing at the Southwest corner of thence Northwesterly, on a curve to the the Northwest quarter of Section 1, said Southwesterly right-of-way line of right, a distance of 36.44 feet to a point, Garden Road, said line being 30.00 feet point also being the intersection of the said curve having a radius of 522.94 centerline of Eber Road with the Southwesterly from and parallel to the ° ′ ″ feet, a chord bearing of North 46 27 45 centerline of Garden Road; centerline of Garden Road, a distance of West, and a chord distance of 36.43 feet; 1316.48 feet to a point; then South 89°25′45″ East, on the South ° ′ ″ thence South 45°32′23″ West, thence South 45 32 23 West, line of the Northwest quarter of Section continuing on the right-of-way line of continuing on the Northeasterly right-of- 1, also being the centerline of Garden Garden Road, a distance of 50.00 feet to way line of Garden Road, a distance of road (60 foot right-of-way), a distance of a point; 20.00 feet to a point that is 30.00 feet 670.38 feet to the intersection with the Northeasterly from as measured at right West line of the East one-half of the thence Southeasterly, on a curve to the angles to the centerline of Garden Road; left, a distance of 197.75 feet to the West one-half of the Northwest quarter ° ′ ″ intersection with the South line of the thence North 44 27 37 West, on a line of Section 1, said point also being the Northeast quarter of Section 2, said 30.00 feet Northeasterly from and TRUE POINT OF BEGINNING of the curve having a radius of 652.94 feet, a parallel to the centerline of Garden parcel herein described; central angle of 17°21′10″, a chord Road, a distance of 645.32 feet to the thence North 00°27′03″ East, on the said bearing of South 53°08′12″ East, and a intersection with the North line of Lot West line of the East one-half of the chord distance of 197.00 feet to a point; 4 in Ellwood Farms; West one-half of the Northwest quarter thence South 89°44′04″ West, on the thence North 89°32′02″ East, on the of Section 1, a distance of 656.52 feet to said South line of the Northeast quarter, North line of said Lot 4 and Lot 3, a the intersection with the North line of a distance of 54.18 feet to the TRUE distance of 497.11 feet to the Northeast the South 10 acres of the East one-half POINT OF BEGINNING of the parcel corner of Lot 3, also being the of the West one-half of the Northwest herein described, said parcel containing Southwest corner of Lot 6; quarter of Section 1; 12.6 acres of land, more or less, subject thence North 00°31′54″ East, on the thence South 89°25′45″ East, on the said to all easements, zoning restrictions of West line of Lot 6, a distance of 165.01 North line of the South 10 acres of the record and legal highways feet to the intersection with the North East one-half of the West one-half of the The bearings used herein are for the line of the South one-half of Lot 6; Northwest quarter of Section 1, a purpose of describing angles only and thence North 89°31′54″ East, on the said distance of 490.29 feet to the are not referenced to true or magnetic North line of the South one-half of Lot intersection with the East line of the North. This legal does not represent a 6, a distance of 638.91 feet to the West 120.00 feet of the East 300.00 feet boundary survey and is based on tax intersection with the West line of Eber of the South 10 acres of the East one- descriptions of the subject parcels. Road, said point being 30.00 feet half of the West one-half of the East 2 Westerly from as measured at right Northwest quarter of Section 1; ° ′ ″ A parcel of land being part of Lots 2, angles to the centerline of Eber Road; thence South 00 26 33 West, on the 3, 4 and 6 in Ellwood Farms in the thence on the West line of Eber Road, said East line of the West 120.00 feet of Northeast quarter of Section 2, Town 7 the following seven calls: South the East 300.00 feet of the South 10 North, Range 9 East, Monclova 00°27′34″ West, a distance of 292.75 feet acres of the East one-half of the West Township, Lucas County, Ohio, and to a point; North 89°32′26″ West, a one-half of the Northwest quarter of being more particularly described as distance of 10.00 feet to a point; South Section 1, a distance of 656.52 feet to follows: 00°27′34″ West, a distance of 75.00 feet the intersection with the South line of Commencing at the Southeast corner to a point; North 89°32′26″ West, a the Northwest quarter of Section 1, also of the Northeast quarter of said Section distance of 10.00 feet to a point; South being the centerline of Garden Road; 2, also being the intersection of the 00°27′34″ West, a distance of 100.00 feet thence North 89°25′45″ West, on the centerline of Eber Road (right-of-way to a point; North 89°32′26″ West, a south line of the Northwest quarter of varies), and the centerline of Garden distance of 10.00 feet to a point; South Section 1 and the centerline of Garden Road (right-of-way varies); 00°27′34″ West, a distance of 27.82 feet Road, a distance of 490.38 feet to the thence North 00°27′34″ East line of the to the TRUE POINT OF BEGINNING of TRUE POINT OF BEGINNING of the Northeast quarter, and the centerline of the parcel herein described, said parcel parcel herein described, said parcel Eber Road, a distance of 330.06 feet to containing 10.0 acres of land, more or containing 7.4 acres of land, more or a point; less, subject to all easements, zoning less, subject to all easements, zoning thence South 89°32′19″ West, a distance restrictions of record and legal highways restrictions of record and legal highways of 60.00 feet to a point on the south line The bearings used herein are for the The bearings used herein are for the of Lot 2 in Ellwood Farms, said point purpose of describing angles only and purpose of describing angles only and being on the West right-of-way line of are not referenced to true or magnetic are not referenced to true or magnetic Eber Road and being the TRUE POINT North. This legal does not represent a North. This legal does not represent a OF BEGINNING of the parcel here in boundary survey and is based on tax boundary survey and is based on tax described ; descriptions or the subject parcels. descriptions of the subject parcels.
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East 4 containing 17.0 acres of land, more or quarter of Section 1, Town 7 North, A parcel of land being part of East less, subject to all easements, zoning Range 9 East, Springfield Township, one-half of the Northwest quarter of restrictions of record and legal highways Lucas County, Ohio, and being more Section 1, Lots 145 through 160, Lot 176 The bearings used herein are for the particularly described as follows: and that portion of Leighton Drive purpose of describing angles only and Commencing at the center of said vacated in Trotter Whelan Co. Plat 3 are not referenced to true or magnetic Section 1, point also being on the centerline of Garden Road (60 foot right- Subdivision, all in Town 7 North, Range North. This legal does not represent a boundary survey and is based on tax of-way); 9 East, Springfield Township, Lucas ° ′ ″ County, Ohio, and being more descriptions of the subject parcels. thence South 90 25 45 East, on the south line of the Northeast quarter of particularly described as follows: East 5 Commencing at the Southeast corner Section 1, and on the centerline of of Lot 145 in Trotter Whelan Co. Plat 3, A parcel of land being Lots 119 Garden Road, a distance of 335.09 feet also being the intersection of the North through 144 in Trotter Whelan Co. Plat to the Intersection with the West line of line of Garden Road and West line of 3 Subdivision, in Town 7 North, Range the East one-half of West one-half of the Mescher road, said point being the 9 East, Springfield Township, Lucas Southwest quarter of the Northeast TRUE POINT OF BEGINNING of the County, Ohio, and being more quarter of Section 1, said point being the parcel herein described; particularly described as follows: TRUE POINT OF BEGINNING of the Commencing at the Southeast corner parcel herein described; thence North 89°25′45″ West, on the of Lot 142 in Trotter Whelan Co. Plat 3, thence North 00°25′22″ East, on the said South line of Lots 145 through 147 in being on the North right-of-way line of said Trotter Whelan Co. Plat 3, also West line of the East one-half of the Garden Road, said point being the TRUE West one-half of the Southwest quarter being the North right-of-way line of POINT OF BEGINNING of the parcel Garden Road, said line of the Northwest of the Northeast quarter of Section 1, a herein described; distance of 665.12 feet to the quarter of Section 1, a distance of 348.60 ° ′ ″ feet to the Southwest corner of said Lot thence North 89 25 45 West, on the intersection with the North line of the 147; South line of Lots 142 through 144 in South one-half of the West one-half of said Trotter Whelan Co. Plat 3, and on the Southeast quarter of the Northeast thence South 00°25′32″ West, a distance the North right-of-way line of Garden quarter of Section 1; of 40.00 feet to the intersection with the Road, said line being 40.00 feet ° ′ ″ South line of the Northwest quarter of thence South 89 29 09 East, on the said Northerly of and parallel to the South North line of the South one-half of the Section 1, also being the centerline of line of the Northwest quarter of Section Garden Road; West one-half of the Southeast quarter 1, a distance of 328.70 feet to the of the Northeast quarter of Section 1, a thence North 89°25′45″ West, on the Southwest corner of said Lot 144, also distance of 335.06 feet to the South line of the Northwest quarter of being the intersection with the East line intersection with the East line of the Section 1, also being the centerline of of Mescher Drive (80 foot right-of-way); West one-half of the Southwest quarter Garden Road (60 foot right-of-way), a thence North 00°25′32″ East, on the East of the Northeast quarter of Section 1; distance of 486.97 feet to the line of said Mescher Drive and as ° ′ ″ intersection with the East line of the thence South 00 25 12 West, on the extended past Leighton Drive and Block said East line of the West one-half of the West 96.75 feet of the East one-half of Drive, also being the West line of Lots the Northwest quarter of Section 1; Southwest quarter of the Northeast 119 through 144, a distance of 2617.72 quarter of Section 1, a distance of 665.45 thence North 00°26′33″ East, on the said feet to the Northwest corner of Lot 119; feet to the intersection with the South East line of the West 96.75 feet of the thence South 89°40′48″ East, on the line of the Northeast quarter of Section East one-half of the Northwest quarter of North line of Lot 119, a distance of 1, also being the centerline of Garden Section 1, a distance of 441.13 feet to 328.7 feet to the Northeast corner of Lot Road; the intersection with the centerline of a 119 at the intersection with the East line ° ′ ″ ditch; thence North 89 25 45 West, on the of the Northwest quarter of Section 1; South line of the Northeast quarter of thence South 79°30′54″ East, on the thence South 00°25′32″ West, on the Section 1, and on the centerline of centerline of said ditch, a distance of said East line of Lots 119 through 144 Garden Road, a distance of 335.09 feet 494.44 feet to the intersection with the and Lots 174 and 175 also being the East to the TRUE POINT OF BEGINNING of West line of Lot 148 in Trotter Whelan line of the Northwest quarter of Section the parcel herein described, said parcel Co. Plat 3; 1, a distance of 2619,16 feet to the TRUE ° ′ ″ containing 5.1 acres of land, more or thence North 00 25 32 East, on the POINT OF BEGINNING of the parcel less, subject to all easements, zoning West line of Lots 148 through 160 and herein described, said parcel containing restrictions of record and legal highways Lot 176, a distance of 1251.00 feet to the 19.7 acres of land, more or less, subject The bearings used herein are for the Northwest corner of Lot 160; to all easements, zoning restrictions of ° ′ ″ purpose of describing angles only and thence South 89 34 28 East, on the record and legal highways, excepting are not referenced to true or magnetic North line of Lot 160, a distance of that part of the previously described North. This legal does not represent a 348.60 feet to the Northeast corner of parcel lying within the right-of-way’s of boundary survey and is based on tax Lot 160, on the Westerly right-of-way Leighton Drive and Block Drive descriptions of the subject parcels. line of Mescher Drive (80 foot right-of- The bearings used herein are for the way); purpose of describing angles only and East 7 thence South 00°25′32″ West, on the are not referenced to true or magnetic A parcel of land being part of the East line of Lots 145 through 160, and North. This legal does not represent a Southwest quarter of the Northeast the East line of that portion of Leighton boundary survey and is based on tax quarter of Section 1, Town 7 North, Drive vacated, said line also being the descriptions of the subject parcels. Range 9 East, Springfield Township, Westerly right-of-way line of Mescher Lucas County, Ohio, and being more Drive, a distance of 1567.88 feet to the East 6 particularly described as follows: TRUE POINT OF BEGINNING of the A parcel of land being part of the Commencing at the Southeast corner parcel herein described, said parcel Southwest quarter of the Northeast of the Southwest quarter of the
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Northeast quarter of Section 1, said the centerline of Crissey Road, a feet to the TRUE POINT OF BEGINNING point being on the centerline of Garden distance of 289.97 feet to a point; of the parcel herein described, said Road (60 foot right-of-way) and also thence North 89°51′04″ West, a distance parcel containing 6.0 acres of land, more being the TRUE POINT OF BEGINNING of 1502.37 feet to the intersection with or less, subject to all easements, zoning of the parcel herein described; the West line of said Lot 1, also being restrictions of record and legal highways thence North 89°25′45″ West, on the the West line of Fractional Section 6; The bearings used herein are for the South line of the Northeast quarter of thence North 00°24′14″ East, on the East purpose of describing angles only and Section 1 and on the centerline of line of Original Lot 1, a distance of are not referenced to true or magnetic Garden Road, a distance of 30.13 feet to 289.95 feet to the intersection with the North. This legal does not represent a a point; North line of Original Lot 1, also being boundary survey and is based on tax thence North 00°32′19″ East, a distance the North line of Fractional Section 6; descriptions of the subject parcels. of 732.50 feet to a point; thence South 89°51′04″ East, on the East 11 thence North 89°25′45″ West, a distance North line of Original Lot 1, and the A parcel of land being part of the of 306.51 feet to a point; North line of Fractional Section 6, a Northwest quarter of Section 12, Town thence South 00°25′03″ West, a distance distance of 1504.36 feet to the TRUE 7 North, Range 9 East, Springfield of 732.50 feet to the intersection with POINT OF BEGINNING of the parcel Township, Lucas County, Ohio, and the South line of the Northeast quarter herein described, said parcel containing being more particularly described as of Section 1, also being the centerline of 10.0 acres of land, more or less, subject follows: Garden Road; to all easements, zoning restrictions of Commencing at the Northwest corner record and legal highways of the Northwest quarter of Section 12, thence North 89°25′45″ West, on the The hearings used herein are for the said point also being the intersection of South line of the Northeast quarter of purpose of describing angles only and the centerline of Eber Road (60 foot Section 1 and the centerline of Garden are not referenced to true or magnetic right-of-way), and also being the TRUE Road, a distance of 221.22 feet to a North. This legal does not represent a POINT OF BEGINNING of the parcel point; boundary survey and is based on tax herein described; ° ′ ″ thence North 00 25 12 East, a distance descriptions of the subject parcels. thence North 89°39′14″ East, on the of 1331.12 feet to the intersection with East 10 North line of the Northwest quarter of the North line of the Southwest quarter Section 12 and the centerline of of the Northeast quarter of Section 1; A parcel of land being part of the Weckerly Road, a distance of 1154.40 thence South 89°32′31″ East, on the said Southwest quarter of Section 1, Town 7 feet to the intersection with a line that North line of the Southwest quarter of North, Range 9 East, Springfield is 187.00 feet Westerly from and parallel the Northeast quarter of Section 1, a Township, Lucas County, Ohio, and to the East line of the Northwest quarter distance of 556.18 feet to the being more particularly described as of the Northwest quarter of Section 12; intersection with the East line of the follows: thence South 00°48′25″ West, on the Southwest quarter of the Northeast Commencing at the Southwest corner said line that is 187.00 feet Westerly quarter of Section 1; of said Section 1, said point being the from and parallel to the East line of the thence South 00°24′53″ West, on the point of intersection of the centerline of Northwest quarter of the Northwest East line of the Southwest quarter of the Eber Road (60 foot right-of-way) and the quarter of Section 12, a distance of Northeast quarter of Section 1, a centerline of Weckerly Road (60 foot 487.20 feet to the intersection with a distance of 1332.22 feet to the TRUE right-of-way), and also being the TRUE line that is 487.20 feet Southerly from POINT OF BEGINNING of the parcel POINT OF BEGINNING of the parcel and parallel to the North line of the herein described, said parcel containing herein described; Northwest quarter of Section 12; 11.8 acres of land, more or less, subject thence North 00°59′13″ East, on the thence North 89°39′14″ East, on the said to all easements, zoning restrictions of West line of the Southwest quarter of line being 487.20 feet Southerly from record and legal highways Section 1 also being the centerline of and parallel to the North line of the The bearings used herein are for the Eber Road, a distance of 194.83 feet to Northwest quarter of Section 12, a purpose of describing angles only and the intersection with the North line of distance of 187.04 feet to the are not referenced to true or magnetic the South 6 acres of the West one-half intersection with the East line of the North. This legal does not represent a of the Southwest quarter of Section 1; Northwest quarter of the Northwest boundary survey and is base don tax thence North 89°39′14″ East, on the said quarter of Section 12; descriptions of the subject parcels. North line of the South 6 acres of the thence South 00°48′25″ West, on the West one-half of the Southwest quarter said East line of the Northwest quarter East 8 of Section 1, a distance of 1341.41 feet of the Northwest quarter of Section 12, A parcel of land being part of Original to the intersection with the East line of a distance of 324.97 feet to the Lot 1 in Fractional Section 6, Town 7 the West one-half of the Southwest intersection with the South line of the North, Range 10 East, Springfield quarter of Section 1; North 25 acres of the Northwest quarter Township, Lucas County, Ohio, and thence South 00°58′47″ West, on the of the Northwest quarter of Section 12; being more particularly described as East line of the West one-half of the thence South 89°39′14″ West, on the follows: Southwest quarter of Section 1, a said South line of the North 25 acres of Commencing at the Northeast corner distance of 194.83 feet to the the Northwest quarter of the Northwest of said Original Lot 1, point being on the intersection with the South line of the quarter of Section 12, a distance of centerline of Crissey Road (60 foot right- Southwest quarter of Section 1, also 1339.07 feet to the intersection with the of-way), said point also being the TRUE being the centerline of Weckerly Road; West line of the Northwest quarter of POINT OF BEGINNING of the parcel thence South 89°39′14″ West, on the Section 12, also being the centerline of herein described; South line of the Southwest quarter of Eber Road; thence South 00°47′46″ West, on the Section 1, and the centerline of thence North 00°38′24″ East, on the East line of said Original Lot 1, and on Weckerly Road, a distance of 1341.43 West line of the Northwest quarter of
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Section 12 and the centerline of Eber International Airport are in compliance to a noise compatibility program or to Road, a distance of 812.12 feet to the with applicable requirements of Part fund implementation of that program. TRUE POINT OF BEGINNING of the 150, effective December 3, 2001. If questions arise concerning the parcel herein described, said parcel Further, FAA is reviewing a proposed precise relationship of specific containing 22.9 acres of land, more or noise compatibility program for that properties to noise exposure contours less, subject to all easements, zoning airport which will be approved or depicted on noise exposure maps restrictions of record and legal highways disapproved on or before June 3, 2002. submitted under 49 U.S.C. 47503, it The bearings used herein are for the This notice also announces the should be noted that the FAA is not purpose of describing angles only and availability of this program for public involved in any way in determining the are not referenced to true or magnetic review and comment. relative locations of specific properties North. This legal does not represent a Under 49 U.S.C. 47503(a), and airport with regard to the depicted noise boundary survey and is based on tax operator may submit to the FAA a noise contours, or in interpreting the noise descriptions of the subject parcels. exposure map which meets applicable exposure maps to resolve questions regulations and which depicts concerning, for example, which Issued in Belleville, Michigan, October 5, noncompatible land uses as of the date properties should be covered by the 2001. of submission of such map, a provisions of 49 U.S.C. 47507. These Irene R. Porter, description of projected aircraft functions are inseparable from the Manager, Detroit Airports District Office, operations, and the ways in which such ultimate land control and planning Great Lakes Region. operations will affect such map. 49 responsibilities of local government. [FR Doc. 01–30486 Filed 12–7–01; 8:45 am] U.S.C. 47503 (a)(1) requires such maps These local responsibilities are not BILLING CODE 4910–13–M to be developed in consultation with changed in any way under Part 150 or interested and affected parties in the through FAA’s review of noise exposure local community, government agencies maps. Therefore, the responsibility for DEPARTMENT OF TRANSPORTATION and persons using the airport. the detailed overlaying of noise An airport operator who has exposure contours onto the maps Federal Aviation Administration submitted a noise exposure map that depicting properties on the surface rests has been found by FAA to be in Noise Exposure Map Notice and exclusively with the airport operator compliance with the requirements of Receipt of Noise Compatibility which submitted those maps, or with Federal Aviation Regulation (FAR) Part Program and Request for Review those public agencies and planning 150, promulgated pursuant to 49 U.S.C. agencies with which consultation is AGENCY: Federal Aviation 47503 (A) may submit a noise required under 49 U.S.C. 47503(a)(1). Administration, DOT. compatibility program for FAA approval The FAA has relied on the certification ACTION: Notice. which sets forth the measures the by the airport operator, under section operator has taken or proposes for the 150.21 of the FAR part 150, that the SUMMARY: The Federal Aviation reduction of existing noncompatible statutorily required consultation has Administration (FAA) announces its uses and for the prevention of the been accomplished. determination that the noise exposure introduction of additional The FAA has formally received the maps submitted by Seattle-Tacoma noncompatible uses. noise compatibility program for Seattle- Internation Airport under the provisions The Manager of the Airfield Line of Tacoma International Airport, also of 49 U.S.C. 47503 (a) and 14 CFR part Business of Seattle-Tacoma effective on December 3, 2001. 150 are in compliance with applicable International Airport submitted to the Preliminary review of the submitted requirements. The FAA also announces FAA noise exposure maps, descriptions material indicates that it conforms to the that its is reviewing the proposed noise and other documentation which were requirements for the submittal of noise compatibility program that was produced during an airport Noise compatibility programs, but that further submitted for Seattle-Tacoma Compatibility Study. It was requested review will be necessary prior to International Airport under Part 150 in that the FAA review the noise approval or disapproval of the program. conjunction with the noise exposure mitigation measures be approved as a The formal review period, limited by maps, and that this program will be noise compatibility program under 49 law to a maximum of 180 days, will be approved or disapproved on or before U.S.C. 47504. completed on or before June 3, 2002. June 3, 2002. The FAA has completed its review of The FAA’s detailed evaluation will be the noise exposure maps and related conducted under the provisions of 14 EFFECTIVE DATE: The effective date of the descriptions submitted by Seattle- CFR part 150, paragraph 150.33. The FAA’s determination on the Seattle- Tacoma Internation Airport. The primary considerations in the Tacoma International Airport noise specific maps under consideration are evaluation process are whether the exposure maps and the start of its Figures C40 and F1 in the submission. proposed measures may reduce the level review of the associated noise The FAA has determined that these of aviation safety, create an undue compatibility program is December 3, maps for Seattle-Tacoma International burden on interstate or foreign 2001. The public comment period ends Airport are in compliance with commerce, or be reasonably consistent January 31, 2002. applicable requirements. This with obtaining the goal of reducing FOR FURTHER INFORMATION CONTACT: determination is effective on December existing noncompatible land uses and Dennis Ossenkop, FAA, Airports 3, 2001. FAA’s determination on an preventing the introduction of Division, ANM–611, 1601 Lind Avenue, airport operator’s noise exposure maps additional noncompatible land uses. SW., Renton, Washington, 98055–4056. is limited to the determination that the Interested persons are invited to Comments on the proposed noise mans were developed in accordance comment on the proposed program with compatibility program should also be with the procedures contained in specific reference to these factors. All submitted to the above office. Appendix A of FAR Part 150. Such comments, other than those properly SUPPLEMENTARY INFORMATION: The notice determination does not constitute addressed to the local land use announces that the FAA finds that the approval of the applicant’s data, authorities, will be considered by the noise exposure maps for Seattle-Tacoma information or plans, or a commitment FAA to the extent practicable. Copies of
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the noise exposure maps, the FAA’s be mailed or delivered to Mr. Dan E. Issued in Renton, Washington on evaluation of the maps, and the Mann, Airport Manager, at the following December 3, 2001. proposed noise compatibility program address: Natrona County International Warren D. Ferrell, are available for examination at the Airport, 8500 Airport Parkway, Casper, Acting Manager, Planning, Programming, and following locations: Wyoming 82604. Capacity Branch, Northwest Mountain Federal Aviation Administration, 800 Air Carriers and foreign air carriers Region. Independence Avenue, SW., Room may submit copies of written comments [FR Doc. 01–30485 Filed 12–17–01; 8:45 am] 621, Washington, DC. previously provided to the Natrona BILLING CODE 4910–13–M Federation Aviation Administration, County International Airport, under Airports Division, Suite 315, 1601 section 158.23 of part 158. DEPARTMENT OF TRANSPORTATION Lind Avenue, SW., Renton, FOR FURTHER INFORMATION CONTACT: Mr. Washington. Chris Schaffer, (303) 342–1258; Denver National Highway Traffic Safety Federal Aviation Administration, Airports District Office, DEN–ADO; Administration Seattle Airports District Office, 1601 Federal Aviation Administration; 26805 Lind Ave. SW., Suite 250, Renton, E. 68th Avenue, Suite 224; Denver, CO Reports, Forms and Record Keeping Washington. 80249–6361. The application may be Requirements; Agency Information Seattle-Tacoma International Airport, reviewed in person at this same Collection Activity Under OMB Review Noise Abatement Office, Main location. Terminal, Room 6619, Mezzanine AGENCY: National Highway Traffic Level, Seattle, Washington. SUPPLEMENTARY INFORMATION: The FAA Safety Administration, DOT. Questions may be directed to the proposes to rule and invites public ACTION: Notice. individual named above under the comment on the application (02–05–C– SUMMARY: In compliance with the heading, FOR FURTHER INFORMATION 00–CPR) to impose and use a PFC at Paperwork Reduction Act of 1995 (44 CONTACT. Natrona County International Airport, under the provisions of 49 U.S.C. 40117 U.S.C. 3501 et seq.), this notice Issued in Renton, Washington, December 3, and part 158 of the Federal Aviation announces that the Information 2001. Regulations (14 CFR part 158). Collection Request (ICR) abstracted Lowell H. Johnson, On December 3, 2001, the FAA below has been forwarded to the Office Manager, Airports Division, ANM–600, determined that the application to of Management and Budget (OMB) for Northwest Mountain Region. impose and use a PFC submitted by the review and comment. The ICR describes [FR Doc. 01–30483 Filed 12–7–01; 8:45 am] County of Natrona, Wyoming, was the nature of the information collections BILLING CODE 4910–13–M substantially complete within the and their expected burden. The Federal requirements of section 158.25 of part Register Notice with a 60-day comment 158. The FAA will approve or period was published on February 28, DEPARTMENT OF TRANSPORTATION disapprove the application, in whole or 2001 [66 FR 12829–12831]. Federal Aviation Administration part, no later than February 26, 2002. DATES: Comments must be submitted on The following is a brief overview of or before January 9, 2002. Notice of Intent To Rule on Application the application. FOR FURTHER INFORMATION CONTACT: (02–05–C–00–CPR) To Impose and Use Level of the proposed PFC: $4.50. Alberto Jimenez at the National a Passenger Facility Charge (PFC) at Proposed charge effective date: Highway Traffic Safety Administration, the Natrona County International January 1, 2002. Office of Defects and Investigations (NSA–10.1), 202–366–5212. 400 Airport, Submitted by the County of Proposed charge expiration date: Seventh Street, SW, Room 5219, Natrona, WY October 1, 2010. Washington, DC 20590. AGENCY: Federal Aviation Total requested for use approval: SUPPLEMENTARY INFORMATION: Administration (FAA), DOT. $2,660,000. ACTION: Notice of intent to rule on Brief description of proposed projects: National Highway Traffic Safety application. Rehabilitate aircraft parking apron, Administration Terminal renovation, Rehabilitative Title: Consumer Complaint/Recall SUMMARY: The FAA proposes to rule and taxiway C, Acquire snow removal Audit Information. invites public comments on the equipment. OMB Number: 2127—0008. application to impose and use a PFC at Class or classes of air carriers which Type of Request: Reinstatement, with the Natrona County International the public agency has requested not be change, of a previously approved Airport under the provisions of 49 required to collect PFC’s: None. collection for which approval has U.S.C. 40117 and Part 158 of the Federal Any person may inspect the expired. Aviation Regulations (14 CFR 158). application in person at the FAA office Abstract: Vehicle owners provide the DATES: Comments must be received on listed above under FOR FURTHER agency with information on problems or before January 9, 2002. INFORMATION CONTACT and at the FAA they are experiencing with their ADDRESSES: Comments on this Regional Airports Office located at: vehicles/equipment by an initial call to application may be mailed or delivered Federal Aviation Administration, the agency’s toll-free Auto Safety in triplicate to the FAA at the following Northwest Mountain Region, Airports Hotline and by written letters. A Vehicle address: Alan Wiechmann, Manager, Division, ANM–600, 1601 Lind Avenue Owner’s Questionnaire (VOQ), HS Form Denver Airports District Office, DEN– S.W., Suit4e 315, Renton, WA 98055– 350, or HS Form 350C is forwarded to ADO; Federal Aviation Administration, 4056. In addition, any person may, upon the owner. A cover letter of explanation 26805 E. 68th Avenue, Suite 224; request, inspect the application, notice is also sent with the VOQs. The letter is Denver, CO 80249–6361. and other documents germane to the to facilitate and simplify the collection In addition, one copy of any application in person at the Natrona process on the complaint. Frequently, comments submitted to the FAA must County International Airport. written letters do not provide complete
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data of the specific problem(s) on the announces that the Information automated collection techniques or vehicle or equipment. If incomplete Collection Request (ICR) abstracted other forms of information technology. information is received, the HS–350 is below has been forwarded to the Office A Comment to OMB is most effective sent to the owner for additional of Management and Budget (OMB) for if OMB receives it within 30 days of information. If the problem concerns a review and comment. The ICR describes publication. child safety seat, the HS–350C, is sent. the nature of the information collections Issued in Washington, D.C., on November The information received on these forms and their expected burden. The Federal 26, 2001. is essential to NHTSA’s defects Register Notice with a 60-day comment Delmas Johnson, investigation program. The thousands of period was published on May 1, 2001 Acting Associate Administrator for individual reports received each year [66 FR 21816–21817]. Administration. are used to help identify safety DATES: Comments must be submitted on [FR Doc. 01–30419 Filed 12–7–01; 8:45 am] problems for investigation and possible or before January 9, 2002. BILLING CODE 4910–59–P recalls. This information identifies FOR FURTHER INFORMATION CONTACT: defect trends in vehicles and vehicle Deborah Mazyck at the National equipment and alerts the agency of Highway Traffic Safety Administration, DEPARTMENT OF TRANSPORTATION these problems. Office of Safety Performance Standards Affected Public: Individuals or National Highway Traffic Safety (NPS–32), 202–366–0846. 400 Seventh households. Administration Estimated Total Annual Burden: Street, SW, Room 6240, Washington, DC 45,045. 20590. Reports, Forms and Record Keeping ADDRESS: Send comments, within 30 SUPPLEMENTARY INFORMATION: Requirements; Agency Information days, to the Office of Information and National Highway Traffic Safety Collection Activity Under OMB Review Regulatory Affairs, Office of Administration AGENCY: National Highway Traffic Management and Budget, 725–17th Safety Administration, DOT. Street, NW., Washington, DC 20503, Title: 49 CFR part 541, Consolidated Attention NHTSA Desk Officer. Labeling Requirements for 49 CFR ACTION: Notice. 571.115, parts 565, 541, and 567. Comments are invited on: Whether SUMMARY: In compliance with the the proposed collection of information OMB Number: 2127–0510. Paperwork Reduction Act of 1995 (44 is necessary for the proper performance Type of Request: Extension of a U.S.C. 3501 et seq.), this notice of the functions of the Department, currently approved information announces that the Information including whether the information will collection. Collection Request (ICR) abstracted have practical utility; the accuracy of Abstract: The Motor Vehicle below has been forwarded to the Office the Departments estimate of the burden Information and Cost Savings Act was of Management and Budget (OMB) for of the proposed information collection; amended by the Anti-Car Theft Act of review and comment. The ICR describes ways to enhance the quality, utility and 1992 (Pub. L. 102–519). The enacted the nature of the information collections clarity of the information to be Theft Act state that passenger vehicles, and their expected burden. The Federal collected; and ways to minimize the and light-duty trucks with a gross Register Notice with a 60-day comment burden of the collection of information vehicle weight rating of 6,000 pounds or period was published on February 28, on respondents, including the use of less be covered under the Theft 2001 [66 FR 12829—12831]. automated collection techniques or Prevention Standard. Each major DATES: Comments must be submitted on other forms of information technology. component part must be either labeled or before January 9, 2002. A comment to OMB is most effective if or affixed with the VIN and its OMB receives it within 30 days of replacement component part must be FOR FURTHER INFORMATION CONTACT: publication. marked with the DOT symbol, the letter Alberto Jimenez at the National (R) and the manufacturers’ logo. Highway Traffic Safety Administration, Issued in Washington, D.C., on November Office of Defects and Investigations 26, 2001. Affected Public: Individuals or households, business or other for-profit. (NSA–10.1), 202–366–5212. 400 Delmas Johnson, Seventh Street, SW., Room 5219, Estimated Total Annual Burden: Acting Associate Administrator for Washington, DC 20590. Administration. 456,212. SUPPLEMENTARY INFORMATION: [FR Doc. 01–30418 Filed 12–7–01; 8:45 am] ADDRESSES: Send comments, within 30 BILLING CODE 4910–59–P days, to the Office of Information and National Highway Traffic Safety Regulatory Affairs, Office of Administration Management and Budget, 725–17th Title: Voluntary Child Safety DEPARTMENT OF TRANSPORTATION Street, NW., Washington, DC 20503, Registration Form. Attention NHTSA Desk Officer. OMB Number: 2127—0576. National Highway Traffic Safety Comments are invited on: Whether Type of Request: Reinstatement, with Administration the proposed collection of information change, of a previously approved is necessary for the proper performance collection for which approval has Reports, Forms and Record Keeping of the functions of the Department, expired. Requirements; Agency Information including whether the information will Abstract: Chapter 301 of Title 49 of Collection Activity Under OMB Review have practical utility; the accuracy of the United States Code provides that if AGENCY: National Highway Traffic the Departments estimate of the burden either NHTSA or a manufacturer Safety Administration, DOT. of the proposed information collection; determines that motor vehicles or items ACTION: Notice. ways to enhance the quality, utility and of motor vehicle equipment contain a clarity of the information to be defect that relates to motor vehicle SUMMARY: In compliance with the collected; and ways to minimize the safety or fail to comply with an Paperwork Reduction Act of 1995 (44 burden of the collection of information applicable Federal Motor Vehicle Safety U.S.C. 3501 et seq.), this notice on respondents, including the use of Standard, the manufacturer must notify
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owners and purchasers of the defect or in which rail carriers deal with would be imposed when cars are not noncompliance and must provide a interchange delays. However, because pulled from interchange within remedy without charge. Pursuant to 49 issues regarding interchange delays are specified time limits. UP asserts that CFR Part 577 Defects and usually addressed under the framework such interchange issues are subject to noncompliance notification for of the industry-wide Car Service and the CS/CH Agreement and CS/CH Rules, equipment items, including child safety Car Hire Agreement (CS/CH Agreement) unless the rail carriers enter into seats, must be sent ‘‘by first class mail and Code of Car Service Rules/Code of alternative agreements. UP seeks a to the most recent purchaser known to Car Hire Rules (CS/CH Rules) declaration from the Board that, under the manufacturer.’’ In the absence of a administered by the Association of 49 U.S.C. 11121, a rail carrier may not registration system, many owners of American Railroads (AAR), we are unilaterally impose such charges on child safety seats are not notified of requesting that, before we take action, another carrier for delayed interchange safety defects and noncompliance, since AAR convene a meeting with railroads, of cars, either by ‘‘tariff’’ or otherwise, the manufacturer is not aware of their shippers, and other involved parties to and that interchange-related charges identities. discuss ways to address issues imposed by one rail carrier on another Affected Public: Individuals or concerning delays in the interchange of must be either permitted by agreement households. railroad cars between railroads, and to of the carriers involved or specifically Estimated Total Annual Burden: 120. develop proposals for addressing authorized by the Board. ADDRESSES: Send comments, within 30 incidences of traffic delays associated Comments were received from Class I days, to the Office of Information and with such interchange. We are further railroads, short line railroads, shippers, Regulatory Affairs, Office of requesting that AAR file a report with and labor interests.1 A substantial Management and Budget, 725–17th the Board, describing the progress made number of these comments focused on Street, NW, Washington, DC 20503, at the meeting(s) and recommending the effect that a declaratory order might Attention NHTSA Desk Officer. how best to proceed to resolve these have on switching services in the Comments are invited on: Whether issues. vicinity of Chicago, IL. We have the proposed collection of information DATES: We request that AAR convene a considered all of the comments is necessary for the proper performance meeting with railroads, shippers and carefully, and we find that there are of the functions of the Department, other involved parties, as described significant issues to be resolved, which including whether the information will herein, by February 8, 2002. Additional could have an impact on the important have practical utility; the accuracy of meetings may be held as determined by matter of fluidity throughout the rail the Departments estimate of the burden AAR and the involved parties. AAR’s system. Because we believe that of the proposed information collection; report, as described herein, is due by resolution of these issues can best be ways to enhance the quality, utility and March 11, 2002. achieved through the cooperation of all clarity of the information to be ADDRESSES: The original and 10 copies segments of the railroad industry, rather collected; and ways to minimize the of AAR’s report, referring to STB Docket than a decision by the Board on a burden of the collection of information No. 42052, should be sent to: Surface particular controversy, we are deferring on respondents, including the use of Transportation Board, Office of the final Board action to provide an automated collection techniques or Secretary, Case Control Unit, 1925 K opportunity for such private-sector other forms of information technology. Street, NW., Washington, DC 20423– discussions. A comment to OMB is most effective 0001, ATTN: STB Docket No. 42052. Discussion and Conclusions if OMB receives it within 30 days of AAR should also make a copy of its publication. report available to all participants in the Interchange of traffic among railroads meeting, and any other involved parties is a fundamental operational component Issued in Washington, DC, on November of the national railroad network. It is 26, 2001. upon request. important that interchange be Delmas Johnson, FOR FURTHER INFORMATION CONTACT: Beryl Gordon, (202) 565–1600. [TDD for accomplished in an economical and Acting Associate Administrator for the hearing impaired: 1–800–877–8339.] efficient manner. The interchange of Administration. traffic is typically a straightforward and [FR Doc. 01–30420 Filed 12–7–01; 8:45 am] SUPPLEMENTARY INFORMATION: By notice served and published June 13, 2000, 65 reasonably uniform process in which all BILLING CODE 4910–59–P FR 37205, in response to a petition filed carriers participate for the benefit of by Union Pacific Railroad Company themselves and the shipping public. Sometimes parties differ as to how DEPARTMENT OF TRANSPORTATION (UP), a declaratory order proceeding was instituted by the Board under 5 such interchange can be accomplished Surface Transportation Board U.S.C. 554(e) to address questions to best meet the needs of all concerned. concerning the right of a rail carrier to We can resolve these sorts of disputes, [STB Docket No. 42052] impose penalty charges unilaterally if the parties cannot do so themselves, against other rail carriers for delays in and we will resolve the issues raised Union Pacific Railroad Company— here if it is necessary for us to do so. Petition for Declaratory Order— accepting cars in interchange. Comments were requested from However, the national railroad system Unilaterally Imposed Interchange functions best on the basis of good faith Charges interested parties. As indicated in our notice, the cooperation among all railroads, both AGENCY: Surface Transportation Board, controversy centers on ‘‘tariff’’ 1 Indiana Harbor Belt has moved to strike portions DOT. provisions issued by respondents of UP’s reply, tendering, in the alternative, a ACTION: Notice of further proceedings. Indiana Harbor Belt Railroad Company surreply to what it asserts are new arguments (Indiana Harbor Belt), Iowa Interstate presented in that reply. UP filed a reply to the SUMMARY: This proceeding was Railroad, Ltd., and City of Tacoma, motion to strike and, in the alternative, a surreply. Given our action here, we do not find good cause instituted by the Surface Transportation Tacoma Public Utilities, d/b/a Tacoma to strike the challenged material, nor will any party Board (Board) in response to a request Rail and Tacoma Beltline Railroad, be prejudiced by leaving it (and UP’s and Indiana for a declaratory order concerning ways pursuant to which penalty charges Harbor Belt’s surreplies) in the record.
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large and small. If we were to rule Coordination Office. Most recently, we 3. AAR should provide a report to the against UP and find that carriers are not directed railroads to negotiate, in Board by March 11, 2001. AAR should prohibited from unilaterally imposing accordance with a 1986 agreement, also make a copy of its initial report interchange charges, the result could be concerning disputes with private tank available to all meeting participants, a variety of charges, imposed pursuant car owners about certain charges being and any other involved parties upon to the actions of one carrier and the levied by The Burlington Northern and request. responses of another, that would not be Santa Fe Railway Company and UP.5 4. This decision is effective on conducive to the cooperation necessary As signatories to the CS/CH December 10, 2001. for a seamless, efficient national rail Agreement, operating railroads, Decided: December 3, 2001. network. The U.S. Department of including Class I, short line, regional By the Board, Chairman Morgan, Vice Transportation filed comments and terminal railroads, have agreed to Chairman Clyburn, and Commissioner suggesting that we urge the rail industry use the CS/CH Rules as a means both to Burkes. to meet and attempt to negotiate an coordinate their operations and to Vernon A. Williams, effective and equitable resolution of resolve areas of dispute that arise. Secretary. these issues. We agree that broader Accordingly, we are requesting AAR to industry discussion of those issues convene a meeting with shippers, [FR Doc. 01–30467 Filed 12–7–01; 8:45 am] would be preferable. Therefore, in the railroads, and other involved parties to BILLING CODE 4915–00–P spirit of cooperation, before we discuss more fully the available means undertake to resolve this matter, we will of improving coordination of DEPARTMENT OF TRANSPORTATION first give those directly affected by the interchange of traffic in Chicago and issues UP has raised, both in the elsewhere, and file a report with the Surface Transportation Board Chicago area and elsewhere, an Board. The report should describe the opportunity to establish workable results of the meeting and should [STB Docket No. AB–55 (Sub–No. 601X)] solutions. present suggestions for the best ways to The Board has successfully address issues concerning delays in CSX Transportation, Inc.— encouraged private-sector negotiation to interchange, including the appropriate Abandonment Exemption—in Lenoir resolve other difficult issues. For use of the CS/CH Rules.6 AAR should County, NC example, during implementation of the explain if changes are needed to the On November 20, 2001, CSX merger between UP and Southern terms and application of the CS/CH Transportation, Inc. (CSXT) filed with Pacific Transportation Company and its Rules, why they may be needed, how the Surface Transportation Board affiliates,2 UP was directed to convene these changes may most effectively be (Board) a petition under 49 U.S.C. 10502 meetings with shippers, involved implemented, and the possible for exemption from the provisions of 49 railroads, and other interested parties to timetable for implementing such U.S.C. 10903 to abandon a portion of its address concerns pertaining to the changes. Once the report is filed, we line of railroad in the Southern Region, Houston Terminal, leading to a will determine what further action is known as the Florence Division, coordinated plan for improving the appropriate. Parmele Subdivision, extending from utilization of Houston area We encourage AAR to reach out to all railroad milepost AA–173.09 to railroad infrastructure.3 Then, during our review 7 involved parties and to work with milepost AA–173.70 a distance of 0.61 of the division of Conrail’s assets, we them to achieve the common goal of miles, in Elmer, Lenoir County, NC. The directed CSX and Norfolk Southern to improving interchange of cars in general line traverses United States Postal convene meetings with shippers, and reducing the opportunity for delay Service Zip Code 28501 and includes no involved railroads, and other interested of rail traffic in interchange, not only in stations. parties to discuss opportunities to the Chicago area, but across the Nation The line does not contain federally improve the Buffalo, NY area rail as well. granted rights-of-way. Any infrastructure, which resulted in service This action will not significantly documentation in CSXT’s possession improvements and better affect either the quality of the human will be made available promptly to communication.4 Also, in an effort to environment or the conservation of those requesting it. address congestion in the Chicago, IL energy resources. The interest of railroad employees area, the individual railroads and AAR, It is ordered: will be protected by the conditions set at the urging of the Board and other 1. Indiana Harbor Belt’s motion to forth in Oregon Short Line R. Co.— interested parties, have been working strike is denied. The surreplies of Abandonment—Goshen, 360 I.C.C. 91 together to improve rail operations in Indiana Harbor Belt and UP are (1979). Chicago through the development of the accepted. By issuance of this notice, the Board Chicago Service Plan and the 2. AAR is requested to convene a is instituting an exemption proceeding establishment of the Chicago Planning meeting with railroads, shippers, and pursuant to 49 U.S.C. 10502(b). A final Group and the Chicago Transportation other involved parties to discuss issues decision will be issued by March 8, concerning delays in the interchange of 2002. 2 The merger was approved by the Board in Union railroad cars, consistent with this Pacific/Southern Pacific Merger, 1 S.T.B. 233 Any offer of financial assistance (1996), aff’d, Western Coal Traffic League v. STB, decision, by February 8, 2002. (OFA) under 49 CFR 1152.27(b)(2) will 169 F.3d 775 (D.C. Cir. 1999). be due no later than 10 days after 5 3 Joint Petition for Service Order, STB Service North America Freight Car Association—Protest service of a decision granting the Order No. 1518 et al., (STB served Feb. 25, 1998), and Petition for Investigation—Tariff Publications slip op. at 5. of The Burlington Northern and Santa Fe Railway petition for exemption. Each offer must 4 CSX Corporation and CSX Transportation, Inc., Company, et al., STB Docket No. 42060, et al. (STB be accompanied by a $1,000 filing fee. Norfolk Southern Corporation and Norfolk served Oct. 18, 2001). See 49 CFR 1002.2(f)(25). Southern Railway Company—Control and 6 The CS/CH Rules include arbitration as a means All interested persons should be Operating Leases/Agreements—Conrail Inc. and of resolving disputes between participating carriers. Consolidated Rail Corporation (Buffalo Area 7 Participation in the meetings should be open to aware that, following abandonment of Infrastructure), STB Finance Docket No. 33388 large and small railroads, shippers and other rail service and salvage of the line, the (Sub-No. 93) (STB served June 9, 2000). involved parties. line may be suitable for other public
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use, including interim trail use. Any F—Exempt Abandonments to abandon a 1152.28 must be filed by December 31, request for a public use condition under 0.4-mile line of railroad between 2001, with the Surface Transportation 49 CFR 1152.28 or for trail use/rail mileposts LS–0.0 and LS–0.4, at Long Board, Office of the Secretary, Case banking under 49 CFR 1152.29 will be Spur Jct. to end of track in Buchanan Control Unit, 1925 K Street, NW., due no later than December 31, 2001. County, VA (line).1 The line traverses Washington, DC 20423–00001. Each trail use request must be United States Postal Service Zip Code A copy of any petition filed with the accompanied by a $150 filing fee. See 49 24614. Board should be sent to applicant’s CFR 1002.2(f)(27). Applicant has certified that: (1) No representative: James R. Paschall, Esq., All filings in response to this notice local or overhead traffic has moved over Norfolk Southern Corporation, Three must refer to STB Docket No. AB–55 the line for at least 2 years; (2) any Commercial Place, Norfolk, VA 23510. If (Sub-No. 601X) and must be sent to: (1) overhead traffic, if there is any, can be the verified notice contains false or Surface Transportation Board, Office of rerouted over other lines; (3) no formal misleading information, the exemption the Secretary, Case Control Unit, 1925 K complaint filed by a user of rail service is void ab initio. Street, NW., Washington, DC 20423– on the line (or by a state or local Applicant has filed a separate 0001, and (2) Paul R. Hitchcock, 500 government agency acting on behalf of environmental report which address the Water Street–J150, Jacksonville, FL such user) regarding cessation of service abandonment’s effects, if any, on the 32202. Replies to the CSXT petition are over the line is either pending with the environment and historic resources. due on or before December 31, 2001. Surface Transportation Board (Board) or SEA will issue an environmental Persons seeking further information any U.S. District Court or has been assessment (EA) by December 17, 2001. concerning abandonment procedures decided in favor of complainant within Interested persons may obtain a copy of may contact the Board’s Office of Public the 2-year period; and (4) the the EA by writing to SEA (Room 500, Services at (202) 565–1592 or refer to requirements at 49 CFR 1105.7 Surface Transportation Board, the full abandonment or discontinuance (environmental reports), 49 CFR 1105.8 Washington, DC 20423–0001) or by regulations at 49 CFR part 1152. (historic reports), 49 CFR 1105.11 calling SEA, at (202) 565–1552. Questions concerning environmental (transmittal letter), 49 CFR 1105.12 Comments on environmental and issues may be directed to the Board’s (newspaper publication), and 49 CFR historic preservation matters must be Section of Environmental Analysis 1152.50(d)(1) (notice to governmental filed with 15 days after the EA becomes (SEA) at (202) 565–1552. [TDD for the agencies) have been met. available to the public. hearing impaired is available at 1–800– As a condition to this exemption, any Environmental, historic preservation, 877–8339.] employee adversely affected by the public use, or trail use/rail banking An environmental assessment (EA) (or abandonment shall be protected under conditions will be imposed, where environmental impact statement (EIS), if Oregon Short Line R. Co.— appropriate, in a subsequent decision. necessary) prepared by SEA will be Abandonment—Goshen, 360 I.C.C. 91 Pursuant to the provisions of 49 CFR served upon all parties of record and (1979). To address whether this 1151.29(e)(2), NSR shall file a notice of upon any agencies or other persons who condition adequately protects affected consummation with the Board to signify commented during its preparation. employees, a petition for partial that it has exercised the authority Other interested persons may contact revocation under 49 U.S.C. 10502(d) granted and fully abandoned the line. If SEA to obtain a copy of the EA (or EIS). must me filed. Provided no formal consummation has not been effected by EAs in these abandonment proceedings expression of intent to file an offer of NSR’s filing of a notice of normally will be made available within financial assistance (OFA) has been consummation by December 10, 2002, 60 days of the filing of the petition. The received, this exemption will be and there are no legal or regulatory deadline for submission of comments on effective on January 9, 2002, unless barriers to consummation, the authority the EA will generally be within 30 days stayed pending reconsideration. to abandon will automatically expire. of its service. Petitions to stay that do not involve Board decisions and notices are Board decisions and notices are environmental issues,2 formal available on our website at available on our Web site at expressions of intent to file an OFA www.stb.dot.gov. under 49 CFR 1152.27(c)(2),3 and trail ‘‘www.stb.dot.gov.’’ Decided: November 30, 2001. use/rail banking requests under 49 CFR Decided: November 30, 2001. 1152.29 must be filed by December 20, By the Board, David M. Konschnik, Director, Office of Proceedings. By the Board, David M. Konschnik, 2001. Petitions to reopen or requests for Director, Office of Proceedings. public use conditions under 49 CFR Vernon A. Williams, Vernon A. Williams, Secretary. Secretary. 1 NSR notes that authority to discontinue [FR Doc. 01–30446 Filed 12–7–01; 8:45 am] [FR Doc. 01–30372 Filed 12–7–01; 8:45 am] operations on the line was granted by the former BILLING CODE 4915–00–P BILLING CODE 4915–00–P Interstate Commerce Commission. See Norfolk and Western Railway Company—Discontinuance Exemption—in Buchanan County, VA, Docket No. AB–290 (Sub-No. 102X) (ICC served Sept. 25, DEPARTMENT OF TRANSPORTATION DEPARTMENT OF TRANSPORTATION 1990–) 2 The Board will grant a stay if an informed Surface Transportation Board Surface Transportation Board decision on environmental issues (whether raised by a party or by the Board’s Section of [STB Docket No. AB–290 (Sub-No. 235X)] [STB Docket No. AB–290 (Sub-No. 217X] Environmental Analysis (SEA) in its independent investigation) cannot by made before the Norfolk Southern Railway Company— Norfolk Southern Railway Company— exemption’s effective date. See Exemption of out-of- Abandonment Exemption—in Abandonment Exemption—in Service Rail Lines, 5 I.C.C. 2d 377 (1980). Any McDowell County, WV Buchanan County, VA request for a stay should be filed as soon as possible so that the Board may take appropriate action before Norfolk Southern Railway Company the exemption’s effective date. Norfolk Southern Railway Company 3 Each offer of financial assistance must be (NSR) has filed a notice of exemption (NSR) has filed a verified notice of accompanied by the filing fee, which currently is under 49 CFR 1152 subpart F—Exempt exemption under 49 CFR 1152 Subpart set at $1000. See 49 CFR 1002.2(f)(25). Abandonments to abandon a 4.58-mile
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line of railroad between milepost RP– Board, Office of the Secretary, Case SUMMARY: Notice is hereby given that 0.0 at Roderfield and milepost RP–4.58 Control Unit, 1925 K Street, NW., the Federal Law Enforcement Training at Premier, in McDowell County, WV. Washington, DC 20423. Center (FLETC), pursuant to the The line traverses United States Postal A copy of any petition filed with the National Environmental Policy Act of Service Zip Codes 24878 and 24881. Board should be sent to NSR’s 1969 (NEPA), the Council on NSR has certified that: (1) No local representative: James R. Paschall, Environmental Quality Regulations for traffic has moved over the line for at General Attorney, Norfolk Southern Implementing the National least 2 years; (2) any overhead traffic, if Corporation, Three Commercial Place, Environmental Policy Act (40 CFR parts there is any, can be rerouted over other Norfolk, VA 23510. 1500–1508), and Department of the lines; (3) no formal complaint filed by If the verified notice contains false or Treasury Directive 75–02 (Department a user of rail service on the line (or by misleading information, the exemption of the Treasury Environmental Quality a state or local government entity acting is void ab initio. Program), has prepared an on behalf of such user) regarding NSR has filed an environmental Environmental Assessment (EA) related cessation of service over the line either report which addresses the effects, if to the renovation of the former Naval is pending with the Surface any, of the abandonment and Communications Detachment Transportation Board (Board) or with discontinuance on the environment and Cheltenham, MD to provide a law any U.S. District Court or has been historic resources. SEA will issue an enforcement requalification training decided in favor of complainant within environmental assessment (EA) by facility for use by a wide variety of the 2-year period; and (4) the December 14, 2001. Interested persons federal, state, and local agencies located requirements at 49 CFR 1105.7 may obtain a copy of the EA by writing in the metropolitan Washington, DC (environmental reports), 49 CFR 1105.8 to SEA (Room 500, Surface area. The proposed action includes (historic reports), 49 CFR 1105.11 Transportation Board, Washington, DC demolition and renovation of existing (transmittal letter), 49 CFR 1105.12 20423) or by calling SEA, at (202) 565– buildings for use as classrooms, (newspaper publication), and 49 CFR 1552. Comments on environmental and simulators, locker facilities, storage, etc., 1152.50(d)(1) (notice to governmental historic preservation matters must be and construction of a free-standing, agencies) have been met. filed within 15 days after the EA completely enclosed, environmentally As a condition to this exemption, any becomes available to the public. safe indoor firearms training range and employee adversely affected by the Environmental, historic preservation, an outdoor vehicle training range. abandonment and discontinuance shall public use, or trail use/rail banking Vegetation manipulation will occur for be protected under Oregon Short Line R. conditions will be imposed, where aesthetic purposes, wildlife habitat Co.—Abandonment—Goshen, 360 I.C.C. appropriate, in a subsequent decision. improvement, wildfire hazard control, 91 (1979). To address whether this Pursuant to the provisions of 49 CFR and insect/disease reduction. condition adequately protects affected 1152.29(e)(2), NSR shall file a notice of The public and resource agencies employees, a petition for partial consummation with the Board to signify were invited to attend a public meeting revocation under 49 U.S.C. 10502(d) that it has exercised the authority held October 24, 2001, and participate must be filed. Provided no formal granted and fully abandoned its line. If in the planning and analysis of the expression of intent to file an offer of consummation has not been effected by proposed project. At that meeting the financial assistance (OFA) has been NSR’s filing of a notice of FLETC discussed the environmental received, this exemption will be consummation by December 10, 2002, review process, described the project effective on January 9, 2002, unless and there are no legal or regulatory and alternatives under consideration, stayed pending reconsideration.1 barriers to consummation, the authority discussed the scope of environmental Petitions to stay that do not involve to abandon will automatically expire. issues to be investigated in accordance environmental issues,2 formal Board decisions and notices are with the requirements of NEPA, and expressions of intent to file an OFA available on our Web site at answered questions from attendees. under 49 CFR 1152.27(c)(2),3 and trail ‘‘www.stb.dot.gov.’’ An Environmental Assessment use/rail banking requests under 49 CFR Decided: December 3, 2001. document has been prepared in 1152.29 must be filed by December 20, accordance with NEPA and Department 2001. Petitions to reopen or requests for By the Board, David M. Konschnik, Director, Office of Proceedings. of the Treasury requirements, public use conditions under 49 CFR addressing the various project Vernon A. Williams, 1152.28 must be filed by December 31, alternatives, their potential 2001, with: Surface Transportation Secretary. environmental impacts, and issues [FR Doc. 01–30447 Filed 12–7–01; 8:45 am] raised during the October 24 public 1 While the applicant initially indicated a BILLING CODE 4915–00–P meeting. This document will be proposed consummation date of January 8, 2002, available for public review and because the verified notice was filed on November 20, 2001, consummation may not take place prior comment from December 17, 2001 until to January 9, 2002. Applicant’s representative has DEPARTMENT OF THE TREASURY January 16, 2002 at the following subsequently confirmed that the correct locations: consummation date is on or after January 9, 2002. Federal Law Enforcement Training 1. Prince George’s County Memorial 2 The Board will grant a stay if an informed decision on environmental issues (whether raised Center Library System, Surratts-Clinton by a party or by the Board’s Section of Branch, 9400 Piscataway Road, Environmental Analysis (SEA) in its independent FLETC Cheltenham, MD; Notice of Clinton, MD 20735, 301–868–9200 investigation) cannot be made before the Availability of Document for Review 2. Department of the Treasury, Library, exemption’s effective date. See Exemption of Out- Main Treasury Building, 1500 of-Service Rail Lines, 5 I.C.C.2d 377 (1989). Any AGENCY: Federal Law Enforcement request for a stay should be filed as soon as possible Training Center, Treasury. Pennsylvania Avenue NW, so that the Board may take appropriate action before Washington, DC 20220, Contact Bill the exemption’s effective date. ACTION: Notice of availability of McGovern at 282–622–0043 3 Each offer of financial assistance must be environmental assessment for public The EA will also be viewable as a PDF accompanied by the filing fee, which currently is review. set at $1000. See 49 CFR 1002.2(f)(25). file on the FLETC’s Internet site at
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http://www.fletc.gov/evs/ situated east of Maryland Route 5 and the original due date for the S election cheltenham.htm for the same time west of Maryland Route 301, (but not later than the due date for the period. approximately 3 miles south of tax return for the first year it intended Significant comments received from Andrews Air Force Base. to be an S corporation) to request relief the public and agencies during the Authority: The Council on Environmental for a late S election by filing Form 2553, review period will be addressed in the Quality’s National Environmental Policy Act, Election by a Small Business EA and included in an Appendix. 40 CFR parts 1500 et seq. Corporation, and attaching a statement Should the FLETC determine, based on Dated: December 5, 2001. explaining the reason for the failure to the public’s comments and the file a timely S corporation election. Bruce Bowen, information presented in the Current Actions: There are no changes Environmental Assessment, that the Assistant Director, Office Of Compliance, Federal Law Enforcement Training Center. being made to the revenue procedure at impacts of the demolition/renovation, this time. construction, and operation of the [FR Doc. 01–30424 Filed 12–7–01; 8:45 am] BILLING CODE 4810–32–P Type of Review: Extension of a facility will not have a significant currently approved collection. environmental impact, it will prepare a Affected Public: Business or other for- Finding of No Significant Impact DEPARTMENT OF THE TREASURY profit organizations. (FONSI) for publication in the Federal Estimated Number of Respondents: Register and in a newspaper in general Internal Revenue Service circulation at the project location. 25,000. Should significant environmental Proposed Collection; Comment Estimated Time Per Respondent: 1 impacts be determined to exist due to Request for Revenue Procedure 98–55 hour. the project, the FLETC will proceed Estimated Total Annual Burden with the preparation of an AGENCY: Internal Revenue Service (IRS), Hours: 25,000. Treasury. Environmental Impact Statement, per The following paragraph applies to all the requirements of NEPA, the Council ACTION: Notice and request for of the collections of information covered on Environmental Quality, and its own comments. by this notice: environmental policies and procedures. SUMMARY: The Department of the An agency may not conduct or DATES: Written comments concerning Treasury, as part of its continuing effort sponsor, and a person is not required to the EA should be received on or before to reduce paperwork and respondent respond to, a collection of information January 16, 2002, to be assured of burden, invites the general public and unless the collection of information consideration. other Federal agencies to take this displays a valid OMB control number. ADDRESSES: Direct all written comments opportunity to comment on proposed Books or records relating to a collection to Ms. Susan Shaw, NEPA Coordinator/ and/or continuing information of information must be retained as long Project Manager, c/o FLETC Cheltenham collections, as required by the as their contents may become material Facility, 9000 Commo Road, Paperwork Reduction Act of 1995, in the administration of any internal Cheltenham, MD 20623–5000. Public Law 104–13 (44 U.S.C. revenue law. Generally, tax returns and tax return information are confidential, FOR FURTHER INFORMATION CONTACT: 3506(c)(2)(A)). Currently, the IRS is as required by 26 U.S.C. 6103. Susan Shaw, NEPA Coordinator/Project soliciting comments concerning Manager, FLETC, at (912) 261–4557. Ms. Revenue Procedure 98–55, Extension of Request for Comments: Comments Shaw’s e-mail address is Relief for Late S Elections. submitted in response to this notice will [email protected]. Information is DATES: Written comments should be be summarized and/or included in the also available from Bob Smith, Chief, received on or before February 8, 2002, request for OMB approval. All Cheltenham Operations at (301) 868– to be assured of consideration. comments will become a matter of public record. Comments are invited on: 5830. Mr. Smith’s e-mail address is ADDRESSES: Direct all written comments [email protected]. to George Freeland, Internal Revenue (a) Whether the collection of information is necessary for the proper SUPPLEMENTARY INFORMATION: The Service, room 5575, 1111 Constitution Avenue NW., Washington, DC 20224. performance of the functions of the Federal Law Enforcement Training agency, including whether the Center has a mission of providing high FOR FURTHER INFORMATION CONTACT: information shall have practical utility; quality, cost-effective training of federal Requests for additional information or (b) the accuracy of the agency’s estimate law enforcement personnel. The FLETC copies of the revenue procedure should of the burden of the collection of proposes with this action to provide be directed to Allan Hopkins, (202) 622– information; (c) ways to enhance the requalification-training services in the 6665, Internal Revenue Service, room quality, utility, and clarity of the Washington, DC area by renovating the 5244, 1111 Constitution Avenue NW., information to be collected; (d) ways to former Naval Communications Washington, DC 20224. minimize the burden of the collection of Detachment Cheltenham, MD facility, SUPPLEMENTARY INFORMATION: information on respondents, including which has been inactive since 1998. Title: Extension of Relief for Late S through the use of automated collection Providing these requalification services Elections. techniques or other forms of information in the Washington, DC area will OMB Number: 1545–1548. technology; and (e) estimates of capital eliminate the need for Washington, DC Revenue Procedure Number: Revenue or start-up costs and costs of operation, area law enforcement agencies to travel Procedure 98–55. maintenance, and purchase of services to the FLETC’s Glynco, GA facility, Abstract: Revenue Procedure 98–55 to provide information. reducing associated costs and time updates the Service’s instructions for demands. requesting relief for a late S corporation Approved: November 27, 2001. The FLETC Cheltenham facility is election and other late elections that George Freeland, located approximately 15 miles must be filed by or for an S corporation. IRS Reports Clearance Officer. southeast of Washington, DC, in Prince Revenue Procedure 98–55 provides that [FR Doc. 01–30466 Filed 12–7–01; 8:45 am] George’s County, MD. The project site is a corporation will have 12 months from BILLING CODE 4830–01–P
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DEPARTMENT OF VETERANS information to be collected; and (4) 1995, Federal agencies are required to AFFAIRS ways to minimize the burden of the publish notice in the Federal Register collection of information on concerning each proposed collection of [OMB Control No. 2900–0614] respondents, including through the use information, including each proposed Proposed Information Collection of automated collection techniques or extension of a currently approved Activity: Proposed Collection; the use of other forms of information collection, and allow 60 days for public Comment Request technology. comment in response to the notice. This Title and Form Number: Phase IV of notice solicits comments on the AGENCY: Veterans Health Study of Individuals at Risk for Stress information needed from a private Administration, Department of Veterans Related Illnesses, VA Form 10– sector sales broker to submit an offer to Affairs. 21036(NR). VA on behalf of a prospective purchaser ACTION: Notice. OMB Control Number: 2900–0614. of a VA-acquired property. Type of Review: Revision of a DATES: Written comments and SUMMARY: The Veterans Health currently approved collection. recommendations on the proposed Administration (VHA), Department of Abstract: Phases I and II of this study collection of information should be Veterans Affairs (VA), is announcing an are completed. The collection of received on or before February 8, 2002. opportunity for public comment on the information associated with Phase III is ADDRESSES: Submit written comments proposed collection of certain also completed. Phase IV is intended to on the collection of information to information by the agency. Under the complete VA’s study of the Nancy J. Kessinger, Veterans Benefits Paperwork Reduction Act (PRA) of ‘‘psychological and biomedical Administration (20S52), Department of 1995, Federal agencies are required to measurements for early identification of Veterans Affairs, 810 Vermont Avenue, publish notice in the Federal Register individuals at risk for stress-related NW., Washington, DC 20420 or e-mail concerning each proposed collection of illness.’’ The information collected will [email protected]. Please refer to information, including each proposed be used to produce a reliable inventory ‘‘OMB Control No. 2900–0029’’ in any revision of a currently approved of psychosocial risk and resilience correspondence. collection, and allow 60 days for public factors for contemporary military comment in response to the notice. This personnel and then demonstrate its FOR FURTHER INFORMATION CONTACT: notice solicits comments for information validity visa`vis Gulf War veterans’ self- Nancy J. Kessinger at (202) 273–7079 or needed to identify individuals at risk for reported somatic and psychological FAX (202) 275–5947. stress-related illnesses. symptoms and judgments of health- SUPPLEMENTARY INFORMATION: Under the DATES: Written comments and related quality of life. PRA of 1995 (Public Law 104–13; 44 recommendations on the proposed Affected Public: Individuals or U.S.C., 3501–3520), Federal agencies collection of information should be households. must obtain approval from the Office of received on or before February 8, 2002. Estimated Annual Burden: 313 hours. Management and Budget (OMB) for each Estimated Average Burden Per ADDRESSES: Submit written comments collection of information they conduct Respondent: 45 minutes. on the collection of information to Ann or sponsor. This request for comment is Frequency of Response: One time. W. Bickoff, Veterans Health being made pursuant to section Estimated Number of Respondents: Administration (193B1), Department of 3506(c)(2)(A) of the PRA. 417. Veterans Affairs, 810 Vermont Avenue, With respect to the following NW., Washington, DC 20420 or e-mail Dated: November 7, 2001. collection of information, VBA invites [email protected]. Please refer to By direction of the Secretary. comments on: (1) Whether the proposed ‘‘OMB Control No. 2900–0614’’ in any Barbara H. Epps, collection of information is necessary correspondence. Management Analyst, Information for the proper performance of VBA’s functions, including whether the FOR FURTHER INFORMATION CONTACT: Ann Management Service. [FR Doc. 01–30472 Filed 12–7–01; 8:45 am] information will have practical utility; W. Bickoff (202) 273–8310 or FAX (202) (2) the accuracy of VBA’s estimate of the BILLING CODE 8320–01–P 273–9381. These are not toll-free burden of the proposed collection of numbers. information; (3) ways to enhance the SUPPLEMENTARY INFORMATION: Under the DEPARTMENT OF VETERANS quality, utility, and clarity of the PRA of 1995 (Pub. L. 104–13; 44 U.S.C., AFFAIRS information to be collected; and (4) 3501–3520), Federal agencies must ways to minimize the burden of the obtain approval from the Office of [OMB Control No. 2900–0029] collection of information on respondents, including through the use Management and Budget (OMB) for each Proposed Information Collection of automated collection techniques or collection of information they conduct Activity: Proposed Collection; the use of other forms of information or sponsor. This request for comment is Comment Request being made pursuant to section technology. 3506(c)(2)(A) of the PRA. AGENCY: Veterans Benefits Titles With respect to the following Administration, Department of Veterans collection of information, VHA invites Affairs. a. Offer to Purchase and Contract of comments on: (1) Whether the proposed ACTION: Notice. Sale, VA Form 26–6705. collection of information is necessary b. Credit Statement of Prospective for the proper performance of VHA’s SUMMARY: The Veterans Benefits Purchaser, VA Form 26–6705b. functions, including whether the Administration (VBA), Department of c. Addendum to VA Form 26–6705 information will have practical utility; Veterans Affairs (VA), is announcing an Offer to Purchase and Contract of Sale, (2) the accuracy of VHA’s estimate of opportunity for public comment on the VA Form 26–6705d the burden of the proposed collection of proposed collection of certain OMB Control Number: 2900–0029. information; (3) ways to enhance the information by the agency. Under the Type of Review: Extension of a quality, utility, and clarity of the Paperwork Reduction Act (PRA) of currently approved collection.
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Abstract c. VA Form 26–6705d—5,000. each collection of information they a. VA Form 26–6705 is used by the Dated: November 7, 2001. conduct or sponsor. This request for private sector sales broker to submit an By direction of the Secretary. comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. offer to the VA on behalf of a Barbara H. Epps, With respect to the following prospective purchaser of a VA-acquired Management Analyst, Information property. The form will be prepared for Management Service. collection of information, VHA invites comments on: (1) Whether the proposed each proposed contract submitted to the [FR Doc. 01–30473 Filed 12–7–01; 8:45 am] collection of information is necessary VA. If the VA accepts the offer to BILLING CODE 8320–01–P purchase, it then becomes a contract of for the proper performance of VHA’s sale. The form defines the terms of sale, functions, including whether the provides the prospective purchaser with DEPARTMENT OF VETERANS information will have practical utility; a receipt for his/her earnest money AFFAIRS (2) the accuracy of VHA’s estimate of deposit, eliminates the need for separate the burden of the proposed collection of [OMB Control No. 2900–0570] transmittal of a purchase offer and information; (3) ways to enhance the quality, utility, and clarity of the develops the contract without such Proposed Information Collection information to be collected; and (4) intermediate processing steps and Activity: Proposed Collection; ways to minimize the burden of the furnishes evidence of the station Comment Request decision with respect to the acceptance collection of information on of the contract as tendered. Without this AGENCY: Veterans Health respondents, including through the use information, a determination of the best Administration, Department of Veterans of automated collection techniques or offer for a property cannot be made. Affairs. the use of other forms of information b. VA Form 26–6705b is used as a ACTION: Notice. technology. credit application to determine the Title: Generic Clearance for the SUMMARY: creditworthiness of a prospective The Veterans Health Veterans Health Administration purchaser in those instances when the Administration (VHA) is announcing an Customer Satisfaction Surveys. prospective purchaser seeks VA vendee opportunity for public comment on the OMB Control Number: 2900–0570. financing, along with VA Form 26– proposed collection of certain Type of Review: Revision of a 6705. In such sales, the offer to purchase information by the agency. Under the currently approved collection. will not be accepted until the Paperwork Reduction Act (PRA) of Abstract: Executive Order 12862, purchaser’s income and credit history 1995, Federal agencies are required to Setting Customer Service Standards, have been verified and a loan analysis publish notice in the Federal Register requires Federal agencies and has been completed, indicating loan concerning each proposed collection of departments to identify and survey its approval. Without this information, the information, including each proposed customers to determine the kind and creditworthiness of a prospective revision of a currently approved quality of services they want and their purchaser cannot be determined and the collection, and allow 60 days for public level of satisfaction with existing offer to purchase cannot be accepted. comment in response to the notice. This services. VHA uses customer c. VA Form 26–6705d is an notice solicits comments on the burden satisfaction surveys to gauge customer addendum to VA Form 26–6705 for use estimates relating to customer perceptions of VA services as well as in Virginia. It includes requirements of satisfaction surveys. customer expectations and desires. The State law, which must be acknowledged DATES: Written comments and results of these information collections by the purchaser at or prior to closing. recommendations on the proposed lead to improvements in the quality of Affected Public: Individuals or collection of information should be VHA service delivery by helping to households. received on or before February 8, 2002. shape the direction and focus of specific Estimated Annual Burden: 57,917 ADDRESSES: Submit written comments programs and services. hours. on the collection of information to Ann Affected Public: Individuals or a. VA Form 26–7605—35,000 hours. Bickoff, Veterans Health Administration households. b. VA Form 26–6705b—22,500 hours. (193B1), Department of Veterans Affairs, Listing of Survey Activities c. VA Form 26–6705d—417 hours. 810 Vermont Avenue, NW., Estimated Average Burden Per Washington, DC 20420 or e-mail: I. Special Emphasis Programs Respondent: 20 minutes (average). [email protected]. Please refer to a. VA Form 26–7605—21 minutes. The following list of activities is a ‘‘OMB Control No. 2900–0570’’ in any compendium of customer satisfaction b. VA Form 26–6705b—20 minutes. correspondence. c. VA Form 26–6705d—5 minutes. survey plans by VHA. Different special Frequency of Response: Generally FOR FURTHER INFORMATION CONTACT: Ann emphasis programs will be surveyed one-time. Bickoff at (202) 273–8310. annually; however, program selections Estimated Number of Total SUPPLEMENTARY INFORMATION: Under the have not been made for FYs 2002–2004. Respondents: 172,500. PRA of 1995 (Public Law 104–13; 44 Burden hours for the out-years are based a. VA Form 26–7605—100,000. U.S.C., 3501–3520), Federal agencies on FY 2001 estimates (Burden hours per b. VA Form 26–6705b—67,500. must obtain approval from OMB for respondent: 15 minutes).
Estimated Year Number of annual burden Frequency respondents (in hours)
2002 ...... 50,000 12,500 Annually. 2003 ...... 50,000 12,500 Annually. 2004 ...... 50,000 12,500 Annually.
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II. Local Facilities Surveys
Estimated Year Number of annual burden Frequency respondents (in hours)
2002 ...... 288,780 62,569 One-time. 2003 ...... 288,780 62,569 One-time. 2004 ...... 288,780 62,569 One-time.
Most customer satisfaction surveys necessary to determine customer needs Dated: November 27, 2001. will be recurring so that VHA can create and to evaluate VHA’s performance. By direction of the Secretary. ongoing measures of performance and to VHA expects to distribute written Donald L. Neilson, determine how well the Agency meets surveys with a total annual burden of Director, Information Management Service. customer service standards. Each approximately 75,069 hours in FYs [FR Doc. 01–30474 Filed 12–7–01; 8:45 am] collection of information will consist of 2002, 2003, and 2004 (Burden hours per BILLING CODE 8320–01–P the minimum amount of information respondent: 13 minutes).
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Corrections Federal Register Vol. 66, No. 237
Monday December 10, 2001
This section of the FEDERAL REGISTER November 19, 2001, make the following DEPARTMENT OF HEALTH AND contains editorial corrections of previously corrections: HUMAN SERVICES published Presidential, Rule, Proposed Rule, and Notice documents. These corrections are PART 305 [AMENDED] Office of Inspector General prepared by the Office of the Federal 1.On page 58768, the heading for Register. Agency prepared corrections are 42 CFR Part 1001 issued as signed documents and appear in Appendix A2 to Part 305 should read the appropriate document categories ‘‘Appendix A2 to Part 305.— RIN 0991–AB05 elsewhere in the issue. Refrigerators and Refrigerators–Freezers With Manual Defrost’’. Medicare and State Health Care 2.On the same page in the table for Programs: Fraud and Abuse; Ambulance Replenishing Safe Harbor FEDERAL TRADE COMMISSION Appendix A2 to Part 305, in the column Under the Anti-Kickback Statute under the heading Low, in the ninth 16 CFR Part 305 line,‘‘(396)’’ should read ‘‘396’’. Correction Rules Concerning Disclosures 3.On the same page, in the table for In final rule document 01–29875 Regarding Energy Consumption and Appendix A2 to Part 305, in the column beginning on page 62979 in the issue of Water Use of Certain Home Appliances under the heading High, in the ninth Tuesday, December 4, 2001, make the and Other Products Under the Energy line,‘‘(438)’’ should read ‘‘438’’. following correction: Policy and Conseravation Act [FR Doc. C1–28438 Filed 12–7–01; 8:45 am] §1001.952 [Corrected] (‘‘Appliance Labeling Rule’’) BILLING CODE 1505–01–D On page 62991, in the first column, in Correction §1001.952(v)(4)(iii), in the last line, remove ‘‘47 ’’. In rule document 01–28438 beginning on page 57867, in the issue of Monday, [FR Doc. C1–29875 Filed 12–7–01; 8:45 am] BILLING CODE 1505–01–D
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Part II
Department of the Interior Fish and Wildlife Service
50 CFR Part 17 Endangered and Threatened Wildlife and Plants; Determination of Critical Habitat for the Oahu Elepaio (Chasiempis sandwichensis ibidis); Final Rule
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DEPARTMENT OF THE INTERIOR dwelling bird approximately 12.5 grams et al. 1997). Elepaio currently are not (0.43 ounces) in weight and 15 found in very wet, stunted forest on Fish and Wildlife Service centimeters (cm) (6 inches (in)) in windswept summits or in very dry length, and is a member of the monarch shrub land, but these areas may be used 50 CFR Part 17 flycatcher family Monarchidae by individuals dispersing among RIN 1018–AG99 (VanderWerf 1998). It is dark brown subpopulations. Forest structure above and white below, with light appears to be more important to elepaio Endangered and Threatened Wildlife brown streaks on the breast. The tail is than plant species composition and Plants; Determination of Critical long (6.5 cm, 2.6 in) and often held up (VanderWerf et al. 1997), and unlike Habitat for the Oahu Elepaio at an angle. Adults have conspicuous many Hawaiian forest birds, elepaio (Chasiempis sandwichensis ibidis) white wing bars, a white rump, and have adapted relatively well to white tips on the tail feathers. The disturbed forest composed of introduced AGENCY: Fish and Wildlife Service, throat is white with black markings in plants (Conant 1977, VanderWerf et al. Interior. both sexes, but males tend to have more 1997, VanderWerf 1998). Fifty-five ACTION: Final rule. black on the chin than females. percent of the current range is Juveniles and subadults are reddish dominated by introduced plants and 45 SUMMARY: We, the U.S. Fish and above, with a white belly and rusty percent is dominated by native plants Wildlife Service (Service), designate wing-bars. The bill is medium-length, (VanderWerf et al. 2001). This critical habitat for the Oahu elepaio straight, and black, with the base of the observation does not imply that elepaio pursuant to the Endangered Species Act lower mandible bluish-gray in adults prefer introduced plant species, but of 1973, as amended (Act). The Oahu and yellow in juveniles. The legs and probably reflects a preference by elepaio elepaio is a forest bird found only on the feet are dark gray and the iris is dark for riparian vegetation in valleys and the island of Oahu and is listed as brown (VanderWerf 1998). high degree of habitat disturbance and endangered under the Act. The critical Three subspecies of elepaio are abundance of introduced plants in habitat consists of five units whose recognized, each found only on a single riparian areas (VanderWerf et al. 1997). boundaries encompass a total area of island: the Oahu elepaio; the Hawaii Of the 45 percent dominated by native approximately 26,661 hectares (ha) elepaio (Chasiempis s. sandwichensis); plants, 23 percent is categorized as wet (65,879 acres (ac)) in the Koolau and and the Kauai elepaio (C. s. sclateri). forest, 17 percent as mesic forest, and 5 Waianae mountains on the island of The forms on different islands are percent as dry forest, shrub land, and Oahu, Hawaii. Critical habitat identifies similar in ecology and behavior, but cliffs (Hawaii Heritage Program 1991). specific areas that are essential to the differ somewhat in coloration and conservation of a listed species and that vocalizations (Conant 1977, van Riper Plant species composition in elepaio may require special management 1995, VanderWerf 1998). The taxonomy habitat varies considerably depending considerations or protection. As used in this rule follows Pratt et al. on location and elevation, but some of required by section 4 of the Act, we (1987) and Pyle (1997), in which all the most common native plants in areas considered economic and other relevant forms are regarded as subspecies, but where elepaio occur are ohia impacts prior to making a final decision the form on each island was originally (Metrosideros polymorpha), papala on what areas to designate as critical described as a separate species. The kepau (Pisonia umbellifera), lama habitat. Oahu form was known as C. s. gayi (Diospyros sandwicensis), mamaki (Wilson 1891) until Olson (1989) (Pipturus albidus), kaulu (Sapindus DATES: This rule is effective January 9, oahuensis), hame (Antidesma 2002. pointed out that the epithet ibidis (Stejneger 1887) has priority. The platyphyllum), and alaa (Pouteria FOR FURTHER INFORMATION CONTACT: elepaio comprises a monotypic genus sandwicensis), and some of the most Marilet A. Zablan, Vertebrate that is found only in the Hawaiian common introduced plants are guava Conservation Coordinator, or Eric Islands (VanderWerf 1998). Its closest (Psidium guajava), strawberry guava (P. VanderWerf, Biologist, Pacific Islands relatives are other monarch flycatchers cattleianum), kukui (Aleurites Fish and Wildlife Office, U.S. Fish and from the Pacific region (Pratt et al. 1987, moluccana), mango (Mangifer indica), Wildlife Service, 300 Ala Moana Sibley and Ahlquist 1985). Christmasberry (Schinus Boulevard, Room 3–122, Box 50088, The Oahu elepaio occurs in a variety terebinthifolius), and ti (Cordyline Honolulu, Hawaii 96850 (telephone: of forest types, but is most common in terminalis) (VanderWerf et al. 1997, 808/541–3441; facsimile: 808/541– riparian vegetation along streambeds VanderWerf 1998). 3470). and in mesic forest with a tall canopy The current population of Oahu SUPPLEMENTARY INFORMATION: and a well-developed understory elepaio is approximately 1,982 birds (Shallenberger and Vaughn 1978, distributed in six core subpopulations Background VanderWerf et al. 1997). Population and several smaller subpopulations The Oahu elepaio (Chasiempis density is roughly 50 percent lower in (Table 1, Figure 1; VanderWerf et al. sandwichensis ibidis) is a small forest- shorter dry forest on ridges (VanderWerf 2001).
TABLE 1.—ESTIMATED SIZE AND AREA OF OAHU ELEPAIO SUBPOPULATIONS [Data from VanderWerf et al. (2001). Letters before each subpopulation correspond to those on Figure 1]
Breeding Subpopulation Total popu- population Area lation size size (ha)
Waianae Mountains: A. Southern Waianae (Honouliuli Preserve, Lualualei Naval Magazine) ...... 458 418 1,170 B. Schofield Barracks West Range ...... 340 310 538 C. Makaha, Waianae Kai Valleys ...... 123 112 459
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TABLE 1.—ESTIMATED SIZE AND AREA OF OAHU ELEPAIO SUBPOPULATIONS—Continued [Data from VanderWerf et al. (2001). Letters before each subpopulation correspond to those on Figure 1]
Breeding Subpopulation Total popu- population Area lation size size (ha)
D. Pahole, Kahanahaiki ...... 18 4 256 E. Schofield Barracks South Range ...... 6 0 20 F. Makua Valley ...... 7 2 49 G. Kaala Natural Area Reserve ...... 3 0 21 H. Makaleha Gulch ...... 2 0 7 I. Kuaokala ...... 3 2 14 J. Kaluakauila Gulch ...... 1 0 6 Koolau Mountains: K. Southern Koolau (Pia, Wailupe, Kapakahi, Kuliouou, Waialae Nui) ...... 475 432 1,063 L. Waikane, Kahana Valleys ...... 265 242 523 M. Central Koolau (Moanalua, North and South Halawa, Aiea, Kalauao) ...... 226 206 1,396 N. Palolo Valley ...... 46 42 78 O. Waihee Valley ...... 5 4 32 P. Manoa ...... 2 0 19 Q. Hauula ...... 1 0 4 R. Waianu Valley ...... 1 0 8
Total ...... 1,982 1,774 5,663
BILLING CODE 4310–55–P
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BILLING CODE 4310–55–C
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The only previous population than one kilometer (km) (0.62 mile (mi)) Oahu elepaio apparently included most estimate (200–500 birds; Ellis et al. and adults have high site fidelity forested parts of the island, and it was 1992) was not accurate because little (VanderWerf 1998), but most elepaio formerly abundant. information was available when the populations on Oahu are separated by Despite its adaptability, the Oahu estimate was made. The number of birds many kilometers of unsuitable urban or elepaio has seriously declined since the is divided about evenly between the agricultural habitat. There may be some Waianae Mountains in the west and the exchange among subpopulations within arrival of humans, and it has Koolau Mountains in the east, with each mountain range, but dispersal disappeared from many areas where it three core subpopulations in each across the extensive pineapple fields was formerly common (Shallenberger mountain range. At least 10 tiny that separate the Waianae and Koolau 1977, Shallenberger and Vaughn 1978, remnant subpopulations consisting mountains is unlikely. While the Williams 1987, VanderWerf et al. 1997). mostly or entirely of males remain in current distribution superficially The aggregate geographic area of all both the Waianae and Koolau appears to constitute a metapopulation, current subpopulations is mountains (Table 1). These remnant it is uncertain if dispersal occurs among approximately 5,660 ha (13,980 ac) (see subpopulations were much larger or subpopulations. Table 1) (VanderWerf et al. 2001). The continuous with other subpopulations Before humans arrived, forest covered Oahu elepaio thus currently occupies in the past, but because of their very about 127,000 ha (313,690 ac) on Oahu only about 4 percent of its original small size, skewed sex ratio, and (Figure 2; Hawaii Heritage Program prehistoric range, and its range has geographic isolation, these relicts likely 1991), and it is likely that elepaio once declined by roughly 96 percent since will disappear in a few years as the last inhabited much of that area humans arrived in Hawaii 1,600 years adults die. (VanderWerf et al. 2001). Reports by ago (Kirch 1982). In 1975, elepaio The breeding population, about 1,774 early naturalists indicate that elepaio inhabited approximately 20,900 ha birds, is less than the total population were once widespread and abundant on (51,623 ac) on Oahu, almost four times because of a male-biased sex ratio; only Oahu. Bryan (1905) called the Oahu the area of the current range (Figure 2; 84 percent of territorial males have elepaio ‘‘the most abundant Hawaiian VanderWerf et al. 2001). The range of mates in large populations (VanderWerf species on the mountainside all the way the Oahu elepaio has thus declined by et al. 2001), and many small, declining from the sea to well up into the higher roughly 75 percent in the last 25 years. populations contain mostly males elevations.’’ Perkins (1903) remarked on (Table 1). The genetically effective its ‘‘universal distribution * * * from Much of the historical decline of the population size, a measure that takes the lowest bounds to the uppermost Oahu elepaio can be attributed to into account genetic population edge of continuous forest.’’ Seale (1900) habitat loss, especially at low structure and variation in number of stated the elepaio was ‘‘the commonest elevations. Fifty-six percent of the individuals over time, is probably even native land bird to be found on the original prehistoric range has been smaller than the breeding population island,’’ while MacCaughey (1919) developed for urban or agricultural use, because of the geographically described it as ‘‘the most abundant and practically no elepaio remain in fragmented distribution (Grant and representative of the native woodland developed areas (VanderWerf et al. Grant 1992). Offspring dispersal avifauna’’ and ‘‘abundant in all parts of 2001). distances in elepaio are usually less its range.’’ The historical range of the BILLING CODE 4310–55–P
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BILLING CODE 4310–55–C
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However, many areas of Oahu that than in tall riparian forest along fallen logs (2 percent), trunks (5 recently supported elepaio and still streambeds (VanderWerf et al. 1997), percent), branches (24 percent), twigs contain suitable forest habitat are and for the related subspecies on (38 percent), foliage (20 percent), and in currently unoccupied, demonstrating Hawaii, territory size was 50 percent the air (11 percent). Elepaio are versatile that habitat loss is not the only threat. larger in more disturbed forest with an and agile in pursuit of prey, using a Recent declines in Oahu elepaio open canopy and grass understory. diversity of foraging behaviors that is populations are due to a combination of Oahu elepaio are socially among the highest recorded for any bird, low adult survival and low reproductive monogamous, and approximately 63 including perch-gleaning (48 percent), success. Both annual adult survival and percent of pairs remain together each several forms of flight-gleaning (30 reproductive success are lower on Oahu year (E. VanderWerf, unpubl. data). Site percent), hanging (11 percent), aerial (0.76, 0.33, respectively) than in a large, fidelity is high, with 96 percent of males flycatching (7 percent), and active stable population of another subspecies and 67 percent of females remaining on pursuit (4 percent) (VanderWerf 1994). of elepaio at Hakalau Forest National the same territory from year to year. Previous Federal Action Wildlife Refuge on Hawaii Island (0.85, Annual survival of healthy adults is 0.62; VanderWerf 1998). The two main high, approximately 85 percent in males We were petitioned by Mr. Vaughn causes of low survival and low and 70 percent in females (E. Sherwood on March 22, 1994, to list the reproduction on Oahu are nest VanderWerf, unpubl. data). Young birds Oahu elepaio as an endangered or predation by alien black rats (Rattus wander (or float) while they attempt to threatened species with critical habitat. rattus) and alien diseases, particularly acquire a territory and a mate. The November 15, 1994, Animal avian pox (Poxvirus avium) and avian The nesting season usually extends Candidate Notice of Review (59 FR malaria (Plasmodium relictum), which from mid February through May, but 58991) classified the Oahu elepaio (then are carried by the alien southern house active nests have been found from Chasiempis sandwichensis gayi) as a mosquito (Culex quinquefasciatus). January through July (VanderWerf category 1 candidate. Category 1 Annual survival of birds with active 1998). Nest site selection is not candidates were those species for which avian pox lesions (60 percent) was specialized, and nests have been found we had sufficient data in our possession lower than annual survival of healthy in a variety of plants, including 6 native to support a listing proposal. On June birds (80 percent) (E. VanderWerf species and 13 introduced species (E. 12, 1995 (60 FR 30827), we published a unpubl. data). Pairs in which at least VanderWerf, unpubl. data). The nest is 90-day petition finding stating that the one bird had pox lesions produced a finely-woven, free-standing cup made petition presented substantial fewer fledglings than healthy pair. (E. of rootlets, bark strips, leaf skeletons, information that listing may be VanderWerf, unpubl. data). Many birds lichen, and spider silk, and is placed in warranted. On February 28, 1996 (61 FR with active pox did not even attempt to a fork or on top of a branch (Conant 7596), and September 19, 1997 (62 FR nest, and infected birds were sometimes 1977, VanderWerf 1998). Both sexes 49398), we published notices deserted by their mate. Malaria is a participate in all aspects of nesting, but discontinuing candidate category serious threat to many Hawaiian forest the female plays a larger role in nest designations, and the Oahu elepaio was birds (Warner 1968, van Riper et al. building and the male provides more listed as a candidate species. Candidate 1986, Atkinson et al. 1995), but its effect food for the nestlings. Clutch size is 1 species are those for which we have on on elepaio has not been investigated. to 3 eggs, usually 2, and eggs hatch after file sufficient information on biological Nest predation by black rats causes 18 days. The nestling period is 16 days. vulnerability and threats to support many nests to fail, and rats also Fledglings are fed by their parents for proposals to list as threatened or probably take adult female elepaio on more than a month after leaving the endangered. On October 6, 1998 (63 FR the nest at night. An experiment in nest, and may remain in the home 53623), we published the proposed rule which automatic cameras were wired to territory for up to 9 months, until the to list the Oahu elepaio as an artificial elepaio nests containing quail start of the next breeding season. endangered species. Because C. s. gayi eggs showed that a black rat was the Fecundity (reproductive rate) is low; is a synonym of C. s. ibidis, the predator in all 10 predation events even if nest predators are removed, the proposed rule constituted the final 12- documented (VanderWerf 2001). mean reproductive rate is 0.75 month finding for the petitioned action. Control of rats with snap traps and fledglings per pair per year (VanderWerf On April 18, 2000 (65 FR 20760), we diphacinone (an anticoagulant 1999). Oahu elepaio will re-nest once or published the final rule to list the Oahu rodenticide) bait stations was effective twice after failure, but they rarely elepaio as an endangered species. at improving elepaio reproductive attempt to re-nest if the first nest is Section 4(a)(3) of the Act, as success, resulting in an 85 percent successful. Other than introduced amended, and implementing regulations increase in nest success and a 127 predators, storms with heavy rain and (50 CFR 424.12) require that, to the percent increase in fledglings per pair strong winds are the most common maximum extent prudent and compared to control areas (VanderWerf cause of nest failure. determinable, the Secretary designate 1999). The diet and foraging behaviors of critical habitat at the time a species is A comprehensive description of the elepaio are extremely varied. The diet determined to be endangered or life history and ecology of the elepaio is consists of a wide range of arthropods, threatened. Our regulations (50 CFR provided by VanderWerf (1998), from particularly insects and spiders, and 424.12(a)(1)) also state that designation which much of the information below is includes introduced species such as of critical habitat is not prudent when taken. Elepaio are non-migratory and fruit flies (Tephritidae) (VanderWerf one or both of the following situations defend all-purpose territories year- 1998). Large prey, such as moths and exist—(1) the species is threatened by round. The average territory size on caterpillars, are beaten against a branch taking or other activity and the Oahu was 2.0 ha (4.94 ac) in forest before being eaten. In a study on Hawaii identification of critical habitat can be composed of introduced plant species Island, VanderWerf (1993, 1994) found expected to increase the degree of threat (Conant 1977), but territory size likely that elepaio foraged at all heights on all to the species, or (2) such designation of varies with vegetation structure. available plant species, and that they critical habitat would not be beneficial Population density on Oahu was 50 caught insects from a variety of to the species. In the proposed listing percent lower in short forest on ridges substrates, including the ground and rule we indicated that designation of
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critical habitat for the Oahu elepaio was several landowners and managers, depicted in the legal description of the not prudent because we believed a including the U.S. Army and the Hawaii original proposed rule. Page 30377 of critical habitat designation would not State Division of Forestry and Wildlife, the proposed rule was replaced with provide any additional benefit beyond to obtain more specific information on page 46429 of the correction. that provided through listing as management activities and suitability of Critical Habitat endangered. Based on comments we certain habitat areas for the elepaio. The received on the proposed listing rule information provided in the responses Critical habitat is defined in section 3, and on recent court rulings which and during meetings was considered paragraph (5)(A) of the Act as—(i) the address the prudency standard, in the and incorporated into this final rule. specific areas within the geographic area occupied by a species, at the time it is final listing rule we determined that a On June 6, 2001, we published a listed in accordance with the Act, on critical habitat designation for the Oahu proposed rule to designate critical which are found those physical or elepaio was prudent because such a habitat for the Oahu elepaio (66 FR biological features (I) essential to the designation could benefit the species 30372). The proposed critical habitat conservation of the species and (II) that beyond listing as endangered by consisted of five units whose may require special management extending protection under section 7 of boundaries encompassed a total area of considerations or protection; and (ii) the Act to currently unoccupied habitat approximately 26,661 hectares (ha) specific areas outside the geographic and by providing informational and (65,879 acres (ac)) in the Koolau and educational benefits. area occupied by a species at the time Waianae mountains on the island of it is listed, upon a determination that Although we determined in the final Oahu, Hawaii. The public comment listing rule that critical habitat such areas are essential for the period was open for 60 days until designation for the Oahu elepaio would conservation of the species. August 6, 2001. We did not receive any be prudent, we also indicated in the ‘‘Conservation,’’ as defined by the Act, requests for public hearings during the final listing rule that we were not able means the use of all methods and comment period and we did not hold to develop a proposed critical habitat procedures that are necessary to bring any public hearings. On August 6, 2001, designation for the Oahu elepaio at that an endangered or a threatened species to we published a notice announcing the time due to budgetary and workload the point at which listing under the Act reopening of the public comment period constraints. However, on June 28, 2000, is no longer necessary. and the availability of the draft the United States District Court for the Critical habitat receives protection economic analysis for the proposed District of Hawaii established, in the under section 7 of the Act through the case of Conservation Council for Hawaii critical habitat designation for the Oahu prohibition against destruction or v. Babbitt, CIV. NO. 00–00001 HG– elepaio (66 FR 40960). The comment adverse modification of critical habitat BMK, a timetable to designate critical period was open for an additional 30 with regard to actions carried out, habitat for the Oahu elepaio, and days until September 6, 2001. On funded, or authorized by a Federal ordered that the Service publish the August 28, 2001, we held a public agency. Section 7 also requires final critical habitat designation by meeting in Honolulu to provide conferences on Federal actions that are October 31, 2001. That date was information and promote discussion likely to result in the destruction or extended to November 21, 2001. This about the critical habitat designation for adverse modification of proposed final rule responds to the court’s order. the Oahu elepaio. The meeting was critical habitat. Destruction or adverse On November 9, 2000, we mailed attended by 11 people, not including modification is direct or indirect letters to 32 landowners on Oahu Service staff. During this meeting the alteration that appreciably diminishes informing them that the Service was in Service presented a brief introduction to the value of critical habitat for the the process of designating critical the biology of the Oahu elepaio, a conservation of a listed species. Such habitat for the Oahu elepaio and summary of previous federal actions alterations include, but are not limited requesting from them information on regarding the elepaio, information about to, alterations adversely modifying any management of lands that currently or critical habitat, and the methods used to of those physical or biological features recently (within the past 25 years) identify critical habitat for the Oahu that were the basis for determining the supported Oahu elepaio. The letters elepaio. The presentation was followed habitat to be critical. Aside from the contained a fact sheet describing the by a question and answer session and added protection that may be provided Oahu elepaio and critical habitat, a map general discussion, and we made under section 7, the Act does not showing the historic and current range available information including maps, provide other forms of regulatory of the Oahu elepaio, and a questionnaire fact sheets, news releases, reprints of protection to lands designated as critical designed to gather information about scientific papers, copies of the proposed habitat. Because consultation under land management practices, which we rule and draft economic analysis, and section 7 of the Act does not apply to requested be returned to us by instructions for submitting public activities on private or other non- November 27, 2000. We received 11 comments. On September 5, 2001, we Federal lands that do not involve a responses to our landowner mailing published a correction to the proposed Federal nexus, critical habitat with varying types and amounts of rule (66 FR 46428). The proposed rule designation would not afford any information on current land contained the correct maps and legal additional regulatory protections under management activities. Some responses descriptions of the proposed critical the Act against such activities. included detailed management plans, habitat units, but figure 2 in the Critical habitat also provides non- provided new information on locations background section of the proposed regulatory benefits to the species by where elepaio have been observed rule, which showed the proposed informing the public and private sectors recently, and described management critical habitat units in relation to the of areas that are important for species activities such as fencing, hunting, current, recent historical, and presumed recovery and where conservation public access, fire management, prehistoric distribution of the Oahu actions would be most effective. methods for controlling invasive weeds elepaio, showed the proposed critical Designation of critical habitat can help and introduced predators, and habitat units incorrectly. The correction focus conservation activities for a listed collaboration with conservation provided an accurate version of figure 2 species by identifying areas that contain researchers. In addition, we met with that matched the critical habitat units the physical and biological features that
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are essential for conservation of that and studies, and biological assessments outreach package mailed to Federal, species, and can alert the public as well or other unpublished materials (i.e., State, and private land managers and as land-managing agencies to the gray literature). landowners; and comments received importance of those areas. Critical Section 4 requires that we designate during the comment period. habitat also identifies areas that may critical habitat based on what we know The distribution and abundance of the require special management at the time of the designation. Habitat is Oahu elepaio have declined seriously in considerations or protection, and may often dynamic, however, and the last few decades (Williams 1987; help provide protection to areas where populations may move from one area to Oahu elepaio final listing rule, 65 FR significant threats to the species have another over time. Furthermore, we 20760; VanderWerf et al. 2001). The been identified or help to avoid recognize that designation of critical area currently occupied by the Oahu accidental damage to such areas. habitat may not include all of the elepaio represents only about four In order to be included in a critical habitat areas that may eventually be percent of the species’ original range, habitat designation, the habitat must be determined to be necessary for the and the distribution has contracted into ‘‘essential to the conservation of the recovery of the species. For these numerous small fragments (Figure 2). species.’’ Critical habitat designations reasons, critical habitat designations do Moreover, the remaining elepaio identify, to the extent known and using not signal that habitat outside the subpopulations are small and isolated, the best scientific and commercial data designation is unimportant or may not comprising six core subpopulations that available, habitat areas that provide be required for recovery. Habitat areas contain between 100 and 500 birds, and essential life cycle needs of the species outside the critical habitat designation numerous small remnant (i.e., areas on which are found the will continue to be subject to subpopulations, most of which contain primary constituent elements, as conservation actions that may be fewer than 10 birds (Table 1). Even if defined at 50 CFR 424.12(b)). Section implemented under section 7(a)(1) of the threats responsible for the decline of 3(5)(C) of the Act states that not all areas the Act and to the regulatory protections the elepaio were controlled, the existing that can be occupied by a species afforded by the section 7(a)(2) jeopardy subpopulations would be unlikely to should be designated as critical habitat standard, and the section 9 take persist because their small sizes make unless the Secretary determines that all prohibition, as determined on the basis them vulnerable to extinction due to a such areas are essential to the of the best available information at the variety of natural processes. Small conservation of the species. Our time of the action. It is possible that populations are particularly vulnerable regulations (50 CFR 424.12(e)) also state federally funded or assisted projects to reduced reproductive vigor caused by that, ‘‘The Secretary shall designate as affecting listed species outside their inbreeding depression, and they may critical habitat areas outside the designated critical habitat areas could suffer a loss of genetic variability over geographic area presently occupied by jeopardize those species. Similarly, time due to random genetic drift, the species only when a designation critical habitat designations made on the resulting in decreased evolutionary limited to its present range would be basis of the best available information at potential and ability to cope with inadequate to ensure the conservation of the time of designation will not control environmental change (Lande 1988, the species.’’ the direction and substance of future IUCN 2000). Small populations are also Section 4(b)(2) of the Act requires that recovery plans, habitat conservation demographically vulnerable to we take into consideration the economic plans, or other species conservation extinction caused by random impact, and any other relevant impact, planning and recovery efforts if new fluctuations in population size and sex of specifying any particular area as information available to these planning ratio and to catastrophes such as critical habitat. We may exclude areas efforts calls for a different outcome. hurricanes (Lande 1988). Survival and from critical habitat designation when reproduction of elepaio are known to Methods the benefits of exclusion outweigh the fluctuate across years in response to benefits of including the areas within As required by the Act and variation in disease prevalence and critical habitat, provided the exclusion regulations (section 4(b)(2) and 50 CFR predator populations (VanderWerf 1998, will not result in extinction of the 424.12), we used the best scientific 1999), possibly due to El Nin˜ no species. information available to determine areas episodes and variation in rainfall, which Our Policy on Information Standards that contain the physical and biological may exacerbate the threats associated Under the Endangered Species Act, features that are essential for the with small population size (Lande published on July 1, 1994 (59 FR survival and recovery of the Oahu 1988). 34271), provides criteria, establishes elepaio. This information included: Elepaio are highly territorial; each procedures, and provides guidance to peer-reviewed scientific publications pair defends an area of a certain size, ensure that decisions made by the (Conant 1977; Banko 1981; VanderWerf depending on the forest type and Service represent the best scientific and 1993, 1994, 1998, 2001; VanderWerf et structure, resulting in a maximum commercial data available. It requires al. 1997, 2001); the final listing rule for population density or carrying capacity that our biologists, to the extent the Oahu elepaio (65 FR 20760); (VanderWerf 1998). Although elepaio consistent with the Act and with the use unpublished reports by the Hawaii State have declined island-wide and the range of the best scientific and commercial Division of Forestry and Wildlife has contracted, density in the remaining data available, use primary and original (VanderWerf 1999); the Hawaii Natural core subpopulations is high, and much sources of information as the basis for Heritage Program database; the of the currently occupied land is at or recommendations to designate critical Sightings database from the Occurrence near carrying capacity and cannot habitat. When determining which areas and Status of Birds in Hawaii project support many more elepaio than it are critical habitat, a primary source of maintained at Bishop Museum in currently supports (VanderWerf et al. information should be the listing rule Honolulu; the Oahu Forest Bird Survey 1997, 2001). Consequently, each of the for the species. Additional information conducted in 1991 by the Hawaii State currently occupied areas is too small to may be obtained from a recovery plan, Division of Forestry and Wildlife; field support an elepaio population large articles in peer-reviewed journals, trip reports in the ‘‘Elepaio’’ (journal of enough to be considered safe from conservation plans developed by States the Hawaii Audubon Society); responses extinction. In order for the number of and counties, scientific status surveys to the Oahu elepaio critical habitat birds in each subpopulation to increase,
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additional land must be available for distribution, and population elepaio for a longer period. The number young birds to establish new territories fragmentation make this taxon and distribution of Oahu elepaio in and attract mates. The potential for particularly vulnerable to reduced 1975 has allowed for the persistence of expansion is especially important for reproductive vigor and the effects of a population, albeit in a declining state, the smallest subpopulations that naturally occurring events’’ (65 FR for more than 25 years. We believe that currently contain only a few 20760). Recovery will require active management of threats, including individuals. Because of their very small restoration of elepaio in areas that were nest predation and disease, in areas size and skewed sex ratio, these tiny formerly inhabited but that are not reflecting the distribution in 1975 subpopulations are unlikely to persist currently occupied, through natural would allow for long-term recovery. more than a few generations if limited dispersal, translocation, or release of This approach is consistent with the to the currently occupied area. captive birds. Unoccupied areas approved recovery outline for the Oahu Elepaio are also relatively sedentary; adjacent to currently occupied areas are elepaio; if, after critical habitat for the adults have high fidelity to their needed for recovery to allow expansion Oahu elepaio is designated, a final territory and juveniles rarely disperse of existing subpopulations and help approved recovery plan for Hawaiian more than 1 km (0.62 mi) in search of alleviate the threats associated with forest birds calls for a different approach a territory (VanderWerf 1998). Because small population size. Unoccupied to the conservation of the Oahu elepaio, the areas currently occupied by elepaio lands linking subpopulations are we will consider amending the critical are separated from each other by many needed for recovery to provide habitat designation, subject to resource kilometers (Figure 1) and elepaio are opportunities for dispersal among and workload priorities. unlikely to disperse long distances, the subpopulations, promote genetic Primary Constituent Elements existing subpopulations probably are exchange, and facilitate finding of isolated (VanderWerf et al. 2001). The mates. Specifically, each of the existing In accordance with section 3(5)(A)(i) Oahu elepaio evolved in an core populations in Pahole- of the Act and regulations at 50 CFR environment with large areas of Kahanahaiki, Makaha-Waianae Kai, 424.12, in determining which areas to continuous forest habitat covering much Schofield Barracks West Range, the propose as critical habitat, we are of the island (Figure 2), and their southern Waianae Mountains, the required to consider those physical and dispersal behavior is not adapted to a central leeward Koolau Mountains, biological features that are essential to fragmented landscape. In the past, Waikane-Kahana, and the southern the conservation of the species and that may require special management subpopulations were less isolated and leeward Koolau Mountains are small considerations and protection. Such dispersal and genetic exchange among and isolated, and are unlikely to be features are termed primary constituent different parts of the island probably viable on their own. The long-term elements, and include but are not was more frequent. Providing links chances for persistence of these limited to: space for individual and among subpopulations via dispersal subpopulations would increase if each population growth and for normal would increase the overall effective subpopulation increased in size by behavior; food, water, air, light, population size through genetic expanding onto adjacent lands and if minerals and other nutritional or exchange and equalization of sex ratios the connectivity among the physiological requirements; cover or and breeding opportunities, thereby subpopulations was enhanced by helping to alleviate the threats shelter; sites for nesting and rearing of occasional dispersal of individuals offspring; and habitats that are protected associated with small population size, across intervening lands. and would better reflect the conditions from disturbance and are representative under which the elepaio dispersal We determined the amount and of the historic geographical and behavior evolved. In particular, spatial arrangement of critical habitat ecological distributions of the species. enlargement of small subpopulations by needed to support a viable population of Elepaio are adaptable and able to expansion onto adjacent lands not only Oahu elepaio. Because a recovery plan forage and nest in a variety of forest would increase the chances of their for the Oahu elepaio has not been types composed of both native and long-term survival, but also would completed yet, in making this introduced plant species (Conant 1977, improve connectivity among determination we looked to the VanderWerf 1993, 1994, 1998). Nest site subpopulations by enhancing their historical distribution of the Oahu selection by elepaio is non-specialized; value as ‘‘stepping stones’’ within the elepaio for a model of a viable nests have been found in 7 native and distribution of the entire population. population. The best and most recent 13 introduced plant species (E. Section 3(5)(A)(i) of the Act provides information available on the VanderWerf, unpubl. data). that areas outside the geographical area distribution of an apparently viable Shallenberger and Vaughn (1978) found currently occupied by the species may Oahu elepaio population is from 1975, the highest relative abundance of meet the definition of critical habitat when extensive surveys were conducted elepaio in forest dominated by upon determination that they are over much of the island (Shallenberger introduced guava and kukui trees, but essential for the conservation of the 1977, Shallenberger and Vaughn 1978, they also found elepaio in the following species. Because of the territorial nature Banko 1981). Elepaio began declining forest types (in order of decreasing of the Oahu elepaio, its small total on Oahu before 1975 and already had abundance): mixed native-exotic; tall population size, limited range, disappeared from some parts of the exotic; koa dominant; mixed koa-ohia; fragmented distribution, and resulting island (Figure 2; Conant 1977, Williams low exotic; ohia dominant; and ohia vulnerability to genetic, demographic, 1987, VanderWerf et al. 2001), but in scrub. This distribution does not imply and environmental threats, we find that 1975 the subpopulations were still that elepaio prefer introduced plant inclusion of currently unoccupied areas relatively large and birds were species, but probably reflects a identified as containing the primary distributed in two well-connected preference by elepaio for riparian constituent elements is essential to the population clusters, one in the Waianae vegetation in valleys and the high conservation of the species. The final Mountains and one in the Koolau degree of habitat disturbance and rule listing the Oahu elepaio as Mountains. The areas occupied since abundance of introduced plants in endangered emphasized that the ‘‘small 1975 also are likely to be most suitable riparian areas. VanderWerf et al. (1997) total population size, limited for recovery because they supported found that (1) forest structure was more
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important to elepaio than plant species that are currently occupied by elepaio, may require special management composition, (2) most birds occurred in excluding a few very small, isolated considerations or protection; and (ii) areas with a continuous forest canopy subpopulations that contain only a specific areas outside the geographic and a dense understory, and (3) single male. We then added unoccupied area occupied by a species at the time population density was roughly twice as lands containing the primary it is listed, upon a determination that high in tall riparian vegetation in constituent elements that were needed such areas are essential for the valleys as in shorter forest on ridges. for recovery of the species. As discussed conservation of the species. Special Fifty-five percent of the currently in greater detail in the Methods section, management and protection are not occupied area consists of forest in deciding which unoccupied areas required if adequate management and dominated by introduced plant species, were essential for recovery, we used the protection are already in place. 23 percent is native wet forest, 17 distribution of elepaio in 1975 as a Adequate special management or percent is native mesic forest, and 5 model of a viable population. Within protection is provided by a legally percent is native dry forest and shrub this area of distribution in 1975, we operative plan or agreement that land (VanderWerf et al. 2001). gave preference to lands that (a) addresses the maintenance and The primary constituent elements provided more preferred forest types, (b) improvement of the primary constituent required by the Oahu elepaio for were more recently occupied (since elements important to the species and foraging, sheltering, roosting, nesting, 1975), and (c) were contiguous and manages for the long-term conservation and rearing of young are undeveloped formed large blocks of preferred habitat of the species. If any areas containing wet, mesic, and dry forest habitats or provided links between areas of the primary constituent elements composed of native or introduced plant preferred habitat. We determined the currently were being managed to species. Higher population density can boundaries of critical habitat units by address the conservation needs of the be expected in tall, closed canopy the extent of suitable forest containing Oahu elepaio and did not require riparian forest than in low scrubby the primary constituent elements, which special management or protection, these forest on ridges and summits. In in many areas coincided with the areas would not meet the definition of addition, the primary constituent boundaries of State Forest Reserves, critical habitat in section 3(5)(A)(i) of elements associated with the biological Natural Area Reserves, or other the Act and would not be included in needs of dispersal and genetic exchange conservation lands. We did not include the designation. among populations are undeveloped urban and agricultural lands because To determine if a plan provides wet or dry shrub land and wet or dry they generally do not contain the adequate management or protection we cliff habitats. Elepaio may not establish primary constituent elements and are consider 3 criteria: (1) Whether the plan territories in shrub or cliff habitats and not suitable for elepaio. We included is current and specifies the management may use them only transiently, but areas lower Wailupe Valley because it actions and whether such actions containing these habitats are important contains the primary constituent provide sufficient conservation benefit for linking populations by providing the elements, is currently occupied by to the species; (2) whether the plan opportunities for dispersal and genetic elepaio, and is contiguous with a large provides assurances that the exchange. subpopulation. Although this area is conservation management strategies will Within the forests and shrub lands zoned for urban use, the topography and be implemented, and in determining providing the primary constituent unstable soil conditions make it this we consider whether: (a) A elements, plant species composition unsuitable for development. management plan or agreement exists varies with rainfall, elevation, and We were unable to map the critical that specifies the management actions degree of habitat disturbance, and plant habitat unit boundaries in sufficient being implemented or to be species occur in a variety of detail to exclude all existing developed implemented; (b) the schedule for assemblages. Common native and lands that do not contain the primary implementation is timely; (c) there is a introduced species within these plant constituent elements. However, existing high probability that the funding assemblages include, but are not limited development features and structures source(s) or other resources necessary to to, ohia (Metrosideros polymorpha), koa within the boundaries of the mapped implement the actions will be available; (Acacia koa), papala kepau (Pisonia units, such as buildings, roads, and (d) the party(ies) have the authority umbellifera), lama (Diospyros aqueducts, antennas, water tanks, and long-term commitment to sandwicensis), mamaki (Pipturus agricultural fields, paved areas, lawns, implement the management actions, as albidus), kaulu (Sapindus oahuensis), and other urban landscaped areas demonstrated, for example, by a legal hame (Antidesma platyphyllum), alaa generally do not contain the primary instrument providing enduring (Pouteria sandwicensis), aalii constituent elements and are not critical protection and management of the (Dodonaea viscosa), naupaka kuahiwi habitat. Federal actions limited to those lands, and (3) whether the plan provides (Scaevola spp.), pukiawe (Styphelia areas, therefore, would not trigger a assurances that the conservation tameiameiae), uluhe (Dicranopteris section 7 consultation, unless they affect management strategies will be effective. linearis), guava (Psidium guajava), the species or primary constituent In determining whether an action is strawberry guava (P. cattleianum), elements in adjacent critical habitat. likely to be effective, we consider mango (Mangifera indica), kukui whether: (a) The plan specifically Application of the Section 3(5)(A) (Aleurites moluccana), christmasberry addresses the management needs, Criteria Regarding Special Management (Schinus terebinthifolius), ti (Cordyline including reduction of threats to the Considerations or Protection terminalis), rose apple (Syzygium species; (b) such actions have been jambos), mountain apple (S. Critical habitat is defined in section 3, successful in the past; (c) there are malaccense), and Java plum (S. cumini). paragraph (5)(A) of the Act as—(i) the provisions for monitoring and specific areas within the geographic area assessment of the effectiveness of the Criteria Used To Identify Critical occupied by a species, at the time it is management actions; and (d) adaptive Habitat listed in accordance with the Act, on management principles have been We used several criteria to identify which are found those physical or incorporated into the plan. and select lands for designation as biological features (I) essential to the Based on information provided to us critical habitat. We began with areas conservation of the species and (II) that by landowners and managers to date, we
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find that no areas are adequately natural resources to complete, by received information from the Army managed and protected to address the November 17, 2001, an Integrated indicating they understand and agree threats to elepaio. Several areas are Natural Resources Management Plan that the current INRMP for Army covered under current management (INRMP). An INRMP integrates installations on Oahu does not obviate plans and are being managed in a implementation of the military mission the need for critical habitat designations manner that meets some of the of the installation with stewardship of because it does not meet criteria for conservation needs of the Oahu elepaio, the natural resources found there. Each special management or protection but in no areas does the management INRMP is to include an assessment of necessary to ensure long-term adequately reduce the primary threats to the ecological needs on the installation, conservation of the species (Department this species. Specifically, the threat including needs to provide for the of the Army, in litt. 2001). from introduced nest predators, conservation of listed species; a primarily rodents, has been successfully statement of goals and priorities; a Critical Habitat Designation managed on a small scale in Honouliuli detailed description of management Lands designated as critical habitat Preserve by The Nature Conservancy of actions to be implemented to provide occur in five separate units and provide Hawaii, in Schofield Barracks West for these ecological needs; and a Range and Makua Military Reservation the full range of primary constituent monitoring and adaptive management elements needed by the Oahu elepaio, by the U.S. Army, and in the Honolulu plan. We consult with the military on Watershed Forest Reserve by the Hawaii including: a variety of currently the development and implementation of occupied undeveloped forested areas State Division of Forestry and Wildlife, INRMPs for installations with listed but in each case the management that are used for foraging, roosting, species. We believe that bases that have sheltering, nesting, and raising actions have affected only a small completed and approved INRMPs that proportion of the elepaio in the area. offspring; a variety of currently address the needs of the species unoccupied undeveloped forested areas Adequate reduction of the threat from generally do not meet the definition of rodents will require larger scale that are adjacent to occupied areas and critical habitat discussed above, because management that protects more elepaio. provide for expansion of existing they require no additional special The other primary threat to the Oahu subpopulations; and shrub land and management or protection. Therefore, elepaio, introduced diseases carried by cliff habitats that link subpopulations we do not include these areas in critical mosquitoes, has not been managed in and can be used for dispersal. If elepaio habitat designations if they meet the any area. In several areas, such as were restored throughout each of the Schofield Barracks, the threat from fire following three criteria: (1) A current critical habitat units, the resulting also has not been managed adequately. INRMP must be complete and provide a distribution would resemble the The Oahu Forest National Wildlife conservation benefit to the species; (2) distribution in 1975, when the Refuge does not meet these criteria the plan must provide assurances that subpopulations were larger and less because the refuge was created only the conservation management strategies isolated, the overall population recently (December 2000) and current will be implemented; and (3) the plan appeared to be viable, and the Oahu management does not yet provide must provide assurances that the elepaio was not considered endangered. adequate management for the Oahu conservation management strategies will The area designated as critical habitat elepaio. Refuge lands have not been be effective, by providing for periodic (26,661 ha) is larger than the area adequately surveyed yet, and it remains monitoring and revisions as necessary. occupied in 1975 (20,900 ha) because uncertain whether the area is currently If all of these criteria are met, then the the critical habitat contains not only occupied by elepaio. lands covered under the plan would not lands expected to support breeding The Sikes Act Improvements meet the definition of critical habitat. To elepaio populations, but also Amendment of 1997 (Sikes Act) requires date, no military installation on Oahu intervening lands that provide for each military installation that includes has completed a final INRMP that periodic dispersal, which is a primary land and water suitable for the provides sufficient management and biological need, but not for permanent conservation and management of protection for the elepaio. The Service occupation.
TABLE 2.—CRITICAL HABITAT UNITS AND POTENTIAL ELEPAIO POPULATIONS [Data on current density from VanderWerf et al. (2001). Unit 4 is not currently occupied by elepaio; the density used to estimate the potential elepaio population of this unit is an average of the densities in the two nearest units, central and southern Koolau.]
Potential Elepaio density in currently oc- elepaio Critical habitat unit Area cupied parts of unit population in unit
1. Northern Waianae Mountains ...... 4,454 ha ...... 0.45 per ha ...... 2,004 11,005 ac ...... 0.18 per ac ...... 2. Southern Waianae Mountains ...... 2,422 ha ...... 0.39 per ha ...... 945 5,985 ac ...... 0.16 per ac ...... 3. Central Koolau Mountains ...... 14,801 ha ...... 0.33 per ha ...... 4,884 36,573 ac ...... 0.14 per ac ...... 4. Kalihi-Kapalama ...... 804 ha ...... 0.39 per ha ...... 314 1,987 ac ...... 0.16 per ac ...... 5. Southern Koolau Mountains ...... 4,180 ha ...... 0.45 per ha ...... 1,881 10,329 ac ...... 0.18 per ac ...... All units ...... 26,661 ha ...... 0.37 per ha ...... 10,028 65,879 ac ...... 0.15 per ac ......
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The potential elepaio population in entire area designated as critical habitat. (99 percent) of the species’ current range the area designated as critical habitat is It may be possible to restore elepaio to and encompass approximately 21 approximately 10,028 birds, as higher densities in some large blocks of percent of the species’ original range. estimated by multiplying the current dense forest, but in other areas, such as Approximately 22 percent of designated density of elepaio in different parts of steep slopes and ridges, it likely will be lands are currently occupied by elepaio, the island by the area of each critical difficult to establish dense populations. and 78 percent are currently habitat unit (Table 2). Although The densities used to calculate these unoccupied but were recently occupied population density varies somewhat potential populations are average values (since 1975). A detailed description of and the estimates are approximate. among locations depending on the Critical habitat for the Oahu elepaio each unit and reasons for designating habitat quality, we believe the current includes land under Federal, State, and each portion of the unit as critical overall density of elepaio on Oahu, 37.6 private ownership, with Federal lands habitat are presented below. The birds per square kilometer, is a being managed by the Department of approximate area and land ownership reasonable estimate of the potential Defense and the Department of the within each critical habitat unit are population density throughout the Interior. Designated lands include most shown in Table 3.
TABLE 3.—APPROXIMATE AREA (HECTARES, ACRES) OF CRITICAL HABITAT UNITS BY LAND OWNERSHIP
Unit Federal 1 State County Private Total
1. Northern Waianae Mountains ...... 774 ha ...... 3,033 ha ...... 646 ha ...... 0.7 ha ...... 4,454 ha. 1,913 ac ...... 7,494 ac ...... 1,596 ac ...... 2 ac ...... 11,005 ac. 2. Southern Waianae Mountains ...... 616 ha ...... 308 ha...... 1,498 ha ...... 2,422 ha. 1,522 ac ...... 761 ac ...... 3,702 ac ...... 5,985 ac. 3. Central Koolau Mountains ...... 2,852 ha ...... 3,754 ha ...... 308 ha ...... 7,887 ha ...... 14,801 ha 7,047 ac ...... 9,276 ac ...... 761 ac ...... 19,489 ac ...... 36,573 ac. 4. Kalihi-Kapalama ...... 397 ha ...... 179 ha ...... 228 ha ...... 804 ha. 981 ac ...... 442 ac ...... 564 ac ...... 1,987 ac. 5. Southern Koolau Mountains ...... 3 ha ...... 2,553 ha ...... 476 ha ...... 1,148 ha ...... 4,180 ha. 7 ac ...... 6,309 ac ...... 1,176 ac ...... 2,837 ac ...... 10,329 ac.
Total ...... 4,245 ha ...... 10,045 ha ...... 1,609 ha ...... 10,762 ha ...... 26,661 ha. 10,489 ac ...... 24,821 ac ...... 3,975 ac ...... 26,594 ac ...... 65,879 ac. 1 Federal lands include Department of Defense and U.S. Fish and Wildlife Service.
Unit 1: Northern Waianae Mountains Reserves, Mokuleia, Makua-Keaau, and Makua-Keaau, and Kuaokala State Unit 1 consists of approximately Kuaokala State Forest Reserves, and the Forest Reserves, upper Makua Valley, 4,454 ha (11,005 ac) encompassing the upper portion of the U.S. Army Makua and upper Kahanahaiki Valley are higher elevations of the northern Military Reservation. Thirty percent of needed for recovery to allow the number Waianae Mountains. It is bounded on Unit 1 is currently occupied by elepaio. of birds in existing subpopulations to the south by Kolekole pass, and on the Of critical habitat lands on the West increase. The current distribution of north, east, and west by forest edge Range of Schofield Barracks, elepaio in Unit 1 represents a remnant created by human actions. Natural approximately 70 percent are currently of what was once a single, large, features within the unit include Mt. occupied by elepaio. The subpopulation continuous elepaio population in the Kaala, the highest peak on Oahu at on Schofield Barracks is of particular northern Waianae Mountains. Inclusion 1,227 m (4,025 feet), several other high importance to the conservation of the of currently unoccupied forested lands peaks along the spine of the Waianae species because it is the densest and that provide for expansion and shrub Range, and the upper portions of valleys third largest subpopulation on the land and cliff habitats that provide for and slopes, including Waianae Kai, island, contains the majority of birds dispersal among subpopulations will Makaha, Makua, Kahanahaiki, and remaining in the northern Waianae provide linkage needed to approximate Kuaokala valleys on the west slope, Mountains, and may serve as a source the original genetic and demographic Haleauau and Mohiakea gulches on the that supports smaller subpopulations conditions that once existed in this area. nearby. Elepaio in the northern Waianae east slope, and several narrow valleys Unit 2: Southern Waianae Mountains on the north slope. Vegetation consists Mountains are morphologically and primarily of mixed-species wet, mesic, behaviorally distinct from elepaio in Unit 2 consists of approximately and dry forest communities composed other parts of the island, and 2,422 ha (5,985 ac) encompassing the of native and introduced plants, with conservation of this population segment higher elevations of the southern smaller amounts of dry shrub land and would not be possible without the core Waianae Mountains. It is bounded on cliff plant communities (Hawaii subpopulation on Schofield Barracks. the north by Kolekole Pass, and on the Heritage Program 1991). In addition to protecting lands east, west, and south by forest edge Unit 1 contains two important elepaio occupied by the two core elepaio created by human actions. Natural core subpopulations: One in upper subpopulations and six smaller features of the unit include several high Haleauau and Mohiakea gulches above subpopulations, designated lands in peaks along the spine of the southern the firebreak road on U.S. Army Unit 1 provide for expansion of these Waianae Range, including Palikea, Schofield Barracks West Range, and the subpopulations by including currently Kaua, Kanehoa, and Hapapa, the upper other in upper Makaha and Waianae Kai unoccupied lands that were occupied portions of Lualualei and Nanakuli valleys on Waianae Kai State Forest within the past 30 years and contain the valleys on the west side of the Reserve and City and County of types of forest most preferred by mountains, and the upper portions of Honolulu land. The unit also includes elepaio. Specifically, currently numerous narrower valleys on the east small scattered elepaio subpopulations unoccupied lands in Pahole and Kaala side of the mountains. Vegetation in Pahole and Kaala State Natural Area State Natural Area Reserves, Mokuleia, consists primarily of mixed-species
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mesic and dry forest communities Waikane Valley. The unit also contains and County of Honolulu, and 3 private composed of native and introduced a few scattered elepaio territories in parcels. plants, with smaller amounts of dry Waiahole State Forest Reserve. Thirteen Unit 5: Southern Koolau Mountains shrub land and cliff communities percent of Unit 3 is currently occupied (Hawaii Heritage Program 1991). by elepaio. Designated lands include the Unit 5 consists of approximately Unit 2 contains the second largest existing subpopulations, and also 4,180 ha (10,329 ac) encompassing the Oahu elepaio subpopulation, provide for the expansion and recovery higher elevations of the southern Koolau encompassing several land parcels, of existing subpopulations by including Mountains. It is bounded on the west by including Honouliuli Preserve (managed adjacent lands in Manaiki, Waimalu, the Pali Highway. Natural features of the by The Nature Conservancy of Hawaii), Waimano, Manana, Waiawa, Kipapa, unit include: the summit of the southern Naval Magazine Pearl Harbor Lualualei Kaukonahua, and Poamoho on the Koolau Mountains, including Branch, Nanakuli State Forest Reserve, leeward (western) side, and in Waihee, Konahuanui, the highest peak in the and other unmanaged State lands. This Kaalaea, Waiahole, Waikane, and Koolau Range at 960 m (3,150 ft), the unit also contains several scattered Kahana on the windward (eastern) side upper portion of Maunawili Valley on elepaio territories north of the core that are currently unoccupied but were the windward (northern) side of the subpopulation on U.S. Army Schofield occupied since 1975. Unit 3 also mountains, and the upper portions of Barracks South Range. Fifty percent of includes wet shrub land and cliff numerous narrow valleys separated by Unit 2 is currently occupied by elepaio. habitats along the Koolau summit that steep ridges on the leeward side, In addition to protecting currently provide for dispersal of elepaio between including (from east to west) Kaalakei, occupied habitat, designated lands in the windward and leeward sides of the Kuliouou, Kupaua, Pia, Kului, Wailupe, Unit 2 include peripheral areas of Koolau Mountains. The existing core Kapakahi, Waialae Nui, Palolo, Manoa, currently unoccupied habitat in subpopulations are geographically Tantalus, and Pauoa. The vegetation Honouliuli Preserve, Lualualei, and distant from each other and probably are consists primarily of mixed-species wet, Schofield Barracks South Range that are isolated. Restoration of elepaio in mesic, and dry forest communities, with needed for recovery to allow expansion intervening areas would increase the small areas of mesic shrub land and wet of the core subpopulation, and dry chances of dispersal and genetic cliff plant communities (Hawaii shrub land and cliff habitats on exchange between subpopulations. Heritage Program 1991). The higher unmanaged State land between Currently unoccupied habitat lies on the elevations are primarily native forest Lualualei and Honouliuli and on Oahu Forest National Wildlife Refuge, dominated by ohia and koa, but the Schofield Barracks South Range that U.S. Army Schofield Barracks East lower elevations are more disturbed and provide for dispersal among parts of the Range, U.S. Army Fort Shafter, Ewa and are dominated by introduced plant southern Waianae subpopulation and Waiahole State Forest Reserves, Kahana species, particularly guava, kukui, between the northern and southern Valley State Park, and 9 privately christmasberry, and mango. Waianae subpopulations. owned parcels. The narrow indentation Unit 5 contains the largest remaining elepaio subpopulation, located in Unit 3: Central Koolau Mountains in the southern portion of Unit 3 reflects the H–3 freeway and adjacent cleared Kuliouou, Kupaua, Pia, Kului, Wailupe, Unit 3 is the largest unit, areas in North Halawa Valley. Kapakahi, and Waialae Nui valleys, and encompassing 14,801 ha (36,573 ac) of two smaller elepaio populations located the higher elevations of the central Unit 4: Kalihi-Kapalama nearby in Palolo and Manoa valleys. Koolau Mountains. Natural features of Unit 4 consists of approximately 804 Twenty-nine percent of Unit 5 is the unit include the summit of the ha (1,987 ac) encompassing the higher currently occupied by elepaio. The Koolau Range and the upper portions of elevations of the leeward (western) side current distribution of elepaio in the numerous narrow valleys separated by of the central Koolau Mountains above southern Koolau Mountains represents a steep ridges, including (from south to Kalihi and Kapalama. It is bounded on remnant of what was once a single, north) Manaiki, Moanalua, South the north by the Likelike Highway and large, continuous population. In Halawa, North Halawa, Kalauao, on the south by the Pali Highway. addition to protecting the largest Waimalu, Waimano, Manana, Waiawa, Natural features of the unit include the remaining subpopulation and two Kipapa, Kaukonahua, and Poamoho on upper portions of Kalihi, Kamanaiki, smaller subpopulations, designated the leeward (western) side, and Waihee, and Kapalama valleys. Vegetation lands in Unit 5 provide for recovery Kaalaea, Waiahole, Waikane, and consists primarily of mixed-species wet through expansion of existing Kahana on the windward (eastern) side. and mesic forest composed of native subpopulations by including currently Vegetation consists primarily of and introduced plant species (Hawaii unoccupied lands in Maunawili, Palolo, montane and lowland wet and mesic Heritage Program 1991). The higher Manoa, Nuuanu, Tantalus, and Pauoa forest, and smaller areas of shrub land elevations are primarily native forest that were occupied since 1975 and and wet cliff plant communities (Hawaii dominated by ohia and koa, but the contain the most preferred forest types. Heritage Program 1991). The higher lower elevations are more disturbed and Designated lands in Unit 5 also provide elevations of the unit are primarily are dominated by introduced plant for recovery by including shrub land native forest dominated by ohia and species. This unit is not known to and wet cliff habitats along the Koolau koa, but the lower elevations are more contain any elepaio at present, but it summit that are used for dispersal and disturbed and dominated by a variety of was occupied within the last 20 years, link subpopulations on the windward introduced plant species. still contains suitable forest habitat, and and leeward sides of the Koolau Unit 3 contains two important core provides an important habitat stepping- Mountains, thereby increasing the elepaio subpopulations: one located stone that increases the chances of potential genetic exchange and almost entirely on private land in dispersal and genetic exchange between maintenance of optimal sex ratios. Moanalua, North and South Halawa, elepaio subpopulations in the central Restoration of elepaio in unoccupied Manaiki, and Kalauao valleys at the and southern Koolau units. This unit lands in Tantalus and Pauoa at the southern end of the unit; the other on includes lands within the State of western end of Unit 5 would increase the windward side in Kahana Valley Hawaii Honolulu Watershed Forest the chances of dispersal and genetic State Park and on private lands in Reserve, two parcels owned by the City exchange between the southern Koolau
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subpopulation and the central Koolau continued existence of such a species or permitted do not require section 7 subpopulation. Ownership within Unit destroy or adversely modify its critical consultation. 5 consists of the Honolulu Watershed, habitat. If a Federal action may affect a Section 4(b)(8) of the Act requires us Maunawili, and Kuliouou State Forest listed species or its critical habitat, the to evaluate briefly in any proposed or Reserves, several parcels owned by the responsible Federal agency (action final regulation that designates critical City and County of Honolulu, and nine agency) must enter into consultation habitat those activities involving a private parcels. with us. Through this consultation, the Federal action that may adversely Federal action agency would ensure that modify such habitat or that may be Effects of Critical Habitat Designation the permitted actions do not destroy or affected by such designation. Activities Section 7 Consultation adversely modify critical habitat. that may result in the destruction or If we issue a biological opinion adverse modification of critical habitat Section 7(a) of the Act requires concluding that a project is likely to include those that alter the primary Federal agencies, including the Service, result in the destruction or adverse constituent elements to an extent that to ensure that actions they fund, modification of critical habitat, we the value of critical habitat for the authorize, or carry out do not destroy or would also provide reasonable and survival and recovery of the elepaio is adversely modify critical habitat. prudent alternatives to the project, if appreciably reduced. We note that such Destruction or adverse modification any are identifiable. Reasonable and activities also may jeopardize the occurs when a Federal action directly or prudent alternatives are defined at 50 continued existence of the species. indirectly alters critical habitat to the CFR 402.02 as alternative actions Activities that may directly or indirectly extent it appreciably diminishes the identified during consultation that can adversely affect critical habitat for the value of critical habitat for the be implemented in a manner consistent Oahu elepaio include, but are not conservation of the species. Individuals, with the intended purpose of the action, limited to: organizations, States, local governments, that are consistent with the scope of the (1) Removing, thinning, or destroying and other non-Federal entities are Federal agency’s legal authority and elepaio habitat (as defined in the affected by the designation of critical jurisdiction, that are economically and Primary Constituent Elements habitat only if their actions occur on technologically feasible, and that the discussion), whether by burning, Federal lands, require a Federal permit, Director believes would avoid mechanical, chemical, or other means license, or other authorization, or destruction or adverse modification of (e.g., woodcutting, grading, overgrazing, involve Federal funding. critical habitat. Reasonable and prudent construction, road building, mining, Section 7(a) of the Act requires alternatives can vary from slight project herbicide application, etc.). Federal agencies to evaluate their modifications to extensive redesign or (2) Appreciably decreasing habitat actions with respect to any species that relocation of the project. Costs value or quality as an indirect effect of is proposed or listed as endangered or associated with implementing a an action (e.g., introduction or threatened and with respect to its reasonable and prudent alternative are promotion of potential nest predators, critical habitat, if any is designated or similarly variable. diseases or disease vectors, vertebrate or proposed. Regulations implementing Regulations at 50 CFR 402.16 require invertebrate food competitors, or this interagency cooperation provision Federal agencies to reinitiate invasive plant species; forest of the Act are codified at 50 CFR part consultation on previously reviewed fragmentation; overgrazing; 402. Section 7(a)(4) of the Act requires actions in instances where critical augmentation of feral ungulate Federal agencies to confer with us on habitat is subsequently designated and populations; water diversion or any action that is likely to jeopardize the Federal agency has retained impoundment, groundwater pumping, the continued existence of a species discretionary involvement or control or other activities that alter water proposed for listing or result in over the action or such discretionary quality or quantity to an extent that destruction or adverse modification of involvement or control is authorized by these activities affect vegetation proposed critical habitat. Conference law. Consequently, some Federal structure or produce mosquito breeding reports provide conservation agencies may request reinitiation of habitat; and activities that increase the recommendations to assist the agency in consultation with us on actions for risk of fire). eliminating conflicts that may be caused which formal consultation has been To properly portray the effects of by the proposed action. The completed if those actions may affect critical habitat designation, we must conservation recommendations in a designated critical habitat. first compare the section 7 requirements conference report are advisory. Activities on Federal lands that may for actions that may affect critical We may issue a formal conference affect the elepaio or its critical habitat habitat with the requirements for report, if requested by the Federal action will require section 7 consultation. actions that may affect a listed species. agency. Formal conference reports Activities on private or State lands Section 7 prohibits actions funded, include an opinion that is prepared requiring a permit from a Federal authorized, or carried out by Federal according to 50 CFR 402.14, as if the agency, such as a permit from the U.S. agencies from jeopardizing the species was listed or critical habitat was Army Corps of Engineers under section continued existence of a listed species designated. We may adopt the formal 404 of the Clean Water Act, or some or destroying or adversely modifying the conference report as the biological other Federal action, including funding listed species’ critical habitat. opinion when the species is listed or (e.g., from the Federal Highway Actions likely to result in the critical habitat is designated, if no Administration, Federal Aviation destruction or adverse modification of substantial new information or changes Administration, Federal Emergency critical habitat would almost always in the action alter the content of the Management Agency, or Natural result in jeopardy to the species opinion (see 50 CFR 402.10(d)). Resources Conservation Service) will concerned, particularly when the area If a species is listed or critical habitat also continue to be subject to the section affected by the proposed action is is designated, section 7(a)(2) of the Act 7 consultation process. Federal actions occupied by the species concerned. In requires Federal agencies to ensure that not affecting listed species or critical those cases, critical habitat provides actions they authorize, fund, or carry habitat and actions on non-Federal little additional protection to a species, out are not likely to jeopardize the lands that are not federally funded or and the ramifications of its designation
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are few or none. However, critical Species Act Section 10 Program at the also contacted all appropriate State and habitat designation in unoccupied areas same address. Federal agencies, county governments, may trigger consultation under section 7 landowners, and other interested parties Exclusions Under Section 4(b)(2) of the Act where it would not have and invited them to comment. In otherwise occurred if critical habitat Section 4(b)(2) of the Act requires that addition, we requested three expert had not been designated. we designate critical habitat on the basis ornithologists and conservation Federal agencies already consult with of the best scientific and commercial biologists to provide peer review of the us on activities in areas currently information available, and that we proposed critical habitat designation. occupied by the species to ensure that consider the economic and other The first comment period closed on their actions do not jeopardize the relevant impacts of designating a August 6, 2001 (66 FR 30372). The continued existence of the species. particular area as critical habitat. We comment period was reopened from These actions include, but are not may exclude areas from critical habitat August 6 to September 6, 2001, to allow limited to: designation if the benefits of exclusion for comments on the draft economic (1) Regulation of activities affecting outweigh the benefits of designation, analysis of the proposed critical habitat waters of the United States by the Army provided the exclusion will not result in and additional comments on the Corps of Engineers under section 404 of the extinction of the species. We proposed rule (66 FR 40960). the Clean Water Act; conducted an analysis of the economic We received a total of 22 written (2) Regulation of water flows, impacts of designating these areas as comments during the two comment damming, diversion, and channelization critical habitat prior to a final periods. Comments were received from by Federal agencies; determination. We find that in no area 2 Federal agencies, 5 State agencies, 8 (3) Development on private or State do the benefits of exclusion outweigh private organizations or individuals, the benefits of inclusion, and we did not lands requiring permits from other and 3 peer reviewers. Four commenters exclude any areas under Section 4(b)(2). Federal agencies, such as the provided comments in both comment Currently, no habitat conservation Department of Housing and Urban periods. We reviewed all comments plans (HCPs) include the Oahu elepaio received for substantive issues and new Development; as a covered species. However, we (4) Military training or similar data regarding critical habitat and the believe that in most instances the Oahu elepaio. Peer reviewer comments activities of the U.S. Department of benefits of excluding HCPs from critical Defense (Army and Navy) on their lands are summarized separately in the next habitat designations will outweigh the paragraph. Public comments are or lands under their jurisdiction at benefits of including them. In the event grouped into 4 general issues relating to Schofield Barracks, Makua Military that future HCPs are developed within the proposed critical habitat Reservation, Fort Shafter, Kawailoa the boundaries of proposed or determination and draft economic Training Area, and Pearl Harbor Naval designated critical habitat, we will work analysis, and are addressed in the Magazine Lualualei Branch; with applicants to ensure that the HCPs following summary. (5) Construction of communication provide for protection and management All three peer reviewers thought our sites licensed by the Federal of habitat areas essential for the methods for designating critical habitat Communications Commission; conservation of this species. This will were sound, the best available scientific (6) Road construction and be accomplished by either directing information was used, and the relevant maintenance, right-of-way designation, development and habitat modification scientific literature, reports, and recent and regulation of agricultural activities to nonessential areas, or appropriately research were summarized adequately. by Federal agencies; modifying activities within essential All three also felt that inclusion of (7) Hazard mitigation and post- habitat areas so that such activities will currently unoccupied areas was justified disaster repairs funded by the Federal not adversely modify the critical habitat. and well supported, and that the Emergency Management Agency; and We will provide technical assistance definition of primary constituent (8) Activities not previously and work closely with applicants elements and the criteria used to mentioned that are funded or authorized throughout the development of any identify critical habitat were by the U.S. Department of Agriculture future HCPs to identify lands essential comprehensive, valid, and justified. One (Forest Service, Natural Resources for the long-term conservation of the reviewer commented that the short Conservation Service), Department of Oahu elepaio and appropriate dispersal distances of elepaio offspring Defense, Department of Transportation, management for those lands. The take justify the inclusion of large tracts of Department of Energy, Department of minimization and mitigation measures contiguous forest. Two reviewers felt the Interior (U.S. Fish and Wildlife provided under such HCPs would be that the size and distribution of the Service, U.S. Geological Survey, expected to protect the essential habitat units would allow for development of National Park Service), Department of lands designated as critical habitat in sustainable populations, but one Commerce (National Oceanic and this rule and provide for the reviewer expressed some doubt whether Atmospheric Administration), conservation of the covered species. the amount of critical habitat proposed, Environmental Protection Agency, or Furthermore, we will complete intra- which is similar to the area occupied in any other Federal agency. Service consultation on our issuance of 1975, was sufficient to ensure the If you have questions regarding section 10(a)(1)(B) permits for these survival of the species, because the whether specific activities would HCPs to ensure permit issuance will not distribution in 1975 was unstable. constitute adverse modification of destroy or adversely modify critical Finally, one reviewer suggested that the critical habitat, contact the Field habitat. importance of wet stunted forest and Supervisor, Pacific Islands Ecological dry shrubland for dispersal should be Services Field Office (see ADDRESSES Summary of Comments and more clearly demonstrated if possible. section). Requests for copies of the Recommendations None of the reviewers provided new regulations on listed wildlife and plants In the proposed rule published on information about the biology or and inquiries about prohibitions and June 6, 2001 (66 FR 30372), we distribution of elepaio or about areas permits should be directed to the U.S. requested that all interested parties that should be considered essential to Fish and Wildlife Service, Endangered submit comments on the proposal. We its conservation.
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Issue 1: Biological Justification and possible to restore elepaio to densities of we agree with the Army that it is Methodology 50–100 birds per square kilometer in marginal habitat for the elepaio and (1) Comment: Several commenters some large blocks of dense forest, but in should not have been included in the supported the CH designation and felt other areas density probably will be proposed designation. Much of this area that critical habitat is needed because lower than 37.6 birds per square consists of exposed ridges and steep habitat loss is one of the primary causes kilometer because it will be difficult to slopes that support dry shrubland, and in the decline of the Oahu elepaio. establish populations in other portions most of the remainder is dominated by Service Response: Habitat loss has of the former range. The density we Eucalyptus robusta, an alien tree that is been an important factor in the decline used to estimate the potential not favored by elepaio. The small of the Oahu elepaio; 56 percent of the population is an average value. forested areas in the dry gulches (4) Comment: Several commenters former range has been lost to urban and southeast of Puu Pane could support at supported the designation of critical agricultural development. most a few pairs of elepaio, and they are habitat on military lands, citing the (2) Comment: Several commenters isolated from other forested areas and threats from military training, supported the inclusion of unoccupied would not serve as habitat stepping particularly fire, to the elepaio. stones between other subpopulations. In habitat due to the clear need for the Service Response: We included all elepaio to expand outside currently this final rule we removed 48 ha (119 areas containing the primary constituent ac) from the proposed rule that should occupied areas if it is to recover. elements that are essential to the Service Response: As stated in both not be designated as critical habitat. conservation of the elepaio, regardless (6) Comment: The U.S. Navy the proposed rule and this final rule, the of ownership. We determined that no requested that lands in NAVMAG Pearl small population size and fragmented areas, including military lands, were Harbor Lualualei Branch be excluded distribution of the Oahu elepaio make it sufficiently protected so as not to meet from the critical habitat designation vulnerable to extinction. Each of the the definition of critical habitat under because existing protections and currently occupied areas is too small to section 3(5)(A)(i)(II) of the Act, or management are sufficient, thereby support a viable long-term population, qualified for exclusion from critical resulting in their lands not requiring and recovery will require restoration of habitat under Section 4(b)(2) of the Act. special management or protection and elepaio in areas that were formerly Also see comments 6 and 7. not meeting the definition of critical inhabited. (5) Comment: Critical habitat habitat under Section 3(5)(A) of the Act. (3) Comment: The area proposed as designation is not appropriate in The Navy also stated that it has critical habitat is larger than necessary. particular areas. One commenter stated prepared a full management strategy for One commenter stated that a smaller it was not appropriate to designate the Oahu elepaio in the pending INRMP area than that proposed would meet all critical habitat in areas that are not for NAVMAG Pearl Harbor Lualualei legal requirements and lessen the occupied by the elepaio, and that none Branch, which includes an evaluation of regulatory burden. Based on the area of of the physical or biological features population distribution, quality and the proposed critical habitat (26,853 ha, necessary to the conservation of the quantity of nesting habitat, threats, and 66,354 ac) and the current population species are present in unoccupied areas. management needs for recovery. The density of elepaio on Oahu (37.6 birds The Army requested that an area Navy maintains that the management per square kilometer), the area proposed southeast of Puu Pane be removed from strategy in the INRMP provides would provide habitat for 10,100 Unit 1 because it is marginal habitat for adequate management and protection elepaio. The commenter asserted that the elepaio and has limited potential for and should exempt NAVMAG Pearl elepaio occur at densities over 200 birds recovery. Harbor Lualualei Branch from critical per square kilometer on other islands, Service Response: All currently habitat. that it is possible to attain densities of unoccupied areas designated as critical Service Response: The primary threats 50–100 elepaio per square kilometer on habitat were occupied by elepaio within to the elepaio, predation by alien rats Oahu, so that less land is needed to the past 25 years, and these areas still and diseases carried by alien support the same number of elepaio. contain the primary constituent mosquitoes, have not been addressed on Service Response: The critical habitat elements needed by the elepaio. Even if Navy lands. The Navy conducts designation was based on the the threats responsible for the decline of predator control in a small wetland in distribution of lands required to support the elepaio were controlled, the existing Lualualei to protect endangered a viable population of elepaio, not on subpopulations would be unlikely to waterbirds, but this site is several the amount of land required to support persist because their small sizes and kilometers from elepaio critical habitat a certain number of elepaio. The isolation make them vulnerable to and provides no benefit to elepaio. After viability of a population depends not extinction due to a variety of natural reviewing the draft INRMP for only on the number of birds, but also on processes, such as inbreeding NAVMAG Pearl Harbor Lualualei their distribution. We feel the depression, loss of genetic variability Branch, we have determined that it does distribution of lands in the designation, due to genetic drift, decreased not provide for adequate protection or in large blocks of contiguous habitat, is evolutionary potential and ability to management for the Oahu elepaio. The necessary for the long-term conservation cope with environmental change, draft INRMP does not include a of elepaio on Oahu, as a large number random fluctuations in population size management strategy for the Oahu of birds distributed in many tiny habitat and sex ratio, and catastrophes such as elepaio and does not provide an fragments is less likely to persist than hurricanes. Unoccupied areas that still evaluation of population distribution, birds in a single large population or in contain the primary constituent quality and quantity of nesting habitat, several well-connected populations. We elements are needed for recovery to threats, and management needs for also believe the current density of allow the number of elepaio to increase. recovery. elepaio on Oahu, 37.6 birds per square (Also see comment 2 and summary of We agree that INRMPs can provide kilometer, is a reasonable estimate of the reviewer’s comments). adequate management and protection of overall potential population density Since the proposed rule was military lands such that they no longer throughout the entire area designated as published we visited the area southeast require critical habitat designation. To critical habitat. It probably will be of Puu Pane with Army biologists, and determine if an INRMP provides
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adequate management or protection we mentioned that they have ongoing commercial forestry, mining, and consider: (1) Whether there is a current management for elepaio, and four extraction of any material or natural plan specifying the management actions commenters urged the Service to resource. An additional 1,136 acres are and whether such actions provide provide financial and technical support in the General Subzone of the sufficient conservation benefit to the to private landowners to implement Conservation District, which in addition species; (2) whether the plan provides additional voluntary predator control to the activities listed above, allows assurances that the conservation and habitat management. farming, nurseries, orchards, and management strategies will be Service Response: The Service agrees grazing. Critical habitat designation implemented; and (3) whether the plan there is a need to provide financial and ensures that any of these actions on provides assurances that the technical support to private landowners State conservation lands that involve a conservation management strategies will who would like to help recover listed Federal nexus will not adversely modify be effective, i.e., provide for periodic species. Since the proposed rule was critical habitat. Because State monitoring and revisions as necessary. published, the Partners for Fish and Conservation zoning already places If all of these criteria are met, then Wildlife Program of the Service has limitations on land use, we expect very under current Service policy the lands provided a private land manager with few if any economic impacts from the covered under the plan would no longer money to manage elepaio habitat designation of critical habitat. meet the definition of critical habitat. through the Hawaii Community-Based Critical habitat designation provides (7) Comment: The U.S. Army stated Endangered Species Conservation educational as well as regulatory that current management actions for the Initiative. The Service also is working, benefits. Attention brought by critical Oahu elepaio at Schofield Barracks and in collaboration with the State habitat designation can help educate the Makua Military Reservation and existing Department of Land and Natural public about the conservation needs of wildfire management programs afford Resources, to design potential Safe a species, aid landowners and managers adequate protection for the elepaio, Harbor Agreements with private in focusing and concerting management suggesting these areas should be landowners under section 10 of the Act, efforts, and can even result in increased excluded from critical habitat. in which the Service would provide funding opportunities (see response to Service Response: We agree that the technical support and up to 75 percent comment 9). Army has conducted some valuable of the cost of managing habitat for (11) Comment: Critical habitat management for the elepaio, but thus far elepaio recovery. One Safe Harbor designation will result in expensive only a small fraction of elepaio on Army Agreement is approved and funded, and additional land management lands have benefited from management there is potential to develop more. (see requirements for private landowners. activities such as rodent control, and the also comments 13 and 22). There is no benefit to designating threat to elepaio at Schofield Barracks of (10) Comment: Several commenters critical habitat on the property of a wildfires resulting from training questioned whether critical habitat small landowner if they do not have the activities has not been managed designation would provide any benefit resources to manage the area and adequately. Larger scale rodent control to the elepaio, particularly on privately government agencies do not have access and improved fire management will be owned lands with no Federal nexus. for management. necessary to meet the long-term One commenter requested that, since Service Response: Critical habitat conservation needs of the elepaio. We there are no discernible benefits to designation does not require any have determined that current including private lands in the additional management to be done by management does not adequately designation, such lands be excluded private landowners, State agencies, or address the conservation needs of the under Section 4(b)(2) of the Act. the Federal Government. Critical habitat Oahu elepaio, and that Army lands Another commenter stated that the designation does not create a wilderness cannot be excluded from critical habitat majority of land proposed as critical area or preserve; it does not require under Section 3(5)(A)(i)(II). habitat already is protected by State fencing, control of rodents, ungulates, or (8) Comment: Before final conservation zoning, Natural Area weeds; and it does not close an area to designation, the Service should ground- Reserves, Forest Reserves, and hunting or hiking. It requires only that truth all suitable habitat and the known watershed partnerships, and that critical actions carried out, funded, or permitted range of elepaio to maximize the area habitat designation is not necessary and by the Federal Government must not available for recovery. would duplicate existing zoning and destroy or adversely modify critical Service Response: The critical habitat land use protection. habitat. The decision to manage land to designation was based on the best Service Response: It is true that most control threats to the elepaio, such as information available at the time, and (99.6%) of the critical habitat for the nest predation or disease, is separate included data from numerous surveys Oahu elepaio is in areas that already from critical habitat designation and at by university, State, military, and receive protection from State the discretion of the landowner. private biologists. We recognize that regulations, zoning restrictions, private (12) Comment: Designation of critical more information on habitat suitability preserves, and partnerships, but the habitat may discourage private and distribution of the elepaio would be critical habitat designation provides an landowners from entering cooperative useful, and the Service recently ground- additional type of protection that only management programs such as truthed several areas. If new scientific affects actions carried out, funded, or watershed partnerships, particularly if a information shows that there is a need permitted by the Federal Government. If landowner is concerned or uncertain to add or remove lands from the critical actions with a Federal nexus occur on about Federal regulations. habitat, an amendment or correction to State, County, or private lands, then Service Response: The goals of the designation could be considered. critical habitat designation will ensure watershed partnerships are compatible that those actions do not adversely with the conservation needs of the Oahu Issue 2: Policy and Regulations modify the habitat elements important elepaio and with the objectives of (9) Comment: Efforts by the Service to to the elepaio. Over 39,000 acres of the critical habitat. There is no reason that protect elepaio habitat must include critical habitat are in the Resource critical habitat designation should incentives and support for landowners Subzone of the State Conservation discourage private landowners from to manage habitat. Several commenters District, which allows such actions as entering watershed partnerships. We
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welcome the opportunity to discuss unoccupied areas the only relevant prohibit any training activities or the concerns or uncertainties about critical consideration is whether the area is use of any type of ammunition at habitat regulations with any such essential for the conservation of the Schofield Barracks. The critical habitat partnership. Our Partnerships Program species. Some unoccupied areas may be does not contain any lands used for is actively involved in cooperative degraded, but that does not mean they training, but an impact area for live-fire management programs, such as do not require protection from further training is adjacent to critical habitat. watershed partnerships, and helps guide adverse modification for the elepaio to The primary potential effect on elepaio and fund partnerships toward good land have a chance at recovery. from military training at Schofield stewardship practices. Service Response: We recognize that Barracks is the risk of wildfires that (13) Comment: Money spent on this areas outside the boundaries of the cross the firebreak road and burn and future regulatory processes to critical habitat may be suitable for forested areas comprising the critical enforce critical habitat could be much elepaio recovery, and that it is possible, habitat. If an adequate fire management better spent on management activities. although perhaps expensive, to restore plan is implemented and fires that affect More management, not more degraded areas that do not currently critical habitat are controlled, there regulations, can best address the decline contain the primary constituent should be no effect on elepaio from of the elepaio. elements. The focus of critical habitat, military training and no changes needed Service Response: We agree that however, is the area essential to the to the types of training conducted at greater management of threats such as conservation of the species. For some Schofield Barracks. predation and disease is needed for species there may not be sufficient land Although it would be possible, but recovery of the elepaio, but habitat available that contains the primary more expensive, to conduct training protection also is essential to the constituent elements, and it may be with flares and tracer ammunition at an recovery of the elepaio, and critical necessary to restore additional habitat in alternate site, we believe that moving habitat is a method of habitat protection. order to provide for the conservation of such training is not necessary if the risk The Service provides financial and the species. In the case of the Oahu of fires resulting from use of such technical support for several elepaio elepaio, we believe that the designated munitions at Schofield Barracks is recovery actions, and critical habitat critical habitat does contain the areas adequately controlled. A detailed fire designation can lead to increased essential to the conservation of the management plan has been prepared for funding opportunities for recovery species, and that these lands alone are nearby Makua Military Installation, but actions (see comments 9 and 22). sufficient to provide for its recovery. the draft INRMP for Schofield Barracks (14) Comment: One commenter This does not mean that areas outside does not contain a full fire management questioned the Service’s policy not to the designated critical habitat units are plan and currently there are no specific include existing structures within the not suitable and cannot be used for procedures to control wildfires at boundaries of the mapped critical elepaio recovery, nor does it imply that Schofield Barracks. Because most of the habitat units because doing so could they should not be protected or restored. critical habitat at Schofield Barracks is create confusion as to whether a given It simply reflects our conclusions that occupied by elepaio, the effect of area contains the primary constituent sufficient lands are available that military training on elepaio would elements and thus whether section 7 already contain the primary constituent require consultation under Section 7 of consultation is necessary. elements. the Act even if critical habitat were not Service Response: Within the critical (16) Comment: One commenter urged designated. Since the area is occupied habitat units there are numerous small the Service not to exclude any areas by elepaio, consultations will point to a structures that do not contain the containing the primary constituent need for a fire management plan primary constituent elements required elements, including areas covered by regardless of any CH designation, by the elepaio, such as buildings, roads, Conservation Agreements and Safe which, if adequately done, will moot aqueducts, water tanks, and antennas. Harbor Agreements, that are being any impact to the Army from the critical Including such structures in the critical managed to address the conservation habitat designation. The Service expects habitat designation would imply that needs of the species and therefore to work with the Army on the they are required by the elepaio and allegedly do not meet the definition of development of a sound fire therefore must be present for the elepaio critical habitat in Section 3(5)(A) of the management plan for Schofield Barracks to survive, which is not true and easily Act because they do not require special and on minimizing or mitigating could be misinterpreted. In the text of management or protection. potential impacts of training on the the proposed rule we therefore stated Service Response: No areas were elepaio in ways that will not that any such features within the critical excluded from the designation on the compromise training readiness. habitat units are not included in the basis that current management was Issue 3: Economic Issues critical habitat designation. The adequate and special management or alternative to describing such features in protection was not required. Currently (18) Comment: Several commenters the text is to depict each one as a ‘‘hole’’ there are no Conservation Agreements stated that critical habitat designation in the critical habitat. However, these or Safe Harbor Agreements that include will have an adverse economic impact structures are too small to be visible on the Oahu elepaio. to private landowners, and requested a map and it was impossible to map (17) Comment: The inability to use that a particular area be excluded from every existing structure that does not flares and tracer ammunition at designation under Section 4(b)(2) contain the primary constituent Schofield Barracks would require that because costs outweigh benefits. One elements. A few structures, such as the the Army conduct all such training commenter pointed out that the draft H–3 freeway and the Palehua Road, are elsewhere, which would have economic analysis found that the area large enough to be mapped. tremendous economic impact and along Palehua Road might experience a (15) Comment: One commenter would adversely affect training large economic impact, and that objected to the suggestion in the readiness. exclusion of the area would not proposed rule that habitat cannot be Service Response: Designation of compromise conservation objectives, ‘‘critical’’ unless it contains the primary critical habitat for the Oahu elepaio on would maximize efficiency of private constituent elements, and stated that for Army lands would not necessarily land use for commercial purposes, and
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would not result in extinction of the impacts are attributable co-extensively (22) Comment: Current management species. to other causes. efforts fall short of meeting the Service Response: Critical habitat Service Response: On May 11, 2001, conservation needs of the Oahu elepaio. designation would not affect any uses of the U.S. Court of Appeals for the Tenth Recovery of the elepaio will require private land unless actions on the land Circuit issued a ruling that addressed larger, landscape-scale management, were carried out, funded, or somehow the analytical approach used by the more funding, and possibly different permitted by the Federal Government. Service to estimate the economic methods, such as aerial broadcast of The economic analysis showed that the impacts associated with the critical rodenticide to control rodents. economic impact of the proposed habitat designation for the southwestern Service Response: We agree that critical habitat designation would be willow flycatcher. New Mexico Cattle current management is not sufficient minimal in most areas, and that only a Growers Association v. U.S. Fish and and that recovery of the elepaio will few locations potentially could Wildlife Service, 248 F.3d 1277 (10th require not just habitat protection but experience a moderate impact. Some of Cir. 2001). Specifically, the court large-scale active habitat management. the areas where the economic impact rejected the approach used by the Both the proposed rule and this final might be moderate also are of high value Service to define and characterize rule clearly state that additional to the elepaio, and we feel that the baseline conditions. Defining the management will be necessary for benefits of inclusion outweigh the baseline is a critical step in an economic recovery of the elepaio. The Service has benefits of exclusion. analysis, as the baseline in turn provided technical assistance with Since publication of the proposed identifies the type and magnitude of rodent control to the U.S. Army, the rule, we have re-evaluated the Palehua incremental impacts that are attributed U.S. Navy, the State, and private land Road area and decided that for to the policy or change under scrutiny. managers, and financial support for biological reasons it should not have In the flycatcher analysis, the Service rodent control to the State and private been included in the proposed defined baseline conditions to include managers. We also are actively involved designation, and we removed it from the the effects associated with the listing of in obtaining EPA registration for aerial final designation (see Summary of the flycatcher and presented only the broadcast of rodenticide, which will be Changes From the Proposed Rule). incremental effects of the rule. an important tool in reducing the threat (19) Comment: One commenter We have revised the economic from nest predation by rats. expressed concern about the impact of analysis for the Oahu elepaio through (23) Comment: The critical habitat critical habitat designation on the Addendum to specifically address designation for the Oahu elepaio agricultural resources, particularly the the Tenth Circuit Court’s instructions. directly conflicts with approved Federal water catchment and distribution Specifically, the economic analysis recovery plans for 12 endangered plant facilities of the Waiahole Ditch (which quantifies, to the extent possible, the species, which identify control of is within the boundaries of Unit 3), and effects of section 7 in its entirety on introduced plant species as a needed recommended that a corridor be current and planned activities that are recovery action. The proposed rule established around the ditch excluding reasonably expected to occur in the near identifies the primary constituent it from critical habitat. This ditch is the future within proposed critical habitat. elements for the elepaio as wet, mesic, sole source of irrigation water for For these reasons we believe the and dry forest composed of both native several thousand acres of agricultural economic analysis of the critical habitat and introduced plant species. land in south-central Oahu, and it will designation for the Oahu elepaio meets Preservation of a native forest ecosystem require periodic maintenance. the requirements of the Tenth Circuit should be emphasized and protected Service Response: Existing features Court’s opinion. over a mixed or introduced forest. and structures within the boundaries of Mixed or introduced forest should be Issue 4: Other Relevant Issues the critical habitat units, such as the excluded as a primary constituent Waiahole Ditch, are not included in the (21) Comment: The Service and other element of elepaio habitat. critical habitat because they do not agencies should work together in a Service Response: Elepaio are contain the primary constituent cooperative fashion to benefit generalized in habitat use and are able elements needed by the elepaio. endangered species. The U.S. Navy to occupy a variety of forest types Maintenance of these features and commented that, although this critical composed of many different plants, structures would only be affected by the habitat designation was generated as a including native and introduced critical habitat designation and would result of litigation, that fact should not species. Many areas currently occupied only require section 7 consultation if the limit the ability of the Navy and the by elepaio contain mostly introduced maintenance is federally funded or Service to work together. A State agency plants, but this does not mean that permitted and if the action affected the commended the Service for the process elepaio must have those introduced species or the primary constituent used in developing the critical habitat plants to survive. The structure of the elements in adjacent areas of critical designation for the Oahu elepaio, and forest is more important to elepaio than habitat. It was not practical to create a commented that State and Service the species of plants present. The plant corridor in the critical habitat around biologists have worked together to species listed in the description of the Waiahole Ditch because the ditch is identify and manage important habitat primary constituent elements are too small. for the Oahu elepaio. examples of common plants in areas (20) Comment: One commenter Service Response: We fully agree, and suitable for elepaio; it is not necessary objected to the draft Economic Analysis we expect to continue working closely for all those species to be present. The because it does not meet the with all Federal and State agencies and critical habitat designation for the Oahu requirements of the Tenth Circuit private landowners and managers in elepaio does not require or advocate the Court’s opinion in New Mexico Cattle developing effective management for the preservation of introduced forests over Growers Association v. U.S. Fish and elepaio and other endangered species. native forests. Recovery actions for Wildlife Service, No. 00–2050, May 11, We see no reason that this designation, endangered native plant species that 2001, which requires a full analysis of or any other action that results from involve removal of alien plants do not all economic impacts of a critical habitat litigation, should affect existing positive conflict with recovery of the elepaio, as designation, regardless of whether those working relationships. long as the alien plant species are
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replaced with native plant species and Summary of Changes From the pairs of elepaio, but these areas are the vegetative cover is retained in the Proposed Rule isolated from other suitable forest and long term. To avoid this misconception In the proposed rule we attempted to would not provide habitat stepping in the final rule, the description of the use Hawaiian language diacritical marks stones between other elepaio primary constituent elements has been in the spelling of Hawaiian words, but subpopulations. As a result of the economic analysis changed to wet, mesic, and dry forest there were numerous conversion errors and information provided to us during composed of native or introduced plant and the marks were not printed the public comment period on the species. correctly. We published a correction to proposed rule, we learned that the area (24) Comment: Several commenters the proposed rule (66 FR 46428) in along the Palehua Road at the southern supported the critical habitat which we said we would ensure that the edge of Unit 2 contains a large designation for the Oahu elepaio, citing marks are either used correctly or concentration of telecommunication the species cultural significance to the eliminated. In this final rule we antennas and associated facilities, Hawaiian people, its uniqueness and eliminated the diacritical marks because several houses, and other structures. value to the Hawaiian ecosystem, its we cannot ensure they will be printed The forest has been largely removed due intangible existence value, and the properly in the short time before the benefits it provides to human to the extensive development, and the court-ordered publication deadline. We existing vegetation is dominated by communities that cannot be measured. recognize the importance of using the Service Response: We recognize the ironwood (Casuarina spp.) and marks to accurately portray the Eucalyptus robusta, introduced trees cultural and natural significance of the pronunciation of Hawaiian words and Oahu elepaio. The elepaio is familiar to that are not favored by elepaio. The we regret not being able to use them, but existing structures in this area were not many people in Hawaii, and it has we feel that printing the marks served as a symbol not only for the included in the proposed designation incorrectly would be worse than not because they are developed features that natural environment, but also for using them. conservation and collaborative do not contain the primary constituent Based partly on public comments elements required by elepaio, but to management. In addition to being a received on the proposed determination guardian spirit of Hawaiian canoe make this more explicit and clear, we of critical habitat for the Oahu elepaio removed a total of 31 ha (77 ac) in a makers, the elepaio was prominent in and partly on additional biological legends and folklore. Elepaio are often corridor roughly 200 meters wide examination of several areas, we re- centered on the road between Palehua the first birds to sing in the morning, evaluated our proposed designation of and Mauna Kapu. Of this area, 24 ha (60 and their songs were thought to warn critical habitat for the Oahu elepaio. ac) is privately owned and 7 ha (17 ac) spirits of the night that their work must This resulted in the removal for is owned by the State. end because dawn was approaching. biological reasons of five relatively In Nanakuli Valley we removed 63 ha (25) Comment: Hunting for various small areas totaling 207 ha (513 ac) in (156 ac) from the southwest corner of mammals and game birds currently is this final determination, including: (1) Unit 2 because it is does not contain authorized in portions of all five critical 48 ha (119 ac) in Unit 1 on Schofield forest with the primary constituent habitat units. Because nothing in the Barracks West Range; (2) 31 ha (77 ac) elements needed by elepaio and is proposed rule indicates there will be a in Unit 2 around the Palehua-Mauna unlikely to be useful for dispersal. This curtailment or cessation of hunting, it Kapu road; (3) 63 ha (156 ac) in Unit 2 valley is much drier than we previously must be assumed that current in Nanakuli Valley; (4) 49 ha (121 ac) in realized and contains mostly dry authorized hunting programs will Unit 3 in Keaiwa Heiau State Recreation shrubland and grassland. Portions of the continue. A well-designed hunting Area; and (5) 16 ha (40 ac) in Unit 5 in valley are very steep and contain almost program is a vital element of game and around Lyon Arboretum in Manoa no vegetation. This area is on the very management and overall conservation. If Valley. These areas comprise less than edge of the potential elepaio hunting is considered to have negative 1 percent of the area originally distribution and is unlikely to serve as impacts, or a hunting program is proposed. The designation is based on a link to other subpopulations because considered for expansion or the distribution of lands needed to of its location. improvement, hunter groups should be support a viable population, not on the In Unit 3, we removed 49 ha (121 ac) involved in any discussions or amount of land required to support a that contained developed areas of the planning. certain number of birds. The lands in Keaiwa Heiau State Recreation Area, Service Response: Alteration of native question were all located on the edge of including roads, parking areas, ecosystems by feral mammals is not one one of the habitat units and were campsites, picnic areas, and restrooms. of the primary threats to the Oahu unlikely to serve as habitat stepping These are developed features and do not elepaio, and no changes in authorized stones between other forested areas. A contain the primary constituent hunting programs are expected as a more detailed discussion and elements needed by the elepaio, and as result of critical habitat designation for justification for removal of each of these such were not included in the proposed the Oahu elepaio. The Service agrees areas is provided below. critical habitat. To clarify this, in this that in many circumstances a well- On Schofield Barracks West Range we final rule we have moved the boundary designed hunting program can be an removed 48 ha (119 ac) in the area so it does not include the developed important component in the southeast of Puu Pane, which was the section of the recreation area, but the conservation of native ecosystems in easternmost portion of Unit 1, because higher, undeveloped section of the Hawaii by helping to control excessive it is less suitable for elepaio than we recreation area is retained. damage caused by large populations of realized. This area consists largely of Finally, we removed 16 ha (40 ac) on feral mammals. Should a change in exposed ridges, steep dry slopes that the edge of Unit 5 that consisted of authorized hunting programs result support dry shrub land, and open forest landscaped areas in and near Lyon from this critical habitat designation, dominated by Eucalyptus robusta, an Arboretum in Manoa Valley. The the Service would work with State introduced tree not favored by elepaio. landscaped gardens in Lyon Arboretum agencies and hunting groups to address The gulches contain small areas of more are developed features that do not any concerns. mesic forest that could support a few contain the primary constituent
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elements needed by the elepaio, and as zoning. Most current and planned that could potentially cause adverse such were not included in the proposed projects and land uses in the critical modification of proposed critical habitat designation. To clarify this, in this final habitat areas have no Federal would currently be considered as rule we moved the boundary so it does involvement, and thus would not be ‘‘jeopardy’’ under the Act in areas not include the lower, developed affected by critical habitat designation. occupied by the species. Accordingly, section of the arboretum, but it still Most activities with a Federal nexus the designation of currently occupied contains the higher, undeveloped involve the operation and management areas as critical habitat does not have section. of existing facilities, and also would not any impacts on what actions may or Economic Analysis be affected by critical habitat may not be conducted by Federal designation. The primary economic agencies or non-Federal persons that Section 4(b)(2) of the Act requires us impact on most activities would be a receive Federal authorization or funding to designate critical habitat on the basis small cost associated with an increased beyond the existing impacts. The of the best scientific and commercial number of section 7 consultations and designation of areas as critical habitat data available and to consider the an increased length of time required for where section 7 consultations would not economic and other relevant impacts of consultations resulting from critical have occurred but for the critical habitat designating a particular area as critical habitat. There may be a modest designation may have impacts on what habitat. We may exclude areas from economic impact of critical habitat actions may or may not be conducted by critical habitat upon a determination designation on lands owned or Federal agencies or non-Federal persons that the benefits of such exclusions controlled by the Department of who receive Federal authorization or outweigh the benefits of specifying such Defense. funding that are not attributable to the areas as critical habitat, but we cannot A copy of the final economic analysis species listing. These impacts were exclude such areas from critical habitat and supporting documents are included evaluated in our economic analysis if the exclusion will result in the in our administrative record and may be (under section 4 of the Act; see extinction of the species. obtained by contacting the Pacific Economic Analysis section of this rule). In the addendum, the methodology Islands Field Office (see ADDRESSES Non-Federal persons or agencies that do was modified to more fully describe and section). Copies of the final economic not have Federal involvement in their explore the baseline conditions analysis also are available on the actions are not restricted by the attributable to the listing of the elepaio. Internet at http://pacificislands.fws.gov/ designation of critical habitat. This change in methodology is wesa/endspindex.html. consistent with the planned (b) This rule will not create modification discussed in the Foreword Required Determinations inconsistencies with other agencies’ actions. As discussed above, Federal to the DEA, and is consistent with the Regulatory Planning and Review ruling of the Tenth Circuit Court agencies have been required to ensure concerning the analytical approach used In accordance with Executive Order that their actions do not jeopardize the by the Service to estimate economic 12866, this document has been continued existence of the Oahu elepaio impacts. The results of the analysis reviewed by the Office of Management since its listing in April 2000. We cover economic impacts that are and Budget (OMB). OMB makes the evaluated the impact of designating attributable to (1) both the listing of the final determination of significance areas where section 7 consultations elepaio as an endangered species and its under Executive Order 12866. would not have occurred but for the critical habitat designation and (2) just (a) This rule will not have an annual critical habitat designation in our the critical habitat designation. In economic effect of $100 million or economic analysis (see Economic general, cost and benefit estimates were adversely affect an economic sector, Analysis section of this rule). The not developed for projects and activities productivity, jobs, the environment, or prohibition against adverse modification in cases where: (1) The economic other units of government. A cost- of critical habitat is not expected to impacts attributable to both the listing benefit and economic analysis therefore impose any additional restrictions to and the critical habitat are expected to is not required. The Oahu elepaio was those that currently exist on currently be small, (2) the probability of the listed as an endangered species in April occupied lands and will not create impacts occurring is small, (3) the 2000. In fiscal years 2000 through 2001 inconsistencies with other agencies’ impacts are highly speculative, or (4) we have conducted two informal section actions on unoccupied lands. data needed to quantify the impacts are 7 consultations with other Federal Specifically, construction and land not reasonably available. agencies to ensure that their actions management activities carried out by the An analysis of the economic impacts would not jeopardize the continued Service on the newly created Oahu of critical habitat designation for the existence of the Oahu elepaio. We have Forest National Wildlife Refuge are Oahu elepaio was prepared by Decision not issued any section 10(a)(1)(B) expected to benefit the elepaio and Analysts Hawaii, Incorporated, under incidental take permits for the elepaio. other listed species in the long term, subcontract to the Service through Under the Act, critical habitat may and those actions therefore will not be Industrial Economics, Incorporated, and not be adversely modified by a Federal affected by this designation. Storage of was made available for public review agency action; critical habitat does not munitions by the U.S. Navy at from August 6 through September 6, impose any restrictions on non-Federal NAVMAG Pearl Harbor Lualualei 2001 (66 FR 40960). The final analysis, persons or agencies unless they are Branch is not expected to be affected by which reviewed and incorporated conducting activities funded or this designation because the lands used public comments, concluded that no otherwise sponsored, authorized, or for munitions storage and those significant economic impacts are permitted by a Federal agency. Section designated as critical habitat do not expected from critical habitat 7 requires Federal agencies to ensure overlap, and storage of munitions on designation. Few new developments, that they do not jeopardize the adjacent lands does not affect the land uses, or other activities are continued existence of this species. elepaio. Training by the U.S. Army at expected in the critical habitat units Based upon our experience with this Makua Military Reservation and because of the mountainous terrain, species and its needs, we conclude that Schofield Barracks is not expected to be poor access, and existing conservation any Federal action or authorized action affected by this designation because
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wildfires caused by training exercises with fewer than 100 employees, retail habitat could trigger additional review are the only means by which training and service businesses with less than $5 of Federal activities under section 7 of may affect the elepaio, and the Army million in annual sales, general and the Act. We are aware of relatively few has implemented a detailed fire heavy construction businesses with less activities in the critical habitat for the management plan for Makua and soon than $27.5 million in annual business, Oahu elepaio that have Federal plans to implement a fire management special trade contractors doing less than involvement and thus would require plan for Schofield Barracks. $11.5 million in annual business, and consultation or reinitiation of already- (c) This rule will not materially affect agricultural businesses with annual completed consultations for ongoing entitlements, grants, user fees, loan sales less than $750,000. To determine projects. Moreover, no activities programs, or the rights and obligations if potential economic impacts to these currently undertaken by small entities of their recipients. Federal agencies are small entities are significant, we in the critical habitat units have Federal currently required to ensure that their consider the types of activities that involvement, nor, for the reasons activities do not jeopardize the might trigger regulatory impacts under explained herein, would Federal continued existence of a listed species, this rule as well as the types of project involvement be expected in the future, and, as discussed above, we do not modifications that may result. In and thus we do not anticipate that this anticipate that the adverse modification general, the term significant economic designation of critical habitat will result prohibition resulting from critical impact is meant to apply to a typical in any additional regulatory impacts to habitat designation will result in small business firm’s business small entities. additional restrictions. operations. Current activities with Federal (d) OMB has determined that this rule To determine if the rule would affect involvement that will require raises novel legal or policy issues. a substantial number of small entities, consultation are; training by the U.S. Therefore, this rule is significant under we consider the number of small Army; storage of munitions by the U.S. E.O. 12866, and, as a result, has entities affected within particular types Navy; Federally funded land undergone OMB review. of economic activities (e.g., housing management and wildlife restoration Regulatory Flexibility Act (5 U.S.C. 601 development, grazing, oil and gas and game-hunting projects; and et seq.) production, timber harvesting, etc.). We improvements to communications apply the ‘‘substantial number’’ test facilities that require approval from the Under the Regulatory Flexibility Act individually to each industry to FCC. We are not aware of any additional (5 U.S.C. 601 et seq., as amended by the determine if certification is appropriate. projects that have been proposed, but Small Business Regulatory Enforcement In some circumstances, especially with potential future activities that might Act (SBREFA) of 1996), whenever an critical habitat designations of limited have Federal involvement include; agency is required to publish a notice of extent, we may aggregate across all maintenance of water diversion and rulemaking for any proposed or final industries and consider whether the flood control facilities that may require rule, it must prepare and make available total number of small entities affected is authorization from the Army Corps of for public comment a regulatory substantial. In estimating the numbers Engineers under Section 404 of the flexibility analysis that describes the of small entities potentially affected, we Clean Water Act; watershed and effects of the rule on small entities (i.e., also consider whether their activities restoration management projects small businesses, small organizations, have any Federal involvement. sponsored by NRCS; projects to improve and small government jurisdictions). Designation of critical habitat only access and management for the Oahu However, no regulatory flexibility affects activities conducted, funded, or Forest National Wildlife Refuge. The analysis is required if the head of the permitted by Federal agencies. Some requirement in section 7(a)(2) to avoid agency certifies the rule will not have a kinds of activities are unlikely to have jeopardizing listed species and significant economic impact on a any Federal involvement and so will not destroying or adversely modifying substantial number of small entities. be affected by critical habitat designated critical habitat may result in The SBREFA amended the Regulatory designation. Federal agencies requiring certain Flexibility Act to require Federal In areas where the species is present, modifications to proposed projects. agencies to provide a statement of the Federal agencies already are required to The five critical habitat units factual basis for certifying that a rule consult with us under section 7 of the identified in this rule consist of 15, 6, will not have a significant economic Act on activities that they fund, permit, 37, 12, and 43 parcels, of which 0, 1, 16, effect on a substantial number of small or implement that may affect the Oahu 3, and 12 parcels are owned by 0, 1, 11, entities. The SBREFA also amended the elepaio. Federal agencies also must 3, and 9 different small entities, Regulatory Flexibility Act to require a consult with us if their activities may respectively. The majority of parcels are certification statement. In this rule, we affect critical habitat. Designation of owned by the Federal government, the are certifying that the critical habitat critical habitat therefore could result in State of Hawaii, and the City and designation for the Oahu elepaio will an additional economic impact on small County of Honolulu, which are not not have a significant effect on a entities due to the requirement to small entities. substantial number of small entities. reinitiate consultation for ongoing Of the lands designated as critical The following discussion explains our Federal activities. However, since the habitat for the Oahu elepaio, 99.6% are rationale. Oahu elepaio was proposed for listing in zoned for conservation. Projected uses Small entities include small October 1998, we have conducted only of these lands consist of; recreation organizations, such as independent non- two informal consultations and one (hiking, camping, hunting, and fishing); profit organizations, small governmental formal consultation, involving the Oahu protection of natural and cultural jurisdictions, including school boards Forest National Wildlife Refuge and the resources, including threatened and and city and town governments that U.S. Army. As a result, the requirement endangered species; watershed serve fewer than 50,000 residents, as to reinitiate consultation for ongoing protection and management; well as small businesses. Small projects will not affect any small ecotourism; and in certain areas, businesses include manufacturing and entities. harvesting of natural resources under an mining concerns with fewer than 500 In areas where the species clearly is approved management plan. As employees, wholesale trade entities not present, designation of critical discussed in the economic analysis,
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most of the critical habitat lands are in the Federal agency or applicant to potential impact to small entities varied mountainous areas where access is implement such measures through non- depending on the number of small difficult due to the steep terrain, and discretionary terms and conditions. We entities attempting to investigate the these lands are not suited to may also identify discretionary implications of critical habitat development or agriculture. Because use conservation recommendations designation on their land. of the vast majority of lands designated designed to minimize or avoid the In summary, we have considered as critical habitat already is limited by adverse effects of a proposed action on whether this rule would result in a existing zoning regulations and listed species or critical habitat, help significant economic effect on a mountainous terrain with difficult implement recovery plans, or to develop substantial number of small entities. It access, we do not anticipate a information that could contribute to the would not affect a substantial number of significant decline in property values as recovery of the species. small entities. The entire critical habitat a result of this critical habitat Based on our experience with section designation involves fewer than 120 designation. 7 consultations for all listed species, parcels, only 32 of which are owned by Unit 5 includes a portion of one virtually all projects-including those 23 different small entities. All of these parcel in Wailupe Valley that is zoned that, in their initial proposed form, parcels are zoned for conservation, and for urban use and is occupied by would result in jeopardy or adverse most of these parcels are located in elepaio. Residential development of this modification determinations in section mountainous areas where access is parcel was considered before 1970, but 7 consultations-can be implemented limited. Future uses of these lands are was abandoned due to the unstable successfully with, at most, the adoption already limited, and are not expected to nature of the soil in this area. The parcel of reasonable and prudent alternatives. have Federal involvement or result or recently was purchased by the City and These measures, by definition, must be section 7 consultations. This rule would County of Honolulu, and future economically feasible and within the result in project modifications only development is unlikely. Unit 2 scope of authority of the Federal agency when proposed Federal activities would includes one parcel owned by the U.S. involved in the consultation. As we destroy or adversely modify critical Navy that is partially zoned for have a very limited consultation history habitat. While this may occur, it is not agriculture, but this area is very dry and for the Oahu elepaio, we can only expected frequently enough to affect a access is restricted by the Naval describe the general kinds of actions substantial number of small entities. installation, making agriculture that may be identified in future Even when it does occur, we do not unlikely. reasonable and prudent alternatives. expect it to result in a significant In general, two different mechanisms These are based on our understanding of economic impact, as the measures in section 7 consultations could lead to the needs of the species and the threats included in reasonable and prudent additional regulatory requirements. it faces, as described in the final listing alternatives must be economically First, if we conclude, in a biological rule and this critical habitat designation. feasible and consistent with the opinion, that a proposed action is likely The kinds of actions that may be proposed action. The kinds of measures to jeopardize the continued existence of included in future reasonable and we anticipate we would provide can a species or adversely modify its critical prudent alternatives include; usually be implemented at very low habitat, we can offer ‘‘reasonable and conservation set-asides; management of cost. Therefore, we are certifying that prudent alternatives.’’ Reasonable and non-native predators, particularly black the designation of critical habitat for the prudent alternatives are alternative rats; management of non-native Oahu elepaio will not have a significant actions that can be implemented in a mosquitoes that carry non-native avian economic impact on a substantial manner consistent with the scope of the diseases; restoration of degraded habitat; number of small entities. A regulatory Federal agency’s legal authority and and regular monitoring. These measures flexibility analysis is not required. jurisdiction, that are economically and are not likely to result in a significant technologically feasible, and that would economic impact to project proponents. Small Business Regulatory Enforcement avoid jeopardizing the continued As required under section 4(b)(2) of Fairness Act (5 U.S.C. 804(2)) existence of listed species or resulting in the Act, we conducted an analysis of the In the economic analysis, we adverse modification of critical habitat. potential economic impacts of this determined whether designation of A Federal agency and an applicant may critical habitat designation, and that critical habitat would cause (a) any elect to implement a reasonable and analysis was made available for public effect on the economy of $100 million prudent alternative associated with a review and comment before finalization or more, (b) any increases in costs or biological opinion that has found of this designation. Based on estimates prices for consumers, individual jeopardy or adverse modification of provided in the economic analysis, the industries, Federal, State, or local critical habitat. An agency or applicant potential economic impact of critical government agencies, or geographic could alternatively choose to seek an habitat designation for the Oahu elepaio regions, or (c) any significant adverse exemption from the requirements of the over the next 10 years ranged from effects on competition, employment, Act or proceed without implementing $296,000 to $1,347,000, of which the investment, productivity, innovation, or the reasonable and prudent alternative. cost to small entities ranged from the ability of U.S.-based enterprises to However, unless an exemption were $40,000 to $60,000. The high estimate of compete with foreign-based enterprises. obtained, the Federal agency or the total potential impact includes Refer to the final economic analysis for applicant would be at risk of violating control of alien rodents in all Army and a discussion of the effects of this section 7(a)(2) of the Act if it chose to navy installations, which probably will determination. proceed without implementing the not be required as a result of critical reasonable and prudent alternatives. habitat designation, and implementation Unfunded Mandates Reform Act (2 Secondly, if we find that a proposed of a fire management plan at Schofield U.S.C. 1501 et seq.) action is not likely to jeopardize the Barracks, which also is attributable to In accordance with the Unfunded continued existence of a listed animal other purposes, so the lower estimate of Mandates Reform Act (2 U.S.C. 1501 et species, we may identify reasonable and $296,000 is a more realistic estimate of seq.): prudent measures designed to minimize the impact attributable to the critical (a) This rule will not ‘‘significantly or the amount or extent of take and require habitat designation. The estimate of the uniquely’’ affect small governments. A
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Small Government Agency Plan is not to the conservation of these species are ‘‘Government-to-Government Relations required. Small governments will only more clearly defined, and the primary With Native American Tribal be affected to the extent that they must constituent elements of the habitat Governments’’ (59 FR 22951), Executive ensure that any programs involving necessary to the survival of the species Order 13175, and the Department of the Federal funds, permits or other are identified. While this definition and Interior’s manual at 512 DM 2, we authorized activities will not adversely identification does not alter where and readily acknowledge our responsibility affect the critical habitat. what federally sponsored activities may to communicate meaningfully with (b) This rule will not produce a occur, it may assist these local federally recognized Tribes on a Federal mandate of $100 million or governments in long-range planning government-to-government basis. The greater in any year, that is, it is not a rather than waiting for case-by-case designation of critical habitat for the ‘‘significant regulatory action’’ under section 7 consultation to occur. Oahu elepaio does not contain any the Unfunded Mandates Reform Act. Civil Justice Reform Tribal lands or lands that we have The designation of critical habitat identified as impacting Tribal trust imposes no obligations on State or local In accordance with Executive Order resources. governments. 12988, the Department of the Interior’s Office of the Solicitor has determined References Cited Executive Order 13211 that this rule does not unduly burden On May 18, 2001, the President issued the judicial system and does meet the A complete list of all references cited Executive Order EO 13211 on requirements of sections 3(a) and 3(b)(2) in this proposed rule is available upon regulations that significantly affect of the Order. We designate critical request from the Pacific Islands Fish energy supply, distribution, and use. habitat in accordance with the and Wildlife Office (see ADDRESSES Executive Order 13211 requires agencies provisions of the Act. The proposed rule section). to prepare Statements of Energy Effects uses standard property descriptions and Author when undertaking certain actions. identifies the primary constituent Although this is a significant regulatory elements within the designated areas to The primary author of this document action under Executive Order 12866, assist the public in understanding the is Eric A. VanderWerf, Pacific Islands this final rule is not expected to habitat needs of the Oahu elepaio. Fish and Wildlife Office (see ADDRESSES significantly affect energy supplies, section). distribution, or use, therefore this action Paperwork Reduction Act of 1995 (44 is not a significant energy action and no U.S.C. 3501 et seq.) List of Subjects in 50 CFR Part 17 Statement of Energy Effects is required. This rule does not contain any Endangered and threatened species, information collection requirements for Exports, Imports, Reporting and record Takings which Office of Management and keeping requirements, Transportation. In accordance with Executive Order Budget approval under the Paperwork 12630 (‘‘Government Actions and Reduction Act is required. Regulation Promulgation Interference with Constitutionally National Environmental Policy Act Protected Private Property Rights’’), we Accordingly, we amend part 17, have analyzed the potential takings We have determined that an subchapter B of chapter I, title 50 of the implications of designating critical Environmental Assessment or an Code of Federal Regulations as set forth habitat for the Oahu elepaio in a takings Environmental Impact Statement as below: implication assessment. The takings defined by the National Environmental implications assessment concludes that Policy Act of 1969 need not be prepared PART 17—[AMENDED] this final rule does not pose significant in connection with regulations adopted takings implications. pursuant to section 4(a) of the 1. The authority citation for part 17 Endangered Species Act. A notice continues to read as follows: Federalism outlining our reason for this Authority: 16 U.S.C. 1361–1407; 16 U.S.C. In accordance with Executive Order determination was published in the 1531–1544; 16 U.S.C. 4201–4245; Pub. L. 99– 13132, the rule does not have significant Federal Register on October 25, 1983 625, 100 Stat. 3500; unless otherwise noted. Federalism effects. A Federalism (48 FR 49244). This proposed rule does assessment is not required. As discussed not constitute a major Federal action 2. In § 17.11(h) revise the entry for above, the designation of critical habitat significantly affecting the quality of the ‘‘Elepaio, Oahu’’ under ‘‘BIRDS’’ to read in areas currently occupied by the Oahu human environment. as follows: elepaio would have little incremental Government-to-Government § 17.11 Endangered and threatened impact on State and local governments wildlife. and their activities. The designations Relationship With Tribes may have some benefit to these In accordance with the President’s * * * * * governments in that the areas essential memorandum of April 29, 1994, (h) * * *
Species Vertebrate population Spe- Historic range where endan- Status When listed Critical habi- cial Common name Scientific name gered or tat rules threatened
******* BIRDS
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Species Vertebrate population Spe- Historic range where endan- Status When listed Critical habi- cial Common name Scientific name gered or tat rules threatened
******* Elepaio, Oahu ...... Chasiempis U.S.A. (HI) ...... Entire E 696 17.95(b) NA sandwichensis ibidis (Chasiempis sandwichensis gayi).
*******
3. Amend § 17.95(b) by adding critical introduced plant species. Such forests (Acacia koa), papala kepau (Pisonia habitat for the Oahu elepaio are found in valleys and on mountain umbellifera), lama (Diospyros (Chasiempis sandwichensis ibidis) in slopes and ridges. The primary sandwicensis), mamaki (Pipturus the same alphabetical order as this constituent elements associated with the albidus), kaulu (Sapindus oahuensis), species occurs in § 17.11(h), to read as biological needs of dispersal and genetic hame (Antidesma platyphyllum), alaa follows: exchange are undeveloped wet or dry (Pouteria sandwicensis), aalii shrub land and wet or dry cliff habitats (Dodonaea viscosa), naupaka kuahiwi § 17.95 Critical habitat—fish and wildlife. composed of native and/or introduced (Scaevola spp.), pukiawe (Styphelia * * * * * plant species that separate elepaio tameiameiae), uluhe (Dicranopteris (b) Birds. populations. Elepaio may not establish linearis), guava (Psidium guajava), * * * * * territories in shrub or cliff habitats and strawberry guava (P. cattleianum), Oahu elepaio (Chasiempis may use them only transiently, but mango (Mangifera indica), kukui sandwichensis ibidis) undeveloped areas containing these (Aleurites moluccana), christmasberry (1) Critical Habitat Units are depicted habitats are important for linking (Schinus terebinthifolius), ti (Cordyline for the City and County of Honolulu on populations by providing dispersal terminalis), rose apple (Syzygium the maps below. corridors and promoting genetic jambos), mountain apple (S. (2) (i) Within these areas, the primary exchange among populations. malaccense), and Java plum (S. cumini). constituent elements required by the (ii) Within the forests and shrub lands (3) Existing developed features and Oahu elepaio are those habitat providing the primary constituent structures, such as buildings, roads, components that are essential for the elements, plant species composition aqueducts, antennas, water tanks, biological needs of foraging, sheltering, varies with rainfall, elevation, and agricultural fields, paved areas, lawns, roosting, nesting, and rearing of young. degree of habitat disturbance, and plant and other urban landscaped areas, that These primary constituent elements are species occur in a variety of do not contain one or more of the undeveloped wet, mesic, and dry forest assemblages. Common native and primary constituent elements, are not habitats with a generally continuous introduced species within these plant included as critical habitat. canopy and a dense understory and that assemblages include, but are not limited (4) Map of critical habitat units for the are composed of native and/or to, ohia (Metrosideros polymorpha), koa Oahu elepaio follows.
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(5) Unit 1 (4,454 ha; 11,005 ac) 2379841; 584526, 2380031; 584181, 2381574; 587645, 2381564; 587539, (i) Unit 1 consists of 94 boundary 2381150; 584078, 2381295; 583938, 2382159; 590187, 2381495; 590131, points with the following coordinates in 2381385; 583738, 2381388; 583402, 2381324; 590955, 2381123; 591864, UTM Zone 4 with the units in meters 2381505; 583315, 2381668; 582998, 2379621; 591408, 2379439; 591501, using North American Datum of 1983 2381518; 582785, 2381368; 582566, 2379125; 591510, 2378867; 591393, (NAD83): 588465, 2375750; 587846, 2381369; 582561, 2381485; 582694, 2378631; 591229, 2378138; 591294, 2376228; 587213, 2376416; 586946, 2381702; 582685, 2381865; 582566, 2377905; 590979, 2377773; 590984, 2376176; 586675, 2376658; 586672, 2382005; 582651, 2382112; 583122, 2377387; 590770, 2377109; 590760, 2377028; 586468, 2377154; 586672, 2382432; 582768, 2382529; 582445, 2377063; 590999, 2376896; 590945, 2377219; 586430, 2377462; 586532, 2382889; 581998, 2383075; 581881, 2376772; 591176, 2376297; 591268, 2377741; 586464, 2377863; 586261, 2383019; 581546, 2383276; 581387, 2376320; 591426, 2376305; 591624, 2377727; 585895, 2377915; 585242, 2383071; 581221, 2383069; 581023, 2376158; 591620, 2375793; 591334, 2377801; 584907, 2377864; 584433, 2383019; 580811, 2382809; 580192, 2375340; 590950, 2375570; 590580, 2377671; 584139, 2377961; 583974, 2382557; 580070, 2382662; 579894, 2375400; 589956, 2375632; 589799, 2378388; 584099, 2378414; 584016, 2382772; 580060, 2383144; 580151, 2375555; 589539, 2375014; 589285, 2378599; 584207, 2378563; 583425, 2383425; 580526, 2383690; 580750, 2375190; 588919, 2375824; 588465, 2379849; 583801, 2379814; 583831, 2383802; 581314, 2383901; 581353, 2375750. 2380171; 584075, 2380122; 584324, 2383719; 587168, 2382252; 586876, (ii) Map of Unit 1 follows.
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(6) Unit 2 ( 2,422 ha; 5,985 ac) 2374659; 594299, 2374644; 594081, 2366570; 593574, 2366695; 593629, (i) Unit 2 consists of 78 boundary 2374253; 593970, 2373860; 594207, 2366713; 593594, 2366869; 593651, points with the following coordinates in 2373793; 594437, 2374070; 594578, 2366917; 593639, 2367019; 593682, UTM Zone 4 with the units in meters 2374412; 594867, 2374406; 594965, 2367104; 593591, 2367228; 593472, using North American Datum of 1983 2374331; 594978, 2374067; 595140, 2367265; 593388, 2367176; 593425, (NAD83): 592645, 2367498; 591970, 2374463; 595431, 2374602; 595604, 2367112; 593379, 2367045; 593395, 2368628; 592530, 2369066; 592575, 2374352; 595772, 2374351; 595782, 2367010; 593413, 2366861; 593391, 2369415; 593190, 2369759; 593231, 2374020; 596005, 2373471; 595754, 2366809; 593307, 2366826; 593203, 2369971; 592864, 2370362; 593156, 2373256; 595960, 2372960; 595678, 2366792; 593207, 2366684; 593121, 2370385; 593368, 2370513; 593249, 2372709; 595531, 2372434; 595485, 2366632; 593137, 2366521; 593030, 2370991; 592348, 2370899; 592469, 2371908; 595272, 2371337; 595489, 2366348; 592668, 2366451; 592945, 2371381; 592374, 2371861; 592582, 2370340; 595296, 2369703; 595561, 2372284; 592295, 2372774; 592100, 2369694; 595565, 2369178; 595390, 2366998; 592852, 2367332; 592645, 2373836; 591816, 2374384; 592053, 2368213; 595117, 2368245; 594830, 2367498. 2374764; 592045, 2375115; 592504, 2366778; 594015, 2366560; 593884, (ii) Map of Unit 2 follows. 2375529; 593245, 2375497; 594056, 2366525; 593756, 2366491; 593635,
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(7) Unit 3 ( 14,801 ha; 36,573 ac) 2379972; 604900, 2380551; 605708, 2368174; 620164, 2368022; 620005, (i) Unit 3 consists of 108 boundary 2381032; 607698, 2381439; 609468, 2367870; 620257, 2367795; 619954, points with the following coordinates in 2381214; 610319, 2381573; 611728, 2367590; 620341, 2367572; 620055, UTM Zone 4 with the units in meters 2381425; 611797, 2380904; 612201, 2367214; 621150, 2366779; 621549, using North American Datum of 1983 2380506; 613364, 2381362; 615459, 2366388; 621302, 2366064; 621511, (NAD83): 615481, 2366443; 614313, 2380980; 616152, 2380161; 616780, 2365913; 621381, 2365424; 621553, 2366190; 614232, 2366761; 613262, 2378903; 616513, 2378013; 616873, 2365265; 621489, 2364827; 620880, 2366836; 612845, 2367394; 612829, 2376632; 616699, 2375737; 617180, 2364530; 620469, 2364040; 619115, 2367639; 612488, 2368140; 611561, 2375933; 617356, 2375158; 617664, 2363338; 617176, 2363590; 616868, 2368027; 611448, 2368566; 611117, 2375259; 617994, 2375029; 617757, 2363761; 616638, 2364642; 615913, 2369088; 610523, 2369387; 610693, 2365439; 615777, 2365575; 615420, 2369643; 610226, 2370083; 611040, 2373739; 618311, 2372859; 618082, 2365753; 615767, 2365918; 615684, 2370565; 609681, 2371985; 609025, 2372506; 618563, 2371385; 617894, 2366361; 616156, 2366495; 616990, 2371951; 609034, 2373100; 608391, 2370668; 618022, 2370181; 618247, 2373401; 608469, 2373609; 608065, 2370148; 618043, 2370014; 619043, 2367187; 617469, 2367398; 618312, 2373567; 607941, 2373859; 608199, 2369685; 618878, 2369509; 619381, 2367466; 619282, 2367250; 619336, 2373978; 608109, 2374925; 607637, 2369376; 619182, 2369040; 619525, 2367460; 618293, 2367672; 617426, 2375635; 607869, 2375817; 607456, 2368805; 619611, 2368922; 619747, 2367594; 616876, 2367352; 616189, 2375780; 607136, 2375598; 607046, 2368829; 619588, 2368664; 619928, 2366748; 615713, 2366555; 615481, 2375977; 607565, 2376766; 606428, 2368585; 619650, 2368496; 619614, 2366443. 2378568; 605381, 2378725; 606026, 2368284; 620097, 2368401; 619967, (ii) Map of Unit 3 follows.
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(8) Unit 4 (804 ha; 1,987 ac) 2363520; 621660, 2363584; 622719, 2361518; 620954, 2360860; 620598, (i) Unit 4 consists of 35 boundary 2364191; 622901, 2364348; 623091, 2360514; 620700, 2360831; 620572, points with the following coordinates in 2364242; 623209, 2363699; 623046, 2360908; 619869, 2360908; 619670, UTM Zone 4 with the units in meters 2363507; 623201, 2363403; 623106, 2360852; 619064, 2360661; 618935, using North American Datum of 1983 2363264; 623391, 2363271; 623404, 2360886; 619170, 2361072; 619199, (NAD83): 619449, 2361897; 619967, 2363073; 623634, 2363216; 623976, 2361402; 619163, 2361470; 618977, 2362184; 619999, 2362473; 620286, 2362864; 623238, 2362105; 621688, 2361595; 619449, 2361897. 2362404; 620537, 2362773; 621409, 2361633; 621467, 2361418; 621345, (ii) Map of Unit 4 follows.
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(9) Unit 5 ( 4,180 ha; 10,329 ac) 2359261; 623004, 2359366; 622941, 2357425; 632769, 2356517; 632191, (i) Unit 5 consists of 78 boundary 2359584; 622499, 2359435; 621968, 2356385; 630620, 2355286; 630491, points with the following coordinates in 2359088; 621864, 2359256; 621335, 2355266; 630104, 2355644; 630041, UTM Zone 4 with the units in meters 2359722; 622127, 2360488; 621920, 2355624; 629732, 2355117; 629510, using North American Datum of 1983 2360603; 623746, 2361359; 625281, 2355214; 629279, 2356032; 629033, (NAD83): 626915, 2356759; 626560, 2363179; 625896, 2363475; 626109, 2356130; 628836, 2356015; 628378, 2357502; 626675, 2357669; 626333, 2363219; 626146, 2363135; 626234, 2356236; 628317, 2355841; 628209, 2357906; 626359, 2358234; 626110, 2362910; 626392, 2362857; 626871, 2355703; 627673, 2354542; 627125, 2358313; 626031, 2357725; 625623, 2362399; 626986, 2361859; 627500, 2354591; 627125, 2355143; 627381, 2357254; 625538, 2357354; 625351, 2361686; 626946, 2361095; 627268, 2355990; 627200, 2356033; 626832, 2357186; 625091, 2357420; 625118, 2360638; 627548, 2360727; 627690, 2355846; 626399, 2355498; 626215, 2357617; 625085, 2358039; 624568, 2360077; 628361, 2360895; 628839, 2358236; 624821, 2358624; 624612, 2360922; 629079, 2360676; 629519, 2355823; 626806, 2356493; 626915, 2358850; 625059, 2359019; 625083, 2360722; 629341, 2360070; 630776, 2356759. 2359182; 624571, 2359489; 624430, 2359069; 631754, 2358982; 632440, (ii) Map of Unit 5 follows. 2359798; 624013, 2359828; 623768, 2358108; 632959, 2357815; 633019,
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Dated: November 20, 2001. Joseph E. Doddridge, Acting Assistant Secretary for Fish and Wildlife and Parks. [FR Doc. 01–29475 Filed 12–7–01; 8:45 am] BILLING CODE 4310–55–P
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Part III
Department of the Treasury Internal Revenue Service
Privacy Act of 1974, as Amended; System of Records; Notice
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DEPARTMENT OF THE TREASURY 64 FR 32095, and as amended on IRS 22.043—Potential Refund Litigation Case October 25, 2000, at 65 FR 63919) Files Internal Revenue Service IRS 22.062—Electronic Filing Records. IRS 22.044—P.O.W.–M.I.A. Reference File (Published August 31, 2000, at 65 FR IRS 22.054—Subsidiary Accounting Files Privacy Act of 1974, as Amended; 53089) IRS 22.059—Unidentified Remittance File System of Records IRS 22.060—Automated Non-Master File IRS 46.051—Criminal Investigation (ANMF) Audit Trail Records System. AGENCY: Internal Revenue Service, IRS 22.061—Individual Return Master File (Published April 4, 2000, at 65 FR Treasury. (IRMF) 21236) IRS 22.062 Electronic Filing Records ACTION: Notice of systems of records. IRS 22.028—Disclosure Authorizations IRS 24.013—Combined Account Number for United States Residency File, Taxpayer Services SUMMARY: In accordance with the Certification Letters. (Published IRS 24.029—Individual Account Number File requirements of the Privacy Act of 1974, March 6, 2000, at 65 FR 11833) (IANF) as amended, 5 U.S.C. 552a, the Internal IRS 34.037—IRS Audit Trail and IRS 24.030—CADE Individual Master File Revenue Service, Treasury, is Security Records System. (Published (IMF), (Formerly: Individual Master File (IMF)) publishing its Privacy Act systems of November 18, 1999, at 64 FR 63108). records. IRS 24.046—CADE Business Master File The following systems of records have (BMF) (Formerly: Business Master File SUPPLEMENTARY INFORMATION: Pursuant been removed from IRS’ inventory of (BMF)) to the Privacy Act of 1974 (5 U.S.C. Privacy Act systems: IRS 24.047—Audit Underreporter Case File 552a) and the Office of Management and IRS 34.005—Parking Space Application IRS 24.070—Debtor Master File (DMF) Budget (OMB) Circular No. A–130, the and Assignment. (December 14, 2000, IRS 26.001—Acquired Property Records Internal Revenue Service (IRS) has IRS 26.006—Form 2209, Courtesy at 65 FR 78263). Investigations completed a review of its Privacy Act IRS 36.888—Employee Tax Compliance IRS 26.008—IRS and Treasury Employee systems of records notices to identify Records (ETC). (Published February 6, Delinquency minor changes that will more accurately 2001, at 66 FR 9142). IRS 26.009—Lien Files (Open and Closed) describe these records. Systems Covered by This Notice IRS 26.010—Lists of Prospective Bidders at The changes throughout the Internal Revenue Sales of Seized document are editorial in nature and This notice covers all systems of Property consist principally of changes to system records adopted by the Bureau up to IRS 26.011—Litigation Case Files locations and system manager August 1, 2001. The systems notices are IRS 26.012—Offer in Compromise (OIC) File addresses. Revisions have also been reprinted in their entirety following the IRS 26.013—Trust Fund Recovery Cases/One Table of Contents. Hundred Percent Penalty Cases made due to the restructuring of the IRS IRS 26.014—Record 21, Record of Seizure along business lines. Dated: September 26, 2001. and Sale of Real Property The IRS Restructuring and Reform Act W. Earl Wright, Jr., IRS 26.016—Returns Compliance Programs of 1998 included specific provisions Chief Management and Administrative (RCP) impacting the Office of the Chief Programs Officer. IRS 26.019—Taxpayer Delinquent Accounts Inspector, Internal Revenue Service. The (TDA) Files including subsystems: (a) law provided for the appointment of a Table of Contents Adjustments and Payment Tracers Files, Treasury Inspector General for Tax (b) Collateral Files, (c) Seized Property Internal Revenue Service (IRS) Records, (d) Tax SB/SE, W&I, LMSB Administration (TIGTA), effective IRS 00.001—Correspondence Files (including Waiver, Forms 900, Files, and (e) January 19, 1999, who reports directly Stakeholder Relationship files) and Accounts on Child Support Obligations to the Secretary of the Treasury. As a Correspondence Control Files IRS 26.020—Taxpayer Delinquency consequence, two IRS systems of IRS 00.002—Correspondence Files/Inquiries Investigation (TDI) Files records were affected by the transfer of About Enforcement Activities IRS 26.021—Transferee Files responsibility (published June 15, 1999 IRS 00.003—Taxpayer Advocate Service and IRS 26.022—Delinquency Prevention at 64 FR 32096). The first, IRS 60.008— Customer Feedback and Survey Records Programs Security, Background, and Character IRS 00.333—Third Party Contact Records IRS 30.003—Requests for Printed Tax Investigation Files, Inspection, has been IRS 00.334—Third Party Contact Reprisal Materials Including Lists Records IRS 30.004—Security Violations renumbered and renamed as ‘‘IRS IRS 10.001—Biographical Files, Chief, IRS 34.003—Assignment and Accountability 34.021—Personnel Security Communications and Liaison of Personal Property Files Investigations, National Background IRS 10.004—Stakeholder Relationship IRS 34.007—Record of Government Books of Investigations Center-Treasury/IRS.’’ Management and Subject Files, Chief, Transportation Requests The second, IRS 60.011—Internal Communications and Liaison IRS 34.009—Safety Program Files Security Management Information IRS 21.001—Tax Administration Resources IRS 34.012—Emergency Preparedness Cadre System (ISMIS) has been renumbered File, Office of Tax Administration Assignments and Alerting Rosters Files and renamed as ‘‘IRS 34.022—National Advisory Services IRS 34.013—Identification Media Files Background Investigations Center IRS 22.003—Annual Listing of Undelivered System for Employees and Others Issued Refund Checks IRS ID Management Information System IRS 22.011—File of Erroneous Refunds IRS 34.014—Motor Vehicle Registration and (NBICMIS)—Treasury/IRS.’’ IRS 22.026—Form 1042S Index by Name of Entry Pass Files The following seven systems of Recipient IRS 34.016—Security Clearance Files records have been added to the IRS’ IRS 22.027—Foreign Information System IRS 34.020—IRS Audit Trail Lead Analysis inventory of Privacy Act notices since (FIS) System (ATLAS) September 30, 1998: IRS 22.028—Disclosure Authorizations for IRS 34.021—Personnel Security IRS 00.334—Third Party Contact U.S. Residency Certification Letters Investigations, National Background IRS 22.032—Individual Microfilm Retention Investigations Center (formerly: IRS Reprisal Records. (Published October Register 60.008—Security, Background, and 25, 2000, at 65 FR 63917) IRS 22.034—Individual Returns Files, Character Investigation Files, Inspection) IRS 00.333—Third Party Contact Adjustments and Miscellaneous IRS 34.022—National Background Records. (Published June 15, 1999, at Documents Files Investigations Center Management
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Information System (NBICMIS) IRS 46.003—Confidential Informants, International) Correspondence and (formerly: IRS 60.011—Internal Security Criminal Investigation Division Private Bill File Management Information System IRS 46.004—Controlled Accounts (Open and IRS 90.009—Chief Counsel Field Services (ISMIS)) Closed) Case Files IRS 34.037—IRS Audit Trail and Security IRS 46.005—Electronic Surveillance File, IRS 90.010—Digest Room Files Containing Records System Criminal Investigation Division Briefs, Legal Opinions, and Digests of IRS 36.001—Appeals, Grievances and IRS 46.009—Centralized Evaluation and Documents Generated Internally or by Complaints Records Processing of Information Items (CEPIIs), the Department of Justice Relating to the IRS 36.002—Employee Activity Records Evaluation and Processing of Information Administration of the Revenue Laws IRS 36.003—General Personnel and Payroll (EOI), Criminal Investigation Division IRS 90.011—Attorney Recruiting Files Records IRS 46.011—Illinois Land Trust Files, IRS 90.013—Legal Case Files of the Chief IRS 36.005—Medical Records Criminal Investigation Division Counsel, Deputy Chief Counsel and IRS 36.008—Recruiting, Examining and IRS 46.015—Relocated Witnesses, Criminal Associate Chief Counsels Placement Records Investigation Division IRS 90.015—Reference Records of the Library IRS 36.009—Retirement, Life Insurance and IRS 46.016—Secret Service Details, Criminal in the Office of Chief Counsel Health Benefits Records System Investigation Division IRS 90.016—Counsel Automated Tracking IRS 37.001—Abandoned Enrollment IRS 46.022—Treasury Enforcement System (CATS) Records Applications Communications System (TECS), IRS 90.017—Correspondence Control and IRS 37.002—Files containing Derogatory Criminal Investigation Division Records, Associate Chief Counsel Information About Individuals Whose IRS 46.050—Automated Information (Technical and International) Applications For Enrollment To Practice Analysis System IRS 90.018—Expert Witness Library Before The IRS Have Been Denied and IRS 46.051—Criminal Investigation Audit IRS Appendix A—Addresses of System Applicant Appeal Files Trail Records System Locations IRS 37.003—Closed Files Containing IRS 48.001—Disclosure Records Derogatory Information About IRS 48.008—Defunct Special Service Staff Internal Revenue Service Individuals’ Practice Before the Internal File Being Retained Because of Revenue Service and Files of Attorneys Congressional Directive Treasury/IRS 00.001 and Certified Public Accountants IRS 49.001—Collateral and Information SYSTEM NAME: Formerly Enrolled to Practice Requests System IRS 37.004—Derogatory Information (No IRS 49.002—Tax Treaty Information Correspondence Files (including Action) Management System Stakeholder Relationship files) and IRS 37.005—Present Suspensions and IRS 49.003—Financial Statements File Correspondence Control Files-Treasury/ Disbarments Resulting from IRS 49.007—Overseas Compliance Projects IRS. Administrative Proceedings System SYSTEM LOCATION: IRS 37.006—General Correspondence File IRS 49.008—International Correspondence IRS 37.007—Inventory System Various area and other offices of the IRS 37.008—Register of Docketed Cases and IRS 50.001—Employee Plans/Exempt Internal Revenue Service maintain files Applicant Appeals Organizations Correspondence Control of correspondence received, including IRS 37.009—Enrolled Agents and Resigned Records the Eastern Distribution Center, 4300 Enrolled Agents (Action pursuant to 31 IRS 50.003—Employee Plans/Exempt Carolina Avenue, Richmond, VA 23222; CFR 10.55(b)) Organizations, Reports of Significant the Central Area Distribution Center, IRS 37.010—Roster of Former Enrollees Matters in Technical 2402 East Empire, Bloomington, IL IRS 37.011—Present Suspensions from IRS 60.001—Assault and Threat Investigation Practice Before the Internal Revenue Files, Inspection 61799; the Western Area Distribution Service IRS 60.002—Bribery Investigation Files, Center, 3041 Sunrise Boulevard, Rancho IRS 38.001—General Training Records Inspection Cordova, CA 95742; and the Tennessee IRS 42.001—Examination Administrative IRS 60.003—Conduct Investigation Files, Computing Center, PO Box 30309, File Inspection Airport Mail Facility, Stop 76, IRS 42.008—Audit Information Management IRS 60.004—Disclosure Investigation Files, Memphis, TN 38130. (See IRS appendix System (AIMS) Inspection A for addresses of other offices). IRS 42.013—Project Files for the Uniform IRS 60.005—Enrollee Applicant Investigation Application of Laws as a Result of Files, Inspection CATEGORIES OF INDIVIDUALS COVERED BY THE Technical Determinations and Court IRS 60.006—Enrollee Charge Investigation SYSTEM: Decisions Files, Inspection (1) Initiators of the correspondence. IRS 42.014—Internal Revenue Service IRS 60.007—Miscellaneous Information File, (2) Persons upon whose behalf the Employees’ Returns Control Files Inspection correspondence was initiated. (3) IRS 42.016—Classification/Centralized Files IRS 60.009—Special Inquiry Investigation Subjects of the correspondence. and Scheduling Files Files, Inspection IRS 42.017—International Enforcement IRS 60.010—Tort Investigation Files, CATEGORIES OF RECORDS IN THE SYSTEM: Program Files Inspection (1) Correspondence received. (2) IRS 42.021—Compliance Programs and IRS 70.001—Individual Income Tax Returns, Projects Files Statistics of Income Responses to correspondence (including IRS 42.027—Data on Taxpayers Filing on IRS 90.001—Chief Counsel Criminal Tax surveys of individuals to improve IRS Foreign Holdings Case Files service and stakeholder relationship IRS 42.030—Discriminant Function File IRS 90.002—Chief Counsel Disclosure correspondence). Correspondence may (DIF) Litigation Case Files be included in other systems of records IRS 44.001—Appeals Case Files IRS 90.003—Chief Counsel General described by specific notices. Files are IRS 44.003—Appeals Centralized Data Administrative Systems maintained in connection with a variety System (Formerly Unified System for IRS 90.004—Chief Counsel General Legal of correspondence received and the uses Time and Appeals Records (Unistar) Services Case Files vary widely in accordance with the IRS 44.004—Art Case File IRS 90.005—Chief Counsel General Litigation IRS 44.005—Expert Witness and Fee Case Files content of the correspondence. Appraiser Files IRS 90.007—Chief Counsel Legislation and Correspondence may include letters, IRS 46.002—Criminal Investigation Regulations Division, Employee Plans telegrams, memoranda of telephone Management Information System and Exempt Organizations Division, and calls, and other forms of (CIMIS) Associate Chief Counsel (Technical and communication.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Chapter 71 when relevant and necessary Treasury/IRS 00.002 5 U.S.C. 301; 26 U.S.C. 7801 and to their duties of exclusive SYSTEM NAME: 7802. representation; (9) provide information to third parties during the course of an Correspondence Files/Inquiries About PURPOSE(S): investigation to the extent necessary to Enforcement Activities-Treasury/IRS. Often taxpayers choose to obtain information pertinent to the SYSTEM LOCATION: communicate with the IRS through investigation. correspondence. The ability to access National Office, Area offices, Internal the information when the need arises is POLICIES AND PRACTICES FOR STORING, Revenue Service Centers, Detroit paramount to our success as an agency. RETRIEVING, ACCESSING, RETAINING, AND Computing Center, Martinsburg This system will allow the IRS to DISPOSING OF RECORDS IN THE SYSTEM: Computing Center. (See IRS appendix A quickly access correspondence received STORAGE: for addresses.) Other offices of the from the taxpayers and their Paper records, microfiche, and Internal Revenue Service maintain files representatives. magnetic media. of correspondence received, including This system also provides a means for the Eastern Distribution Center, 4300 IRS to track correspondence responses RETRIEVABILITY: Carolina Avenue, Richmond, VA 23222; from quality and improvement surveys Controlled items are generally the Central Area Distribution Center, we may periodically ask our customers retrievable by name, but it depends 2402 East Empire, Bloomington, IL to voluntarily participate in. upon the controls established locally. 61799; the Western Area Distribution SAFEGUARDS: Center, 3041 Sunrise Boulevard, Rancho ROUTINE USES OF RECORDS MAINTAINED BY THE Cordova, CA 95742; and the Tennessee SYSTEM, INCLUDING CATEGORIES OF USERS AND Access controls will not be less than THE PURPOSE OF SUCH USES: Computing Center, PO Box 30309, those provided for by the Automated Airport Mail Facility, Stop 76, Disclosures of returns and return Information System Security Handbook, Memphis, TN 38130. information may be made only as IRM 2(10)00, and the Manager’s provided by 26 U.S.C. 6103. Records Security Handbook, IRM 1(16)12. CATEGORIES OF INDIVIDUALS COVERED BY THE other than returns and return SYSTEM: RETENTION AND DISPOSAL: information may be used to: (1) Disclose (1) Initiators of correspondence. (2) information to the Department of Justice Records are maintained in accordance with the Records Disposition Persons upon whose behalf the for the purpose of litigating an action or correspondence was initiated. (3) seeking legal advice. Disclosure may be Handbooks, IRM 1.15.2.1 through IRM 1.15.2.31. Generally, disposition varies Persons who are subjects of the made during judicial processes; (2) correspondence. Includes individuals Appropriate Federal, State, local, or in accordance with the nature of the correspondence file. for whom tax liabilities exist, foreign agencies responsible for individuals who have made a complaint enforcing or implementing a statute, SYSTEM MANAGER(S) AND ADDRESS: or inquiry relative to an Internal rule, regulation, order or license; (3) Head of the Office maintaining the Revenue tax matter, or individuals for disclose information to a Federal, State, file. (See IRS appendix A for addresses.) whom a third party is interceding or local agency, or other public relative to an Internal Revenue tax authority maintaining civil, criminal or NOTIFICATION PROCEDURE: matter. other relevant enforcement information Individuals seeking to determine if or other pertinent information, which this system of records contains a record CATEGORIES OF RECORDS IN THE SYSTEM: has requested information relevant to or pertaining to themselves may inquire in Taxpayer name, address, taxpayer necessary to the requesting agency’s accordance with instructions appearing identification number (if applicable), bureau’s or authority’s hiring or at 31 CFR part 1, subpart C, appendix information about tax matters (if retention of an individual, or issuance B. Inquiries should be addressed as in applicable), chronological investigative of a security clearance, license, contract, ‘‘Record access procedures’’ below. history. Other information relative to grant or other benefit; (4) disclose the conduct of the case and/or the RECORD ACCESS PROCEDURES: relevant, non-privileged information to taxpayer’s compliance history (if a court, magistrate, or administrative Individuals seeking access to any applicable). Correspondence may tribunal, including the presentation of record contained in this system of include letters, telegrams, memoranda evidence, disclosures to opposing records, or seeking to contest its of telephone calls, and other forms of counsel or witnesses in the course of content, may inquire in accordance with communication. civil discovery, litigation, or settlement instructions appearing at 31 CFR part 1, negotiations, in response to a subpoena, subpart C, appendix B. Inquiries should AUTHORITY FOR MAINTENANCE OF THE SYSTEM: or in connection with criminal law be addressed to the office believed to 5 U.S.C. 301; 26 U.S.C. 7602, 7801 proceedings; (5) provide information to have received the correspondence. (See and 7802. foreign governments in accordance with IRS appendix A for addresses.) PURPOSE(S): formal or informal international CONTESTING RECORD PROCEDURES: agreements; (6) provide information to a Often taxpayers choose to Congressional office in response to an See ‘‘Record access procedures’’ communicate with the IRS through inquiry made at the request of the above. correspondence. The ability to access individual to whom the record pertains; RECORD SOURCE CATEGORIES: the information when the need arises is (7) provide information to the news Information supplied by the initiators paramount to our success as an agency. media, in accordance with guidelines of the correspondence and information This system will allow the IRS to contained in 28 CFR 50.2, concerning secured internally from other systems of quickly access correspondence received this agency’s functions relating to civil records. from the taxpayers and their and criminal proceedings; (8) provide representatives and provide a information to officials of labor EXEMPTIONS CLAIMED FOR THE SYSTEM: chronological record of what has organizations recognized under 5 U.S.C. None. transpired concerning tax matters.
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ROUTINE USES OF RECORDS MAINTAINED IN THE RETRIEVABILITY: the Central Area Distribution Center, SYSTEM, INCLUDING CATEGORIES OF USERS AND Controlled items are generally 2402 East Empire, Bloomington, IL THE PURPOSES OF SUCH USES: retrievable by name, but it depends 61799, and the Western Area Disclosure of returns and return upon the controls established locally. Distribution Center, 3041 Sunrise information may be made only as Boulevard, Rancho Cordova, CA 95742. provided by 26 U.S.C. 6103. Records SAFEGUARDS: (See IRS Appendix A for other other than returns and return Access controls will not be less than addresses.) information may be used to: (1) Disclose those provided by the Automated information to the Department of Justice Information System Security Handbook, CATEGORIES OF INDIVIDUALS COVERED BY THE for the purpose of litigating an action or IRM 2(10)00, and the Manager’s SYSTEM: seeking legal advice; (2) disclose Security Handbook, IRM 1 (16)12. This system consists of records information to appropriate Federal, relating to (1) individuals (customers) state, local, or foreign agencies RETENTION AND DISPOSAL: who make complaints and compliments responsible for investigating or Records are maintained in accordance about Internal Revenue Service prosecuting the violations of, or for with the Records Disposition employees (including customer enforcing or implementing, a statute, Handbooks, IRM 1.15.2.1 through IRM responses to surveys) and; (2) Internal rule, regulation, order, or license; (3) 1.15.2.31. Generally, disposition varies Revenue Service employees who have disclose information to a Federal, state, in accordance with the nature of the had complaints and compliments made or local agency, or other public correspondence file. about them. authority, maintaining civil, criminal or SYSTEM MANAGER(S) AND ADDRESS: CATEGORIES OF RECORDS IN THE SYSTEM: other relevant enforcement information or other pertinent information, which Assistant Commissioners, Regional A variety of documents and/or reports has requested information relevant to or Commissioners, Area Directors, Internal reflecting customer feedback on current necessary to the requesting agency’s Revenue Service Center Directors. (See and former IRS employees and the bureau’s or authority’s hiring or IRS appendix A for addresses.) resolution of that feedback. Records include quality review and tracking retention of an individual, or issuance NOTIFICATION PROCEDURE: of a security clearance, license, contract, information that helps the Service This system is exempt from the grant, or other benefit; (4) disclose measure and improve service quality for notification provisions of the Privacy relevant, non-privileged information to our customers. This system includes Act. a court, magistrate, or administrative The Taxpayer Advocate Management Information System (TAMIS) records tribunal, including the presentation of RECORD ACCESS PROCEDURES: that track taxpayer advocate cases for evidence, disclosures to opposing This system is exempt from the counsel or witnesses in the course of administrative and quality improvement Access and Contest provisions of the purposes. civil discovery, litigation, or settlement Privacy Act. negotiations, in response to a subpoena, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: or in connection with criminal law CONTESTING RECORD PROCEDURES: Sec. 1211 of Pub. L. 104–168, TBOR proceedings; (5) provide information to 26 U.S.C. 7852(e) prohibits Privacy 2, Reports on Misconduct of IRS a Congressional office in response to an Act amendment of tax records. Employees. inquiry made at the request of the individual to whom the record pertains; RECORD SOURCE CATEGORIES: PURPOSE(S): (6) provide information to the news This system of records contains This system will capture customer media, in accordance with guidelines investigatory material compiled for law feedback, including complaints and contained in 28 CFR 50.2 concerning enforcement purposes whose sources compliments. The capture of this data this agency’s functions relating to civil need not be reported. will provide a means to analyze trends and criminal proceedings; (7) provide to identify and take corrective action on EXEMPTIONS CLAIMED FOR THE SYSTEM: information to officials of labor systemic problems. The data will not be organizations recognized under 5 U.S.C. This system has been designated as used to affect any rights or benefits of Chapter 71 when relevant and necessary exempt from certain provisions of the individuals in the records system. to their duties of exclusive Privacy Act. ROUTINE USES OF RECORDS MAINTAINED IN THE representation; (8) provide information Treasury/IRS 00.003 SYSTEM, INCLUDING CATEGORIES OF USERS AND to third parties during the course of an THE PURPOSES OF SUCH USES: SYSTEM NAME: investigation to the extent necessary to Tax returns and return information obtain information pertinent to the Taxpayer Advocate Service and may be disclosed as provided by IRC investigation; (9) provide information to Customer Feedback and Survey 6103. other agencies to the extent provided by Records—Treasury/IRS law or regulation and as necessary to POLICIES AND PROCEDURES FOR STORING, SYSTEM LOCATION: report apparent violation of law to RETRIEVING, ACCESSING, RETAINING, AND appropriate law enforcement agencies; Internal Revenue Service Centers, DISPOSING OF RECORDS IN THE SYSTEM: (10) provide information to states, the National Office, Area Offices, including STORAGE: Area of Columbia, the Commonwealth National Office Chief Counsel Offices, Paper files and magnetic media. of Puerto Rico, or possessions of the Regional Counsel Offices, and Area United States, to assist in the Counsel Offices, the Martinsburg RETRIEVABILITY: administration of tax laws. Computing Center, the Detroit Documents are stored and retrieved Computing Center, and the Tennessee by control numbers and by taxpayer POLICIES AND PROCEDURES FOR STORING, Computing Center, and Area name, taxpayer identification number or RETRIEVING, ACCESSING, RETAINING, AND Distribution Centers. Area Distribution person to contact. The control number DISPOSING OF RECORDS IN THE SYSTEM: Center addresses are as follows: the can be determined by reference to the STORAGE: Eastern Distribution Center, 4300 entries for the individual to whom they Paper records and magnetic media. Carolina Avenue, Richmond, VA 23222, relate.
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SAFEGUARDS: including the taxpayer name control, NOTIFICATION PROCEDURE: Access is limited to authorized taxpayer identification number, the Individuals seeking to determine if personnel who have a direct need to third-party contact’s name, date of this system of records contains a record know. Access controls will not be less contact, and IRS personnel’s pertaining to themselves may inquire in than those provided for by the identification number. accordance with instructions appearing Manager’s Security Handbook, IRM at 31 CFR part 1, subpart C, appendix AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 1(16)12 and the Automated Information B. Inquiries should be addressed as in System Security Handbook, IRM 5 U.S.C. 301; 26 U.S.C. 7602, and ‘‘Records Access Procedure’’ below. (2)(10)00. This includes the use of 7801. RECORDS ACCESS PROCEDURE: passwords and access codes. PURPOSE(S): Individuals seeking access to any RETENTION AND DISPOSAL: The IRS is establishing the third-party record contained in this system of Records are maintained in accordance contact records to comply with section records may inquire in accordance with with Records Control Schedule 206 for 7602(c) of the Internal Revenue Code as instructions appearing in 31 CFR part 1, Service Centers, IRM 1.15.2.1 and enacted by section 3417 of the IRS subpart C, appendix B. (See IRS Records Control Schedule 301—General Restructuring and Reform Act of 1998. appendix A for addresses.) Records Schedules, IRM 1.15.3. The third-party contact records will be CONTESTING RECORD PROCEDURE: used to report to the taxpayers regarding 26 U.S.C. 7852(e) prohibits Privacy SYSTEM MANAGER(S) AND ADDRESS: third-party contacts that the IRS would Act amendment of tax records. Taxpayer Advocate or Head of the normally make with respect to the Office maintaining the file. (See IRS determination or collection of the tax RECORD SOURCE CATEGORIES: appendix A for addresses.) liability of the taxpayer. Third-party Tax records of the individual; public contact data will be provided NOTIFICATION PROCEDURE: information sources; third parties periodically to taxpayers and upon the including individuals, city and state This system of records may not be taxpayer’s request. governments, other Federal agencies, accessed for the purpose of determining taxpayer’s employer, employees and/or if the system contains a record ROUTINE USES OF RECORDS MAINTAINED IN THE clients, licensing and professional pertaining to a particular individual. SYSTEM INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: organizations, and foreign governments RECORD ACCESS PROCEDURES: via Tax Treaty. Disclosure of returns and return Individuals should write to the head information may only be made as EXEMPTIONS CLAIMED FOR THE SYSTEM: of the office Where the records are kept. authorized by 26 U.S.C. 6103 and 7602. None. CONTESTING RECORD PROCEDURES: POLICIES AND PRACTICES FOR STORING, Treasury/IRS 00.334 See ‘‘Records access procedures’’ RETRIEVING, ACCESSING, RETAINING, AND SYSTEM NAME: above. DISPOSING OF RECORDS IN THE SYSTEM: Third Party Contact Reprisal Records- RECORD SOURCE CATEGORIES: STORAGE: Treasury/IRS. Information originates from IRS Paper records and electronic storage SYSTEM LOCATION: employees and customer feedback. media. Area offices, Service Centers, Office of EXEMPTIONS CLAIMED FOR THE SYSTEM: RETRIEVABILITY: Assistant Commissioner (International), None. By taxpayer identification number and IRS Computing Centers. (See IRS (social security number or employer appendix A for addresses.) Treasury/IRS 00.333 identifier number) and taxpayer name CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM NAME: control. SYSTEM:
Third-party Contact Records— SAFEGUARDS: Individuals on whom Federal tax Treasury/IRS. assessments have been made; Access controls will be no less than individuals believed to be delinquent in SYSTEM LOCATION those provided by the Automated : filing Federal tax returns or in paying Information Systems Security Handbook Area offices, IRS Service Centers and Federal taxes, penalties or interest; IRM 2.10 and IRM 1(16)12, Manager’s Computing Centers. (See IRS appendix individuals who are or have been Security Handbook. A for addresses.) considered for examination for tax CATEGORIES OF INDIVIDUALS COVERED BY THE RETENTION AND DISPOSAL: determination purposes; i.e., income, SYSTEM: Records are maintained in accordance estate and gift, excise or employment tax liability. Individuals on whom Federal tax with Records Disposition Handbooks, assessments have been made; IRM 1(15)59.1 through IRM 1(15)59.32. CATEGORIES OF RECORDS IN THE SYSTEM: individuals believed to be delinquent in SYSTEM MANAGER(S) AND ADDRESS: Records of third party contacts as filing Federal tax returns or in paying described in 26 U.S.C. 7602(c), where Federal taxes, penalties or interest; Official prescribing policies and reprisal determinations have been made, individuals who are or have been practices: Assistant Commissioner including the taxpayer name control, considered for examination for tax (Collection). Officials maintaining the taxpayer identification number, date of determination purposes; i.e., income, system: Assistant Commissioner contact, fact of reprisal determination, estate and gift, excise or employment (International), Regional Chief and IRS personnel’s identification tax liability. Compliance Officers, District Directors, number. IRS Service Center Directors, IRS CATEGORIES OF RECORDS IN THE SYSTEM: Computing Center Directors, Associate AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Records of third-party contacts as Chief Counsel, Regional Counsel, and 5 U.S.C. 301; 26 U.S.C. 7602, and required by 26 U.S.C. 7602 (c), District Counsel. 7801.
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PURPOSE(S): Privacy Act pursuant to 5 U.S.C. RECORD ACCESS PROCEDURES: These records will be used to track 552a(k)(2). (see 31 CFR 1.36) Individuals seeking access to any the number of reprisal determinations Treasury/IRS 10.001 record contained in this system of made pursuant to IRC Sec. 7602(c)(3)(B). records, or seeking to contest its SYSTEM NAME: content, may inquire in accordance with ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES OF USERS AND Biographical Files, Chief, instructions appearing at 31 CFR part 1, THE PURPOSES OF SUCH USES: Communications and Liaison-Treasury/ subpart C, appendix B. Inquiries should Disclosure of returns and return IRS. be addressed to the Assistant to the information may only be made as Commissioner (Chief, Communications SYSTEM LOCATION: and Liaison), IRS, Washington, DC authorized by 26 U.S.C. 6103 and National Office, Area offices, Internal 7602(c). 20224, for National Office file or head Revenue Service Centers. (See IRS of the office for the area office where the POLICIES AND PRACTICES FOR STORING, appendix A for addresses.) record is maintained. See Appendix A RETRIEVING, ACCESSING, RETAINING, AND CATEGORIES OF INDIVIDUALS COVERED BY THE for appropriate addresses for and area DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM: office or service center files. STORAGE: IRS employees. CONTESTING RECORD PROCEDURES: Paper records and electronic storage CATEGORIES OF RECORDS IN THE SYSTEM: media. See ‘‘Record access procedures’’ Records are biographical data and above. RETRIEVABILITY: photographs of key IRS employees. RECORD SOURCE CATEGORIES: By taxpayer identification number. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Safeguards: Access controls will be no Information is supplied by the IRS 5 U.S.C. 301. less than those provided by IRM 2.1.10, official on an IRS biographical data Automated Information Systems ROUTINE USES OF RECORDS MAINTAINED IN THE form. SYSTEM, INCLUDING CATEGORIES OF USERS AND Security Handbook; 1(16)12, Manager’s EXEMPTIONS CLAIMED FOR THE SYSTEM: Security Handbook. THE PURPOSES OF SUCH USES: These records and information in None. RETENTION AND DISPOSAL: these records may be used to provide Treasury/IRS 10.004 Records are maintained in accordance information to a congressional office in with Records Disposition Handbooks, response to an inquiry made at the SYSTEM NAME: IRM 1(15)59.1 through IRM 1(15)59.32. request of the individual to whom the Stakeholder Relationship SYSTEM MANAGER(S) AND ADDRESS: record pertains. Information contained Management and Subject Files, Chief, in this system may be included in news Official prescribing policies and Communications and Liaison-Treasury/ releases issued to the media and the practices: Area Directors, IRS Service IRS. public. Center Directors, IRS Computing Center SYSTEM LOCATION: Directors, Chief Counsel management POLICIES AND PROCEDURES FOR STORING, National Office, Area Offices, Internal officials. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Revenue Service Centers. (see IRS NOTIFICATION PROCEDURE: appendix A for addresses). STORAGE: This system of records is exempt from Paper files or magnetic media. CATEGORIES OF INDIVIDUALS COVERED BY THE certain provisions of the Privacy Act. SYSTEM: RETRIEVABILITY: RECORDS ACCESS PROCEDURE: In general, records are maintained By name. This system of records is exempt from concerning individuals who have certain provisions of the Privacy Act SAFEGUARDS: stakeholder relationships with the IRS and may not be accessed for the purpose Office doors locked at night. Access including individuals whose names of determining if the system contains a controls will not be less than those have been mentioned in the press in record pertaining to a particular provided for by the Manager’s Security connection with their relationship with individual. Handbook IRM 1(16)12,and IRM 2.10 IRS. CONTESTING RECORD PROCEDURE: regarding electronic security. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records is exempt from RETENTION AND DISPOSAL: The records include stakeholder certain provisions of the Privacy Act Records are maintained in accordance relationship records, correspondence, and may not be accessed for purposes of with Records Disposition Handbooks, newspaper clippings, inter-office inspection or contest of record contents. IRM 1.15.2.1 through IRM 1.15.2.31. memoranda and similar documents. Also, 26 U.S.C. 7852(e) prohibits AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Privacy Act amendment of tax records. SYSTEM MANAGER(S) AND ADDRESS: Chief, Communications and Liaison), 5 U.S.C. 301. RECORD SOURCE CATEGORIES: Area Managers (see IRS appendix A for This system of records is exempt from addresses). ROUTINE USES OF RECORDS MAINTAINED IN THE the Privacy Act provision which SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: requires that record source categories be NOTIFICATION PROCEDURE: reported. (See ‘‘Exemptions Claimed for Individuals seeking to determine if Disclosure of returns and return the System,’’ below.) this system of records contains a record information may be made only as pertaining to themselves may inquire in provided by 26 U.S.C. 6103. Records EXEMPTIONS CLAIMED FOR THE SYSTEM: accordance with instructions appearing other than returns and return This system is exempt from 5 U.S.C. at 31 CFR part 1, subpart C, appendix information may be provided in 552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4), B. Inquiries should be addressed as in response to inquiries from the media (e)(1), (e)(4)(G), (H) and (I), and (f) of the ‘‘Record access procedures’’ below. and the public.
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POLICIES AND PROCEDURES FOR STORING, SYSTEM LOCATION: SAFEGUARDS: RETRIEVING, ACCESSING, RETAINING, AND Office of the Director (International), Access limited to authorized office DISPOSING OF RECORDS IN THE SYSTEM: 950 L’Enfant Plaza, SW., Fourth Floor, personnel. File folders kept in locked STORAGE: Washington, DC 20024. file or locked room. Access controls will Paper files or magnetic media. not be less than those provided for by CATEGORIES OF INDIVIDUALS COVERED BY THE the Manager’s Security Handbook, IRM SYSTEM: RETRIEVABILITY: 1(16)12 and IRM 2.10 regarding Alphabetically by subject or other Past and potential tax administration electronic security. identifier. advisors who have served or indicated an interest in serving on advisory RETENTION AND DISPOSAL: SAFEGUARDS: assignments, and selected officials Records are maintained in accordance engaged in tax administration and with Records Disposition Handbooks, Office doors locked at night. Access related fields. IRM 1.15.2.1 through IRM 1.15.2.31. controls will not be less than those Generally, records are disposed of when provided for by the Automated CATEGORIES OF RECORDS IN THE SYSTEM: they are no longer needed for official Information System Security Handbook, Applicant roster database, locator use. IRM 2.10), and the Manager’s Security cards and lists with names, addresses, Handbook, IRM 1(16)12. telephone numbers, and organizational SYSTEM MANAGER(S) AND ADDRESS: RETENTION AND DISPOSAL: affiliations of officials engaged in tax Assistant Commissioner administration; work assignment or (International), Internal Revenue Records are maintained in accordance application folders of past and potential Service, 950 L’Enfant Plaza, SW, Fourth with Records Disposition Handbooks, tax administration advisors, which Floor, Washington, DC 20024. IRM 1.15.2.11.15.2.31. contain employment history, NOTIFICATION PROCEDURE: SYSTEM MANAGER(S) AND ADDRESS: information, medical abstracts, security clearances, and passport information; Individuals seeking to determine if Chief, Communications and Liaison), bio-data sketches on IRS employees and this system of records contains a record National Office; Area, Internal Revenue others engaged in tax administration pertaining to themselves may inquire in Service Center/Campus Directors, or and related fields. accordance with instructions appearing Head of the Office that maintains the at 31 CFR part 1, subpart C, appendix file (see IRS appendix A for addresses). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: B. Inquiries should be addressed as in NOTIFICATION PROCEDURE: 5 U.S.C. 301; 26 U.S.C. 7801 and ‘‘Record access procedures’’ below. 7802. Individuals seeking to determine if RECORD ACCESS PROCEDURES: this system of records contains a record PURPOSE(S): Individuals seeking access to any pertaining to themselves may inquire in The purpose is to identify IRS record contained in this system of accordance with instructions appearing employees who have expressed an records, or seeking to contest its at 31 CFR part 1, subpart C, appendix interest in overseas assignments, and to content, may inquire in accordance with B. Inquiries should be addressed as in further identify historical and current instructions appearing at 31 CFR part 1, ‘‘Record access procedures’’ below. activities in given countries. subpart C, appendix B. Inquiries should RECORD ACCESS PROCEDURES: be addressed to the Office of the ROUTINE USES OF RECORDS MAINTAINED IN THE Director (International), Internal Individuals seeking access to any SYSTEM, INCLUDING CATEGORIES OF USERS AND Revenue Service, 950 L’Enfant Plaza, record contained in this system of THE PURPOSES OF SUCH USES: SW., Fourth Floor, Washington, DC records, or seeking to contest its Maintained for use by Office 20224. content, may inquire in accordance with management officials as a reference in instructions appearing at 31 CFR part 1, obtaining and presenting information CONTESTING RECORD PROCEDURES: subpart C, appendix B. Inquiries should related to tax administration, and for See ‘‘Record access procedures’’ be addressed to the system manager in administrative selection and processing above. the office where the records are located. of overseas and domestic assignments. RECORD SOURCE CATEGORIES: CONTESTING RECORD PROCEDURES: The records and information in these records may be used to: (1) Provide From the individual, from the See ‘‘Record access procedures’’ information to a congressional office in organization with which he or she is above. response to an inquiry made at the associated, or from other knowledgeable experts in the field of Tax RECORD SOURCE CATEGORIES: request of the individual to whom the record pertains; (2) disclose information Administration. Records generally are clippings from to the Department of Justice for the newspapers, magazines, and similar purpose of litigating an action or EXEMPTIONS CLAIMED FOR THE SYSTEM: sources, and stakeholder relationship seeking legal advice. Disclosure may be None. documents and memoranda. made during judicial processes. Treasury/IRS 22.003 EXEMPTIONS CLAIMED FOR THE SYSTEM: POLICIES AND PROCEDURES FOR STORING, SYSTEM NAME: None. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Annual Listing of Undelivered Refund Treasury/IRS 21.001 Checks-Treasury/IRS. STORAGE: SYSTEM NAME: Paper records and magnetic media. SYSTEM LOCATION: Tax Administration Resources File, Area Offices and Internal Revenue Office of Tax Administration Advisory RETRIEVABILITY: Service Centers. (See IRS appendix A Services-Treasury/IRS. By individual name. for addresses.)
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CATEGORIES OF INDIVIDUALS COVERED BY THE at 31 CFR part 1, subpart C, appendix RETRIEVABILITY: SYSTEM: B. Inquiries should be addressed as in By Social Security Number (SSN) or Taxpayers whose refund checks have ‘‘Record access procedures’’ below. Employer Identification Number (EIN). been returned as undeliverable since the RECORD ACCESS PROCEDURES: last Annual Listing of Undelivered SAFEGUARDS: Refund Checks was produced. Individuals seeking access to any record contained in this system of Access controls will not be less than CATEGORIES OF RECORDS IN THE SYSTEM: records may inquire in accordance with those provided for by the Automated Taxpayer entity information (Name, instructions appearing at 31 CFR Part 1, Information System Security Handbook, Street Address, City, State, Zip Code Subpart C, Appendix B. Inquiries IRM 2(10)00, and the Manager’s and social security number) and records should be addressed to the Director of Security Handbook, IRM 1(16)12. containing tax module information (Tax the area office servicing the areas in RETENTION AND DISPOSAL: Period, Amount of Credit Balance and which the individual resided at the time Control Document Locator Number). he or she filed the return which created Records are maintained in accordance the undeliverable refund. (See IRS with Records Disposition Handbooks AUTHORITY FOR MAINTENANCE OF THE SYSTEM: appendix A for addresses.) IRM 1.15.2.1 through IRM 1(15) 59.32. 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Generally, records are retained for four and 7802. CONTESTING RECORD PROCEDURES: years and then destroyed. 26 U.S.C. 7852(e) prohibits Privacy PURPOSE(S): Act amendment of tax records. SYSTEM MANAGER(S) AND ADDRESS: The purpose of this system is to keep Official prescribing policies and RECORD SOURCE CATEGORIES: a record of refund checks that have been practices—Head of the Office returned undeliverable. Tax returns and other filings made by maintaining the file. (See IRS appendix the individual and agency entries made A for addresses.) ROUTINE USES OF RECORDS MAINTAINED IN THE in the administration of the individual’s SYSTEM, INCLUDING CATEGORIES OF USERS AND tax account. NOTIFICATION PROCEDURE: THE PURPOSES OF SUCH USES: Disclosure of returns and return EXEMPTIONS CLAIMED FOR THE SYSTEM: Individuals seeking to determine if information may be made only as None. this system of records contains a record provided by 26 U.S.C. 6103. Individuals pertaining to themselves may inquire in Treasury/IRS 22.011 entitled to undeliverable refund checks accordance with instructions appearing will be notified of such checks by SYSTEM NAME: at 31 CFR part 1, subpart C, appendix publication of their names in the news File of Erroneous Refunds-Treasury/ B. Inquiries should be addressed as in media. IRS. ‘‘Record access procedures’’ below.
POLICIES AND PROCEDURES FOR STORING, SYSTEM LOCATION: RECORD ACCESS PROCEDURES: RETRIEVING, ACCESSING, RETAINING, AND Internal Revenue Campuses/Service Individuals seeking access to any DISPOSING OF RECORDS IN THE SYSTEM: Centers. (See IRS appendix A for record contained in this system of STORAGE: addresses.) records may inquire in accordance with Paper documents stored in files or on instructions appearing at 31 CFR part 1, CATEGORIES OF INDIVIDUALS COVERED BY THE subpart C, appendix B. Inquiries should magnetic media. SYSTEM: be addressed to the Director of the RETRIEVABILITY: Taxpayers issued erroneous refunds. Internal Revenue Service Center By taxpayer name or taxpayer social CATEGORIES OF RECORDS IN THE SYSTEM: servicing the areas in which the security number (SSN). Case reference name, number, control individual resides. (See IRS appendix A SAFEGUARDS: number, date of erroneous refunds, for addresses.) statute expiration date, status of case, Access controls will not be less than CONTESTING RECORD PROCEDURES: those provided for by the Automated location, correspondence and research 26 U.S.C. 7852(e) prohibits Privacy Information System Security Handbook, material. Act amendment of tax records. IRM 2(10)00, and the Manager’s AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Security Handbook, IRM 1(16)12. 5 U.S.C. 301; 26 U.S.C. 7602, 7801 RECORD SOURCE CATEGORIES: RETENTION AND DISPOSAL: and 7802. Tax returns and other filings made by Records are maintained in accordance PURPOSE(S): the individual and agency entries made in the administration of the individual’s with Records Disposition Handbooks This system maintains records tax account. IRM 1.15.2.1 through IRM 1.15.2.31. necessary to resolve erroneous refund SYSTEM MANAGER(S) AND ADDRESS: issues. EXEMPTIONS CLAIMED FOR THE SYSTEM: Officials prescribing policies and ROUTINE USES OF RECORDS MAINTAINED IN THE None. practices—Commissioners, LMSB, TE/ SYSTEM, INCLUDING CATEGORIES OF USERS AND GE, W&I, SB/SE. Officials maintaining THE PURPOSES OF SUCH USES: Treasury/IRS 22.026 Disclosure of returns and return the system—Area Directors, Internal SYSTEM NAME: Revenue Service Centers Directors. (See information may be made only as IRS appendix A for addresses.) provided by 26 U.S.C. 6103. Form 1042S Index by Name of Recipient-Treasury/IRS. NOTIFICATION PROCEDURE: POLICIES AND PROCEDURES FOR STORING, Individuals seeking to determine if RETRIEVING, ACCESSING, RETAINING, AND SYSTEM LOCATION: DISPOSING OF RECORDS IN THE SYSTEM: this system of records contains a record Philadelphia Internal Revenue Service pertaining to themselves may inquire in STORAGE: Center/Campus, 11601 Roosevelt accordance with instructions appearing Paper document files. Boulevard, Philadelphia, PA 19154.
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CATEGORIES OF INDIVIDUALS COVERED BY THE instructions appearing at 31 CFR part 1, POLICIES AND PROCEDURES FOR STORING, SYSTEM: subpart C, appendix B. Inquiries should RETRIEVING, ACCESSING, RETAINING, AND Non-resident aliens and U.S. citizens be addressed to: Director, Philadelphia DISPOSING OF RECORDS IN THE SYSTEM: living abroad whose taxes are covered Internal Revenue Service Center, Mid- STORAGE: by IR Chapter 3 Withholding. Atlantic Region, 11601 Roosevelt Boulevard, Philadelphia, PA 19154. Magnetic media. (Various tables are CATEGORIES OF RECORDS IN THE SYSTEM: published from this media.) Records include taxpayer’s name, CONTESTING RECORD PROCEDURES: address, tax data, country of residence RETRIEVABILITY: 26 U.S.C. 7852(e) prohibits Privacy and employer identification number and Act amendment of tax records. Documents are stored and retrieved name of withholding agent. by document locator numbers. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RECORD SOURCE CATEGORIES: SAFEGUARDS: 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Tax returns and other filings made by and 7802. the individual and agency entries made Access controls will not be less than in the administration of the individual’s those provided by the Automated PURPOSE(S): tax account. Information System Security Handbook, This system maintains records IRM 2(10)00, and the Manager’s necessary to effectively administer the EXEMPTIONS CLAIMED FOR THE SYSTEM: Security Handbook, IRM 1(16)12. back-up withholding laws and None. regulations. RETENTION AND DISPOSAL: Treasury/IRS 22.027 Records are maintained in accordance ROUTINE USES OF RECORDS MAINTAINED IN THE with Records Control Schedule 206 for SYSTEM INCLUDING CATEGORIES OF USERS AND , SYSTEM NAME: THE PURPOSES OF SUCH USES: Service Centers, IRM 1.15.2.22. Foreign Information System (FIS)— Disclosure of returns and return SYSTEM MANAGER(S) AND ADDRESS: information may be made only as Treasury/IRS. provided by 26 U.S.C. 6103. Official prescribing policies and SYSTEM LOCATION: practices—Director, International POLICIES AND PROCEDURES FOR STORING, National Office, Area offices, Commissioner (Wage and Investment, RETRIEVING, ACCESSING, RETAINING, AND Philadelphia Internal Revenue Service Commissioner Small Business/Self DISPOSING OF RECORDS IN THE SYSTEM: Center, and its servicing Federal Employed). Officials maintaining the STORAGE: Records Centers, and the Detroit system—Directors, Internal Revenue Microfilm. Computing Center. (See IRS appendix A Service Centers. (See IRS appendix A for addresses.) for addresses.) RETRIEVABILITY: By taxpayer name. CATEGORIES OF INDIVIDUALS COVERED BY THE NOTIFICATION PROCEDURE: SYSTEM: Individuals seeking to determine if SAFEGUARDS: Taxpayers who file Form 5471, this system of records contains a record Access controls will not be less than Information Return with Respect to a pertaining to themselves may inquire in those provided by the Automated Foreign Corporation and Form 5472, accordance with instructions appearing Information System Security Handbook, Information Return of a Foreign Owned at 31 CFR part 1, subpart C, appendix IRM 2(10)00, and by the Manager’s Corporation. B. Inquiries should be addressed as in Security Handbook, IRM 1(16)12. ‘‘Record access procedures’’ below. RETENTION AND DISPOSAL: CATEGORIES OF RECORDS IN THE SYSTEM: RECORD ACCESS PROCEDURES: Records are maintained in accordance Taxpayer entity records (name, with Records Disposition Handbooks, address, identification number), foreign Individuals seeking access to any IRM 1.15.2.1 through IRM 1(15)59.32. corporation identification, information record contained in this system of Generally, records are retained at the relating to stock, U.S. shareholders, records may inquire in accordance with Service Center for 5 years and then at Earnings and Profits, Balance Sheet, and instructions appearing at 31 CFR part 1, a Federal Records Center for 25 years. other available accounting information subpart C, appendix B. Inquiries should relating to a specific taxable period. be addressed to the Director of the SYSTEM MANAGER(S) AND ADDRESS: Internal Revenue Service Center Philadelphia Internal Revenue Service AUTHORITY FOR MAINTENANCE OF THE SYSTEM: servicing the areas in which the Center Director. (See IRS appendix A for 5 U.S.C. 301; 26 U.S.C. 7602, 7801 individual resides. (See IRS appendix A addresses.) and 7802. for addresses.) NOTIFICATION PROCEDURE: PURPOSE(S): CONTESTING RECORD PROCEDURES: Individuals seeking to determine if This system maintains records 26 U.S.C. 7852(e) prohibits Privacy this system of records contains a record Act amendment of tax records. pertaining to themselves may inquire in necessary to effectively administer laws and regulations relative to foreign accordance with instructions appearing RECORD SOURCE CATEGORIES: at 31 CFR part 1, subpart C, appendix owned corporations. B. Inquiries should be addressed as in Tax returns and other filings made by ‘‘Record access procedures’’ below. ROUTINE USES OF RECORDS MAINTAINED IN THE the individual and agency entries made SYSTEM, INCLUDING CATEGORIES OF USERS AND in the administration of the individual’s RECORD ACCESS PROCEDURES: THE PURPOSES OF SUCH USES: tax account. Individuals seeking access to any Disclosure of returns and return record contained in this system of information may be made only as EXEMPTIONS CLAIMED FOR THE SYSTEM: records may inquire in accordance with provided by 26 U.S.C. 6103. None.
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Treasury/IRS 22.028 of IRM 2(10), the Automated Security CATEGORIES OF RECORDS IN THE SYSTEM: System Security Handbook, and IRM SYSTEM NAME: Abstracts of tax and/or entity modules 1(16)12. that have been removed from the IMF. Disclosure Authorizations for U.S. These abstract records indicate the Residency Certification Letters— RETENTION AND DISPOSAL: taxpayer name, identification number, Treasury/IRS. Records are maintained in accordance specific tax returns filed, document with Records Control Schedule 206 for SYSTEM LOCATION: locator number, tax years, debit and Service Centers, IRM 1(15)59.26. Internal Revenue Service, Northeast credit amounts, balances, and other Records will be maintained up to 3 Region, Philadelphia Service Center, transactions which have been recorded years. Hard copy and microfilm media 11601 Roosevelt Boulevard, relative to the module(s). will be disposed by shredding or Philadelphia, PA 19154. incineration. Electronic media will be AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE erased electronically. 5 U.S.C. 301; 26 U.S.C. 7602, 7801 SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: and 7802. Individuals and third parties who are subjects of correspondence and who Director, Philadelphia Service Center, PURPOSE(S): initiate correspondence for disclosure Internal Revenue Service, Northeast This system maintains individual tax authorizations for U.S. Residency Region, Philadelphia Service Center, account information which is retained Certification Letters. The 11601 Roosevelt Boulevard, in microfilm after a certain period of correspondence may include any form Philadelphia, PA 19154. inactivity on the master file in order not of communications, including telephone NOTIFICATION PROCEDURE: to overburden the computer system calls, and e-mail. Individuals seeking to determine if required for active accounts. CATEGORIES OF RECORDS IN THE SYSTEM: this system of records contains a record ROUTINE USES OF RECORDS MAINTAINED IN THE Records relating to the entity pertaining to themselves may inquire in SYSTEM, INCLUDING CATEGORIES OF USERS AND requesting certification, including accordance with instructions appearing THE PURPOSES OF SUCH USES: taxpayer identification number, name at 31 CFR part 1, subpart C, appendix Disclosure of returns and return and address, countries for which B. information may be made only as certification has been requested, and RECORD ACCESS PROCEDURES: provided by 26 U.S.C. 6103. when applicable, business activity code; Individuals seeking access to any POLICIES AND PROCEDURES FOR STORING, records relating to the designated entity record contained in this system of RETRIEVING, ACCESSING, RETAINING, AND authorized to receive tax information records, or seeking to contest its DISPOSING OF RECORDS IN THE SYSTEM: specific to the U.S. Residency content, may inquire in accordance with STORAGE: Certification Letters, name, address, and instructions appearing at 31 CFR part 1, number of years authorization has been subpart C, appendix B. Inquiries should Microfilm tape. granted. be addressed to the Philadelphia Service RETRIEVABILITY: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Center Director. (See IRS appendix A for IMF Reference Register (for IMF 5 U.S.C. 301; 26 U.S.C. 7801 & 7802. addresses.) Register only), taxpayer identification CONTESTING RECORD PROCEDURES: number, tax Period, name, and type of PURPOSE(S): tax. Methods of retrievability are The records will enable the IRS to See record access procedures above. 26 U.S.C. 7852(e) prohibits Privacy Act explained in the Research Operations determine if there is a valid disclosure Handbook, IRM 36(66)0. authorization to provide a third party amendment of tax records. with the Residency Certification Letter RECORD SOURCE CATEGORIES: SAFEGUARDS: (Form 6166, Form 2297 or Form 2298) Information supplied by the initiators Access controls will not be less than or related taxpayer information. of the correspondence. those provided by the Automated ROUTINE USES OF THE RECORDS MAINTAINED IN Information System Security Handbook, EXEMPTIONS CLAIMED FOR THE SYSTEM: THE SYSTEM, INCLUDING CATEGORIES OF USERS IRM 2(10)00, and the Manager’s AND THE PURPOSES OF SUCH USES: None. Security Handbook, IRM 1(16)12.
Disclosure of returns and return Treasury/IRS 22.032 RETENTION AND DISPOSAL: information may only be made as Records are maintained in accordance provided by 26 U.S.C. 6103. SYSTEM NAME: Individual Microfilm Retention with Records Disposition Handbooks, POLICIES AND PRACTICES FOR STORING, Register—Treasury/IRS. IRM 1.15.2.1 through IRM 1.15.2.31. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM LOCATION: SYSTEM MANAGER(S) AND ADDRESS: STORAGE: Internal Revenue Service Centers/ Official prescribing policies and practices—Commissioner ( Wage and Electronic media, and/or hard copy Campuses and the Martinsburg Investment and Commissioner, Small media (paper). Computing Center. (See IRS appendix A for addresses.) Business/ Self Employed). Officials RETRIEVABILITY: maintaining the system-Internal Records may be retrieved by the CATEGORIES OF INDIVIDUALS COVERED BY THE Revenue Service Center Directors, and SYSTEM: taxpayer’s name, authorized individual the Martinsburg Computing Center or company name, and by the Taxpayer Categories of individuals on whom Director. (See IRS appendix A for Identification Number (TIN). records are maintained are: For addresses.) Individual Master File (IMF) registers— SAFEGUARDS: Individuals who file, or may be required NOTIFICATION PROCEDURE: Protection and control of the records to file, individual tax returns such as Individuals seeking to determine if are in accordance with the requirements Form 1040, 1040A, or 1040EZ. this system of records contains a record
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pertaining to themselves may inquire in correction forms, Interest Equalization Internal Revenue Service Center accordance with instructions appearing Tax Forms, withholding allowance Directors. (See IRS appendix A for at 31 CFR part 1, subpart C, appendix certificates, and similar records. addresses.) B. Inquiries should be addressed as in Information will be maintained as to the ‘‘Record access procedures’’ below. name, SSN, address of individuals NOTIFICATION PROCEDURE: owing past due child and/or spousal Individuals seeking to determine if RECORD ACCESS PROCEDURES: support payments submitted by states this system of records contains a record Individuals seeking access to any under Pub. L. 97–35. Also maintained pertaining to themselves may inquire in record contained in this system of will be the name of the submission accordance with instructions appearing records may inquire in accordance with state, the amount owed, and the amount at 31 CFR part 1, subpart C, appendix instructions appearing at 31 CFR part 1, of any individual income tax B. Inquiries should be addressed as in subpart C, appendix B. Inquiries should overpayment retained and transferred to ‘‘Record access procedures’’ below. be addressed to the Director of the the state to apply against the amount Internal Revenue Service Center owed. RECORD ACCESS PROCEDURES: servicing the areas in which the Individuals seeking access to any individual resides. (See IRS appendix A AUTHORITY FOR MAINTENANCE OF THE SYSTEM: record contained in this system of for addresses.) 5 U.S.C. 301; 26 U.S.C. 7602, 7801 records may inquire in accordance with and 7802. CONTESTING RECORD PROCEDURES: instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should 26 U.S.C. 7852(e) prohibits Privacy PURPOSE(S): Act amendment of tax records. be addressed to the Director of the The purpose of this system is to Internal Revenue Service Center provide background and supporting RECORD SOURCE CATEGORIES: servicing the area in which the documentation for inputs affecting Tax returns and other filings made by individual resides. (See IRS appendix A taxpayer account information. for addresses.) the individual and agency entries made Additionally, overpayments retained in the administration of the individual’s and transferred against outstanding CONTESTING RECORD PROCEDURES: tax account. liabilities from the state in which it 26 U.S.C. 7852(e) prohibits Privacy EXEMPTIONS CLAIMED FOR THE SYSTEM: occurred will be recorded. This will aid Act amendment of tax records. None. taxpayers in reconciling their account balances with state agencies. RECORD SOURCE CATEGORIES: Treasury/IRS 22.034 ROUTINE USES OF RECORDS MAINTAINED IN THE Tax returns and other filings made by SYSTEM NAME: SYSTEM, INCLUDING CATEGORIES OF USERS AND the individual and agency entries made Individual Returns Files, Adjustments THE PURPOSES OF SUCH USES: in the administration of the individual’s and Miscellaneous Documents Files- Disclosure of returns and return tax account. Treasury/IRS. information may be made only as EXEMPTIONS CLAIMED FOR THE SYSTEM: provided by 26 U.S.C. 6103. SYSTEM LOCATION: None. Internal Revenue Service Centers/ POLICIES AND PROCEDURES FOR STORING, Campuses, IRS areas.(See IRS appendix RETRIEVING, ACCESSING, RETAINING, AND Treasury/IRS 22.043 DISPOSING OF RECORDS IN THE SYSTEM: A for addresses.) SYSTEM NAME: STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE Potential Refund Litigation Case Files- SYSTEM: Paper document files or magnetic Treasury/IRS. Taxpayers or return preparers who media. SYSTEM LOCATION: have had changes made to their RETRIEVABILITY: accounts, or have had information Documents are stored and retrieved Internal Revenue Service Centers, the posted to the Individual Master File or by document locator numbers and by Austin Compliance Center and Federal other tax accounting files as a result of taxpayer name. The document locator Records Centers. (See IRS appendix A filing returns, applications, or other numbers can be determined by reference for addresses.) documents, or as a result of actions to the Individual Master File entries for initiated by the Service. A record will be CATEGORIES OF INDIVIDUALS COVERED BY THE the individual to whom they relate. SYSTEM: maintained for those taxpayers whose individual income tax overpayments SAFEGUARDS: Taxpayers who have indicated to the have been retained or transferred from Access controls will not be less than Service that they may file suit against the IMF to apply against past due child those provided by the Automated the Service for a refund. and/or spousal support payments as Information System Security Handbook, CATEGORIES OF RECORDS IN THE SYSTEM: reported to IRS by the states under Pub. IRM 2(10)00, and the Manager’s L. 97–35. Security Handbook, IRM 1(16)12. Forms filed by the taxpayer and case documents determined by the Service to CATEGORIES OF RECORDS IN THE SYSTEM: RETENTION AND DISPOSAL: be related. A variety of records reflecting tax Records are maintained in accordance AUTHORITY FOR MAINTENANCE OF THE SYSTEM: matters which have served as input with Records Control Schedule 206 for documents or supporting Service Centers, IRM 1.15.2.22. 5 U.S.C. 301; 26 U.S.C. 7602, 7801 documentation for entries on the and 7802. Individual Master File, or other tax SYSTEM MANAGER(S) AND ADDRESS: accounting files, including tax return Official prescribing policies and PURPOSE(S): forms, declarations, applications, case practices—( Wage and Investment and This system maintains records records, processing documents, Small Business/Self Employed). necessary to effectively administer vouchers, computer notices, posting and Officials maintaining the system- potential refund litigations.
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ROUTINE USES OF RECORDS MAINTAINED IN THE Treasury/IRS 22.044 NOTIFICATION PROCEDURE: SYSTEM, INCLUDING CATEGORIES OF USERS AND Individuals seeking to determine if SYSTEM NAME: THE PURPOSES OF SUCH USES: this system of records contains a record Disclosure of returns and return P.O.W.–M.I.A. Reference File- pertaining to themselves may inquire in information may be made only as Treasury/IRS. accordance with instructions appearing provided by 26 U.S.C. 6103. SYSTEM LOCATION: at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in POLICIES AND PROCEDURES FOR STORING, Area Offices and the Austin Internal RETRIEVING, ACCESSING, RETAINING, AND Revenue Service Center/Campus. (See Record access procedures below. DISPOSING OF RECORDS IN THE SYSTEM: IRS appendix A for addresses.) RECORD ACCESS PROCEDURES: STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE Individuals seeking access to any Paper document files. SYSTEM: record contained in this system of records may inquire in accordance with RETRIEVABILITY: P.O.W./M.I.A.-originated from Department of Defense lists. instructions appearing at 31 CFR part 1, By taxpayer name. subpart C, appendix B. Inquiries should SAFEGUARDS: CATEGORIES OF RECORDS IN THE SYSTEM: be addressed to the Director of the Access controls will not be less than Lists of P.O.W./M.I.A., Regulations, Austin Internal Revenue Service Center those provided by the Automated Rulings, and Instructions as to how to or the Director of the Area Office Information System Security Handbook, handle specific tax questions relating to servicing the area in which the IRM 2(10)00, and the Manager’s their special tax status, copies of individual resides. (See IRS appendix A Security Handbook, IRM 1(16)12. individual tax returns, claims, and other for addresses.) documents germane to specific cases. CONTESTING RECORD PROCEDURES: RETENTION AND DISPOSAL: Records are maintained in accordance AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 26 U.S.C. 7852(e) prohibits Privacy with Records Control Schedule 206 for 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Act amendment of tax records. Service Centers, IRM 1.15.2.22. and 7802. RECORD SOURCE CATEGORIES:
SYSTEM MANAGER(S) AND ADDRESS: PURPOSE(S): Tax returns and other filings made by the individual and agency entries made Official prescribing policies and This system maintains records in the administration of the individual’s practices—Commissioners for Wage and necessary to effectively administer the tax account. Investment, Small Business/Self tax accounts with POW/MIA issues. Employed, and Large and Mid Size EXEMPTIONS CLAIMED FOR THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE business. Officials maintaining the SYSTEM, INCLUDING CATEGORIES OF USERS AND None. system-Internal Revenue Service Center/ THE PURPOSES OF SUCH USES: Campus Directors. (See IRS appendix A Treasury/IRS 22.054 Disclosure of returns and return for addresses.) information may be made only as SYSTEM NAME: NOTIFICATION PROCEDURE: provided by 26 U.S.C. 6103. Subsidiary Accounting Files— Treasury/IRS. Individuals seeking to determine if POLICIES AND PROCEDURES FOR STORING, this system of records contains a record RETRIEVING, ACCESSING, RETAINING, AND SYSTEM LOCATION: pertaining to themselves may inquire in DISPOSING OF RECORDS IN THE SYSTEM: Area Offices and Internal Revenue accordance with instructions appearing STORAGE: Service Centers. (See IRS appendix A at 31 CFR part 1, subpart C, appendix for addresses.) B. Inquiries should be addressed as in Paper documents in file folders. Record access procedures below. RETRIEVABILITY: CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: RECORD ACCESS PROCEDURES: Cases filed alphabetically by last name. The categories of individuals on Individuals seeking access to any whom records are maintained are record contained in this system of SAFEGUARDS: taxpayers affected by one or more of the records may inquire in accordance with Access controls will not be less than transactions reflected in the categories instructions appearing at 31 CFR part 1, of records listed below. subpart C, appendix B. Inquiries should those provided by the Automated Information System Security Handbook, be addressed to the Director of the CATEGORIES OF RECORDS IN THE SYSTEM: Internal Revenue Service Center IRM 2(10)00, and the Manager’s Security Handbook, IRM 1(16)12. The types of records maintained in servicing the area in which the the system are documents containing individual resides. (See IRS appendix A RETENTION AND DISPOSAL: entity information (name, address, for addresses.) Records are periodically updated to social security number or employer CONTESTING RECORD PROCEDURES: reflect changes and maintained as long identification number and other as needed. information necessary to identify the 26 U.S.C. 7852(e) prohibits Privacy taxpayer) and accounting information Act amendment of tax records. SYSTEM MANAGER(S) AND ADDRESS: relevant to one of the following RECORD SOURCE CATEGORIES: Official prescribing policies and categories: Funds held pending, Tax returns and other filings made by practices—Assistant Commissioner disposition and not applied to the the individual and agency entries made (Wage and Investment and Small taxpayer’s liability at present, in the administration of the individual’s Business/Self Employed). Officials properties, tangible or intangible, now tax account. maintaining the system—Austin in the custody of the Internal Revenue Internal Revenue Service Center Service, counterfeit money, EXEMPTIONS CLAIMED FOR THE SYSTEM: Director and Area Directors. (See IRS misappropriation or robbery of Internal None. appendix A for addresses.) Revenue Service funds, credits which
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cannot be applied to a specific taxpayer pertaining to themselves may inquire in PURPOSE(S): account at this time, accounts accordance with instructions appearing This system maintains the records transferred to other Service Centers or at 31 CFR part 1, subpart C, appendix controlling remittances where agencies, substantiation for the receipt B. Inquiries should be addressed as in accounting is delayed for lack of the of funds collected by the Service for ‘‘Record access procedures’’ below. data required to properly post a credit. other agencies, abatements or assessments of tax on individuals, RECORD ACCESS PROCEDURES: ROUTINE USES OF RECORDS MAINTAINED IN THE deposits received from taxpayers, Individuals seeking access to any SYSTEM, INCLUDING CATEGORIES OF USERS AND refunds to taxpayers, taxpayer accounts record contained in this system of THE PURPOSES OF SUCH USES: written off by the Service as records may inquire in accordance with Disclosure of returns and return uncollectible, credits allowed taxpayers instructions appearing at 31 CFR part 1, information may be made only as requiring special consideration due to subpart C, appendix B. Inquiries should provided by 26 U.S.C. 6103. processing constraints, litigation, seized be addressed to the Director of the POLICIES AND PROCEDURES FOR STORING, and acquired property and Offers-in- Internal Revenue Service Center RETRIEVING, ACCESSING, RETAINING, AND Compromise. servicing the area in which the DISPOSING OF RECORDS IN THE SYSTEM: individual resides. (See IRS appendix A AUTHORITY FOR MAINTENANCE OF THE SYSTEM: for addresses.) STORAGE: 5 U.S.C. 301; 26 U.S.C. 7602, 7801, Disk storage. and 7802. CONTESTING RECORD PROCEDURES: 26 U.S.C. 7852(e) prohibits Privacy RETRIEVABILITY: PURPOSE(S): Act amendment of tax records. By remittance amount, unidentified This system maintains records remittance control number, taxpayer necessary to effectively administer the RECORD SOURCE CATEGORIES: name. accounting files relevant to the unusual Tax returns and other filings made by SAFEGUARDS: circumstances described in ‘‘categories the individual and agency entries made of records in the system,’’ above. in the administration of the individual’s Access controls will not be less than those provided by the Automated ROUTINE USES OF RECORDS MAINTAINED IN THE tax account. Some Justice Department SYSTEM, INCLUDING CATEGORIES OF USERS AND investigations are an additional source Information System Security Handbook, THE PURPOSES OF SUCH USES: for the information contained in IRM 2(10)00, and the Manager’s Security Handbook, IRM 1(16)12. Disclosure of returns and return litigation case files. information may be made only as EXEMPTIONS CLAIMED FOR THE SYSTEM: RETENTION AND DISPOSAL: provided by 26 U.S.C. 6103. None. Records are maintained in accordance POLICIES AND PROCEDURES FOR STORING, with Records Disposition Handbooks, RETRIEVING, ACCESSING, RETAINING, AND Treasury/IRS 22.059 IRM 1.15.2.1 through IRM 1.15.2.31. DISPOSING OF RECORDS IN THE SYSTEM: Generally, records are kept 180 days SYSTEM NAME: after the amount is reduced to zero STORAGE: Unidentified Remittance File— balance. Accounting Files consist of paper Treasury/IRS. documents, computer printouts, SYSTEM MANAGER(S) AND ADDRESS: magnetic media and disk storage. SYSTEM LOCATION: Official prescribing policies and RETRIEVABILITY: Internal Revenue Service Centers. practices—Assistant Commissioner (See IRS appendix A for addresses.) (Wage and Investment and Small By social security number, name, or Business/Self Employed). Officials document locator number. CATEGORIES OF INDIVIDUALS COVERED BY THE maintaining the system-Internal SYSTEM: SAFEGUARDS: Revenue Service Center/campus Remittances which have been Access controls will not be less than Directors. (See IRS appendix A for received but cannot be positively those provided by the Automated addresses.) identified, either as to taxpayer who Information System Security Handbook, sent it or the tax period to which it is NOTIFICATION PROCEDURE: IRM 2(10)00, and the Manager’s to be applied. Individuals seeking to determine if Security Handbook, IRM 1(16)12. this system of records contains a record CATEGORIES OF RECORDS IN THE SYSTEM: RETENTION AND DISPOSAL: pertaining to themselves may inquire in Records are maintained in accordance Each record contains a fourteen digit accordance with instructions appearing with Records Disposition Handbooks unidentified remittance (UR) control at 31 CFR part 1, subpart C, appendix IRM 1.15.2.1 through IRM 1.15.2.31. number, the amount, received date, and B. Inquiries should be addressed as in Generally, records are retired to Federal all known identifying data. In addition, ‘‘Record access procedures’’ below. the URF contains a record of all Records Centers and retrieved by RECORD ACCESS PROCEDURES: request from authorized individuals doubtfully applied Estimated Tax (ET) when account substantiation is credits. The ES record contains the Individuals seeking access to any necessary. taxpayers’ name, address, type of record contained in this system of payment, taxpayer identification records may inquire in accordance with SYSTEM MANAGER(S) AND ADDRESS: number, tax period, received date, instructions appearing at 31 CFR part 1, Head of the office maintaining the file money amount, and the transaction subpart C, appendix B. Inquiries should (See IRS appendix A for addresses.) document locator number (DLN). be addressed to the Director of the Internal Revenue Service Center NOTIFICATION PROCEDURE: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: servicing the area in which the Individuals seeking to determine if 5 U.S.C. 301; 26 U.S.C. 7602, 7801 individual resides. (See IRS appendix A this system of records contains a record and 7802. for addresses.)
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CONTESTING RECORD PROCEDURES: PURPOSE(S): RECORD SOURCE CATEGORIES: 26 U.S.C. 7852(e) prohibits Privacy This system maintains records Tax returns and other filings made by Act amendment of tax records. necessary for efficient accounting on the individual and agency entries made RECORD SOURCE CATEGORIES: files which are not compatible with the in the administration of the individual’s master file system Routine uses of account. Remittances received from taxpayers records maintained in the system, that cannot be positively identified including categories of users and the EXEMPTIONS CLAIMED FOR THE SYSTEM: either as to the taxpayer who sent it or purposes of such uses: Disclosure of None. the type of tax to which it is to be returns and return information may be applied. Treasury/IRS 22.061 made only as provided by 26 U.S.C. EXEMPTIONS CLAIMED FOR THE SYSTEM: 6103. SYSTEM NAME: None. POLICIES AND PROCEDURES FOR STORING, Individual Return Master File Treasury/IRS 22.060 RETRIEVING, ACCESSING, RETAINING, AND (IRMF)—Treasury/IRS. DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM NAME: SYSTEM LOCATION: STORAGE: Automated Non-Master File Martinsburg Computing Center, (ANMF)—Treasury/IRS. Card file or magnetic media. Martinsburg, West Virginia 25401, and Detroit Computing Center, 985 Michigan SYSTEM LOCATION: RETRIEVABILITY: Ave., Detroit, MI 48226. Internal Revenue Service Centers. By taxpayer name, taxpayer (See IRS appendix A for addresses.) identification number (social security CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE number or employer identification SYSTEM: number), or document locator card. Recipients of various types of income; wages; dividends; interest; rents and Records are maintained on taxpayers SAFEGUARDS: having accounts with the Internal royalties; medical payments; capital Revenue Service which are not Access controls will not be less than gains distributions; non-taxable compatible with the normal master file those provided by the Automated distributions; pensions, annuities, processes; e.g., penalties, transferee Information System Security Handbook, retired pay or IRA payments; patronage assessments, termination assessments, IRM 2(10)00. dividends, distributions, and allocations; fishing crew payments; excise protest accounts, Master File RETENTION AND DISPOSAL: overflow accounts, culpable and non- sales or redemption of securities, future Records maintained in accordance petitioning spouses, Forms 1042, 1040– transactions, commodities, bartering with Records Disposition Handbooks, NR, 926, 5330, 4720, 990–AR (Penalty) exchange transactions; original issue IRM 1.15.2.1 through IRM 1.15.2.31. and any pre-ADP returns. Also, a record discount; distributions and prizes; currency transactions; state tax refunds; will be maintained for those taxpayers SYSTEM MANAGER(S) AND ADDRESS: whose individual income tax unemployment compensation, Management Official prescribing overpayment has been retained and agricultural payments, taxable grants, policies and practices—(Wage and transferred from the IMF to apply indebtedness forgiveness; non- Investment and Small Business Self against past due child and/or spousal employees compensation; gambling Employed). Officials maintaining the support payments as reported to IRS by winnings; and miscellaneous income. system-Internal Revenue Service Center the States under Pub. L. 97–35. Directors. (See IRS appendix A for CATEGORIES OF RECORDS IN THE SYSTEM: CATEGORIES OF RECORDS IN THE SYSTEM: addresses.) Records maintained are records The categories of records maintained representing certain wage and NOTIFICATION PROCEDURE: are taxpayer entity records (name, information returns: Forms W–2, W–2P, address, taxpayer identification number Individuals seeking to determine if the 1087 and 1099 series; currency or employer identification number and this system of records contains a record transaction reports; state tax refunds; other indicators relevant to entity pertaining to themselves may inquire in statements of sales of equity obligations; maintenance) and records containing accordance with instructions appearing and records of agricultural subsidy tax module information (the tax return, at 31 CFR part 1, subpart C, appendix payments. Information included on each the tax period, the balance due or credit B. Inquiries should be addressed as in record identifies the recipient of the balance, and transactions which have ‘‘Record access procedures’’ below. income (name, address, taxpayer been recorded relative to the module). identifying number, and other RECORD ACCESS PROCEDURES: Information will be maintained as to the indicators relating to payee name, SSN, address of individuals Individuals seeking access to any identification), identifies the income owing past due child and/or spousal record contained in this system of payer (very similar information), and support payments submitted by the records may inquire in accordance with identifies the type(s) and amount(s) of States under Pub. L. 97–35. Also instructions appearing at 31 CFR part 1, income. maintained will be names of the subpart C, appendix B. Inquiries should AUTHORITY FOR MAINTENANCE OF THE SYSTEM: submission state, the amount owed, and be addressed to the Director of the the amount on any individual income Internal Revenue Service Center 5 U.S.C. 301; 26 U.S.C. 7602, 7801 tax overpayment retained and servicing the area in which the and 7802. transferred to the state to apply against individual resides. (See IRS appendix A PURPOSE(S): the amount owed. for addresses.) This system maintains records AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CONTESTING RECORD PROCEDURES: necessary for the efficient 5 U.S.C. 301; 26 U.S.C. 7602, 7801 26 U.S.C. 7852(e) prohibits Privacy administration of tax accounts related to and 7802. Act amendment of tax records. Wage and Information Returns.
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ROUTINE USES OF RECORDS MAINTAINED IN THE Treasury/IRS 22.062 statute, rule, regulation, order, or SYSTEM, INCLUDING CATEGORIES OF USERS AND license, where the disclosing agency SYSTEM NAME: THE PURPOSES OF SUCH USES: becomes aware of a violation or Disclosure of returns and return Electronic Filing Records—Treasury/ potential violation of civil or criminal information may be made only as IRS. law or regulation or licensing provided by 26 U.S.C. 6103. SYSTEM LOCATION: requirements; (2) Disclose information to a Federal, state, or local agency POLICIES AND PROCEDURES FOR STORING, IRS National Office, area offices, maintaining civil, criminal, or other RETRIEVING, ACCESSING, RETAINING, AND Service Centers, and Computing DISPOSING OF RECORDS IN THE SYSTEM: Centers. (See IRS appendix A for relevant enforcement information or addresses.) other pertinent information, which has STORAGE: requested information relevant to or Magnetic media. CATEGORIES OF INDIVIDUALS COVERED BY THE necessary to the requesting agency’s or SYSTEM: the bureau’s hiring or retention of an RETRIEVABILITY: Electronic return providers (electronic individual, or issuance of a security By taxpayer social security number return preparers, electronic return clearance, license, contract, grant, or and name control. collectors, electronic return originators, other benefit; (3) Disclose information in electronic filing transmitters, individual a proceeding before a court, adjudicative SAFEGUARDS: filing software developers) who have body, or other administrative body Access controls will not be less than applied to participate, are participating, before which the agency is authorized to those provided by the Automated or have been rejected, expelled or appear when: (a) The agency, or (b) any Information System Security Handbook, suspended from participation in the employee of the agency in his or her IRM 2(10)00, and the Manager’s electronic filing program (including official capacity, or (c) any employee of Security Handbook, IRM 1(16)12. Volunteer Income Tax Assistance the agency in his or her individual RETENTION AND DISPOSAL: (VITA) volunteers). Individuals who capacity where the Department of attend, or have indicated interest in Justice or the agency has agreed to Records are maintained in accordance attending, seminars and marketing represent the employee; or (d) the with Records Disposition Handbooks, programs to encourage electronic filing United States, when the agency IRM 1.15.2.1 through IRM 1.15.2.31. and improve electronic filing programs determines that litigation is likely to Generally, until tax year 1974, records (including individuals who provide affect the agency, is a party to litigation were maintained until processed. After opinions or suggestions to improve or has an interest in such litigation, and tax year 1974, records are maintained electronic filing programs), or who the use of such records by the agency is for four years and then magnetically otherwise indicate interest in deemed to be relevant and necessary to erased. participating in electronic filing the litigation or administrative SYSTEM MANAGER(S) AND ADDRESS: programs. proceeding and not otherwise privileged; (4) Provide information to a Official prescribing policies and CATEGORIES OF RECORDS IN THE SYSTEM: congressional office in response to an practices—Management officials— Records pertaining to individual inquiry made at the request of the (Wage and Investment and Small electronic filing providers including individual to whom the record pertains; Business Self Employed). Officials applications to participate in electronic (5) Provide information to third parties maintaining the system—Internal filing, credit reports, conduct reports, during the course of an investigation to Revenue Service Center/campus law enforcement records, and other the extent necessary to obtain Directors. (See IRS appendix A for information from investigations into information that is pertinent to the addresses.) suitability for participation. Records investigation, including credit bureaus NOTIFICATION PROCEDURE: pertaining to marketing electronic filing, for credit checks and fingerprint records including surveys and opinions about to the FBI or other law enforcement This system of records may not be improving electronic filing programs. accessed for purposes of determining if agencies; (6) Provide information to the news media in accordance with the system contains a record pertaining AUTHORITY FOR MAINTENANCE OF THE SYSTEM: to a particular individual. guidelines contained in 28 CFR 50.2 5 U.S.C. 301; 26 U.S.C. 6011, 6012, which relate to an agency’s functions and 7803. RECORD ACCESS PROCEDURES: relating to civil and criminal This system of records may not be PURPOSES(S): proceedings; (7) Provide information to accessed for purposes of inspection or This system will maintain records for contractors for use in contracted for contest of content of records. administration and marketing of services for electronic filing programs; electronic filing programs. (8) Disclose information to state taxing CONTESTING RECORD PROCEDURES: authorities to promote joint and state 26 U.S.C. 7852(e) prohibits Privacy ROUTINE USES OF RECORDS MAINTAINED IN THE electronic filing, including marketing Act amendment of tax records. SYSTEM, INCLUDING CATEGORIES OF USERS AND such programs and enforcing the legal THE PURPOSES OF SUCH USES: and administrative requirements of such RECORD SOURCE CATEGORIES: Disclosure of returns and return programs; (9) Disclose to the public the This system of records contains information may be made only as identities (including addresses) of investigatory material compiled for law provided by 26 U.S.C. 6103. Records electronic return originators, electronic enforcement purposes whose sources other than returns and return return preparers, electronic return need not be reported. information may be used to: (1) Disclose transmitters, and individual filing pertinent information to appropriate software developers, who have been EXEMPTIONS CLAIMED FOR THE SYSTEM: Federal, state, or foreign agencies or suspended, removed, or otherwise This system has been designated as instrumentalities responsible for disciplined. The Service may also exempt from certain provisions of the investigating or prosecuting the disclose the effective date and duration Privacy Act. violations of, or for implementing, a of the suspension, removal, or other
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disciplinary action; (10) Disclose Electronic filing providers; (2) RETRIEVABILITY: information to a court, magistrate, or informants and third party information; By social security number or administrative tribunal in the course of (3) city and state governments; (4) IRS employer identification number. presenting evidence, including and other Federal agencies; (5) SAFEGUARDS: disclosures to opposing counsel or professional organizations; (6) business witnesses in the course of civil entities; and (7) participants in Access controls will not be less than discovery, litigation, or settlement marketing efforts or who have otherwise those provided by the Automated negotiations or in connection with indicated interest in electronic filing Information System Security Handbook, criminal law proceedings or in response programs. IRM 2(10)00, and the Manager’s to a subpoena. Security Handbook, IRM 1(16)12. EXEMPTIONS CLAIMED FOR THE SYSTEM: RETENTION AND DISPOSAL: POLICIES AND PRACTICES FOR STORING, None. RETRIEVING, ACCESSING, RETAINING, AND Records are maintained in accordance DISPOSING OF RECORDS IN THE SYSTEM: Treasury/IRS 24.013 with Records Disposition Handbooks, IRM 1.15.2.1 through IRM 1.15.2.31. STORAGE: SYSTEM NAME: Paper and magnetic media. SYSTEM MANAGER(S) AND ADDRESS: Combined Account Number File, Official prescribing policies and RETRIEVABILITY: Taxpayer Services—Treasury/IRS. practices—Management Official (Wage By electronic filing provider name or SYSTEM LOCATION: and Investment and Small Business and tax identification number (SSN, EIN, Self Employed). Officials maintaining EFIN, PTIN) or document control Internal Revenue Service Centers/ the system—Internal Revenue Service number (DCN). campuses. (See IRS appendix A for Center/campus Directors. (See IRS addresses.) SAFEGUARDS: appendix A for addresses.) Access controls will not be less than CATEGORIES OF INDIVIDUALS COVERED BY THE NOTIFICATION PROCEDURE: those provided for by the Manager’s SYSTEM: Individuals seeking to determine if Security Handbook, IRM 1(16)12, and Individuals and businesses having this system of records contains a record the Automated Information System specific, current business with IRS. pertaining to themselves may inquire in Security Handbook, IRM 2.10. accordance with instructions appearing CATEGORIES OF RECORDS IN THE SYSTEM: RETENTION AND DISPOSAL: at 31 CFR part I, subpart C, appendix B. Taxpayer entity records (name, Records are maintained in accordance Inquiries should be addressed as in address, taxpayer identification number, with Records Disposition Handbook, ‘‘Record access procedures’’ above. and filing requirements related to entity IRM 1.15. liability); and tax modules (specific tax RECORD ACCESS PROCEDURES: SYSTEM MANAGER(S) AND ADDRESS: returns, tax years, and transactions Individuals seeking access to any record contained in this system of Official prescribing policies and which have been recorded relative to records may inquire in accordance with practices: Assistant Commissioner the module) when specifically requested instructions appearing at 31 CFR part 1, (Electronic Tax Administration). by a service center, or if a notice for subpart C, appendix B. Inquiries should Officials maintaining the system: balance of tax due has been issued; a be addressed to the Director of the Assistant Commissioner (Electronic Tax specific tax period is in taxpayer Internal Revenue Service Center Administration), Business Systems delinquent account status (TDA); a servicing the area in which the Modernization Executive/Chief specific tax period is either credit or individual resides. (See IRS appendix A Information Officer, or head of the IRS debit balance; no return has been posted for addresses.) office maintaining the file (See IRS and the return due date (RDD) has appendix A for addresses.) passed; or when a specific tax period is CONTESTING RECORD PROCEDURES: in taxpayer delinquent return (TDI) 26 U.S.C. 7852(e) prohibits Privacy NOTIFICATION PROCEDURE: status. Act amendment of tax records. Individuals wishing to be notified if they are named in this system of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RECORD SOURCE CATEGORIES: records, or to gain access to records 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Tax returns and other filings made by maintained in the system of records may and 7802. the individual and agency entries made inquire in accordance with instructions in the administration of the individual’s appearing at 31 CFR part 1, subpart C, PURPOSE(S): tax account. appendix B. Inquiries should be This system maintains tax account EXEMPTIONS CLAIMED FOR THE SYSTEM: addressed to the appropriate official information necessary for the efficient maintaining the system (above). resolution of accounting issues. None. Treasury/IRS 24.029 RECORD ACCESS PROCEDURES: ROUTINE USES OF RECORDS MAINTAINED IN THE See ‘‘Notification procedure’’ above. SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM NAME: THE PURPOSES OF SUCH USES: CONTESTING RECORD PROCEDURES: Individual Account Number File Disclosure of returns and return (IANF)—Treasury/IRS. 26 U.S.C. 7852(e) prohibits Privacy information may be made only as Act amendment of tax records. See SYSTEM LOCATION: provided by 26 U.S.C. 6103. ‘‘Notification procedure’’ above for Internal Revenue Service Centers. seeking amendment to records that are POLICIES AND PROCEDURES FOR STORING, (See IRS appendix A for addresses.) not tax records. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE RECORD SOURCE CATEGORIES: SYSTEM: Information in this system is obtained STORAGE: Individuals having specific, current from the following sources: (1) Disk storage. business with IRS.
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CATEGORIES OF RECORDS IN THE SYSTEM: accordance with instructions appearing transactions, and a code identifying Taxpayer entity records (name, at 31 CFR part 1, subpart C, appendix taxpayers who threatened or assaulted address, taxpayer identification number, B. Inquiries should be addressed as in IRS employees. An indicator will be and filing requirements related to entity ‘‘Record access procedures’’ below. added to any taxpayer’s account who liability); and tax modules (specific tax owes past due child and/or spousal RECORD ACCESS PROCEDURES: returns, tax years, and transactions support payments and whose name has which have been recorded relative to Individuals seeking access to any been submitted to IRS by a state under the module) when specifically requested record contained in this system of provisions of Pub. L. 97–35. by a service center, or if a notice for records may inquire in accordance with AUTHORITY FOR MAINTENANCE OF THE SYSTEM: balance of tax due has been issued; a instructions appearing at 31 CFR part 1, specific tax period is in taxpayer subpart C, appendix B. Inquiries should 5 U.S.C. 301; 26 U.S.C. 7602, 7801 delinquent account status (TDA); a be addressed to the Director of the and 7802. Internal Revenue Service Center specific tax period is either credit or PURPOSE(S): debit balance; no return has been posted servicing the area in which the To increase the efficiency of tax and the return due date (RDD) has individual resides. (See IRS appendix A administration, the IRS maintains passed; or when a specific tax period is for addresses.) records of tax returns, payments, and in taxpayer delinquent return (TDI) CONTESTING RECORD PROCEDURES: assessments including Telefile records. status. 26 U.S.C. 7852(e) prohibits Privacy ROUTINE USES OF RECORDS MAINTAINED IN THE AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Act amendment of tax records. SYSTEM, INCLUDING CATEGORIES OF USERS AND 5 U.S.C. 301; 26 U.S.C. 7602, 7801 RECORD SOURCE CATEGORIES: THE PURPOSES OF SUCH USES: and 7802. Tax returns and other filings made by Disclosure of returns and return PURPOSE(S): the individual and agency entries made information may be made only as in the administration of the individual’s provided by (1) 26 U.S.C. 3406, and (2) This system maintains records tax account. 26 U.S.C. 6103. necessary to efficiently identify individuals having specific current EXEMPTIONS CLAIMED FOR THE SYSTEM: POLICIES AND PROCEDURES FOR STORING, business with the IRS. None. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE Treasury/IRS 24.030 SYSTEM, INCLUDING CATEGORIES OF USERS AND STORAGE: THE PURPOSES OF SUCH USES: SYSTEM NAME: Magnetic media. Disclosure of returns and return CADE Individual Master File (IMF)— information may be made only as Treasury/IRS. RETRIEVABILITY: provided by 26 U.S.C. 6103. By taxpayer identification number SYSTEM LOCATION: (social security number or employer POLICIES AND PROCEDURES FOR STORING, Martinsburg Computing Center, identification number), document RETRIEVING, ACCESSING, RETAINING, AND Martinsburg, West Virginia 25401, and locator numbers and alphabetically by DISPOSING OF RECORDS IN THE SYSTEM: IRS Service Centers. name. STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE SAFEGUARDS: Disk storage. SYSTEM: Access controls will not be less than RETRIEVABILITY: Individuals who file and/or are those provided by the Automated included on Federal Individual Income By social security number. Information System Security Handbook, Tax Returns (i.e., Forms 1040, 1040A, IRM 2(10)00, and the Manager’s SAFEGUARDS: and 1040EZ); individuals who file other Security Handbook, IRM 1(16)12. Access controls will not be less than information filings; and power of those provided by the Automated attorney notifications for individuals. RETENTION AND DISPOSAL: Records are maintained in accordance Information System Security Handbook, CATEGORIES OF RECORDS IN THE SYSTEM: with Records Disposition Handbooks, IRM 2(10)00, and the Manager’s Taxpayer entity records (name, Security Handbook, IRM 1(16)12. IRM 1.15.2.1 through IRM 1.15.2.31. address, identification number (SSN), Generally, the code identifying RETENTION AND DISPOSAL: and other indicators pertaining to entity taxpayers who threatened or assaulted Records are maintained in accordance maintenance, including zip code), and IRS employees may be removed five with Records Disposition Handbooks, tax modular records which contain all years after initial input. IRM 1.15.2.1 through IRM 1.15.2.31. records relative to specific tax returns for each applicable tax period or year. SYSTEM MANAGER(S) AND ADDRESS: SYSTEM MANAGER(S) AND ADDRESS: Modular records for authorization Official prescribing policies and Official prescribing policies and information (name, address, practices—Commissioner practices—management official (Wage identification number and type of (Commissioner, Wage and Investment). and Investment and Small Business Self authority granted, and the name of the Officials maintaining the system— Employed). Officials maintaining the representative(s) for the taxpayer. Internal Revenue Service Center system—Internal Revenue Service Modular records for the representative /Campus Directors and the Director, Center Directors. (See IRS appendix A (name, address and unique Martinsburg Computing Center. (See IRS for addresses.) identification number). Recorded here appendix A for addresses.) are tax transactions such as tax amount, NOTIFICATION PROCEDURE: additions, abatements of tax payments, NOTIFICATION PROCEDURE: Individuals seeking to determine if interest and like type transactions Individuals seeking to determine if this system of records contains a record recorded relative to each tax module, this system of records contains a record pertaining to themselves may inquire in power or attorney authorization pertaining to themselves may inquire in
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accordance with instructions appearing tax modules which are all the records NOTIFICATION PROCEDURE: at 31 CFR part 1, subpart C, appendix relative to specific tax returns for each Individuals seeking to determine if B. Inquiries should be addressed as in applicable tax period. Recorded are tax this system of records contains a record ‘‘Record access procedures’’ below. transactions such as tax amount, pertaining to themselves may inquire in statements/additions to tax, payments, accordance with instructions appearing RECORD ACCESS PROCEDURES: interest and like type transactions at 31 CFR part I, subpart C, appendix B. Individuals seeking access to any relative to each tax module. The Inquiries should be addressed as in record contained in this system of Employer Identification Number (EIN)/ ‘‘Record access procedures’’ below. records may inquire in accordance with Name Control file which contains EINs instructions appearing at 31 CFR part 1, and the associated IRS name controls. RECORD ACCESS PROCEDURES: subpart C, appendix B. Inquiries should Individuals seeking access to any be addressed to the Area Director or the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: record contained in this system of Internal Revenue Service Center/ 5 U.S.C. 301; 26 U.S.C. 7602, 7801 records may inquire in accordance with Campus Director servicing the area in and 7802. instructions appearing at 31 CFR part 1, which the individual resides. (See IRS subpart C, appendix B. Inquiries should appendix A for addresses.) PURPOSE(S): be addressed to the Director of the Internal Revenue Service Center CONTESTING RECORD PROCEDURES: To increase the efficiency of tax administration, the Service maintains servicing the area in which the 26 U.S.C. 7852(e) prohibits Privacy individual resides. (See IRS appendix A Act amendment of tax records. magnetic media records of tax returns filed by business taxpayers, and for addresses.) RECORD SOURCE CATEGORIES: payments and assessments made to the CONTESTING RECORD PROCEDURES: Tax returns and other filings made by accounts. 26 U.S.C. 7852(e) prohibits Privacy the individual and agency entries made Act amendment of tax records. in the administration of the individual’s ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND tax account. RECORD SOURCE CATEGORIES: THE PURPOSES OF SUCH USES: Tax returns and other filings made by EXEMPTIONS CLAIMED FOR THE SYSTEM: Disclosure of returns and return the individual and agency entries made None. information may be made as provided in the administration of the individual’s by 26 U.S.C. 6103, and for meeting the Treasury/IRS 24.046 tax account. requirements of 26 U.S.C. 3406. 26 SYSTEM NAME: U.S.C. 3406 provides, in part, that the EXEMPTIONS CLAIMED FOR THE SYSTEM: CADE Business Master File (BMF)— Secretary of the Treasury notify a payor None. Treasury/IRS. that the TIN (Taxpayer Identification Number) furnished by the payee is Treasury/IRS 24.047 SYSTEM LOCATION: incorrect. SYSTEM NAME: Martinsburg Computing Center, Martinsburg, West Virginia 25401, POLICIES AND PROCEDURES FOR STORING, Audit Underreporter Case File- Cincinnati Service Center, 201 West RETRIEVING, ACCESSING, RETAINING, AND Treasury/IRS. DISPOSING OF RECORDS IN THE SYSTEM: River Center Blvd., Covington, KY SYSTEM LOCATION: 41019; Memphis Service Center/ STORAGE: Internal Revenue Service Centers and Campus, 3131 Democrat Road, Magnetic media. Martinsburg Computing Center. (See IRS Memphis, TN 38118; and Ogden Service appendix A for addresses.) Center/Campus, 1160 West 1200 South RETRIEVABILITY: Street, Ogden, UT 84201, and other IRS By name, type of tax, and identifying CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Service Centers. (See IRS appendix A number (including document locator for addresses.) number). Recipients of income who appear not to have declared on their income tax CATEGORIES OF INDIVIDUALS COVERED BY THE SAFEGUARDS: returns (Forms 1040, 1040A, and SYSTEM: Access Controls will not be less than 1040EZ) all income paid to them in the Persons in a sole proprietary role who tax year under study. file business tax returns, including those provided by the Automated Employer’s Quarterly Federal Tax Information System Security Handbook, CATEGORIES OF RECORDS IN THE SYSTEM: IRM 2(10)00, and the Manager’s Returns (Form 941), Excise Tax Returns Records maintained are taxpayer (i.e., Security Handbook, IRM 1(16)12. (Form 720), Wagering Returns (Forms payee) entity records containing payee 11C and 730), Highway Use Returns RETENTION AND DISPOSAL: name, address, taxpayer identification (Form 2290), and Form 1065 (U.S. number, and other indicators relating to Records are maintained in accordance Partnership Returns of Income), and entity maintenance; and income records with Records Disposition Handbooks, U.S. Fiduciary Returns (Form 1041) and containing the types and amounts of IRM 1.15.2.1 through IRM 1.15.2.31. Estate and Gift Taxes (Forms 706, income received/reported, and 706NA, and 709). The latter can be SYSTEM MANAGER(S) AND ADDRESS: information identifying the income individuals not in a sole proprietorship payer. role. Official prescribing policies and practices—Management Official—Small AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CATEGORIES OF RECORDS IN THE SYSTEM: Business Self Employed. Officials 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Taxpayer entity records (name, maintaining the system—Internal and 7802. address, taxpayer identification number Revenue Service Center/Campus (TIN) which may be either EIN or SSN, Directors, and the Director, Martinsburg PURPOSE(S): and other indicators pertaining to entity Computing Center. (See IRS appendix A These records provide a way to maintenance, including zip code), and for addresses.) identify recipients of income who
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appear not to have declared all taxable SYSTEM LOCATION: RECORD ACCESS PROCEDURES: income paid to them in the tax year Martinsburg Computing Center, Individuals seeking access to any under study. Martinsburg, West Virginia 25401. record contained in this system of records may inquire in accordance with ROUTINE USES OF RECORDS MAINTAINED IN THE CATEGORIES OF INDIVIDUALS COVERED BY THE instructions appearing at 31 CFR part 1, SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM: THE PURPOSE OF SUCH USES: subpart C, appendix B. Inquiries should Individuals who have delinquent be addressed to the Area Director or the Disclosure of returns and return obligations to a Federal or State agency. Internal Revenue Service Center information may be made only as Director servicing the area in which the provided by 26 U.S.C. 6103. CATEGORIES OF RECORDS IN THE SYSTEM: individual resides. (See IRS appendix A POLICIES AND PRACTICES FOR STORING, Entity records (names and social for addresses.) RETRIEVING, ACCESSING, RETAINING, AND security numbers), the amount owed by CONTESTING RECORD PROCEDURES: DISPOSING OF RECORDS IN THE SYSTEM: the individual, the name of the Federal Individuals seeking to contest any STORAGE: or State agency to whom the debt is owed and a cross-reference number record contained in this system of Magnetic media. (SSN) of the spouse in the case of a records must contact the agency to RETRIEVABILITY: jointly filed return. whom the debt is owed. By matching social security number RECORD SOURCE CATEGORIES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: and name control. Names, SSNs, and obligation amounts 5 U.S.C. 301; 26 U.S.C. 6305, 6402(c) are supplied by the Federal or state SAFEGUARDS: and 6402(d); 31 U.S.C. 3720A. agency to whom the delinquent Access controls will not be less than obligation is owed. those provided by the Automated ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND Information System Security Handbook, EXEMPTIONS CLAIMED FOR THE SYSTEM: THE PURPOSES OF SUCH USES: IRM 2(10)00. None. Disclosure of returns and return RETENTION AND DISPOSAL: information may be made only as Treasury/IRS 26.001 Records are maintained in accordance provided by 26 U.S.C. 6103. SYSTEM NAME: with Records Disposition Handbooks, IRM 1.15.2.1 through IRM 1.15.2.31. POLICIES AND PROCEDURES FOR STORING, Acquired Property Records-Treasury/ RETRIEVING, ACCESSING, RETAINING, AND Generally, records are retained for one IRS. DISPOSING OF RECORDS IN THE SYSTEM: year and then magnetically erased. SYSTEM LOCATION: STORAGE: SYSTEM MANAGER(S) AND ADDRESS: Area Offices. (See IRS appendix A for Magnetic tape and disk file. addresses.) Official prescribing policies and practices—Executive Officer for RETRIEVABILITY: CATEGORIES OF INDIVIDUALS COVERED BY THE Customer Service, National Office. By name, address, and social security SYSTEM: Officials maintaining the system— number. Delinquent taxpayers whose property Internal Revenue Service Center/ has been acquired by purchase by Campus Directors. (See IRS appendix A SAFEGUARDS: government or right of redemption. for addresses.) Access controls will not be less than CATEGORIES OF RECORDS IN THE SYSTEM: those provided by the Automated NOTIFICATION PROCEDURE: Taxpayer name, address, taxpayer Information System Security Handbook, This system of records may not be identification number, revenue officer IRM 2(10)00. accessed for purposes of determining if reports. the system contains a record pertaining RETENTION AND DISPOSAL: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: to a particular individual. The information is kept for one year 5 U.S.C. 301; 26 U.S.C. 7801 and RECORD ACCESS PROCEDURES: and then destroyed. A new Debtor 7802. This system of records may not be Master File is established each year. PURPOSE(S): accessed for purpose of inspection or for SYSTEM MANAGER(S) AND ADDRESS: contest of content of records. The system tracks property acquired Officials prescribing policies and under Internal Revenue Code section CONTESTING RECORD PROCEDURES: practices—Commissioner (Wage and 6334 to provide fiscal accountability. Investment and Small Business Self 26 U.S.C. 7852(e) prohibits Privacy ROUTINE USES OF RECORDS MAINTAINED IN THE Employeds) and Commissioner Act amendment of tax records. SYSTEM, INCLUDING CATEGORIES OF USERS AND (Information Systems Management). THE PURPOSES OF SUCH USES: RECORD SOURCE CATEGORIES: Officials maintaining the system- Disclosure of returns and return Information returns filed by payers Director, Submission Processing information may be made only as and Forms 1040, 1040A, and 1040EZ. Division. (See IRS appendix A for provided by 26 U.S.C. 6103. addresses.) EXEMPTIONS CLAIMED FOR THE SYSTEM: POLICIES AND PROCEDURES FOR STORING, This system has been designated as NOTIFICATION PROCEDURE: RETRIEVING, ACCESSING, RETAINING, AND exempt from certain provisions of the Individuals seeking to determine if DISPOSING OF RECORDS IN THE SYSTEM: Privacy Act. this system of records contains a record STORAGE: Treasury/IRS 24.070 pertaining to themselves may inquire in Paper records and magnetic media. accordance with instructions appearing SYSTEM NAME: at 31 CFR part I, subpart C, appendix B. RETRIEVABILITY: Debtor Master File (DMF)—Treasury/ Inquiries should be addressed as in By taxpayer name, taxpayer IRS. ‘‘Record access procedures’’ below. identification number (social security
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number or employer identification CATEGORIES OF RECORDS IN THE SYSTEM: SAFEGUARDS: number), seizure number. Contains taxpayer name, current and Access controls will not be less than those provided by the Automated SAFEGUARDS: former addresses, taxpayer identifying number, if known. Contains the Information System Security Handbook, Access controls will not be less than information, including class of tax, if IRM 2(10)00, and the Manager’s those provided by the Automated applicable, or information concerning Security Handbook, IRM 1(16)12. Information System Security Handbook, the action desired to be taken. The name IRM 2(10)00, and the Manager’s RETENTION AND DISPOSAL: and address of party that was contacted, Security Handbook, IRM 1(16)12. Records are maintained in accordance chronological investigative history and/ with Records Disposition Handbooks, RETENTION AND DISPOSAL: or information secured. The following IRM 1.15.2.1 through IRM 1.15.2.31. Records are maintained in accordance types of investigations are included in with Records Disposition Handbooks, this system: Form SSA–1273 cases— SYSTEM MANAGER(S) AND ADDRESS: IRM 1.15.2.1 through IRM 1.15.2.31. Notice of determination of FICA Official prescribing policies and wages—issued when SSA obtains practices—Assistant Commissioner (SB/ SYSTEM MANAGER(S) AND ADDRESS: evidence that wages paid to claimant SE, W&I, LMSB). Officials maintaining Official prescribing policies and have not been recorded on his earnings the system—Area Directors, and Internal practices—Assistant Commissioner (SB/ record; requests for data needed in proof Revenue Service Center/Campus SE, W&I, LMSB). Officials maintaining of claim cases; applications for Directors. (See IRS appendix A for the system—Area Directors. (See IRS discharge of property from tax lien; addresses.) appendix A for addresses.) service of tax court subpoenas; NOTIFICATION PROCEDURE: complaints of employers failing to NOTIFICATION PROCEDURE: provide withholding statements; This system of records may not be This system of records may not be recovery of unassessable erroneous accessed for purposes of determining if accessed for purposes of determining if refunds; Form SSA–7010 cases— the system contains a record pertaining the system contains a record pertaining Request for preferential investigation. to a particular individual. to a particular individual. This is a request for preferential RECORD ACCESS PROCEDURES: treatment (over other SSA cases) on an RECORD ACCESS PROCEDURES: This system of records may not be earning discrepancy case. Secure This system of records may not be accessed for purposes of inspection or application for exemption from self- for contest of content of records. accessed for purposes of inspection or employment tax. Offers in compromise for contest of content of records. and related activities; i.e., follow-up on CONTESTING RECORD PROCEDURES: CONTESTING RECORD PROCEDURES: defaulted installments, secure payments 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. 26 U.S.C. 7852(e) prohibits Privacy on collateral agreements, etc. Maximize compliance with withholding Act amendment of tax records. RECORD SOURCE CATEGORIES: requirements on alien’s earnings; other This system of records contains RECORD SOURCE CATEGORIES: miscellaneous uses. investigatory material compiled for law This system of records contains AUTHORITY FOR MAINTENANCE OF THE SYSTEM: enforcement purposes whose sources investigatory material compiled for law need not be reported. enforcement purposes whose sources 5 U.S.C. 301; 26 U.S.C. 7801 and need not be reported. 7802. EXEMPTIONS CLAIMED FOR THE SYSTEM: This system has been designated as EXEMPTIONS CLAIMED FOR THE SYSTEM: PURPOSE(S): exempt from certain provisions of the This system has been designated as The Form 2209 system provides a Privacy Act. exempt from certain provisions of the record of the nature of the investigation Treasury/IRS 26.008 Privacy Act. and to whom the investigation is Treasury/IRS 26.006 assigned. It also provides a method of SYSTEM NAME: follow-up to ensure investigations are IRS and Treasury Employee SYSTEM NAME: accomplished in a timely manner. Delinquency-Treasury/IRS. Form 2209, Courtesy Investigations- SYSTEM LOCATION: Treasury/IRS. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND National Office, Area Offices, Area SYSTEM LOCATION: THE PURPOSES OF SUCH USES: Offices and Internal Revenue Service Area Offices, Internal Revenue Disclosure of returns and return Centers. (See IRS appendix A for Service Centers. (See IRS appendix A information may be made only as addresses.) for addresses.) provided by 26 U.S.C. 6103. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE POLICIES AND PROCEDURES FOR STORING, SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND IRS and Treasury employees who are Taxpayers on whom a delinquent DISPOSING OF RECORDS IN THE SYSTEM: shown on the Master File as delinquent account or delinquency or other in meeting Federal tax requirements. STORAGE: investigation is or was located in one CATEGORIES OF RECORDS IN THE SYSTEM: Paper records and magnetic media. IRS area offices, but the individual is Taxpayer name, social security now living or has assets located in the RETRIEVABILITY: number, address, fact of IRS or Treasury jurisdiction of another IRS Area office. employment code, Area location code. Taxpayers on whom an investigation Retrievable by taxpayer name and has been initiated for purposes of taxpayer identification number (social AUTHORITY FOR MAINTENANCE OF THE SYSTEM: securing information necessary for security number or employer 5 U.S.C. 301; 26 U.S.C. 7801 and federal tax administration purposes. identification number). 7802.
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PURPOSE(S): EXEMPTIONS CLAIMED FOR THE SYSTEM: POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND This system enables the IRS to secure This system has been designated as DISPOSING OF RECORDS IN THE SYSTEM: documentation concerning the exempt from certain provisions of the resolution of balance due and return Privacy Act. STORAGE: delinquency cases concerning IRS Paper records and magnetic media. employees. This documentation may be Treasury/IRS 26.009 used to support conduct investigations. RETRIEVABILITY: SYSTEM NAME: By taxpayer name and taxpayer ROUTINE USES OF RECORDS MAINTAINED IN THE Lien Files (Open and Closed)- identification number (social security SYSTEM, INCLUDING CATEGORIES OF USERS AND Treasury/IRS. THE PURPOSES OF SUCH USES: number or employer identification number). Disclosure of returns and return SYSTEM LOCATION: information may be made only as Area Offices and the Internal Revenue SAFEGUARDS: provided by 26 U.S.C. 6103. Service Centers. (See IRS appendix A Access controls will not be less than for addresses.) those provided by the Automated POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND Information System Security Handbook, CATEGORIES OF INDIVIDUALS COVERED BY THE DISPOSING OF RECORDS IN THE SYSTEM: IRM 2(10)00, and the Manager’s SYSTEM: Security Handbook, IRM 1(16)12. STORAGE: Taxpayers on whom Federal tax liens Paper records and magnetic media. have been filed. RETENTION AND DISPOSAL: Records are maintained in accordance RETRIEVABILITY: CATEGORIES OF RECORDS IN THE SYSTEM: with Records Disposition Handbooks, By taxpayer name and taxpayer Taxpayer name, address, taxpayer IRM 1.15.2.1 through IRM 1.15.2.31. identification number (social security identification number, information SYSTEM MANAGER(S) AND ADDRESS: number or employer identification about basis of assessment including number). class of tax, period, dollar amount. Official prescribing policies and practices—Assistant Commissioner (SB/ SAFEGUARDS: Open and closed Federal tax liens including: Certificates of Discharge of SE, W&I, LMSB). Officials maintaining Access controls will not be less than Property from Federal Tax Lien; the system—Assistant Commissioner those provided by the Automated Certificates of Subordination; (SB/SE, W&I, LMSB), Regional Information System Security Handbook, Certificates of Non-Attachment; Exercise Commissioners, Area Directors and IRM 2(10)00, and the Manager’s of Government’s Right of Redemption of Internal Revenue Service Center Security Handbook, IRM 1(16)12. Seized Property; Releases of Directors. (See IRS appendix A for addresses.) RETENTION AND DISPOSAL: Government’s Right of Redemption. Federal tax lien information entered in NOTIFICATION PROCEDURE: Records are maintained in accordance Treasury Enforcement Communications Individuals seeking to determine if with Records Disposition Handbooks, System. IRM 1.15.2.1 through IRM 1.15.2.31. this system of records contains a record AUTHORITY FOR MAINTENANCE OF THE SYSTEM: pertaining to themselves may inquire in SYSTEM MANAGER(S) AND ADDRESS: accordance with instructions appearing Official prescribing policies and 5 U.S.C. 301; 26 U.S.C. 6323, 7801 at 31 CFR Part 2, Subpart C, Appendix practices—Assistant Commissioner (SB/ and 7802. B. Inquires should be addressed as in SE, W&I, LMSB). Officials maintaining PURPOSE(S): ‘‘Record access procedures’’ below. the system—Assistant Commissioner (SB/SE, W&I, LMSB), Regional To identify those taxpayers on whom RECORD ACCESS PROCEDURES: Commissioners, Area Directors, Internal a Federal tax lien, discharge, or Individuals seeking access to any Revenue Service Center Directors. (See subordination on lien attachment has record contained in this system of IRS appendix A for addresses.) been filed. The file also provides notice records may inquire in accordance with to the public that the Federal instructions appearing at 31 CFR part 1, NOTIFICATION PROCEDURE: Government has an interest in property subpart C, appendix B. Inquiries should This system of records may not be or rights to the property of the identified be addressed to the Area Director of accessed for purposes of determining if taxpayer. Further, the file also provides each Area where records are to be the system contains a record pertaining evidence that the lien has been released, searched. (See IRS appendix A for to a particular individual. a specific piece of property has been addresses.) This system contains copies discharged and the government has of public records, the originals of which RECORD ACCESS PROCEDURES: obtained its interest in the property, or are filed in accordance with the laws of This system of records may not be a subordination has been granted and each state, the Area of Columbia, the accessed for purposes of inspection or the government has taken a junior lien Commonwealth of Puerto Rico, or for contest of content of records. position, or a certification of possessions of the United States. nonattachment has been issued. CONTESTING RECORD PROCEDURES: CONTESTING RECORD PROCEDURES: 26 U.S.C. 7852(e) prohibits Privacy ROUTINE USES OF RECORDS MAINTAINED IN THE 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. SYSTEM, INCLUDING CATEGORIES OF USERS AND Act amendment of tax records. THE PURPOSES OF SUCH USES: RECORD SOURCE CATEGORIES: Disclosure of returns and return RECORD SOURCE CATEGORIES: This system of records contains information may be made only as Tax returns and other filings made by investigatory material compiled for law provided by 26 U.S.C. 6103. Notices of the individual and agency entries made enforcement purposes whose sources lien and the index thereto are available in the administration of the individual’s need not be reported. to the public. tax account.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: SAFEGUARDS: about basis of assessment, including None. Access controls will not be less than class of tax, period, and dollar amount. those provided by the Automated This file includes: Suit to Reduce Tax Treasury/IRS 26.010 Information System Security Handbook, Claim to Judgement; Suit for Failure to SYSTEM NAME: IRM 2(10)00, and the Manager’s Honor a Levy; Suit to Enforce Federal Lists of Prospective Bidders at Security Handbook, IRM 1(16)12. Tax Lien; Suit Against Transferee; Suit to Set Aside Fraudulent Transfer; Suit to Internal Revenue Sales of Seized RETENTION AND DISPOSAL: Property—Treasury/IRS. Recover Erroneous Refund; other suits Records are maintained in accordance include those which the United States SYSTEM LOCATION: with Records Disposition Handbooks, may intervene to assert a Federal tax Area Offices. (See IRS appendix A for IRM 1.15.2.1 through IRM 1.15.2.31. lien; a proceeding to require opening of addresses.) SYSTEM MANAGER(S) AND ADDRESS: a safe deposit box, etc. The following Categories of individuals covered by suits against the United States are also the system: Official prescribing policies and included in this file: Quiet Title Suit; Individuals who have requested that practices—Assistant Commissioner (SB/ Foreclosure of Mortgage or other Lien; they be notified of Internal Revenue SE, W&I, LMSB). Officials maintaining Partition; Condemnation; Interpleader; sales of seized property. the system-Area Directors. (See IRS Refund Suits Involving Trust Fund appendix A for addresses.) Notification CATEGORIES OF RECORDS IN THE SYSTEM: Recovery Penalty Assessments; procedure: Injunction Suits under Freedom of Name and address and phone number Individuals seeking to determine if Information Act. Also included in (if provided). this system of records contains a record Litigation Files are: Individuals against pertaining to themselves may inquire in AUTHORITY FOR MAINTENANCE OF THE SYSTEM: whom bankruptcy proceedings are accordance with instructions appearing pending; decedent estates in probate 5 U.S.C. 301; 26 U.S.C. 7801 and at 31 CFR part 1, subpart C, appendix with outstanding Federal tax liabilities; 7802. B. Inquiries should be addressed as in individuals executing Assignments for ‘‘Record access procedures’’ below. PURPOSE(S): the Benefit of Creditors; individuals in This system provides an up-to-date RECORD ACCESS PROCEDURES: Receivership Proceedings; individuals list of prospective bidders that may be Individuals seeking access to any conducting a bulk sale; summons notified when the IRS has seized record contained in this system of referrals; subpoena files; advisory property that is going to sale. records, or seeking to contest its opinions; collateral security agreements; Notification of prospective bidders is content, may inquire in accordance with revenue officer reports; and various done to enhance the possibility of instructions appearing at 31 CFR part 1, other legal instruments and obtaining a higher price for the subpart C, appendix B. Inquiries should correspondence. property. be addressed to the Director of the Area Routine uses of records maintained in AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Office servicing the area in which the the system, including categories of users 5 U.S.C. 301; 26 U.S.C. 7801 and individual resides. (See IRS appendix A and the purposes of such uses: 7802. Disclosure of returns and return for addresses.) Contesting record PURPOSE(S): information may be made only as procedures: See ‘‘Record access procedures’’ provided by 26 U.S.C. 6103. Records The purpose of the system is to above. other than returns and return maintain a record of all categories of information may be used to: (1) Disclose RECORD SOURCE CATEGORIES: suits filed either by the taxpayer against pertinent information to appropriate the government or the government Supplied voluntarily by the subject against the taxpayer. Federal, State, local, or foreign agencies prospective bidder. responsible for investigating or ROUTINE USES OF RECORDS MAINTAINED IN THE prosecuting the violations of, or for EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM, INCLUDING CATEGORIES OF USERS AND enforcing or implementing, a statute, None. THE PURPOSES OF SUCH USES: rule, regulation, order, or license, where Treasury/IRS 26.011 Disclosure of returns and return the disclosing agency becomes aware of information may be made only as an indication of a violation or potential SYSTEM NAME: provided by 26 U.S.C. 6103. violation of civil or criminal law or Litigation Case Files-Treasury/IRS. regulation; (2) disclose relevant, non- POLICIES AND PRACTICES FOR STORING, privileged information to a court, SYSTEM LOCATION: RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: magistrate, or administrative tribunal Area Offices and Internal Revenue including the presentation of evidence, Service Centers/Campuses. (See IRS STORAGE: including disclosures to opposing appendix A for addresses.) Paper records and magnetic media. counsel or witnesses in the course of civil discovery, litigation, or settlement CATEGORIES OF INDIVIDUALS COVERED BY THE RETRIEVABILITY: SYSTEM: negotiations, in response to a subpoena, By taxpayer name, taxpayer or in connection with criminal law Taxpayers on whom Federal tax identification number (social security proceedings. assessments have been made but against number or employer identification Policies and practices for storing, whom litigation has been initiated or is number). being considered by the government or retrieving, accessing, retaining, and SAFEGUARDS: disposing of records in the system: who have instituted suits against the Storage: government. Access controls will not be less than Paper records and magnetic media. those provided by the Automated CATEGORIES OF RECORDS IN THE SYSTEM: Information System Security Handbook, RETRIEVABILITY: Taxpayer name, address, taxpayer IRM 2(10)00, and the Manager’s By name of prospective bidder. identification number, information Security Handbook, IRM 1(16)12.
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RETENTION AND DISPOSAL: statements, tax return copies, and other need not be reported. If an offer is Records are maintained in accordance information submitted by the taxpayer. accepted, an Abstract and Statement with Records Disposition Handbooks, which identifies the taxpayer, the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: IRM 1.15.2.1 through IRM 1.15.2.31. liability, the amount compromised and 5 U.S.C. 301; 26 U.S.C. 7801 and the basic circumstances of the case is SYSTEM MANAGER(S) AND ADDRESS: 7802. made available for public inspection in Official prescribing policies and PURPOSE(S): accordance with Executive Order 10386 practices—Commissioner (SB/SE or and Executive Order 10906. W&I,or LMSB), Officials maintaining the These records are used to control offer system—Area Directors. (See IRS in compromise cases. EXEMPTIONS CLAIMED FOR THE SYSTEM: This system has been designated as appendix A for addresses.) ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND exempt from certain provisions of the NOTIFICATION PROCEDURE: THE PURPOSES OF SUCH USES: Privacy Act. This system of records may not be Disclosure of returns and return accessed for purposes of determining if Treasury/IRS 26.013 information may be made only as the system contains a record pertaining provided by 26 U.S.C. 6103. This SYSTEM NAME: to a particular individual. includes disclosure to the extent Trust Fund Recovery Cases/One RECORD ACCESS PROCEDURES: necessary to permit public inspection of Hundred Percent Penalty Cases- This system of records may not be any accepted offer-in-compromise as Treasury/IRS. accessed for purposes of inspection or required by 26 U.S.C. 6103(k)(1). SYSTEM LOCATION: for contest of content of records. POLICIES AND PRACTICES FOR STORING, Area Offices, Internal Revenue RETRIEVING, ACCESSING, RETAINING, AND CONTESTING RECORD PROCEDURES: Service Centers. (See IRS appendix A DISPOSING OF RECORDS IN THE SYSTEM: for addresses.) 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE Paper records and magnetic media. SYSTEM: RECORD SOURCE CATEGORIES: Individuals against whom Federal tax RETRIEVABILITY: This system of records contains assessments have been made or are investigatory material compiled for law By taxpayer name and identification being considered as a result of their enforcement purposes whose sources number. being deemed responsible for payment need not be reported. SAFEGUARDS: of unpaid corporation withholding taxes EXEMPTIONS CLAIMED FOR THE SYSTEM: Access controls will not be less than and social security contributions. This system has been designated as those provided by the Automated CATEGORIES OF RECORDS IN THE SYSTEM: exempt from certain provisions of the Information System Security Handbook, Taxpayer name, address, taxpayer Privacy Act. IRM 2(10)00, and the Manager’s identification number, information Security Handbook, IRM 1(16)12. Treasury/IRS 26.012 about basis of assessment, including RETENTION AND DISPOSAL: class of tax, period, dollar figures, SYSTEM NAME: Records are maintained in accordance waiver extending the period for Offer in Compromise (OIC) File- with Records Disposition Handbooks, asserting the 100-percent penalty/Trust Treasury/IRS. IRM 1.15.2.1 through IRM 1.15.2.31. Fund Recovery penalty (if any) and correspondence. SYSTEM LOCATION: SYSTEM MANAGER(S) AND ADDRESS: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Area offices, Area Offices, Internal Official prescribing policies and 5 U.S.C. 301; 26 U.S.C. 7801 and Revenue Service and computing practices—Assistant Commissioner (SB/ 7802. Centers. (See IRS appendix A for SE, W&I, LMSB). Officials maintaining addresses.) the system—Area Directors and Internal PURPOSE(S): CATEGORIES OF INDIVIDUALS COVERED BY THE Revenue Service Center Directors. (See This system provides a record of all SYSTEM: IRS appendix A for addresses.) Trust Fund Recovery Penalty cases made under 26 U.S.C. 6672. Taxpayers who have submitted an NOTIFICATION PROCEDURE: offer to compromise a liability imposed This system of records may not be ROUTINE USES OF RECORDS MAINTAINED IN THE by the Internal Revenue Code. accessed for purposes of determining if SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: CATEGORIES OF RECORDS IN THE SYSTEM: the system contains a record pertaining Disclosure of returns and return Form 2515, used to control offer to a particular individual. information may be made only as cases, contains space for entering RECORD ACCESS PROCEDURES: provided by 26 U.S.C. 6103. taxpayer name, address, taxpayer This system of records may not be identification number, and all other accessed for purposes of inspection or POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND pertinent information for identifying for contest of content of records. and assigning the OIC investigation. The DISPOSING OF RECORDS IN THE SYSTEM: file contains all records, documents, CONTESTING RECORD PROCEDURES: STORAGE: reports and work papers relating to the 26 U.S.C. 7852(e) prohibits Privacy Paper records and magnetic media. assignment, investigation, review and Act amendment of tax records. adjudication of the offer. This includes RETRIEVABILITY: such items as the original offer, results RECORD SOURCE CATEGORIES: By individual, or corporation name, of property records checks, interviews This system of records contains taxpayer identification number (social with third parties and the taxpayer, investigatory material compiled for law security number or employer collateral income agreements, financial enforcement purposes whose sources identification number).
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SAFEGUARDS: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CONTESTING RECORD PROCEDURES: Access controls will not be less than 5 U.S.C. 301; 26 U.S.C. 7801 and 26 U.S.C. 7852(e) prohibits Privacy those provided by the Automated 7802. Act amendment of tax records. Information System Security Handbook, PURPOSE(S): IRM 2(10)00, and the Manager’s RECORD SOURCE CATEGORIES: Security Handbook, IRM 1(16)12. This system provides a record of all This system of records evidences sales under 26 U.S.C. 6335 of real chain of title to real property and is a RETENTION AND DISPOSAL: property as required by 26 U.S.C. 6390. matter of public record. (See ‘‘Categories Records are maintained in accordance The contents of this system of records of records in the system’’ above). with Records Disposition Handbooks, evidences chain of title to real property IRM 1.15.2.1 through IRM 1.15.2.31. and is a matter of public record. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. SYSTEM MANAGER(S) AND ADDRESS: ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND Treasury/IRS 26.016 Official prescribing policies and THE PURPOSES OF SUCH USES: practices: Assistant Commissioner (SB/ SYSTEM NAME: SE, W&I, LMSB). Officials maintaining Disclosure of returns and return Returns Compliance Programs- the system: Area Directors, Internal information may be made only as Treasury/IRS. Revenue Service Center Directors. (See provided by 26 U.S.C. 6103. IRS appendix A for addresses.) POLICIES AND PRACTICES FOR STORING, SYSTEM LOCATION: RETRIEVING, ACCESSING, RETAINING, AND NOTIFICATION PROCEDURE: Area Offices and Internal Revenue DISPOSING OF RECORDS IN THE SYSTEM: Service Centers. (See IRS appendix A This system of records may not be STORAGE: for addresses.) accessed for purposes of determining if Paper records and magnetic media. the system contains a record pertaining CATEGORIES OF INDIVIDUALS COVERED BY THE to a particular individual. RETRIEVABILITY: SYSTEM: Taxpayers who may be delinquent in RECORD ACCESS PROCEDURES: By taxpayer name, taxpayer identification number (social security filing or paying Federal taxes. This system of records may not be number or employer identification accessed for purposes of inspection or CATEGORIES OF RECORDS IN THE SYSTEM: number) and seizure number. for contest of content of records. Records consist of name, address, SAFEGUARDS: taxpayer identification number (if CONTESTING RECORD PROCEDURES: Access controls will not be less than known) and information concerning the 26 U.S.C. 7852(e) prohibits Privacy those provided by the Automated potential tax liability. Returns Act amendment of tax records. Information System Security Handbook, Compliance Programs involve any type RECORD SOURCE CATEGORIES: IRM 2(10)00, and the Manager’s of Federal tax administered by the SB/ SE, W&I, LMSB Division and are This system of records contains Security Handbook, IRM 1(16)12. conducted in accordance with section investigatory material compiled for law RETENTION AND DISPOSAL: 7601 of the Internal Revenue Code. RCP enforcement purposes whose sources Records are maintained in accordance programs can be initiated by the need not be reported. with Records Disposition Handbooks, National Office, Area offices, or by EXEMPTIONS CLAIMED FOR THE SYSTEM: IRM 1.15.2.1 through IRM 1.15.2.31. individual areas.
This system has been designated as SYSTEM MANAGER(S) AND ADDRESS: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: exempt from certain provisions of the Official prescribing policies and 5 U.S.C. 301; 26 U.S.C. 7801 and Privacy Act. practices—Assistant Commissioner (SB/ 7802. Treasury/IRS 26.014 SE, W&I, LMSB); Officials maintaining the system—Area Directors. (See IRS PURPOSE(S): SYSTEM NAME: appendix A for addresses.) This program identifies individuals Record 21, Record of Seizure and Sale who may be delinquent in filing or NOTIFICATION PROCEDURE: of Real Property-Treasury/IRS. paying Federal tax. Individuals seeking to determine if SYSTEM LOCATION: this system of records contains a record ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND Area Offices (See IRS appendix A for pertaining to themselves may inquire in THE PURPOSES OF SUCH USES: addresses.) accordance with instructions appearing at 31 CFR part 1, subpart C, appendix Disclosure of returns and return CATEGORIES OF INDIVIDUALS COVERED BY THE B. Inquiries should be addressed as in information may be made only as SYSTEM: ‘‘Record access procedures’’ below. provided by 26 U.S.C. 6103. Individuals against whom tax POLICIES AND PRACTICES FOR STORING, assessments have been made and whose RECORD ACCESS PROCEDURES: Individuals seeking access to any RETRIEVING, ACCESSING, RETAINING, AND real property was seized and sold to DISPOSING OF RECORDS IN THE SYSTEM: satisfy their tax liability. Also name and record contained in this system of address of purchaser. records may inquire in accordance with STORAGE: instructions appearing at 31 CFR part 1, Paper records and magnetic media. CATEGORIES OF RECORDS IN THE SYSTEM: subpart C, appendix B. Inquiries should Taxpayer name, address, taxpayer be addressed to or individuals may RETRIEVABILITY: identification number, information appear in person at the Office of the By taxpayer name, taxpayer about basis of assessment, including Area Director for each Area whose identification number (social security class of tax, period, dollar amounts, records are to be searched. (See IRS number or employer identification property description. appendix A for addresses.) number).
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SAFEGUARDS: about basis of assessment, including SYSTEM MANAGER(S) AND ADDRESS: Access controls will not be less than class of tax, period, dollar amounts, Official prescribing policies and those provided by the Automated chronological investigative history, practices—Assistant Commissioner (SB/ Information System Security Handbook, canceled checks, amended returns, SE, W&I, LMSB). Officials maintaining IRM 2(10)00, and the Manager’s claims, collateral submitted to stay SB/ the system—Assistant Regional Security Handbook, IRM 1(16)12. SE, W&I, LMSB, copies of notices of Commissioners (SB/SE, W&I, LMSB), Federal tax liens, revenue officer Area Directors, Internal Revenue Service RETENTION AND DISPOSAL: reports, waivers to extend statutory Center Directors. (See IRS appendix A Records are maintained in accordance period for SB/SE, W&I, LMSB, etc, and for addresses.) with Records Disposition Handbooks, similar information about persons who IRM 1.15.2.1 through IRM 1.15.2.31. owe child support obligations. This NOTIFICATION PROCEDURE: SYSTEM MANAGER(S) AND ADDRESS: system includes Installment Agreement This system of records may not be Official prescribing policies and Files; Delinquent Account Inventory accessed for purposes of determining if practices-Assistant Commissioner (SB/ Profile (DAIP); Currently Not Collectible the system contains a record pertaining SE, W&I, LMSB), Officials maintaining Register; Currently Not Collectible to a particular individual. the system-Area Directors and Internal Register (over $25,000); Advance Dated Remittance Check Files; Currently Not RECORD ACCESS PROCEDURES: Revenue Service Center Directors. (See This system of records may not be IRS appendix A for addresses.) Collectible Accounts Files; File of taxpayer names entered in the Treasury accessed for purposes of inspection or NOTIFICATION PROCEDURE: Enforcement Communications System for contest of content of records. This system of records may not be and a code identifying taxpayers that CONTESTING RECORD PROCEDURES: accessed for purposes of determining if threatened or assaulted IRS employees. the system contains a record pertaining 26 U.S.C. 7852(e) prohibits Privacy to a particular individual. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Act amendment of tax records. 5 U.S.C. 301; 26 U.S.C. 7801 and RECORD SOURCE CATEGORIES: RECORD ACCESS PROCEDURES: 7802. This system of records may not be This system of records contains accessed for purposes of inspection or PURPOSE(S): investigatory material compiled for law for contest of content of records. The Taxpayer Delinquent Account enforcement purposes whose sources (TDA) records provide a comprehensive need not be reported. CONTESTING RECORD PROCEDURES: inventory control of delinquent 26 U.S.C. 7852(e) prohibits Privacy accounts. This system includes records EXEMPTIONS CLAIMED FOR THE SYSTEM: Act amendment of tax records. for Adjustments and Payment Tracers This system has been designated as files, collateral files, seized property exempt from certain provisions of the RECORD SOURCE CATEGORIES: records, Tax SB/SE, W&I, LMSB Waiver Privacy Act. This system of records contains Form 900 files, Accounts on Child investigatory material compiled for law Treasury/IRS 26.020 Support Obligations, Dyed Diesel Fuel enforcement purposes whose sources Program, and Integrated SB/SE, W&I, SYSTEM NAME: need not be reported. LMSB System (ICS). Taxpayer Delinquency Investigation EXEMPTIONS CLAIMED FOR THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE (TDI) Files—Treasury/IRS. This system has been designated as SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM LOCATION: exempt from certain provisions of the THE PURPOSES OF SUCH USES: Privacy Act. Disclosure of returns and return Area Offices and Internal Revenue Service Centers. (See IRS appendix A Treasury/IRS 26.019 information may be made only as provided by 26 U.S.C. 6103. for addresses.) SYSTEM NAME: CATEGORIES OF INDIVIDUALS COVERED BY THE Taxpayer Delinquent Account (TDA) POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND SYSTEM: Files, including subsystems: (a) DISPOSING OF RECORDS IN THE SYSTEM: Taxpayers believed to be delinquent Adjustments and Payment Tracers Files, in filing Federal tax returns. (b) Collateral Files, (c) Seized Property STORAGE: Records, (d) Tax SB/SE, W&I, LMSB Paper records and magnetic media. CATEGORIES OF RECORDS IN THE SYSTEM: Waiver, Forms 900, Files, and (e) RETRIEVABILITY: Taxpayer name, address, taxpayer Accounts on Child Support Obligations- By taxpayer name, or name of person identification number, information from Treasury/IRS. who owes child support obligations, previously filed returns, information SYSTEM LOCATION: and taxpayer identification number about the potential delinquent return(s), including class of tax, chronological Area Offices and Internal Revenue (social security number or employer investigative history; Delinquency Service Centers. (See IRS appendix A identification number). for addresses.) Investigation Inventory Profile (DIIP) SAFEGUARDS: and a code identifying taxpayers that CATEGORIES OF INDIVIDUALS COVERED BY THE Access controls will not be less than threatened or assaulted IRS employees. SYSTEM: those provided by the Automated Taxpayers on whom Federal tax Information System Security Handbook, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: assessments have been made, and IRM 2(10)00, and the Manager’s 5 U.S.C. 301; 26 U.S.C. 7801 and persons who owe child support Security Handbook, IRM 1(16)12. 7802. obligations. RETENTION AND DISPOSAL: PURPOSE(S): CATEGORIES OF RECORDS IN THE SYSTEM: Records are maintained in accordance The purpose of this system is to Taxpayer name, address, taxpayer with Records Disposition Handbooks, establish a control on taxpayers on identification number, information IRM 1.15.2.1 through IRM 1.15.2.31. whom tax assessments have been made.
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ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM LOCATION: NOTIFICATION PROCEDURE: SYSTEM, INCLUDING CATEGORIES OF USERS AND Area Offices and Internal Revenue This system of records may not be THE PURPOSES OF SUCH USES: Service Centers. (See IRS appendix A accessed for purposes of determining if Disclosure of returns and return for addresses.) the system contains a record pertaining information may be made only as to a particular individual. provided by 26 U.S.C. 6103. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: RECORD ACCESS PROCEDURES: POLICIES AND PRACTICES FOR STORING, Includes taxpayers on whom tax This system of records may not be RETRIEVING, ACCESSING, RETAINING, AND assessments have been made but who accessed for purposes of inspection or DISPOSING OF RECORDS IN THE SYSTEM: have allegedly transferred their assets in for contest of content of records. STORAGE: order to place them beyond the reach of the government. CONTESTING RECORD PROCEDURES: Paper records and magnetic media. 26 U.S.C. 7852(e) prohibits Privacy CATEGORIES OF RECORDS IN THE SYSTEM: RETRIEVABILITY: Act amendment of tax records. Taxpayer name, address, taxpayer By taxpayer name, taxpayer identification number, information RECORD SOURCE CATEGORIES: identification number (social security about basis of assessment, including This system of records contains number or employer identification class of tax, period, dollar amounts. investigatory material compiled for law number). Also, the name, address, taxpayer enforcement purposes whose sources identification number and related need not be reported. SAFEGUARDS: information about transferee. Access controls will not be less than EXEMPTIONS CLAIMED FOR THE SYSTEM: those provided by the Automated AUTHORITY FOR MAINTENANCE OF THE SYSTEM: This system has been designated as Information System Security Handbook, 5 U.S.C. 301; 26 U.S.C. 7801 and exempt from certain provisions of the IRM 2(10)00, and the Manager’s 7802. Privacy Act. Security Handbook, IRM 1(16)12. PURPOSE(S): Treasury/IRS 26.022 RETENTION AND DISPOSAL: To establish controls on records SYSTEM NAME: relating to taxpayers believed to be Records are maintained in accordance Delinquency Prevention Programs— delinquent in filing Federal Tax returns. with Records Disposition Handbooks, Treasury/IRS. IRM 1.15.2.1 through IRM 1.15.2.31. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM LOCATION: SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM MANAGER(S) AND ADDRESS: THE PURPOSES OF SUCH USES: Area Offices, Internal Revenue Official prescribing policies and Disclosure of returns and return Service Centers. (See IRS appendix A practices—Assistant Commissioner (SB/ information may be made only as for addresses.) SE, W&I, LMSB). Officials maintaining provided by 26 U.S.C. 6103. the system—Area Directors and Service CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Center Directors. (See IRS appendix A POLICIES AND PRACTICES FOR STORING, for addresses.) RETRIEVING, ACCESSING, RETAINING, AND Taxpayers having a history of Federal DISPOSING OF RECORDS IN THE SYSTEM: tax delinquency. NOTIFICATION PROCEDURE: STORAGE: CATEGORIES OF RECORDS IN THE SYSTEM: This system of records may not be Paper records and magnetic media. accessed for purposes of determining if Taxpayer name, taxpayer the system contains a record pertaining RETRIEVABILITY: identification number, address, filing requirements, chronological to a particular individual. By taxpayer name, taxpayer investigative history. identification number (social security RECORD ACCESS PROCEDURES: number or employer identification AUTHORITY FOR MAINTENANCE OF THE SYSTEM: This system of records may not be number). 5 U.S.C. 301; 26 U.S.C. 7801 and accessed for purposes of inspection or 7802. for contest of content of records. SAFEGUARDS: Access controls will not be less than ROUTINE USES OF RECORDS MAINTAINED IN THE CONTESTING RECORD PROCEDURES: those provided by the Automated SYSTEM, INCLUDING CATEGORIES OF USERS AND 26 U.S.C. 7852(e) prohibits Privacy Information System Security Handbook, THE PURPOSES OF SUCH USES: Act amendment of tax records. IRM 2(10)00, and the Manager’s Disclosure of returns and return Security Handbook, IRM 1(16)12. information may be made only as RECORD SOURCE CATEGORIES: provided by 26 U.S.C. 6103. This system of records contains RETENTION AND DISPOSAL: investigatory material compiled for law Records are maintained in accordance POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND enforcement purposes whose sources with Records Disposition Handbooks, DISPOSING OF RECORDS IN THE SYSTEM: need not be reported. IRM 1.15.2.1 through IRM 1.15.2.31. STORAGE: SYSTEM MANAGER(S) AND ADDRESS: EXEMPTIONS CLAIMED FOR THE SYSTEM: Paper records and magnetic media. Official prescribing policies and This system has been designated as practices—Assistant Commissioner (SB/ RETRIEVABILITY: exempt from certain provisions of the SE, W&I, LMSB). Officials maintaining Privacy Act. By taxpayer name. the system—Area Directors, Internal Treasury/IRS 26.021 Revenue Service Center Directors, the SAFEGUARDS: Director of the Detroit Computing Access controls will not be less than SYSTEM NAME: Center. (See IRS appendix A for those provided by the Automated Transferee Files—Treasury/IRS. addresses.) Information System Security Handbook,
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IRM 2(10)00, and the Manager’s Forms Program, etc.). A cross reference RECORD ACCESS PROCEDURES: Security Handbook, IRM 1(16)12. index may be developed to identify and Individuals seeking access to any control requests. record contained in this system of RETENTION AND DISPOSAL: records, or seeking to contest its AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Records are maintained in accordance content, may inquire in accordance with with Records Disposition Handbooks, 5 U.S.C. 301. instructions appearing at 31 CFR part 1, IRM 1.15.2.1 through IRM 1.15.2.31. ROUTINE USES OF RECORDS MAINTAINED IN THE subpart C, appendix B. Inquiries should SYSTEM MANAGER(S) AND ADDRESS: SYSTEM, INCLUDING CATEGORIES OF USERS AND be addressed to the Chief, Publishing THE PURPOSES OF SUCH USES: Official prescribing policies and Services Branch, Internal Revenue practices—Assistant Commissioner (SB/ Records may be used to: (1) Disclose Service, 1111 Constitution Avenue, SE, W&I, LMSB). Officials maintaining information to mailing or distribution NW., Washington, DC 20224. services contractors for the purpose of the system—Area Directors, Internal CONTESTING RECORD PROCEDURES: Revenue Service Center Directors, the executing mailouts, order fulfillment, or See Record access procedures above. Detroit Computing Center Director. (See subscription fulfillment; (2) disclose information to mailing or distribution IRS appendix A for addresses.) RECORD SOURCE CATEGORIES: services contractors for the purpose of NOTIFICATION PROCEDURE: maintaining mailing lists. The information is supplied by the This system of records may not be individual and/or company making the DISCLOSURE TO CONSUMER REPORTING request. The Service adds data accessed for purposes of determining if AGENCIES: the system contains a record pertaining pertaining to the fulfillment of the Disclosures pursuant to 5 U.S.C. to a particular individual. request. 552a(b)(12). Disclosure of debt EXEMPTIONS CLAIMED FOR THE SYSTEM: RECORD ACCESS PROCEDURES: information concerning a claim against This system of records may not be an individual may be made from this None. system to consumer reporting agencies accessed for purposes of inspection or Treasury/IRS 30.004 for contest of content of records. as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a) or the Federal SYSTEM NAME: CONTESTING RECORD PROCEDURES: Claims Collection Act of 1966 (31 U.S.C. Security Violations—Treasury/IRS. 26 U.S.C. 7852(e) prohibits Privacy 3701(a)(e)). Act amendment of tax records. SYSTEM LOCATION: POLICIES AND PRACTICES FOR STORING, RECORD SOURCE CATEGORIES: RETRIEVING, ACCESSING, RETAINING, AND National Office, Area offices, Area DISPOSING OF RECORDS IN THE SYSTEM: Offices and Internal Revenue Service This system of records contains STORAGE: Centers. (See IRS appendix A for investigatory material compiled for law addresses.) enforcement purposes whose sources Magnetic media, paper records or need not be reported. mailing plates. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: EXEMPTIONS CLAIMED FOR THE SYSTEM: RETRIEVABILITY: Violators of IRS Security Regulations. This system has been designated as Alphabetically or numerically, by zip exempt from certain provisions of the code. CATEGORIES OF RECORDS IN THE SYSTEM: Privacy Act. SAFEGUARDS: Name of violator, circumstances of Treasury/IRS 30.003 Access controls will not be less than violation (date, time, actions of violator, those provided for by the Automated etc), supervisory action taken. SYSTEM NAME: Information System Security Handbook, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Requests for Printed Tax Materials IRM 2(10)00, and the Manager’s 5 U.S.C. 301. Including Lists—Treasury/IRS. Security Handbook, IRM 1(16)12. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM LOCATION: RETENTION AND DISPOSAL: SYSTEM, INCLUDING CATEGORIES OF USERS AND National Office, Area Offices and Records are maintained in accordance THE PURPOSES OF SUCH USES: Service Centers, 1111 Constitution with Records Control Schedule 301— Records may be used to: (1) The Avenue, NW, Washington, DC 20224. General Record Schedule 13, Printing, Department of Justice for the purpose of (See appendix A for addresses). Binding, Duplication, and Distribution litigating an action or seeking legal Records, IRM 1(15)59.31. CATEGORIES OF INDIVIDUALS COVERED BY THE advice. Disclosure may be made during SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: judicial processes. (2) Provide Files include those individuals that Chief, Publishing Services Branch, information to a congressional office in request various IRS printed/electronic Internal Revenue Service, 1111 response to an inquiry made at the materials such as publication 1045, Constitution Avenue, NW, Washington, request of the individual to whom the reproduction proofs, educational media, DC 20224, or head of the office record pertains. etc. maintaining the file. POLICIES AND PRACTICES FOR STORING, CATEGORIES OF RECORDS IN THE SYSTEM: NOTIFICATION PROCEDURE: RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Name and address of individual or Individuals seeking to determine if company wanting to receive Area this system of records contains a record STORAGE: Manager or Area Director’s newsletters, pertaining to themselves may inquire in File folder (notices of violation), 3×5 and/or ordering tax forms materials on accordance with instructions appearing inch card file, and electronic storage. certain distribution programs, (i.e. tax at 31 CFR part 1, subpart C, appendix Practitioner Program; Bank, Post Office B. Inquiries should be addressed as in RETRIEVABILITY: and Library Program; Reproducible Record access procedures below. 3×5 inch card file—by name.
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SAFEGUARDS: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Regional Commissioners, Area Access controls will not be less than 5 U.S.C. 301. Directors, Internal Revenue Service those provided by the Automated Center Directors, and Computing Center Information System Security Handbook, ROUTINE USES OF RECORDS MAINTAINED IN THE Directors. (See IRS appendix A for SYSTEM, INCLUDING CATEGORIES OF USERS AND IRM 2(10)00, and the Manager’s THE PURPOSES OF SUCH USES: addresses.) Security Handbook, IRM 1(16)12. Records and information contained in NOTIFICATION PROCEDURE: Access to lateral file cabinets by security these records may be used to: (1) officer and staff only. Individuals seeking to determine if Disclose information to the Department this system of records contains a record RETENTION AND DISPOSAL: of Justice for the purpose of litigating an pertaining to themselves may inquire in Records are maintained in accordance action or seeking legal advice. accordance with instructions appearing with Records Disposition Handbooks, Disclosure may be made during judicial at 31 CFR part 1, subpart C, appendix IRM 1.15.2.1 through IRM 1.15.2.31. processes; (2) disclose pertinent B. Inquiries should be addressed as in information to appropriate Federal, ‘‘Record access procedures’’ below. SYSTEM MANAGER(S) AND ADDRESS: state, local, or foreign agencies Chief, Property, Security, and Records responsible for investigating or RECORD ACCESS PROCEDURES: Unit, National Office, Regional Office, prosecuting the violations of, or for Individuals seeking access to any Area Offices, Internal Revenue Service enforcing or implementing, a statute, record contained in this system of Center. (See IRS appendix A for rule, regulation, order, or license, where records, or seeking to contest its addresses.) the disclosing agency becomes aware of content, may inquire in accordance with instructions appearing at 31 CFR part 1, NOTIFICATION PROCEDURE: an indication of a violation or potential violation of civil or criminal law or subpart C, appendix B. Inquiries should Individuals seeking to determine if regulation; (3) disclose relevant, non- be addressed to the system manager in this system of records contains a record privileged information to a court, the office where the records are located. pertaining to themselves may inquire in magistrate, or administrative tribunal CONTESTING RECORD PROCEDURES: accordance with instructions appearing including the presentation of evidence, at 31 CFR part 1, subpart C, appendix disclosures to opposing counsel or See ‘‘Record access procedures’’ B. Inquiries should be addressed as in witnesses in the course of civil above. Record access procedure below. discovery, litigation, or settlement RECORD SOURCE CATEGORIES: RECORD ACCESS PROCEDURES: negotiations, in response to a subpoena, Individuals who receive property or Individuals seeking access to any or in connection with criminal law request property passes. record contained in this system of proceedings; (4) provide information to records or seeking to contest its content, a congressional office in response to an EXEMPTIONS CLAIMED FOR THE SYSTEM: may inquire in accordance with inquiry made at the request of the None. individual to whom the record pertains; instructions appearing at 31 CFR part 1, Treasury/IRS 34.007 subpart C, appendix B. Inquiries should (5) provide information to third parties be addressed to the system manager in during the course of an investigation to SYSTEM NAME: the office where the records are located. the extent necessary to obtain Record of Government Books of information pertinent to the Transportation Requests—Treasury/IRS. CONTESTING RECORD PROCEDURES: investigation. See Record access procedures above. SYSTEM LOCATION: POLICIES AND PRACTICES FOR STORING, National Office, Area offices, Area RECORD SOURCE CATEGORIES: RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Offices, Internal Revenue Service Contract Guard Force and Security Centers, Detroit Computing Center, and Inspections. STORAGE: Martinsburg Computing Center. (See IRS EXEMPTIONS CLAIMED FOR THE SYSTEM: Information is stored on various forms appendix A for addresses.) and ledgers maintained in locked filing None. cabinets. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Treasury/IRS 34.003 RETRIEVABILITY: IRS employees issued Transportation SYSTEM NAME: Indexed alphabetically by name. Requests. Assignment and Accountability of SAFEGUARDS: Personal Property Files—Treasury/IRS. CATEGORIES OF RECORDS IN THE SYSTEM: Access controls will not be less than Form 496, alphabetical card record by SYSTEM LOCATION: those provided for by the Automated name or the serial numbers of National Office, Area offices, Area Information System Security Handbook, Transportation Requests issued to the Offices, Internal Revenue Service IRM 2(10)00, and the Manager’s employee; and Form 4678, numerical Centers, Detroit Computing Center, and Security Handbook, IRM 1(16)12. list by serial number listing the name of the Martinsburg Computing Center. (See RETENTION AND DISPOSAL: the employee to whom issued. IRS appendix A for addresses.) Records are maintained in accordance AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE with Records Control Schedule 301— 5 U.S.C. 301. SYSTEM: General Records Schedule 18, Security All individuals receiving Government and Protective Services Records, IRM ROUTINE USES OF RECORDS MAINTAINED IN THE property for temporary use and repair. 1(15)59.31. SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: CATEGORIES OF RECORDS IN THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: Records and information from these Descriptions of property, receipts, Chief, Space and Property Branch and records may be used to: (1) Disclose reasons for removal, and property Chief, National Office Facilities information to the Department of Justice passes. Management Branch, National Office; for the purpose of litigating an action or
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seeking legal advice. Disclosure may be content, may inquire in accordance with provide information to consumer made during judicial processes; (2) instructions appearing at 31 CFR part 1, reporting agencies in accordance with disclose information to a congressional subpart C, appendix B. Inquiries should 31 U.S.C. 3711(f); (5) provide office in response to an inquiry made at be addressed to the system manager in information to a debt collection agency the request of the individual to whom the office where the records are located. for debt collection services; (6) disclose the record pertains; (3) disclose pertinent information to appropriate information to another Federal agency CONTESTING RECORD PROCEDURES: Federal, state, local, or foreign agencies to effect inter-agency salary offset; to See ‘‘Record access procedures’’ responsible for investigating or furnish a consumer reporting agency above. prosecuting the violations of, or for information to obtain commercial credit RECORD SOURCE CATEGORIES: enforcing or implementing, a statute, reports; to furnish a debt collection rule, regulation, order, or license, when Government Books of Transportation agency information for debt collection the disclosing agency becomes aware of Requests and employees to whom books services; to furnish a consumer an indication of a violation or potential were issued. reporting agency with delinquency and violation of civil or criminal law or default data available to private sector EXEMPTIONS CLAIMED FOR THE SYSTEM: regulation; (7) provide information to a credit grantors. None. congressional office in response to an inquiry made at the request of the DISCLOSURE TO CONSUMER REPORTING Treasury/IRS 34.009 individual to whom the record pertains; AGENCIES: (8) provide information to Officials of SYSTEM NAME: Disclosures pursuant to 5 U.S.C. labor organizations recognized under 5 552a(b)(12). Disclosures of debt Safety Program Files-Treasury/IRS. U.S.C. Chapter 71 when relevant and information concerning a claim against SYSTEM LOCATION: necessary to their duties of exclusive an individual may be made from this representation; (9) provide information system to consumer reporting agencies National Office, Area offices, Area Offices, Internal Revenue Service to third parties during the course of an as defined in the Fair Credit Reporting investigation to the extent necessary to Act (15 U.S.C. 1681a(f)) or the Federal Centers, Detroit Computing Center, and the Martinsburg Computing Center. (See obtain information pertinent to the Claims Collection Act of 1966 (31 U.S.C. investigation. 3701(a)(3)). IRS appendix A for addresses.) DISCLOSURE TO CONSUMER REPORTING CATEGORIES OF INDIVIDUALS COVERED BY THE POLICIES AND PRACTICES FOR STORING, AGENCIES: SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND Disclosures pursuant to 5 U.S.C. DISPOSING OF RECORDS IN THE SYSTEM: IRS employees and others involved in 552a(b)(12). Disclosures of debt an IRS motor vehicle accident, an STORAGE: information concerning a claim against accident or injury on IRS property, or a Paper documents. an individual may be made from this tort or personal property claim against system to consumer reporting agencies the Service. All individuals issued an RETRIEVABILITY: as defined in the Fair Credit Reporting IRS driver’s license are covered by this By name or serial number. Act (15 U.S.C. 1681(f)) or the Federal system. Claims Collection Act of 1966 (31 U.S.C. SAFEGUARDS: CATEGORIES OF RECORDS IN THE SYSTEM: 3701(a)(3)). Access controls will not be less than those provided for by the Automated Individual driving records and license POLICIES AND PRACTICES FOR STORING, Information System Security Handbook, applications, motor vehicle accident RETRIEVING, ACCESSING, RETAINING, AND IRM 2(10)00. reports, lost time and no-lost time DISPOSING OF RECORDS IN THE SYSTEM: personal injury reports, tort and STORAGE: RETENTION AND DISPOSAL: personal property claims case files, Paper documents. Records are maintained in accordance informal and formal investigative report with Records Control Schedule 301— files. RETRIEVABILITY: General Records Schedule 9, Travel and Indexed alphabetically by name. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Transportation Records, IRM 1(15)59.31. 5 U.S.C. 301; Executive Order 12196. SAFEGUARDS: SYSTEM MANAGER(S) AND ADDRESS: Access controls will not be less than Administrative Officers, National ROUTINE USES OF RECORDS MAINTAINED IN THE those required by the Automated SYSTEM, INCLUDING CATEGORIES OF USERS AND Information System Security Handbook, Office; Area Directors, Internal Revenue THE PURPOSES OF SUCH USES: Service Center Directors, and IRM 2(10)00, and the Manager’s Computing Center Directors. (See IRS Disclosure of returns and return Security Handbook, IRM 1(16)12. appendix A for addresses.) information may be made only as Generally, access is restricted to official provided by 26 U.S.C. 6103. Records use by IRS employees. NOTIFICATION PROCEDURE: other than returns and return Individuals seeking to determine if information may be used to: (1) Disclose RETENTION AND DISPOSAL: this system of records contains a record information to the Department of Justice Records are maintained in accordance pertaining to themselves may inquire in for the purpose of litigating an action or with Records Control Schedule 301— accordance with instructions appearing seeking legal advice. Disclosure may be General Records Schedule 1, 10, and 18; at 31 CFR part 1, subpart C, appendix made during judicial processes; (2) Records Control Schedule 114 for B. Inquiries should be addressed as in provide information to the Department Facilities Management Division— ‘‘Record access procedures’’ below. of Labor in connection with National Office, IRM 1.15.2.1 (14); and investigations of accidents occurring in Records Control Schedule 212 for RECORD ACCESS PROCEDURES: the work place; (3) provide information Regional Commissioner, Assistant Individuals seeking access to any to other federal agencies for the purpose Regional Commissioner (Resource record contained in this system of of effecting interagency salary offset or Management) and Area Director, IRM records, or seeking to contest its interagency administrative offset; (4) 1(15)59.2(12).
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SYSTEM MANAGER(S) AND ADDRESS: PURPOSE(S): records, or seeking to contest its Safety Management Officer, Office of The records are collected and content, may inquire in accordance with Research, Planning and Development, maintained to identify emergency instructions appearing at 31 CFR part 1, Director, Facilities and Information preparedness team members and their subpart C, appendix B. Inquiries should Management Systems, National Office; responsibilities; and to provide a means be addressed to the system manager in Director, Human Resources, of contacting cadre members in the the office where the records are located. Headquarters, appropriate Area Office; event of a national emergency. Computing Center Directors; and the CONTESTING RECORD PROCEDURES: Austin Service Center Director. (See IRS ROUTINE USES OF RECORDS MAINTAINED IN THE See ‘‘Record access procedures’’ SYSTEM, INCLUDING CATEGORIES OF USERS AND appendix A for addresses.) THE PURPOSES OF SUCH USES: above.
NOTIFICATION PROCEDURE: Records and information from these RECORD SOURCE CATEGORIES: records may be used to: (1) Disclose Individuals seeking to determine if Provided by individuals themselves. this system of records contains a record information to the Department of Justice pertaining to themselves may inquire in for the purpose of litigating an action or EXEMPTIONS CLAIMED FOR THE SYSTEM: accordance with instructions appearing seeking legal advice. Disclosure may be None. at 31 CFR part 1, subpart C, appendix made during judicial processes; (2) B. Inquiries should be addressed as in provide information to a congressional Treasury/IRS 34.013 ‘‘Record access procedures’’ below. office in response to an inquiry made at the request of the individual to whom SYSTEM NAME: RECORD ACCESS PROCEDURES: the record pertains. Identification Media Files System for Individuals seeking access to any Employees and Others Issued IRS ID- record contained in this system of POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND Treasury/IRS. records or seeking to contest its content, DISPOSING OF RECORDS IN THE SYSTEM: may inquire in accordance with SYSTEM LOCATION: instructions appearing in 31 CFR part 1, STORAGE: National Office, Area offices, Internal subpart C, appendix B. Inquiries should Individual forms, correspondence Revenue Service Centers, Detroit be addressed to the system manager in kept in file folders, and electronic Computing Center, and Martinsburg the office where the records are located. storage. Computing Center. (See IRS appendix A CONTESTING RECORD PROCEDURES: RETRIEVABILITY: for addresses.) See ‘‘Record access procedures’’ Cadre assignments are filed by CATEGORIES OF INDIVIDUALS COVERED BY THE above. relocation site and alerting rosters by SYSTEM: title of list. RECORD SOURCE CATEGORIES: IRS employees having one or more Information originates from IRS SAFEGUARDS: items of identification and federal and employees, private individuals and Access controls will not be less than non-federal personnel working in or private parties. those provided by the Automated visiting IRS facilities. Information System Security Handbook, EXEMPTIONS CLAIMED FOR THE SYSTEM: IRM 2(10)00, and the Manager’s CATEGORIES OF RECORDS IN THE SYSTEM: None. Security Handbook, IRM 1(16)12. Records contain individual’s name, home address, and other personal Treasury/IRS 34.012 RETENTION AND DISPOSAL: information and reports on loss, theft, or SYSTEM NAME: Records are maintained in accordance destruction of pocket commissions, Emergency Preparedness Cadre with Records Control Schedule 301— enforcement badges and other forms of Assignments and Alerting Rosters Files- General Records Schedule 18, Security identification. Treasury/IRS. and Protective Services Records, IRM 1(15)59.31. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM LOCATION: SYSTEM MANAGER(S) AND ADDRESS: 5 U.S.C. 301. National Office, Area offices, Area Offices, and Internal Revenue Service Chief, Physical Security Section, PURPOSE(S): Facilities Standards Branch, Facilities Centers/Campuses. (See IRS appendix A The records are collected and for addresses.) and Information Management Support Division, National Office. Regional maintained to provide required CATEGORIES OF INDIVIDUALS COVERED BY THE Office, Area Office, Internal Revenue information on the issuance of SYSTEM: Service Center Security Officers. (See identification media by the IRS.
Key IRS and Treasury personnel. IRS appendix A for addresses.) ROUTINE USES OF RECORDS MAINTAINED IN THE CATEGORIES OF RECORDS IN THE SYSTEM: NOTIFICATION PROCEDURE: SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: Cadre assignments—personal Individuals seeking to determine if information on employees; i.e., name, this system of records contains a record Records and information from these address, phone number, family data, pertaining to themselves may inquire in records may be used to: (1) Disclose security clearance, relocation accordance with instructions appearing information to the Department of Justice assignment, etc. Alerting rosters— at 31 CFR part 1, subpart C, appendix for the purpose of litigating an action or current listing of individuals by name B. Inquiries should be addressed as in seeking legal advice. Disclosure may be and title stating their work and home ‘‘Record access procedures’’ below. made during judicial processes; (2) address and phone numbers. provide information to a congressional RECORD ACCESS PROCEDURES: office in response to an inquiry made at AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Individuals seeking access to any the request of the individual to whom 5 U.S.C. 301. record contained in this system of the record pertains.
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POLICIES AND PRACTICES FOR STORING, gathered on an application for IRM 1.15.2.1 through IRM 1.15.2.31. RETRIEVING, ACCESSING, RETAINING, AND employment. The information is Generally, records are periodically DISPOSING OF RECORDS IN THE SYSTEM: confirmed by the newly hired employee. updated to reflect changes and STORAGE: maintained as long as needed. EXEMPTIONS CLAIMED FOR THE SYSTEM: Correspondence file folders, 3 x 7 SYSTEM MANAGER(S) AND ADDRESS: inch card files, and magnetic media. None. Chief, Security Function at Internal Treasury/IRS 34.014 RETRIEVABILITY: Revenue Service Centers. (See IRS Indexed separately by name and SYSTEM NAME: appendix A for addresses.) Identification Media serial number. Motor Vehicle Registration and Entry NOTIFICATION PROCEDURES: Pass Files-Treasury/IRS. SAFEGUARDS: Individuals seeking to determine if Access controls will not be less than SYSTEM LOCATION: this system of records contains a record those provided by the Automated Internal Revenue Service Centers. pertaining to themselves may inquire in Information System Security Handbook, (See IRS appendix A for addresses.) accordance with instructions appearing IRM 2(10)00, and the Manager’s at 31 CFR part 1, subpart C, appendix Security Handbook, IRM 1(16)12. CATEGORIES OF INDIVIDUALS COVERED BY THE B. Inquiries should be addressed as in Access to the records is restricted to SYSTEM: ‘‘Record access procedures’’ below. official use of Internal Revenue. Individuals requiring continued access to the facility and parking area RECORD ACCESS PROCEDURES: RETENTION AND DISPOSAL: violators. Individuals seeking access to any Records are maintained in accordance record contained in this system of with Records Control Schedule 301— CATEGORIES OF RECORDS IN THE SYSTEM: records, or seeking to contest its General Records Schedule 11, Space Name of employee, registered owner content, may inquire in accordance with and Maintenance Records, IRM of vehicle, branch, telephone number, instructions appearing at 31 CFR part 1, 1(15)59.31. description of car, license number, subpart C, appendix B. Inquiries should employee’s signature, name and SYSTEM MANAGER(S) AND ADDRESS: be addressed to the system manager in expiration date of insurance, parking Chief, Physical Security Section, the office where the record is located. violations, decal number. Facilities Standards Branch, Facilities CONTESTING RECORD PROCEDURES: and Information Management Support AUTHORITY FOR MAINTENANCE OF THE SYSTEM: See ‘‘Record access procedures’’ Division, and Chief, Property, Security 5 U.S.C. 301. above. and Records unit, National Office; Area offices, Area Offices, Internal Revenue PURPOSE(S): RECORD SOURCE CATEGORIES: Service Center Security Officers. The records are collected and Information is supplied by individual, maintained to provide information on NOTIFICATION PROCEDURE: except for parking violations the issuance of parking permits. information which is supplied by Individuals seeking to determine if Security guard personnel. this system of records contains a record ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND pertaining to themselves may inquire in EXEMPTIONS CLAIMED FOR THE SYSTEM: THE PURPOSES OF SUCH USES: accordance with instructions appearing None. at 31 CFR part 1, subpart C, appendix Records and information from these B. Inquiries should be addressed as in records may be used to: (1) Disclose Treasury/IRS 34.016 ‘‘Record access procedures’’ below. information to the Department of Justice SYSTEM NAME: Individual’s name, SSN, address and for the purpose of litigating an action or type of ID media, plus the approximate seeking legal advice. Disclosure may be Security Clearance Files-Treasury/ date that he/she was issued and/or made during judicial processes; (2) IRS. provide information to a congressional returned the particular item of SYSTEM LOCATION: identification, would have to be office in response to an inquiry made at Internal Revenue Service, Personnel furnished to the Service office that the request of the individual to whom Security Office, 1111 Constitution issued the item for the Service to be able the record pertains. Avenue, NW., Room 4244, Washington, to ascertain whether or not the system POLICIES AND PRACTICES FOR STORING, DC 20224. contains a record about the individual. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE RECORD ACCESS PROCEDURES: SYSTEM: Individuals seeking access to any STORAGE: Employees of the Internal Revenue record contained in this system of File folders, card files. Service requiring a security clearance, records, or seeking to contest its having their security clearance canceled content, may inquire in accordance with RETRIEVABILITY: or transferred and individuals who have instructions appearing at CFR Part 1, Indexed by name. violated IRS security regulations subpart C, appendix B. Inquires should SAFEGUARDS: regarding classified national security be addressed to the system manager in Access controls will not be less than information. the offices where the record is located. those provided by the Automated CATEGORIES OF RECORDS IN THE SYSTEM: CONTESTING RECORD PROCEDURES: Information System Security Handbook, See ‘‘Record access procedures’’ IRM 2(10)00, and the Manager’s Records contain individual’s name, above. Security Handbook, IRM 1(16)12. employing office, date of security clearance, level of clearance, reason for RECORD SOURCE CATEGORIES: RETENTION AND DISPOSAL: the need for the national security Information is generated by specific Records are maintained in accordance clearance, and any changes in such personnel action and is initially with Records Disposition Handbooks, clearance. Security violations records
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contain name of violator, circumstance NOTIFICATION PROCEDURE: individuals who have illegally accessed of violation and supervisory action Individuals seeking to determine if taxpayer records. The audit logs are taken. this system of records contains a record then processed by ATLAS to determine pertaining to themselves may inquire in whether the accesses are consistent with AUTHORITY FOR MAINTENANCE OF THE SYSTEM: accordance with instructions appearing the IRS policy, standards and practices 5 U.S.C. 301. at 31 CFR part 1, subpart C, appendix regarding tax administration, and the B. Inquiries should be addressed as in confidentiality statutes within the U.S. PURPOSE: ‘‘Record access procedures’’ below. Code. This system of records documents RECORD ACCESS PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: issuances, transfers, and cancellations of 5 U.S.C. 301; 26 U.S.C. 6103, 7213, security clearances issued to Internal Individuals seeking access to this 7213A, 7214, 7608, 7801, 7802, and 18 Revenue Service employees in critical system of records or seeking to contest U.S.C. 1030(a)(2)(B). sensitive and noncritical sensitive its content, may inquire in accordance positions. with instructions appearing at 31 CFR PURPOSE(S): part 1, subpart C, appendix B. Inquiries To enable the IRS to enhance ROUTINE USES OF RECORDS MAINTAINED IN THE should be addressed to the IRS protection of sensitive tax return SYSTEM, INCLUDING CATEGORIES OF USERS AND Personnel Security Officer, A:S:PSO, THE PURPOSES OF SUCH USES: information by assuring the public that 1111 Constitution Avenue, NW, Room its tax information is being protected in Records and information from these 4244, Washington, DC 20224. an ethical and legal manner, thereby records may be used to: (1) Disclose CONTESTING RECORD PROCEDURES: promoting voluntary taxpayer information to the Department of Justice compliance. The system is to detect and for the purpose of litigating an action or See ‘‘Record access procedures’’ above. counter unauthorized access, use, fraud seeking legal advice. Disclosure may be and abuse of tax return information. The made during judicial processes; (2) RECORD SOURCE CATEGORIES: system provides protection by provide information to a congressional Information is provided by the monitoring and tracking, through office in response to an inquiry made at employee, his/her supervisor or analysis of audit logs, accesses to and the request of the individual to whom employee’s personnel record. Security use of IRS electronic records. the record pertains; (3) provide violation information is obtained from a ROUTINE USES OF RECORDS MAINTAINED IN THE information to agencies and on a need- variety of sources, such as guard reports, to-know basis to determine the current SYSTEM INCLUDING CATEGORIES OF USERS AND security inspections, supervisor’s THE PURPOSES OF SUCH USES: status of an individual’s security reports, Internal Audit Reports, etc. clearance. Disclosure of tax returns and tax EXEMPTIONS CLAIMED FOR THE SYSTEM: return information may be made only as POLICIES AND PRACTICES FOR STORING, None. provided by 26 U.S.C. 6103. Records RETRIEVING, ACCESSING, RETAINING, AND other than returns and return DISPOSING OF RECORDS IN THE SYSTEM: Treasury/IRS 34.020 information may be used to: (1) Disclose pertinent information to appropriate STORAGE: SYSTEM NAME: Federal, State, local, or foreign agencies Correspondence file folders. IRS Audit Trail Lead Analysis System responsible for investigating or (ATLAS)—Treasury/IRS. prosecuting the violations of, or for RETRIEVABILITY: SYSTEM LOCATION: enforcing or implementing a statute, Indexed by name or social security rule, regulation, order, or license, where The ATLAS is located in an IRS number. the disclosing agency becomes aware of facility in West Virginia. The users of an indication of a violation or potential SAFEGUARDS: the system are located in a facility in violation of civil or criminal law or Ohio. Access controls will not be less than regulations; (2) Disclose information in those provided by the Automated CATEGORIES OF INDIVIDUALS COVERED BY THE a proceeding before a court, adjudicative Information System Security Handbook, SYSTEM: body, or other administrative body IRM 2(10)00, and the Manager’s (1) IRS employees and contractors before which the agency is authorized to Security Handbook, IRM 1(16)12. who have accessed, by any means, tax appear when: (a) The agency, or (b) any Records are stored in locked file return or other IRS information employee of the agency in his or her cabinets and computerized records are contained within an IRS information official capacity, or (c) any employee of password protected. system (i.e., its operating system, the agency in his or her individual network, or data base) which processes capacity where the Department of RETENTION AND DISPOSAL: taxpayer information. (2) Individual Justice or the agency has agreed to Records are maintained in accordance taxpayers upon whom the IRS maintains represent the employee, or (d) the with Records Disposition Handbooks, paper or electronic records and whose United States, when the agency IRM 1.15.2.1 through IRM 1.15.2.31. records have been accessed. (3) determines that litigation is likely to Individuals who have illegally accessed, affect the agency, is a party to litigation SYSTEM MANAGER(S) AND ADDRESS: by any means, tax return or other IRS or has an interest in such litigation, and Official prescribing policies and information contained within an IRS the use of such records by the agency is practices-Chief, Agencywide Shared information system (i.e., its operating deemed to be relevant and necessary to Services, 1111 Constitution Avenue, system, network, or data base) which the litigation or administrative NW, Room 1408, Washington, DC processes taxpayer information. proceeding and not otherwise 20224. Official maintaining the system privileged; (3) Provide information to a and records—Personnel Security CATEGORIES OF RECORDS IN THE SYSTEM: congressional office in response to an Officer, A:S:PSO, 1111 Constitution The IRS information systems create inquiry made at the request of the Avenue, NW, Room 4244, Washington, audit logs of IRS employees or individual to whom the record pertains; DC 20224. contractors who have accessed or other (4) Provide information to third parties
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during the course of an investigation to NOTIFICATION PROCEDURE: Results of Employees’ Tax the extent necessary to obtain This system of records is exempt from Examinations; (5) Employees’ Financial information pertinent to the certain provisions of the Privacy Act. Statements; (6) A summary report, a investigation; (5) Provide information to narrative report, notes and/or written unions recognized as exclusive RECORD ACCESS PROCEDURES: replies resulting from the investigator’s bargaining representatives under the This system of records is exempt from inquiries into the subject’s scholastic Civil Service Reform Act of 1978, 5 certain provisions of the Privacy Act record, prior employment, military U.S.C. 7111 and 7114, the Merit and may not be accessed for the purpose service, references, neighbors, Systems Protection Board, arbitrators, of determining if the system contains a acquaintances or other knowledgeable the Federal Labor Relations Authority, record pertaining to a particular sources, police records and past credit and other parties responsible for the individual. record; (7) Report of action taken by administration of Federal labor actions CONTESTING RECORD PROCEDURES: management personnel adjudicating any or grievances or conducting derogatory information developed by This system of records is exempt and administrative hearings or appeals or if the investigation; (8) Report of legal may not be accessed for purposes of needed in the performance of other action resulting from violations of inspection or contest of record contents. authorized duties; (6) Disclose statutes referred for prosecution. Also, 26 U.S.C. 7852(e) prohibits information to the Department of Justice Privacy Act amendment of tax records. for the purpose of litigating an action or AUTHORITY FOR MAINTENANCE OF THE SYSTEM: seeking legal advice; and (7) Disclose RECORD SOURCE CATEGORIES: 5 U.S.C. 301; 26 U.S.C. 7602, 7608, information to the defendant in a This system of records is exempt from 7801 and 7802; Executive Order 10450; criminal prosecution, the Department of the Privacy Act provision which Executive Order 11222. Justice, or a court of competent requires that record source categories be PURPOSE(S): jurisdiction where required in criminal reported. (See ‘‘Exemptions Claimed for This system documents personnel discovery or by the Due Process Clause the System,’’ below.) of the Constitution. security investigations conducted for EXEMPTIONS CLAIMED FOR THE SYSTEM: the purpose of furnishing to proper POLICIES AND PRACTICES FOR STORING, This system is exempt from 5 U.S.C. authorities sufficient information RETRIEVING, ACCESSING, RETAINING, AND 552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4), concerning a person’s character, DISPOSING OF RECORDS IN THE SYSTEM: (e)(1), (e)(4)(G), (H) and (I), and (f) of the reputation and loyalty to the United STORAGE: Privacy Act pursuant to 5 U.S.C. States. They also serve as a basis for Electronic storage, either by magnetic 552a(k)(2). (see 31 CFR 1.36) determining a person’s suitability for or optical media, and paper copy. employment or retention in Treasury/IRS 34.021 employment and the issuance of RETRIEVABILITY: SYSTEM NAME: security clearances. (1) Indexed by name, social security Personnel Security Investigations, ROUTINE USES OF RECORDS MAINTAINED IN THE number (SSN) or other unique identifier National Background Investigations SYSTEM, INCLUDING CATEGORIES OF USERS AND assigned to an IRS employee or Center—Treasury/IRS. THE PURPOSES OF SUCH USES: contractor who has been granted access Disclosure of returns and return SYSTEM LOCATION: to an IRS computer system, or other information may be made only as individuals who have illegally accessed National Background Investigations provided by 26 U.S.C. 6103. Records an application which processes taxpayer Center, P.O. Box 248, Florence, KY other than returns and return information. (2) Indexed by name, SSN, 41022–0248. information may be used to: (1) Disclose or other unique identifier assigned to an pertinent information to appropriate IRS employee or contractor who has CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Federal, State, local, or foreign agencies been granted access to paper records. (3) Current, former and prospective responsible for investigating or Retrieved by the Taxpayer Identification prosecuting the violations of, or for Number (SSN, EIN, or ITIN). employees of: Internal Revenue Service, Office of the Secretary of the Treasury, enforcing or implementing, a statute, SAFEGUARDS: Office of the General Counsel, Office of rule, regulation, order, or license, where Access controls will not be less than the Treasurer of the United States, the disclosing agency becomes aware of those described in TD P 71–10, Office of the Comptroller of the an indication of a violation or potential Department of Treasury Security Currency, Office of International violation of civil or criminal law or Manual, IRM 2.1.10 Internal Revenue Finance, Financial Management Service, regulation; (2) disclose information to a Manual—Information Systems Security, Bureau of Engraving and Printing, Federal, state, or local agency, and IRM 1(16)12 Internal Revenue Bureau of the Mint, Bureau of the Public maintaining civil, criminal or other Manual—Managers Security Handbook. Debt, Federal Law Enforcement Training relevant enforcement information or Center, and Private Contractors at IRS other pertinent information, which has RETENTION AND DISPOSAL: Facilities. requested information relevant to or Records are maintained in accordance necessary to the requesting agency’s or with record disposition handbooks, IRM CATEGORIES OF RECORDS IN THE SYSTEM: the bureau’s hiring or retention of an 1(15)59. (1) Federal Employment Application individual, or issuance of a security Forms; (2) Results of National Agency clearance, license, contract, grant, or SYSTEM MANAGER(S) AND ADDRESS: Checks (prior reports and records from other benefit; (3) disclose relevant, non- Chief, Security Program Section, FBI Investigative Files, Fingerprint privileged information to a court, Telecommunication and Operations Files, Office of Personnel Management, magistrate, or administrative tribunal, Division, Information Systems, Internal Defense Central Index of Investigations, including the presentation of evidence, Revenue Service, Department of the House Committee on Internal Security, disclosures to opposing counsel or Treasury, 1111 Constitution Ave., NW, and Coast Guard Intelligence); (3) witnesses in the course of civil Washington, DC 20220. Employees’ Tax Account Histories; (4) discovery, litigation, or settlement
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negotiations, in response to a subpoena, Box 248, Florence, KY 41022–0248, determining budget and staff or in connection with criminal law Attn: Disclosure Specialist. requirements. (2) Provide the technical proceedings; (4) provide information to ability for other components of the a congressional office in response to an CONTESTING RECORD PROCEDURES: Service to analyze trends in integrity inquiry made at the request of the 26 U.S.C. 7852(e) prohibits Privacy matters on an organizational, geographic individual to whom the record pertains; Act amendment of tax records. and violation basis. (5) provide information to the news RECORD SOURCE CATEGORIES: ROUTINE USES OF RECORDS MAINTAINED IN THE media in accordance with guidelines Employment Application Forms SYSTEM, INCLUDING CATEGORIES OF USERS AND contained in 28 CFR 50.2 which relate submitted by subjects of investigation. THE PURPOSES OF SUCH USES: to an agency’s functions relating to civil Financial information from subjects. Disclosure of returns and return and criminal proceedings; (6) provide Federal, State and Local Government information may be made only as information to third parties during the Agencies (Police, Court and Vital provided by 26 U.S.C. 6103. Records course of an investigation to the extent Statistics records). Credit Reporting other than returns and return necessary to obtain information Agencies. Neighbors (former and information may be used to: (1) Disclose pertinent to the investigation. present). References. Former and pertinent information to appropriate POLICIES AND PRACTICES FOR STORING, present employers and co-workers. Federal, State, local, or foreign agencies, RETRIEVING, ACCESSING, RETAINING, AND Other third party sources. Schools. Tax or other public authority, responsible DISPOSING OF RECORDS IN THE SYSTEM: Returns and Examination Results. for investigating or prosecuting the violations of, or for enforcing or STORAGE: Information provided by the individual under investigation. implementing a statute, rule, regulation, Paper records, in folders, maintained order, or license, where the disclosing in file cabinets, or on magnetic media. EXEMPTIONS CLAIMED FOR THE SYSTEM: agency becomes aware of an indication RETRIEVABILITY: This system has been designated as of a violation or potential violation of By name of individual to whom it exempt from certain provisions of the civil or criminal law or regulation; (2) applies, cross-referenced third parties, Privacy Act pursuant to 5 U.S.C. Disclose information to the Department and/or by case number. 552a(k)(5). of Justice for the purpose of litigating an action or seeking legal advice. Treasury/IRS 34.022 SAFEGUARDS: Disclosure may be made during judicial Access controls will not be less than SYSTEM NAME: processes; (3) Disclose information to a those provided by the Automated National Background Investigations Federal, State, or local, or other public Information System Security Handbook, Center Management Information System authority, maintaining civil, criminal or IRM 2(10)00. Records will be accessible (NBICMIS)—Treasury/IRS. other relevant enforcement information to National Background Investigations or other pertinent information, which Center personnel on a need-to-know SYSTEM LOCATION: has requested information relevant to or basis, all of whom have been the subject National Background Investigations necessary to the requesting agency’s, of background investigations. Center, P.O. Box 248, Florence, KY bureau’s, or authority’s hiring or Computerized records are password 41022–0248. retention of an individual, or issuance protected. of a security clearance, license, contract, CATEGORIES OF INDIVIDUALS COVERED BY THE grant, or other benefit; (4) Disclose RETENTION AND DISPOSAL: SYSTEM: information in a proceeding before a Records are maintained in accordance Current and former employees of the court, adjudicative body, or other with IRM Part X, National Background Internal Revenue Service within the administrative body before which the Investigations Center, Exhibit (10)110–2. Department of the Treasury, and private agency is authorized to appear when: (a) contractors at IRS facilities. SYSTEM MANAGER(S) AND ADDRESS: The agency, or (b) any employee of the CATEGORIES OF RECORDS IN THE SYSTEM: agency in his or her official capacity, or Official prescribing policies and (c) any employee of the agency in his or (1) NBICMIS personnel system practices: Assistant Commissioner, her individual capacity where the records contain National Background (Support Services). Official maintaining Department of Justice or the agency has Investigations Center (NBIC) employee the system: Director, National agreed to represent the employee; or (d) name, office, start of employment, Background Investigations Center, P.O. the United States, when the agency series/grade, title, separation date; (2) Box 248, Florence, KY 41022–0248. determines that litigation is likely to NBICMIS tracking records contain status affect the agency, is a party to litigation NOTIFICATION PROCEDURE: information on investigations from or has an interest in such litigation, and Individuals seeking to determine if point of initiation through conclusion; the use of such records by the agency is this system of records contains a record (3) NBICMIS timekeeping records deemed to be relevant and necessary to pertaining to themselves may inquire in contain assigned cases and distribution the litigation or administrative accordance with instructions appearing of time; (4) NBICMIS case tracking proceeding and not otherwise at 31 CFR part 1, subpart C, appendix records contain background privileged; (5) Provide information to a B. Inquiries should be addressed as in investigations. ‘‘Record access procedures’’ below. Congressional office in response to an AUTHORITY FOR MAINTENANCE OF THE SYSTEM: inquiry made at the request of the RECORD ACCESS PROCEDURES: 5 U.S.C. 301; 26 U.S.C. 7602, 7608, individual to whom the record pertains; Individuals seeking access to this 7801 and 7802; Executive Order 11222. (6) Provide information to the news system of records, or seeking to contest media in accordance with guidelines its content, may inquire in accordance PURPOSE(S): contained in 28 CFR 50.2 which relate with instructions appearing at 31 CFR The purpose of NBICMIS is to: (1) to an agency’s functions relating to civil part 1, subpart C, appendix B. Inquiries Effectively manage NBIC resources and and criminal proceedings; (7) Provide should be addressed to the IRS National assess the effectiveness of current NBIC information to third parties during the Background Investigations Center, P.O. programs as well as assist in course of an investigation to the extent
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necessary to obtain information CONTESTING RECORD PROCEDURES: information in a proceeding before a pertinent to the investigation; (8) 26 U.S.C. 7852(e) prohibits Privacy court, adjudicative body, or other Disclose information to a public or Act amendment of tax records. administrative body before which the professional licensing organization agency is authorized to appear when: (a) when such information indicates, either RECORD SOURCE CATEGORIES: The agency, or (b) any employee of the by itself or in combination with other Current and former employees of the agency in his or her official capacity, or information, a violation or potential Internal Revenue Service. (c) any employee of the agency in his or violation of professional standards, or EXEMPTIONS CLAIMED FOR THE SYSTEM: her individual capacity where the reflects on the moral, educational, or Department of Justice or the agency has professional qualifications of an This system is exempt from 5 U.S.C. agreed to represent the employee, or (d) individual who is licensed or who is 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), the United States, when the agency seeking to become licensed. (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) determines that litigation is likely to and (I), (e)(5), (e)(8), (f) and (g) of the affect the agency, is a party to litigation POLICIES AND PRACTICES FOR STORING, Privacy Act pursuant to 5 U.S.C. or has an interest in such litigation, and RETRIEVING, ACCESSING, RETAINING, AND 552a(j)(2). the use of such records by the agency is DISPOSING OF RECORDS IN THE SYSTEM: Treasury/IRS 34.037 deemed to be relevant and necessary to STORAGE: the litigation or administrative Paper records and magnetic media. SYSTEM NAME: proceeding and not otherwise IRS Audit Trail and Security Records privileged; (3) Provide information to a RETRIEVABILITY: System-Treasury/IRS. congressional office in response to an By name of individual to whom it inquiry made at the request of the SYSTEM LOCATION: applies, social security number, or case individual to whom the information number. National Office, Area Offices, pertains; (4) Provide information to Regional Offices, Service Centers, third parties during the course of an SAFEGUARDS: Computing Centers. (See IRS Appendix investigation to the extent necessary to Access is limited to authorized A for addresses of IRS offices). obtain information pertinent to the Support Services personnel who have a CATEGORIES OF INDIVIDUALS COVERED BY THE investigation; (5) Provide information to direct need to know. Hard copy of data SYSTEM: unions recognized as exclusive is stored in rooms of limited Individuals who have accessed, by bargaining representatives under the accessibility except to employees. These Civil Service Reform Act of 1978, 5 rooms are locked after business hours. any means, information contained within IRS electronic or paper records. U.S.C. 7111 and 7114, the Merit Access to magnetic media is controlled Systems Protection Board, arbitrators, by computer passwords. Access to CATEGORIES OF RECORDS IN THE SYSTEM: the Federal Labor Relations Authority, specific NBICMIS records is further Electronic and paper records and other parties responsible for the limited by computer security programs concerning IRS employees or administration of Federal labor actions limiting access to select personnel. contractors or other individuals who or grievances or conducting administrative hearings or appeals or if RETENTION AND DISPOSAL: have accessed IRS records. needed in the performance of other Records are periodically updated to AUTHORITY FOR MAINTENANCE OF THE SYSTEM: authorized duties; (6) Disclose reflect changes and are retained and 5 U.S.C. 301: 26 U.S.C. 6103, 7213, information to the Department of Justice archived as long as deemed necessary. 7213A , 7214, 7608, 7803, and 18 U.S.C. for the purpose of litigating an action or 1030(a)(2)(B). SYSTEM MANAGER(S) AND ADDRESS: seeking legal advice; and, (7) Disclose information to the defendant in a Official prescribing policies and PURPOSE(S): criminal prosecution, the Department of practices: Assistant Commissioner, To enable the IRS to enhance Justice, or a court of competent (Support Services). Official maintaining protection of sensitive information by jurisdiction where required in criminal the system: Director, National assuring the public and employees that discovery or by the Due Process Clause Background Investigations Center, P.O. their information is being protected in of the Constitution. Box 248, Florence, KY 41022–0248. an ethical and legal manner. POLICIES AND PRACTICES FOR STORING, NOTIFICATION PROCEDURE: ROUTINE USES OF RECORDS MAINTAINED IN THE RETRIEVING, ACCESSING, RETAINING, AND Individuals seeking to determine if SYSTEM INCLUDING CATEGORIES OF USERS AND DISPOSING OF RECORDS IN THE SYSTEM: THE PURPOSES OF SUCH USES: this system of records contains a record STORAGE: pertaining to them may inquire in Disclosure of IRS tax return and Electronic and paper. accordance with instructions appearing return information may be made only as at 31 CFR part 1, subpart C, appendix provided by 26 U.S.C. 6103. Records RETRIEVABILITY: B. Inquiries should be addressed as in other than returns and return (1) Indexed or retrieved by name, ‘‘Record access procedures’’ below. information may be used to: (1) Disclose social security number (SSN) or other pertinent information to appropriate unique identifier assigned to an IRS RECORD ACCESS PROCEDURES: Federal, State, local, or foreign agencies employee or contractor or other Individuals seeking access to this responsible for investigating or individual who has been granted access system of records, or seeking to contest prosecuting the violations of, or for to IRS records. (2) Retrieved or indexed its content, may inquire in accordance enforcing or implementing a statute, by a Taxpayer Identification Number. with instructions appearing at 31 CFR rule, regulation, order, or license, where part 1, subpart C, appendix B. Inquiries the disclosing agency becomes aware of SAFEGUARDS: should be addressed to the IRS National an indication of a violation or potential Access controls will not be less than Background Investigations Center, P.O. violation of civil or criminal law or those described in TD P 71–10, Box 248, Florence, KY 41022–0248, regulations, or foreign government Department of Treasury Security Attn: Disclosure Specialist. under a tax treaty; (2) Disclose Manual, IRM 2.1.10 Automated
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Information Systems Security, and IRM CATEGORIES OF INDIVIDUALS COVERED BY THE maintaining civil, criminal or other 1(16)12 Managers Security Handbook. SYSTEM: relevant enforcement information or Applicants for Federal employment, other pertinent information, which has RETENTION AND DISPOSAL: current and former Federal employees requested information relevant to or Records are maintained in accordance (including annuitants) who submit necessary to the requesting agency’s or with record disposition handbooks, IRM appeals, grievances, or complaints for the bureau’s hiring or retention of an 1(15)59. resolution. individual, or issuance of a security CATEGORIES OF RECORDS IN THE SYSTEM: clearance, license, contract, grant, or SYSTEM MANAGER(S) AND ADDRESS: other benefit; (4) provide information to This system of records contains Chief, Security Program Section, the Department of Justice for the information or documents relating to a Telecommunication and Operations purpose of litigating an action or decision or determination made by an Division, Information Systems, Internal seeking legal advice. Disclosure may be agency or other appropriate action Revenue Service, Department of the made during judicial processes; (5) organization (e.g., Office of Personnel Treasury, 1111 Constitution Ave., NW, provide information to other agencies to Management, Equal Employment Washington, D.C. 20224 or head of the the extent provided by law or regulation Opportunity Commission, Merit office maintaining the file. and as necessary to report apparent Systems Protection Board) affecting an violations of law to appropriate law NOTIFICATION PROCEDURE individual. The records consist of the : enforcement agencies; (6) provide initial appeal or complaint, letters or This system of records is exempt from records and information to the Office of notices to the individual, record of certain provisions of the Privacy Act. Personnel Management, Merit Systems hearings when conducted, materials Protection Board or Equal Employment RECORD ACCESS PROCEDURES: placed into the record to support the Opportunity Commission for the decision or determination, affidavits or This system of records is exempt from purpose of properly administering statements, testimonies of witnesses, certain provisions of the Privacy Act Federal Personnel Systems in investigative reports, instructions to an and may not be accessed for the purpose accordance with applicable laws, agency about action to be taken to of determining if the system contains a Executive Orders and regulations; (7) comply with decisions, and related record pertaining to a particular disclose relevant, non-privileged correspondence, opinions and individual. information to a court, magistrate, or recommendations. administrative tribunal, including the CONTESTING RECORD PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: presentation of evidence, disclosures to This system of records is exempt and 5 U.S.C. 1302, 3301, 3302, 4308, 5115, opposing counsel or witnesses in the may not be accessed for purposes of 5338, 5351, 5388, 7105, 7151, 7154, course of civil discovery, litigation, or inspection or contest of record contents. 7301, 7512, 7701 and 8347, Executive settlement negotiations, in response to a Also, 26 U.S.C. 7852(e) prohibits Order 9830, 10577, 10987, 11222, 11478 subpoena, or in connection with Privacy Act amendment of tax records. and 11491; and Pub. L. 92–261 (EEO Act criminal law proceedings; (8) provide information to officials of labor RECORD SOURCE CATEGORIES: of 1972), and Pub. L. 93–259. organizations recognized under 5 U.S.C. Records contained in the IRS Audit PURPOSE(S): Chapter 71 when relevant and necessary Trail and Security Records System are This system consists of records to their duties of exclusive obtained from three sources: (1) compiled for administrative purposes, representation; (9) provide information Information provided by authorized for appeals, grievances and complaints. to third parties during the course of an users to managers used for establishing Automated Labor and Employee investigation to the extent necessary to access control; (2) information Relations Tracking System (ALERTS) obtain information pertinent to the automatically recorded by information records are included to provide investigation; (10) provide information security audit functions of the operating administrative tracking for personnel to a congressional office in response to systems and various IRS applications administration. an inquiry made at the request of the which process IRS information; and (3) individual to whom the record pertains. information derived from IRS records in ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND POLICIES AND PRACTICES FOR STORING, paper and electronic format. THE PURPOSES OF SUCH USES: RETRIEVING, ACCESSING, RETAINING, AND EXEMPTIONS CLAIMED FOR THE SYSTEM: Disclosure of returns and return DISPOSING OF RECORDS IN THE SYSTEM: information may be only made as This system is exempt from 5 U.S.C. provided by 26 U.S.C. 6103. Records STORAGE: 552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4), other than returns and return (e)(1), (e)(4)(G), (H) and (I), and (f) of the Card files, flat paper, lists, forms, information may be used to: (1) Provide Privacy Act pursuant to 5 U.S.C. folders, binder, microfilm and information to a Member of Congress 552a(k)(2). (see 31 CFR 1.36). microfiche, punch card, and magnetic regarding the status of an appeal, media. Treasury/IRS 36.001 complaint or grievance; (2) disclose pertinent information to appropriate RETRIEVABILITY: SYSTEM NAME: Federal, State, local, or foreign agencies Indexed by the names and case Appeals, Grievances and Complaints responsible for investigating or number of the individuals on whom Records-Treasury/IRS. prosecuting the violations of, or for they are maintained. enforcing or implementing, a statute, SYSTEM LOCATION: rule, regulation, order, or license, where SAFEGUARDS: National Office, Area offices, Internal the disclosing agency becomes aware of Access controls will not be less than Revenue Service Centers/Campuses, an indication of a violation or potential those provided for by the Automated Detroit Computing Center, and the violation of civil or criminal law or Information System Security Handbook, Martinsburg Computing Center. (see IRS regulations; (3) disclose information to a IRM 2(10)00, and the Manager’s appendix A for addresses). Federal, state, or local agency, Security Handbook, IRM 1(16)12. This
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is also in conformance with existing RECORD SOURCE CATEGORIES: POLICIES AND PRACTICES FOR STORING, EEOC regulations. (1) Individual to whom the record RETRIEVING, ACCESSING, RETAINING, AND pertains; (2) Agency and/or other DISPOSING OF RECORDS IN THE SYSTEM: RETENTION AND DISPOSAL : authorized Federal officials; (3) STORAGE: Records are maintained in accordance Affidavits or statements from employee; Paper records and magnetic media. with Records Control Schedule 301— (4) Testimony of witnesses; (5) Official General Records Schedules, IRM documents relating to the appeal, RETRIEVABILITY: 1(15)59.31. grievance, or complaints; (6) Indexed by the name of the Correspondence from specific individuals on whom they are SYSTEM MANAGER(S) AND ADDRESS: organization or persons. maintained. (a) EEO Discrimination Complaint EXEMPTIONS CLAIMED FOR THE SYSTEM: SAFEGUARDS: Records—Regional Complaints Center None. Directors; (b) all other records— Access controls will not be less than Director, Human Resources Division, or Treasury/IRS 36.002 those provided by the Automated Information System Security Handbook, Chief, Personnel Branch, appropriate SYSTEM NAME: office. (See IRS appendix A for IRM 2(10)00, and the Manager’s Employee Activity Records— addresses.) Security Handbook, IRM 1(16)12. This Treasury/IRS. is in conformance with existing OPM NOTIFICATION PROCEDURE: SYSTEM LOCATION: regulations. Individuals seeking to determine if National Office, Area offices, Internal RETENTION AND DISPOSAL: this system of records contains a record Revenue Service Centers/Campuses, Records are maintained in accordance pertaining to themselves may inquire in Detroit Computing Center, and with Records Disposition Handbooks, accordance with instructions appearing Martinsburg Computing Center. (See IRS IRM 1.15.2.1 through IRM 1.15.2.31. at 31 CFR part 1, subpart C, appendix appendix A for addresses.) B. Inquiries should be addressed to: SYSTEM MANAGER(S) AND ADDRESS: Area Director for each Area whose CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Supervisor of the organizational records are to be searched; Service Current and former employees of the segment participating in the activity. Center Director for each Service Center (See IRS appendix A for addresses.) whose records are to be searched; Internal Revenue Service. Director, Martinsburg Computing Center CATEGORIES OF RECORDS IN THE SYSTEM: NOTIFICATION PROCEDURE: (for computing center employees only); This system contains records and Individuals seeking to determine if Director, Detroit Computing Center (for information relating to employee this system of records contains a record computing center employees only); activities and functions. pertaining to themselves may inquire in Regional Commissioner for each accordance with instructions appearing AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Regional Office whose records are to be at 31 CFR part 1, subpart C, appendix searched; Director, Personnel Division, 5 U.S.C. 301. B. Inquiries should be addressed as in National Office; Assistant Commissioner ‘‘Record access procedures’’ below. Human Resources, National Office; ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND Inquiring individuals need only provide Regional Counsel for each region whose THE PURPOSES OF SUCH USES: their name. records are to be searched; Assistant These records and information in Chief Counsel (Disclosure Litigation) for RECORD ACCESS PROCEDURES: these records may be used to: (1) records in the National Office of Chief Disclose information to the Department Individuals seeking access to any Counsel. (See IRS appendix A for of Justice for the purpose of litigating an record contained in this system of addresses.) Individuals should provide action or seeking legal advice. records, or seeking to contest its their name, date of birth, agency in Disclosure may be made during judicial content, may inquire in accordance with which employed, and the approximate processes; (2) disclose relevant, non- instructions appearing at 31 CFR part 1, date, and the kind of action taken by the privileged information to a court, subpart C, appendix B. Inquiries should agency when making inquiries about magistrate, or administrative tribunal, be addressed to the system manager or records. including the presentation of evidence, the individual designated to maintain the record. Inquiring individuals need RECORD ACCESS PROCEDURES: disclosures to opposing counsel or witnesses in the course of civil only provide their name. Individuals seeking access to any discovery, litigation, or settlement CONTESTING RECORD PROCEDURES: record contained in this system of negotiations, in response to a subpoena, records, or seeking to contest its or in connection with criminal law See ‘‘Record access procedures’’ content, may inquire in accordance with proceedings; (3) provide information to above. instructions appearing at 31 CFR part 1, officials of labor organization RECORD SOURCE CATEGORIES: subpart C, appendix B. Inquiries should recognized under 5 U.S.C. Chapter 71 be addressed to the appropriate official when relevant and necessary to their Information is derived only from the listed above. Individuals should provide duties of exclusive representation; (4) individual to whom the record pertains. their name, date of birth, POD, provide information to third parties EXEMPTIONS CLAIMED FOR THE SYSTEM: approximate date, and the kind of action during the course of an investigation to None. taken by the agency when requesting the extent necessary to obtain access to, or contest of, records. information pertinent to the Treasury/IRS 36.003 investigation; (5) provide information to CONTESTING RECORD PROCEDURES: a Congressional office in response to an SYSTEM NAME: See ‘‘Record access procedures’’ inquiry made at the request of the General Personnel and Payroll above. individual to whom the record pertains. Records—Treasury/IRS.
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SYSTEM LOCATION: any personnel information contained in nature, to any other appropriate agency, National Office, Area offices, Internal this notice. Payroll records included in whether Federal, State, or local, charged Revenue Service Centers, Detroit this system are data storage and file with the responsibility of investigating Computing Center, Martinsburg records system for processing payroll or prosecuting such violation or charged Computing Center, and the Tennessee and personnel actions, consisting of with enforcing or implementing the Computing Center. Payroll records are records of time and attendance, leave, statute, rule, regulation, or order issued maintained at the Detroit Computing tax withholding, bond purchases and pursuant thereto or upon request of Center. (See IRS appendix A for issuances, emergency salaries, overtime such agency when the agency is addresses.) Transaction Processing and holiday pay, optional payroll investigating the possible violation of Center, U.S. Department of Agriculture, deductions, and minority group their rules or regulations; (8) provide National Finance Center. designator codes. records to the Office of Personnel Management, Merit Systems Protection CATEGORIES OF INDIVIDUALS COVERED BY THE AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM: Board, Equal Employment Opportunity 5 U.S.C. 301, 1302, 2951, 4118, 4308 Commission, and General Accounting Prospective, current and former and 4506; and Executive Order 10561. employees of the IRS. Office for the purpose of properly PURPOSE(S): administering Federal Personnel CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of records systems or other agencies’ systems in This system consists of a variety of compiled for personnel administrative accordance with applicable laws, records relating to personnel actions purposes. Automated Labor and Executive Orders, and applicable and determinations made about an Employee Relations tracking system regulations; (9) provide information to individual while employed in the (ALERTS) records are collected and hospitals and similar institutions or Federal service. These records contain maintained in the system to provide a organizations involved in voluntary data on individuals required by the management information database. This blood donation activities; (10) provide Office of Personnel Management (OPM) system also includes automated records information to educational institutions and maintained in the Official such as the Totally Automated for recruitment and cooperative Personnel Folder (OPF). The OPF may Personnel System (TAPS). Information education purposes; (11) provide also contain letters of commendation; that supports evaluations of IRS information to a Federal, state, or local awards from non-Federal organizations; personnel may also be in this system. agency so that the agency may recommendations for Federal awards; Listing of employee pseudonyms may adjudicate an individual’s eligibility for awards; reprimands; adverse or be included in this system of records. a benefit, such as a state unemployment disciplinary charges; records relating to compensation board, housing life insurance, health insurance, ROUTINE USES OF RECORDS MAINTAINED IN THE administration agency and Social designation of beneficiary; training; and SYSTEM, INCLUDING CATEGORIES OF USERS AND Security Administration; (12) provide other records which OPM and IRS THE PURPOSES OF SUCH USES: information to financial institutions for require or permit to be maintained in These records and information in payroll purposes; (13) provide the OPF. This system also includes these records may be used to: (1) information to another agency such as records which are maintained in Provide information to a prospective the Department of Labor or Social support of a personnel action such as a employer of an IRS employee or former Security Administration and state and position management or position IRS employee; (2) provide data to local taxing authorities as required by classification action, a reduction-in- update Federal Automated Career law for payroll purposes; (14) provide force action (including such documents Systems (FACS), Executive Inventory information to Federal agencies to effect as retention registers and notices), and File, and security investigations index inter-agency salary offset; to effect inter- priority placement actions. Other on new hires, adverse actions, and agency administrative offset to the records maintained about an individual terminations; (3) provide information to consumer reporting agency for obtaining in this system are evaluation records, a Federal, state, or local agency, other commercial credit reports; and to a debt including appraisal, expectation and organizations or individuals in order to collection agency for debt collection payout records; employee performance obtain relevant and pertinent services; (15) provide information to file (EPF) records (includes performance information about an individual which officials of labor organizations ratings); suggestion files; award files; is necessary for the hiring or retention recognized under 5 U.S.C. Chapter 71 financial and tax matters; back pay files; of an individual; letting of a contract; or when relevant and necessary to their jury duty records; special emphasis the issuance of a license, grant or other duties of exclusive representation; (16) programs records, such as Upward benefit; (4) request information from a provide information to third parties Mobility and Handicapped; outside Federal, state, or local agency during the course of an investigation to employment statements; clearance upon maintaining civil, criminal, or other the extent necessary to obtain separation; Unemployment relevant enforcement or other pertinent information pertinent to the Compensation Records; adverse and agencies; (5) provide information to the investigation; (17) provide information disciplinary action files; supervisory Department of Justice for the purpose of to a congressional office in response to drop files; records relating to personnel litigating an action or seeking legal an inquiry made at the request of the actions correcting a pay problem; advice. Disclosure may be made during individual to whom the record pertains; employment of relatives; furlough/recall judicial process; (6) provide information (18) disclose relevant, non-privileged records; work measurement records; to other agencies to the extent provided information to a court, magistrate, or emergency notification, employee by law or regulation and as necessary to administrative tribunal, including the locator and current address records; report apparent violation of law to presentation of evidence, disclosure to other records relating to the status of an appropriate law enforcement agencies; opposing counsel or witnesses in the individual; Executive Resources records (7) provide information or records, course of civil discovery, litigation, or and Senior Executive Service records; where there is an indication of a settlement negotiations, in response to a Management Careers Program records; violation or potential violation of law, subpoena, or in connection with and correspondence files pertaining to whether civil, criminal, or regulatory in criminal law proceedings; (19) provide
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information to the news media in SYSTEM MANAGER(S) AND ADDRESS: CONTESTING RECORD PROCEDURES: accordance with guidelines contained in AWSS manager or Director, Human See ‘‘Record access procedures’’ 28 CFR 50.2 which relate to an agency’s Resources Branch, and Chief, Personnel above. functions relating to civil and criminal Branch, appropriate office; Executive RECORD SOURCE CATEGORIES: proceedings; (20) disclosure of Secretary, Executive Resources Board information about particular Treasury (for executive resource records); Information in this system of records employees may be made to requesting Director of Labor Relations; Chiefs, either comes from the individual to Federal agencies or non-Federal entities Transactional Processing Centers; whom it applies or is derived from under approved computer matching Director, Tennessee Computing Center; information supplied by that individual, efforts, limited to only those data Director of Support Services, Midstates except information provided by agency elements considered relevant to making Region, 4050 alpha Road, 12th Floor, officials. Payroll information is a determination of eligibility under Mail code 1100 MSRO, Dallas, TX compiled from existing master records, particular benefit programs 75244–4203; Director of Support i.e., employees’ official personnel administered by those agencies or Services, Northeast Region, PO Box folders, or the employee. Information is entities or by the Department of the 2815, Church Street Station, New York, also obtained directly from an Treasury or any constituent unit of the NY 10008; Director of Support Services, employee, payroll coordinator, or Department, to improve program Southeast Region, PO Box 926, Stop administrative officer. integrity, and to collect debts and other 160–R, Atlanta, GA 30370; Director of EXEMPTIONS CLAIMED FOR THE SYSTEM: monies owed under those programs; Support Services, Western Region, 1650 None. (21) respond to state and local Mission Street, Room 511, San authorities for support garnishment Francisco, CA 94103. Treasury/IRS 36.005 interrogatories; and (22) provide information to private creditors for the NOTIFICATION PROCEDURE: SYSTEM NAME: purpose of garnishment of wages of an Individuals seeking to determine if Medical Records-Treasury/IRS. employee if a debt has been reduced to this system of records contains a record SYSTEM LOCATION: a judgement. pertaining to themselves may inquire in (1) Applicants and current IRS accordance with instructions appearing DISCLOSURE TO CONSUMER REPORTING employees: National Office, Area at 31 CFR part 1, subpart C, appendix AGENCIES: offices, Internal Revenue Service B. Inquiries should be addressed to: Centers/Campuses, Detroit Computing Disclosures pursuant to 5 U.S.C. Area Director for each Area whose Center, and the Martinsburg Computing 552a(b)(12). Disclosures of debt records are to be searched; Service Center. (See IRS appendix A for information concerning a claim against Center Director for each Service Center addresses.); (2) Former IRS employees: an individual may be made from this whose records are to be searched; National Personnel Records Center, system to consumer reporting agencies Director, Martinsburg Computing Center 9700 Page Blvd., St. Louis, Missouri as defined in the Fair Credit Reporting (for computing center employees only); 63132. Records may also be maintained Act (15 U.S.C. 1681a(f)) or the Federal Director, Detroit Computing Center (for in the offices listed under (1) above. Claims Collection Act of 1966 (31 U.S.C. computing center employees only); 3701(a)(3)). Regional Commissioner for each CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: POLICIES AND PRACTICES FOR STORING, Regional Office whose records are to be RETRIEVING, ACCESSING, RETAINING, AND searched; Director, Human Resources (1) Applicants for IRS employment; DISPOSING OF RECORDS IN THE SYSTEM: Division, National Office; for each (2) Applicants rejected on medical appropriate Division in the National grounds; (3) Applicants for disability STORAGE: Office; Counsel for each area whose retirement under the Civil Service Magnetic media, discs, forms, records are to be searched; Assistant Retirement Law; (4) IRS employees; (5) punched cards, flat paper, lists, card Chief Counsel (Disclosure and Privacy Former IRS employees; (6) Visitors of files, forms, folders, binders, microfilm Law) for records in the National Office IRS offices who require medical and microfiche. of Chief Counsel; (See IRS appendix A attention while on the premises. for addresses.) Inquiries should include RETRIEVABILITY: name, date of birth, social security CATEGORIES OF RECORDS IN THE SYSTEM: Records are indexed by any number and post-of-duty. (1) Applications for IRS employment combination of name, birth date, social containing information relating to an security number, or employee RECORD ACCESS PROCEDURES: individual’s medical qualifications to identification number. Individuals seeking access to any hold a position in the IRS; (2) record contained in this system of Applications rejected on medical SAFEGUARDS: records, or seeking to contest its grounds. Information relating to an Access controls will be not less than content, may inquire in accordance with applicant’s rejection for a position those provided by the Automated instructions appearing at 31 CFR part 1, because of medical reasons; (3) Information System Security Handbook, subpart C, appendix B. Inquiries should Disability retirement records. IRM 2(10)00, and the Manager’s be addressed to the appropriate official Information relating to an individual’s Security Handbook, IRM 1(16)12. This listed above. Former IRS employees capability (physical or mental) to is also in conformance with existing who wish to gain access to their records satisfactorily perform the duties of the OPM and GAO regulations. should direct such a request in writing, position he or she holds or held; (4) including their name, date of birth, and Health unit medical records (Federal RETENTION AND DISPOSAL: social security number, to: National civilian employees); (5) Information Records are maintained in accordance Personnel Records Center, National relating to an employee’s participation with Records Control Schedule 301— Archives and Records Administration, in an occupational health services General Records Schedules, IRM 9700 Page Boulevard, St. Louis, program; (6) Qualification examinations 1(15)59.31. Missouri 63132. (Federal employees). Information relates
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to pre-employment, or periodic re- office in response to an inquiry made at RETRIEVABILITY: qualification medical examinations to the request of the individual to whom Records are indexed by name, social assure that the incumbents are qualified the record pertains. (4) disclose security number, date of birth and/or (physically and mentally) to information to other agencies to the claim number. satisfactorily perform the duties of the extent provided by law or regulation; (5) SAFEGUARDS: position; (7) Fitness-for-duty disclosure may be made to the Access controls will not be less than examinations. Information relating to a appropriate Federal, state or local medical examination to determine an those provided by the Automated agency where there is an indication of Information System Security Handbook, individual’s physical or mental a violation or potential violation of law, condition with respect to ability to IRM 2(10)00, and the Manager’s whether civil, criminal, or regulatory in Security Handbook, IRM 1(16)12. satisfactorily perform the duties of the nature; (6) Federal, state, or local position held; (8) Alcohol/drug agencies in order to obtain or release RETENTION AND DISPOSAL: employee assistance records. relevant and pertinent information to an Records are maintained in accordance Information relating to employee agency decision concerning the hiring with Records Control Schedule 301— participation in the Federal Civilian or retention of an individual, the General Records Schedules, IRM Alcoholism and Drug Abuse Program; 1(15)59.31. (9) Injury Compensation Records. issuance of a security clearance, the Information relating to on-the-job letting of a contract or the issuance of SYSTEM MANAGER(S) AND ADDRESS: injuries of employees and former a license, grant or other benefit; (7) Director, Human Resources Branch, or employees; (10) Records relating to the disclose information to the Public Chief, Personnel Branch, appropriate Blood Donor Program; (11) Records Health Service; (8) disclose information office; Associate Chief Counsel (Finance relating to drug testing program. to an individual’s private physician and Management), Regional and Area where medical considerations or the Counsels. (See IRS appendix A for AUTHORITY FOR MAINTENANCE OF THE SYSTEM: content of medical records indicate that addresses.) Medical Information relating to the such release is appropriate; (9) disclose NOTIFICATION PROCEDURE: Retirement, Life Insurance and Health information to an agency designated Benefits Programs—5 U.S.C. Chapters employee representative where such Individuals seeking to determine if this system of records contains a record 81, 87, and 89. Information for Federal representative is required by the Office pertaining to themselves may inquire in employment—5 U.S.C. 3301. of Personnel Management; (10) disclose Information relating to the Alcoholism, accordance with instructions appearing information to hospitals and similar at 31 CFR part 1, subpart C, appendix Drug Abuse and Employee Assistance institutions or organizations Programs—Pub. L. 91–616 and 92–255 B. Inquiries should be addressed to: participating in blood donor activities; Area Director for each Area whose as amended by Pub. L. 93–282 in regard (11) disclosure of Alcoholism, Drug to confidentiality of patient records. records are to be searched; Service Abuse, and Employee Assistance Information relating to the Occupational Center Director for each Service Center records are limited under Public Laws Health Program—5 U.S.C. 7901. whose records are to be searched; Information relating to workman’s 91–616, 92–255, and 93–282; (12) Director, Martinsburg Computing Center compensation—5 U.S.C. 8101. disclose information to the Equal (for Computing Center employees only); Information relating to drug testing—5 Employment Opportunity Commission Director, Detroit Computing Center (for U.S.C. 7301. when needed to resolve a complaint; Computing Center employees only); (13) disclose relevant, non-privileged Regional Commissioner for each PURPOSE(S): information to a court, magistrate, or Regional Office whose records are to be Injury compensation records and administrative tribunal in the course of searched; Director, Human Resources records relating to drug testing are presenting evidence, including Branch, National Office; Chief, collected and maintained to effectively disclosures to opposing counsel or Management and Administration, administer the Worker’s Compensation witnesses in the course of civil National Office; Counsel for each region Program and the Drug-Free Workplace discovery, litigation, or settlement whose records are to be searched; Program. negotiations, in response to a subpoena, Assistant Chief Counsel (Enforcement or in connection with criminal law Litigation-Disclosure and Privacy Law) ROUTINE USES OF RECORDS MAINTAINED IN THE for records in the National Office of SYSTEM, INCLUDING CATEGORIES OF USERS AND proceedings; (14) provide information to Chief Counsel. (See IRS appendix A for THE PURPOSES OF SUCH USES: officials of labor organizations recognized under 5 U.S.C. Chapter 71 addresses.) Former employees should Records and information contained in direct inquiries to: The National these records may be used to: (1) when relevant and necessary to their duties of exclusive representation; (15) Personnel Records Center, 9700 Page Provide information to other Federal Blvd., St. Louis, Missouri 63132. agencies responsible for other Federal provide information to third parties during the course of an investigation to Individuals requesting information benefits programs administered by the about this system of records should Office of Workers’ Compensation the extent necessary to obtain information pertinent to the provide their full name, date of birth, Programs; Retired Military Pay Centers; social security number, name and investigation. Veterans Administration; Social address of office in which currently or Security Administration; Office of formerly employed in the Federal Personnel Management; Private POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND service, and annuity account number, if contractors engaged in providing any has been assigned. benefits under Federal contracts; (2) DISPOSING OF RECORDS IN THE SYSTEM: disclose information to the Department RECORD ACCESS PROCEDURES: STORAGE: of Justice for the purpose of litigating an Individuals seeking access to any action or seeking advice. Disclosure may Magnetic media, discs, flat paper, record contained in this system of be made during judicial processes; (3) lists, forms, folders, card files, microfilm records, or seeking to contest its provide information to a congressional and microfiche. content, may inquire in accordance with
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instructions appearing at 31 CFR part 1, PURPOSE(S): relevant, non-privileged information to subpart C, appendix B. Inquiries should This system is to determine eligibility a court, magistrate, or administrative be addressed to the appropriate official for employment. tribunal, including the presentation of listed above. evidence, disclosures to opposing ROUTINE USES OF RECORDS MAINTAINED IN THE counsel or witnesses in the course of CONTESTING RECORD PROCEDURES: SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: civil discovery, litigation, or settlement See ‘‘Record access procedures’’ negotiations, in response to a subpoena, above. These records and information in these records may be used to: (1) or in connection with criminal law RECORD SOURCE CATEGORIES: Disclose information to the Department proceedings; (10) provide information to (1) The individual to whom the record of Justice for the purpose of litigating an officials of labor organizations pertains; (2) private physicians; (3) action or seeking legal advice. recognized under 5 U.S.C. chapter 71 Medical institutions; (4) Office of Disclosure may be made during judicial when relevant and necessary to their Workers’ Compensation Programs; (5) processes; (2) disclose information to duties of exclusive representation; (11) Military Retired Pay Systems Records; other agencies to the extent provided by provide information to third parties (6) Federal civilian retirement systems law or regulation and as necessary to during the course of an investigation to other than Civil Service Retirement report apparent violations of law to the extent necessary to obtain System; (7) General Accounting office appropriate law enforcement agencies; information pertinent to the pay, leave allowance cards; (8) OPM (3) disclose information and records to investigation; (12) provide information Retirement, Life Insurance and Health the Office of Personnel Management, to a Congressional office in response to Benefits Records System; (9) OPM Merit Systems Protection Board, or the an inquiry made at the request of the Personnel Management Records System. Equal Employment Opportunity individual to whom the record pertains. EXEMPTIONS CLAIMED FOR THE SYSTEM: Commission, for the purpose of properly POLICIES AND PRACTICES FOR STORING, administering Federal Personnel None. RETRIEVING, ACCESSING, RETAINING, AND Systems in accordance with applicable DISPOSING OF RECORDS IN THE SYSTEM: laws, Executive Orders and regulations; Treasury/IRS 36.008 STORAGE: (4) refer applicants to officials of Federal SYSTEM NAME: government agencies for purposes of Magnetic tapes, punched cards, discs, Recruiting, Examining and Placement consideration for placement in positions card files, lists, flat paper, microfilm, Records-Treasury/IRS. for which an applicant has applied and microfiche, forms and folders. SYSTEM LOCATION: is qualified; to state and local RETRIEVABILITY: National Office, Area Offices, PODs, governments with permission of an Records are indexed by name, Internal Revenue Service Centers/ applicant for the purpose of combination of birth date, social Campuses, Detroit Computing Center, employment consideration; and to refer security account number, and an and Martinsburg Computing Center, current IRS employees to Federal identification number that is applicable. (See IRS appendix A for addresses.) agencies for consideration for transfer, reassignment, and promotion; (5) SAFEGUARDS: CATEGORIES OF INDIVIDUALS COVERED BY THE disclose information to educational Access Controls will not be less than SYSTEM: institutions in connection with those provided for by the Automated Applicants for IRS employment, recruiting efforts; (6) disclose Information System Security Handbook, current and former employees. information or records where there is an IRM 2(10)00, and the Manager’s indication of a violation or potential Security Handbook, IRM 1(16)12. This CATEGORIES OF RECORDS IN THE SYSTEM: violation of law, whether civil, criminal is in conformance with existing OPM These records contain information or regulatory in nature, to any other regulations. relating to education, training, appropriate agency, whether Federal, employment history and earnings, tests, RETENTION AND DISPOSAL: state or local charged with the results of written tests, test scores, responsibility of investigating or Records are maintained in accordance qualification determinations, prosecuting such violation or charged with Records Control Schedule 301— evaluations, appraisals of potential, with enforcing or implementing the General Records Schedules, IRM interview records, responses to test statute, or rule; (7) request information 1(15)59.31. items and questionnaires, honors, and from a Federal, state or local agency awards or fellowships. Other SYSTEM MANAGER(S) AND ADDRESS: information maintained in the records maintaining civil, criminal, or other Director, Human Resources Branch (or includes military service, date of birth, relevant enforcement or other pertinent equivalent), or Chief, Personnel Branch birthplace, SSN, home address. Records information, such as licenses, if (or equivalent), appropriate office. (See may also be maintained on suitability necessary to obtain relevant information IRS appendix A for addresses.) determinations, employee participation to an agency decision concerning the NOTIFICATION PROCEDURE: in special emphasis, placement and hiring or retention of an employee, the recruiting programs, and employee issuance of a security clearance, the Individuals seeking to determine if turnover records. This system also letting of a contract, or the issuance of this system of records contains a record includes correspondence files relating to a license, grant or other benefit; (8) pertaining to themselves may inquire in the above mentioned records. Personnel provide information to a Federal agency, accordance with instructions appearing research and test validation records are in response to its request, in connection at 31 CFR part 1, subpart C, appendix included in this system. with the hiring or retention of an B. Inquiries should be addressed to: employee, the letting of a contract, or Area Director for each Area whose AUTHORITY FOR MAINTENANCE OF THE SYSTEM: issuance of a license, grant, or other records are to be searched; Service 5 U.S.C. 1302, 3109, 3301, 3302, 3304, benefit by the requesting agency to the Center Director for each Service Center 3306, 3307, 3309, 3313, 3317, 3318, extent that the information is relevant whose records are to be searched; 3319, 3326, 3349, 4103, 5532, 5533 and and necessary to the requesting agency’s Director, Martinsburg Computing Center 5723; Executive Order 10577 and 11103. decision on that matter; (9) disclose (for Computing Center employees only);
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Director, Detroit Computing Center (for CATEGORIES OF INDIVIDUALS COVERED BY THE Group Life Insurance Program to the Computing Center employees only); SYSTEM: Office of Federal Employees’ Group Life Commissioner for each Office whose (1) IRS employees who are covered by Insurance, 4 East 24th Street, New York, records are to be searched; Director, the Civil Service Retirement System N.Y. 10010; (3) provide information Personnel Branch, National Office; (CSRS) or the Federal Employees necessary to support a claim for health Chief, Management and Administration, Retirement System (FERS); (2) IRS insurance benefits under the Federal National Office; or other appropriate employees who have either declined or Employees’ Health Benefits Program to official. (See appendix A.) Individuals are covered by the Federal Employees’ a health insurance carrier or plan should provide name, date of birth, Group Life Insurance Program or the participating in the program; (4) social security number, identification Federal Employees’ Health Benefits disclose information to the Department number (if known), approximate date of Program. of Justice for the purpose of litigating an record, and title of examination or CATEGORIES OF RECORDS IN THE SYSTEM: action or seeking legal advice. announcement with which concerned. (1) Documentation of Federal service Disclosure may be made during judicial processes; (5) provide information to RECORD ACCESS PROCEDURES: creditable under CSRS/FERS; (2) Documentation of coverage or other agencies to the extent provided by Individuals seeking access to any declination of coverage under the law or regulation and as necessary to record contained in this system of Federal Employees’ Group Life report apparent violations of law to records, or seeking to contest its Insurance Program, and the Federal appropriate law enforcement agencies; content, may inquire in accordance with Employees’ Health Benefits Program; (3) (6) disclose information to a Federal, instructions appearing at 31 CFR part 1, Documentation of claim for refund or state, or local agency, maintaining civil, subpart C, appendix B. Inquiries should for annuity benefits under CSRS/FERS; criminal or other relevant enforcement be addressed to the appropriate official (4) Documentation of claim for survivor information or other pertinent as listed above. This system of records annuity or death benefits under CSRS/ information, which has requested may not be accessed for purposes of FERS; (5) Medical records supporting information relevant to or necessary to inspection or for contest of content of claims for disability retirement under the requesting agency’s or the bureau’s Treasury Forms 4825 (Evaluation of CSRS/FERS; (6) Designations of hiring or retention of an individual, or Candidates for Initial Executive beneficiary for benefits payable under issuance of a security clearance, license, Placement) and Treasury Form 4245 CSRS/FERS or the Federal Employees’ contract, grant, or other benefit; (7) (Report of Managerial Potential) Group Life Insurance Program; (7) All provide information and records to the prepared prior to September 27, 1975. other information necessary to enable Office of Personnel Management for the offices to recruit annuitants for short purpose of properly administering CONTESTING RECORD PROCEDURES: term assignments and to send them Federal Personnel Systems in See ‘‘Record access procedures’’ requested publications. accordance with applicable laws, above. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Executive Orders and regulations; (8) provide information to an agency 5 U.S.C. Chapters 83, 87, and 89. RECORD SOURCE CATEGORIES: designated employee representative Information in this system of records PURPOSE(S): when such representative is required either comes from the individual to Retirement, life insurance, and health under Office of Personnel Management whom it applies or is derived from insurance benefit records are collected regulations; (9) provide information to information he or she supplied, except and maintained to effectively administer hospitals and similar institutions to reports from medical personnel on the Federal Employee’s Retirement verify an employee’s coverage in the physical qualification; results of System (FERS); Civil Service Retirement Federal Employees’ Health Benefits examination which are made known to System (CSRS); Federal Employee’s Program; (10) provide information to the applicants and vouchers supplied by Group Life Insurance Plan, and the Equal Employment Opportunity references the applicant lists. Federal Employees’ Health Benefit Commission when needed to resolve a Program. complaint; (11) disclose relevant, non- EXEMPTIONS CLAIMED FOR THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE privileged information to a court, This system has been designated as SYSTEM, INCLUDING CATEGORIES OF USERS AND magistrate, or administrative tribunal exempt from certain provisions of the THE PURPOSES OF SUCH USES: including the presentation of evidence, Privacy Act. These records and information in disclosures to opposing counsel or these records may be used to: (1) witnesses in the course of civil Treasury/IRS 36.009 Provide information to the Office of discovery, litigation, or settlement negotiations, in response to a subpoena, SYSTEM NAME: Workers’ Compensation Programs, Veterans Administration Pension or in connection with criminal law Retirement, Life Insurance and Health Benefits Program, Social Security Old proceedings; (12) provide information to Benefits Records System—Treasury/IRS. Age, Survivor and Disability Insurance officials of labor organizations and Medicare Programs, and Federal recognized under 5 U.S.C. Chapter 71 SYSTEM LOCATION: civilian employee retirement systems when relevant and necessary to their National Office, Area offices, Internal other than the Civil Service Retirement duties of exclusive representation; (13) Revenue Service Centers/Campuses, the System, when requested by that provide information to third parties Detroit Computing Center, and the program or system or by the individual during the course of an investigation to Martinsburg Computing Center, (See IRS covered by this system of records, for the extent necessary to obtain appendix A for addresses.) For former use in determining an individual’s information pertinent to the employees: Records Division, Bureau of claim for benefits under such system; (2) investigation; (14) provide information Retirement, Insurance and Occupational provide information necessary to to a Congressional office in response to Health, Office of Personnel support a claim for life insurance an inquiry made at the request of the Management, Boyers, Pennsylvania. benefits under the Federal Employees’ individual to whom the record pertains.
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POLICIES AND PRACTICES FOR STORING, been separated from Federal service, he Service and, in some cases, information RETRIEVING, ACCESSING, RETAINING, AND should direct inquiries to: National regarding individuals’ fitness for DISPOSING OF RECORDS IN THE SYSTEM: Personnel Records Center, 9700 Page enrollment. STORAGE: Blvd., St. Louis, Missouri 63132. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Magnetic media, punched cards, RECORD ACCESS PROCEDURES: 31 U.S.C. 330. discs, forms, flat paper, card files, lists, Individuals seeking access to any PURPOSE(S): folders, microfilm and microfiche. record contained in this system of The purpose of this system is to retain RETRIEVABILITY: records, or seeking to contest its content, may inquire in accordance with enrollment applications, for the benefit Records are indexed by name, social instructions appearing at 31 CFR part 1, of applicants, until the time limits for security number, birth date, and by subpart C, appendix B. Inquiries should pursuing such applications have annuity or death claim number. be addressed to the appropriate official expired. SAFEGUARDS: listed above. Individuals requesting ROUTINE USES OF RECORD MAINTAINED IN THE Access Controls will not be less than information in this system of records SYSTEM, INCLUDING CATEGORIES OF USERS AND those provided by the Automated should provide their full name, date of THE PURPOSES OF SUCH USES: Information System Security Handbook, birth, social security number, claim Disclosure of returns and return IRM 2(10)00, and the Manager’s number, if assigned, and the POD in information may be made only as Security Handbook, IRM 1(16)12. This which currently or formerly employed. provided by 26 U.S.C. 6103. Records other than returns and return is also in conformance with existing CONTESTING RECORDS PROCEDURES: OPM regulations. information may be used to: (1) Disclose See ‘‘Record access procedures’’ pertinent information to appropriate RETENTION AND DISPOSAL: above. Federal, State, or foreign agencies Records are maintained in accordance RECORD SOURCE CATEGORIES: responsible for investigating or with Records Control Schedule 301— The information in this system is prosecuting the violations of, or for General Records Schedules, IRM obtained from the following sources: (1) implementing, a statute, rule, 1(15)59.31. The individual whom the information is regulation, order or license, where the about; (2) GAO Pay, Leave and disclosing agency becomes aware of an SYSTEM MANAGER(S) AND ADDRESS: Allowance Records System; (3) OPM indication of a violation or potential Director, Human Resources Branch, Personnel Management Records System; violation of civil or criminal law or and Chief, Personnel Branch, (4) NARA National Personnel Records regulation; (2) disclose information to a appropriate office. Associate Chief Center; (5) OPM Medical Records Federal, State or local agency Counsel (Finance and Management), System; (6) Federal civilian retirement maintaining civil, criminal or other Regional and Area Counsels. (See IRS systems other than Civil Service relevant enforcement information or appendix A for addresses.) Retirement System and Federal other pertinent information, which has requested information relevant to or NOTIFICATION PROCEDURE: Employees’ Retirement System; (7) Military retired pay system records; (8) necessary to the requesting agency’s or (1) Individuals seeking to determine if Office of Workers’ Compensation the bureau’s hiring or retention of an this system of records contains a record Programs; (9) Veterans Administration individual, or issuance of a security pertaining to themselves may inquire in Pension Benefits Programs; (10) Social clearance, license, contract, grant, or accordance with instructions appearing Security, Old Age, Survivor and other benefit; (3) disclose relevant, non- at 31 CFR, part 1, subpart C, appendix Disability Insurance and Medicare privileged information to a court, B. Inquiries should be addressed to: Programs. magistrate, or administrative tribunal Area Director for each Area whose including the presentation of evidence, records are to be searched; Service EXEMPTIONS CLAIMED FOR THE SYSTEM: disclosures to opposing counsel or Center Director for each Service Center None. witnesses in the course of civil whose records are to be searched; Treasury/IRS 37.001 discovery, litigation, or settlement Director, Martinsburg Computing Center negotiations, in response to a subpoena, (for Computing Center employees only); SYSTEM NAME: or in connection with criminal law Director, Detroit Computing Center (for Abandoned Enrollment proceedings; (4) provide information to Computing Center employees only); Applications—Treasury/IRS. a Congressional office in response to an Regional Commissioner for each inquiry made at the request of the SYSTEM LOCATION: Regional Office whose records are to be individual to whom the record pertains; searched; Director, Human Resources Internal Revenue Service, Office of (5) provide information to third parties Branch, National Office; Chief, Director of Practice, C:AP:P, 901 D during the course of an investigation to Management and Administration, Street, SW., Washington, DC, and the the extent necessary to obtain National Office; Regional Counsel for Detroit Computing Center, 985 Michigan information pertinent to the each region whose records are to be Ave., Detroit, MI 48226. investigation; (6) provide information to searched; Assistant Chief Counsel CATEGORIES OF INDIVIDUALS COVERED BY THE the news media in accordance with (Enforcement Litigation-Disclosure SYSTEM: guidelines contained in 28 CFR 50.2 Litigation) for records in the National Individuals who applied for which relate to an agency’s functions Office of the Chief Counsel. (see IRS enrollment to practice before the relating to civil and criminal appendix A for addresses); (2) If the Internal Revenue Service but proceedings. individual is retired from Federal subsequently abandoned their POLICIES AND PRACTICES FOR STORING, service he should direct inquiries to: applications. Associate Director for Compensation, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Office of Personnel Management, 1900 E CATEGORIES OF RECORDS IN THE SYSTEM: Street, NW, Washington, DC 20415; (3) Applications for enrollment to STORAGE: if the individual is not retired, but has practice before the Internal Revenue File folders.
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RETRIEVABILITY: Washington, DC; and (2) Detroit (5) provide information to third parties Indexed by name of applicant; Computing Center, 985 Michigan during the course of an investigation to Avenue, Detroit, MI 48226. the extent necessary to obtain SAFEGUARDS: information pertinent to the Those safeguards in effect at Federal CATEGORIES OF INDIVIDUALS COVERED BY THE investigation; (6) provide information to SYSTEM: Records Center. the news media in accordance with Individuals whose applications for RETENTION AND DISPOSAL: guidelines contained in 28 CFR 50.2 enrollment to practice before the which relate to an agency’s functions Records are periodically updated to Internal Revenue Service have been reflect changes and maintained as long relating to civil and criminal denied, including those who have proceedings. as needed. appealed such denial. POLICIES AND PRACTICES FOR STORING, SYSTEM MANAGER(S) AND ADDRESS: CATEGORIES OF RECORDS IN THE SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND Internal Revenue Service, Office of Information relating to individuals’ DISPOSING OF RECORDS IN THE SYSTEM: Director of Practice, 1111 Constitution applications and eligibility for Ave., NW., Washington, DC 20224. enrollment to practice before the STORAGE: NOTIFICATION PROCEDURE: Internal Revenue Service. File folders. Individuals wishing to be notified if AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETRIEVABILITY: they are named in this system of 31 U.S.C. 330. Indexed by name of individual. records, or gain access to records maintained in this system must submit PURPOSE(S): SAFEGUARDS: a written request containing the The purposes of this system of records Locked doors. Access is limited to following elements: (1) Identify the are to inform the Director of Practice authorized personnel. record system; (2) Identify the category personnel that certain individuals have and type of records sought; (3) Provide been denied enrollment based on RETENTION AND DISPOSAL: at least two items of secondary derogatory information and that certain Dispose 25 years after case closed; identification (date of birth, employee individuals have appealed denial of transfer to Federal Records Center 5 identification number, dates of enrollment. years after case closed except for a employment or similar information). random selection of a small number of Inquiries should be addressed as in ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND disciplinary cases to be made at 5 year ‘‘Record access procedures’’ below. THE PURPOSES OF SUCH USES: intervals for retention. RECORD ACCESS PROCEDURES: Disclosure of returns and return SYSTEM MANAGER(S) AND ADDRESS: Individuals seeking access to any information may be made only as Internal Revenue Service, Office of record contained in this system of provided by 26 U.S.C. 6103. Records Director of Practice, C:AP:P, 1111 records, or seeking to contest its other than returns and return Constitution Avenue, NW., Washington, content, may inquire in accordance with information may be used to: (1) Disclose DC 20224. instructions appearing at 31 CFR part 1, pertinent information to appropriate subpart C, appendix B. Inquiries should Federal, state, or foreign agencies NOTIFICATION PROCEDURE: be addressed to: Internal Revenue responsible for investigating or Individuals wishing to be notified if Service Office of the Director of prosecuting the violations of, or for they are named in this system of Practice, C:AP:P, 1111 Constitution Ave, implementing, a statute, rule, records, or gain access to records NW., Washington, DC 20224. regulation, order, or license, where the maintained in this system must submit disclosing agency becomes aware of an CONTESTING RECORD PROCEDURES: a written request containing the indication of a violation or potential following elements: (1) Identify the See ‘‘Record access procedures’’ violation of civil or criminal law or record system; (2) Identify the category above. regulation; (2) disclose information to a and type of records sought; (3) Provide RECORD SOURCE CATEGORIES: Federal, State or local agency at least two items of secondary Information contained in this system maintaining civil, criminal or other identification (date of birth, employee may have been provided by (1) The relevant enforcement information or identification number, dates of applicant; (2) individuals; (3) the other pertinent information, which has employment or similar information). Internal Revenue Service; (4) other requested information relevant to or Inquiries should be addressed as in government agencies, and (5) necessary to the requesting agency’s or ‘‘Record access procedures’’ below. professional organizations. the bureau’s hiring or retention of an individual, or issuance of a security RECORD ACCESS PROCEDURES: EXEMPTIONS CLAIMED FOR THE SYSTEM: clearance, license, contract, grant or Individuals seeking access to any None. other benefit; (3) disclose relevant, non- record contained in this system of privileged information to a court, records or seeking to contest its Treasury/IRS 37.002 magistrate, or administrative tribunal, contents, may inquire in accordance SYSTEM NAME: including the presentation of evidence, with instructions appearing at 31 CFR Files Containing Derogatory disclosures to opposing counsel or part 1, subpart C, appendix B. Inquiries Information about Individuals Whose witnesses in the course of civil should be addressed to the Internal Applications for Enrollment to Practice discovery, litigation, or settlement Revenue Service, Office of Director of Before the IRS Have Been Denied and negotiations, in response to a subpoena, Practice, C:AP:P, 1111 Constitution Applicant Appeal Files—Treasury/IRS. or in connection with criminal law Avenue, NW., Washington, DC 20224. proceedings; (4) provide information to SYSTEM LOCATION: a Congressional office in response to an CONTESTING RECORD PROCEDURES: (1) Internal Revenue Service, Office of inquiry made at the request of the See ‘‘Record access procedures’’ Director of Practice, 901 D Street, SW., individual to whom the record pertains; above.
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RECORD SOURCE CATEGORIES: Federal, state, or foreign agencies NOTIFICATION PROCEDURE: Information contained in this system responsible for investigating or Individuals wishing to be notified if may have been provided by: (1) prosecuting the violations of, or for they are named in this system of Individuals; (2) the Internal Revenue implementing, a statute, rule, records, or gain access to records Service; (3) other Government agencies, regulation, order, or license, where the maintained in this system must submit and (4) professional organizations. disclosing agency becomes aware of an a written request containing the indication of a violation or potential following elements: (1) Identify the EXEMPTIONS CLAIMED FOR THE SYSTEM: violation of civil or criminal law or record system; (2) Identify the category This system is exempt from 5 U.S.C. regulation; (2) disclose information to a and type of records sought; (3) Provide 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), Federal, state, or local agency, at least two items of secondary (e)(4)(I) and (f) of the Privacy Act maintaining civil, criminal or other identification (date of birth, employee pursuant to 5 U.S.C. 552a(k)(2). relevant enforcement information or identification number, dates of Treasury/IRS 37.003 other pertinent information, which has employment or similar information). requested information relevant to or Inquiries should be addressed as in SYSTEM NAME: necessary to the requesting agency’s or ‘‘Record access procedures’’ below. Closed Files Containing Derogatory the bureau’s hiring or retention of an RECORD ACCESS PROCEDURES: Information About Individuals’ Practice individual, or issuance of a security Before the Internal Revenue Service and clearance, license, contract, grant, or Individuals seeking access to any Files of Attorneys and Certified Public other benefit; (3) disclose relevant, non- record contained in this system of Accountants Formerly Enrolled to privileged information to a court, records or seeking to contest its Practice—Treasury/IRS. magistrate, or administrative tribunal, contents, may inquire in accordance including the presentation of evidence, with instructions appearing at 31 CFR SYSTEM LOCATION: disclosures to opposing counsel or part 1, subpart C, appendix B. Inquiries (1) Internal Revenue Service, Office of witnesses in the course of civil should be addressed to the Internal Director of Practice, 901 D Street SW., discovery, litigation, or settlement Revenue Service, Office of Director of Washington; and (2) Detroit Computing negotiations, in response to a subpoena, Practice, C:AP:P, 1111 Constitution Center, 985 Michigan Avenue, Detroit, or in connection with criminal law Avenue NW., Washington, DC 20224. MI 48226. proceedings; (4) provide information to CONTESTING RECORD PROCEDURES: a Congressional office in response to an CATEGORIES OF INDIVIDUALS COVERED BY THE See ‘‘Record access procedures’’ inquiry made at the request of the SYSTEM: above. Individuals eligible to practice before individual to whom the record pertains; RECORD SOURCE CATEGORIES: the Internal Revenue Service (attorneys, (5) provide information to third parties certified public accountants and during the course of an investigation to Information contained in this system enrolled agents). the extent necessary to obtain may have been provided by: (1) information pertinent to the Individuals, (2) Internal Revenue CATEGORIES OF RECORDS IN THE SYSTEM: investigation; (6) provide information to Service, (3) other government agencies, Information relating to individuals’ the news media in accordance with and (4) professional organizations. enrollments to practice before the guidelines contained in 28 CFR 50.2 EXEMPTIONS CLAIMED FOR THE SYSTEM: Internal Revenue Service and derogatory which relate to an agency’s functions and other information regarding such relating to civil and criminal This system is exempt from 5 U.S.C. practice. proceedings. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f) of the Privacy Act AUTHORITY FOR MAINTENANCE OF THE SYSTEM: POLICIES AND PRACTICES FOR STORING, pursuant to 5 U.S.C. 552a(k)(2). 31 U.S.C. 330. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Treasury/IRS 37.004 PURPOSE(S): STORAGE: SYSTEM NAME: The purposes of this system of records Derogatory Information (No Action)— are to permit Director of Practice File folders; electronic media. Treasury/IRS. personnel to evaluate new derogatory RETRIEVABILITY: information about an individual’s SYSTEM LOCATION: Indexed by name of individual. practice before the Internal Revenue Internal Revenue Service, Office of Service in light of past evidence of SAFEGUARDS: Director of Practice, C:AP:P, 901 D misconduct, and to retain information Street SW., Washington, DC. on formerly enrolled attorneys and Locked doors. Access is limited to certified public accountants whom the authorized personnel. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Director of Practice might need to RETENTION AND DISPOSAL: contact with regard to their eligibility to Attorneys, certified public practice before the Internal Revenue Dispose 25 years after case closed; accountants, enrolled agents and others. Service. transfer to Federal Records Center 5 years after case closed except for a CATEGORIES OF RECORDS IN THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE random selection of a small number of Such files contain derogatory SYSTEM, INCLUDING CATEGORIES OF USERS AND disciplinary cases to be made at 5-year information concerning attorneys, THE PURPOSES OF SUCH USES: intervals for retention. certified public accountants, and Disclosure of returns and return enrolled agents and others over whom information may be made only as SYSTEM MANAGER(S) AND ADDRESS: there is no current jurisdiction, where provided by 26 U.S.C. 6103. Records Internal Revenue Service, Office of such information is subject to future other than returns and return Director of Practice, C:AP:P, 1111 development, or where such information may be used to: (1) Disclose Constitution Avenue NW., Washington, information is not sufficiently serious to pertinent information to appropriate DC 20224. be currently considered a case file.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETRIEVABILITY: CATEGORIES OF INDIVIDUALS COVERED BY THE 31 U.S.C. 330. Indexed by name of individual. SYSTEM: Individuals formerly eligible to SAFEGUARDS: PURPOSE(S): practice before the Internal Revenue Locked doors. Access is limited to The purpose of this system of records Service but now either suspended or authorized personnel. is to permit Director of Practice disbarred from such practice after being personnel to evaluate new derogatory RETENTION AND DISPOSAL: accorded due notice and opportunity for information about an individual’s Dispose after 5 years by burning. hearing. practice before the Internal Revenue CATEGORIES OF RECORDS IN THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: Service in light of past evidence of Information relating to individuals’ Internal Revenue Service, Office of misconduct. enrollment to practice before the Director of Practice, C:AP:P, 1111 Internal Revenue Service, derogatory ROUTINE USES OF RECORDS MAINTAINED IN THE Constitution Avenue NW, Washington, and other information regarding such SYSTEM, INCLUDING CATEGORIES OF USERS AND DC 20224. THE PURPOSES OF SUCH USES: practice, and record of proceedings. NOTIFICATION PROCEDURE: Disclosure of returns and return AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Individuals wishing to be notified if information may be made only as 31 U.S.C. 330. provided by 26 U.S.C. 6103. Records they are named in this system of other than returns and return records, or gain access to records PURPOSE(S): information may be used to: (1) Disclose maintained in this system must submit The purposes of this system of records pertinent information to appropriate a written request containing the are to retain derogatory information Federal, state, or foreign agencies following elements: (1) Identify the about an individual’s practice before the responsible for investigating or record system; (2) Identify the category Internal Revenue Service, to retain a prosecuting the violations of, or for and type of records sought; (3) Provide record of how such information was implementing, a statute, rule, at least two items of secondary evaluated by Director of Practice regulation, order, or license, where the identification (date of birth, employee personnel, to retain a record of how an disclosing agency becomes aware of an identification number, dates of individual responded to allegations of indication of a violation or potential employment or similar information). misconduct, to retain a record of violation of civil or criminal law or Inquiries should be addressed as in proceeding before an administrative law regulation; (2) disclose information to a ‘‘Record access procedures’’ below. judge, to inform Director of Practice Federal, state, or local agency, RECORD ACCESS PROCEDURES: personnel that certain individuals have been suspended or disbarred, and to maintaining civil, criminal or other Individuals seeking access to any permit Director of Practice personnel to relevant enforcement information or record contained in this system of assemble and consider new information other pertinent information, which has records, or seeking to contest its bearing on an individual’s eligibility for requested information relevant to or contents, may inquire in accordance reinstatement to practice. necessary to the requesting agency’s or with instructions appearing at 31 CFR the bureau’s hiring or retention of an part 1, subpart C, appendix B. Inquiries ROUTINE USES OF RECORDS MAINTAINED IN THE individual, or issuance of a security should be addressed to the Internal SYSTEM, INCLUDING CATEGORIES OF USERS AND clearance, license, contract, grant, or Revenue Service, Office of Director of THE PURPOSES OF SUCH USES: other benefit; (3) disclose relevant, non- Practice, C:AP:P, 1111 Constitution Disclosure of returns and return privileged information to a court, Avenue NW., Washington, DC 20224. information may be made only as magistrate, or administrative tribunal, provided by 26 U.S.C. 6103. Records including the presentation of evidence, CONTESTING RECORD PROCEDURES: other than returns and return disclosures to opposing counsel or See ‘‘Record access procedures’’ information may be used to: (1) Transfer witnesses in the course of civil above. information regarding suspension or discovery, litigation, or settlement RECORD SOURCE CATEGORIES: disbarment of attorneys, certified public negotiations, in response to a subpoena, Information contained in this system accountants and enrolled agents to or in connection with criminal law professional organizations; (2) disclose proceedings; (4) provide information to may have been provided by (1) Individuals, (2) the Internal Revenue pertinent information to appropriate a congressional office in response to an Federal, State, or foreign agencies inquiry made at the request of the Service, (3) other government agencies, and (4) professional organizations. responsible for investigating or individual to whom the record pertains; prosecuting the violations of, or for (5) provide information to third parties EXEMPTIONS CLAIMED FOR THE SYSTEM: implementing, a state, rule, regulation, during the course of an investigation to This system is exempt from 5 U.S.C. order, or license, where the disclosing the extent necessary to obtain 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), agency becomes aware of an indication information pertinent to the (e)(4)(I) and (f) of the Privacy Act of a violation or potential violation of investigation; (6) provide information to pursuant to 5 U.S.C. 552a(k)(2). civil or criminal law or regulation; (3) the news media in accordance with disclose information to a Federal, state, guidelines contained in 28 CFR 50.2 Treasury/IRS 37.005 or local agency, maintaining civil, which relate to an agency’s functions SYSTEM NAME: criminal or other relevant enforcement relating to civil and criminal information or other pertinent proceedings. Present Suspensions and Disbarments Resulting from Administrative information, which has requested information relevant to or necessary to POLICIES AND PRACTICES FOR STORING, Proceeding-Treasury/IRS. RETRIEVING, ACCESSING, RETAINING, AND the requesting agency’s or the bureau’s SYSTEM LOCATION: DISPOSING OF RECORDS IN THE SYSTEM: hiring or retention of an individual, or Internal Revenue Service, Office of issuance of a security clearance, license, STORAGE: Director of Practice, C:AP:P, 901 D contract, grant, or other benefit; (4) File folders; electronic media. Street, SW, Washington, DC. disclose relevant, non-privileged
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information to a court, magistrate, or with instructions appearing at 31 CFR or local agency, maintaining civil, administrative tribunal, including the part 1, subpart C, appendix B. Inquiries criminal or other relevant enforcement presentation of evidence, disclosures to should be addressed to the Internal information or other pertinent opposing counsel or witnesses in the Revenue Service, Office of Director of information, which has requested course of civil discovery, litigation, or Practice, C:AP:P, 1111 Constitution information relevant to or necessary to settlement negotiations, in response to a Avenue NW, Washington, DC 20224. the requesting agency’s or the bureau’s subpoena, or in connection with hiring or retention of an individual, or criminal law proceedings; (5) provide CONTESTING RECORD PROCEDURES: issuance of a security clearance, license, information to a congressional office in See ‘‘Record access procedures’’ contract, grant, or other benefit; (3) response to an inquiry made at the above. disclose relevant, non-privileged request of the individual to whom the RECORD SOURCE CATEGORIES: information to a court, magistrate, or record pertains; (6) provide information administrative tribunal, including the to third parties during the course of an Information contained in this system presentation of evidence, disclosures to investigation to the extent necessary to may have been provided by: (1) opposing counsel or witnesses in the obtain information pertinent to the Individuals, (2) Internal Revenue course of civil discovery, litigation, or investigation; (7) provide information to Service, (3) other government agencies, settlement negotiations, in response to a the news media in accordance with and (4) professional organizations. subpoena, or in connection with guidelines contained in 28 CFR 50.2 EXEMPTIONS CLAIMED FOR THE SYSTEM: criminal law proceedings; (4) provide which relate to an agency’s functions This system is exempt from 5 U.S.C. information to a congressional office in relating to civil and criminal 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), response to an inquiry made at the proceedings. (e)(4)(I) and (f) of the Privacy Act request of the individual to whom the record pertains; (5) provide information POLICIES AND PRACTICES FOR STORING, pursuant to 5 U.S.C. 552a(k)(2). to third parties during the course of an RETRIEVING, ACCESSING, RETAINING, AND Treasury/IRS 37.006 DISPOSING OF RECORDS IN THE SYSTEM: investigation to the extent necessary to obtain information pertinent to the SYSTEM NAME: STORAGE: investigation; (6) provide information to File folders; electronic media. General Correspondence File- the news media in accordance with Treasury/IRS. guidelines contained in 28 CFR 50.2 RETRIEVABILITY: SYSTEM LOCATION: which relate to any agency’s functions Indexed by name of individual. relating to civil and criminal Internal Revenue Service, Office of proceedings. SAFEGUARDS: Director of Practice, 901 D Street SW., Locked doors. Access is limited to Washington, DC. POLICIES AND PRACTICES FOR STORING, authorized personnel. RETRIEVING, ACCESSING, RETAINING, AND CATEGORIES OF INDIVIDUALS COVERED BY THE DISPOSING OF RECORDS IN THE SYSTEM: RETENTION AND DISPOSAL: SYSTEM: STORAGE: Dispose 25 years after case closed; General public. transfer to Federal Records Center 5 File folders. CATEGORIES OF RECORDS IN THE SYSTEM: years after case closed except for a RETRIEVABILITY: General inquiries and comments from random selection of a small number of Correspondence is indexed the general public. disciplinary cases to be made at 5-year alphabetically by writer. intervals for retention. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SAFEGUARDS: SYSTEM MANAGER(S) AND ADDRESS: 31 U.S.C. 330. Locked doors. Access is limited to Internal Revenue Service, Office of authorized personnel. Director of Practice, C:AP:P, 1111 PURPOSE(S): Constitution Avenue NW., Washington, The purpose of this system is to RETENTION AND DISPOSAL: DC 20224. permit Director of Practice personnel to Destroyed after 3 years. retrieve selected correspondence from NOTIFICATION PROCEDURE: the general public by the SYSTEM MANAGER(S) AND ADDRESS: Individuals wishing to be notified if correspondent’s last name. Internal Revenue Service, Office of they are named in this system of Director of Practice, C:AP:P, 1111 records, or gain access to records ROUTINE USES OF RECORDS MAINTAINED IN THE Constitution Avenue, NW., Washington, maintained in this system must submit SYSTEM, INCLUDING CATEGORIES OF USERS AND DC 20224. THE PURPOSES OF SUCH USES: a written request containing the following elements: (1) Identify the Disclosure of returns and return NOTIFICATION PROCEDURE: record system; (2) Identify the category information may be made only as Individuals wishing to be notified if and type of records sought; (3) Provide provided by 26 U.S.C. 6103. Records they are named in this system of at least two items of secondary other than returns and return records, or gain access to records identification (date of birth, employee information may be used to: (1) Disclose maintained in this system must submit identification number, dates of pertinent information to appropriate a written request containing the employment or similar information). Federal, state, or foreign agencies following elements: (1) Identify the Inquiries should be addressed as in responsible for investigating or record system; (2) Identify the category ‘‘Record access procedures’’ below. prosecuting the violations of, or for and type of records sought; (3) Provide implementing, a state, rule, regulation, at least two items of secondary RECORD ACCESS PROCEDURES: order, or license, where the disclosing identification (date of birth, employee Individuals seeking access to any agency becomes aware of an indication identification number, dates of record contained in this system of of a violation or potential violation of employment or similar information). records, or seeking to contest its civil or criminal law or regulation; (2) Inquiries should be addressed as in contents, may inquire in accordance disclose information to a Federal, state, ‘‘Record access procedures’’ below.
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RECORD ACCESS PROCEDURES: information about an individual’s SAFEGUARDS: Individuals seeking access to any practice before the Internal Revenue Locked doors. Access is limited to record contained in this system of Service, to permit Director of Practice authorized personnel. records, or seeking to contest its personnel to evaluate such information contents, may inquire in accordance and an individual’s response to RETENTION AND DISPOSAL: with instructions appearing at 31 CFR allegations of misconduct, and to permit Dispose 25 years after case closed; part 1, subpart C, appendix B. Inquiries Director of Practice personnel to make transfer to Federal Records Center 5 should be addressed to the Internal recommendations as to the disposition years after case is closed except for a Revenue Service, Office of Director of of cases. random selection of a small number of Practice, C:AP:P, 1111 Constitution ROUTINE USES OF RECORDS MAINTAINED IN THE disciplinary cases to be made at 5-year Avenue, NW., Washington, DC 20224. SYSTEM, INCLUDING CATEGORIES OF USERS AND intervals for retention. CONTESTING RECORD PROCEDURES: THE PURPOSES OF SUCH USES: SYSTEM MANAGER(S) AND ADDRESS: See ‘‘Record access procedures’’ Disclosure of returns and return above. information may be made only as Internal Revenue Service, Office of provided by 26 U.S.C. 6103. Records Director of Practice, C:AP:P, 1111 RECORD SOURCE CATEGORIES: other than returns and return Constitution Avenue NW, Washington, Information contained in this system information may be used to: (1) Disclose DC 20224. has been provided by the general public. pertinent information to appropriate NOTIFICATION PROCEDURE: Federal, state, or foreign agencies EXEMPTIONS CLAIMED FOR THE SYSTEM: responsible for investigating or Individuals wishing to be notified if None. prosecuting the violations of, or for they are named in this system of Treasury/IRS 37.007 implementing, a statute, rule, records, or gain access to records regulation, order, or license, where the maintained in this system must submit SYSTEM NAME: disclosing agency becomes aware of an a written request containing the Inventory-Treasury/IRS. indication of a violation or potential following elements: (1) Identify the violation of civil or criminal law or record system; (2) Identify the category SYSTEM LOCATION: regulation; (2) disclose information to a and type of records sought; (3) Provide Internal Revenue Service, Office of Federal, state, or local agency, at least two items of secondary Director of Practice, C:AP:P, 901 D maintaining civil, criminal or other identification (date of birth, employee Street, SW. Washington, DC; Internal relevant enforcement information or identification number, dates of Revenue Service, Long Island Appeals, other pertinent information, which has employment or similar information). 50 Clinton Street, Hempstead, NY requested information relevant to or Inquiries should be addressed as in 11550; and Internal Revenue Service, necessary to the requesting agency’s or ‘‘Record access procedures’’ below. Appeals Office, 701 Market Street, Suite the bureau’s hiring or retention of an 2200, Philadelphia, PA 19106. individual, or issuance of a security RECORD ACCESS PROCEDURES: Individuals seeking access to any CATEGORIES OF INDIVIDUALS COVERED BY THE clearance, license, contract, grant, or SYSTEM: other benefit; (3) disclose relevant, non- record contained in this system of records, or seeking to contest its (1) Attorneys, certified public privileged information to a court, contents, may inquire in accordance accountants and enrolled agents about magistrate, or administrative tribunal, with instructions appearing at 31 CFR which alleged misconduct in their including the presentation of evidence, part 1, subpart C, appendix B. Inquiries practice before the Internal Revenue disclosures to opposing counsel or should be addressed to the Internal Service is being reviewed and witnesses in the course of civil Revenue Service, Office of Director of evaluated; (2) Appraisers who have been discovery, litigation, or settlement Practice, C:AP:P, 1111 Constitution referred to the Director of Practice for negotiations, in response to a subpoena, Avenue NW, Washington, DC 20224. review and evaluation of conduct which or in connection with criminal law proceedings; (4) provide information to resulted in assessment of a penalty CONTESTING RECORD PROCEDURES: under 26 U.S.C. 6701(s); and (3) a congressional office in response to an See ‘‘Record access procedures’’ Applicants for enrollment to practice inquiry made at the request of the above. before the Internal Revenue Service individual to whom the record pertains; (5) provide information to third parties whose applications are being reviewed RECORD SOURCE CATEGORIES: and evaluated. during the course of an investigation to the extent necessary to obtain Information contained in this system CATEGORIES OF RECORDS IN THE SYSTEM: information pertinent to the may have been provided by: (1) Information relating to individuals’ investigation; (6) provide information to Individuals, (2) Internal Revenue enrollment or eligibility to practice the news media in accordance with Service, (3) other government agencies, before the Internal Revenue Service, and guidelines contained in 28 CFR 50.2 and (4) professional organizations. information relating to their conduct in which relate to an agency’s functions EXEMPTIONS CLAIMED FOR THE SYSTEM: such practice; and information relating relating to civil and criminal to appraisers and applicants for proceedings. This system is exempt from 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), enrollment. POLICIES AND PRACTICES FOR STORING, (e)(4)(I) and (f) of the Privacy Act AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: pursuant to 5 U.S.C. 552a(k)(2). 31 U.S.C. 330. STORAGE: Treasury/IRS 37.008 PURPOSE(S): File folders; electronic media. The purposes of this system of records SYSTEM NAME: are to inform Director of Practice RETRIEVABILITY: Register of Docketed Cases and personnel of current derogatory Indexed by name of individual. Applicant Appeals -Treasury/IRS.
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SYSTEM LOCATION: discovery, litigation, or settlement CONTESTING RECORD PROCEDURES: Internal Revenue Service, Office of negotiations, in response to a subpoena, See ‘‘Record access procedures’’ Director of Practice, C:AP:P, 901 D or in connection with criminal law above. Street SW, Washington, DC. proceedings; (4) provide information to a congressional office in response to an RECORD SOURCE CATEGORIES: CATEGORIES OF INDIVIDUALS COVERED BY THE inquiry made at the request of the Information contained in this system SYSTEM: individual to whom the record pertains; may have been provided by: (1) This Individuals against whom complaints (5) provide information to third parties office, (2) administrative law judges and have been filed with the Office of during the course of an investigation to (3) the Internal Revenue Service. Director of Practice pursuant to Title 31, the extent necessary to obtain EXEMPTIONS CLAIMED FOR THE SYSTEM: CFR, subpart C, § 10.54, for alleged information pertinent to the violation of the regulations governing investigation; (6) provide information to None. practice before the Internal Revenue the news media in accordance with Treasury/IRS 37.009 Service and individuals who have guidelines contained in 28 CFR 50.2 appealed to the Secretary of the which relate to an agency’s functions SYSTEM NAME: Treasury, the denials of their relating to civil and criminal Enrolled Agents and Resigned application for enrollment to practice proceedings. Enrolled Agents (Action pursuant to 31 before the Internal Revenue Service. CFR 10.55(b))—Treasury/IRS. POLICIES AND PRACTICES FOR STORING, CATEGORIES OF RECORDS IN THE SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND SYSTEM LOCATION: Record of actions taken in cases DISPOSING OF RECORDS IN THE SYSTEM: Detroit Computing Center, 985 docketed for hearings and record of STORAGE: Michigan Avenue, Detroit, MI 48226. actions taken on appeals from denials of File folders; electronic media. applications for enrollment. CATEGORIES OF INDIVIDUALS COVERED BY THE RETRIEVABILITY: SYSTEM: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Those individuals who are currently 31 U.S.C. 330. Indexed by complaint number and by name of the individual. enrolled to practice before the Internal PURPOSE(S): Revenue Service and those who were SAFEGUARDS: The purposes of this system of records formerly enrolled to practice before the are to permit Director of Practice Locked doors. Access is limited to Internal Revenue Service and who personnel to assign sequential numbers authorized personnel. resigned from such enrollment. to cases in which complaints will be RETENTION AND DISPOSAL: CATEGORIES OF RECORDS IN THE SYSTEM: issued and to inform Director of Practice Records are periodically updated to Information relating to individuals’ personnel of which cases are on appeal reflect changes and maintained as long applications for enrollment to practice with the Secretary of the Treasury. as needed. before the Internal Revenue Service and ROUTINE USES OF RECORDS MAINTAINED IN THE derogatory and other information SYSTEM MANAGER(S) AND ADDRESS: SYSTEM, INCLUDING CATEGORIES OF USERS AND regarding such practice. THE PURPOSES OF SUCH USES: Internal Revenue Service, Office of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Disclosure of returns and return Director of Practice, C:AP:P, 1111 information may be made only as Constitution Avenue NW, Washington, 31 U.S.C. 330. DC 20224. provided by 26 U.S.C. 6103. Records PURPOSE(S): other than returns and return NOTIFICATION PROCEDURE: The purposes of this system of records information may be used to: (1) Disclose Individuals wishing to be notified if are to retain derogatory information pertinent information to appropriate they are named in this system of about an individual’s practice before the Federal, state, or foreign agencies records, or gain access to records Internal Revenue Service, to retain a responsible for investigating or maintained in this system must submit record of how such information was prosecuting the violations of, or for a written request containing the evaluated, to retain a record of how an implementing, a statute, rule, following elements: (1) Identify the individual responded to allegations of regulation, order, or license, where the record system; (2) Identify the category misconduct, to inform Director of disclosing agency becomes aware of an and type of records sought; (3) Provide Practice personnel that certain indication of a violation or potential at least two items of secondary individuals, pursuant to 31 CFR, section violation of civil or criminal law or identification (date of birth, employee 10.55(b), have offered their consent to regulation; (2) disclose information to a identification number, dates of suspension or offered to resign as Federal, state, or local agency, employment or similar information). enrolled agents and that such offers maintaining civil, criminal or other Inquiries should be addressed as in have been accepted by the Director of relevant enforcement information or ‘‘Record access procedures’’ below. Practice, and to permit Director of other pertinent information, which has RECORD ACCESS PROCEDURES: Practice personnel to assemble and requested information relevant to or consider new information bearing on an necessary to the requesting agency’s or Individuals seeking access to any individual’s eligibility for reinstatement the bureau’s hiring or retention of an record contained in this system of to practice. individual, or issuance of a security records, or seeking to contest its clearance, license, contract, grant, or contents, may inquire in accordance ROUTINE USES OF RECORDS MAINTAINED IN THE other benefit; (3) disclose relevant, non- with instructions appearing at 31 CFR SYSTEM, INCLUDING CATEGORIES OF USERS AND privileged information to a court, part 1, subpart C, appendix B. Inquiries THE PURPOSES OF SUCH USES: magistrate, or administrative tribunal, should be addressed to the Internal Disclosure of returns and return including the presentation of evidence, Revenue Service, Office of Director of information may be made only as disclosures to opposing counsel or Practice, C:AP:P, 1111 Constitution provided by 26 U.S.C. 6103. Records witnesses in the course of civil Avenue NW, Washington, DC 20224. other than returns and return
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information may be used to: (1) Disclose maintained in this system must submit PURPOSE(S): pertinent information to appropriate a written request containing the The purposes of this system of records Federal, state, or foreign agencies following elements: (1) Identify the are to inform Director of Practice responsible for investigating or record system; (2) Identify the category personnel that certain individuals were prosecuting the violations of, or for and type of records sought; (3) Provide enrolled to practice before the Internal implementing, a statute, rule, at least two items of secondary Revenue Service prior to enactment of regulation, order or license, where the identification (date of birth, employee the Agency Practice Act, 5 U.S.C., disclosing agency becomes aware of an identification number, dates of section 500, and to inform Director of indication of a violation or potential employment or similar information). Practice personnel that certain violation of civil or criminal law or Inquiries should be addressed as in individuals have not renewed their regulation; (2) disclose information to a ‘‘Record access procedures’’ below. enrollment. Federal, state, or local agency, RECORD ACCESS PROCEDURES: maintaining civil, criminal or other ROUTINE USES OF RECORDS MAINTAINED IN THE relevant enforcement information or Individuals seeking access to any SYSTEM, INCLUDING CATEGORIES OF USERS AND other pertinent information, which has record contained in this system of THE PURPOSES OF SUCH USES: requested information relevant to or records, or seeking to contest its Disclosure of returns and return necessary to the requesting agency’s or contents, may inquire in accordance information may be made only as the bureau’s hiring or retention of an with instructions appearing at 31 CFR provided by 26 U.S.C. 6103. Records individual, or issuance of a security part 1, subpart C, appendix B. Inquiries other than returns and return clearance, license, contract, grant, or should be addressed to the Internal information may be used to: (1) Disclose other benefit; (3) disclose relevant, non- Revenue Service, Office of Director of pertinent information to appropriate privileged information to a court, Practice, C:AP:P, 1111 Constitution Federal, state, or foreign agencies magistrate, or administrative tribunal, Avenue NW, Washington, DC 20224. responsible for investigating or including the presentation of evidence, CONTESTING RECORD PROCEDURES: prosecuting the violations of, or for disclosures to opposing counsel or See ‘‘Record access procedures’’ implementing, a statute, rule, witnesses in the course of civil above. regulation, order or license, where the discovery, litigation, or settlement disclosing agency becomes aware of an negotiations, in response to a subpoena, RECORD SOURCE CATEGORIES: indication of a violation or potential or in connection with criminal law Information contained in this system violation of civil or criminal law or proceedings; (4) provide information to may have been provided by (1) regulation; (2) disclose information to a a congressional office in response to an Individuals, (2) Internal Revenue Federal, state, or local agency, inquiry made at the request of the Service; (3) other government agencies, maintaining civil, criminal or other individual to whom the record pertains; and (4) professional organizations. relevant enforcement information or (5) provide information to third parties other pertinent information, which has EXEMPTIONS CLAIMED FOR THE SYSTEM: during the course of an investigation to requested information relevant to or This system is exempt from 5 U.S.C. the extent necessary to obtain necessary to the requesting agency’s or 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), information pertinent to the the bureau’s hiring or retention of an (e)(4)(I) and (f) of the Privacy Act investigation; (6) provide information to individual, or issuance of a security pursuant to 5 U.S.C. 552a(k)(2). the news media in accordance with clearance, license, contract, grant, or guidelines contained in 28 CFR 50.2 Treasury/IRS 37.010 other benefit; (3) disclose relevant, non- which relate to an agency’s functions privileged information to a court, relating to civil and criminal SYSTEM NAME: magistrate, or administrative tribunal, proceedings. Roster of Former Enrollees—Treasury/ including the presentation of evidence, IRS. disclosures to opposing counsel or POLICIES AND PRACTICES FOR STORING, witnesses in the course of civil RETRIEVING, ACCESSING, RETAINING, AND SYSTEM LOCATION: discovery, litigation, or settlement DISPOSING OF RECORDS IN THE SYSTEM: Internal Revenue Service, Office of Director of Practice, C:AP:P, 901 D negotiations, in response to a subpoena, STORAGE: or in connection with criminal law File folders; electronic media. Street SW, Washington, DC; and Detroit Computing Center, 985 Michigan proceedings; (4) provide information to a congressional office in response to an RETRIEVABILITY: Avenue, Detroit, MI 48226. inquiry made at the request of the Indexed by name of individual. CATEGORIES OF INDIVIDUALS COVERED BY THE individual to whom the record pertains; SAFEGUARDS: SYSTEM: (5) provide information to third parties Locked doors. Access is limited to Attorneys and certified public during the course of an investigation to authorized personnel. accountants who were enrolled to the extent necessary to obtain practice before the Internal Revenue information pertinent to the RETENTION AND DISPOSAL: Service prior to enactment of the investigation; (6) provide information to Destroyed 60 years after enrollment. Agency Practice Act, Title 5 U.S. Code, the news media in accordance with section 500 and former enrolled agents guidelines contained in 28 CFR 50.2 SYSTEM MANAGER(S) AND ADDRESS: who do not renew their enrollment. which relate to an agency’s functions Internal Revenue Service, Office of relating to civil and criminal CATEGORIES OF RECORDS IN THE SYSTEM: Director of Practice, C:AP:P, 1111 proceedings. Constitution Avenue NW, Washington, This system contains individuals’ DC 20224. names, addresses, professions, the dates POLICIES AND PRACTICES FOR STORING, of their enrollments and the expiration RETRIEVING, ACCESSING, RETAINING, AND NOTIFICATION PROCEDURE: dates of such enrollments. DISPOSING OF RECORDS IN THE SYSTEM: Individuals wishing to be notified if they are named in this system of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: STORAGE: records, or gain access to records 31 U.S.C. 330. File folders; electronic media.
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RETRIEVABILITY: CATEGORIES OF INDIVIDUALS COVERED BY THE magistrate, or administrative tribunal, Indexed by profession (i.e., attorney SYSTEM: including the presentation of evidence, or certified public accountant) and by Attorneys, certified public disclosures to opposing counsel or the individual’s name. accountants and enrolled agents who witnesses in the course of civil have offered their consent to voluntary discovery, litigation, or settlement SAFEGUARDS: suspension from practice before the negotiations, in response to a subpoena, Locked doors. Access is limited to Internal Revenue Service. or in connection with criminal law authorized personnel. CATEGORIES OF RECORDS IN THE SYSTEM: proceedings; (4) provide information to a congressional office in response to an RETENTION AND DISPOSAL: Information relating to individuals’ inquiry made at the request of the Records are periodically updated to enrollment or eligibility to practice individual to whom the record pertains; reflect changes and maintained as long before the Internal Revenue Service, (5) provide information to third parties as needed. derogatory and other information during the course of an investigation to relating to their conduct in such SYSTEM MANAGER(S) AND ADDRESS: the extent necessary to obtain practice. Internal Revenue Service, Office of information pertinent to the Director of Practice, C:AP:P, 1111 AUTHORITY FOR MAINTENANCE OF THE SYSTEM: investigation; (6) provide information to Constitution Avenue NW, Washington, 31 U.S.C. 330. the news media in accordance with DC 20224. guidelines contained in 28 CFR 50.2 PURPOSE(S): which relate to an agency’s functions NOTIFICATION PROCEDURE: The purposes of this system of records relating to civil and criminal Individuals wishing to be notified if are to retain derogatory information proceedings. they are named in this system of about an individual’s practice before the records, or gain access to records Internal Revenue Service, to retain a POLICIES AND PRACTICES FOR STORING, maintained in this system must submit record of how such information was RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: a written request containing the evaluated by Director of Practice following elements: (1) Identify the personnel, to retain a record of how an STORAGE: record system; (2) Identify the category individual responded to allegations of File folders; electronic media. and type of records sought; (3) Provide misconduct, to inform Director of at least two items of secondary Practice personnel that certain RETRIEVABILITY: identification (date of birth, employee individuals, pursuant to 31 CFR Indexed by name of individual. identification number, dates of 10.55(b), have offered their consent to SAFEGUARDS: employment or similar information). suspension and that such offers have Locked doors. Access is limited to Inquiries should be addressed as in been accepted by the Director of authorized personnel. ‘‘Record access procedures’’ below. Practice, and to permit Director of RECORD ACCESS PROCEDURES: Practice personnel to assemble and RETENTION AND DISPOSAL: consider new information bearing on an Individuals seeking access to any Dispose 25 years after case closed; individual’s eligibility for reinstatement record contained in this system of transfer to Federal Records Center 5 to practice. records, or seeking to contest its years after case closed except for a contents, may inquire in accordance ROUTINE USES OF RECORDS MAINTAINED IN THE random selection of a small number of with instructions appearing at 31 CFR SYSTEM, INCLUDING CATEGORIES OF USERS AND disciplinary cases to be made at 5-year part 1, subpart C, appendix B. Inquiries THE PURPOSES OF SUCH USES: intervals for retention. should be addressed to the Internal These records and information in SYSTEM MANAGER(S) AND ADDRESS: Revenue Service, Office of Director of these records may be used: Disclosure of Internal Revenue Service, Office of Practice, C:AP:P, 1111 Constitution returns and return information may be Director of Practice, C:AP:P, 1111 Avenue NW, Washington, DC 20224. made only as provided by 26 U.S.C. 6103. Records other than returns and Constitution Avenue NW., Washington, CONTESTING RECORD PROCEDURES: return information may be used to: (1) DC 20224. See ‘‘Record access procedures’’ Disclose pertinent information to NOTIFICATION PROCEDURE: above. appropriate Federal, state, or foreign Individuals wishing to be notified if RECORD SOURCE CATEGORIES: agencies responsible for investigating or they are named in this system of Information contained in records in prosecuting the violations of, or for records, or gain access to records this system has been provided by: (1) implementing, a statute, rule, maintained in this system must submit Individuals and (2) the Internal Revenue regulation, order, or license, where the a written request containing the Service. disclosing agency becomes aware of an following elements: (1) Identify the indication of a violation or potential record system; (2) Identify the category EXEMPTIONS CLAIMED FOR THE SYSTEM: violation of civil or criminal law or and type of records sought; (3) Provide None. regulation; (2) disclose information to a at least two items of secondary Federal, state, or local agency, Treasury/IRS 37.011 identification (date of birth, employee maintaining civil, criminal or other identification number, dates of SYSTEM NAME: relevant enforcement information or employment or similar information). Present Suspensions from Practice other pertinent information, which has Inquiries should be addressed as in before the Internal Revenue Service— requested information relevant to or ‘‘Record access procedures’’ below. Treasury/IRS. necessary to the requesting agency’s or the bureau’s hiring or retention of an RECORD ACCESS PROCEDURES: SYSTEM LOCATION: individual, or issuance of a security Individuals seeking access to any Internal Revenue Service, Office of clearance, license, contract, grant, or record contained in this system of Director of Practice, C:AP:P, 901 D other benefit; (3) disclose relevant, non- records, or seeking to contest its Street, SW., Washington, DC. privileged information to a court, contents, may inquire in accordance
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with instructions appearing at 31 CFR training requirements, nominations, NOTIFICATION PROCEDURE: part 1, subpart C, appendix B. Inquiries student training registration, instructor Individuals seeking to determine if should be addressed to the Internal lists, course rosters, course evaluations, this system of records contains a record Revenue Service, Office of Director of counseling records, examination pertaining to themselves may inquire in Practice, C:AP:P, 1111 Constitution materials, and accounting and financial accordance with instructions appearing Avenue NW., Washington, DC 20224. information, with regard to training at 31 CFR, part 1, subpart C, appendix reporting and evaluation purposes. B. Inquiries should be addressed as in CONTESTING RECORD PROCEDURES: ‘‘Record access procedures’’ below. See ‘‘Record access procedures’’ ROUTINE USES OF RECORDS MAINTAINED IN THE above. SYSTEM, INCLUDING CATEGORIES OF USERS AND RECORD ACCESS PROCEDURES: THE PURPOSES OF SUCH USES: Individuals seeking access to any RECORD SOURCE CATEGORIES: Records and information from these record contained in this system of Information contained in this system records may be used to: (1) Disclosure records, or seeking to contest its may have been provided by: (1) of information to the Department of content, may inquire in accordance with Individuals, (2) the Internal Revenue Justice for the purpose of litigating an instructions appearing at 31 CFR part 1, Service, (3) other government agencies, action or seeking legal advice. subpart C, appendix B. Inquiries should and (4) professional organizations. Disclosure may be made during judicial be addressed to the system manager(s) EXEMPTIONS CLAIMED FOR THE SYSTEM: processes; (2) provide information to a in the office(s) where records to be searched are located. (See appendix A This system is exempt from 5 U.S.C. congressional office in response to an for addresses.) 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), inquiry made at the request of the individual to whom the record pertains; (e)(4)(I) and (f) of the Privacy Act CONTESTING RECORD PROCEDURES: pursuant to 5 U.S.C. 552a(k)(2). (3) provide input data for the automated Training CPDF at the Office of See ‘‘Record access procedures’’ Treasury/IRS 38.001 Personnel Management. above. RECORD SOURCE CATEGORIES: SYSTEM NAME: POLICIES AND PRACTICES FOR STORING, General Training Records—Treasury/ RETRIEVING, ACCESSING, RETAINING, AND Information is extracted from IRS. DISPOSING OF RECORDS IN THE SYSTEM: participant registration forms, individual development plans, skill SYSTEM LOCATION: STORAGE: surveys, personnel records, and other National Office, Area Offices, Internal Magnetic media, index cards, forms, forms as may be developed and Revenue Service Centers, Detroit or flat paper. prescribed by OPM, Treasury, and IRS Computing Center and the Martinsburg Training Personnel. RETRIEVABILITY: Computing Center. (See IRS appendix A EXEMPTIONS CLAIMED FOR THE SYSTEM: for addresses.) Computer records are indexed by social security account numbers, course None. CATEGORIES OF INDIVIDUALS COVERED BY THE titles, dates of training, location of Treasury/IRS 42.001 SYSTEM: training and by specific employee IRS employees who have participated information (i.e., name, title, grade, SYSTEM NAME: in or who may be scheduled for training etc.); other records are indexed by name Examination Administrative File— activities (students, instructors, program and course title. Treasury/IRS. managers, etc.). Other Federal or non- Government individuals who have SAFEGUARDS: SYSTEM LOCATION: participated in or assisted with training Access Controls will not be less than National Office; Area offices, and programs (students, instructors, course those provided by the Automated Internal Revenue Service Centers. (See developers, interpreters, etc.). Information System Security Handbook, IRS appendix A for addresses.) CATEGORIES OF RECORDS IN THE SYSTEM: IRM 2(10)00. Individual computer CATEGORIES OF INDIVIDUALS COVERED BY THE records are available to those persons at Variety of records containing SYSTEM: OPM, Treasury or IRS who are directly information about an individual related Any taxpayer who is being considered involved with the training function. to training, such as: course rosters, for examination or is being or has been examined for tax determination student registrations, nomination forms, RETENTION AND DISPOSAL: course evaluations, instructor lists, purposes, i.e., income, estate and gift, Records are maintained in accordance individual development plans, excise, or employment tax liability. with Records Control Schedule 301— counseling records, examination General Records Schedules, IRM CATEGORIES OF RECORDS IN THE SYSTEM: materials, payment records, and other 1(15)59.31. Records containing investigatory recordations of training necessary for materials required in making a tax reporting and evaluative purposes. SYSTEM MANAGER(S) AND ADDRESS: determination or other verification in Some records within this system may All Education Branch Chiefs, Support the administration of tax laws and all also be contained in TR/IRS 36.003, Services Division, at the National Office; other related sub-files directly related to General Personnel Records. Office of the Assistant Commissioner the processing of the tax case. These AUTHORITY FOR MAINTENANCE OF THE SYSTEM: (International); National Director of records may concern any compliance 5 U.S.C. Chapter 41; Executive Order Education; Managers in Corporate determinations, including for section 11348. Education; Chief, Headquarters 527 organizations. This system also Operations and Training; Managers at includes other management material PURPOSE(S): the Detroit and Martinsburg Computing related to a case and used for tax These records are collected and Centers; Regional Directors, and Host administrative purposes, including the maintained to provide documentation of Site Support Chiefs. (see appendix A for appeals process and systems formerly individual training development plans, addresses.) published as 42.018, 42.023, and 42.025.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RECORD SOURCE CATEGORIES: ROUTINE USES OF RECORDS MAINTAINED IN THE 5 U.S.C. 301; 26 U.S.C. 7602, 7801, (1) Taxpayers’ returns; (2) taxpayer’s SYSTEM, INCLUDING CATEGORIES OF USERS AND and 7802. books and records; (3) informants and THE PURPOSES OF SUCH USES: third party information; (4) city and Disclosure of returns and return PURPOSE(S): state governments; (5) other Federal information may be made only as Numerous tax returns are examined agencies; (6) examinations of related provided by 26 U.S.C. 6103. each year. The system provides a taxpayers; (7) examinations of other complete record of the examinations of POLICIES AND PRACTICES FOR STORING, taxpayers, and (8) taxpayer’s RETRIEVING, ACCESSING, RETAINING, AND tax returns. It also allows IRS access to representative. DISPOSING OF RECORDS IN THE SYSTEM: investigatory materials and management materials relating to examinations for EXEMPTIONS CLAIMED FOR THE SYSTEM: STORAGE: purposes of tax administration and This system has been designated as Computer, microfiche, paper. analysis of taxpayer compliance. exempt from certain provisions of the RETRIEVABILITY: Privacy Act. ROUTINE USES OF RECORDS MAINTAINED IN THE By taxpayer identification number SYSTEM, INCLUDING CATEGORIES OF USES AND Treasury/IRS 42.008 (social security number or employer THE PURPOSES OF SUCH USES: identification number). Disclosure of returns and return SYSTEM NAME: SAFEGUARDS: information may be made only as Audit Information Management provided by 26 U.S.C. 6103. System (AIMS)-Treasury/IRS. Access controls will not be less than those provided for by Managers Security POLICIES AND PRACTICES FOR STORING, SYSTEM LOCATION: Handbook, IRM 1(16)12 and the RETRIEVING, ACCESSING, RETAINING, AND This system is composed of (1) Automated Information System Security DISPOSING OF RECORDS IN THE SYSTEM: computer files located at each Handbook, IRM 2(10)00. STORAGE: jurisdictional IRS Service Center (where RETENTION AND DISPOSAL: tax return is under examination Paper documents, machine-sensible Computer Record: Examined closings, control); (2) video terminals located at data media, microfilm. surveyed claims and some types of non- each jurisdictional area (served by an examined closings are dropped from the RETRIEVABILITY: IRS Service Center), National Office; data base 60 days after closing or when By taxpayer’s name, taxpayer and (3) group control card forms 5345 assessment verification is completed, identification number (social security and 5354 (including temporary and whichever is later. The balance of non- number or employer identification interim processing files for management examined closings are dropped at the number) and document locator number. and control purposes), located at each end of the month following the month jurisdictional area office. Items SAFEGUARDS: of closing. Paper Records: Generally, described under (3) above are subfiles of Access controls will not be less than AIMS forms are destroyed within 90 the AIMS System. (See IRS appendix A those provided for by Managers Security days of the closing. Exceptions include: for addresses.) Handbook, IRM 1(16)12 and the (1) The charge-out which becomes part Automated Information System Security CATEGORIES OF INDIVIDUALS COVERED BY THE of the case file and is sent to the Federal Handbook, IRM 2(10)00. SYSTEM: Records Center with the case; (2) Examination request forms which RETENTION AND DISPOSAL: Taxpayers whose tax returns are under the jurisdiction of the become the Examination group’s control Records are maintained in accordance Examination Division. Examiners card; and (3) The Examination group’s with Records Control Schedule 202 for assigned to taxpayer cases. control card which is retained in a Examination—Regional and Area closed file for 3 years (in the case of Offices, IRM 1(15)59.22. CATEGORIES OF RECORDS IN THE SYSTEM: field examinations) and 90 days (in the SYSTEM MANAGER(S) AND ADDRESS: Tax return information from the case of office examinations). Authority: Records Disposition Handbooks, IRM Official prescribing policies and Master File, Tax return status and 1.15.2.1 through IRM 1.15.2.31. practices ‘‘ Head of the Office that location changes, Examination Closing information on examined and non- maintains the file-Wage and Investment, SYSTEM MANAGER(S) AND ADDRESS: examined tax returns, examiner’s name, Small Business/Self employed, Tax Official prescribing policies and Exempt Government Entities, Large and including related internal management information and a code identifying practices ‘‘ Management Official( SB/SE, Mid Size Business, Area Directors, and TE/GE. W&I). Officials maintaining the Internal Revenue Service Center taxpayers that threatened or assaulted IRS employees. system -, Area Directors, and Internal Directors. (See IRS appendix A for Revenue Service Center Directors. (See addresses.) AUTHORITY FOR MAINTENANCE OF THE SYSTEM: IRS appendix A for addresses.)
NOTIFICATION PROCEDURE: 5 U.S.C. 301; 26 U.S.C. 7602, 7801 NOTIFICATION PROCEDURE: and 7802. This system is exempt from the This system is exempt from the notification provisions of the Privacy PURPOSE(S): notification provisions of the Privacy Act. AIMS is a computer system designed Act. RECORD ACCESS PROCEDURES: to give Examination Division RECORD ACCESS PROCEDURES: This system is exempt from the access information about returns in inventory This system is exempt from the access and contest provisions of the Privacy and closed returns. This allows IRS to and contest provisions of the Privacy Act. identify the status and location of tax Act. returns in Examination and prepare CONTESTING RECORD PROCEDURES: analyses of the examination process. It CONTESTING RECORD PROCEDURES: 26 U.S.C. 7852(e) prohibits Privacy includes Exam Returns Control System 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. (ERCS) records. Act amendment of tax records.
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RECORD SOURCE CATEGORIES: Examination Division—National Office, Revenue Service employees considered Tax Returns and Examination files. IRM 1.15.2.16. for examination, being examined, or previously examined. EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: This system has been designated as Officials prescribing policies and ROUTINE USES OF RECORDS MAINTAINED IN THE exempt from certain provisions of the practices—Assistant Commissioner SYSTEM, INCLUDING CATEGORIES OF USERS AND Privacy Act. (W&I, SB/SE,TE/GE, LMSB ) and THE PURPOSES OF SUCH USES: Director(International). Officials Disclosure of returns and return Treasury/IRS 42.013 maintaining the system—Director of information may be made only as SYSTEM NAME: appropriate area where the taxpayer provided by 26 U.S.C. 6103. Project Files for the Uniform resides. (See IRS appendix A for POLICIES AND PRACTICES FOR STORING, Application of Laws as a Result of addresses.) RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Technical Determinations and Court NOTIFICATION PROCEDURE: Decisions-Treasury/IRS. Individuals seeking to determine if STORAGE: SYSTEM LOCATION: this system of records contains a record Paper documents, machine-sensible Area offices. (See IRS appendix A for pertaining to themselves may inquire in data media, microfilm. addresses.) accordance with instructions appearing RETRIEVABILITY: at 31 CFR part 1, subpart C, appendix CATEGORIES OF INDIVIDUALS COVERED BY THE B. Inquiries should be addressed as in By employee’s name and social SYSTEM: ‘‘Record access procedures’’ below. security number. Individuals grouped as to project, i.e., individual shareholders of a corporation RECORD ACCESS PROCEDURES: SAFEGUARDS: where a determination having a tax Individuals seeking access to any Access controls will not be less than effect has been made. record contained in this system of those provided for by Managers Security records, or seeking to contest its Handbook, IRM 1(16)12 and the CATEGORIES OF RECORDS IN THE SYSTEM: content, may inquire in accordance with Automated Information System Security Listing of individuals and their instructions appearing at 31 CFR part 1, Handbook, IRM 2(10)00. income tax information. subpart C, appendix B. Inquiries should RETENTION AND DISPOSAL: be addressed to the Area Director in the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Records are maintained in accordance Area where the records are located. (See 5 U.S.C. 301; 26 U.S.C. 7602, 7801 with Records Disposition Handbooks, IRS appendix A for addresses.) and 7802. IRM 1.15.2.1 through IRM 1.15.2.31. Contesting record procedures: 26 U.S.C. Generally, records are periodically PURPOSE(S): 7852(e) prohibits Privacy Act updated to reflect changes and retained In some instances, a technical amendment of tax records. determination either from an as long as the individual is employed. RECORD SOURCE CATEGORIES: examination or from a Chief Counsel SYSTEM MANAGER(S) AND ADDRESS: (1) Shareholder records, (2) ruling or court decision will result in Official prescribing policies and individual’s tax return, and (3) tax effect to shareholders of a practices—Assistant Commissioner examination of related taxpayer. corporation. This system allows the IRS (Examination). Officials maintaining the to monitor and control the shareholder EXEMPTIONS CLAIMED FOR THE SYSTEM: system—Director of Area where returns that are included in the project. None. individual resides. (See IRS appendix A ROUTINE USES OF RECORDS MAINTAINED IN THE for addresses.) SYSTEM, INCLUDING CATEGORIES OF USERS AND Treasury/IRS 42.014 NOTIFICATION PROCEDURE: THE PURPOSES OF SUCH USES: SYSTEM NAME: Disclosure of returns and return Individuals seeking to determine if Internal Revenue Service Employees’ this system of records contains a record information may be made only as Returns Control Files-Treasury/IRS. provided by 26 U.S.C. 6103. pertaining to themselves may inquire in SYSTEM LOCATION: accordance with instructions appearing POLICIES AND PRACTICES FOR STORING, at 31 CFR part 1, subpart C, appendix Area Offices (See IRS appendix A for RETRIEVING, ACCESSING, RETAINING, AND B. Inquiries should be addressed as in addresses.) DISPOSING OF RECORDS IN THE SYSTEM: ‘‘Record access procedures’’ below. STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE RECORD ACCESS PROCEDURES: Paper documents and magnetic SYSTEM: Individuals seeking access to any media. Any individual who is employed by the Internal Revenue Service. record contained in this system of RETRIEVABILITY: records, or seeking to contest its By taxpayer’s name and social CATEGORIES OF RECORDS IN THE SYSTEM: content, may inquire in accordance with security number. Alphabetical listing of employee, instructions appearing at 31 CFR part 1, income tax return information including subpart C, appendix B. Inquiries should SAFEGUARDS: prior examination results and other tax be addressed to the Area Director in the Access controls will not be less than related information. Area where the records are located. (See those provided for by Managers Security IRS appendix A for addresses.) Handbook, IRM 1(16)12 and the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Automated Information System Security 5 U.S.C. 301; 26 U.S.C. 7602, 7801 CONTESTING RECORD PROCEDURES: Handbook, IRM 2(10)00. and 7802. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. RETENTION AND DISPOSAL: PURPOSE(S): Records are maintained in accordance This system provides administrative RECORD SOURCE CATEGORIES: with Records Control Schedule 102 for controls for tax returns of Internal Employee’s tax return.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: two years, whichever occurs first. PURPOSE(S): None. Authority: Records Disposition The purpose is to monitor the Handbook IRM 1.15.2.1 through IRM International Enforcement Program. It Treasury/IRS 42.016 1.15.2.31. provides data for the preparation of periodic reports, the analysis of which SYSTEM NAME: SYSTEM MANAGER(S) AND ADDRESS: Classification/Centralized Files and is the basis to determine the Official prescribing policies and effectiveness of the program. Scheduling Files-Treasury/IRS. practices—Assistant Commissioner ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM LOCATION: (Examination). Officials maintaining the system—Area Directors, Internal SYSTEM, INCLUDING CATEGORIES OF USERS AND Area Offices, Internal Revenue Revenue Service Center Directors. (See THE PURPOSES OF SUCH USES: Service Centers. (See IRS appendix A IRS appendix A for addresses.) Disclosure of returns and return for addresses.) information may be made only as NOTIFICATION PROCEDURE: CATEGORIES OF INDIVIDUALS COVERED BY THE provided by 26 U.S.C. 6103. SYSTEM: This system is exempt from the POLICIES AND PRACTICES FOR STORING, Individuals whose returns or claims notification provisions of the Privacy Act. RETRIEVING, ACCESSING, RETAINING, AND are classified for examination. DISPOSING OF RECORDS IN THE SYSTEM: RECORD ACCESS PROCEDURES: CATEGORIES OF RECORDS IN THE SYSTEM: STORAGE: Individuals’ tax returns/claims and This system is exempt from the access Paper documents, microfilm, machine other information, including and contest provisions of the Privacy sensible magnetic media. information reports considered in Act. RETRIEVABILITY: screening/classifying of an individual’s CONTESTING RECORD PROCEDURES: By individual’s name and social return or claim for refund. 26 U.S.C. 7852(e) prohibits Privacy security number. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Act amendment of tax records. SAFEGUARDS: 5 U.S.C. 301; 26 U.S.C. 7602, 7801 RECORD SOURCE CATEGORIES: Access controls will not be less than and 7802. (1) Tax returns, (2) requests from those provided for by Managers Security taxpayer, and (3) requests from SB/SE, PURPOSE(S): Handbook, IRM 1(16)12 and the W&I, LMSB Division for prompt This is a system for storage and Automated Information System Security examination. control of returns identified for Handbook, IRM 2(10)00. potential examination. It provides for EXEMPTIONS CLAIMED FOR THE SYSTEM: RETENTION AND DISPOSAL: the centralized storage of returns prior This system has been designated as Records are maintained in accordance to scheduling for examination and a exempt from certain provisions of the with Records Disposition Handbooks, means to control and access these Privacy Act. returns as needed. IRM 1.15.2.1 through IRM 1.15.2.31. Treasury/IRS 42.017 Generally, records are periodically ROUTINE USES OF RECORDS MAINTAINED IN THE updated to reflect changes and retained SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM NAME: as long as the individual has substantial THE PURPOSES OF SUCH USES: International Enforcement Program foreign business/financial activities. Disclosure of returns and return Files-Treasury/IRS. information may be made only as SYSTEM MANAGER(S) AND ADDRESS: provided by 26 U.S.C. 6103. SYSTEM LOCATION: Officials prescribing policies and Office of the Assistant Commissioner practices—Director (International). POLICIES AND PRACTICES FOR STORING, (International), National Office; Area RETRIEVING, ACCESSING, RETAINING, AND Officials maintaining the system— DISPOSING OF RECORDS IN THE SYSTEM: Offices, and Internal Revenue Service Director (International), Area Directors, Centers. (See IRS appendix A for Internal Revenue Service Center STORAGE: addresses.) Directors. (See IRS appendix A for Paper documents, computer printouts, addresses.) magnetic media. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: NOTIFICATION PROCEDURE: RETRIEVABILITY: Any individual having foreign This system is exempt from the By taxpayer’s name and social business/financial activities. notification provisions of the Privacy security number. CATEGORIES OF RECORDS IN THE SYSTEM: Act. SAFEGUARDS: Listing of individuals, identification RECORD ACCESS PROCEDURES: Access controls will not be less than numbers (if known), summary of This system is exempt from the access those provided for by Managers Security income expenses, financial information and contest provisions of the Privacy Handbook, IRM 1(16)12 and the as to foreign operations or financial Act. Automated Information System Security transactions, acquisition of foreign Handbook, IRM 2(10)00. stock, controlling interest of a foreign CONTESTING RECORD PROCEDURES: corporation, organization or 26 U.S.C. 7852(e) prohibits Privacy RETENTION AND DISPOSAL: reorganization of foreign corporation Act amendment of tax records. Returns/claims accepted as filed are examination results, information returned to System of Records 22.034. concerning potential tax liability, etc. RECORD SOURCE CATEGORIES: Returns/claims selected for examination (1) European treaty countries, (2) become part of System of Records AUTHORITY FOR MAINTENANCE OF THE SYSTEM: individual’s tax returns, (3) examination 42.001. Other information is retained 5 U.S.C. 301; 26 U.S.C. 7602, 7801 of related taxpayers, and (4) public until associated with returns/claims or and 7802. sources of information.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: SAFEGUARDS: CATEGORIES OF INDIVIDUALS COVERED BY THE This system has been designated as Access controls will not be less than SYSTEM: exempt from certain provisions of the those provided for by Managers Security Individuals required to file Form Privacy Act. Handbook, IRM 1(16)12 and the 5471, Information Return with respect Automated Information System Security to a Foreign Corporation. Treasury/IRS 42.021 Handbook, IRM 2(10)00. CATEGORIES OF RECORDS IN THE SYSTEM: SYSTEM NAME: RETENTION AND DISPOSAL: Names of individuals filing on foreign Compliance Programs and Projects holdings. Files-Treasury/IRS. W–4 paper case files and National Computer Center (NCC) magnetic tape AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM LOCATION: records are destroyed two years after the 5 U.S.C. 301; 26 U.S.C. 7602, 7801 National Office, Area Offices, and cases have been inactive. Records and 7802. Internal Revenue Service Centers. (See associated with the examination of IRS appendix A for addresses.) returns are disposed of in accordance PURPOSE(S): with the established Retention Schedule The purpose is to monitor the CATEGORIES OF INDIVIDUALS COVERED BY THE 1(15)59.22, Records Control Schedule. International Enforcement Program. It SYSTEM: Records not associated with the provides data for the preparation of Taxpayers who may be involved in examination of returns will be destroyed periodic reports, the analysis of which tax evasion schemes or noncompliance at the completion of the program or is the basis to determine the schemes, including withholding project, or in accordance with Records effectiveness of the program. noncompliance or other areas of Disposition Handbooks, IRM 1.15.2.1 noncompliance grouped by industry, through IRM 1.15.2.31. ROUTINE USES OF RECORDS MAINTAINED IN THE occupation, or financial transactions, SYSTEM, INCLUDING CATEGORIES OF USERS AND and other; e.g., return preparers, SYSTEM MANAGER(S) AND ADDRESS: THE PURPOSES OF SUCH USES: political contributions, corporate Head of the Office where the file Disclosure of returns and return kickbacks, questionable Forms W–4. resides. (See IRS appendix A for information may be made only as provided by 26 U.S.C. 6103. CATEGORIES OF RECORDS IN THE SYSTEM: addresses.) POLICIES AND PRACTICES FOR STORING, Records pertaining to individuals in NOTIFICATION PROCEDURE: projects and programs, and records used RETRIEVING, ACCESSING, RETAINING, AND This system of records may not be DISPOSING OF RECORDS IN THE SYSTEM: to consider individuals for selection in accessed for purposes of determining if projects and programs. STORAGE: the system contains a record pertaining Magnetic tape in Detroit Computing to a particular individual. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Center and Philadelphia Service Center; 5 U.S.C. 301; 26 U.S.C. 7602, 7801 RECORD ACCESS PROCEDURES: Paper at other listed locations, machine- and 7802. This system of records may not be sensible data media and microfilm. PURPOSE(S): accessed for purposes of inspection or RETRIEVABILITY: This system provides a means to for contest of content of records. By taxpayer’s name. monitor and control information related to special programs and projects to CONTESTING RECORD PROCEDURES: SAFEGUARDS: identify areas of non-compliance. Using 26 U.S.C. 7852(e) prohibits Privacy Access controls will not be less than this information, available efforts can be Act amendment of tax records. those provided for by Managers Security focused on the more significant non- Handbook, IRM 1(16)12 and the RECORD SOURCE CATEGORIES: compliance issues. This system includes Automated Information System Security Midwest Automated Compliance (1) Taxpayer’s return, (2) taxpayer’s Handbook, IRM 2(10)00. System (MACS) records and records books and records, (3) informants and RETENTION AND DISPOSAL: concerning tax preparers. Certain third party information, (4) city, state records in this system (for example, government, (5) other Federal agencies, Records are maintained in accordance MACS) may be used to select (6) examinations of related taxpayers, with Records Disposition Handbooks, individuals for compliance actions. and (7) taxpayer’s employer. IRM 1.15.2.1 through IRM 1.15.2.31. Generally, records are disposed of ROUTINE USES OF RECORDS MAINTAINED IN THE EXEMPTIONS CLAIMED FOR THE SYSTEM: within three years. SYSTEM, INCLUDING CATEGORIES OF USERS AND This system has been designated as SYSTEM MANAGER(S) AND ADDRESS: THE PURPOSES OF SUCH USES: exempt from certain provisions of the Disclosure of returns and return Privacy Act. Official prescribing policies and information may be made only as practices—Director(International), provided by 26 U.S.C. 6103. Treasury/IRS 42.027 National Office. Officials maintaining the system—AreaAREA Directors SYSTEM NAME: POLICIES AND PRACTICES FOR STORING, Director (International), National Office; RETRIEVING, ACCESSING, RETAINING, AND Data on Taxpayers Filing on Foreign Director, Detroit Computing Center; DISPOSING OF RECORDS IN THE SYSTEM: Holdings-Treasury/IRS. Assistant Commissioner (Wage and STORAGE: Investment and Small Business Self SYSTEM LOCATION: Paper records, machine-sensible data Employeds), National Office. (See IRS media, microfilm, and magnetic media. Office of the Assistant Commissioner appendix A for addresses.) (International), National Office, Area RETRIEVABILITY: Offices, Philadelphia Internal Revenue NOTIFICATION PROCEDURE: By taxpayer’s name and social Service Center, and the Detroit Individuals seeking to determine if security number, document locator Computing Center. (See IRS appendix A this system of records contains a record number or other unique identifier. for addresses.) pertaining to themselves may inquire in
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accordance with instructions appearing POLICIES AND PRACTICES FOR STORING, adjustments and seek administrative at 31 CFR part 1, subpart C, appendix RETRIEVING, ACCESSING, RETAINING, AND review. B. Inquiries should be addressed as in DISPOSING OF RECORDS IN THE SYSTEM: CATEGORIES OF RECORDS IN THE SYSTEM: ‘‘Record access procedures’’ below. STORAGE: Tax returns, Revenue Agents’ Reports, RECORD ACCESS PROCEDURES: Magnetic tape and computer printout. Appeals Supporting Statements, case Individuals seeking access to any RETRIEVABILITY: correspondence, appeals papers and record contained in this system of By individual’s social security documents relating to arbitration, legal records may inquire in accordance with number. opinions, work papers, and Appeals instructions appearing at 31 CFR part 1, closing actions. SAFEGUARDS: subpart C, appendix B. Inquiries should AUTHORITY FOR MAINTENANCE OF THE SYSTEM: be addressed to the Area Director for Access controls will not be less than 26 U.S.C. 7801 and 7802. each area whose records are to be those provided for by Managers Security accessed or contested, or to the Handbook, IRM 1(16)12 and the ROUTINE USES OF RECORDS MAINTAINED IN THE directors, or Assistant Commissioner Automated Information System Security SYSTEM, INCLUDING CATEGORIES OF USERS AND (International) in the case of records in Handbook, IRM 2(10)00. THE PURPOSES OF SUCH USES: the National Office. (See IRS appendix Disclosure of returns and return A for addresses.) RETENTION AND DISPOSAL: information may be made only as Records are maintained in accordance provided by 26 U.S.C. 6103. CONTESTING RECORD PROCEDURES: with Record Disposition Handbooks, 26 U.S.C. 7852(e) prohibits Privacy IRM 1.15.2.1 though IRM 1.15.2.31. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND Act amendment of tax records. Generally, records are disposed of after DISPOSING OF RECORDS IN THE SYSTEM: three years. RECORD SOURCE CATEGORIES: STORAGE: Form 5471 only. SYSTEM MANAGER(S) AND ADDRESS: Paper records and magnetic media. Official prescribing policies and RETRIEVABILITY: EXEMPTIONS CLAIMED FOR THE SYSTEM: practices—Assistant Commissioner None. (W&I, SB/SE, TE/GE, L, MSB ) and By name of taxpayer. Director (International). Officials Treasury/IRS 42.030 SAFEGUARDS: maintaining the system—Internal Locked file cabinets, locked doors, SYSTEM NAME: Revenue Service Center Directors. (See IRS employees access data only on a Discriminant Function File (DIF)- IRS appendix A for addresses.) need to know basis. Treasury/IRS. NOTIFICATION PROCEDURE: RETENTION AND DISPOSAL: SYSTEM LOCATION: This system of records may not be Records are maintained in accordance Internal Revenue Service Centers. accessed for purpose of determining if with Record Disposition Handbooks, (See IRS appendix A for addresses.) the system contains a record pertaining IRM 1.15.2.1 though IRM 1.15.2.31. to a particular individual. Records are disposed of by shredding. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: RECORD ACCESS PROCEDURES: SYSTEM MANAGER(S) AND ADDRESS: Individuals whose income tax returns This System of records may not be Director of Appeals, Internal Revenue have a DIF Score higher than a cutoff accessed for the purpose of inspection Service, 901 D Street, SW., Box 68, score determined by Examination and or for contest of content of records. Washington, DC 20024; Regional Directors of Appeals (See IRS appendix International, indicating high audit CONTESTING RECORD PROCEDURES: potential, based on formulae prescribed A for addresses.) 26 U.S.C. 7852(e) prohibits Privacy by Examination. Act amendment of tax records. NOTIFICATION PROCEDURE: CATEGORIES OF RECORDS IN THE SYSTEM: This system of records may not be RECORD SOURCE CATEGORIES: Document Locator Number of the accessed for purposes of determining if Individual’s tax return information. return, the Regional and Area Offices of the system contains a record pertaining to a particular individual. the taxpayer, the taxpayer’s DIF Score EXEMPTIONS CLAIMED FOR THE SYSTEM: and data from the individual’s Income This system has been designated as RECORD ACCESS PROCEDURES: Tax Return needed to conduct an audit exempt from certain provisions of the This system of records may not be of his/her return. Privacy Act. accessed for purposes of inspection or for contest of content of records. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Treasury/IRS 44.001 5 U.S.C. 301; 26 U.S.C. 7602, 7801 CONTESTING RECORD PROCEDURES: and 7802. SYSTEM NAME: 26 U.S.C. 7852(e) prohibits Privacy Appeals Case Files—Treasury/IRS. Act amendment of tax records. PURPOSE(S): These records provide the means to SYSTEM LOCATION: RECORD SOURCE CATEGORIES: identify returns with the highest Office of the National Director of This system of records contains potential for examination. Appeals, National Office; Regional investigatory material compiled for law Directors of Appeals (See IRS appendix enforcement purposes whose sources ROUTINE USES OF RECORDS MAINTAINED IN THE A for addresses.) need not be reported. SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: CATEGORIES OF INDIVIDUALS COVERED BY THE EXEMPTIONS CLAIMED FOR THE SYSTEM: Disclosure of returns and return SYSTEM: This system has been designated as information may be made only as Taxpayers who disagree with exempt from certain provisions of the provided by 26 U.S.C. 6103. examiner’s findings and proposed Privacy Act.
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Treasury/IRS 44.003 at 31 CFR part 1, subpart C, appendix enforcing or implementing, a statute, B. Inquiries should be addressed as in rule, regulation, order, or license, where SYSTEM NAME: ‘‘Record access procedures’’ below. the disclosing agency becomes aware of Appeals Centralized Data System- an indication of a violation or potential Treasury/IRS. RECORD ACCESS PROCEDURES: violation of civil or criminal law or Individuals seeking access to any SYSTEM LOCATION: regulation; (3) disclose information to a record contained in this system of Federal, state, or local agency, Office of the National Director of records, or seeking to contest its maintaining civil, criminal or other Appeals, National Office; Regional content, may inquire in accordance with relevant enforcement information or Directors of Appeals (See IRS appendix instructions appearing at 31 CFR part 1, other pertinent information, which has A for addresses.) subpart C, appendix B. Inquiries should requested information relevant to or CATEGORIES OF INDIVIDUALS COVERED BY THE be addressed to the system manager(s) necessary to the requesting agency’s or SYSTEM: in the office where records to be the bureau’s hiring or retention of an Taxpayers who disagree with searched are located. individual, or issuance of a security examiner’s findings and proposed CONTESTING RECORD PROCEDURES: clearance, license, contract, grant, or other benefit; (4) disclose relevant, non- adjustments and seek administrative 26 U.S.C. 7852(e) prohibits Privacy review. privileged information to a court, Act amendment of tax records. magistrate, or administrative tribunal, CATEGORIES OF RECORDS IN THE SYSTEM: RECORD SOURCE CATEGORIES: including the presentation of evidence, Databases which produce Tax returns and other filings made by disclosures to opposing counsel or management information on case the individual and agency entries made witnesses in the course of civil inventory by taxpayer name, tax year, in the administration of the individual’s discovery, litigation, or settlement amount of tax in dispute, settlement tax account. Also, time reports prepared negotiations, in response to a subpoena, amount, and professional time required by Appeals Officers. or in connection with criminal law to arrive at settlement. proceedings; (5) disclose information to EXEMPTIONS CLAIMED FOR THE SYSTEM: foreign governments in accordance with AUTHORITY FOR MAINTENANCE OF THE SYSTEM: None. formal or informal international 26 U.S.C. 7801 and 7802. agreements; (6) provide information to a Treasury/IRS 44.004 ROUTINE USES OF RECORDS MAINTAINED IN THE congressional office in response to an SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM NAME: inquiry made at the request of the individual to whom the record pertains; THE PURPOSES OF SUCH USES: Art Case File—Treasury/IRS. Disclosure of returns and return (7) provide information to the news information may be made only as SYSTEM LOCATION: media in accordance with guidelines provided by 26 U.S.C. 6103. Office of the National Director of contained in 28 CFR 50.2 which relate Appeals, National Office; Area Directors to an agency’s functions relating to civil POLICIES AND PRACTICES FOR STORING, of Appeal (See IRS appendix A for and criminal proceedings; (8) provide RETRIEVING, ACCESSING, RETAINING, AND addresses.) information to officials of labor DISPOSING OF RECORDS IN THE SYSTEM: organizations recognized under 5 U.S.C. STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE Chapter 71 when relevant and necessary SYSTEM: Magnetic media, diskette, hard disk. to their duties of exclusive Famous or noted artists whose works representation; (9) provide information RETRIEVABILITY: have been evaluated by the Art Panel or to third parties during the course of an By taxpayer’s name and/or taxpayer its staff for use in a taxpayer case. investigation to the extent necessary to identification number (social security obtain information pertinent to the number or employer identification CATEGORIES OF RECORDS IN THE SYSTEM: investigation. number) and by work unit number. Commissioner’s Art Panel or its staff decisions on values of works of art by POLICIES AND PRACTICES FOR STORING, SAFEGUARDS: named artists and appraisal RETRIEVING, ACCESSING, RETAINING, AND IRS personnel access data only on a documentation. DISPOSING OF RECORDS IN THE SYSTEM: need-to-know basis and use passwords STORAGE: to access system information. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301; 26 U.S.C. 7602, 7801, Paper records and magnetic media. RETENTION AND DISPOSAL: 7802, and 7805(a). Records are maintained in accordance RETRIEVABILITY: with Record Disposition Handbooks, ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND Indexed by taxpayer, artist, and IRM 1.15.2.1 though IRM 1.15.2.31. THE PURPOSES OF SUCH USES: appraiser name. SYSTEM MANAGER(S) AND ADDRESS: Disclosure of returns and return SAFEGUARDS: Director of Appeals, Internal Revenue information may be made only as Service, 901 D Street, SW., Box 68, provided by 26 U.S.C. 6103. Records Access controls will not be less than Washington, DC 20024; Regional other than returns and return those provided by the Automated Directors of Appeals (See IRS appendix information may be used to: (1) Disclose Information System Security Handbook, A for addresses.) information to the Department of Justice IRM 2(10)00. for the purpose of litigation an action or NOTIFICATION PROCEDURE: seeking legal advice; (2) disclose RETENTION AND DISPOSAL: Individuals seeking to determine if pertinent information to appropriate Records are maintained in accordance this system of records contains a record Federal, state, local, or foreign agencies with Records Disposition Handbooks, pertaining to themselves may inquire in responsible for investigating or IRM 1.15.2.1 though IRM 1.15.2.31. The accordance with instructions appearing prosecuting the violations of, or for system has been retained since 1968.
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SYSTEM MANAGER(S) AND ADDRESS: other than returns and return Information System Security Handbook, National Director of Appeals, Internal information may be used to: (1) Disclose IRM 2(10)00. Revenue Service, 901 D Street, SW., Box information to the Department of Justice RETENTION AND DISPOSAL: 68, Washington, DC 20024; Regional for the purpose of litigating and action Records are maintained in accordance Directors of Appeals (See IRS appendix and seeking legal advice; (2) disclose with Records Disposition Handbooks, A for addresses.) pertinent information to appropriate Federal, state, local, or foreign agencies IRM 1.15.2.1 though IRM 1.15.2.31. NOTIFICATION PROCEDURE: responsible for investigating or Records are periodically updated to Individuals seeking to determine if prosecuting the violations of or for reflect changes and maintained as this system of records contains a record enforcing or implementing a statute, needed. pertaining to themselves may inquire in rule, regulation, order, or license, where SYSTEM MANAGER(S) AND ADDRESS: accordance with instructions appearing the disclosing agency becomes aware of National Director of Appeals, Internal at 31 CFR part 1, subpart C, appendix an indication of a violation or potential Revenue Service, 901 D Street, SW., Box B. Inquiries should be addressed as in violation of civil or criminal law or 68, Washington, DC 20024; Regional ‘‘Record access procedures’’ below. regulation; (3) disclose information to a Directors of Appeals. (See IRS appendix Federal, state, or local agency, RECORD ACCESS PROCEDURES: A for addresses.) maintaining civil, criminal, or other Individuals seeking access to any relevant enforcement information or NOTIFICATION PROCEDURE: record contained in this system of other pertinent information, which has Individuals seeking to determine if records, or seeking to contest its requested information relevant to or this system of records contains a record content, may inquire in accordance with necessary to the requesting agency’s or pertaining to themselves may inquire in instructions appearing at 31 CFR part 1, the bureau’s hiring or retention of an accordance with instructions appearing subpart C, appendix B. Inquiries should individual or issuance of a security at 31 CFR part 1, subpart C, appendix be addressed to the National Director of clearance, license, contract, grant, or B. Inquiries should be addressed as in Appeals, Internal Revenue Service, 901 other benefit; (4) disclose relevant, non- ‘‘Record access procedures’’ below. D Street, SW., Box 68, Washington, DC privileged information to a court, 20024 RECORD ACCESS PROCEDURES: magistrate, or administrative tribunal, Individuals seeking access to any CONTESTING RECORD PROCEDURES: including the presentation of evidence, record contained in this system of disclosures to opposing counsel or 26 U.S.C. 7852(e) prohibits Privacy records, or seeking to contest its content witnesses in the course of civil Act amendment of tax records. may inquire in accordance with discovery, litigation, or settlement instructions appearing at 31 CFR part 1, RECORD SOURCE CATEGORIES: negotiations, in response to a subpoena, subpart C, appendix B. Inquiries should Art panel and staff decisions and or in connection with criminal law be addressed to the National Director of appraisal documentation. proceedings; (5) disclose information to Appeals, Internal Revenue Service, 901 foreign governments in accordance with D Street, SW., Box 68, Washington, DC EXEMPTIONS CLAIMED FOR THE SYSTEM: formal or informal international 20024 None. agreements; (6) provide information to a congressional office in response to an CONTESTING RECORD PROCEDURES: Treasury/IRS 44.005 inquiry made at the request of the 26 U.S.C. 7852(e) prohibits Privacy SYSTEM NAME: individual to whom the record pertains; Act amendment of tax records. (7) provide information to the news Expert Witness and Fee Appraiser RECORD SOURCE CATEGORIES: media in accordance with guidelines Files-Treasury/IRS. contained in 28 CFR 50.2 which relate Varied, generally from the named individual, often unsolicited. SYSTEM LOCATION: to an agency’s functions relating to civil Office of the Director of Appeals, and criminal proceedings; (8) provide EXEMPTIONS CLAIMED FOR THE SYSTEM: National Office; Area Directors of information to officials of labor None. Appeals (See IRS appendix A for organizations recognized under 5 U.S.C. Treasury/IRS 46.002 addresses.) Chapter 71 when relevant and necessary to their duties of exclusive SYSTEM NAME: CATEGORIES OF INDIVIDUALS COVERED BY THE representation; (9) provide information SYSTEM: Criminal Investigation Management to third parties during the course of an Information System (CIMIS)-Treasury/ Actual and potential expert witnesses investigation to the extent necessary to IRS. for litigation and fee appraisers. obtain information pertinent to the investigation. SYSTEM LOCATION: CATEGORIES OF RECORDS IN THE SYSTEM: National Office, Area Offices, Internal Biographical sketches, application POLICIES AND PRACTICES FOR STORING, Revenue Service Centers, and Detroit RETRIEVING, ACCESSING, RETAINING, AND letters, or list of expert/appraiser names Computing Center. (See IRS appendix A DISPOSING OF RECORDS IN THE SYSTEM: by specialty. for addresses.) STORAGE: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE 5 U.S.C. 301; 26 U.S.C. 7602, 7801, Paper records. SYSTEM: 7802, and 7805(a). RETRIEVABILITY: Subjects and potential subjects of Criminal Investigation Division ROUTINE USES OF RECORDS MAINTAINED IN THE Indexed by taxpayer and expert investigations, Special Agents, U.S. SYSTEM, INCLUDING CATEGORIES OF USERS AND witness/appraiser name. Area Court Judges and U.S. Attorneys. THE PURPOSES OF SUCH USES: Disclosure of returns and return SAFEGUARDS: CATEGORIES OF RECORDS IN THE SYSTEM: information may be made only as Access Controls will not be less than Personal and financial information provided by 26 U.S.C. 6103. Records those provided by the Automated developed in criminal tax
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investigations, potential tax CONTESTING RECORD PROCEDURES: Investigation), National Office. Officials investigations and in projects including 26 U.S.C. 7852(e) prohibits Privacy maintaining the system—Area Directors. information from other Federal, state Act amendment of tax records. (See IRS appendix A for addresses.) and local agencies. RECORD SOURCE CATEGORIES: NOTIFICATION PROCEDURE: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: This system of records contains This system of records may not be 5 U.S.C. 301; 26 U.S.C. 7602, 7801 investigatory material compiled for law accessed for purposes of determining if and 7802. enforcement purposes whose sources the system contains a record pertaining need not be reported. PURPOSE(S): to a particular individual. EXEMPTIONS CLAIMED FOR THE SYSTEM: To maintain and process sensitive RECORD ACCESS PROCEDURES: This system has been designated as investigative data that identifies This system of records may not be patterns of criminal and/or civil exempt from certain provisions of the Privacy Act. accessed for purposes of inspection or noncompliance with federal income tax for contest of content of records. laws and to maintain and process Treasury/IRS 46.003 sensitive information on agent CONTESTING RECORD PROCEDURES: personnel. SYSTEM NAME: 26 U.S.C. 7852(e) prohibits Privacy Confidential Informants, Criminal Act amendment of tax records. ROUTINE USES OF RECORDS MAINTAINED IN THE Investigation Division—Treasury/IRS. SYSTEM, INCLUDING CATEGORIES OF USERS AND RECORD SOURCE CATEGORIES: THE PURPOSES OF SUCH USES: SYSTEM LOCATION: Disclosure of returns and return Area Offices. (See IRS appendix A for This system of records contains information may be made only as addresses.) investigatory material compiled for law provided in 26 U.S.C. 6103. enforcement purposes whose sources CATEGORIES OF INDIVIDUALS COVERED BY THE need not be reported. POLICIES AND PRACTICES FOR STORING, SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND Confidential Informants; Subjects of EXEMPTIONS CLAIMED FOR THE SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: Confidential Informant’s Reports. This system has been designated as STORAGE: exempt from certain provisions of the CATEGORIES OF RECORDS IN THE SYSTEM: Privacy Act. Paper records in binders, magnetic Memorandums, Index Cards, Related media, computer discs, computer Data. Treasury/IRS 46.004 printouts. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM NAME: RETRIEVABILITY: 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Controlled Accounts (Open and By taxpayer’s name, case number and and 7802. Closed)—Treasury/IRS. social security number, or other unique PURPOSE(S): identifier. SYSTEM LOCATION: To maintain a file of the true Area Offices, Internal Revenue SAFEGUARDS: identities of confidential informants. Access controls will not be less than Service Centers, and the Martinsburg those provided for by Managers Security ROUTINE USES OF RECORDS MAINTAINED IN THE Computing Center. (See IRS appendix A Handbook, IRM 1(16)12 and the SYSTEM, INCLUDING CATEGORIES OF USERS AND for addresses.) THE PURPOSES OF SUCH USES: Automated Information System Security CATEGORIES OF INDIVIDUALS COVERED BY THE Handbook, IRM 2(10)00. Disclosure of returns and return information may be made only as SYSTEM: RETENTION AND DISPOSAL: provided by 26 U.S.C. 6103. Subjects and potential subjects of Records are maintained in accordance criminal tax investigation. POLICIES AND PRACTICES FOR STORING, with Records Disposition Handbooks, RETRIEVING, ACCESSING, RETAINING, AND CATEGORIES OF RECORDS IN THE SYSTEM: IRM 1.15.2.1 though IRM 1.15.2.31. DISPOSING OF RECORDS IN THE SYSTEM: Criminal Investigation Information SYSTEM MANAGER(S) AND ADDRESS: STORAGE: and Control Notices; Lists of names and Official prescribing policies and Paper records and magnetic media. related data; Lists of action taken: practices—Chief (Criminal Transcripts of account. RETRIEVABILITY: Investigation), National Office. Officials maintaining the system—Assistant By confidential informant’s name and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Commissioner (Criminal Investigation);, number or name in informant’s report. 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Area Directors, Internal Revenue Service SAFEGUARDS: and 7802. Center/Campus Directors, and the Access controls will not be less than PURPOSE(S): Detroit Computing Center Director. (see those provided for by Managers Security IRS appendix A for addresses). Handbook, IRM 1(16)12 and the To maintain and process any activity pertaining to the taxpayer account that NOTIFICATION PROCEDURE: Automated Information System Security Handbook, IRM 2(10)00. identifies patterns of criminal and/or This system of records may not be civil noncompliance with federal tax accessed for purposes of determining if RETENTION AND DISPOSAL: and moneylaundering laws. the system contains a record pertaining Records are maintained in accordance to a particular individual. with Records Disposition Handbooks, ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND IRM 1.15.2.1 though IRM 1.15.2.31. RECORD ACCESS PROCEDURES: THE PURPOSES OF SUCH USES: This system of records may not be SYSTEM MANAGER(S) AND ADDRESS: Disclosure of returns and return accessed for purposes of inspection or Official prescribing policies and information may be made only as for contest of content of records. practices—Chief (Criminal provided by 26 U.S.C. 6103.
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POLICIES AND PRACTICES FOR STORING, Treasury/IRS 46.005 the system contains a record pertaining RETRIEVING, ACCESSING, RETAINING, AND to a particular individual. DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM NAME: Electronic Surveillance File, Criminal RECORD ACCESS PROCEDURES: STORAGE: Investigation Division—Treasury/IRS. This system of records may not be Paper records and magnetic media. SYSTEM LOCATION: accessed for purposes of inspection or for contest of content of records. RETRIEVABILITY: National Office, 1111 Constitution By name or social security number. Avenue, NW., Washington, DC 20224 CONTESTING RECORD PROCEDURES: CATEGORIES OF INDIVIDUALS COVERED BY THE 26 U.S.C. 7852(e) prohibits Privacy SAFEGUARDS: SYSTEM: Act amendment of tax records. Access controls will not be less than Subjects of electronic surveillance. RECORD SOURCE CATEGORIES: those provided for by Managers Security Individuals who have been subjects of Handbook, IRM 1(16)12 and the queries by other agencies. This system of records contains Automated Information System Security investigatory material compiled for law Handbook, IRM 2(10)00. CATEGORIES OF RECORDS IN THE SYSTEM: enforcement purposes whose sources Information relating to conduct of need not be reported. RETENTION AND DISPOSAL: electronic surveillance. EXEMPTIONS CLAIMED FOR THE SYSTEM: Records are maintained in accordance AUTHORITY FOR MAINTENANCE OF THE SYSTEM: with Records Disposition Handbooks, This system has been designated as IRM 1.15.2.1 though IRM 1.15.2.31. 5 U.S.C. 301; 26 U.S.C. 7602, 7801 exempt from certain provisions of the Paper records are destroyed one year and 7802. Privacy Act. after the close of the investigation. PURPOSE(S): Treasury/IRS 46.009 Magnetic tape is erased three months To monitor and track all electronic after the close of the investigation. surveillances that are conducted by area SYSTEM NAME: field offices. Centralized Evaluation and Processing SYSTEM MANAGER(S) AND ADDRESS: of Information Items (CEPIIs), Official prescribing policies and ROUTINE USES OF RECORDS MAINTAINED IN THE Evaluation and Processing of practices—Chief(Criminal SYSTEM, INCLUDING CATEGORIES OF USERS AND Information (EOI), Criminal THE PURPOSES OF SUCH USES: Investigation), National Office. Officials Investigation Division—Treasury/IRS. maintaining the system—Area Directors, Disclosure of returns and return Internal Revenue Service Center information may be made only as SYSTEM LOCATION: Directors, and the Martinsburg provided by 26 U.S.C. 6103. Area Offices, Internal Revenue Computing Center Director. (See IRS POLICIES AND PRACTICES FOR STORING, Service Centers. (See IRS appendix A appendix A for addresses.) RETRIEVING, ACCESSING, RETAINING, AND for addresses.) DISPOSING OF RECORDS IN THE SYSTEM: NOTIFICATION PROCEDURE: CATEGORIES OF INDIVIDUALS COVERED BY THE STORAGE: SYSTEM: Individuals seeking to determine if this system of records contains a record Paper records and magnetic media. Taxpayers about whom the Internal Revenue Service has received pertaining to themselves may inquire in RETRIEVABILITY: accordance with instructions appearing information alleging a violation of laws By names, addresses, and telephone within IRS jurisdiction, potential at 31 CFR part 1, subpart C, appendix numbers. B. Inquiries should be addressed as in subjects of investigation. SAFEGUARDS: ‘‘Record access procedures’’ below. CATEGORIES OF RECORDS IN THE SYSTEM: Access controls will not be less than Copies of income tax returns, special RECORD ACCESS PROCEDURES: those provided for by Managers Security agent’s reports, revenue agent’s reports, Individuals seeking to access to any Handbook, IRM 1(16)12 and the reports from police and other record contained in this system of Automated Information System Security investigative agencies, memoranda of records, or seeking to contest its Handbook, IRM 2(10)00. interview, question-and-answer content, may inquire in accordance with RETENTION AND DISPOSAL: statements, affidavits, collateral requests instructions appearing at 31 CFR part 1, and replies, information items, subpart C, appendix B. Inquiries should Records are maintained in accordance newspaper and magazine articles and be addressed to the Area Director for with Records Disposition Handbooks, other published data, financial each Area where records are to be IRM 1.15.2.1 though IRM 1.15.2.31. information from public records, court searched (see IRS appendix A for Generally, records are periodically records, confidential reports, case addresses). updated to reflect changes and maintained as long as needed. initiating documents and other similar CONTESTING RECORD PROCEDURES: and related documents. SYSTEM MANAGER(S) AND ADDRESS: 26 U.S.C. 7852(e) prohibits Privacy Official prescribing policies and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Act amendment of tax records. practices—Chief(Criminal Investigation) 5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802. RECORD SOURCE CATEGORIES: National Office. Officials maintaining the system—Director, Office of PURPOSE(S): Area Office Personnel; Service Center Investigations (See IRS appendix A for Personnel, Form 4135, Criminal addresses.) To maintain and process sensitive Investigation Control Notice. investigative data that possibly NOTIFICATION PROCEDURE: identifies potential criminal and/or civil EXEMPTIONS CLAIMED FOR THE SYSTEM: This system of records may not be noncompliance with federal law and None. accessed for purposes of determining if money laundering laws.
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ROUTINE USES OF RECORDS MAINTAINED IN THE Revenue Service Center. (See IRS CONTESTING RECORD PROCEDURES: SYSTEM, INCLUDING CATEGORIES OF USERS AND appendix A for addresses.) 26 U.S.C. 7852(e) prohibits Privacy THE PURPOSES OF SUCH USES: Act amendment of tax records. Disclosure of returns and return CATEGORIES OF INDIVIDUALS COVERED BY THE information may be made only as SYSTEM: RECORD SOURCE CATEGORIES: provided by 26 U.S.C. 6103. Beneficiaries of Land Trusts, Related Financial institutions, Fiduciary individuals. reports and Notices of Fiduciary POLICIES AND PRACTICES FOR STORING, Relationships. RETRIEVING, ACCESSING, RETAINING, AND CATEGORIES OF RECORDS IN THE SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: Notices of Fiduciary Relationships. EXEMPTIONS CLAIMED FOR THE SYSTEM: STORAGE: Related correspondence. None. Paper and magnetic media. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Treasury/IRS 46.015 RETRIEVABILITY: 5 U.S.C. 301; 26 U.S.C. 7602, 7801 SYSTEM NAME: By name. and 7802. Relocated Witnesses, Criminal ROUTINE USES OF RECORDS MAINTAINED IN THE SAFEGUARDS: Investigation Division-Treasury/IRS. SYSTEM, INCLUDING CATEGORIES OF USERS AND Access controls will not be less than THE PURPOSES OF SUCH USES: those provided for by Managers Security SYSTEM LOCATION: Disclosure of returns and return Handbook, IRM 1(16)12 and the Office of the Assistant Commissioner information may be made only as Automated Information System Security (Criminal Investigation), National provided by 26 U.S.C. 6103. Handbook, IRM 2(10)00. Office, 1111 Constitution Avenue, NW., POLICIES AND PRACTICES FOR STORING, Washington, DC. 20224. RETENTION AND DISPOSAL: RETRIEVING, ACCESSING, RETAINING, AND CATEGORIES OF INDIVIDUALS COVERED BY THE Records are maintained in accordance DISPOSING OF RECORDS IN THE SYSTEM: with Records Disposition Handbooks, SYSTEM: STORAGE: IRM 1.15.2.1 though IRM 1.15.2.31. Relocated Witnesses. Paper and magnetic tape. Paper records are disposed of after use. CATEGORIES OF RECORDS IN THE SYSTEM: RETRIEVABILITY: SYSTEM MANAGER(S) AND ADDRESS: Documentation and Relocation Official prescribing policies and By taxpayer and beneficiary name; Information. practices—Chief (Criminal trust and social security number. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Investigation) National Office. Officials SAFEGUARDS: maintaining the system—Area Directors, 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Access controls will not be less than and 7802. Internal Revenue Service Center those provided for by Managers Security Directors. (See IRS appendix A for Handbook, IRM 1(16)12 and the ROUTINE USES OF RECORDS MAINTAINED IN THE addresses.) Automated Information System Security SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: NOTIFICATION PROCEDURE: Handbook, IRM 2(10)00. Disclosure of returns and return This system of records may not be RETENTION AND DISPOSAL: information may be made only as accessed for purposes of determining if Records are maintained in accordance provided by 26 U.S.C. 6103. the system contains a record pertaining with Records Disposition Handbooks, to a particular individual. IRM 1.15.2.1 though IRM 1.15.2.31. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND RECORD ACCESS PROCEDURES: SYSTEM MANAGER(S) AND ADDRESS: DISPOSING OF RECORDS IN THE SYSTEM: This system of records may not be Chicago Area Director, Springfield accessed for purposes of inspection or STORAGE: Area Director, and the Kansas City Paper. for contest of content of records. Internal Revenue Service Center CONTESTING RECORD PROCEDURES: Director. (See IRS appendix A for RETRIEVABILITY: 26 U.S.C. 7852(e) prohibits Privacy addresses.) By Name. Act amendment of tax records. NOTIFICATION PROCEDURE: SAFEGUARDS: RECORD SOURCE CATEGORIES: Individuals seeking to determine if Access controls will not be less than This system of records contains this system of records contains a record those provided for by Managers Security investigatory material compiled for law pertaining to themselves may inquire in Handbook, IRM 1(16)12 and the enforcement purposes whose sources accordance with instructions appearing Automated Information System Security need not be reported. at 31 CFR part 1, subpart C, appendix Handbook, IRM 2(10)00. B. Inquiries should be addressed as in EXEMPTIONS CLAIMED FOR THE SYSTEM: ‘‘Record access procedures’’ below. RETENTION AND DISPOSAL: This system has been designated as Records are maintained in accordance exempt from certain provisions of the RECORD ACCESS PROCEDURES: with Records Disposition Handbooks, Privacy Act. Individuals seeking access to any IRM 1.15.2.1 though IRM 1.15.2.31. record contained in this system of Generally, records are periodically Treasury/IRS 46.011 records, or seeking to contest its updated to reflect changes and SYSTEM NAME: content, may inquire in accordance with maintained as long as needed. Illinois Land Trust Files, Criminal instructions appearing at 31 CFR part 1, SYSTEM MANAGER(S) AND ADDRESS: Investigation Division-Treasury/IRS. subpart C, appendix B. Inquiries should be addressed to: Area Director, Chicago Chief (Criminal Investigation), SYSTEM LOCATION: Area, Internal Revenue Service, 230 Internal Revenue Service, 1111 Chicago Area Office, Springfield Area South Dearborn Street, Room 2890, Constitution Avenue, NW., Washington, Office, and the Kansas City Internal Chicago, Illinois 60604. DC 20224
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NOTIFICATION PROCEDURE: Handbook, IRM 1(16)12 and the CATEGORIES OF RECORDS IN THE SYSTEM: This system of records may not be Automated Information System Security Name, date of birth, social security accessed for purposes of determining if Handbook, IRM 2(10)00. number, address, identifying details, the system contains a record pertaining aliases, associates, physical RETENTION AND DISPOSAL: to a particular individual. descriptions, various identification Records are maintained in accordance numbers, details and circumstances RECORD ACCESS PROCEDURES: with Records Disposition Handbooks, surrounding the actual or suspected This system of records may not be IRM 1.15.2.1 through IRM 1.15.2.31. violator. accessed for purposes of inspection or SYSTEM MANAGER(S) AND ADDRESS: for contest of content of records. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Official prescribing policies and 5 U.S.C. 301; 26 U.S.C. 7602, 7801 CONTESTING RECORD PROCEDURES: practices— Chief (Criminal and 7802. 26 U.S.C. 7852(e) prohibits Privacy Investigation), National Office. Officials Act amendment of tax records. maintaining the system—Chief ROUTINE USES OF RECORDS MAINTAINED IN THE RECORD SOURCE CATEGORIES: (Criminal Investigation), Area Directors. SYSTEM, INCLUDING CATEGORIES OF USERS AND (See IRS appendix A for addresses.) THE PURPOSES OF SUCH USES: This system of records contains investigatory material compiled for law NOTIFICATION PROCEDURE: Disclosure of returns and return information may be made only as enforcement purposes whose sources This system of records may not be provided by 26 U.S.C. 6103. need not be reported. accessed for purposes of determining if EXEMPTIONS CLAIMED FOR THE SYSTEM: the system contains a record pertaining POLICIES AND PRACTICES FOR STORING, This system has been designated as to a particular individual. RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: exempt from certain provisions of the RECORD ACCESS PROCEDURES: Privacy Act. This system of records may not be STORAGE: Treasury/IRS 46.016 accessed for purposes of inspection or Disc. for contest of content of records. SYSTEM NAME: RETRIEVABILITY: Secret Service Details, Criminal CONTESTING RECORD PROCEDURES: By name, social security number or Investigation Division—Treasury/IRS. 26 U.S.C. 7852(e) prohibits Privacy other unique identifier. Act Amendment of tax records. SYSTEM LOCATION: SAFEGUARDS: National Office, Area offices and Area RECORD SOURCE CATEGORIES: Access controls will not be less than Offices. (See IRS appendix A for This system of records contains those provided for by Managers Security addresses.) investigatory material compiled for law Handbook, IRM 1(16)12 and the enforcement purposes whose sources Automated Information System Security CATEGORIES OF INDIVIDUALS COVERED BY THE need not be reported. SYSTEM: Handbook, IRM 2(10)00. Special Agents. EXEMPTIONS CLAIMED FOR THE SYSTEM: RETENTION AND DISPOSAL:
CATEGORIES OF RECORDS IN THE SYSTEM: This system has been designated as Records are maintained in accordance exempt from certain provisions of the List of Criminal Investigation with Records Disposition Handbooks, Privacy Act. participants and correspondence IRM1.15.2.1 though IRM 1.15.2.31. between Criminal Investigation and Treasury/IRS 46.022 Fugitives until apprehended. Other Secret Service. records are deleted when no longer of SYSTEM NAME: potential use for criminal investigation AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Treasury Enforcement case or informational purposes. 5 U.S.C. 301; 26 U.S.C. 7602, 7801 Communications System (TECS), Cancellation after 10 years. and 7802. Criminal Investigation Division— SYSTEM MANAGER(S) AND ADDRESS: Treasury/IRS. ROUTINE USES OF RECORDS MAINTAINED IN THE Official prescribing policies and SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM LOCATION: practices—Assistant Commissioner THE PURPOSES OF SUCH USES: National Office, Area offices, Area (Criminal Investigation), National Records and information contained in Offices, and Internal Revenue Service Office. Officials maintaining the these records may be disclosed to the Centers. (See IRS appendix A for system—Assistant Commissioner Department of Justice for the purpose of addresses.) (Criminal Investigation), Regional litigating an action or seeking legal Commissioners, Area Directors, and advice. Disclosure may be made during CATEGORIES OF INDIVIDUALS COVERED BY THE Internal Revenue Service Center judicial processes. SYSTEM: Directors. (See IRS appendix A for POLICIES AND PRACTICES FOR STORING, Fugitives, subjects of open and closed addresses.) RETRIEVING, ACCESSING, RETAINING, AND criminal investigations, subjects of DISPOSING OF RECORDS IN THE SYSTEM: potential criminal investigations, NOTIFICATION PROCEDURE: subjects with Taxpayer Delinquent STORAGE: This system of records may not be Accounts against whom Federal Tax accessed for purposes of determining if Paper. Liens have been filed and other subjects the system contains a record pertaining RETRIEVABILITY: of potential interest to criminal to a particular individual. By name. investigation such as witnesses and associates of subjects of criminal RECORD ACCESS PROCEDURES: SAFEGUARDS: investigations or related to a matter This system of records may not be Access controls will not be less than under Criminal Investigation accessed for purposes of inspection or those provided for by Managers Security jurisdiction. for contest of content of records.
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CONTESTING RECORD PROCEDURES: PURPOSE(S): RECORD ACCESS PROCEDURES: 26 U.S.C. 7852(e) prohibits Privacy The purpose is to maintain records This system of records may not be Act amendment of tax records. which identify transaction patterns that accessed for purposes of inspection or are indicative of criminal and/or civil for contest of content of records. RECORD SOURCE CATEGORIES: noncompliance with Federal income tax This system of records contains and money laundering laws and to CONTESTING RECORDS PROCEDURES: investigatory material compiled for law simultaneously evaluate diverse data 26 U.S.C. 7852(e) prohibits Privacy enforcement purposes whose sources sources. Act amendment of tax records. need not be reported. ROUTINE USES OF RECORDS MAINTAINED IN THE RECORD SOURCE CATEGORIES: EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM, INCLUDING CATEGORIES OF USERS AND This system of records may not be THE PURPOSES OF SUCH USES: This system has been designated as accessed for purposes of determining Disclosure of returns and return exempt from certain provisions of the the source of the records. Records to be information may be made only as Privacy Act. included all come from existing provided by 26 U.S.C. 6103. Treasury and Internal Revenue Service Treasury/IRS 46.050 databases. The databases are comprised POLICIES AND PRACTICES FOR STORING, of records submitted by taxpayers, SYSTEM NAME: RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: financial institutions, casinos and Automated Information Analysis businesses pursuant to federal law. System—Treasury/IRS. STORAGE: Electronic and Magnetic Media. EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM LOCATION: This system is exempt from 5 U.S.C. RETRIEVABILITY: Detroit Computing Center, 1300 John 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), C. Lodge Drive, Detroit, Michigan Records are retrievable by name, (d)(4),(e)(1), (e)(2), (e)(3), (e)(4)(G), (H), 48226, and Automated Criminal address, and social security number. and (I), (e)(5), (e)(8), (f), and (g) of the Investigation Office, 7940 Kentucky SAFEGUARDS: Privacy Act pursuant to 5 U.S.C. Drive, Boone County, Kentucky 41042. 552a(j)(2), and (k)(2). All Criminal Investigation personnel CATEGORIES OF INDIVIDUALS COVERED BY THE accessing the system will have Treasury/IRS 46.051 SYSTEM: successfully passed a background SYSTEM NAME: Taxpayers and other individuals investigation. Criminal Investigation Criminal Investigation Audit Trail involved in financial transactions which will furnish information from the Records System—Treasury/IRS. require the filing of information system of records to approved personnel only on a ‘‘need to know’’ basis using reflected in the Categories of Records SYSTEM LOCATION: below. passwords and access controls. Access controls will not be less than those Records are located at the Internal CATEGORIES OF RECORDS IN THE SYSTEM: provided for by Managers Security Revenue Service, 1111 Constitution Avenue, NW, Washington, DC 20224 . The information included in the Handbook, IRM 1(16)12 and the Automated Information System Security Other locations of these records are: Automated Information Analysis Automated Criminal Investigation System is from reported income and tax Handbook, IRM 2(10)00. Procedural and physical safeguards to be utilized Project Office, located in Florence, information on the Individual Master Kentucky; Internal Revenue Service File (IMF—Treasury/IRS 24.030; include the logging of all queries and periodic review of the query logs; Areas of Investigation, Criminal Individual Returns Files, Adjustments Investigation District Offices, and and Miscellaneous Documents File— compartmentalization of information to restrict access to authorized personnel; Internal Revenue Service Posts of Duty. Treasury/IRS 22.034. The Automated (See IRS appendix A for addresses.) Information Analysis System also encryption of electronic includes information from such sources communications; intruder alarms; and CATEGORIES OF INDIVIDUALS COVERED BY THE as: Currency Transaction Reports 24-hour building guards. SYSTEM: (CTRs), Currency and Monetary RETENTION AND DISPOSAL: Individuals who use or attempt to use Instrument Reports (CMIR’s), Bank All records are disposed of after 4 the IRS Criminal Investigation computer Secrecy Reports File, Foreign Bank years. Records will be disposed of by systems; log onto the Criminal Account Reports (FBARs), Forms 8300 erasure of magnetic media. Investigation system; use the Criminal (Currency Received in Trade or Investigation applications; use the Business)-Treasury/CS .067; the SYSTEM MANAGER(S) AND ADDRESS: Criminal Investigation operating system, Taxpayer Delinquent Account Files Official prescribing policies and or log off the Criminal Investigation (TDA)—Treasury/IRS 26.019, which practices—Chief (Criminal computer are covered by this system. includes adjustments and payment Investigation), National Office. Officials CATEGORIES OF RECORDS IN THE SYSTEM: tracer files and collateral files; Taxpayer maintaining the system—Detroit Delinquency Investigation Files (TDI)— Computing Center, CI Representative, This is an electronic data base which Treasury/IRS 26.020, which includes and the Automated Criminal captures system use information such taxpayer information on delinquent Investigation Office Manager, 7940 as: Date and time a user initiated or returns; the Examination Administrative Kentucky Drive, Boone County, attempted to initiate a session on the File—Treasury/IRS 42.001, and Casino Kentucky 41042. system; date and time of all Transaction Reports from the Detroit unsuccessful system accesses; date and Computing Center. NOTIFICATION PROCEDURE: time of data or system file accesses; date This system of records may not be and time of privileged security actions AUTHORITY FOR MAINTENANCE OF THE SYSTEM: accessed for purposes of determining if on the system, and date and time of 5 U.S.C. 301; 26 U.S.C. 7602, 7801, the system contains a record pertaining system logoff by a user. Criminal and 7802. to a particular individual. Investigation application audit trail
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records may contain information individual to whom the record pertains; SYSTEM MANAGER(S) AND ADDRESS: regarding system or application access (4) to provide information to third The official prescribing policies and for any of the following Criminal parties during the course of an practices is the Assistant Commissioner, Investigation files: CIMIS, 46.002; investigation to the extent necessary to Criminal Investigation, Internal Revenue Confidential Informants, Criminal obtain information pertinent to the Service, 1111 Constitution Avenue, Investigation Division, 46.003; investigation; (5) to provide information NW., Washington, DC, 20224. The Electronic Surveillance File, 46.005; and to unions recognized as exclusive organization responsible for maintaining Centralized Evaluation and Processing bargaining representatives under the the system is Systems Development and of Information Items, 46.009. Civil Service Reform Act of 1978, 5 Support, Criminal Investigation U.S.C. 7111 and 7114, the Merit Representative. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Systems Protection Board, arbitrators, 5 U.S.C. 301; 26 U.S.C. 6103, 7213, the Federal Labor Relations Authority, NOTIFICATION PROCEDURE: 7213A, 7214, 7602, 7608, 7801, and and other parties responsible for the This system of records may not be 7803; 18 U.S.C. 1030(a)(2)(B). administration of federal labor actions accessed for purposes of determining if the system contains a record pertaining PURPOSE: or grievances or conducting administrative hearings or appeals or if to a particular individual. The Criminal Investigation Division of needed in the performance of other RECORD ACCESS PROCEDURES: the Internal Revenue Service established authorized duties; (6) to disclose to the this system to enable the division to Department of Justice for the purpose of This system of records may not be monitor and analyze usage of its litigating an action or seeking legal accessed for purposes of inspection by computer system. The system will advice; (7) to disclose to a defendant in an individual to determine if there provide information showing: (1) The a criminal prosecution, the Department exists a record pertaining to him or her, system users; (2) the times of use for of Justice, or a court of competent and/or to view the contents of the each user; (3) the areas of the system jurisdiction where required in criminal records. Contesting Record Procedures: being accessed by each user; (4) discovery or by the Due Process Clause 26 U.S.C. 7852(e) prohibits Privacy Act unauthorized access by Criminal of the Constitution. amendment of tax records. Investigation employees; and (5) access, or attempted access, by persons other POLICIES AND PRACTICES FOR STORING, RECORD SOURCE CATEGORIES: than Criminal Investigation employees. RETRIEVING, ACCESSING, RETAINING, AND This system of records contains System uses include reading, adding, DISPOSING OF RECORDS IN THE SYSTEM: investigatory material compiled for law deleting, and/or modifying data and STORAGE: enforcement purposes whose sources system records. Electronic and magnetic media and need not be reported. ROUTINE USES OF RECORDS MAINTAINED IN THE paper. EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM, INCLUDING CATEGORIES OF USERS AND RETRIEVABILITY: This system is exempt from 5 U.S.C. THE PURPOSES OF SUCH USE: Records are retrievable by user name. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), Disclosure of records and information (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), from this system may be disclosed only SAFEGUARDS: and (I), (e)(5), (e)(8), (f), and (g) of the as provided by 26 U.S.C. 6103 and 18 Protection and control of any Privacy Act pursuant to 5 U.S.C. U.S.C. 1030(a)(2)(B). Records other than sensitive but unclassified information or 552a(j)(2), and (k)(2). returns and return information may be records are in accordance with Treasury/IRS 48.001 used: (1) To disclose pertinent Department of the Treasury Security information to appropriate federal, state, Manual, TD P 71–10 and Internal SYSTEM NAME: local, or foreign agencies responsible for Revenue Manual, IRM 2.1.10, Disclosure Records—Treasury/IRS. investigating or prosecuting the Automated Information System violation or potential violation of civil Security, and Internal Revenue Manual, SYSTEM LOCATION: or criminal law or regulations; (2) to IRM 1(16)00, Physical Security National Office, Area Offices, Internal disclose information in a proceeding Handbook, as well as internal CI Policy. Revenue Service Centers, Detroit before a court, adjudicative body, or The Criminal Investigation Audit Trail Computing Center, and the Martinsburg other administrative body before which Records System is contained in an Computing Center. (See IRS appendix A the agency is authorized to appear operating system, which has been rated for addresses.) when: (a) The agency, or (b) any as C2 compliant. All system access is employee of the agency in his or her controlled with the use of passwords CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: official capacity, or (c) any employee of and only Criminal Investigation the agency in his or her individual personnel who have been assigned a (1) Subjects of requests for disclosure capacity where the Department of ‘‘need-to-know’’ can access system data. initiated by the Department of Justice, Justice or the agency has agreed to The computers that operate the System including suspects or persons related to represent the employee, or (d) the are in secure space, housed in a Federal the violation of Federal laws; persons United States, when the agency Building with 24-hour security. who have initiated legal actions against determines that litigation is likely to the Federal Government, persons affect the agency, is a party to litigation RETENTION AND DISPOSAL: identified as strike force targets or or has an interest in such litigation, and Records are maintained, administered related to organized crime activities, the use of such records by the agency is and disposed of in accordance with persons under investigation for national deemed to be relevant and necessary to Internal Revenue Manual (IRM) 1.15; security reasons, persons believed by the litigation or administrative 1.15.1 Records Administration the Internal Revenue Service to be proceeding and not otherwise Handbook, 1.15.2 Records Disposition related to violations of Federal laws privileged; (3) to provide information to Handbook, 1.15.3 General Records other than the Internal Revenue Code. a congressional office in response to an Handbook, and 1.15.4 Files (2) Persons under investigation by other inquiry made at the request of the Management Handbook. executive departments or congressional
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committees for whom tax information the record pertains; (5) provide NOTIFICATION PROCEDURE: has been requested pursuant to 26 information to the news media in Requesters seeking to determine if U.S.C. 6103. (3) Persons who are parties accordance with guidelines contained in accountable disclosures about them to criminal or civil non-tax litigation in 28 CFR 50.2 which relate to an agency’s have been made should request an which the testimony of IRS employees functions relating to civil and criminal accounting of disclosure pursuant to 5 has been requested. (4) Persons who proceedings. U.S.C. 552a(c) and 26 U.S.C. 6103(p)(3) have applied for Federal employment or of the Area Director for the area in presidential appointments for which DISCLOSURES TO CONSUMER REPORTING which they reside. Individuals seeking AGENCIES: preemployment tax checks have been to determine if this system of records requested and applicants for Disclosures pursuant to 5 U.S.C. contains a record pertaining to Department of Commerce ‘‘E’’ Awards. 552a(b)(12): themselves may inquire in accordance (5) Requesters for access to records Disclosures may be made from this with instructions appearing at 31 CFR pursuant to 26 U.S.C. 6103, the Freedom system to consumer reporting agencies part 1, subpart C, appendix B. Inquiries of Information Act, 5 U.S.C. 552, and as defined in the Fair Credit Reporting should be addressed to the Area initiators of requests for access, Act (15 U.S.C. 1681a(f)) or the Federal Director for the area of residence or to amendment or other action pursuant to Claims Collection Act of 1966 (31 U.S.C. the official believed to be maintaining the Privacy Act of 1974, 5 U.S.C. 552a. 3701(a)(3)). the record of interest (See IRS appendix (6) Individuals identified by or initiating POLICIES AND PRACTICES FOR STORING, A for addresses.) This system contains correspondence or inquiries processed RETRIEVING, ACCESSING, RETAINING, AND some records of law enforcement or controlled by the Disclosure function DISPOSING OF RECORDS IN THE SYSTEM: activities which may not be accessed for purposes of determining if the system or relating to the foregoing subjects. STORAGE: contains a record pertaining to a CATEGORIES OF RECORDS IN THE SYSTEM: Paper and electronic records in particular individual. Requests for records, information or alphabetical or chronological order testimony, responses to such requests, within subject categories and/or such RECORD ACCESS PROCEDURES: supporting documentation, processing automated or electronic record-keeping This system of records may not be records, copies of items provided or equipment as may be locally available. accessed for purposes of inspection or withheld, control records and related Accountings of disclosure of tax related for contest of content of records. files. Department of Justice, and IRS records pursuant to 5 U.S.C. 552a(c) or CONTESTING RECORD PROCEDURES: replies to such requests. (1) Copies of 26 U.S.C. 6103(p)(3) are posted to the related authorizations to IRS officials Individual Master File and retrievable 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. permitting such disclosures and, in by Social Security Number, or to the some instances, their responses. (2) Business Master File and retrievable by RECORD SOURCE CATEGORIES: Copies of individuals’ tax information, Employer Identification Number. Requests for disclosure, records being memoranda for file, notations of RETRIEVABILITY: evaluated and processed for disclosure telephone calls, file search requests, etc. Records are generally retrievable by and related information from other systems of records. This system may AUTHORITY FOR MAINTENANCE OF THE SYSTEM: name of individual, although category of contain investigatory material compiled 5 U.S.C. 301, 552 and 552a; 26 U.S.C. record and chronological period may be for law enforcement purposes whose 6103, 7801 and 7802. necessary to retrieve some records. The sources need not be reported. social security number is necessary to PURPOSE(S): access accountings of disclosure posted EXEMPTIONS CLAIMED FOR THE SYSTEM: This is a system for maintaining to the Individual Master File. The This system has been designated as records to administer applicable laws employer identification number is exempt from certain provisions of the and regulations concerning disclosure. necessary for access to the Business Privacy Act. It includes Disclosure Information Master File. Management System (DIMS) records. Treasury/IRS 48.008 SAFEGUARDS: ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM NAME: Access controls will not be less than SYSTEM, INCLUDING CATEGORIES OF USERS AND Defunct Special Service Staff File THE PURPOSES OF SUCH USES: those provided for by Managers Security Handbook, IRM 1(16)12 and the Being Retained Because of Disclosure of returns and return Congressional Directive—Treasury/IRS. information may be made only as Automated Information System Security provided by 26 U.S.C. 6103. Records Handbook, IRM 2(10)00. SYSTEM LOCATION: other than returns and return RETENTION AND DISPOSAL: National Office, 1111 Constitution information may be used to: (1) Disclose Records are maintained in accordance Avenue, NW., Washington, DC 20224. information to the Department of Justice with Records Disposition Handbooks, CATEGORIES OF INDIVIDUALS COVERED BY THE for the purpose of litigating an action or IRM 1.15.2.1 through IRM 1.15.2.31. SYSTEM: seeking legal advice; (2) report apparent Individuals suspected of violating the SYSTEM MANAGER(S) AND ADDRESS: violations of law to appropriate law Internal Revenue laws by the Special enforcement agencies; (3) disclose Official prescribing policies and Service Staff before its discontinuation debtor information to a Federal payor practices—Director, Office of on August 23, 1973. agency for purposes of salary and Disclosure, National Office. Officials administrative offsets, to a consumer maintaining the system—Director, CATEGORIES OF RECORDS IN THE SYSTEM: reporting agency to obtain commercial Office of Disclosure, National Office;, Internal Revenue Service Master File credit reports, and to a debt collection Area Directors, and Internal Revenue printouts; returns and field reports; agency for debt collection services; (4) Service Center/Campus Directors, or information from other law enforcement provide information to a congressional other official receiving or servicing government investigative agencies; office in response to an inquiry made at requests for records. (See IRS appendix Congressional Reports, and news media the request of the individual to whom A for addresses.) articles.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: of records maintained by the foreign 5 U.S.C. 301; 26 U.S.C. 7801 and Director, Office of Disclosure, Internal posts should be addressed to the 7802. Revenue Service, 1111 Constitution Assistant Commissioner (International). Avenue, NW., Washington, DC 20224. CATEGORIES OF INDIVIDUALS COVERED BY THE PURPOSE(S): NOTIFICATION PROCEDURE: SYSTEM: This system of records was gathered Individuals seeking to determine if United States Citizens, Resident and maintained by Congressional this system of records contains a record Aliens, Nonresident Aliens. Directive to document violations of the pertaining to themselves may inquire in Internal Revenue Laws by the Special CATEGORIES OF RECORDS IN THE SYSTEM: accordance with instructions appearing Services Staff before its discontinuation. Records of interviewing witnesses at 31 CFR part 1, subpart C, appendix regarding financial transactions of ROUTINE USES OF RECORDS MAINTAINED IN THE B. Inquiries should be addressed as in taxpayers; employment data; bank and SYSTEM, INCLUDING CATEGORIES OF USERS AND ‘‘Record access procedures’’ below. brokerage house records; probate THE PURPOSES OF SUCH USES: RECORD ACCESS PROCEDURES: records; property valuations; public Disclosure of returns and return Individuals seeking access to any documents; payments of foreign taxes; information may be made only as record contained in this system of inventories of assets; business books provided by 26 U.S.C. 6103. This file is records, or seeking to contest its and records. These records relate to tax no longer being used by the Internal content, may inquire in accordance with investigations conducted by the Internal Revenue Service. The Special Service instructions appearing at 31 CFR part 1, Revenue Service where some aspects on Staff was abolished August 13, 1973. subpart C, appendix B. Inquiries should an investigation must be pursued in Records may be used to: (1) Disclose be addressed to the National Director, foreign countries pursuant to the information to the Department of Justice Office of Governmental Liaison and various tax treaties between the United for the purpose of litigating an action or Disclosure, Internal Revenue Service, States and foreign governments. The seeking legal advice; (2) disclose 1111 Constitution Avenue, NW., records also include individual case information to Congressional Washington, DC 20224. In addition, this files of taxpayers on whom information Committees and individuals making System may contain some records (as is pertinent to carrying out the Freedom of Information requests provided by other agencies which are provisions of the convention or pertaining to themselves. exempt from the access and contest preventing fraud or fiscal evasion in provisions of the Privacy Act as relation to the taxes which are the POLICIES AND PRACTICES FOR STORING, subject of this convention) is exchanged RETRIEVING, ACCESSING, RETAINING, AND published in the Notices of the Systems of Records for those agencies. with foreign tax officials of treaty DISPOSING OF RECORDS IN THE SYSTEM: countries. STORAGE: CONTESTING RECORD PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Paper records maintained 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. 5 U.S.C. 301; 26 U.S.C. 7602, 7801, alphabetically by individual and and 7802. organization contained in vault at IRS RECORD SOURCE CATEGORIES: PURPOSE(S): National Office. News media articles, taxpayers’ The purpose is to maintain a returns and records, informant and third RETRIEVABILITY: historical record of correspondence and party information, other Federal background work regarding the subjects Alphabetically by name. agencies and examinations of related or for future references within the stated other taxpayers. SAFEGUARDS: retention time frames. EXEMPTIONS CLAIMED FOR THE SYSTEM: Access controls will not be less than ROUTINE USES OF RECORDS MAINTAINED IN THE those provided for by Managers Security Information from another agency’s SYSTEM, INCLUDING CATEGORIES OF USERS AND Handbook, IRM 1(16)12 and the exempt system of records duplicated in THE PURPOSES OF SUCH USES: Automated Information System Security this system of records retains the Disclosure of returns and return Handbook, IRM 2(10)00. No IRS official exempt status. information may be made only as has access to these records except for Treasury/IRS 49.001 provided by 26 U.S.C. 6103. retrieval purposes in connection with POLICIES AND PRACTICES FOR STORING, Congressional or Freedom of SYSTEM NAME: Information inquiries and litigation RETRIEVING, ACCESSING, RETAINING, AND Collateral and Information Requests DISPOSING OF RECORDS IN THE SYSTEM: cases. System—Treasury/IRS. STORAGE: RETENTION AND DISPOSAL: SYSTEM LOCATION: Paper records.
Records are maintained in accordance The central files for this system are RETRIEVABILITY: with Records Disposition Handbook, maintained at the Office of the Assistant IRM 1.15.2.1 through IRM 1.15.2.31. Commissioner (International), 950 By taxpayer name. Initially retained solely for L’Enfant Plaza, SW., Fourth Floor, SAFEGUARDS: congressional committees’ inquiries, Washington, DC 20024. A Access controls will not be less than these records are currently being corresponding system of records is those provided by the Automated retained because of their possible separately maintained by the foreign Information System Security Handbook, historical significance under Archival posts located in: (1) Bonn, Germany; (2) IRM 2(10)00. statutes. Consideration of their Sydney, Australia; (3) London, England; historical significance is in abeyance (4) Mexico City, Mexico; (5) Ottawa, RETENTION AND DISPOSAL: pending resolution of the Archivist right Canada; (6) Paris, France; (7) Rome, Records are maintained in accordance to access tax information under the Italy; (8) Singapore and (9) Tokyo, with Records Disposition Handbooks, Internal Revenue Code. Japan. Inquiries concerning this system IRM 1.15.2.1 through IRM 1.15.2.31.
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Generally, records are disposed of after ROUTINE USES OF RECORDS MAINTAINED IN THE CATEGORIES OF INDIVIDUALS COVERED BY THE three years. SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM: THE PURPOSES OF SUCH USES: Taxpayers who submitted financial SYSTEM MANAGER(S) AND ADDRESS: Disclosure of returns and return statements when interviewed overseas Assistant Commissioner information may be made only as by Examination Branch employees. (International), 950 L’Enfant Plaza, SW., provided by 26 U.S.C. 6103. Fourth Floor, Washington, DC 20024. CATEGORIES OF RECORDS IN THE SYSTEM: POLICIES AND PRACTICES FOR STORING, Financial Statements. NOTIFICATION PROCEDURE: RETRIEVING, ACCESSING, RETAINING, AND AUTHORITY FOR MAINTENANCE OF THE SYSTEM This system of records may not be DISPOSING OF RECORDS IN THE SYSTEM: : accessed for purposes of determining if 5 U.S.C. 301; 26 U.S.C. 7602, 7801, the system contains a record pertaining STORAGE: and 7802. to a particular individual. Paper, microfilm and electronic PURPOSE(S): records. RECORD ACCESS PROCEDURES: To verify income reported on This system of records may not be RETRIEVABILITY: individual tax returns during the course accessed for purposes of inspection or By taxpayer name. of an examination of that return. for contest of content of records. ROUTINE USES OF RECORDS MAINTAINED IN THE SAFEGUARDS: CONTESTING RECORD PROCEDURES: SYSTEM, INCLUDING CATEGORIES OF USERS AND 26 U.S.C. 7852(e) prohibits Privacy Access controls will not be less than THE PURPOSES OF SUCH USES: Act amendment of tax records. those provided by the Automated Disclosure of returns and return Information System Security Handbook, information may be made only as RECORD SOURCE CATEGORIES: IRM 2(10)00. provided by 26 U.S.C. 6103. Records of examinations of taxpayers, interviews of witnesses, etc. where some RETENTION AND DISPOSAL: POLICIES AND PRACTICES FOR STORING, aspects of an investigation must be Records are maintained in accordance RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: pursued in foreign countries pursuant to with Records Disposition Handbooks, various tax treaties between the United IRM 1.15.2.1 through IRM 1.15.2.31. STORAGE: States and foreign governments. Generally, records may be disposed of Paper records. after six years. EXEMPTIONS CLAIMED FOR THE SYSTEM: RETRIEVABILITY: This system has been designated as SYSTEM MANAGER(S) AND ADDRESS: By taxpayer’s name. exempt from certain provisions of the Office of the Assistant Commissioner SAFEGUARDS: Privacy Act. (International), 950 L’Enfant Plaza, SW., Access controls will not be less than Fourth Floor, Washington, DC 20024. Treasury/IRS 49.002 those provided for by Managers Security Handbook, IRM 1(16)12 and the SYSTEM NAME: NOTIFICATION PROCEDURE: Automated Information System Security This system of records may not be Tax Treaty Information Management Handbook, IRM 2(10)00. System-Treasury/IRS. accessed for purposes of determining if the system contains a record pertaining RETENTION AND DISPOSAL: SYSTEM LOCATION: to a particular individual. Records are maintained in accordance Office of the DirectorCommissioner with Records Disposition Handbooks, RECORD ACCESS PROCEDURES: (International), 950 L’Enfant Plaza, SW., IRM 1.15.2.1 through IRM 1.15.2.31. Fourth Floor, Washington, DC 20024. This system of records may not be Generally, records are disposed of after CATEGORIES OF INDIVIDUALS COVERED BY THE accessed for purposes of inspection or two years. SYSTEM: for contest of content of the records. SYSTEM MANAGER(S) AND ADDRESS: U.S. citizens, resident aliens, CONTESTING RECORD PROCEDURES: nonresident aliens whose tax matters Compliance Area Director, Area 15, come under the jurisdiction of the U.S. 26 U.S.C. 7852(e) prohibits Privacy SBSE, 950 L’Enfant Plaza, SW, Prom competent authority in accordance with Act amendment of tax records. Level, Washington, DC 20024. pertinent provisions of tax treaties with RECORD SOURCE CATEGORIES: NOTIFICATION PROCEDURE: foreign countries. Requests for relief from double Individuals seeking to determine if CATEGORIES OF RECORDS IN THE SYSTEM: taxation. this system of records contains a record Individual case files of taxpayers who pertaining to themselves may inquire in EXEMPTIONS CLAIMED FOR THE SYSTEM: request relief from double taxation or accordance with instructions appearing any other assistance that is pertinent to This system has been designated as at 31 CFR part 1, subpart C, appendix carrying out the provisions of income exempt from certain provisions of the B. Inquiries should be addressed as in tax treaties. Privacy Act. ‘‘Record access procedures’’ below. RECORD ACCESS PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Treasury/IRS 49.003 5 U.S.C. 301, 26 U.S.C. 7602, 7801, Individuals seeking access to any SYSTEM NAME: and 7802; applicable treaties. record contained in this system of Financial Statements File-Treasury/ records may inquire in accordance with PURPOSE(S): IRS. instructions appearing at 31 CFR part 1, To maintain records to monitor an subpart C, appendix B. Inquiries should inventory of individual case files of SYSTEM LOCATION: be addressed to the Assistant taxpayers who request competent Compliance Area Director, Area 15, Commissioner (International), 950 authority assistance pursuant to the SBSE, 950 L’Enfant Plaza, SW., PROM L’Enfant Plaza, SW., Fourth Floor, provisions of income tax treaties. level, Washington, DC 20024. Washington, DC 20024.
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CONTESTING RECORD PROCEDURES: POLICIES AND PRACTICES FOR STORING, should be addressed to the Office of the 26 U.S.C. 7852(e) prohibits Privacy RETRIEVING, ACCESSING, RETAINING, AND Director (International), 950 L’Enfant DISPOSING OF RECORDS IN THE SYSTEM: Act amendment of tax records. Plaza, SW., Fourth Floor, Washington, STORAGE: DC 20024. RECORD SOURCE CATEGORIES: Paper records. CATEGORIES OF INDIVIDUALS COVERED BY THE Overseas Examination branch SYSTEM: employees. RETRIEVABILITY: United States Citizens, Resident By taxpayer name, social security Aliens, Nonresident Aliens. EXEMPTIONS CLAIMED FOR THE SYSTEM: number, or other identification number. None. CATEGORIES OF RECORDS IN THE SYSTEM: SAFEGUARDS: Treasury/IRS 49.007 Correspondence from taxpayers, Access controls will not be less than foreign post personnel and the Office of SYSTEM NAME: those provided for by Managers Security the Director (International) headquarters Handbook, IRM 1(16)12 and the offices in Washington, DC. Overseas Compliance Projects Automated Information System Security System-Treasury/IRS. Handbook, IRM 2(10)00. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM LOCATION: 5 U.S.C. 301; 26 U.S.C. 7602, 7801, RETENTION AND DISPOSAL: and 7802. The central files for this system are Records are maintained in accordance maintained at the Office of the Assistant with Records Disposition Handbooks, PURPOSE(S): Commissioner (International), 950 IRM 1.15.2.1 through IRM 1.15.2.31. The purpose of this of records is to L’Enfant Plaza, SW., Fourth Floor, Generally, records are disposed of after control correspondence received from Washington, DC 20024. A 3 years. taxpayers concerning tax law and corresponding system of records is account related inquiries. separately maintained by the foreign SYSTEM MANAGER(S) AND ADDRESS: posts located in: (1) Bonn, Germany; (2) Compliance Area Director, Area 15, ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND Sydney, Australia; (3) London, England; SBSE, 950 L’Enfant Plaza, SW., prom THE PURPOSES OF SUCH USES: (4) Mexico City, Mexico;(5)Santiago, level, Washington, DC 20024. Disclosure of returns and return Chile; (6) Paris, France; (7) Rome, information may be made only as Italy;(8) Singapore and (9) Tokyo, Japan. NOTIFICATION PROCEDURE: provided by 26 U.S.C. 6103. Inquiries concerning this system of This system of records may not be records maintained by the foreign posts accessed for purposes of determining if POLICIES AND PRACTICES FOR STORING, should be addressed to the Compliance the system contains a record pertaining RETRIEVING, ACCESSING, RETAINING, AND Area Director Appeals, SBSE. to a particular individual. DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE RECORD ACCESS PROCEDURES: SYSTEM: This system of records may not be Paper records. United States Citizens, Resident accessed for purposes of inspection or RETRIEVABILITY: Aliens, Nonresident Aliens. for contest of content of records. By taxpayer name.
CATEGORIES OF RECORDS IN THE SYSTEM: CONTESTING RECORD PROCEDURES: SAFEGUARDS: Documents and factual data relating 26 U.S.C. 7852(e) prohibits Privacy Access controls will not be less than to: (1) Personal expenditures or Act amendment of tax records. those provided for by Managers Security Handbook, IRM 1(16)12 and the investments not commensurate with RECORD SOURCE CATEGORIES: known income and assets; (2) receipt of Automated Information System Security Documents and data relating to significant unreported income; (3) Handbook, IRM 2(10)00. income and expense items concerning improper deduction of significant income, Estate and Gift tax returns. RETENTION AND DISPOSAL: capital or personal living expenses; (4) Records are maintained in accordance failure to file required returns or pay tax EXEMPTIONS CLAIMED FOR THE SYSTEM : with Records Disposition Handbooks, due; (5) omission of assets or improper This system has been designated as IRM 1.15.2.1 through IRM 1.15.2.31. deduction or exclusion of items from exempt from certain provisions of the Generally, records are disposed of after state and gift tax returns. Privacy Act. three years. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Treasury/IRS 49.008 SYSTEM MANAGER(S) AND ADDRESS: 5 U.S.C. 301; 26 U.S.C. 7602, 7801, SYSTEM NAME: Director (International), 950 L’Enfant and 7802. Plaza, SW., Fourth Floor, Washington, International Correspondence System- DC 20024. PURPOSE(S): Treasury/IRS. The purpose is to maintain NOTIFICATION PROCEDURE: SYSTEM LOCATION: documents and records of individuals Individuals seeking to determine if residing abroad that contain information This system is separately maintained this system of records contains a record pertaining to the individual to by each one of the 13 overseas posts of pertaining to themselves may inquire in determine proper tax liability. the Office of the Assistant accordance with instructions appearing Commissioner (International) located in: at 31 CFR part 1, subpart C, appendix ROUTINE USES OF RECORDS MAINTAINED IN THE (1) Berlin, Germany; (2) London, B. Inquiries should be addressed as in SYSTEM, INCLUDING CATEGORIES OF USERS AND England; (3) Mexico City, Mexico; (4) ‘‘Record access procedures’’ below. THE PURPOSES OF SUCH USES: Paris, France; (5) Rome, Italy; (6) Disclosure of returns and return Singapore and (9) Tokyo, Japan. RECORD ACCESS PROCEDURES: information may be made only as Inquiries concerning this system of Individuals seeking access to any provided by 26 U.S.C. 6103. records maintained by the foreign posts record contained in this system of
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records may inquire in accordance with Handbook, IRM 1(16)12 and the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: instructions appearing at 31 CFR part 1, Automated Information System Security 26 U.S.C. 7801, 7802, and 7805. subpart C, appendix B. Inquiries should Handbook, IRM 2(10)00. be addressed to the Director ROUTINE USES OF RECORDS MAINTAINED IN THE (International), 950 L’Enfant Plaza, SW., RETENTION AND DISPOSAL: SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: Fourth Floor, Washington, DC 20024. Records are maintained in accordance with Records Control Schedule 104 for Disclosure of returns and return CONTESTING RECORD PROCEDURES: Employee Plans/Exempt information may be made only as 26 U.S.C. 7852(e) prohibits Privacy Organizations—National Office, IRM provided by 26 U.S.C. 6103 and 26 Act amendment of tax records. 1.15.2.17 U.S.C. 6104 where applicable.
RECORD SOURCE CATEGORIES: SYSTEM MANAGER(S) AND ADDRESS: POLICIES AND PRACTICES FOR STORING, Taxpayers and the Office of the Assistant Commissioner (Tax Exempt/ RETRIEVING, ACCESSING, RETAINING, AND Assistant Commissioner (International) Government Entity), 1111 Constitution DISPOSING OF RECORDS IN THE SYSTEM: foreign posts and headquarter’s offices. Avenue, NW., Washington, DC 20224. STORAGE: EXEMPTIONS CLAIMED FOR THE SYSTEM: NOTIFICATION PROCEDURE: Paper records. None. Individuals seeking to determine if RETRIEVABILITY: Treasury/IRS 50.001 this system of records contains a record Indexed by name. pertaining to themselves may inquire in SYSTEM NAME: accordance with instructions appearing SAFEGUARDS: Employee Plans/Exempt at 31 CFR part 1, subpart C, appendix Access controls will not be less than Organizations Correspondence Control B. Inquiries should be addressed as in those provided for by Managers Security Records—Treasury/IRS. ‘‘Record access procedures’’ below. Handbook, IRM 1(16)12 and the Automated Information System Security SYSTEM LOCATION: RECORD ACCESS PROCEDURES: Handbook, IRM 2(10)00. National Office, 1111 Constitution Individuals seeking access to any Avenue, NW., Washington, DC 20224. record contained in this system of RETENTION AND DISPOSAL: CATEGORIES OF INDIVIDUALS COVERED BY THE records may inquire in accordance with Records are maintained in accordance SYSTEM: instructions appearing at 31 CFR part 1, with Records Control Schedule 104 for Requesters of letter rulings, and subpart C, appendix B. Inquiries should Employee Plans/Exempt subjects of field office requests for be addressed to the Assistant Organizations—National Office, IRM technical advice and assistance and Commissioner (Employee Plans/Exempt 1.15.2.17 other correspondence, including Organizations), 1111 Constitution SYSTEM MANAGER(S) AND ADDRESS: correspondence associated with section Avenue, NW., Washington, DC 20224. 527 organization programs. Assistant Commissioner, (Tax CONTESTING RECORD PROCEDURES: Exempt/Government Entities), 1111 CATEGORIES OF RECORDS IN THE SYSTEM: 26 U.S.C. 7852(e) prohibits Privacy Constitution Avenue, NW., Washington, Contains the name, date, nature and Act amendment of tax records. DC 20224. subject of an assignment, and work RECORD SOURCE CATEGORIES: history. Sub-systems include case files NOTIFICATION PROCEDURE: and section 527 records that contain the Individuals requesting rulings or Individuals seeking to determine if correspondence, internal memoranda, information and field offices requesting this system of records contains a record and related material. They also include technical advice or assistance. pertaining to themselves may inquire in accordance with instructions appearing digests of issues involved in proposed EXEMPTIONS CLAIMED FOR THE SYSTEM: revenue rulings. at 31 CFR part 1, subpart C, appendix None. B. Inquiries should be addressed as in AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Treasury/IRS 50.003 ‘‘Record access procedures’’ below. 26 U.S.C. 7801, 7802, and 7805. SYSTEM NAME: RECORD ACCESS PROCEDURES: ROUTINE USES OF RECORDS MAINTAINED IN THE Individuals seeking access to any SYSTEM, INCLUDING CATEGORIES OF USERS AND Employee Plans/Exempt THE PURPOSES OF SUCH USES: Organizations, Report of Significant record contained in this system of records may inquire in accordance with Disclosure of returns and return Matters in Technical-Treasury/IRS. instructions appearing at 31 CFR part 1, information may be made only as SYSTEM LOCATION: subpart C, appendix B. Inquiries should provided by 26 U.S.C. 6103 and 26 be addressed to the Assistant U.S.C. 6104 where applicable. National Office, 1111 Constitution Avenue, NW., Washington, DC 20224. Commissioner, (Employee Plans/ POLICIES AND PRACTICES FOR STORING, Exempt Organizations), Internal RETRIEVING, ACCESSING, RETAINING, AND CATEGORIES OF INDIVIDUALS COVERED BY THE Revenue Service, 1111 Constitution DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM: Avenue, NW., Washington, DC 20224. STORAGE: Individual subjects of letter ruling requests, technical advice requests etc., CONTESTING RECORD PROCEDURES: Paper records, microfiche and where a ‘‘Report of Significant Matter in 26 U.S.C. 7852(e) prohibits Privacy magnetic media. Technical,’’ has been prepared because Act amendment of tax records. RETRIEVABILITY: of the presence of a matter significant to RECORD SOURCE CATEGORIES: Indexed by name. tax administration. Individual subjects of letter ruling SAFEGUARDS: CATEGORIES OF RECORDS IN THE SYSTEM: requests, technical advice requests, etc., Access controls will not be less than Copies of ‘‘Reports of Significant where a ‘‘Report of Significant Matter in those provided for by Managers Security Matter in Technical.’’ EP/EO’’ has been prepared.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: POLICIES AND PRACTICES FOR STORING, None. RETRIEVING, ACCESSING, RETAINING, AND 5 U.S.C. 301; 26 U.S.C. 7608, 7801, DISPOSING OF RECORDS IN THE SYSTEM: Treasury/IRS 60.001 and 7802. STORAGE: SYSTEM NAME: PURPOSE(S): Paper records, in folders, maintained Assault and Threat Investigation in file cabinets, or on magnetic media. Files, Inspection—Treasury/IRS. This system of records documents the investigation into any attempt to RETRIEVABILITY: SYSTEM LOCATION: obstruct or impede (or endeavor to By name of individual to whom it Office of the Chief Inspector, National obstruct or impede) Internal Revenue applies, cross-referenced third parties Office; Regional Inspectors’ Offices; as Service employees in the performance and/or by case number. well as offices of the Area Directors. of their official duties. It includes SAFEGUARDS: (See IRS appendix A for addresses.) records relevant to the use of force or Access controls will not be less than CATEGORIES OF INDIVIDUALS COVERED BY THE threats of force against IRS employees or those provided by the Manager’s SYSTEM: their immediate family (including any Security Handbook, IRM 1(16)12. The Individuals attempting to interfere threatening letter or communication). records are accessible to Inspection with the administration of internal personnel on a need-to-know basis, all revenue laws through assaults, threats, ROUTINE USES OF RECORDS MAINTAINED IN THE of whom have been the subject of a or forcible interference of any officer or SYSTEM, INCLUDING CATEGORIES OF USERS AND background investigation. Disclosure of employee while discharging the official THE PURPOSES OF SUCH USES: information through remote terminals is duties of his/her position, including Disclosure of returns and return restricted through the use of passwords individuals designated as potentially information may be made only as and sign-on protocols which are dangerous taxpayers (PDTs), based on provided by 26 U.S.C. 6103. Records periodically changed; these terminals verifiable evidence or information that other than returns and return are accessible only to authorized fit any of the following five criteria: (1) information may be used to: (1) Disclose persons. Individuals who assault employees or pertinent information to appropriate RETENTION AND DISPOSAL: members of their immediate families; (2) Federal, State, local, or foreign agencies Records are maintained in accordance Individuals who attempt to intimidate responsible for investigating or or threaten employees or members of with IRM Part X, Inspection, Exhibit prosecuting the violations of, or for their immediate families through (10)100–2. enforcing or implementing, a statute, specific threats of bodily harm, a show rule, regulation, order, or license, where SYSTEM MANAGER(S) AND ADDRESS: of weapons, the use of animals, or Chief Inspector, Internal Revenue through other specific threatening or the disclosing agency becomes aware of an indication of a violation or potential Service, 1111 Constitution Avenue, intimidating behavior; (3) Individuals NW., Washington, DC 20224. who are active members of groups that violation of civil or criminal law or advocate violence against Internal regulation; (2) disclose information to a NOTIFICATION PROCEDURE: Revenue Service employees specifically, Federal, State, or local agency This system of records may not be or against Federal employees generally maintaining civil, criminal or other accessed for purposes of determining if where advocating such violence could relevant enforcement information or the system contains a record pertaining reasonably be understood to threaten other pertinent information, which has to a particular individual. the safety of Service employees and requested information relevant to or RECORD ACCESS PROCEDURES: impede the performance of their official necessary to the requesting agency’s or duties; (4) Individuals who have the bureau’s hiring or retention of an This system is exempt and may not be committed the acts set forth in any of individual, or issuance of a security accessed for purposes of inspection or the above criteria, but whose acts have clearance, license, contract, grant, or for contest of content of records. been directed against employees of other benefit; (3) disclose relevant, non- CONTESTING RECORD PROCEDURES: other governmental agencies at Federal, privileged information to a court, 26 U.S.C. 7852(e) prohibits Privacy state, county, or local levels; and (5) magistrate, or administrative tribunal Act amendment of tax records. Individuals who are not designated as including the presentation of evidence, potentially dangerous taxpayers through disclosures to opposing counsel or RECORD SOURCE CATEGORIES: application of the above criteria, but witnesses in the course of civil This system of records contains who have demonstrated a clear discovery, litigation, or settlement investigatory material compiled for propensity toward violence through negotiations, in response to a subpoena, criminal law enforcement purposes act(s) of violent behavior within the or in connection with criminal law whose sources need not be reported. five-year period immediately preceding proceedings; (4) provide information to EXEMPTIONS CLAIMED FOR THE SYSTEM: the time of designation as potentially a congressional office in response to an dangerous. This system has been designated as inquiry made at the request of the exempt from certain provisions of the CATEGORIES OF RECORDS IN THE SYSTEM: individual to whom the record pertains; Privacy Act. (1) Document citing the complaint; (2) (5) provide information to the news Documentary evidence (i.e., threatening media in accordance with guidelines Treasury/IRS 60.002 letter); (3) Report of investigation, with contained in 28 CFR 50.2 which relate SYSTEM NAME: to an agency’s functions relating to civil possible statements, or affidavits as Bribery Investigation Files, exhibits, and related tax information; (4) and criminal proceedings; (6) provide Inspection—Treasury/IRS. Report of legal action, if case is information to third parties during the prosecuted; (5) Local police record of course of an investigation to the extent SYSTEM LOCATION: individual named in case; (6) FBI record necessary to obtain information Office of the Chief Inspector, National of individual named in the case. pertinent to the investigation. Office and Regional Inspectors’ Offices.
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(See IRS appendix A for addresses.) discovery, litigation, or settlement EXEMPTIONS CLAIMED FOR THE SYSTEM: Categories of individuals covered by the negotiations, in response to a subpoena, This system has been designated as system: or in connection with criminal law exempt from certain provisions of the Employees and/or former employees proceedings; (4) provide information to Privacy Act. of the Treasury Department; taxpayers a congressional office in response to an and non-IRS persons whose alleged inquiry made at the request of the Treasury/IRS 60.003 criminal actions may affect the integrity individual to whom the record pertains; SYSTEM NAME: of the Internal Revenue Service. (5) provide information to the news Conduct Investigation Files, CATEGORIES OF RECORDS IN THE SYSTEM: media in accordance with guidelines Inspection—Treasury/IRS. contained in 28 CFR 50.2 which relate (1) Report of investigation including to an agency’s functions relating to civil SYSTEM LOCATION: exhibits, affidavits, transcripts, and and criminal proceedings; (6) provide Office of the Chief Inspector, National documentation concerning requests and information to third parties during the Office and Regional Inspectors’ Offices. approval for consensual telephone and course of an investigation to the extent (See IRS appendix A for addresses.) consensual non-telephone monitoring; necessary to obtain information (2) Report of legal action concerning the CATEGORIES OF INDIVIDUALS COVERED BY THE pertinent to the investigation. results of prosecution; (3) Prior criminal SYSTEM: record of subject. POLICIES AND PRACTICES FOR STORING, Employees and former employees of RETRIEVING, ACCESSING, RETAINING, AND Internal Revenue Service, and other AUTHORITY FOR MAINTENANCE OF THE SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: Bureaus and Services within the 5 U.S.C. 301; 26 U.S.C. 7602, 7608, Department of the Treasury. 7801, and 7802; Executive Order 11222. STORAGE: Paper records, in folders, maintained CATEGORIES OF RECORDS IN THE SYSTEM: PURPOSE(S): in file cabinets, or on magnetic media. (1) Document citing complaint of This system of records contains alleged misconduct or violation of information relevant to Internal RETRIEVABILITY: statute; (2) Report of investigation to Security’s specific and exclusive By name of individual to whom it resolve allegation of misconduct or jurisdiction within the Service to applies, cross-referenced third parties, violation of statute, with related exhibits investigate violation of 18 U.S.C. 201, and/or by case number. of statements, affidavits or records Bribery. This is described as an offer to obtained during investigation; (3) Report give something of value with the intent SAFEGUARDS: of action taken by management that the recipients will do something Access controls will not be less than personnel adjudicating any misconduct improper or will fail to do something those provided for by Managers Security substantiated by the investigation; (4) they should do within the authority of Handbook, IRM 1(16)12 and the Report of legal action resulting from their position. Automated Information System Security violations of statutes referred for Handbook, IRM 2(10)00. Accessible to ROUTINE USES OF RECORDS MAINTAINED IN THE prosecution. SYSTEM, INCLUDING CATEGORIES OF USERS AND Inspection personnel on a need-to-know THE PURPOSES OF SUCH USES: basis, all of whom have been the subject AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Disclosure of returns and return of background investigations. 5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801, and 7802; Executive Order 11222. information may be made only as RETENTION AND DISPOSAL: provided by 26 U.S.C. 6103. Records PURPOSE(S): other than returns and return Records are maintained in accordance Records in this system include information may be used to: (1) Disclose with IRM Part X, Inspection, Exhibit information gathered by Inspection in pertinent information to appropriate (10)100–2. order to identify and report all pertinent Federal, State, local, or foreign agencies SYSTEM MANAGER(S) AND ADDRESS: facts to management relative to the responsible for enforcing or Chief Inspector, Internal Revenue investigation of complaints and investigating or prosecuting the Service, 1111 Constitution Avenue, allegations against employees of the violations of, or for enforcing or NW., Washington, DC 20224. Internal Revenue Service implementing, a statute, rule, regulation, order, or license, where the NOTIFICATION PROCEDURE: ROUTINE USES OF RECORDS MAINTAINED IN THE disclosing agency becomes aware of an This system of records may not be SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: indication of a violation or potential accessed for purposes of determining if violation of civil or criminal law or the system contains a record pertaining Disclosure of returns and return regulations; (2) disclose information to a to a particular individual. information may be made only as Federal, State, or local agency, provided by 26 U.S.C. 6103. Records maintaining civil, criminal or other RECORD ACCESS PROCEDURES: other than returns and return relevant enforcement information or This system is exempt and may not be information may be used to: (1) Disclose other pertinent information, which has accessed for purposes of inspection or pertinent information to appropriate requested information relevant to or for contest of content of records. Federal, State, local, or foreign agencies necessary to the requesting agency’s or responsible for investigating or the bureau’s hiring or retention of an CONTESTING RECORD PROCEDURES: prosecuting the violations of, or for individual, or issuance of a security 26 U.S.C. 7852(e) prohibits Privacy enforcing or implementing, a statute, clearance, license, contract, grant, or Act amendment of tax records. rule, regulation, order, or license, where other benefit; (3) disclose relevant, non- the disclosing agency becomes aware of privileged information to a court, RECORD SOURCE CATEGORIES: an indication of a violation or potential magistrate, or administrative tribunal, This system of records contains violation of civil or criminal law or including the presentation of evidence, investigatory material compiled for regulations; (2) disclose information to a disclosures to opposing counsel or criminal law enforcement purposes Federal, State, or local agency, witnesses in the course of civil whose sources need not be reported. maintaining civil, criminal or other
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relevant enforcement information or the system contains a record pertaining unauthorized disclosures of Internal other pertinent information, which has to a particular individual. Revenue Service Records. requested information relevant to or RECORD ACCESS PROCEDURES: necessary to the requesting agency’s or ROUTINE USES OF RECORDS MAINTAINED IN THE This system is exempt and may not be SYSTEM, INCLUDING CATEGORIES OF USERS AND the bureau’s hiring or retention of an THE PURPOSES OF SUCH USES: individual, or issuance of a security accessed for purposes of inspection or clearance, license, contract, grant, or for contest of content of records. Disclosure of returns and return information may be made only as other benefit; (3) disclose relevant, non- CONTESTING RECORD PROCEDURES: privileged information to a court, provided by 26 U.S.C. 6103. Records 26 U.S.C. 7852(e) prohibits Privacy other than returns and return magistrate, or administrative tribunal, Act amendment of tax records. including the presentation of evidence, information may be used to: (1) Disclose disclosures to opposing counsel or RECORD SOURCE CATEGORIES: pertinent information to appropriate witnesses in the course of civil Department of Treasury personnel Federal, State, local, or foreign agencies discovery, litigation, or settlement and records, taxpayers (complainants, responsible for investigating or negotiations, in response to a subpoena, witnesses, confidential informants), prosecuting the violations of, or for or in connection with criminal law other Federal agencies, State and local enforcing or implementing, a statute, proceedings; (4) provide information to agencies, tax returns and related rule, regulation, order, or license, where a congressional office in response to an documents, personal observations of the the disclosing agency becomes aware of inquiry made at the request of the investigator and subjects of the an indication of a violation or potential individual to whom the record pertains; investigation. violation of civil or criminal law or (5) provide information to the news regulations; (2) disclose information to a EXEMPTIONS CLAIMED FOR THE SYSTEM: media in accordance with guidelines Federal, State, or local agency, contained in 28 CFR 50.2 which relate This system has been designated as maintaining civil, criminal or other to an agency’s functions relating to civil exempt from certain provisions of the relevant enforcement information or and criminal proceedings; (6) provide Privacy Act. other pertinent information, which has requested information relevant to or information to third parties during the Treasury/IRS 60.004 course of an investigation to the extent necessary to the requesting agency’s or necessary to obtain information SYSTEM NAME: the bureau’s hiring or retention of an pertinent to the investigation; (7) Disclosure Investigation Files, individual, or issuance of a security disclose information to the Department Inspection-Treasury/IRS. clearance, license, contract, grant, or of Justice for the purpose of litigating an other benefit; (3) disclose information to SYSTEM LOCATION: action or seeking legal advice. a court, magistrate, or administrative Disclosure may be made during judicial Office of the Chief Inspector, National tribunal in the course of presenting processes. Office and Regional Inspectors’ Offices. evidence, including disclosures to (See IRS appendix A for addresses.) opposing counsel or witnesses in the POLICIES AND PRACTICES FOR STORING, course of civil discovery, litigation, or CATEGORIES OF INDIVIDUALS COVERED BY THE RETRIEVING, ACCESSING, RETAINING, AND settlement negotiations, in response to a SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: subpoena, or in connection with (1) Internal Revenue Service STORAGE: criminal law proceedings; (4) provide employees and/or Government contract information to a congressional office in Paper records, in folders, maintained employees at IRS Facilities, who have in file cabinets, and on magnetic media. response to an inquiry made at the allegedly disclosed confidential tax request of the individual to whom the RETRIEVABILITY: information; (2) Federal, state and local record pertains; (5) provide information By name of individual to whom it Government employees who have to the news media in accordance with applies, cross-referenced third parties, allegedly disclosed confidential Federal guidelines contained in 28 CFR 50.2 and/or by case number. tax information. (3) Tax return preparers which relate to an agency’s functions who have allegedly disclosed relating to civil and criminal SAFEGUARDS: confidential Federal tax information. proceedings; (6) provide information to Access controls will not be less than CATEGORIES OF RECORDS IN THE SYSTEM: third parties during the course of an those provided for by Managers Security investigation to the extent necessary to Handbook, IRM 1(16)12 and the (1) Document citing the complaint of the alleged criminal or administrative obtain information pertinent to the Automated Information System Security investigation. Handbook, IRM 2(10)00. Accessible to violation; (2) Investigative report, Inspection personnel on a need-to-know including statements, affidavits and any POLICIES AND PRACTICES FOR STORING, basis, all of whom have been the subject other pertinent documents supporting RETRIEVING, ACCESSING, RETAINING, AND of background investigations. the investigative report, which will be DISPOSING OF RECORDS IN THE SYSTEM: attached as an exhibit; (3) Report of STORAGE: RETENTION AND DISPOSAL: legal action if case is accepted by U.S. Records are maintained in accordance Attorney for prosecution; (4) Report of Paper records, in folders, maintained with IRM Part X, Inspection, Exhibit action by management personnel if case in file cabinets, or on magnetic media. (10)100–2. is referred for administrative RETRIEVABILITY: adjudication. SYSTEM MANAGER(S) AND ADDRESS: By name of individual to whom it Chief Inspector, Internal Revenue AUTHORITY FOR MAINTENANCE OF THE SYSTEM: applies, cross-referenced third parties, Service, 1111 Constitution Avenue, 5 U.S.C. 301; 26 U.S.C. 7602, 7608, and/or by case number. NW., Washington, DC 20224. 7801, and 7802; Executive Order 11222. SAFEGUARDS: NOTIFICATION PROCEDURE: PURPOSE(S): Access controls will not be less than This system of records may not be This system of records documents those provided for by Managers Security accessed for purposes of determining if investigations into allegations of Handbook, IRM 1(16)12 and the
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Automated Information System Security AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETRIEVABILITY: Handbook, IRM 2(10)00. Accessible to 26 U.S.C. 7801 and 7802. By name of individual to whom it Inspection personnel on a need-to-know applies, cross-referenced third parties, basis, all of whom have been the subject PURPOSE(S): and/or by case number. of background investigations. This system of records documents SAFEGUARDS: RETENTION AND DISPOSAL: investigations of enrollee applicants Access controls will not be less than Records are maintained in accordance conducted at the request of the Director those provided for by Managers Security with IRM Part X, Inspection, Exhibit of Practice, to determine their eligibility Handbook, IRM 1(16)12 and the (10)100–2. to practice before the Service. Automated Information System Security SYSTEM MANAGER(S) AND ADDRESS: Handbook, IRM 2(10)00. ROUTINE USES OF RECORDS MAINTAINED IN THE Accessible to Inspection personnel on Chief Inspector, Internal Revenue SYSTEM, INCLUDING CATEGORIES OF USERS AND a need-to-know basis, all of whom have Service, 1111 Constitution Avenue, THE PURPOSES OF SUCH USES: NW., Washington, DC 20224. been the subject of background Disclosure of returns and return investigations. NOTIFICATION PROCEDURE: information may be made only as This system of records may not be provided by 26 U.S.C. 6103. Records RETENTION AND DISPOSAL: accessed for purposes of determining if other than returns and return Records are maintained in accordance the system contains a record pertaining information may be used to: (1) Disclose with IRM Part X, Inspection, Exhibit to a particular individual. pertinent information to appropriate (10)100–2. Federal, State, local, or foreign agencies RECORD ACCESS PROCEDURES: responsible for or investigating or SYSTEM MANAGER(S) AND ADDRESS: This system of records is exempt and prosecuting the violations of, or for Chief Inspector, Internal Revenue may not be accessed for purposes of enforcing or implementing, a statute, Service, 1111 Constitution Avenue, inspection or for contest of content of rule, regulation, order, or license, where NW., Washington, DC 20224. records. the disclosing agency becomes aware of NOTIFICATION PROCEDURE: CONTESTING RECORD PROCEDURES: an indication of a violation or potential Individuals seeking to determine if 26 U.S.C. 7852(e) prohibits Privacy violation of civil or criminal law or this system contains a record pertaining Act amendment of tax records. regulations; (2) disclose information to a Federal, State, or local agency, to themselves may inquire in RECORD SOURCE CATEGORIES: maintaining civil, criminal or other accordance with instructions appearing This system of records contains relevant enforcement information or at 31 CFR part 1, subpart C, appendix investigatory material compiled for other pertinent information, which has B. Inquiries should be addressed as in criminal law enforcement purposes requested information relevant to or ‘‘Record access procedures’’ below. whose sources need not be reported. necessary to the requesting agency’s or RECORD ACCESS PROCEDURES: the bureau’s hiring or retention of an EXEMPTIONS CLAIMED FOR THE SYSTEM: individual, or issuance of a security Individuals seeking access to any This system has been designated as clearance, license, contract, grant, or record contained in this system of exempt from certain provisions of the other benefit; (3) disclose relevant, non- records, or seeking to contest its Privacy Act. privileged information to a court, content, may inquire in accordance with instructions appearing at 31 CFR part 1, Treasury/IRS 60.005 magistrate, or administrative tribunal, including the presentation of evidence, subpart C, appendix B. Inquiries should SYSTEM NAME: disclosures to opposing counsel or be addressed to the Chief Inspector, Enrollee Applicant Investigation witnesses in the course of civil Internal Revenue Service, 1111 Files, Inspection-Treasury/IRS. discovery, litigation, or settlement Constitution Avenue, NW., Washington, negotiations, in response to a subpoena, DC 20224. SYSTEM LOCATION: or in connection with criminal law CONTESTING RECORD PROCEDURES: Office of the Chief Inspector, National proceedings; (4) provide information to Office and Regional Inspectors’ Offices. a congressional office in response to an 26 U.S.C. 7852(e) prohibits Privacy (See IRS appendix A for addresses.) inquiry made at the request of the Act amendment of tax records. CATEGORIES OF INDIVIDUALS COVERED BY THE individual to whom the record pertains; RECORD SOURCE CATEGORIES: SYSTEM: (5) provide information to the news The Internal Revenue Service, the Former employees and non-IRS media in accordance with guidelines contained in 28 CFR 50.2 which relate Federal Bureau of Investigation, and persons who apply for enrollment to local police departments. practice before IRS under the provisions to an agency’s functions relating to civil of Circular 230. and criminal proceedings; (6) provide EXEMPTIONS CLAIMED FOR THE SYSTEM: information to third parties during the CATEGORIES OF RECORDS IN THE SYSTEM: course of an investigation to the extent None. Investigative reports on non-IRS necessary to obtain information Treasury/IRS 60.006 employees covering derogatory results pertinent to the investigation. of checks of: FBI files; Inspection files; SYSTEM NAME: local police; Examination, Criminal POLICIES AND PRACTICES FOR STORING, Enrollee Charge Investigation Files, Investigation and SB/SE, W&I, LMSB RETRIEVING, ACCESSING, RETAINING, AND Inspection—Treasury/IRS. Division files; and verification of DISPOSING OF RECORDS IN THE SYSTEM: Federal tax filing status. Also, SYSTEM LOCATION: STORAGE: appropriate documents attached as Office of the Chief Inspector, National exhibits showing results of above file Paper records, in folders, maintained Office and Regional Inspectors’ Offices. checks. in file cabinets and on magnetic media. (See IRS appendix A for addresses.)
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CATEGORIES OF INDIVIDUALS COVERED BY THE to an agency’s functions relating to civil Treasury/IRS 60.007 SYSTEM: and criminal proceedings; (6) provide SYSTEM NAME: IRS employees or former employees, information to third parties during the Miscellaneous Information File, tax practitioners, attorneys, certified course of an investigation to the extent Inspection—Treasury/IRS. public accountants or enrolled persons. necessary to obtain information SYSTEM LOCATION: CATEGORIES OF RECORDS IN THE SYSTEM: pertinent to the investigation. Office of the Chief Inspector, National A documented complaint or request POLICIES AND PRACTICES FOR STORING, for investigation alleging criminal or RETRIEVING, ACCESSING, RETAINING, AND Office and Regional Inspectors’ Offices. administrative misconduct affecting IRS DISPOSING OF RECORDS IN THE SYSTEM: (See IRS appendix A for addresses.) integrity. A report of investigation, STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE including exhibits such as affidavits, SYSTEM: Paper records, in folders, maintained statements or documents which have Employees and former employees of in file cabinets or on magnetic media. been reviewed. A report of legal action the Internal Revenue Service; Tax resulting from violations of statutes RETRIEVABILITY: Practitioners (Attorneys, Certified referred for prosecution. By name of individual to whom it Public Accountants, Enrolled Persons, Return Preparers); alleged tax violators; AUTHORITY FOR MAINTENANCE OF THE SYSTEM: applies, cross-referenced third parties, persons whose actions or alleged actions 26 U.S.C. 7608, 7801, and 7802. and/or by case number. indicated a threat to IRS employees, PURPOSE(S): SAFEGUARDS: facilities, or the integrity of the tax This system documents investigations Access controls will not be less than system; confidential informants; and of complaints of unethical practices by those provided for by Managers Security reputed members of the organized unenrolled tax practitioners and persons Handbook, IRM 1(16)12 and the criminal element. enrolled to practice before the Internal Automated Information System Security CATEGORIES OF RECORDS IN THE SYSTEM: Revenue Service. Handbook, IRM 2(10)00. (1) Complaint type information ROUTINE USES OF RECORDS MAINTAINED IN THE Accessible to Inspection personnel on regarding IRS employees which is not, SYSTEM, INCLUDING CATEGORIES OF USERS AND a need-to-know basis, all of whom have in itself, specific or significant enough THE PURPOSES OF SUCH USES: been the subject of background to initiate an investigation when Disclosure of returns and return investigations. received. (2) Allegations of bribery and information may be made only as gratuities by taxpayers and/or their RETENTION AND DISPOSAL: provided by 26 U.S.C. 6103. Records representatives which are not by other than returns and return Records are maintained in accordance themselves specific or significant information may be used to: (1) Disclose with IRM Part X, Inspection, Exhibit enough to initiate an investigation when pertinent information to appropriate (10)100–2. received. (3) Allegations of misconduct Federal, State, local, or foreign agencies SYSTEM MANAGER(S) AND ADDRESS: by tax practitioners, enrolled persons, or responsible for investigating or tax preparers which are not by prosecuting the violations of, or for Chief Inspector, Internal Revenue themselves specific or significant enforcing or implementing, a statute, Service, 1111 Constitution Avenue, enough to initiate an investigation when rule, regulation, order, or license, where NW., Washington, DC 20024. received. (4) Any information received the disclosing agency becomes aware of NOTIFICATION PROCEDURE: or developed by Inspection that has a an indication of a violation or potential bearing on IRS, but is not of itself This system of records may not be violation of civil or criminal law or specific or significant enough to initiate accessed for purposes of determining if regulation; (2) disclose information to a an investigation when received. (5) the system contains a record pertaining Federal, State, or local agency, Information received by Inspection to a particular individual. maintaining civil, criminal or other pertaining to alleged violations enforced relevant enforcement information or RECORD ACCESS PROCEDURES: by other agencies or divisions of IRS, other pertinent information, which has This system is exempt and may not be copies of which are referred to those requested information relevant to or accessed for purposes of inspection or respective agencies or divisions. (6) necessary to the requesting agency’s or for contest of content of records. Photographs and descriptive data of the bureau’s hiring or retention of an some IRS employees and of persons individual, or issuance of a security CONTESTING RECORD PROCEDURES: arrested by Inspection. (7) Information clearance, license, contract, grant, or 26 U.S.C. 7852(e) prohibits Privacy concerning lost or stolen Government other benefit; (3) disclose relevant, non- Act amendment of tax records. documents, property, credentials, or IRS privileged information to a court, employee personal property lost or magistrate, or administrative tribunal in RECORD SOURCE CATEGORIES: stolen on Government premises. (8) List the course of presenting evidence, Department of Treasury, personnel of persons in state or local government including disclosures to opposing and records, other Federal agencies, agencies working under state counsel or witnesses in the course of taxpayers/complainants, state and local agreements and having access to federal civil discovery, litigation, or settlement agencies, tax returns, newspapers, tax information. (9) Newspaper or negotiations, in response to a subpoena, person acquainted with the individual periodical items about IRS. (10) or in connection with criminal law under investigation, subjects of the Newspaper items regarding attorneys, proceedings; (4) provide information to investigation, and personal observations CPA’s, Tax Practitioners, or Return a congressional office in response to an of the investigator. Preparers arrested, indicted, convicted inquiry made at the request of the or under investigation by other agencies. individual to whom the record pertains; EXEMPTIONS CLAIMED FOR THE SYSTEM: (11) Allegations of threats, assaults, (5) provide information to the news This system has been designated as forcible interference, or other violence media in accordance with guidelines exempt from certain provisions of the type activity aimed at employees or contained in 28 CFR 50.2 which relate Privacy Act. facilities of IRS which are not by
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themselves specific or significant POLICIES AND PRACTICES FOR STORING, CATEGORIES OF INDIVIDUALS COVERED BY THE enough to initiate an investigation when RETRIEVING, ACCESSING, RETAINING, AND SYSTEM: received. Information regarding DISPOSING OF RECORDS IN THE SYSTEM: Employees of the Department of the Inspection’s mission which does not fall STORAGE: Treasury and non-Federal persons into any of the above categories. Paper records, in folders, maintained involved in accidents on property under in file cabinets, or on magnetic media. Department of the Treasury jurisdiction AUTHORITY FOR MAINTENANCE OF THE SYSTEM: or with Department of the Treasury RETRIEVABILITY: employees. 5 U.S.C. 301; 26 U.S.C. 7602, 7608, By name of individual, subject, or CATEGORIES OF RECORDS IN THE SYSTEM: 7801 and 7802; Executive Order 11222. incident involved, by name of cross- referenced third parties, and/or Report of investigation including PURPOSE(S): information item number. exhibits such as SF–91, Operator’s Report of Motor Vehicle Accident; SF– The purpose of this system of records SAFEGUARDS: 91A, Investigation Report of Motor is to document information related to Access controls will not be less than Vehicle Accident; SF–92A, Report of Inspection’s mission and/or allegations those provided for by Managers Security Accident Other Than Motor Vehicle; which are not specific or significant Handbook, IRM 1(16)12 and the SF–94, Statement of Witness; Optional enough to warrant initiation of an Automated Information System Security Form 26, Data Bearing Upon Scope of investigation. Handbook, IRM 2(10)00. Employment of Motor Vehicle Operator. Accessible to Inspection personnel on In addition, attached as exhibits might ROUTINE USES OF RECORDS MAINTAINED IN THE a need-to-know basis, all of whom have be a Police Report of the accident; SYSTEM, INCLUDING CATEGORIES OF USERS AND been the subject of background copies of insurance policies of the THE PURPOSES OF SUCH USES: investigations. involved drivers; photographs of the Disclosure of returns and return scene or vehicles after the accident; RETENTION AND DISPOSAL: information may be made only as Treasury Department vehicle provided by 26 U.S.C. 6103. Records Records are maintained in accordance maintenance record, medical records. and other than returns and return with IRM Part X, Inspection, Exhibit AUTHORITY FOR MAINTENANCE OF THE SYSTEM: information may be used to: (1) Disclose (10)100–2. 5 U.S.C. 301; 26 U.S.C. 7602, 7608, pertinent information to appropriate SYSTEM MANAGER(S) AND ADDRESS: 7801 and 7802; Executive Order 11222. Federal, State, local, or foreign agencies Chief Inspector, Internal Revenue responsible for investigating or Service, 1111 Constitution Avenue, PURPOSE(S): prosecuting the violations of, or for NW., Washington, DC 20224. This system of records documents enforcing or implementing, a statute, formal Federal Tort Claims rule, regulation, order, or license, where NOTIFICATION PROCEDURE: investigations conducted to obtain the disclosing agency becomes aware of This system of records may not be factual data required to defend the an indication of a violation or potential accessed for purposes of determining if Government against claims for property violation of civil or criminal law or the system contains a record pertaining loss or damages, personal injury or regulation; (2) disclose information to a to a particular individual. death caused by the negligence of Federal, State, or local agency, RECORD ACCESS PROCEDURES: wrongful act or omission of a maintaining civil, criminal or other This system is exempt and may not be government employee acting within the relevant enforcement information or accessed for purposes of inspection or scope of his/her employment, or aid in other pertinent information, which has for contest of content of records. the prosecution of Government claims requested information relevant to or arising from accidents involving Service necessary to the requesting agency’s or CONTESTING RECORD PROCEDURES: employees or activities. the bureau’s hiring or retention of an 26 U.S.C. 7852(e) prohibits Privacy ROUTINE USES OF RECORDS MAINTAINED IN THE individual, or issuance of a security Act amendment of tax records. SYSTEM, INCLUDING CATEGORIES OF USERS AND clearance, license, contract, grant, or THE PURPOSES OF SUCH USES RECORD SOURCE CATEGORIES: : other benefit; (3) disclose information to Department of Treasury personnel Disclosure of returns and return a court, magistrate, or administrative information may be made only as tribunal, including the presentation of and records, newspapers and periodicals, taxpayers (complainants, provided by 26 U.S.C. 6103. Records evidence, disclosures to opposing witnesses, and informants), state and other than returns and return counsel or witnesses in the course of local government agency personnel and information may be used: (1) Disclose civil discovery, litigation, or settlement records, and anonymous complainants. pertinent information to appropriate negotiations, in response to a subpoena, Federal, State, or foreign agencies or in connection with criminal law EXEMPTIONS CLAIMED FOR THE SYSTEM: responsible for investigating or proceedings; (4) provide information to This system has been designated as prosecuting the violations of, or for a congressional office in response to an exempt from certain provisions of the enforcing or implementing, a statute, inquiry made at the request of the Privacy Act. rule, regulation, order, or license, where individual to whom the record pertains; the disclosing agency becomes aware of (5) provide information to the news Treasury/IRS 60.010 an indication of a violation or potential media in accordance with guidelines SYSTEM NAME: violation of civil or criminal law or contained in 28 CFR 50.2 which relate Tort Investigation Files, Inspection— regulation; (2) disclose information to a to an agency’s functions relating to civil Treasury/IRS. Federal, State, or local agency, and criminal proceedings; (6) provide maintaining civil, criminal or other information to third parties during the SYSTEM LOCATION: relevant enforcement information or course of an investigation to the extent Office of the Chief Inspector, National other pertinent information, which has necessary to obtain information Office and Regional Inspectors’ Offices. requested information relevant to or pertinent to the investigation. (See IRS appendix A for addresses.) necessary to the requesting agency’s or
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the bureau’s hiring or retention of an records, or seeking to contest its ROUTINE USES OF RECORDS MAINTAINED IN THE individual, or issuance of a security content, may inquire in accordance with SYSTEM, INCLUDING CATEGORIES OF USERS AND clearance, license, contract, grant, or instructions appearing at 31 CFR part 1, THE PURPOSES OF SUCH USES: other benefit; (3) disclose relevant, non- subpart C, appendix B. Inquiries should Disclosure of returns and return privileged information to a court, be addressed to the Chief Inspector, information may be made only as magistrate, or administrative tribunal, Internal Revenue Service, 1111 provided by 26 U.S.C. 6103. including the presentation of evidence, Constitution Avenue, NW., Washington, disclosures to opposing counsel or DC 20224. POLICIES AND PRACTICES FOR STORING, witnesses in the course of civil RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: discovery, litigation, or settlement CONTESTING RECORD PROCEDURES: negotiations, in response to a subpoena, 26 U.S.C. 7852(e) prohibits Privacy STORAGE: Act amendment of tax records. or in connection with criminal law Paper records and magnetic media. proceedings; (4) provide information to RECORD SOURCE CATEGORIES: a congressional office in response to an RETRIEVABILITY: inquiry made at the request of the Department of Treasury personnel and records, Federal, State and local Each magnetic tape record is individual to whom the record pertains; identified by social security number and (5) provide information to the news police agencies, witnesses, subjects involved in the investigation, hospitals a unique document locator number media in accordance with guidelines assigned by the Internal Revenue contained in 28 CFR 50.2 which relate (medical records), doctors (medical records and personal observations), Service. Those with sole proprietorship to an agency’s functions relating to civil income, in addition, contain employer and criminal proceedings; (6) provide personal observations of the investigator, automobile repair facilities, identification number, if reported by the information to third parties during the taxpayer. course of an investigation to the extent insurance companies, attorneys, necessary to obtain information Federal, State and local driver license SAFEGUARDS: pertinent to the investigation. records, and Federal and State vehicle registration records. Access controls will not be less than POLICIES AND PRACTICES FOR STORING, those provided by the Automated RETRIEVING, ACCESSING, RETAINING, AND EXEMPTIONS CLAIMED FOR THE SYSTEM: Information System Security Handbook, DISPOSING OF RECORDS IN THE SYSTEM: None. IRM 2(10)00. STORAGE: Treasury/IRS 70.001 RETENTION AND DISPOSAL: Paper records, in folders, maintained Records are maintained in accordance SYSTEM NAME: in file cabinets, or on magnetic media. with Records Disposition Handbook, Individual Income Tax Returns, RETRIEVABILITY: IRM 1.15.2.1 through IRM 1.15.2.31. Statistics of Income—Treasury/IRS. By name of individual to whom it Input records are disposed of after applies, cross-referenced third parties, SYSTEM LOCATION: publication of the statistics, except for input records for high income taxpayers and/or by case number. Primary—Detroit Computing Center; for tax years prior to 1967 which are Secondary—(a) Internal Revenue SAFEGUARDS: disposed of after 40 years. Output Service, Statistics of Income Branch, Access controls will not be less than records are retained as long as they are National Office; (b) Treasury those provided for by Managers Security needed. Department, Office of Tax Analysis; (c) Handbook, IRM 1(16)12 and the Treasury Department, Office of Automated Information System Security SYSTEM MANAGER(S) AND ADDRESS: Economic Modeling and Computer Handbook, IRM 2(10)00. Accessible to Director, Research and Analysis, Applications; (d) Federal Records Inspection personnel on a need-to-know Statistics of Income, Internal Revenue Centers; (e) Congress of the United basis, all of whom have been the subject Service, 1111 Constitution Avenue, States, Joint Committee on Taxation. of background investigations. NW., Washington, DC 20224. (See IRS appendix A for addresses.) RETENTION AND DISPOSAL: NOTIFICATION PROCEDURE: CATEGORIES OF INDIVIDUALS COVERED BY THE Records are maintained in accordance SYSTEM: This system of records may not be with IRM Part X, Inspection, Exhibit Taxpayers selected for an annual accessed for purposes of determining if (10)100–2. statistical sample. the system contains a record pertaining SYSTEM MANAGER(S) AND ADDRESS: to a particular individual. CATEGORIES OF RECORDS IN THE SYSTEM: Chief Inspector, Internal Revenue RECORD ACCESS PROCEDURES: Service, 1111 Constitution Avenue, Sources of income, exemptions, This system of records may not be NW., Washington, DC 20224. deductions, income tax, and tax credits, as reported on Forms 1040, 1040A and accessed for purposes of inspection or NOTIFICATION PROCEDURE: 1040EZ U.S. Individual income tax for contest of content of records. Individuals seeking to determine if return. The records are used to prepare CONTESTING RECORD PROCEDURES: this system of records contains a record and publish annual statistics, with pertaining to themselves may inquire in respect to the operations of the tax laws 26 U.S.C. 7852(e) prohibits Privacy accordance with instructions appearing and for special statistical studies and Act amendment of tax records. at 31 CFR part 1, subpart C, appendix compilations. The statistics, studies, RECORD SOURCE CATEGORIES: B. Inquiries should be addressed as in and compilations are designed so as to ‘‘Record access procedures’’ below. prevent disclosure of any particular Primary: Forms 1040, 1040A, and taxpayer’s identity. 1040EZ, U.S. Individual Income Tax RECORD ACCESS PROCEDURES: Returns. Secondary: Form SS–5, Individuals seeking access to any AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Application for a social security record contained in this system of 26 U.S.C. 6108. number.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: necessary to the requesting agency’s or legal files are retained in the FRC 4 This system has been designated as the bureau’s hiring or retention of an years after they are transferred to the exempt from certain provisions of the individual, or issuance of a security FRC and disposed of 5 years after they Privacy Act. clearance, license, contract, grant, or are closed. Duplicate National Office other benefit; (4) disclose relevant, non- monitoring files are destroyed Treasury/IRS 90.001 privileged information to a court, immediately upon notification that the SYSTEM NAME: magistrate, or administrative tribunal, field has closed its file. National Office Chief Counsel Criminal Tax Case including the presentation of evidence, unjacketed case files (e.g., appeals for Files. Each Regional Counsel Office and disclosures to opposing counsel or which no monitoring files exist: FOIA Area Counsel Office maintains one of witnesses in the course of civil requests, search warrants, formal these systems. The Office of the discovery, litigation, or settlement technical advice and miscellaneous Assistant Chief Counsel (Criminal Tax) negotiations, in response to a subpoena, legal opinions) are retained for ten years maintains one of these systems. The or in connection with criminal law after closing. National Office original information in this notice applies to all proceedings; (5) disclose information to centralized grand jury files and 62 offices—Treasury/IRS. foreign governments in accordance with administrative case files are maintained formal or informal international indefinitely. Files transferred from other SYSTEM LOCATION: agreements; (6) provide information to a functions are returned to the source The addresses of the National Office, congressional office in response to an when no longer needed. inquiry made at the request of the each Regional Counsel Office and each SYSTEM MANAGER(S) AND ADDRESS: Area Counsel Office are listed in the individual to whom the record pertains; Appendix. (See IRS Appendix A.) (7) provide information to the news Each Regional Counsel is the system Categories of individuals covered by the media in accordance with guidelines manager of the systems in his or her system: contained in 28 CFR 50.2 which relate Region. The Assistant Chief Counsel (1) Taxpayers and related parties to an agency’s functions relating to civil (Criminal Tax) is the system manager of against whom tax-related criminal and criminal proceedings; (8) provide the National Office system. The recommendations have been made. (2) information to officials of labor addresses are in the Appendix. (See IRS Taxpayers and related parties on whom organizations recognized under 5 U.S.C. Appendix A.) advice has been requested concerning Chapter 71 when relevant and necessary NOTIFICATION PROCEDURE: investigation for tax-related offenses. (3) to their duties of exclusive This system of records may not be Persons who have filed petitions for the representation; (9) provide information accessed for purposes of determining if remission or mitigation of forfeitures or to third parties during the course of an the records pertain to a particular who are otherwise directly involved as investigation to the extent necessary to individual as the records are exempt parties in forfeiture matters, judicial or obtain information pertinent to the under 5 U.S.C. 552a(d)(5) and/or administrative. investigation. 552a(j)(2). POLICIES AND PRACTICES FOR STORING, CATEGORIES OF RECORDS IN THE SYSTEM: RECORD ACCESS PROCEDURES: (1) Internal Control Records. (2) Legal RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: This system of records may not be and administrative files including accessed for the purposes of inspection investigative reports. STORAGE: or for contest of content of records as Paper records and magnetic media. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: the records are exempt under 5 U.S.C. 552a(d)(5) and/or 552a(j)(2). 5 U.S.C. 301; 26 U.S.C. 7801. RETRIEVABILITY: Records are retrievable by the name of CONTESTING RECORD PROCEDURES: ROUTINE USES OF RECORDS MAINTAINED IN THE the person to whom they apply. SYSTEM, INCLUDING CATEGORIES OF USERS AND 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. THE PURPOSES OF SUCH USES: SAFEGUARDS: Disclosure of returns and return Records are locked up during RECORD SOURCE CATEGORIES: information may be made only as nonworking hours and during periods Taxpayers and their representatives; provided by 26 U.S.C. 6103. Records when the work area is vacant. Access is Department of Treasury personnel; other other than return and return information strictly controlled and limited to Federal agencies; State, local, and may be used to: (1) Disclose information employees who have a need for such foreign governments; witnesses; to the Department of Justice for the records in the course of their work. informants; parties to disputed matters purpose of litigating an action or Background checks are made on of fact or law; other persons who seeking legal advice; (2) disclose employees. All facilities where records communicate with the Internal Revenue pertinent information to appropriate are stored have access limited to Service. Federal, State, local, or foreign agencies authorized personnel or individuals in responsible for investigating or the company of authorized personnel. EXEMPTIONS CLAIMED FOR THE SYSTEM: prosecuting the violations of, or for Access controls will not be less than This system has been designated as enforcing or implementing, a statute, those provided by the Automated exempt from certain provisions of the rule, regulation, order, or license, where Information System Security Handbook, Privacy Act. the disclosing agency becomes aware of IRM 2(10)00. an indication of a violation or potential Treasury/IRS 90.002 violation of civil or criminal law or RETENTION AND DISPOSAL: SYSTEM NAME: regulation; (3) disclose information to a Legal files are generally retired to the Chief Counsel Disclosure Litigation Federal, State, or local agency, Federal Records Center (FRC) one year Case Files—Treasury/IRS. maintaining civil, criminal or other after they are closed. The FRC will relevant enforcement information or retain ‘‘significant case’’ files an SYSTEM LOCATION: other pertinent information, which has additional 19 years and dispose of them Office of the Assistant Chief Counsel requested information relevant to or 20 years after they are closed. Other (Disclosure and Privacy Law), Internal
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Revenue Service, Office of Chief media in accordance with guidelines RECORD ACCESS PROCEDURES: Counsel, 1111 Constitution Avenue, contained in 28 CFR 50.2 which relate This system may not be accessed for NW., Washington, DC 20224. to an agency’s functions relating to civil purpose of inspection or for contest of and criminal proceedings; (8) provide CATEGORIES OF INDIVIDUALS COVERED BY THE content of records as the records are SYSTEM: information to officials of labor exempt under 5 U.S.C. 552a (d)(5) and/ organizations recognized under 5 U.S.C. Persons who communicate with the or (k)(2). Chapter 71 when relevant and necessary Service regarding disclosure matters or to their duties of exclusive CONTESTING RECORD PROCEDURES: who are involved with a disclosure representation; (9) provide information issue involving the Service, or who are 26 U.S.C. 7852(e) prohibits Privacy to third parties during the course of an the subjects of investigations made by Act amendment of tax records. investigation to the extent necessary to the Internal Security Division if their obtain information pertinent to the RECORD SOURCE CATEGORIES: cases are referred to Disclosure investigation. Persons who communicate with the Litigation for criminal violations of agency regarding disclosure matters; disclosure laws. POLICIES AND PRACTICES FOR STORING, Department of Treasury employees; RETRIEVING, ACCESSING, RETAINING, AND CATEGORIES OF RECORDS IN THE SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: State, local, and foreign governments; (1) Legal Case and Administrative other Federal agencies; witnesses; Case Files; (2) Internal Control Records. STORAGE: informants; parties to disputed matters Legal case and administrative case of fact or law. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: files: Paper records. Internal control 5 U.S.C. 301; 26 U.S.C. 7801. records: Paper records and magnetic EXEMPTIONS CLAIMED FOR THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE media. This system has been designated as SYSTEM, INCLUDING CATEGORIES OF USERS AND exempt from certain provisions of the RETRIEVABILITY: THE PURPOSES OF SUCH USES: Privacy Act. Records are retrievable by the name of Disclosure of returns and return Treasury/IRS 90.003 information may be made only as the person to whom they apply, cross- provided by 26 U.S.C. 6103. Records referenced third parties, issues, SYSTEM NAME: attorneys assigned, and by case number. other than returns and return Chief Counsel General Administrative information may be used to: (1) Disclose SAFEGUARDS: Systems. Each of the 7 Regional Counsel information to the Department of Justice A background investigation is made Offices and 54 Area Counsel Offices, for the purpose of litigating an action or on personnel. Offices are located in a each of the 10 functions in the National seeking legal advice; (2) disclose security area. Access to keys to these Office, the Office of the Chief Counsel, pertinent information to appropriate offices is restricted. All facilities where and the Office of the Deputy Chief Federal, State, local, or foreign agencies records are stored have access limited to Counsel, the Offices of the Associate responsible for investigating or authorized personnel or individuals in Chief Counsels (Enforcement Litigation), prosecuting the violations of, or for the company of authorized personnel. (International), (Domestic), (Finance and enforcing or implementing, a statute, Access controls will not be less than Management), and (Employee Benefits rule, regulation, order, or license, where those provided by the Automated and Exempt Organizations) maintain a the disclosing agency becomes aware of Information System Security Handbook, General Administrative System. This an indication of a violation or potential IRM 2(10)00. notice applies to all 78 of these offices- violation of civil or criminal law or Treasury/IRS. regulation; (3) disclose information to a RETENTION AND DISPOSAL: Federal, State, or local agency, Legal files are generally retired to the SYSTEM LOCATION: maintaining civil, criminal or other Federal Records Center (FRC) 1 year The location of these systems are relevant enforcement information or after they are closed. ‘‘significant case’’ listed in the Appendix. (See IRS other pertinent information, which has files are retained an additional 29 years Appendix A.) requested information relevant to or and disposed of 30 years after they are necessary to the requesting agency’s or closed. Other legal files are retained in CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: the bureau’s hiring or retention of an the FRC 5 years after they are individual, or issuance of a security transferred to the FRC and disposed of (1) Past, present and prospective clearance, license, contract, grant, or 6 years after they are closed. Other employees of the Office of Chief other benefit; (4) disclose relevant, non- records are retained in the Division for Counsel. (2) Tax Court Witnesses. privileged information to a court, the same time periods as described CATEGORIES OF RECORDS IN THE SYSTEM: magistrate, or administrative tribunal, above. including the presentation of evidence, (1) Employee Performance Folders disclosures to opposing counsel or SYSTEM MANAGER(S) AND ADDRESS: and employee records other than witnesses in the course of civil Assistant Chief Counsel (Disclosure Official Personnel Files of the Office of discovery, litigation, or settlement Litigation), Internal Revenue Service, Personnel Management and the Merit negotiations, in response to a subpoena, Office of Chief Counsel, 1111 Systems Protection Board. (2) Time or in connection with criminal law Constitution Avenue, NW., Washington, cards and attendance rosters. (3) proceedings; (5) disclose information to DC 20224. Financial records such as travel foreign governments in accordance with expenses, Notary Public expenses, formal or informal international NOTIFICATION PROCEDURE: moving expenses, expenses of Tax Court agreements; (6) provide information to a This system may not be accessed for witnesses and miscellaneous expenses. congressional office in response to an purposes of determining if the records (4) Employee recruiting records. inquiry made at the request of the pertain to a particular individual as the individual to whom the record pertains; records are exempt under 5 U.S.C. 552a AUTHORITY FOR MAINTENANCE OF THE SYSTEM: (7) provide information to the news (d)(5) and/or (k)(2). 5 U.S.C. 301; 26 U.S.C. 7801.
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ROUTINE USES OF RECORDS MAINTAINED IN THE POLICIES AND PRACTICES FOR STORING, confidential source is exempt pursuant SYSTEM, INCLUDING CATEGORIES OF USERS AND RETRIEVING, ACCESSING, RETAINING, AND to 5 U.S.C. 552a(k)(5). THE PURPOSES OF SUCH USES: DISPOSING OF RECORDS IN THE SYSTEM: CONTESTING RECORD PROCEDURES: Disclosure of returns and return STORAGE: Paper records and magnetic media. See ‘‘Record access procedures’’ information may be made only as above. provided by 26 U.S.C. 6103. Records RETRIEVABILITY: RECORD SOURCE CATEGORIES: other than returns and return Records are generally retrievable by information may be used to: (1) Disclose the name of the person to whom they Employees, Department of Treasury information to the Department of Justice apply. personnel; Tax Court witnesses; Office for the purpose of litigating an action or of Personnel Management and Merit seeking legal advice; (2) disclose SAFEGUARDS: Systems Protection Board; other Federal information to the Office of Personnel Access is limited to employees who agencies; State, local, and foreign Management and the Merit Systems have a need for such records in the governments; references; former Protection Board for appropriate course of their work. Background checks employers. are made on employees. All facilities Personnel actions; (3) disclose pertinent EXEMPTIONS CLAIMED FOR THE SYSTEM: information to appropriate Federal, where records are stored have access This system has been designated as State, local, or foreign agencies limited to authorized personnel or individuals in the company of exempt from certain provisions of the responsible for investigating or authorized personnel. Access controls Privacy Act. prosecuting the violations of, or for will not be less than those provided by enforcing or implementing, a statute, Treasury/IRS 90.004 the Automated Information System rule, regulation, order, or license, where Security Handbook, IRM 2(10)00. SYSTEM NAME: the disclosing agency becomes aware of an indication of a violation or potential RETENTION AND DISPOSAL: Chief Counsel General Legal Services Case Files. Each of the seven Regional violation of civil or criminal law or Records are maintained in accordance Counsel Offices and the National Office regulations; (4) disclose information to a with Records Disposition Handbooks, maintain a General Legal Services Case Federal, State, or local agency, IRM 1.15.2.1 through IRM 1.15.2.31. File System. The information in this maintaining civil, criminal or other Records are updated periodically to reflect changes and maintained as long notice applies to all eight of the offices- relevant enforcement information or Treasury/IRS. other pertinent information, which has as needed. SYSTEM LOCATION: requested information relevant to or SYSTEM MANAGER(S) AND ADDRESS: necessary to the requesting agency’s or Each Regional Counsel is the system The addresses of Counsel offices are the bureau’s hiring or retention of an manager of the systems in his or her listed in the appendix. (See IRS individual, or issuance of a security Region. Each Assistant Chief Counsel is appendix A.) clearance, license, contract, grant, or the system manager of the system in his CATEGORIES OF INDIVIDUALS COVERED BY THE other benefit; (5) disclose relevant, non- or her function. The Chief Counsel, the SYSTEM: privileged information to a court, Deputy Chief Counsel and the Associate Persons involved in litigation, actions, magistrate, or administrative tribunal, Chief Counsels (Enforcement Litigation), investigations or cases falling within the including the presentation of evidence, (Domestic), (International), (Finance and jurisdiction of the General Legal disclosures to opposing counsel or Management), and (Employee Benefits Services function including persons (1) witnesses in the course of civil and Exempt Organizations) are the who are parties in personnel matters, as discovery, litigation, or settlement system managers of the system in each well as discrimination and labor negotiations, in response to a subpoena, of their Offices. (See IRS appendix A for management relations matters, of the or in connection with criminal law addresses.) Internal Revenue Service, Chief proceedings; (6) disclose information to NOTIFICATION PROCEDURE: Counsel’s Office or, in some instances, foreign governments in accordance with Individuals seeking to determine if other agencies in the Treasury formal or informal international this system of records contains a record Department; (2) who are parties in agreements; (7) provide information to a pertaining to themselves may inquire in practitioner actions under the congressional office in response to an accordance with instructions appearing jurisdiction of the Director of Practice or inquiry made at the request of the at 31 CFR part 1, subpart C, appendix the Joint Board of Actuaries; (3) who are individual to whom the record pertains; B. Inquiries should be addressed as in parties in procurement matters and (8) provide information to the news ‘‘Record access procedures’’ below. under the Federal Claims Collection Act media in accordance with guidelines (as amended by the Debt collection Act); contained in 28 CFR 50.2 which relate RECORD ACCESS PROCEDURES: (4) who are parties in litigation or to an agency’s functions relating to civil Individuals seeking access to any administrative claims involving alleged and criminal proceedings; (9) provide record contained in this system of violations of the United States information to officials of labor records, or seeking to contest its Constitution, the Federal Tort Claims organizations recognized under 5 U.S.C. content, may inquire in accordance with Act, the Military Personnel and Civilian Chapter 71 when relevant and necessary instructions appearing at 31 CFR part 1, Employee Compensation Act, relief of to their duties of exclusive subpart C, appendix B. Inquiries should accountable officers for loss of representation; (10) provide information be addressed to the Regional Counsel of Government funds, claims or suits for the Region in which the records are rewards, acts of officers or employees to third parties during the course of an located or the Assistant Chief Counsel acting within the scope of their investigation to the extent necessary to (Disclosure Litigation) in the case of employment, or official acts of officers obtain information pertinent to the records in the National Office. The or employees not directly relating to investigation. addresses are listed in the Appendix. Federal tax issues but relating to the Information leading to the identity of a Internal Revenue Service; (5) who are
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parties in miscellaneous matters guidelines contained in 28 CFR 50.2 RETRIEVABILITY: referred to the General Legal Service; (6) which relate to an agency’s functions Records are retrievable by the name of who are the subjects of investigations relating to civil and criminal the person to whom they apply. If more made by the Internal Security Division proceedings; (8) provide information to than one person is involved in a given if the case is referred to General Legal officials of labor organizations case then it is generally retrievable only Services (7) who are officials of the recognized under 5 U.S.C. Chapter 71 by the first named person. Internal Revenue Service and Chief when relevant and necessary to their SAFEGUARDS: Counsel’s Office required to file a duties of exclusive representation; (9) Financial Disclosure Statement under provide information to third parties Access is limited to employees who the Ethics in Government Act of 1978; during the course of an investigation to have a need for such records in the (8) who have corresponded regarding a the extent necessary to obtain course of their work. Background checks matter under consideration within information pertinent to the are made on employees. All facilities General Legal Services . investigation; (10) provide information where records are stored have access to the Director of Practice and Joint limited to authorized personnel or CATEGORIES OF RECORDS IN THE SYSTEM: Board of Actuaries in practitioner individuals in the company of (1) Legal case and administrative case disciplinary matters; (11) provide authorized personnel. Access controls files. (2) Internal control cards. (3) information to the Office of Personnel will not be less than those provided by Correspondence files. Management in personnel, the Automated Information System discrimination and labor management Security Handbook, IRM 2(10)00. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: matters; (12) provide information to RETENTION AND DISPOSAL: 5 U.S.C. 301; 26 U.S.C. 7801. arbitrators, the Federal Labor Relations Legal files are generally retired to the ROUTINE USES OF RECORDS MAINTAINED IN THE Authority, including the Office of the Federal Records Center (FRC) 1 year SYSTEM, INCLUDING CATEGORIES OF USERS AND General Counsel of that authority, the after the cases are closed. The FRC will THE PURPOSES OF SUCH USES: Federal Service Impasses Board and the retain ‘‘significant case’’ files an Disclosure of returns and return Federal Mediation and Conciliation additional 19 years and dispose of them information may be made only as Service in labor management matters; 20 years after they are closed. Other provided by 26 U.S.C. 6103. Records (13) provide information to the Merit legal files are retained in the FRC 4 other than returns and return Systems Protection Board, including its years after they are transferred to the information may be used to: (1) Disclose Special Counsel, in Personnel, center and disposed of 5 years after they information to the Department of Justice Discrimination, and Labor Management are closed. Other records are retained for the purposes of litigating an action matters; (14) provide information to the for the same time periods described or seeking legal advice; (2) disclose Equal Employment Opportunity above. Commission in Personnel, pertinent information to appropriate SYSTEM MANAGER(S) AND ADDRESS: Federal, State, local, or foreign agencies Discrimination, and Labor Management Each Regional Counsel is the system responsible for investigating or matters; (15) provide information to the manager of the system in his or her prosecuting the violations of, or for General Services Administration in Region. The Assistant Chief Counsel enforcing, or implementing, a statute, property management matters; (16) (General Legal Services) is the system rule, regulation, order, or license, where provide information to the manager of the National Office system. the disclosing agency becomes aware of Administrative Assistant of the Executive Resources Board as to The addresses are in the Appendix. (See an indication of a violation or potential IRS Appendix A.) violation of civil or criminal law or Financial Disclosure Statements, who regulations; (3) disclose information to a makes the statements available to the NOTIFICATION PROCEDURE: Federal, State, or local agency, public as required by law; (17) provide This system of records may not be maintaining civil, criminal or other information to other federal agencies for accessed for purposes of determining if relevant enforcement information or the purpose of effectuating inter-agency the system contains a record pertaining other pertinent information, which has salary offset or inter-agency to a particular individual as the records requested information relevant to or administrative offset; (18) provide are exempt under 5 U.S.C. 552a(d)(5) necessary to the requesting agency’s or information to the Office of Government and/or (k)(2). the bureau’s hiring or retention of an Ethics in conflict of interest, conduct, individual, or issuance of a security financial statement reporting, and other RECORD ACCESS PROCEDURES: clearance, license, contract, grant, or ethical matters. This system of records may not be other benefit; (4) disclose information to accessed for purposes of inspection or DISCLOSURE TO CONSUMER REPORTING for contest of content of records as the a court, magistrate, or administrative AGENCIES: tribunal in the course of presenting records are exempt under 5 U.S.C. Disclosures pursuant to 5 U.S.C. 552a(d)(5) and/or (k)(2). evidence, including disclosures to 552a(b)(12). Disclosures of debt opposing counsel or witnesses in the information concerning a claim against CONTESTING RECORD PROCEDURES: course of civil discovery, litigation, or an individual may be made from this 26 U.S.C. 7852(e) prohibits Privacy settlement negotiations, in response to a system to consumer reporting agencies Act amendment of tax records. subpoena, or in connection with as defined in the Fair Credit Reporting criminal law proceedings; (5) disclose Act, 15 U.S.C. 1681a(f) or the Federal RECORD SOURCE CATEGORIES: information to foreign governments in Claims Collection Act of 1966, 31 U.S.C. Taxpayers and their representatives; accordance with formal or informal 3701(a)(3). Department of Treasury personnel; other international agreements; (6) provide Federal agencies; State, local, and information to a congressional office in POLICIES AND PRACTICES FOR STORING, foreign governments; witnesses; response to an inquiry made at the RETRIEVING, ACCESSING, RETAINING, AND informants; parties to disputed matters DISPOSING OF RECORDS IN THE SYSTEM: request of the individual to whom the of fact or law; other persons who record pertains; (7) provide information STORAGE: communicate with the Internal Revenue to the news media in accordance with Paper records and magnetic media. Service.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: authorities for the purpose of enforcing subject matter, and certain key This system has been designated as Federal tax laws; (4) provide administrative dates. exempt from certain provisions of the information to Federal, state and local SAFEGUARDS: Privacy Act. regulatory authorities for purposes of SB/SE, W&I, LMSB of Federal taxes; (5) Access is limited to employees who Treasury/IRS 90.005 disclose pertinent information to have a need for such records in the course of their work. Background checks SYSTEM NAME: appropriate Federal, State, local, or foreign agencies responsible for are made on employees. All facilities Chief Counsel General Litigation Case investigating or prosecuting the where records are stored have access Files. Each Regional Counsel Office and violations of, or for enforcing, or limited to authorized personnel or each Area Counsel Office maintains one implementing, a statute, rule, individuals in the company of of these systems. The National Office regulation, order, or license, where the authorized personnel. Access controls maintains one of these systems. The disclosing agency becomes aware of an will not be less than those provided by information in this notice applies to all the Automated Information System indication of a violation or potential 62 offices—Treasury/IRS. Security Handbook, IRM 2(10)00. violation of civil or criminal law or SYSTEM LOCATION: regulation; (6) disclose information to a RETENTION AND DISPOSAL: The addresses of the Counsel offices Federal, State, or local agency, National Office, Regional, and Area are listed in the Appendix. (See IRS maintaining civil, criminal or other counsel legal files are generally retired Appendix A.) relevant enforcement information or to the Federal Records Center (FRC) one other pertinent information, which has year after they are closed. The FRC will CATEGORIES OF INDIVIDUALS COVERED BY THE requested information relevant to or retain ‘‘significant case’’ files an SYSTEM: necessary to the requesting agency’s or additional 24 years and dispose of them (1) Taxpayers or other individuals the bureau’s hiring or retention of an 25 years after the cases are closed. Other involved in matters referred to the individual, or issuance of a security legal files are retained in the FRC 9 General Litigation function including: clearance, license, contract, grant, or years after they are transferred to the (a) Taxpayers with outstanding tax other benefit; (7) disclose relevant, non- Center and disposed of 10 years after liabilities or with potential outstanding privileged information to a court, they are closed. Other records are tax liabilities; (b) persons from whom magistrate, or administrative tribunal retained in the Division for the same information is being sought (summons); including the presentation of evidence, time periods described above. Files (c) persons requesting information disclosures to opposing counsel or transferred from other functions are (disclosure); (d) present or former witnesses in the course of civil returned to the source when no longer Internal Revenue Service employees discovery, litigation, or settlement needed. who are being or may be sued in negotiations, in response to a subpoena, SYSTEM MANAGER(S) AND ADDRESS: connection with their duties or who or in connection with criminal law have been called upon to testify in proceedings; (8) disclose information to Each Regional Counsel is the system private litigation; (e) persons who are or foreign governments in accordance with manager of the systems in his or her may be liable to the United States on formal or informal international Region. The Assistant Chief Counsel non-tax claims; (f) persons who have agreements; (9) provide information to a (General Litigation) is the system submitted offers in compromise of congressional office in response to an manager of the National Office system. federal taxes. (2) Persons who have inquiry made at the request of the The addresses are in the Appendix. (See corresponded regarding a matter under individual to whom the record pertains; IRS appendix A.) consideration within the General (10) provide information to the news NOTIFICATION PROCEDURE: Litigation function. media in accordance with guidelines Most of the records in this system contained in 28 CFR 50.2 which relate CATEGORIES OF RECORDS IN THE SYSTEM: may not be accessed for purposes of to an agency’s functions relating to civil determining if the records pertain to a (1) Legal and Administrative Files. (2) and criminal proceedings; (11) provide particular individual as the records are Internal Control Records. (3) Offer in information to officials of labor exempt under 5 U.S.C. 552a(d)(5) and/ Compromise Files. (4) Correspondence organizations recognized under 5 U.S.C. or (k)(2). Files. Chapter 71 when relevant and necessary RECORD ACCESS PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: to their duties of exclusive representation; (12) provide information This system may not be accessed for 5 U.S.C. 301; 26 U.S.C. 7801. to third parties during the course of an purposes of inspection or for contest of ROUTINE USES OF RECORDS MAINTAINED IN THE investigation to the extent necessary to content of records as the records are SYSTEM, INCLUDING CATEGORIES OF USERS AND obtain information pertinent to the exempt under 5 U.S.C. 552a(d)(5) and/ THE PURPOSES OF SUCH USES: investigation. or (k)(2). Disclosure of returns and return POLICIES AND PRACTICES FOR STORING, CONTESTING RECORD PROCEDURES: information may be made only as RETRIEVING, ACCESSING, RETAINING, AND 26 U.S.C. 7852(e) prohibits Privacy provided by 26 U.S.C. 6103. Records DISPOSING OF RECORDS IN THE SYSTEM: Act amendment of tax records. other than returns and return information may be used to: (1) Provide STORAGE: RECORD SOURCE CATEGORIES: information to other Federal agencies Paper records and magnetic media. Taxpayers and their representatives; holding funds of taxpayer for the Department of Treasury personnel; other purpose of collecting a liability owed by RETRIEVABILITY: Federal agencies; State, local, and the taxpayer; (2) disclose information to All records are retrievable by the foreign governments; witnesses; the Department of Justice for the name of the persons to whom they informants; parties to disputed matters purpose of litigating an action or apply. Some internal control records are of fact or law; other persons who seeking legal advice; (3) provide retrievable by names of taxpayers and communicate with the Internal Revenue information to State and local taxing related taxpayers, attorneys assigned, Service.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: relevant enforcement information or RETENTION AND DISPOSAL: This system has been designated as other pertinent information, which has Correspondence files are generally exempt from certain provisions of the requested information relevant to or disposed of after 3 years. Private Relief Privacy Act. necessary to the requesting agency’s or Bill files are periodically updated to the bureau’s hiring or retention of an reflect changes and are maintained as Treasury/IRS 90.007 individual, or issuance of a security long as needed. Internal control records SYSTEM NAME: clearance, license, contract, grant, or are generally disposed of after 2 years or other benefit; (4) disclose information to when no longer useful. Auth: IRM Chief Counsel Legislation and a court, magistrate, or administrative 1(15)59. Regulations Division, Employee Plans tribunal in the course of presenting and Exempt Organizations Division, and SYSTEM MANAGER(S) AND ADDRESS: evidence, including disclosures to Associate Chief Counsel (Technical and opposing counsel or witnesses in the Associate Chief Counsel, TE/GE, and International) Correspondence and course of civil discovery, litigation, or Associate Chief Counsel International Private Bill Files-Treasury/IRS. settlement negotiations, in response to a Notification procedure: Individuals seeking to determine if the system of SYSTEM LOCATION: subpoena, or in connection with criminal law proceedings; (5) disclose records contains a record pertaining to Legislation and Regulations Division, themselves may inquire in accordance information to foreign governments in Internal Revenue Service, Office of with instructions appearing at 31 CFR accordance with formal or informal Chief Counsel, 1111 Constitution part 1, subpart C, appendix B. Inquiries international agreements; (6) provide Avenue, Washington DC 20224; should be addressed to the Director of information to a congressional office in Employee Plans and Exempt the Disclosure Litigation Division. The response to an inquiry made at the Organizations Division and Associate address is listed in the Appendix. (See request of the individual to whom the Chief Counsel (Technical and IRS appendix A.) International), same address. record pertains; (7) provide information to the news media in accordance with RECORD ACCESS PROCEDURES: CATEGORIES OF INDIVIDUALS COVERED BY THE guidelines contained in 28 CFR 50.2 Individuals seeking access to any SYSTEM: which relate to an agency’s functions record contained in the system of (1) Persons who have corresponded to relating to civil and criminal records or seeking to contest its content, the Service, the Department of the proceedings; (8) provide information to may inquire in accordance with Treasury, the White House or Members unions recognized as exclusive instructions appearing at 31 CFR part 1, of Congress regarding a matter in which bargaining representatives under the subpart C, appendix B. Inquiries should the Legislation and Regulations Division Civil Service Reform Act of 1978, 5 be addressed to the Director of the or the Employee Plans and Exempt U.S.C. 7111 and 7114; (9) provide Disclosure Litigation Division. The Organizations Division was asked to information to third parties during the address is listed in the Appendix. (See draft a reply. (2) Persons on whose course of an investigation to the extent IRS appendix A.) behalf private relief bills were necessary to obtain information CONTESTING RECORD PROCEDURES: introduced in Congress involving tax pertinent to the investigation; (10) related matters. provide information to the agency or See Access above. individual who directed RECORD SOURCE CATEGORIES: CATEGORIES OF RECORDS IN THE SYSTEM: correspondence to the Legislation and Persons who initiate correspondence (1) Correspondence Files; (2) Private Regulations Division for the Division to referred to the Legislation and Relief Bill Legal Files; (3) Internal draft a response. Regulations Division; Congressional Control Records. documents; taxpayers and their POLICIES AND PRACTICES FOR STORING, representatives; Department of Treasury AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND 5 U.S.C. 301 and 26 U.S.C. 7801. DISPOSING OF RECORDS IN THE SYSTEM: personnel; other Federal agencies; state, local, and foreign governments; ROUTINE USES OF RECORDS MAINTAINED IN THE STORAGE: witnesses; informants. SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: Paper records and magnetic media. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. Disclosure of returns and return RETRIEVABILITY: information may be made only as Treasury/IRS 90.009 provided by 26 U.S.C. 6103. These Correspondence files are retrievable records and information in these records by the name of the individual who SYSTEM NAME: may be used to: (1) Disclose information initiated the correspondence. Private Chief Counsel Field Services Case to the Department of Justice for the Relief Bill files are retrievable by the Files. Each Regional Counsel Office and purpose of litigating an action or H.R. or S. number for each Congress. each Area Counsel Office maintains one seeking legal advice; (2) disclose of these systems. The National Office pertinent information to appropriate SAFEGUARDS: maintains one of these systems. The Federal, State, local, or foreign agencies Access is limited to employees who information in this notice applies to all responsible for investigating or have a need for such records in the 62 offices-Treasury/IRS. prosecuting the violations of, or for course of their work. Background checks SYSTEM LOCATION: enforcing, or implementing, a statute, are made on employees. All facilities The addresses of the National Office, rule, regulation, order, or license, where where records are stored have access each Area Counsel Office, Area. (See the disclosing agency becomes aware of limited to authorized personnel or IRS Appendix A.) an indication of a violation or potential individuals in the company of violation of civil or criminal law or authorized personnel. Access controls CATEGORIES OF INDIVIDUALS COVERED BY THE regulation; (3) disclose information to a will not be less than those provided by SYSTEM: Federal, State, or local agency, the Automated Information System (1) Taxpayers who have filed petitions maintaining civil, criminal or other Security Handbook, IRM 2(10)00. with the Tax Court or suits for refunds
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of Federal taxes. (2) Taxpayers upon contained in 28 CFR 50.2, which relate RECORD ACCESS PROCEDURES: whom the issuance of a statutory notice to an agency’s functions relating to civil This system may not be accessed for is or was contemplated whose case has and criminal proceedings; (8) provide purposes of inspection or for contest of been referred to the Tax Litigation information to officials of labor content of records as the records are function. (3) Taxpayers who are the organizations recognized under 5 U.S.C. exempt under 5 U.S.C. 552a(d)(5) and/ subject of formal or informal advisory Chapter 71 when relevant and necessary or (k)(2). opinions during the investigative stage to their duties of exclusive of the case or while under representation; (9) provide information CONTESTING RECORD PROCEDURES: administrative processing. (4) Persons to third parties during the course of an 26 U.S.C. 7852(e) prohibits Privacy who have corresponded regarding a investigation to the extent necessary to Act amendment of tax records. matter under consideration within the obtain information pertinent to the RECORD SOURCE CATEGORIES: Tax Litigation function. investigation. Taxpayers and their representatives; CATEGORIES OF RECORDS IN THE SYSTEM: POLICIES AND PRACTICES FOR STORING, Department of Treasury personnel; other (1) Legal Case and Administrative RETRIEVING, ACCESSING, RETAINING, AND Federal agencies; State, local, and Case Files. (2) Internal Control Records. DISPOSING OF RECORDS IN THE SYSTEM: foreign governments; witnesses; informants; parties to disputed matters (3) Correspondence Files. STORAGE: of fact or law; other persons who AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Paper records and magnetic media. communicate with the Internal Revenue Service. 5 U.S.C. 301; 26 U.S.C. 7801. RETRIEVABILITY: ROUTINE USES OF RECORDS MAINTAINED IN THE Records are retrievable by the name of EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM, INCLUDING CATEGORIES OF USERS AND the person to whom they apply. This system has been designated as THE PURPOSES OF SUCH USES: exempt from certain provisions of the Disclosure of returns and return SAFEGUARDS: Privacy Act. information may be made only as Access is limited to employees who provided by 26 U.S.C. 6103. Records have a need for such records in the Treasury/IRS 90.010 other than returns and return course of their work. Background checks SYSTEM NAME: information may be used to: (1) Disclose are made on employees. All facilities Digest Room Files Containing Briefs, information to the Department of Justice where records are stored have access Legal Opinions, and Digests of for the purpose of litigating an action or limited to authorized personnel or Documents Generated Internally or by seeking legal advice; (2) disclose individuals in the company of the Department of Justice Relating to the pertinent information to appropriate authorized personnel. Access controls Administration of the Revenue Laws- Federal, State, local, or foreign agencies will not be less than those provided by Treasury/IRS. responsible for investigating or the Automated Information System prosecuting the violations of, or for Security Handbook, IRM 2(10)00. SYSTEM LOCATION: enforcing, or implementing, a statute, Office of the Associate Chief Counsel RETENTION AND DISPOSAL: rule, regulation, order, or license, where (Finance and Management), Internal the disclosing agency becomes aware of Legal files are generally retired to the Revenue Service, Office of Chief an indication of a violation or potential Federal Records Center (FRC) one year Counsel, 1111 Constitution Avenue, violation of civil or criminal law or after they are closed. The FRC will NW., Washington, DC 20224. regulations; (3) disclose information to a retain ‘‘significant case’’ files an Federal, State, or local agency, additional 29 years and dispose of them CATEGORIES OF INDIVIDUALS COVERED BY THE maintaining civil, criminal or other 30 years after they are closed. Other SYSTEM: relevant enforcement information or legal files are retained in the FRC 9 Taxpayers who have sought Internal other pertinent information, which has years after they are transferred to the Revenue Service rulings and/or legal requested information relevant to or Center and disposed of 10 years after opinions on tax problems and those necessary to the requesting agency’s or they are closed. Other records are whose cases are being or have been the bureau’s hiring or retention of an periodically updated to reflect changes adjudicated. individual, or issuance of a security and maintained as long as needed. Files CATEGORIES OF RECORDS IN THE SYSTEM: clearance, license, contract, grant, or transferred from other functions are other benefit; (4) disclose relevant, non- returned to the source when no longer (1) Internal Control Records; (2) privileged information to a court, needed. Briefs; (3) Legal Opinions. magistrate, or administrative tribunal AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: including the presentation of evidence, 5 U.S.C. 301; 26 U.S.C. 7801. disclosures to opposing counsel or Each Area Counsel is the system witnesses in the course of civil manager of the systems in his or her ROUTINE USES OF RECORDS MAINTAINED IN THE discovery, litigation, or settlement Region. The Assistant Chief Counsel SYSTEM, INCLUDING CATEGORIES OF USERS AND negotiations, in response to a subpoena, (Field Services) is the system manager THE PURPOSES OF SUCH USES: or in connection with criminal law of the National Office system. The Disclosure of returns and return proceedings; (5) disclose information to addresses are in the Appendix. (See IRS information may be made only as foreign governments in accordance with Appendix A.) provided by 26 U.S.C. 6103. Records formal or informal international other than returns and return agreements. (6) provide information to a NOTIFICATION PROCEDURE: information may be used to: (1) Disclose congressional office in response to an This system may not be accessed for information to Justice Department inquiry made at the request of the purposes of determining if the records personnel for research purposes; (2) individual to whom the record pertains; pertain to a particular individual as the disclose pertinent information to (7) provide information to the news records are exempt under 5 U.S.C. appropriate Federal, State, local, or media in accordance with guidelines 552a(d)(5) and/or (k)(2). foreign agencies responsible for
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investigating or prosecuting the RETENTION AND DISPOSAL: ROUTINE USES OF RECORDS MAINTAINED IN THE violations of, or for enforcing, or Briefs, legal opinions, and digests are SYSTEM, INCLUDING CATEGORIES OF USERS AND implementing, a statute, rule, retained indefinitely. THE PURPOSES OF SUCH USES: regulation, order, or license, where the SYSTEM MANAGER(S) AND ADDRESS: Disclosure of returns and return disclosing agency becomes aware of an information may be made only as indication of a violation or potential Associate Chief Counsel, (Finance and provided by 26 U.S.C. 6103. Records violation of civil or criminal law or Management), Internal Revenue Service, other than returns and return regulations; (3) disclose information to a Office of Chief Counsel, 1111 information may be used to: (1) Disclose Federal, State, or local agency, Constitution Avenue, NW., Washington, maintaining civil, criminal or other DC 20224. information to the Department of Justice relevant enforcement information or for the purpose of litigating an action or other pertinent information, which has NOTIFICATION PROCEDURE: seeking legal advice; (2) disclose requested information relevant to or This system may not be accessed for pertinent information to appropriate necessary to the requesting agency’s or purposes of determining if the records Federal, State, local, or foreign agencies the bureau’s hiring or retention of an pertain to a particular individual as the responsible for investigating or individual, or issuance of a security records are exempt under 5 U.S.C. prosecuting the violations of, or for clearance, license, contract, grant, or 552a(d)(5) and/or (k)(2). enforcing or implementing, a statute, other benefit; (4) disclose relevant, non- rule, regulation, order, or license, where RECORD ACCESS PROCEDURES: privileged information to a court, the disclosing agency becomes aware of magistrate, or administrative tribunal This system may not be accessed for an indication of a violation or potential including the presentation of evidence, purposes of inspection or for contest of violation of civil or criminal law or disclosures to opposing counsel or content of records as the records are regulations; (3) disclose information to a witnesses in the course of civil exempt under 5 U.S.C. 552a(d)(5) and/ Federal, State, or local agency, discovery, litigation, or settlement or (k)(2). maintaining civil, criminal or other negotiations, in response to a subpoena, CONTESTING RECORD PROCEDURES: relevant enforcement information or or in connection with criminal law other pertinent information, which has proceedings; (5) disclose information to 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. requested information relevant to or foreign governments in accordance with necessary to the requesting agency’s or formal or informal international RECORD SOURCE CATEGORIES: the bureau’s hiring or retention of an agreements; (6) provide information to a Department of Treasury personnel; individual, or issuance of a security congressional office in response to an Department of Justice personnel; clearance, license, contract, grant, or inquiry made at the request of the taxpayers and their representatives; other benefit; (4) disclose relevant, non- individual to whom the record pertains; other Federal agencies; witnesses; privileged information to a court, (7) provide information to the news informants; State, local, and foreign magistrate, or administrative tribunal, media in accordance with guidelines governments; parties to disputed contained in 28 CFR 50.2 which relate including the presentation of evidence, matters of fact and law; other persons to an agency’s functions relating to civil disclosures to opposing counsel or who communicate with the Internal and criminal proceedings; (8) provide witnesses in the course of civil Revenue Service. information to officials of labor discovery, litigation, or settlement negotiations, in response to a subpoena, organizations recognized under 5 U.S.C. EXEMPTIONS CLAIMED FOR THE SYSTEM: Chapter 71 when relevant and necessary or in connection with criminal law This system has been designated as proceedings; (5) disclose information to to their duties of exclusive exempt from certain provisions of the foreign governments in accordance with representation; (9) provide information Privacy Act. to third parties during the course of an formal or informal international investigation to the extent necessary to Treasury/IRS 90.011 agreements; (6) provide information to a obtain information pertinent to the congressional office in response to an investigation. SYSTEM NAME: inquiry made at the request of the Attorney Recruiting Files—Treasury/ individual to whom the record pertains; POLICIES AND PRACTICES FOR STORING, IRS. RETRIEVING, ACCESSING, RETAINING, AND (7) provide information to the news DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM LOCATION: media in accordance with guidelines contained in 28 CFR 50.2 which relate STORAGE: Office of the Associate Chief Counsel to an agency’s functions relating to civil (Finance and Management), Internal Paper records and magnetic media. and criminal proceedings; (8) provide Revenue Service, Office of Chief RETRIEVABILITY: Counsel, 1111 Constitution Avenue, information to officials of labor Records are retrievable by the name of NW., Washington, DC 20224. organizations recognized under 5 U.S.C. the person to whom they apply. Chapter 71 when relevant and necessary CATEGORIES OF INDIVIDUALS COVERED BY THE to their duties of exclusive SAFEGUARDS: SYSTEM: representation; (9) provide information Records are kept in a secured area. Persons who have applied for attorney to third parties during the course of an Access is limited to authorized positions with the Office of Chief investigation to the extent necessary to personnel. Users of the system must Counsel, both National Office and field. obtain information pertinent to the show IRS identification and sign a investigation; (10) provide information register each time the room is used. CATEGORIES OF RECORDS IN THE SYSTEM: to the Office of Personnel Management Background checks are made on Attorney Files and lists of eligible and Merit System Protection Board for employees. Access controls will not be applicants; Internal Control Records. appropriate personnel actions. less than those provided by the Automated Information System Security AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Handbook, IRM 2(10)00. 5 U.S.C. 301; 26 U.S.C. 7801.
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POLICIES AND PRACTICES FOR STORING, State, local, and foreign governments; including the presentation of evidence, RETRIEVING, ACCESSING, RETAINING, AND references, former employers. disclosures to opposing counsel or DISPOSING OF RECORDS IN THE SYSTEM: witnesses in the course of civil EXEMPTIONS CLAIMED FOR THE SYSTEM: STORAGE: discovery, litigation, or settlement This system has been designated as Applicant files and internal control negotiations, in response to a subpoena, exempt from certain provisions of the records: paper records and magnetic or in connection with criminal law Privacy Act. media. proceedings; (5) disclose information to Treasury/IRS 90.013 foreign governments in accordance with RETRIEVABILITY: formal or informal international Records are retrievable by the name of SYSTEM NAME: agreements; (6) provide information to a the person to whom they apply. Legal Case Files of the Chief Counsel, congressional office in response to an Deputy Chief Counsel and Associate inquiry made at the request of the SAFEGUARDS: Chief Counsels-Treasury/IRS. individual to whom the record pertains; Access is limited to employees who (7) provide information to the news SYSTEM LOCATION: have a need for such records in the media in accordance with guidelines course of their work. Background checks Office of Chief Counsel, Internal contained in 28 CFR 50.2 which relate are made on employees. All facilities Revenue Service, 1111 Constitution to an agency’s functions relating to civil where records are stored have access Avenue, NW., Washington, DC 20224. and criminal proceedings; (8) provide limited to authorized personnel or information to officials of labor individuals in the company of CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: organizations recognized under 5 U.S.C. authorized personnel. Access controls Chapter 71 when relevant and necessary will not be less than those provided by Persons whose cases at one time involved important issues or unusual to their duties of exclusive the Automated Information System representation; (9) provide information Security Handbook, IRM 2(10)00. circumstances which were brought to the attention of the above persons (or to third parties during the course of an RETENTION AND DISPOSAL: their predecessors). investigation to the extent necessary to obtain information pertinent to the The attorney applicant files and other CATEGORIES OF RECORDS IN THE SYSTEM: investigation. records are periodically updated to Legal case files which include reflect changes and maintained as long POLICIES AND PRACTICES FOR STORING, internal control records of such case as needed. RETRIEVING, ACCESSING, RETAINING, AND files of both the persons currently DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: holding the above positions and those STORAGE: Associate Chief Counsel (Finance and who previously held such positions. Paper records and magnetic media. Management), Internal Revenue Service, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Office of Chief Counsel, 1111 5 U.S.C. 301; 26 U.S.C. 7801. RETRIEVABILITY: Constitution Avenue, NW., Washington, Records pertaining to individuals are DC 20224. ROUTINE USES OF RECORDS MAINTAINED IN THE retrievable by the name of the person to SYSTEM, INCLUDING CATEGORIES OF USERS AND whom they apply. NOTIFICATION PROCEDURE: THE PURPOSES OF SUCH USES: Individuals seeking to determine if Disclosure of returns and return SAFEGUARDS: this system of records contains a record information may be made only as Access is limited to employees who pertaining to themselves may inquire in provided by 26 U.S.C. 6103. Records have a need for such records in the accordance with instructions appearing other than returns and return course of their work. Background checks at 31 CFR part 1, subpart C, appendix information may be used to: (1) Disclose are made on employees. All facilities B. Inquiries should be addressed as in information to the Department of Justice where records are stored have access ‘‘Record access procedures’’ below. for the purpose of litigating an action or limited to authorized personnel or RECORD ACCESS PROCEDURES: seeking legal advice; (2) disclose individuals in the company of pertinent information to appropriate authorized personnel. Access controls Individuals seeking access to any Federal, State, local, or foreign agencies will not be less than those provided by record contained in this system of responsible for investigating or the Automated Information System records, or seeking to contest its prosecuting the violations of, or for Security Handbook, IRM 2(10)00. content, may inquire in accordance with enforcing, or implementing, a statute, instructions appearing at 31 CFR part 1, RETENTION AND DISPOSAL: rule, regulation, order, or license, where subpart C, appendix B. Inquiries should the disclosing agency becomes aware of Records are periodically updated to be addressed to the Assistant Chief an indication of a violation or potential reflect changes and maintained as long Counsel (Disclosure Litigation), Internal violation of civil or criminal law or as needed. Revenue Service, 1111 Constitution regulations; (3) disclose information to a Avenue, NW., Washington, DC 20224. SYSTEM MANAGER(S) AND ADDRESS: Federal, State, or local agency, Information leading to the identity of a Chief Counsel, Deputy Chief Counsel, maintaining civil, criminal or other confidential source is exempt pursuant or the Associate Chief Counsels, relevant enforcement information or to 5 U.S.C. 552a(k)(5). respectively, Internal Revenue Service, other pertinent information, which has 1111 Constitution Avenue, NW., CONTESTING RECORD PROCEDURES: requested information relevant to or Washington, DC 20224. See ‘‘Record access procedures’’ necessary to the requesting agency’s or above. the bureau’s hiring or retention of an NOTIFICATION PROCEDURE: individual, or issuance of a security This system may not be accessed for RECORD SOURCE CATEGORIES: clearance, license, contract, grant, or purposes of determining if the records Applicants, Department of Treasury other benefit; (4) disclose relevant, non- pertain to a particular individual as the Personnel; Office of Personnel privileged information to a court, records are exempt under 5 U.S.C. Management; other Federal agencies; magistrate, or administrative tribunal, 552a(d)(5) and/or (k)(2).
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RECORD ACCESS PROCEDURES: disclosures to opposing counsel or B. Inquiries should be addressed as in This system may not be accessed for witnesses in the course of civil ‘‘Record access procedures’’ below. purposes of inspection or for contest of discovery, litigation, or settlement RECORD ACCESS PROCEDURES: content of records as the records are negotiations, in response to a subpoena, exempt under 5 U.S.C. 552a(d)(5) and/ or in connection with criminal law Individuals seeking access to any or (k)(2). proceedings; (3) provide information to record contained in this system of a congressional office in response to an records, or seeking to contest its CONTESTING RECORD PROCEDURES: inquiry made at the request of the content, may inquire in accordance with 26 U.S.C. 7852(e) prohibits Privacy individual to whom the record pertains; instructions appearing at 31 CFR part 1, Act amendment of tax records. (4) provide information to the news subpart C. Appendix B. Inquiries should be addressed to Assistant Chief Counsel RECORD SOURCE CATEGORIES: media in accordance with guidelines contained in 28 CFR 50.2 which relate (Disclosure and Privacy Law), Internal Taxpayers and their representatives; to an agency’s functions relating to civil Revenue Service, 1111 Constitution Department of Treasury personnel; other and criminal proceedings; (5) provide Avenue, NW., Washington, DC 20224. Federal agencies; State, local, and information to officials of labor CONTESTING RECORD PROCEDURES: foreign governments; other persons who organizations recognized under 5 U.S.C. communicate with the Internal Revenue See ‘‘Record access procedures’’ Chapter 71 when relevant and necessary above. Service. to their duties of exclusive EXEMPTIONS CLAIMED FOR THE SYSTEM: representation; (6) provide information RECORD SOURCE CATEGORIES: This system has been designated as to third parties during the course of an Material to which reference exempt from certain provisions of the investigation to the extent necessary to information pertains. Privacy Act. obtain information pertinent to the investigation. EXEMPTIONS CLAIMED FOR THE SYSTEM: Treasury/IRS 90.015 None. POLICIES AND PRACTICES FOR STORING, SYSTEM NAME: RETRIEVING, ACCESSING, RETAINING, AND Treasury/IRS 90.016 DISPOSING OF RECORDS IN THE SYSTEM: Reference Records of the Library in SYSTEM NAME: the Office of Chief Counsel—Treasury/ STORAGE: Counsel Automated Tracking System IRS. Paper records and magnetic media. (CATS) Records—Treasury/IRS. SYSTEM LOCATION: RETRIEVABILITY: SYSTEM LOCATION: Office of the Associate Chief Counsel Records are retrievable by the name of Computer Records: Detroit Computing (Finance and Management), Internal the individual to whom they pertain Center, 1300 John C. Lodge Drive, Revenue Service, Office of Chief and Private Bill material can also be Detroit, Michigan 48226. Counsel, 1111 Constitution Avenue, retrieved by H.R. or S. number. NW., Washington, DC 20224. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: SAFEGUARDS: CATEGORIES OF INDIVIDUALS COVERED BY THE (1) Taxpayers who initiated suits for SYSTEM: Although access is limited to authorized individuals, this material refund in area courts or the Claims (1) Taxpayers who have sought Court.(2) Taxpayers who have filed Congressional tax relief by means of a would be available to any person through a Freedom of Information Act petitions with the United States Tax Private Bill. (2) IRS employees who Court. (3) Taxpayers who have charge out books. request. Access controls will not be less than those provided by the Automated requested rulings from the Service in those cases in which the request has CATEGORIES OF RECORDS IN THE SYSTEM: Information System Security Handbook, IRM 2(10)00. been referred to the Office of Chief (1) Numerical and alphabetical listing Counsel for a legal opinion. (4) of Private Relief Bill and files related to RETENTION AND DISPOSAL: Taxpayers who have been involved in the Bill. (2) Charge cards and inter- litigation concerning the SB/SE, W&I, library loan forms. Records are maintained in accordance with Records Disposition Handbooks, LMSB of taxes. (5) Taxpayers whose AUTHORITY FOR MAINTENANCE OF THE SYSTEM: IRM 1.15.2.1 through IRM 1.15.2.31. cases were the subject of technical 5 U.S.C. 301; 26 U.S.C. 7801. Records are regularly updated. If the advice. library materials to which the references CATEGORIES OF RECORDS IN THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE pertain are no longer in the library SB/ SYSTEM, INCLUDING CATEGORIES OF USERS AND Skeletal legal files and Indexes SE, W&I, LMSB, the reference cards are THE PURPOSES OF SUCH USES: (including taxpayer name; uniform issue destroyed. Records may be used to: (1) Disclose list number; key dates; subject matter; pertinent information to appropriate SYSTEM MANAGER(S) AND ADDRESS: name of attorney and office handling the Federal, State, local, or foreign agencies Associate Chief Counsel (Finance and case; and miscellaneous remarks.) responsible for investigating or Management), Internal Revenue Service, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: prosecuting the violations of, or for Office of Chief Counsel, 1111 5 U.S.C. 301; 26 U.S.C. 7801. enforcing, or implementing, a statute, Constitution Avenue, NW., Washington, rule, regulation, order, or license, where DC 20224. ROUTINE USES OF RECORDS MAINTAINED IN THE the disclosing agency becomes aware of SYSTEM, INCLUDING CATEGORIES OF USERS AND an indication of a violation or potential NOTIFICATION PROCEDURE: THE PURPOSES OF SUCH USES: violation of civil or criminal law or Individuals seeking to determine if Disclosure of returns and return regulation; (2) disclose relevant, non- this system of records contains a record information may be made only as privileged information to a court, pertaining to themselves may inquire in provided by 26 U.S.C. 6103. Records magistrate, or administrative tribunal, accordance with instructions appearing other than returns and return including the presentation of evidence, at 31 CFR part 1, subpart C, appendix information may be used to: (1) Disclose
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information to the Department of Justice SAFEGUARDS: RECORD SOURCE CATEGORIES: for the purpose of litigating an action, Access is limited to employees who Taxpayers and their representatives; seeking legal advice, or for research have a need for such records in the Department of Treasury personnel; other purposes; (2) disclose pertinent course of their work. Background checks Federal agencies, State, local, and information to appropriate Federal, are made on employees. All facilities foreign governments; witnesses; State, local, or foreign agencies where records are stored have access informants; parties to disputed matters responsible for investigating or limited to authorized personnel or of fact or law; other persons who prosecuting the violations of, or for individuals in the company of communicate with the Internal Revenue enforcing, or implementing, a statute, authorized personnel. Passwords are Service. rule, regulation, order, or license, where required in the Counsel Automated EXEMPTIONS CLAIMED FOR THE SYSTEM: the disclosing agency becomes aware of Tracking System to access system an indication of a violation or potential information. Access controls will not be This system has been designated as violation of civil or criminal law or less than those provided by the exempt from certain provisions of the regulation; (3) disclose information to a Automated Information System Security Privacy Act. Federal, State, or local agency, Handbook, IRM 2(10)00. Treasury/IRS 90.017 maintaining civil, criminal or other relevant enforcement information or RETENTION AND DISPOSAL: SYSTEM NAME: other pertinent information, which has Records are maintained in accordance Correspondence Control and Records, requested information relevant to or with Records Disposition Handbooks, Associate Chief Counsel (Technical and necessary to the requesting agency’s or IRM 1.15.2.1 through IRM 1.15.2.31. International)—Treasury/IRS. the bureau’s hiring or retention of an Magnetic media will be periodically individual, or issuance of a security updated to reflect changes and SYSTEM LOCATION: clearance, license, contract, grant, or maintained as long as needed. National Office (See IRS appendix A.) other benefit; (4) disclose relevant, non- SYSTEM MANAGER(S) AND ADDRESS: CATEGORIES OF INDIVIDUALS COVERED BY THE privileged information to a court, SYSTEM: magistrate, or administrative tribunal Associate Chief Counsel (Finance and Individual subjects of letter rulings, including the presentation of evidence, Management), Internal Revenue Service, technical advice, memorandum and disclosures to opposing counsel or 1111 Constitution Avenue, NW., other correspondence from the Office of witnesses in the course of civil Washington, DC 20224. the Associate Chief Counsel (Technical discovery, litigation, or settlement NOTIFICATION PROCEDURE: and International). negotiations, in response to a subpoena, or in connection with criminal law Most of the records in this system CATEGORIES OF RECORDS IN THE SYSTEM: proceedings; (5) disclose information to may not be accessed for purposes of Cards, disks and tapes containing foreign governments in accordance with determining if the records pertain to a taxpayer names, date of correspondence, formal or informal international particular individual as the records are issue, and related information, agreements; (6) provide information to a exempt under 5 U.S.C. 552a(d)(5) and/ including in some cases the conclusions congressional office in response to an or (k)(2). An individual who wishes to reached, and related letter ruling, inquiry made at the request of the determine whether the system contains technical advice, memorandum and individual to whom the record pertains; any records pertaining to himself which other correspondence files. (7) provide information to the news are not exempt may address inquiries to media in accordance with guidelines the Assistant Chief Counsel (Disclosure AUTHORITY FOR MAINTENANCE OF THE SYSTEM: contained in 28 CFR 50.2 which relate Litigation), 1111 Constitution Avenue, 5 U.S.C. 301, 26 U.S.C. 7801, 7802, to an agency’s functions relating to civil NW., Washington, DC 20224. 7602, 7805(a). and criminal proceedings; (8) provide RECORD ACCESS PROCEDURES: ROUTINE USES OF RECORDS MAINTAINED IN THE information to officials of labor Most of the records in this system SYSTEM, INCLUDING CATEGORIES OF USERS AND organizations recognized under 5 U.S.C. THE PURPOSES OF SUCH USES: Chapter 71 when relevant and necessary may not be accessed for purposes of inspection or for contest of content of Disclosure of returns and return to their duties of exclusive information may be made only as representation; (9) provide information records as the records are exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2). provided by 26 U.S.C. 6103. These to third parties during the course of an records and information in these records investigation to the extent necessary to Individuals seeking access to any record which is not exempt, or seeking to may be used to: (1) Disclose information obtain information pertinent to the to the Department of Justice in investigation. contest its content, may inquire in accordance with instructions appearing connection with actual or potential POLICIES AND PRACTICES FOR STORING, at 31 CFR part 1, subpart C, appendix criminal prosecution or civil litigation, RETRIEVING, ACCESSING, RETAINING, AND B. Inquiries should be addressed to the and in connection with requests for DISPOSING OF RECORDS IN THE SYSTEM: Assistant Chief Counsel (Disclosure legal advice; (2) disclose pertinent STORAGE: Litigation) whose address is listed information to appropriate Federal, Skeletal legal files and indexes are above. Taxpayers seeking to adjust State, local or foreign agencies stored on magnetic media. Input records which affect the determination responsible for investigating or documents are on paper. The CATS of a tax assessment or the balance due, prosecuting the violations of, or for system also allows access by interactive should utilize existing procedures for enforcing or implementing, a statute, terminal. doing so, as substantive tax matters are rule, regulation, order, or license, where not subject to the amendment the disclosing agency becomes aware of RETRIEVABILITY: provisions of the Privacy Act. an indication of a violation or potential Records are retrievable by legal jacket violation of civil or criminal law or number, the name of the person to CONTESTING RECORD PROCEDURES: regulation; (3) disclose information to a whom they apply, and by name of the See ‘‘Record access procedures’’ Federal, State, or local agency attorney to whom the cases are assigned. above. maintaining civil, criminal or other
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relevant enforcement information or NOTIFICATION PROCEDURE: provided by 26 U.S.C. 6103. Records other pertinent information, which has Individuals seeking to determine if other than returns and return requested information relevant to or the system of records contains a record information may be used to: (1) Disclose necessary to the requesting agency’s or pertaining to themselves may inquire in information to the Department of Justice the bureau’s hiring or retention of an accordance with instructions appearing in connection with requests for legal individual, or issuance of a security at 31 CFR part 1, subpart C, appendix advice; (2) disclose information to a clearance, license, contract, grant, or B. Inquiries should be addressed to the Federal, state, or local agency other benefit; (4) disclose information to Associate Chief Counsel (Technical and maintaining civil, criminal or other a court, magistrate, or administrative International), National Office. (See IRS relevant enforcement information or tribunal in the course of presenting appendix A.) other pertinent information, which has evidence, including disclosure to RECORD ACCESS PROCEDURES: requested information relevant to or necessary to the requesting agency’s or opposing counsel or witnesses in the Individuals seeking access to any the bureau’s hiring or retention of an course of civil discovery, litigation, or record contained in the system of individual, or issuance of or retention of settlement negotiations, in response to a records or seeking to contest its content, a security clearance, license, contract, subpoena, or in connection with may inquire in accordance with grant, or other benefit; (3) disclose criminal law proceedings; (5) disclose instructions appearing at 31 CFR part 1, relevant, non-privileged information to information to foreign governments in subpart C, appendix B. Inquiries should a court, magistrate, or administrative accordance with formal or informal be addressed to the Associate Chief tribunal, including the presentation of international agreements; (6) provide Counsel (Technical and International), evidence, disclosures to opposing information to a congressional office in National Office. (See IRS Appendix A.) response to an inquiry made at the counsel or witnesses in the course of request of the individual to whom the CONTESTING RECORD PROCEDURES: civil discovery, litigation, or settlement record pertains; (7) provide information 26 U.S.C. 7852(e) prohibits Privacy negotiations, in response to a subpoena to the news media in accordance with Act amendment of tax records. where relevant or potentially relevant to guidelines contained in 28 CFR 50.2 the proceeding; (4) provide information RECORD SOURCE CATEGORIES: which relate to an agency’s functions to a Congressional office in response to Individual subjects of letter rulings, relating to civil and criminal an inquiry made at the request of the technical advice memorandums, and proceedings; (8) provide information to individual to whom the record pertains; other correspondence, field office unions recognized as exclusive (5) provide information to third parties personnel. bargaining representatives under the during the course of an investigation to Civil Service Reform Act of 1978, 5 EXEMPTIONS CLAIMED FOR THE SYSTEM: the extent necessary to obtain U.S.C. 7111 and 7114; (9) provide None. information pertinent to the information to third parties during the investigation. course of an investigation to the extent Treasury/IRS 90.018 POLICIES AND PRACTICES FOR STORING, necessary to obtain information SYSTEM NAME: RETRIEVING, ACCESSING, RETAINING, AND pertinent to the investigation. Expert Witness Library—Treasury/ DISPOSING OF RECORDS IN THE SYSTEM: IRS. POLICIES AND PRACTICES FOR STORING, STORAGE: RETRIEVING, ACCESSING, RETAINING, AND SYSTEM LOCATION: Paper records and magnetic media. DISPOSING OF RECORDS IN THE SYSTEM: Office of the Assistant Chief Counsel (Field Services) Office of the Chief RETRIEVABILITY: STORAGE: Counsel, Internal Revenue Service, 1111 Indexed by name and subject matter Paper records, magnetic media, and Constitution Avenue, NW., Washington, expertise. tapes. DC 20224. SAFEGUARDS: RETRIEVABILITY: CATEGORIES OF INDIVIDUALS COVERED BY THE Access is limited to employees who SYSTEM: Indexed by name and control number. have a need for such records in the Potential expert witnesses for tax course of their work. Furthermore, SAFEGUARDS: litigation in a variety of areas of access to the paper files is controlled by expertise. Safeguards will not be less than those a designated attorney in the Tax Shelter provided by the Physical and Document CATEGORIES OF RECORDS IN THE SYSTEM: Branch. Access to the expert witness Security Handbook, IRM 1(16)41, and Names, addresses, and phone library indices on magnetic media are the Automated Information System numbers of expert witnesses who have controlled by the Tax Shelter Branch. Security Handbook, IRM 2(10)00. been used either by IRS or taxpayers in The Tax Shelter Branch is locked during litigation. The library also contains nonworking hours. All facilities where RETENTION AND DISPOSAL: evaluations of the performance of each records are stored have access limited to Cards, disks and tapes are expert, copies of transcripts where authorized personnel or individuals in periodically updated and maintained as experts have testified and copies of the the company of authorized personnel. long as needed. Related files are experts’ reports. Background checks are made on destroyed or retired over varying employees. Access controls will not be AUTHORITY FOR MAINTENANCE OF THE SYSTEM: numbers of years as specified in the less than those provided by the 5 U.S.C. 301; 26 U.S.C. 7602, 7801, Records Control Schedule, IRM 1.15.2.1 Automated Information System Security 7802, and 7805(a). (10). Handbook, IRM 2(10)00. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM MANAGER S AND ADDRESS ( ) : SYSTEM, INCLUDING CATEGORIES OF USERS AND RETENTION AND DISPOSAL: Associate Chief Counsel (Technical THE PURPOSES OF SUCH USES: The records will be periodically and International), National Office. (See Disclosure of returns and return updated to reflect changes and IRS appendix A.) information may be made only as maintained as long as needed.
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SYSTEM MANAGER(S) AND ADDRESS: Assistant Commissioner (Employee Plans Area Director, Internal Revenue Service, PO Assistant Chief Counsel (Field and Exempt Organizations) Box 44687, Stop 10, Indianapolis, Indiana Services), Internal Revenue Service, Director, Tax Administration Modernization 46244. Commissioner, Large and Mid Size Business Area Director, Internal Revenue Service, PO Office of Chief Counsel, 1111 Division Box 1735, Stop 100, Louisville, Kentucky Constitution Avenue, NW, Washington, Commissioner, Small Business/Self 40201. DC 20224. Employed Division Area Director, Internal Revenue Service, 425 Commissioner, Tax Exempt and Government Juliana Street, Parkersburg, West Virginia NOTIFICATION PROCEDURE: Entities Division 26101. Individuals seeking to determine if Commissioner, Wage and Investment Director, Internal Revenue Service Center/ this system of records contains a record Division Campus, 201 W. Second Street., Covington, pertaining to themselves may inquire in Director, Commissioner’s Complaint and Kentucky 41019. accordance with instructions appearing Processing Group Area Director, Internal Revenue Service, at 31 CFR part 1, subpart C, appendix Director of Practice George Fallon Building, 31 Hopkins Plaza, B. Inquiries should be addressed as in National Taxpayer Advocate Baltimore, Maryland 21201. National Director, Strategic Planning and Area Director, Internal Revenue Service, P.O. ‘‘Record access procedures’’ below. Research Box 939, Newark, New Jersey 07101. RECORD ACCESS PROCEDURES: National Director, Compliance and Research Area Director, Internal Revenue Service, W. Chief Financial Officer J. Green Federal Building, 600 Arch Street, Individuals seeking access to any Chief, Appeals Philadelphia, Pennsylvania 19106. record contained in this system of Director, National Headquarters Management Area Director, Internal Revenue Service, 1000 records, or seeking to contest its and Finance Liberty Avenue, Room 1139, Pittsburgh, content, may inquire in accordance with Director, Research and Analysis and SOI Pennsylvania 15222. instructions appearing at 31 CFR part 1, Chief Agency Wide Shared Services Area Director, Internal Revenue Service, 400 subpart C, appendix B. Inquiries should Chief (Criminal Investigation) North Eighth Street, Richmond, Virginia be addressed to the Assistant Chief Director, Strategic Human Resources 23240. Director (International) Area Director, Internal Revenue Service, 409 Counsel (Disclosure Litigation), Internal Assistant Commissioner (Procurement) Silverside Road, Wilmington, Delaware Revenue Service, 1111 Constitution Chief Appeals 19809. Avenue, NW., Washington, DC 20224. Director, Office of Disclosure Director, Internal Revenue Service Center/ Campus, 11601 Roosevelt Boulevard, CONTESTING RECORD PROCEDURES: The address for all of the above systems managers with the exception of the Assistant Philadelphia, Pennsylvania 19154. 26 U.S.C. 7852(e) prohibits Privacy Commissioner (International), noted below, Area Director, Internal Revenue Service, Act amendment of tax records. is as follows: Federal Building, 115 Fourth Avenue, SE., Aberdeen, South Dakota 57401. 1111 Constitution Avenue, NW., Washington, RECORD SOURCE CATEGORIES: Area Director, Internal Revenue Service, 230 DC 20224. South Dearborn Street, Room 2890, Attorneys working for the IRS and Director (International), 950 L‘Enfant Plaza, Chicago, Illinois 60604. expert witnesses themselves. SW., Fourth Floor, Washington, DC 20024. Area Director, Internal Revenue Service, EXEMPTIONS CLAIMED FOR THE SYSTEM: Addresses of the Detroit Computing Center, Federal Building, 210 Walnut Street, Des None. Martinsburg Computing Center, and the Moines, Iowa 50309. Austin Service Center/Campus Area Director, Internal Revenue Service, IRS Appendix A—Addresses of System Director, Detroit Computing Center, 1300 Federal Building and Post Office, 657 Locations John C. Lodge Drive, Detroit, Michigan Second Avenue, North Fargo, North Dakota 58102. This appendix contains the addresses of 48226. Area Director, Internal Revenue Service, Treasury/IRS system locations along with the Director, Martinsburg Computing Center, PO Box 1208, Martinsburg, West Virginia Federal Building, Second Floor, 301 South title of the principal system manager(s) at Park Avenue, Helena, Montana 59626– each location. Other system managers at 25401. Director, Austin Service Center/Campus, 0016. these locations are individually noted in the Area Director, Internal Revenue Service, text of the system notices. Generally, Stop 7000 AUSC, 3651 Interregional Hwy 35, Austin, Texas 78741. Federal Building and Court House, 310 inquiries under Treasury/IRS systems should West Wisconsin Avenue, Milwaukee, be addressed to the office where the records Addresses of Area Offices and Internal Wisconsin 53203. in question are located. For Area Office Revenue Service Centers Area Director, Internal Revenue Service, records, this would be the office with Federal Office Building, 106 South Area Offices jurisdiction over the area where the Fifteenth Street, Omaha, Nebraska 68102. individual resides. For Internal Revenue Midstates (Dallas) Area Director, Internal Revenue Service, 1222 Service Center/Campus records, this would Internal Revenue Service, 4050 Alpha Road, Spruce Street, St. Louis, Missouri 63101. be the service center/campus where the Dallas, Texas 75244–4203. Area Director, Internal Revenue Service, individual files Federal income tax returns. Northeast (Manhattan), Internal Revenue Federal Building and Court House, 316 The Internal Revenue Service has been Service, 90 Church Street, New York, New North Robert Street, St. Paul, Minnesota reorganized and the following divisions serve York, 10007. 55101. their respective customers: Southeast (Atlanta), Internal Revenue Area Director, Internal Revenue Service, 320 Wage and Investment—individual taxpayers; Service, PO Box 926, Stop 100–R, Atlanta, West Washington Street, Springfield, Large and Mid Size Business-taxpayers Georgia 30370. Illinois 62701. who are large and mid-size businesses; Western (San Francisco), Internal Revenue Director, Internal Revenue Service Center/ Tax Exempt/Government Entities—taxpayers Service, Room 511, 1650 Mission Street, Campus, P.O. Box 24551, Kansas City, who are tax-exempt/government entities; San Francisco, California 95113. Missouri 64131. Small Business/ Self Employed—small Area Director, Internal Revenue Service, John business taxpayers and self-employed Area Directors F. Kennedy Federal Building, Government taxpayers. Area Director, Internal Revenue Service, PO Center, Boston, Massachusetts 02203. Box 1818, Cincinnati, Ohio 45201. Area Director, Internal Revenue Service, 68 National Office Internal Revenue Service Area Director, Internal Revenue Service, PO Sewall Street, Augusta, Maine 04330. Chief, Equal Employment Opportunity and Box 99181, Cleveland, Ohio 44199. Area Director, Internal Revenue Service, Leo Diversity Area Director, Internal Revenue Service, PO W. O’Brien Federal Building, Clinton Chief, Communications and Liaison Box 330500, Stop #1, Detroit, Michigan Avenue and North Pearl Street, Albany, Chief Information Officer 48232–6500. New York 12207.
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Area Director, Internal Revenue Service, 120 Area Director, Internal Revenue Service, 600 Constitution Avenue, NW., Washington, Church Street, New York, New York 10007. Seventeenth Street, Stop 1000 DEN, DC 20224. Area Director, Internal Revenue Service, 35 Denver, Colorado 80202–2490. Office of the Assistant Chief Counsel Tillary Street, Brooklyn, New York 11201. Area Director, Internal Revenue Service, 210 (General Litigation), Office of Chief Area Director, Internal Revenue Service, 111 East Earll Drive, Sixth Floor, Room 600, Counsel, Internal Revenue Service, 1111 West Huron Street, Buffalo, New York Phoenix, Arizona 85012. Constitution Avenue, NW., Washington, 14202. Area Director, Internal Revenue Service, 465 DC 20224. Area Director, Internal Revenue Service, South 400 East, Salt Lake City, Utah 84111. Office of the Assistant Chief Counsel Courthouse Plaza, 119 Main Street, Area Director, Internal Revenue Service, 200 (Corporate), Office of Chief Counsel, Burlington, Vermont 05401. NW. Fourth Street, Oklahoma City, Internal Revenue Service, 1111 Area Director, Internal Revenue Service, Oklahoma 73102. Constitution Avenue, NW., Washington, William R. Cotter Federal Building, Stop Area Director, Internal Revenue Service, 412 DC 20224. 204, 135 High Street, Hartford, Connecticut South Main Street, Wichita, Kansas 76202. Office of the Assistant Chief Counsel (Income 06103. Director, Internal Revenue Service Center/ Tax and Accounting), Office of Chief Area Director, Internal Revenue Service, Campus, 3651 South Interregional Counsel, Internal Revenue Service, 1111 Federal Building, 80 Daniel Street, Highway, Austin, Texas 73301. Constitution Avenue, NW., Washington, Portsmouth, New Hampshire 03801. Director, Internal Revenue Service Center/ Area Director, Internal Revenue Service, 380 Campus, 1160 West 1200 South Street, DC 20224. Westminster Mall, Providence, Rhode Ogden Utah 84201. Office of the Assistant Chief Counsel Island 02903. Area Director, Internal Revenue Service, 949 (Employee Benefits and Exempt Andover IRS Internal Revenue Service, Stop East Thirty-sixth Avenue, Anchorage, Organizations), Office of Chief Counsel, 100, 310 Lowell Street, Andover, Alaska 99508. Internal Revenue Service, 1111 Massachusetts 05501. Area Director, Internal Revenue Service, Box Constitution Avenue, NW., Washington, Director, Internal Revenue Service Center/ 041, 550 West Fort Street, Boise, Idaho DC 20224. Campus, Stop 100, 1040 Waverly Avenue, 83724. Office of the Assistant Counsel (Field Holtsville, New York 11799. Area Director, Internal Revenue Service, Services), Office of Chief Counsel, Internal Area Director, Internal Revenue Service, 401 PJKK Federal Building, 300 Ala Moana, Revenue Service, 1111 Constitution West Peachtree Street, NW. Atlanta, Honolulu, Hawaii 96850. Avenue, NW., Washington, DC 20224. Georgia 30365. Area Director, Internal Revenue Service, Office of the Assistant Chief Counsel Area Director, Internal Revenue Service, 500 24000 Avila Road, Laguna Niguel, (Financial Institutions and Products), Twenty-second Street South, Birmingham, California 92677. Office of Chief Counsel, Internal Revenue Alabama, 35233. Area Director, Internal Revenue Service, 300 Service, 1111 Constitution Avenue, NW., Area Director, Internal Revenue Service, 1835 North Los Angeles Street, Los Angeles, Washington, DC 20224. Assembly Street, Columbia, South Carolina California 90012. Office of the Assistant Chief Counsel 29201. Area Director, Internal Revenue Service, 1220 (Passthroughs and Special Industries), Area Director, Internal Revenue Service, 320 SW. Third Avenue, Portland, Oregon Office of Chief Counsel, Internal Revenue Federal Place, Greensboro, North Carolina 97204. Service, 1111 Constitution Avenue, NW., 27401. Area Director, Internal Revenue Service, 4750 Washington, DC 20224. Area Director, Internal Revenue Service, West Oakey Boulevard, Las Vegas, Nevada Chief Counsel, Deputy Chief Counsel, Suite 504, 100 W. Capitol Street, Suite 504, 89102. Associate Chief Counsels (Litigation), Jackson, Mississippi 39269. Area Director, Internal Revenue Service, 4330 (Domestic), (International), Finance and Watt Avenue, North Highland, California Area Director, Internal Revenue Service, Management) and (Employee Benefits and 95660. Federal Office Building, 400 West Bay Exempt Organizations), Office of Chief Area Director, Internal Revenue Service, 1301 Street, Jacksonville, Florida 32202. Counsel, Internal Revenue Service, 1111 Area Director, Internal Revenue Service, 801 Clay Street, South Tower, San Francisco, Constitution Avenue, NW., Washington, Broadway, Nashville, Tennessee 37203. California 94612. DC 20224. Area Director, Internal Revenue Service, Area Director, Internal Revenue Service, 55 (Stop 6) 700 West Capitol, Little Rock, South Market Street, San Jose, California Counsel Offices Arkansas 72201. 95113. Southeast Counsel’s Office, IRS, 401 West Area Director, Internal Revenue Service, Area Director, Internal Revenue Service, 915 Peachtree Street, Suite 2110–Stop 180–R, (Stop 6) 501 Magazine Street, New Orleans, Second Avenue, Seattle, Washington, Atlanta, Georgia 30365 Louisiana 70130. 98174. Midstates Counsel’s Office, IRS, 4050 Alpha Area Director, Internal Revenue Service, One Director, Internal Revenue Service Center, University Drive, Building B, Ft. 5045 East Butler Avenue, Fresno, Road, 14th Floor, Dallas, Texas 75244– Lauderdale, Florida 33324. California 93888. 4203. Director, Internal Revenue Service Center/ Western Counsel’s Office, IRS, Room 514, Addresses of Chief Counsel, Area Counsel, 1650 Mission Street, San Francisco, Campus, 4800 Buford Highway, Chamblee, and Regional Director of Appeals Offices Georgia 30341. California 94103. National Office Director, Internal Revenue Service Center/ Director of Appeals campus, P.O. Box 30309, Airport Mail Office of the National Director of Appeals, Northeast Director of Appeals, IRS, 90 Facility, Memphis, Tennessee 38130. Internal Revenue Service, 901 D Street, Area Director, Internal Revenue Service, 5338 SW., Box 68, Washington, DC 20024. Church Street, Room 1003, New York, NY Montgomery NE, 3rd Floor, Albuquerque, Office of the Assistant Chief Counsel 10007. New Mexico 87109. (Criminal Tax), Office of Chief Counsel, Southeast Director of Appeals, IRS, 625 Area Director, Internal Revenue Service, Stop Internal Revenue Service, 1111 Federal Office Building, Suite 2118, 401 100D AUS, 300 East Eighth Street, Austin, Constitution Avenue, NW., Washington, West Peachtree Street, NW., Atlanta, Texas 78701. DC 20224. Georgia 30365. Area Director, Internal Revenue Service, 1919 Office of the Assistant Chief Counsel Midstates Director of Appeals, IRS, 4050 Smith Street, Houston, Texas 77002. (Disclosure and Privacy Law), Office of Alpha Road, Fourteenth Floor, Dallas, Area Director, Internal Revenue Service, 308 Chief Counsel, Internal Revenue Service, Texas 75244–4203, West Twenty-first Street, Cheyenne, 1111 Constitution Avenue, NW., Western Wyoming 82001. Washington, DC 20224. Area Director, Internal Revenue Service, Stop Office of the Assistant Chief Counsel Director of Appeals, IRS, Room 515, 1650 1000 DAL, 1100 Commerce Street, Dallas, (General Legal Services), Office of Chief Mission Street, San Francisco, California Texas 75242. Counsel, Internal Revenue Service, 1111 94103.
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Area Counsel Offices Area Counsel’s Office, IRS, 917 Hale Boggs Area Counsel’s Office, IRS, Suite 500, 1244 Area Counsel’s Office, IRS, Leo W. O’Brien Building, 501 Magazine Street, New Speer Boulevard, Denver, Colorado 80204. Federal Building, Clinton Avenue and N. Orleans, Louisiana 70130. Area Counsel’s Office, IRS, Suite 350, 10850 Area Counsel’s Office, IRS, Room 7525, John Pearl Street, Albany, New York 12207. Richmond Avenue, Houston, Texas 77042– Weld Peck Federal Building 550 Main Area Counsel’s Office, IRS, 10 Causeway 4775. Street, Cincinnati, Ohio 45202. Area Counsel’s Office, IRS, Suite 320, 500 Street, Room 401, Boston, Massachusetts Area Counsel’s Office, IRS, Suite 810, One 02222–1061. West Main, Oklahoma City, Oklahoma Cleveland Center, 1375 East, Ninth Street, 73102. Area Counsel’s Office, IRS Brooklyn Office, Cleveland, Ohio 44114. 1600 Stewart Avenue, Suite 601, Area Counsel’s Office, IRS, Suite 1500, 3225 Area Counsel’s Office, IRS, 1870 McNamara N. Central Avenue, Phoenix, Arizona Uniondale, New York 11590. Building, 477 Michigan Avenue, Detroit, 85012. Area Counsel’s Office, IRS, 28 Church Street, Michigan 48226. Area Counsel, IRS, Room 131, Wallace F. Guaranty Building, Suite 500, Buffalo, New Area Counsel’s Office, IRS, 513 Minton- Bennett Federal Building, 125 South State York 14202. Capehart Federal Building, 575 N. Street, Salt Lake City, Utah 84138. Area Counsel’s Office, IRS, 333 East River Pennsylvania Street, Indianapolis, Indiana Area Counsel’s Office, IRS, Room 607, 949 Drive, Suite 200, Commerce Center One, 46204. East Thirty-sixth Avenue, Anchorage, Hartford, Connecticut 06108. Area Counsel’s Office, IRS, Suite 1100 Alaska 99508. Area Counsel’s Office, IRS, Room 10424, 600 Heyburn Building, 332 West Broadway, Area Counsel’s Office, IRS, Box 024, 550 Arch Street, Philadelphia, Pennsylvania Louisville, Kentucky 40202. West Fort Street, Boise, Idaho 83724. 19106. Area Counsel’s Office, IRS, 219 South Area Counsel’s Office, IRS, 7119 PJKK Area Counsel’s Office, IRS, Room 4100, 101 Dearborn Street, Room 1342, Chicago, Illinois 60604. Federal Building, 300 Ala Moana West Lombard Street, Baltimore, Maryland Area Counsel’s Office, IRS, 439 Federal Boulevard, Honolulu, Hawaii 96850. 21201. Building, 210 Walnut Street, Des Moines, Area Counsel’s Office, IRS, Fourth Floor, Area Counsel’s Office, IRS, Room 904, 970 Iowa 50309. Chet Holifield Building, 24000 Avila Road, Broad Street, Newark, New Jersey 07102. Area Counsel’s Office, IRS, Room 242, Laguna Niguel, California 92656. Area Counsel’s Office, IRS, 1001 Liberty Federal Building, 301 South Park Avenue, Area Counsel’s Office, IRS, 4750 Oakey, Suite Center, Room 601 C, Pittsburgh, Helena, Montana 59626. 403, Las Vegas, Nevada 89102. Pennsylvania 15222. Area Counsel’s Office, IRS, 2700 Federal Area Counsel’s Office, IRS, 3018 Federal Area Counsel’s Office, IRS, 2727 Enterprise Office Building, 911 Walnut Street, Kansas Building, 300 N. Los Angeles Street, Los Parkway, First Floor, Richmond, Virginia City, Missouri 64106. Angeles, California 90012. 23240. Area Counsel’s Office, IRS, 760 Henry Reuss Area Counsel’s Office, IRS, 222 SW. Area Counsel’s Office, IRS, 4620 Wisconsin Federal Plaza, Suite 760, 310 West Columbia, Suite 450, Portland, Oregon Wisconsin Avenue, Milwaukee, Wisconsin Avenue, NW., Fourth Floor, Washington, 97201. 53203. DC 20016. Area Counsel’s Office, IRS, 4330 Watt Area Counsel’s Office, IRS, 3101 Federal Area Counsel’s Office, IRS, Suite 1400, 401 Avenue, Suite 470, North Highlands, West Peachtree Street, NW., Atlanta, Building, 215 North Seventeenth Street, Omaha, Nebraska 68101. California 95660. Georgia 30365. Area Counsel’s Office, IRS, Suite 901, 701 B Area Counsel’s Office, IRS, Room 340, 500 Area Counsel’s Office, IRS, Room 720, 320 West Washington Street, Springfield, Street, San Diego, California 92101. Twenty-second Street, South, Birmingham, Area Counsel’s Office, IRS, Room 504, 160 Alabama 35233. Illinois 62701. Area Counsel’s Office, IRS, Third Floor, Spear Street, San Francisco, California Area Counsel’s Office, IRS, Room 509, 320 Chouteau Center, 133 S. Eleventh Street, 94105. Federal Place, Greensboro, North Carolina St. Louis, Missouri 63102. Area Counsel’s Office, IRS, Suite 505, 55 27401. Area Counsel’s Office, IRS, Galtier Plaza, South Market Street, San Jose, California Area Counsel’s Office, IRS, Box 35027, Suite 650, 175 East Fifth Street, St. Paul, 95113. Federal Office Building, 400 West Bay Minnesota 55101. Area Counsel’s Office, IRS, 2710 Federal Street, Room 564, Jacksonville, Florida Area Counsel’s Office, IRS, 5338 Montgomery Building, 915 Second Avenue, Seattle, 32202. NE Suite 400, Albuquerque, New Mexico Washington 98174. Area Counsel’s Office, IRS, Room 1114, 87109. Area Counsel’s Office, IRS, 950 Hampshire Federal Office Building, 51 SW First Area Counsel’s Office, IRS, Room 601, 300 Road, East Pavilion, Thousand Oaks, Avenue, Miami, Florida 33130. East Eighth Street, Austin, Texas 78701. California 91361. Area Counsel’s Office, IRS, Room 703, U.S. Area Counsel’s Office, IRS, Room 12A24, Courthouse, 801 Broadway, Nashville, Stop 2000 DAL, 1100 Commerce Street, [FR Doc. 01–29878 Filed 12–7–01; 8:45 am] Tennessee 37203–3814. Dallas, Texas 75242. BILLING CODE 4830–01–P
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Part IV
Department of Agriculture Cooperative State Research, Education, and Extension Service
Special Research Grants Program, Potato Research: Request for Applications and Request for Input; Notice
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DEPARTMENT OF AGRICULTURE Avenue, SW.; Washington, DC 20250– C. Conflicts-of-Interest and Confidentiality 2245. Part V—Grant Awards Cooperative State Research, Written stakeholder comments should A. General Education, and Extension Service be submitted by mail to: Policy and B. Organizational Management Information Program Liaison Staff; Office of C. Grant Award Document and Notice of Special Research Grants Program, Grant Award Extramural Programs; USDA-CSREES; Part VI—Additional Information Potato Research: Request for STOP 2299; 1400 Independence Applications and Request for Input A. Access to Review Information Avenue, SW.; Washington, DC 20250– B. Use of Funds; Changes AGENCY: Cooperative State Research, 2299; or via e-mail to: RFP- C. Expected Program Outputs and Education, and Extension Service, [email protected]. (This e-mail address Reporting Requirements USDA. is intended only for receiving comments D. Applicable Federal Statutes and regarding this RFA and not requesting Regulations ACTION: Notice of Request for information or forms.) In your E. Confidential Aspects of Applications Applications and Request for Input. comments, please state that you are and Awards F. Regulatory Information SUMMARY: The Cooperative State responding to the Special Research Research, Education, and Extension Grants Program, Potato Research RFA. A. Legislative Authority and Service (CSREES) announces the FOR FURTHER INFORMATION: Applicants Background availability of grant funds and requests and other interested parties are The authority for this program is applications for the Special Research encouraged to contact Ann Marie Thro; contained in subsection (c)(1)(B) of Grants Program, Potato Research (Potato telephone: 202–401–6702; fax: 202– section 2 of the Competitive, Special, Research) for fiscal year (FY) 2002 to 401–4888; email: [email protected]. and Facilities Research Grant Act, of facilitate or expand ongoing State- SUPPLEMENTARY INFORMATION: Pub. L. No. 89–106, as amended (7 Federal food and agricultural research Catalog of Federal Domestic Assistance U.S.C. 450i(c)(1)(B)). Only section programs. The amount available for 3400.1, Applicability of regulations, support of this program in FY 2002 will This program is listed in the Catalog subpart C, Peer and Merit Review be approximately between $1,447,000 of Federal Domestic Assistance under Arranged by Grantees, and subpart D, and $1,600,000. number 10.200. Annual Reports, of the administrative This notice identifies the objectives Stakeholder Input regulations at 7 CFR part 3400 for the for Potato Research projects, the Special Grants Programs awarded under CSREES is requesting comments eligibility criteria for projects and the authority of section 2(c) of this Act regarding this RFA from any interested applicants, and the application forms (7 U.S.C. 450i(c)) apply to grants party. These comments will be and associated instructions needed to solicited and awarded under subsection considered in the development of the apply for a Potato Research grant. (c)(1)(B). next RFA for the program. Such By this notice, CSREES additionally In accordance with the statutory comments will be used to meet the requests stakeholder input from any authority, grants awarded under this requirements of section 103(c)(2) of the interested party for use in the program will be for the purpose of Agricultural Research, Extension, and development of the next Request for facilitating or expanding ongoing State- Education Reform Act of 1998 (7 U.S.C. Applications (RFA) for this program. Federal food and agricultural research 7613(c)(2)). This section requires the DATES: Applications must be received programs that— Secretary to solicit and consider input by close of business (COB) on January (i) Promote excellence in research on on a current RFA from persons who 21, 2002 (5:00 p.m. Eastern Time). a regional and national level; (ii) conduct or use agricultural research, Applications received after this promote the development of regional education and extension for use in deadline will not be considered for research centers; (iii) promote the formulating future RFA’s for funding. Comments regarding this RFA research partnership between the competitive programs. Comments are requested within six months from Department of Agriculture, colleges and should be submitted as provided for in the issuance of this notice. Comments universities, research foundations, and the ADDRESSES and DATES portions of received after that date will be State agricultural experiment stations this Notice. considered to the extent practicable. for regional research efforts; and (iv) ADDRESSES: The address for hand- Table of Contents facilitate coordination and cooperation delivered applications or applications Part I—General Information of research among States through submitted using an express mail or A. Legislative Authority and Background regional research grants. overnight courier service is: Special B. Purpose, Priorities, and Fund B. Purpose, Priorities, and Fund Research Grants Program, Potato Availability Availability Research; c/o Proposal Services Unit; C. Definitions Cooperative State Research, Education, D. Eligibility The purpose of this grant program is E. Indirect Costs and Extension Service; U.S. Department F. Matching Requirements to support potato research that focuses of Agriculture; Room 1307, Waterfront G. Funding Restrictions on varietal development/testing. As Centre; 800 9th Street, SW.; H. Types of Applications used herein, varietal development/ Washington, DC 20024; Telephone: Part II—Program Description testing is research using traditional and (202)401–5048. A. Project Types biotechnological genetics to develop Applications sent via the U.S. Postal B. Applicant Peer Review Requirements improved potato variety(ies). Aspects of Service must be sent to the following Part III—Preparation of an Application evaluation, screening and testing must address: Special Research Grants A. Program Application Materials support or complement the B. Content of Applications Program, Potato Research; c/o Proposal C. Submission of Applications development of improved varieties. Services Unit; Cooperative State D. Acknowledgment of Applications There is no commitment by USDA to Research, Education, and Extension Part IV—Review Process fund any particular application or to Service; U.S. Department of Agriculture; A. General make a specific number of awards. STOP 2245; 1400 Independence B. Evaluation Criteria Approximately between $1,447,000 and
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$1,600,000 will be available to fund Project means the particular activity H. Types of Applications applications in FY 2002. within the scope of the program In FY 2002, applications may be supported by a grant award. C. Definitions submitted to the Potato Research Project period means the total length Program as one of the following three For the purpose of this program, the of time as stated in the award document types of requests: following definitions are applicable: and modifications thereto, if any, during (1) New application. This is a project Administrator means the which Federal sponsorship begins and application that has not been previously Administrator of the Cooperative State ends. submitted to the Potato Research Research, Education, and Extension Secretary means the Secretary of Program. All new applications will be Service (CSREES) and any other officer Agriculture and any other officer or reviewed competitively using the or employee of the Department to whom employee of the Department to whom selection process and evaluation criteria the authority involved may be the authority involved is delegated. described in Part IV—Review Process. delegated. (2) Renewal application. This is a D. Eligibility Authorized departmental officer project application that requests (ADO) means the Secretary or any Applications may be submitted by additional funding for a project beyond employee of the Department with State agricultural experiment stations, the period that was approved in an delegated authority to issue or modify land-grant colleges and universities, original or amended award. grant instruments on behalf of the research foundations established by Applications for renewed funding must Secretary. land-grant colleges and universities, contain the same information as Authorized organizational colleges and universities receiving required for new applications, and representative (AOR) means the funds under the Act of October 10, additionally must contain a Progress president, or chief executive officer of 1962, as amended (16 U.S.C. 582a et Report (see Project Description, Part the applicant organization or the seq.), and accredited schools or colleges III.B.6). Renewal applications must be official, designated by the president or of veterinary medicine. The proposals received by the relevant due dates, will chief executive officer of the applicant must be directly related to potato be evaluated in competition with other organization, who has the authority to varietal development/testing. Although pending applications in appropriate commit the resources of the an applicant may be eligible based on its area to which they are assigned, and organization. status as one of these entities, other will be reviewed according to the same Budget period means the interval of factors may exclude an applicant from evaluation criteria as new applications. time (usually 12 months) into which the receiving Federal assistance under this (3) Resubmitted application. This is project period is divided for budgetary program (e.g., debarment or suspension, an application that had previously been and reporting purposes. a determination of non-responsibility submitted to the Potato Research Program but not funded. Project Department or USDA means the based on submitted organizational Directors (PD’s) must respond to the United States Department of management information, etc.). Award previous review panel summary (see Agriculture. recipients may subcontract to organizations not eligible to apply Response to Previous Review, Part Grantee means the organizaton provided such organizations are III.B.5). Resubmitted applications must designated in the grant award document necessary for the conduct of the project. be received by the relevant due dates, as the responsible legal entity to which will be evaluated in competition with a grant is awarded. E. Indirect Costs other pending applications in Peer review is an evaluation of a Pursuant to Section 1473 of the appropriate area to which they are proposed project for scientific or National Agriculture Research, assigned, and will be reviewed technical quality and relevance Extension, and Teaching Policy Act of according to the same evaluation criteria performed by experts with the scientific 1977, as amended, 7 U.S.C. 3319, as new applications. knowledge and technical skills to indirect costs are not allowable costs Part II—Program Description conduct the proposed work or to give under section 2(c)(1)(B) projects, and no expert advice on the merits of a funds will be approved for this purpose. A. Project Types proposal. Further, costs that are a part of an Each proposal submitted in FY 2002 Peer reviewers means experts or institution’s indirect cost pool (e.g., shall request funding for a period not to consultants qualified by training and administrative or clerical salaries) may exceed one year. Funding for additional experience to give expert advice on the not be reclassified as direct costs for the years will depend upon the availability scientific and technical merit of grant purpose of making them allowable. of funds and progress toward objectives. applications or the relevance of those F. Matching Requirements FY 2002 awardees would need to applications to one or more of the recompete in future years for additional proposal evaluation criteria. Peer Cost-sharing is not required nor will funding. reviewers may be ad hoc or convened as it be a factor in the awarding of any a panel. grant. B. Applicant Peer Review Requirements Project Director means the single Subsection (c)(5)(A) of the G. Funding Restrictions individual designated by the grantee in Competitive, Special, and Facilities the grant application and approved by CSREES has determined that grant Research Grant Act, as amended (7 the Authorized Departmental Officer funds awarded under this authority may U.S.C. 450i(c)(5)(A)) requires applicants who is responsible for the direction and not be used for renovation or to conduct a scientific peer review of a management of the project (also known refurbishment of research, education, or proposed research project in accordance as a principal investigator for research extension space; the purchase or with regulations promulgated by the activities). installation of fixed equipment in such Secretary prior to the Secretary making Prior approval means written space; or the planning, repair, a grant award under this authority. approval evidencing prior consent by an rehabilitation, acquisition, or Regulations implementing this authorized departmental officer. construction of buildings or facilities. requirement are set forth in 7 CFR
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3400.20 and 3400.21. The regulations address (not e-mail) and phone number 2. Proposal Cover Page (Form CSREES– impose the following requirements for to [email protected]. State that you want 2002) scientific peer review by applicants of a copy of the RFA and the associated a. Page A proposed research projects: application forms for Special Research 1. Credible and independent. Review Grants Program, Potato Research. Each copy of each grant application arranged by the grantee must provide for must contain a ‘‘Proposal Cover Page’’, B. Content of Applications a credible and independent assessment Form CSREES–2002. One copy of the of the proposed project. A credible 1. General application, preferably the original, must contain the pen-and-ink review is one that provides an appraisal Use the following guidelines to of technical quality and relevance signature(s) of the proposing PD’s and prepare an application. Proper the authorized organizational sufficient for an organizational preparation of applications will assist representative to make an informed representative (AOR), the individual reviewers in evaluating the merits of who possesses the necessary authority judgment as to whether the proposal is each application in a systematic, appropriate for submission for Federal to commit the organization’s time and consistent fashion: other relevant resources to the project. support. To provide for an independent (a) Prepare the application on only review, such review may include USDA If there are more than four co-PD’s for one side of the page using standard size an application, please list additional co- employees, but should not be conducted 1 ″ × ″ (8 ⁄2 11 ) white paper, one-inch PD’s on a separate sheet of paper (with solely by USDA employees. margins, typed or word processed using 2. Notice of completion and retention appropriate information and signatures) no type smaller than 12 point font, and and attach to the Proposal Cover Page of records. A notice of completion of the single or double spaced. Use an easily review shall be conveyed in writing to (Form CSREES–2002). Any proposed PD readable font face (e.g., Geneva, or co-PD whose signature does not CSREES either as part of the submitted Helvetica, Times Roman). proposal or prior to the issuance of an appear on Form CSREES–2002 or (b) Number each page of the attached additional sheets will not be award, at the option of CSREES (Part III. application sequentially, starting with B. 15.). The written notice constitutes listed on any resulting grant award. the Project Description, including the Complete both signature blocks located certification by the applicant that a budget pages, required forms, and any review in compliance with these at the bottom of the ‘‘Proposal Cover appendices. Page’’ form. Please note that Form regulations has occurred. Applicants are (c) Staple the application in the upper not required to submit results of the CSREES–2002 is comprised of two left-hand corner. Do not bind. An parts—Page A which is the ‘‘Proposal review to CSREES; however, proper original and 18 copies (19 total) must be documentation of the review process Cover Page’’ and Page B which is the submitted in one package, along with 2 ‘‘Personal Data on Project Director.’’ and results should be retained by the additional copies of the ‘‘Project applicant. Form CSREES–2002 serves as a source Summary,’’ Form CSREES–2003, as a document for the CSREES grant 3. Renewal and supplemental grants. separate attachment. Review by the grantee is not database; it is therefore important that it (d) Include original illustrations be accurately completed in its entirety, automatically required for renewal or (photographs, color prints, etc.) in all supplemental grants as defined in 7 CFR especially the e-mail addresses copies of the application to prevent loss requested in blocks 4.c. and 18.c. 3400.6. A subsequent grant award will of meaning through poor quality require a new review if, according to However, the following items are reproduction. highlighted as having a high potential CSREES, either the funded project has (e) The contents of the application changed significantly, other scientific for errors or misinterpretations: should be assembled in the following (a) Type of Performing Organization discoveries have affected the project, or order: the need for the project has changed. (Block 6A and 6B). (1) Proposal Cover Page (Form For block 6A, a check should be Note that a new review is necessary CSREES–2002) placed in the appropriate box to identify when applying for another standard or (2) Table of Contents the type of organization which is the continuation grant after expiration of (3) Project Summary (Form CSREES– legal recipient named in block 1. Only the grant term. 2003) one box should be checked. For block (4) Response to Previous Review Part III—Preparation of an Application (5) Project Description 6B, please check as many boxes that apply to the affiliation of the PD listed A. Program Application Materials (6) References (7) Appendices to Project Description in block 16. Program application materials are (8) Key Personnel (b) Title of Proposed Project (Block 7). available at the CSREES Funding (9) Collaborative Arrangements The title of the project must be brief Opportunities web site (http:// (including Letters of Support) (140-character maximum, including www.reeusda.gov/1700/funding/ (10) Conflict-of-Interest List (Form spaces), yet represent the major thrust of ourfund.htm). If you do not have access CSREES–2007) the effort being proposed. Project titles to the web page or have trouble (11) Budget (Form CSREES–2004) are read by a variety of nonscientific downloading material and you would (12) Budget Narrative people; therefore, highly technical like a hardcopy, you may contact the (13) Matching words or phraseology should be avoided Proposal Services Unit, Office of (14) Current and Pending Support where possible. In addition, Extramural Programs, USDA/CSREES at (Form CSREES–2005) introductory phrases such as (202) 401–5048. When calling the (15) Assurance Statement(s) (Form ‘‘investigation of,’’ ‘‘research on,’’ Proposal Services Unit, please indicate CSREES–2008) ‘‘education for,’’ or ‘‘outreach that’’ that you are requesting the RFA and (16) Compliance with the National should not be used. associated application forms for the Environmental Policy Act (NEPA) (Form (c) Program to Which You Are Special Research Grants Program, Potato CSREES–2006) Applying (Block 8). Enter Special Research. These materials also may be (17) Page B, Proposal Cover Page Research Grants Program, Potato requested via Internet by sending a (Form CSREES–2002), Personal Data on Research. The reference to Program Area message with your name, mailing Project Director (i.e., name of the program component)
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and Number should be ignored in this addition to the title of the project. The c. Methods: The procedures or block. summary should be a self-contained, methodology to be applied to the (d) Type of Request (Block 14). Check specific description of the activity to be proposed effort should be explicitly the appropriate box. undertaken and should focus on: overall stated. This section should include but (e) Project Director (PD) (Blocks 16– project goal(s) and supporting not necessarily be limited to: 19). Blocks 16–18 are used to identify objectives; plans to accomplish project (1) A description of stakeholder the PD and Block 19 to identify co-PD’s. goal(s); and relevance of the project to involvement in problem identification, If needed, additional co-PD’s may be the goals of the Potato Research planning, implementation and listed on a separate sheet of paper and Program. The importance of a concise, evaluation; attached to Form CSREES–2002, the informative Project Summary cannot be (2) A description of the proposed Proposal Cover Page, with the overemphasized. If there are more than project activities in the sequence in applicable co-PD information and four co-PD’s for an application, please which it is planned to carry them out; signatures. Listing multiple co-PD’s, list additional co-PD’s on a separate (3) Techniques to be employed, beyond those required for genuine sheet of paper (with appropriate including their feasibility and rationale collaboration, is discouraged. information) and attach to the Project for their use in this project; (f) Other Possible Sponsors (Block 21). Summary (Form CSREES–2003). (4) Kinds of results expected; List the names or acronyms of all other (5) Means by which data will be public or private sponsors including 5. Response to Previous Review analyzed or interpreted; other agencies within USDA to which This requirement only applies to (6) Pitfalls that might be encountered; your application has been or might be ‘‘Resubmitted Applications’’ as and sent. In the event you decide to send described under Part I, H, ‘‘Types of (7) Limitations to proposed your application to another organization Applications.’’ Project Directors (PD’s) procedures. or agency at a later date, you must must respond to the previous review d. Cooperation and Institutional Units inform the identified CSREES program panel summary on no more than one Involved: Cooperative, multi- contact as soon as practicable. page, titled ‘‘RESPONSE TO PREVIOUS institutional and multi-disciplinary Submitting your application to other REVIEW,’’ which is to be placed directly applications are encouraged. Identify potential sponsors will not prejudice its after the ‘‘Project Summary,’’ Form each institutional unit contributing to review by CSREES; however, submitting CSREES–2003. the project and designate the lead the same (i.e., duplicate) application to institution or institutional unit. When 6. Project Description another CSREES program is not appropriate, the project should be permissible. Please Note: The Project Description coordinated with the efforts of other shall not exceed 20 pages of written text State and/or national programs. Clearly b. Page B and up to five additional pages for define the roles and responsibilities of Page B should be submitted only with figures and tables. This maximum (25 each institutional partner of the project the original signature copy of the pages) has been established to ensure team. application and should be placed as the fair and equitable competition. The e. Facilities and Equipment: All last page of the original copy of the Project Description must include all of facilities which are available for use or application. This page contains personal the following: assignment to the project during the data on the PD(s). CSREES requests this a. Introduction: A clear statement of requested period of support should be information in order to monitor the the long-term goal(s) and supporting reported and described briefly. All items operation of its review and awards objectives of the proposed activities of major equipment or instrumentation processes. This page will not be should be included. Summarize the available for use or assignment to the duplicated or used during the review body of knowledge or other past proposed project should be itemized. In process. Please note that failure to activities which substantiate the need addition, items of nonexpendable submit this information will in no way for the proposed project. Describe equipment needed to conduct and bring affect consideration of your application. ongoing or recently completed the project to a successful conclusion significant activities related to the should be listed, including dollar 3. Table of Contents proposed project including the work of amounts and, if funds are requested for For consistency and ease in locating key project personnel. Preliminary data/ their acquisition, justified. information, each application must information pertinent to the proposed f. Project Timetable: The proposal contain a detailed Table of Contents project should be included. In addition, should outline all important phases as immediately following the proposal this section should include in-depth a function of time, year by year, for the cover page. The Table of Contents information on the following, when entire project, including periods beyond should contain page numbers for each applicable: the grant funding period. component of the application. Page (1) Estimates of the magnitude of the g. Renewal Applications: If the numbering should begin with the first issues and their relevance to proposal is a renewal of an existing page of the Project Description. stakeholders and to ongoing State- project supported under the same program, include a clearly identified 4. Project Summary (Form CSREES– Federal food and agricultural research. (2) Role of the stakeholders in summary progress report describing the 2003) problem identification, planning, and results to date. The progress report The application must contain a implementation and evaluation as should contain the following ‘‘Project Summary,’’ Form CSREES– appropriate. information: 2003. The summary should be (3) Reasons for having the work 1. A comparison of actual approximately 250 words, contained performed at the proposing institution. accomplishments with the goals within the box, placed immediately b. Objectives: Clear, concise, established for the active grant; after the Table of Contents, and not complete, and logically arranged 2. The reasons for slippage if numbered. The names and affiliated statement(s) of specific aims of the established goals were not met; and organizations of all PD’s and co–PD’s proposed effort must be included in all 3. Other pertinent information, should be listed on this form, in proposals. including, when appropriate, cost
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analysis and explanation of cost agreed to render these services. The individually listed (with costs) in the overruns or unexpectedly high unit applicant also will be required to same order as the budget and justified costs. provide additional information on on a separate sheet of paper and placed The progress report should be placed consultants and collaborators in the immediately behind the Budget form. immediately after the ‘‘Project budget portion of the application. See 13. Current and Pending Support (Form Summary’’. instructions in the application forms for completing Form CSREES–2004, CSREES–2005) 7. References Budget. All applications must contain Form All references to works cited should CSREES–2005 listing other current be complete, including titles and all co- 11. Conflict-of-Interest List (Form CSREES–2007) public or private support (including in- authors, and should conform to an house support) to which personnel (i.e., acceptable journal format. References A ‘‘Conflict-of-Interest List,’’ Form individuals submitting a vitae in are not considered in the page- CSREES–2007, must be provided for all response to item 9.(b) of this part) limitation for the Project Description. individuals who have submitted a vitae identified in the application have in response to item 9.(b) of this part. 8. Appendices to Project Description committed portions of their time, Each Form CSREES–2007 should list whether or not salary support for Appendices to the Project Description alphabetically, by the last names, the person(s) involved is included in the are allowed if they are directly germane full names of the individuals in the budget. Please follow the instructions to the proposed project. The addition of following categories: (a) All co-authors provided on this form. Concurrent appendices should not be used to on publications within the past four submission of identical or similar circumvent the text and/or figures and years, including pending publications applications to the possible sponsors tables page limitations. and submissions; (b) all collaborators on will not prejudice application review or projects within the past four years, 9. Key Personnel evaluation by the CSREES. However, an including current and planned application that duplicates or overlaps The following should be included, as collaborations; (c) all thesis or substantially with an application applicable: postdoctoral advisees/advisors within already reviewed and funded (or to be (a) The roles and responsibilities of the past four years; and (d) all persons funded) by another organization or each PD and/or collaborator should be in your field with whom you have had agency will not be funded under this clearly described; and a consulting or financial arrangement program. Please note that the project (b) Vitae of the PD and each co-PD, within the past four years, who stand to being proposed should be included in senior associate, and other professional gain by seeing the project funded. This the pending section of the form. personnel. This section should include form is necessary to assist program staff vitae of all key persons who are in excluding from application review 14. Assurance Statement(s) (Form expected to work on the project, those individuals who have conflicts of CSREES–2008) whether or not CSREES funds are interest with the personnel in the grant sought for their support. The vitae application. The program contact must A number of situations encountered should be limited to two (2) pages each be informed of any additional conflicts in the conduct of projects require in length, excluding publications of interest that arise after the application special assurances, supporting listings. The vitae should include a is submitted. documentation, etc., before funding can presentation of academic and research be approved for the project. In addition credentials, as applicable, e.g., earned 12. Budget (Form CSREES–2004) to any other situation that may exist degrees, teaching experience, a. General with regard to a particular project, applications involving any of the employment history, professional Prepare the Budget, Form CSREES– following elements must comply with activities, honors and awards, and 2004, in accordance with instructions the additional requirements as grants received. A chronological list of provided with the application forms. A applicable. all publications in refereed journals budget form is required for each year of during the past four (4) years, including requested support. In addition, a a. Recombinant DNA or RNA Research those in press, must be provided for cumulative budget is required detailing each project member for whom a the requested total support for the As stated in 7 CFR part curriculum vitae is provided. Also list overall project period. The budget form 3015.205(b)(3), all key personnel only those non-refereed technical may be reproduced as needed by identified in the application and all publications that have relevance to the applicants. Funds may be requested endorsing officials of the proposing proposed project. All authors should be under any of the categories listed on the organization are required to comply listed in the same order as they appear form, provided that the item or service with the guidelines established by the on each paper cited, along with the title for which support is requested is National Institutes of Health entitled, and complete reference as these usually allowable under the authorizing ‘‘Guidelines for Research Involving appear in journals. legislation, the applicable statutes, Recombinant DNA Molecules,’’ as revised. If your project proposes to use 10. Collaborative Arrangements regulations, and Federal cost principles, and these program guidelines, and can recombinant DNA or RNA techniques, If it will be necessary to enter into be justified as necessary for the you must so indicate by checking the formal consulting or collaborative successful conduct of the proposed ‘‘yes’’ box in Block 20 of Form CSREES– arrangements with others, such project. Applicants also must include a 2002 (the Proposal Cover Page) and by arrangements should be fully explained budget narrative to justify their budget completing Section A of Form CSREES– and justified. If the consultant(s) or requests (see section b. below.) 2008. For applicable applications collaborator(s) are known at the time of recommended for funding, Institutional application, a vitae or resume should be b. Budget Narrative Biosafety Committee approval is provided. In addition, evidence (e.g., All budget categories, with the required before CSREES funds will be letter of support) should be provided exception of Indirect Costs, for which released. Please refer to the application that the collaborators involved have support is requested, must be forms for further instructions.
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b. Animal Care providing the required certifications. If Project Summary. All copies of the Responsibility for the humane care the project will involve a subcontractor application and the Project Summary and treatment of live vertebrate animals or consultant, the subcontractor/ must be submitted in one package. consultant should submit a Form AD– used in any grant project supported 3. Where To Submit with funds provided by CSREES rests 1048, Certification Regarding Applicants are strongly encouraged to with the performing organization. Debarment, Suspension, Ineligibility submit completed applications via Where a project involves the use of and Voluntary Exclusion—Lower Tier overnight mail or delivery service to living vertebrate animals for Covered Transactions, to the grantee ensure timely receipt by the USDA. The experimental purposes, all key organization for retention in their address for hand-delivered applications personnel identified in an application records. This form should not be or applications submitted using an and all endorsing officials of the submitted to USDA. express mail or overnight courier proposing organization are required to 16. Compliance With the National service is: Special Research Grants comply with the applicable provisions Environmental Policy Act (NEPA) (Form Program, Potato Research; c/o Proposal of the Animal Welfare Act of 1966, as CSREES–2006) Services Unit; Cooperative State amended (7 U.S.C. 2131 et seq., and the As outlined in 7 CFR part 3407 (the Research, Education, and Extension regulations promulgated thereunder by Cooperative State Research, Education, Service; U.S. Department of Agriculture; the Secretary in 9 CFR parts 1, 2, 3, and and Extension Service regulations Room 1307, Waterfront Centre; 800 9th 4 pertaining to the care, handling, and implementing NEPA), the Street, SW.; Washington, DC 20024; treatment of these animals. If your environmental data for any proposed Telephone: (202) 401–5048. project will involve these animals, you project is to be provided to CSREES so Applications sent via the U.S. Postal should check ‘‘yes’’ in block 20 of Form that CSREES may determine whether Service must be sent to the following CSREES–2002 and complete Section B any further action is needed. In some address: Special Research Grants of Form CSREES–2008. In the event a cases, however, the preparation of Program, Potato Research; c/o Proposal project involving the use of live environmental data may not be Services Unit; Cooperative State vertebrate animals results in a grant required. Certain categories of actions Research, Education, and Extension award, funds will be released only after are excluded from the requirements of Service; U.S. Department of Agriculture; the Institutional Animal Care and Use NEPA. STOP 2245; 1400 Independence Committee has approved the project. In order for CSREES to determine Avenue, SW.; Washington, DC 20250– Please refer to the application forms for whether any further action is needed 2245. further instructions. with respect to NEPA, pertinent D. Acknowledgment of Applications c. Protection of Human Subjects information regarding the possible The receipt of all applications will be Responsibility for safeguarding the environmental impacts of a particular acknowledged by e-mail. Therefore, rights and welfare of human subjects project is necessary; therefore, Form applicants are strongly encouraged to used in any grant project supported CSREES–2006, ‘‘NEPA Exclusions provide accurate e-mail addresses, with funds provided by CSREES rests Form,’’ must be included in the where designated, on the Form with the performing organization. application indicating whether the CSREES–2002. If the applicant’s e-mail Guidance on this issue is contained in applicant is of the opinion that the address is not indicated, CSREES will the National Research Act, Pub. L. No. project falls within a categorical acknowledge receipt of the application 93–348, as amended, and implementing exclusion and the reasons therefore. If it by letter. regulations promulgated by the is the applicant’s opinion that the If the applicant does not receive an Department under 7 CFR Part 1c. If you proposed project falls within the acknowledgment within 60 days of the propose to use human subjects in your categorical exclusions, the specific submission deadline, please contact the project, you should check the ‘‘yes’’ box exclusion(s) must be identified. program contact. Once the application in Block 20 of Form CSREES–2002 and Even though a project may fall within has been assigned an application complete Section C of Form CSREES– the categorical exclusions, CSREES may number, please cite that number on all 2008. Please refer to the application determine that an Environmental future correspondence. forms for additional instructions. Assessment or an Environmental Impact Statement is necessary for an activity, if Part IV—Review Process 15. Certifications substantial controversy on By signing Form CSREES–2002, the environmental grounds exists or if other A. General AOR of the applicant institution is extraordinary conditions or Each application will be evaluated in providing the required certification that circumstances are present which may a 2-part process. First, each application the full proposal has received a credible cause such activity to have a significant will be screened to ensure that it meets and independent peer review arranged environmental effect. the administrative requirements as set by the institution (see Part II. A.). C. Submission To Applications forth in this RFA. Second, applications Note that by signing Form CSREES– that meet these requirements will be 2002 the applicant is providing the 1. When To Submit (Deadline Date) technically evaluated by a review panel. certifications required by 7 CFR part Applications must be received by Reviewers will be selected based 3017, regarding Debarment and COB on on January 21, 2002 (5:00 p.m. upon training and experience in Suspension and Drug-Free Workplace, Eastern Time). Applications received relevant scientific, extension, or and 7 CFR part 3018, regarding after this deadline will not be education fields, taking into account the Lobbying. The certification forms are considered for funding. following factors: (a) The level of included in the application package for relevant formal scientific, technical informational purposes only. These 2. What To Submit education, or extension experience of forms should not be submitted with the An original and 18 copies must be the individual, as well as the extent to application since by signing Form submitted. In addition submit two which an individual is engaged in CSREES–2002 your organization is additional copies of the application’s relevant research, education, or
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extension activities; (b) the need to C. Conflicts of Interest and B. Organizational Management include as reviewers experts from Confidentiality Information various areas of specialization within relevant scientific, education, or During the peer evaluation process, Specific management information extension fields; (c) the need to include extreme care will be taken to prevent relating to an applicant shall be as reviewers other experts (e.g., any actual or perceived conflicts of submitted on a one-time basis as part of producers, range or forest managers/ interest that may impact review or the responsibility determination prior to operators, and consumers) who can evaluation. For the purpose of the award of a grant identified under assess relevance of the applications to determining conflicts of interest, the this RFA, if such information has not targeted audiences and to program academic and administrative autonomy been provided previously under this or another CSREES program. CSREES will needs; (d) the need to include as of an institution shall be determined by provide copies of forms recommended reviewers experts from a variety of reference to the 2002 Higher Education organizational types (e.g., colleges, for use in fulfilling these requirements Directory, published by Higher as part of the preaward process. universities, industry, state and Federal Education Publications, Inc., 6400 agencies, private profit and non-profit Although an applicant may be eligible Arlington Boulevard, Suite 648, Falls based on its status as one of these organizations) and geographic locations; Church, Virginia 22042. Phone: (703) (e) the need to maintain a balanced entities, there are factors which may 532–2300. Web site: http:// exclude an applicant from receiving composition of reviewers with regard to www.hepinc.com. minority and female representation and Federal financial and nonfinancial an equitable age distribution; and (f) the Names of submitting institutions and assistance and benefits under this need to include reviewers who can individuals, as well as application program (e.g., debarment or suspension judge the effective usefulness to content and peer evaluations, will be of an individual involved or a producers and the general public of kept confidential, except to those determination that an applicant is not each application. involved in the review process, to the responsible based on submitted extent permitted by law. In addition, the organizational management B. Evaluation Criteria identities of peer reviewers will remain information). The evaluation criteria below will be confidential throughout the entire C. Grant Award Document and Notice of used in reviewing applications review process. Therefore, the names of Grant Award submitted in response to this RFA: the reviewers will not be released to applicants. At the end of the fiscal year, The grant award document shall include at a minimum the following: I. Relevance names of panelists will be made available in such a way that the (1) Legal name and address of Relevance and importance of performing organization or institution to proposed research to specific problems panelists cannot be identified with the review of any particular application. whom the Administrator has awarded a or opportunities; value of expected grant under the terms of this request for results for States beyond the State in Part V—Grant Awards applications; which the project leader resides and (2) Title of project; will perform the work—20 points. A. General (3) Name(s) and institution(s) of PD’s II. Quality Within the limit of funds available for chosen to direct and control approved such purpose, the awarding official of activities; Overall scientific and technical CSREES shall make grants to those quality of the proposal and the specific (4) Identifying grant number assigned approach proposed—20 points. responsible, eligible applicants whose by the Department; applications are judged most (5) Project period, specifying the III. Feasibility meritorious under the procedures set amount of time the Department intends forth in this RFA. The date specified by to support the project without requiring Feasibility of attaining objectives; the awarding official of CSREES as the recompetition for funds; adequacy of training, experience, facilities, and equipment—20 points. effective date of the grant shall be no (6) Total amount of Departmental later than September 30 of the Federal financial assistance approved by the IV. Participation fiscal year in which the project is Administrator during the project period; approved for support and funds are Proposals that provide evidence of (7) Legal authority(ies) under which appropriated for such purpose, unless cooperation or involvement of multiple the grant is awarded; otherwise permitted by law. It should be institutions or states—5 points. (8) Appropriate Catalog of Federal noted that the project need not be Domestic Assistance (CFDA) number; Proposals that list more than one state initiated on the grant effective date, but as recipient of funds—10 points. (9) Approved budget plan for as soon thereafter as practical so that categorizing allocable project funds to Evidence of stakeholder participation, project goals may be attained within the accomplish the stated purpose of the including growers, in developing the funded project period. All funds granted grant award; and project objectives—5 points. by CSREES under this RFA shall be (10) Other information or provisions Stakeholder participation in project expended solely for the purpose for deemed necessary by CSREES to carry implementation or monitoring—5 which the funds are granted in out its respective granting activities or points. accordance with the approved to accomplish the purpose of a application and budget, the regulations, V. Co-Funding particular grant. the terms and conditions of the award, The notice of grant award, in the form Proposals that provide evidence of the applicable Federal cost principles, of a letter, will be prepared and will funding from identified state, regional, and the Department’s assistance provide pertinent instructions or or industry sources (e.g., check-off regulations (parts 3015 and 3019 of 7 information to the grantee that is not programs)—15 points. CFR). included in the grant award document.
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Part VI—Additional Information grantee and approval in writing by the Environmental Policy Act of 1969, as ADO, unless prescribed otherwise in the amended. A. Access to Review Information terms and conditions of a grant. 29 U.S.C. 794 (section 504, Copies of reviews, not including the f. Changes in Approved Budget: Rehabilitation Act of 1973) and 7 CFR identity of reviewers, and a summary of Changes in an approved budget must be Part 15b (USDA implementation of the panel comments will be sent to the requested by the grantee and approved statute)— prohibiting discrimination applicant PD after the review process in writing by the ADO prior to based upon physical or mental handicap has been completed. instituting such changes if the revision in Federally assisted programs. B. Use of Funds; Changes will involve transfers or expenditures of amounts requiring prior approval as set 35 U.S.C. 200 et seq.—Bayh-Dole Act, 1. Delegation of Fiscal Responsibility forth in the applicable Federal cost controlling allocation of rights to Unless the terms and conditions of principles, Departmental regulations, or inventions made by employees of small the grant state otherwise, the grantee grant award. business firms and domestic nonprofit organizations, including universities, in may not in whole or in part delegate or C. Applicable Federal Statutes and Federally assisted programs transfer to another person, institution, Regulations or organization the responsibility for use (implementing regulations are contained or expenditure of grant funds. Several Federal statutes and in 37 CFR part 401). regulations apply to grant applications 2. Changes in Project Plans considered for review and to project D. Confidential Aspects of Applications a. The permissible changes by the grants awarded under this program. and Awards grantee, PD(s), or other key project These include, but are not limited to: 7 CFR Part 1.1—USDA When an application results in a personnel in the approved project grant grant, it becomes a part of the record of shall be limited to changes in implementation of the Freedom of Information Act. CSREES transactions, available to the methodology, techniques, or other public upon specific request. similar aspects of the project to expedite 7 CFR Part 3—USDA implementation of OMB Circular No. A–129 regarding Information that the Secretary achievement of the project’s approved determines to be of a confidential, goals. If the grantee or the PD(s) is debt collection. 7 CFR Part 15, subpart A—USDA privileged, or proprietary nature will be uncertain as to whether a change implementation of Title VI of the Civil held in confidence to the extent complies with this provision, the Rights Act of 1964, as amended. permitted by law. Therefore, any question must be referred to the 7 CFR Part 3015—USDA Uniform information that the applicant wishes to Authorized Departmental Officer (ADO) Federal Assistance Regulations, have considered as confidential, for a final determination. The ADO is implementing OMB directives (i.e., privileged, or proprietary should be the signatory of the award document, OMB Circular Nos. A–21 and A–122) clearly marked within the application. not the program contact. and incorporating provisions of 31 The original copy of an application that b. Changes in approved goals or U.S.C. 6301–6308 (formerly the Federal does not result in a grant will be objectives shall be requested by the Grant and Cooperative Agreement Act of retained by the Agency for a period of grantee and approved in writing by the 1977, Pub. L. No. 95–224), as well as one year. Other copies will be ADO prior to effecting such changes. In general policy requirements applicable destroyed. Such an application will be no event shall requests for such changes to recipients of Departmental financial released only with the consent of the be approved which are outside the assistance. scope of the original approved project. applicant or to the extent required by 7 CFR Part 3017—USDA law. An application may be withdrawn c. Changes in approved project implementation of Governmentwide leadership or the replacement or at any time prior to the final action Debarment and Suspension thereon. reassignment of other key project (Nonprocurement) and personnel shall be requested by the Governmentwide Requirements for E. Regulatory Information grantee and approved in writing by the Drug-Free Workplace (Grants). ADO prior to effecting such changes. 7 CFR Part 3018—USDA For the reasons set forth in the final d. Transfers of actual performance of implementation of Restrictions on Rule-related Notice to 7 CFR part 3015, the substantive programmatic work in Lobbying. Imposes prohibitions and subpart V (48 FR 29114, June 24, 1983), whole or in part and provisions for requirements for disclosure and this program is excluded from the scope payment of funds, whether or not certification related to lobbying on of the Executive Order 12372 which Federal funds are involved, shall be recipients of Federal contracts, grants, requires intergovernmental consultation requested by the grantee and approved cooperative agreements, and loans. with State and local officials. Under the in writing by the ADO prior to effecting 7 CFR Part 3019—USDA provisions of the Paperwork Reduction such transfers, unless prescribed implementation of OMB Circular A– Act of 1995 (44 U.S.C. chapter 35), the otherwise in the terms and conditions of 110, Uniform Administrative collection of information requirements the grant. Requirements for Grants and Other contained in this Notice have been e. Changes in Project Period: The Agreements With Institutions of Higher approved under OMB Document No. project period may be extended by Education, Hospitals, and Other 0524–0039. CSREES without additional financial Nonprofit Organizations. Done at Washington, DC, this 3rd day of support, for such additional period(s) as 7 CFR Part 3052—USDA December, 2001. the ADO determines may be necessary implementation of OMB Circular No. A– to complete or fulfill the purposes of an 133, Audits of States, Local Colien Hefferan, approved project, but in no case shall Governments, and Non-profit Administrator, Cooperative State Research, the total project period exceed five Organizations. Education, and Extension Service. years. Any extension of time shall be 7 CFR Part 3407—CSREES procedures [FR Doc. 01–30394 Filed 12–7–01; 8:45 am] conditioned upon prior request by the to implement the National BILLING CODE 3410–22–P
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Part V
Department of Transportation Federal Aviation Administration
14 CFR Part 91 Reduced Vertical Separation Minimum; Final Rule
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DEPARTMENT OF TRANSPORTATION Rulemaking’s Web page at http:// these greater numbers of aircraft without www.faa.gov/avr/armhome.htm or the altitude restrictions that can result in Federal Aviation Administration Federal Register Web page at http:// traffic delays and fuel penalties. RVSM www.access.gpo.gov/su_docs/aces/ alleviates the limitation on air traffic 14 CFR Part 91 aces140.html. management at high altitudes imposed [Docket No. FAA–2000–8490; Amdt. No. 91– You can also get a copy by submitting by the conventional 2,000-foot vertical 271] a request to the Federal Aviation separation standard. Increasing the Administration, Office of Rulemaking, number of flight levels available in the RIN 2120–AH12 ARM–1, 800 Independence Avenue WATRS airspace is projected to provide SW., Washington, DC 20591, or by operator benefits similar to those Reduced Vertical Separation Minimum calling (202) 267–9680. Make sure to (RVSM) achieved in the North Atlantic (NAT) identify the amendment number or and Pacific (PAC). Operators will save AGENCY: Federal Aviation docket number of this rulemaking. fuel and time by using optimum Administration (FAA), DOT. Small Business Regulatory Enforcement altitudes and tracks. ACTION: Final rule. Fairness Act In the WATRS airspace, the FAA plans to initially implement RVSM SUMMARY: This final rule amends the list The Small Business Regulatory between FL 310 and FL 390 (inclusive). of airspace locations where Reduced Enforcement Fairness Act (SBREFA) of This is in line with the altitudes in the Vertical Separation Minimum (RVSM) 1996 requires the FAA to comply with NAT. may be applied to include the New York small entity requests for information or Oversight for Implementation Flight Information Region (FIR) portion advice about compliance with statutes of West Atlantic Route System (WATRS) and regulations within its jurisdiction. The New York Oceanic Capacity airspace. RVSM is the reduction of Therefore, any small entity that has a Enhancements Task Force (NYOCETF) vertical separation between aircraft at question regarding this document may (the Task Force), provides oversight for certain higher altitudes. RVSM is contact their local FAA official, or the plans and policy related to: applied only between aircraft that meet person listed under FOR FURTHER 1. Changes to separation minima. stringent altimeter and auto-pilot INFORMATION CONTACT. You can find out 2. Issues relating to traffic performance requirements. The more about SBREFA on the Internet at management. introduction of RVSM in WATRS our site, http://www.faa.gov/avr/arm/ 3. Airspace/ATS Routes. airspace will save operators fuel and sbrefa.htm. For more information on 4. Standardization of ATC and time and will enhance airspace SBREFA, e-mail us at 9–AWA– Operator procedures. capacity. This rule also requires any [email protected]. 5. Contingency procedures. 6. Communication issues. aircraft that is equipped with Traffic Background 7. Status of oceanic ATC automation. Alert and Collision Avoidance System This final rule is based on Notice of The NYOCETF is the body that is version II (TCAS II) and that is flying in developing WATRS RVSM RVSM airspace to incorporate a version Proposed Rulemaking (NPRM) No. 00– 16 published in the Federal Register on implementation plans. The New York of TCAS II that is compatible with Air Route Traffic Control Center RVSM operations. December 18, 2000 (65 FR 79283). That NPRM proposed to amend Appendix G (ARTCC) Plans and Procedures Manager EFFECTIVE DATE: December 10, 2001. of 14 CFR part 91, Operations within chairs the Task Force. The Task Force FOR FURTHER INFORMATION CONTACT: Airspace designated as Reduced Vertical is using the policy and criteria Dave Maloy, Flight Technologies and Separation Minimum (RVSM) Airspace. developed in International Civil Procedures Division, Flight Standards RVSM is the reduction of vertical Aviation Organization (ICAO) forums to Service, AFS–400, Federal Aviation separation between aircraft from 2,000 build the RVSM program for the Administration, 600 Independence feet to 1,000 feet at flight levels (FLs) WATRS airspace. Avenue, SW., Washington, DC 20591, between FL 290 (29,000 feet) and FL 410 History of RVSM telephone (860) 654–1006. (41,000 feet). SUPPLEMENTARY INFORMATION: Rising traffic volume and fuel costs, Statement of the Problem which made flight at fuel-efficient Availability of Rulemaking Documents Air traffic in WATRS airspace has altitudes a priority for operators, You can get an electronic copy using increased steadily in the past few years sparked an interest in the early 1970s in the Internet by taking the following and is projected to continue to increase. implementing RVSM above FL 290. In steps: Between 1997 and 1999, the annual April 1973, the Air Transport (1) Go to the search function of the traffic count in the WATRS airspace Association of America (ATA) Department of Transportation’s increased from 72,020 to 109,044 flights. petitioned the FAA for a rule change to electronic Docket Management System This represents an increase of 51 reduce the vertical separation minimum (DMS) web page (http://dms.dot.gov/ percent. This is a result of a resurgence to 1,000 feet for aircraft operating above search). of activity after several years of FL 290. The petition was denied in 1977 (2) On the search page type in the last economic downturn. The Office of in part because (1) aircraft altimeters four digits of the Docket number shown International Operations for the FAA’s had not been improved sufficiently, (2) at the beginning of this notice. Click on New York Enroute Air Traffic Center improved maintenance and operational ‘‘search.’’ estimates a similar increase over at least standards had not been developed, and (3) On the next page, which contains the next several years, assuming the (3) altitude correction was not available the Docket summary information for the economy stays healthy. A substantial in all aircraft. In addition, the cost of Docket you selected, click on the portion of the increase is the Europe to modifying nonconforming aircraft was document number for the item you wish Caribbean traffic that overflies the prohibitive. The FAA concluded that to view. WATRS airspace. granting the ATA petition at that time You can also get an electronic copy Unless efficiency is improved, the would have adversely affected safety. using the Internet through the Office of FAA may not be able to accommodate Nevertheless, the FAA recognized the
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potential benefits of RVSM under the feasibility of implementing RVSM to design the framework for the NAT certain circumstances and continued to included the following four efforts: airspace system concept; and to prepare review technological developments, 1. FAA Vertical Studies Program. This a general plan for the phased committing extensive resources to program began in mid-1981, with the introduction of the elements of the studying aircraft altitude-keeping objectives of collecting and analyzing concept. The objective of this effort was performance and necessary criteria for data on aircraft performance in to permit significant increases in safely reducing vertical separation maintaining assigned altitude, airspace capacity and improvements in above FL 290. Data showing that RVSM developing program requirements to flight economy. At the meeting of the reduce vertical separation, and implementation is technically and NATSPG in June 1991, all of the NAT providing technical and operational economically feasible has been air traffic service provider States, as published in studies conducted representation on the various working well as the International Air Transport cooperatively in international forums, as groups studying the issue outside the well as separately by the FAA. FAA. Association (IATA) and International Because of the high standard of 2. RTCA Special Committee (SC)–150. Federation of Airline Pilots Association performance and equipment required RTCA, Inc., (formerly Radio Technical (IFALPA), endorsed the Future NAT Air for RVSM, the FAA advocated initial Commission for Aeronautics). This Traffic Services System Concept introduction of RVSM in oceanic committee is an industry organization in Description developed by the NATSPG airspace where special navigation Washington, DC, that addresses aviation Task Force. With regard to the performance standards were already technical requirements and concepts, implementation of RVSM, the Concept required. Special navigation areas and procedures, recommended Description concludes that priority must require high levels of long-range standards. When the FAA hosted a be given to implementation of this navigation precision due to the public meeting in early 1982 on vertical measure as it is believed to be separation standard applied. RVSM separation, it was recommended that achievable within the early part of the implementation in such airspace RTCA be the forum for development of concept timeframe. The NATSPG’s requires an increased level of precision minimum system performance initial goal was to implement RVSM demanded of operators, aircraft, and standards for RVSM. RTCA SC–150 was between 1996 and 1997. To meet this vertical navigation systems. formed in March 1982 to develop goal, the NATSPG established the VSIG On March 27, 1997, RVSM was minimum system performance in June 1991 to take the necessary implemented in one such special requirements, identify required actions to implement RVSM in the NAT. navigation area of operation established improvements to aircraft equipment and These actions included: in the ICAO NAT Region, the NAT changes to operational procedures, and Minimum Navigation Performance assess the impact of the requirements on • Programs, and supporting Specification (MNPS) airspace. In the aviation community. SC–150 served documents, to approve aircraft and designated NAT MNPS airspace, tracks as the focal point for the study and operators for conducting flight in the are spaced 60 nautical miles (NM) apart. development of RVSM criteria and RVSM environment and to address all Between FLS 310 and 390 (inclusive), programs in the United States from 1982 issues related to aircraft airworthiness, aircraft are separated vertically by 1000 to 1987, including analysis of the results maintenance, and operations. The group feet. All aircraft operating in this of the FAA Vertical Studies Program. has produced guidance material for airspace must be appropriately 3. ICAO Review of the General aircraft and operator approval that ICAO equipped and capable of meeting Concept of Separation Panel (RGCSP). has distributed to civil aviation required lateral navigation performance In 1987, the FAA concentrated its authorities and NAT users. Also, ICAO standards of 14 CFR 91.705 and the resources for the development of RVSM has planned that the guidance material vertical navigation performance programs in the ICAO RGCSP. The U.S. be incorporated in the approal process standards of 91.706. Operators must delegation to the ICAO RGCSP used the established by the States. follow procedures that ensure that the material developed by SC–150 as the • navigation standards are met. Flight foundation for U.S. positions and plans Developing the system for crews must also be trained on RVSM on RVSM criteria and programs. The monitoring aircraft altitude-keeping policy and procedures. Each operator, panel’s major conclusions were: performance. This system is used to aircraft, and navigation system • RVSM is technically feasible observe aircraft performance in the combination must receive and maintain without imposing unreasonably vertical plane to determine that the authorization to operate in the NAT demanding technical requirements on approval process is uniformly effective MNPS. The North Atlantic Systems the equipment. and that the RVSM airspace system is Planning Group (NATSPG) Central • RVSM provides significant benefits safe. in terms of economy and en route Monitoring Agency (CMA) monitors • Evaluating and developing Air NAT aircraft fleet performance to ensure airspace capacity. • Implementation of RVSM on either Traffic Control (ATC) procedures for that a safe operating environment is RVSM, conducting simulation studies to maintained. a regional or global basis requires sound In addition, Pacific RVSM was operational judgment supported by an assess the effect of RVSM on ATC, and implemented on February 24, 2000. The assessment of system performance based developing documents to address ATC Asia/Pacific Approval Registry and on: aircraft altitude-keeping capability, issues. Monitoring Agency performs the operational considerations, system The ICAO Limited NAT Regional Air function of the CMA in the Pacific. performance monitoring, and risk Navigation Meeting held in Portugal in assessment. Current Aircraft Capabilities November 1992 endorsed the NATSPG 4. NATSPG and the NATSPG Vertical RVSM implementation program. At that FAA data indicate that the altitude- Separation Implementation Group meeting, it was concluded that RVSM keeping performance of most aircraft (VSIG). The NATSPG Task Force was implementation should be pursued. The flying in oceanic airspace meet the established in 1988 to identify the FAA concurred with the conclusions of standards for RVSM operations. The requirements to be met by the future the NATSPG on RVSM implementation. FAA and ICAO research to determine NAT Region air traffic services system;
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Discussion of Traffic Alert and TCAS II. The rule will, however, require have, however, been found to occur in Collision Avoidance System (TCAS) II, any aircraft that is equipped with TCAS situations where aircraft are on the same Version 7.0 for RVSM Operations II to use Version 7.0 to be approved to track, speed and direction with one Traffic Alert and Collision Avoidance fly in RVSM airspace. nautical mile or less longitudinal System (TCAS) is a general term for Status of TCAS I spacing. equipment that warns pilots of nearby TCAS I is compatible with RVSM How Unnecessary TA’s May Affect aircraft and provides collision operations and no modifications are Safety avoidance protection. It is designed to necessary. serve as a safety back-up to the air traffic TCAS provides an aural TA in the control system. Background of TCAS II Operation in form of the announcement ‘‘Traffic, TCAS I warns pilots of the potential RVSM Airspace Traffic’’ in the cockpit. The ‘‘Traffic, for collision by providing traffic RVSM was implemented in North Traffic’’ announcement repeated over a advisories (TAs). These TAs show Atlantic (NAT) Minimum Navigation period of time distracts the pilot from where another aircraft is relative to the Specifications Airspace (NAT MNPSA) the execution of his or her duties and TCAS-equipped aircraft. TAs generally in March 1997. In preparation for RVSM produces the potential to cause a pilot include the range, altitude, and bearing implementation, the North Atlantic error. As an example, during the flight, of the intruding aircraft. System Planning Group (NATSPG) pilots program navigation computers TCAS II provides both TAs and Operations/Airworthiness (Ops/Air) with a series of numbers representing recommended vertical escape group reviewed the effect that RVSM positions on the route of flight. A maneuvers, known as resolution would have on the operation of TCAS distraction while programming the advisories (RAs) Resolution advisories II, Version 6.04 Enhanced in NAT navigation computer can cause the pilot provide pilots with information to oceanic airspace. The group recognized to make an error that results in the change a flight path or prevent a that TCAS II, Version 6.04 Enhanced aircraft straying from its assigned route maneuver that could cause insufficient was designed with a TA alert threshold and posing a hazard to itself and other separation between airplanes. TCAS II of 1,200 feet for FL 300 through FL 420 aircraft. also coordinates RAs between two and would produce inappropriate TA’s TCAS-equipped airplanes (i.e., each for aircraft that were separated in RVSM Increase in RVSM Operations pilot would receive an RA that would airspace by 1,000 feet vertically, not conflict with the other RA). especially in certain situations. For As air traffic increases in areas where The regulations require under 14 CFR example, the group recognized that in RVSM is currently implemented and as sections 121.356, 125.224, and 135.180, situations where two aircraft were RVSM is implemented in new areas, that certain aircraft must be operated separated by 1,000 feet vertically and there will be more aircraft conducting with TCAS II, or an equivalent, and the one nautical mile or less longitudinally, RVSM flights and increased exposure to appropriate class of Mode S on the same track and proceeding in the distracting TA’s. Air traffic in NAT and transponder. Certain other aircraft may same direction at approximately the Pacific oceanic airspace where RVSM be operated with TCAS I or its same speed, TA’s could be received in has already been implemented is equivalent. Airworthiness Directives the cockpit repeatedly over an extended projected to increase 4–6% each year. issued to the avionics manufacturers in period of time. The group observed, New RVSM implementations are 1994 require that those aircraft that are however, that the traffic levels in planned in the near future in airspace required to be TACS II equipped be oceanic airspace are low relative to over the Western and South Atlantic, equipped with TCAS II, Version 6.04 continental operations and operations the western Pacific, and the Caribbean. Enhanced. Approximately 90% of the are relatively stable (i.e., aircraft The number of RVSM flights will flights now conducted in RVSM generally climb or descend continue to increase and therefore, the airspace are equipped with TCAS II, infrequently). For this reason, it probability of aircraft experiencing version 6.04 Enhanced. concluded that TCAS II, Version 6.04 distracting multiple TA’s will also This rule will require that aircraft Enhanced was acceptable during the increase. operated in RVSM airspace and early stages of RVSM operations in equipped with TCAS II, must be oceanic airspace provided pilots were TCAS II, Version 7.0 Compatibility With modified to incorporate collision informed on the operating RVSM Operations avoidance system logic software Version characteristics of TCAS II, Version 6.04 7.0, or a later version. Version 7.0 is Enhanced operations in RVSM airspace. To avoid the potential for an increase necessary because only Version 7.0 and To inform pilots of the potential in distracting TA’s that can lead to pilot later versions incorporate revised alert problem with Version 6.04, the group errors, those aircraft that are used in thresholds for traffic alerts (TA) and developed and distributed a document RVSM operations that are equipped resolution advisories (RA) for flight to educate pilots on these with TCAS II systems must be modified levels (FL) 300 through FL 420 that are characteristics. The document also to incorporate a version of TCAS that is compatible with RVSM operations. The recommended that pilots limit their compatible with RVSM operations. alert thresholds in Version 6.04 vertical speed to 1,000 feet per minute TCAS II, Version 7.0 was designed to be Enhanced are not totally compatible when close to other aircraft to reduce compatible with RVSM operations and with RVSM operations. The logic for the number of unnecessary alerts. mitigates the occurrence of unnecessary these alert thresholds does not consider RVSM has been implemented for over TA’s in RVSM operations. In TCAD, the reduced separation in RVSM three years in North Atlantic airspace Version 7.0, the TA alert threshold airspace and occasionally causes false and since February 2000 in the Pacific between flight levels 300 and 420 is alerts. oceanic Flight Information Regions. In reduced from 1,200 feet to 850 feet. This This rule will not require aircraft in that time, TCAS II, Version 6.04 revision will eliminate unwarranted RVSM airspace to be equipped with Enhanced has proven generally TA’s between aircraft that are correctly TCAS II. Other rules regulate which acceptable for RVSM operations in separated by 1,000 feet vertically in aircraft are required to be equipped with oceanic airspace. Multiple TA events RVSM airspace.
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ICAO and Foreign Standards regional Supplements call for TCAS II, impact directly related to this rule will ICAO Annexes and civil aviation Version 7.0 equipage for the aircraft be minimal. authorities in foreign countries have specified in Annex 6 by January 1, 2000. RVSM is currently applied only in already established standards and Since Version 7.0 was not widely certain major oceanic airspace outside requirements for specified aircraft to be available from avionics manufacturers, the U.S.—the NAT and Pacific. As equipped with TCAS II, Version 7.0. most aircraft were not able to meet that detailed above, requirements for TCAS ACAS II is the ICAO term that describes date. In response, the Asia/Pacific Air II, Version 7.0 have already been aircraft collision avoidance systems and Navigation Planning and established for operators and aircraft related equipment. To comply with Implementation Regional Group operating outside the US to destinations ICAO ACAS II Standards, Version 7.0 (APAN/PIRG) has adopted a regional in Europe, Asia and the Pacific. Since must be incorporated in TCAS II. The policy that calls for the specified aircraft operators will already be required to aircraft covered and compliance dates to be equipped by January 1, 2002. equip with TCAS II, Version 7.0 to operate in the airspace of most countries for ACAS II (TCAS II, Version 7.0) are North Atlantic Regional Standards for discussed in the paragraph below. in the Pacific and European regions, the ACAS II effect of requiring TCAS II, Version 7.0 Part 91, Section 91.703 Requirements The ICAO Doc 7030 Regional for RVSM operations after March 31, Applicable to U.S. Operations Supplement for the NAT Regional calls 2002 will be minimal. Various countries throughout the for TCAS II, Version 7.0 equipage for the Compliance Date for Version 7.0 world have adopted the ICAO Annex 6 aircraft specified in Annex 6 by March requirements discussed below for ACAS 31, 2001. (The ICAO NAT Region This amendment requires operators to II equipage in their airspace. In some encompasses most of WATRS airspace). incorporate Version 7.0 software into major areas, countries and regions have TCAS II equipped airplanes used in adopted accelerated equipage European Country Requirements for RVSM operations by March 31, 2002. compliance dates. Because 14 CFR ACAS II The following are factors considered in 91.703 requires United States operators The requirements for ACAS II this decision. to comply with the regulations of the equipage in European countries have First, there have not been adequate countries in which they are operating, been published in the European numbers of Version 7.0 units and the ACAS II equipage requirements of Regional Supplements contained in upgrade kits available to operators. foreign countries have already required ICAO DOC 7030. European Supplement TCAS II, Version 7.0 requirement for United States operators to plan to equip paragraph 16.1 (Carriage and operation European airspace was delayed to with Version 7.0. of ACAS II) calls for the aircraft March 31, 2001 for this reason. To allow Section 91.703 is entitled ‘‘Operations specified in Annex 6, Part 1 to be ACAS time for adequate numbers of Version of civil aircraft of U.S. registry outside II equipped by January 1, 2000. In 7.0 units and upgrade kits to be made of the United States’’. Paragraph response to the lack of availability of available following the European 91.703(a)(2) states that each person Version 7.0, the European Civil Aviation compliance date, the FAA is delaying its operating a civil aircraft of U.S. registry Conference (ECAC) member States have TCAS II Version 7.0 requirement for outside the United States shall ‘‘when granted exemptions to allow aircraft to RVSM operations to March 31, 2002. within a foreign country, comply with continue to operate until March 31, This will allow 12 months after the the regulations relating to the flight and 2001 with TCAS, Version 6.04 initial demand for Version 7.0 to meet maneuver of aircraft there in force’’. Enhanced. the European requirement. Second, incorporation of Version 7.0 ICAO Annex 6 Standards for ACAS II Requirements for TCAS II, Version 7.0 in TCAS II unites is not a major aircraft Equipage. in Countries in the Pacific and Asian engineering effort. Incorporation of ICAO Annex 6 (Operation of Aircraft), Regions Version 7.0 is a software change. part 1 (International Commercial Air Existing equipment is removed from the The ICAO Bangkok office has Transport—Aeroplanes), paragraph 6.18 aircraft and the Version 7.0 modification conducted a survey of countries in Asia contains standards calling for TCAS II, is accomplished by an authorized and the Pacific to determine those Version 7.0 (ACAS II) equipage for service facility. Considering these countries that have established or plan specified aircraft by January 1, 2003. factors, the FAA believes establishing a to establish requirements for ACAS II Specifically, it states that all turbine- requirement for incorporation of equipage in their airspace. To date, 28 engined aircraft with a maximum Version 7.0 for operations after March countries have established or are certified take-off mass (gross weight) 31, 2002 will provide adequate time for developing requirements for operators that exceeds 15,000 kg (33,000 pounds) aircraft not affected by the European to equip by the ICAO Annex 6 or authorized to carry more than 30 requirements to comply. passengers shall be equipped with compliance date of January 1, 2003 or ACAS II by January 1, 2003. Annex 6 sooner. This list includes: Australia, Discussion of Comments also calls for all aircraft to be equipped China, Japan, Korea, New Zealand and The FAA received comments on the with a pressure altitude reporting Singapore. proposed rule from the following 6 transponder that operates in accordance Effect of Linking TCAS, II, Version 7.0 organizations: with the relevant provisions of ICAO Equipage to RVSM Operations (1) The Air Traffic Control Annex 10. Association (ATCA). The rule requires aircraft that are used (2) Aircraft Owners and Pilots Asia/Pacific Regional Standards for in RVSM operations and equipped with Association (AOPA). ACAS II TCAS II to be equipped with Version 7.0 (3) Cessna Aircraft Company. The ICAO Regional Supplements for because it is compatible with RVSM (4) General Aviation Manufacturers the Middle East/Asia and the Pacific are operations. Because other countries and Association (GAMA). published in the ICAO document ICAO Regions are already requiring (5) The Department of Defense (DOD). entitled ‘‘Regional Supplementary ACAS II (Version 7.0), however, the (6) The Coalition of Airlines Pilots Procedures’’ (ICAO Doc 7030). Those economic and aircraft engineering Association (CAPA).
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1. ATCA Comments. ATCA states that WATRS airspace at the New York FAA Response it concurs with the proposed rule to Oceanic Capacity Enhancement Task The FAA accepts the DOD’s implement RVSM in WATRS airspace Force on August 28, 1998. The FAA recommendation. Specifically, filing a and also concurs with the requirement believes it has given the aircraft flight plan for non-RVSM equipped that aircraft equipped with TCAS manufacturers and operator community aircraft is adequate advance notice to incorporate a version of TCAS that is adequate time to prepare for WATRS ATC and no additional notice is RVSM implementation and has made compatible with RVSM operations. required. extensive efforts to keep them informed ATCA also states that the rule offers the 6. CAPA Comments. CAPA does not on the progress of implementation prospect of greater availability of the object in principle to the concept of plans. RVSM has been implemented for most time and efficient tracks and reducing vertical separation, as long as over four years in the North Atlantic routes as well as increased capacity in safety is not compromised. CAPA states, and for a year and a half in the PAC. the North Atlantic Route System. however, that reducing vertical Operators and aircraft manufacturers separation minima without requiring FAA Response have been well informed of the planned TCAS for all aircraft will jeopardize ATCA comments support publication expansion of RVSM to other airspace. of the final rule. No FAA response 4. General Aviation Manufacturers safety. required. Association (GAMA). GAMA states that FAA Response 2. AOPA Comments. AOPA states that its member companies support the The FAA does not agree that reducing procedures such as WATRS RVSM will planned implementation of RVSM likely have minimal short-term where airspace is congested. However, it separation without requiring TCAS repercussions. AOPA is concerned that is concerned that the proposed rule to equipage will create a safety problem. the introduction of exclusionary RVSM implement RVSM in WATRS on The FAA does recognize, however, the airspace brings the potential to improve November 1, 2001 may not allow significant enhancements to operational service to participating users at the enough time for the fleet to be properly safety provided by TCAS. In its expense of non-RVSM operators. equipped. comments on this issue below, the FAA discusses the FAA and ICAO initiatives AOPA’s greater concern is that RVSM FAA Response procedures, and with them new that should lead to increased TCAS equipment mandates and certification The FAA responses to the Cessna equipage in oceanic operations. The processes, will reduce access afforded to comments also apply to the GAMA FAA does not agree with the CAPA some operators if implemented comments. position for the following reasons: domestically within the United States. Additionally, by November 1, 2001, a First, 1,000-foot vertical separation significant majority of flights are has been applied below flight level 290 FAA Response projected to be conducted by RVSM since the early 1960’s (over 40 years) This rule only affects WATRS compliant aircraft. As of May 2001 (six without special aircraft equipage or airspace, not domestic airspace. The months prior to the planned performance requirements, including FAA will give careful consideration to implementation date), 75 percent of all TCAS. ICAO Annex 2 (Rules of the Air), AOPA’s concern in any future flights operating at and above FL 290 in Appendix 3 (Table of Cruising Levels) rulemaking. WATRS airspace had already been provides for 1,000 ft vertical separation 3. Cessna Aircraft Company approved for RVSM operations. The to be applied globally below FL 290. Comments. Cessna states that it will not FAA has observed a steady increase in Second, standardized aircraft altitude- have an adequate number of the number of RVSM approved aircraft keeping performance and pilot/ modification kits to be able to meet and projects that by November 1 RVSM controller contingency procedures WATRS RVSM requirements by the compliant aircraft will conduct a maintain safe RVSM operations. Section compliance dates proposed in the significant majority of WATRS flights. 91.706 and Appendix G require that for NPRM. In addition, business aviation aircraft an aircraft to be approved for RVSM conduct approximately 7.5 per cent of operations, the aircraft altimetry FAA Response the flights in WATRS airspace. As of systems, automatic altitude-keeping First, aircraft that are not RVSM May, 51% of business jets operating devices and altitude alerters must meet compliant retain the option to operate above FL 290 in WATRS airspace had stringent performance requirements.1 In above and/or below RVSM airspace. The already been RVSM approved. The FAA addition, pilot and controller option for unapproved aircraft to climb anticipates that this percentage will procedures in contingencies and through RVSM flight levels to operate continue to increase as implementation emergencies were developed and above RVSM airspace has been used approaches. The FAA estimates that the revised prior to RVSM implementation. successfully in both North Atlantic and percentage of WATRS flights projected Pilot and controller actions in events Pacific operations, and it will be to be conducted by unapproved such as aircraft system malfunctions, available to WATRS operators. Aircraft business jets will be 3% or less. turbulence encounters and wake that are not RVSM compliant may also 5. DOD Comments. DOD is concerned turbulence encounters have proven to operate below WATRS RVSM airspace. that it would have to separately notify be effective over the past four and one Maximum leg lengths across WATRS each sector/center in the route of flight half years of RVSM operations. RVSM airspace are approximately two when an aircraft is not RVSM approved. Third, RVSM has been applied hours. Fuel consumption at lower DOD requests that the FAA adopt the successfully without a TCAS altitudes for two hours or less should following guidance: ‘‘For operational requirement since March 1997 in North not provide unacceptable operational purposes, it is the desire of the Atlantic oceanic airspace and since limitations. Department of Defense that filing of a Second, the FAA provided industry routine flight plan will suffice for 1 Aircraft equipage and performance were with over 3 years of notice of its intent advance notification of non-RVSM developed in the ICAO Review of the General Concept of Separation Panel (RGCSP) and to implement WATRS RVSM. The FAA equipped aircraft and request that the published in ICAO Document 9574 in 1992. Section announced its intention to implement first oceanic center make all subsequent 91.706 and Appendix G reflect the ICAO RVSM in the New York FIR portion of coordination.’’ requirements.
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February 2000 in Pacific airspace. Over comments are more applicable to this Mandates Reform Act of 1995 (Pub. L. that period of time, approximately 1.7 effort than to RVSM rulemaking. 104–4) requires agencies to prepare a million flights have been conducted in written assessment of the costs, benefits, ICAO Annex 6 (Operation of Aircraft). RVSM airspace and approximately 7.2 and other effects of proposed or final million hours of RVSM successful flight In November 1998, Annex 6 Part 1 rules that include a Federal mandate experience have been accumulated. (International Commercial Transport likely to result in the expenditure by NAT airspace has the highest traffic Airplanes) was amended to require State, local, or tribal governments, in the density of any oceanic airspace in the TCAS equipage by January 1, 2003 for aggregate, or by private sector, of $100 world. Between 900 to 1100 flights are aircraft in excess of 15,000 kg (33,000 million or more annually (adjusted for conducted each day in the RVSM pounds) takeoff weight or authorized to inflation). airspace of the North Atlantic. The carry more than 30 passengers. By In conducting these analyses, the FAA busiest route system in the Pacific is the January 1, 2005, aircraft in excess of has determined that this rule: (1) North Pacific Route System (NOPAC) 5,700 kg (12,500 pounds) take off weight Generates benefits that justify its costs where approximately 175 flights are or authorized to carry more than 19 and is not ‘‘a significant regulatory conducted each day and in the entire passengers will be required to be TCAS action’’ as defined in the Executive Pacific, approximately 440 flights equipped. In addition, Annex 6 Part II Order; (2) is not significant as defined operate per day. (International General Aviation in the Department of Transportation’s Fourth, monitoring of system safety Airplanes) has been amended to require Regulatory Policies and Procedures; (3) has shown that the probability of IGA aircraft eqipage with a pressure does not have a significant impact on a collision in RVSM operations is altitude reporting transponder by substantial number of small entities; extremely low when measured against January 1, 2003. This amendment was and 94) does not constitute a barrier to the agreed Target Level of Safety (TLS). made to enhance the effectiveness of international trade. These analyses, The ICAO recommended Target Level of TCAS operations. available in the docket, are summarized Safety applied in the vertical dimension below. is five fatal accidents in one billion Paperwork Reduction Act This rule amends 14 CFR 91, hours of flight time. Both NAT and Pac The reporting and recording keeping Appendix G, Section 8 (Airspace RVSM airspace have been assessed requirements associated with this rule Designation) by adding the New York against this TLS. When considering the remain the same as under current rules FIR portion of the WATRS airspace to major components of Collision Risk and have previously been approved by the list of airspace where RVSM would Modeling (CRM), RVSM operations have the Office of Management and Budget be implemented. It also amends section been shown to meet the TLS.2 (OMB) under the provisions of the 2 (Aircraft Approval) by adding a new Paperwork Reduction Act of 1995 (44 paragraph that requires any aircraft that Applicability of CAPA Comments to U.S.C. 3507(d)), and have been assigned are equipped with TCAS II to use TCAS Rulemaking OMB Control Number 2120–0026. There Version 7.0, which is RVSM compatible. The FAA believes that the CAPA are no new requirements for information This rule will provide operators the comments relate more specifically to the collection associated with this following benefits: (1) Permit more benefits of TCAS as a safety net in amendment. operations at fuel/time efficient tracks general operations. We do not believe and altitudes, thereby providing fuel that the CAPA recommendation for International Compatibility savings, (2) increase the number of TCAS equipage is relevant to the In keeping with U.S. obligations available flight levels, and (3) enhance expansion of 1,000-foot vertical under the Convention on International airspace capacity. separation above FL 290. The FAA has Civil Aviation, it is FAA policy to In addition to operator fuel savings, reviewed incidents where TCAS could comply with International Civil many non-quantifiable or value-added have or did contribute to the prevention Aviation Organization (ICAO) Standards benefits will result from the of an accident. None of these incidents and Recommended Practices (SARP) to implementation of RVSM in WATRS. occurred in airspace where RVSM is the maximum extent practicable. The Input from air traffic managers, applied and many of them occurred operator and aircraft approval process controllers, and operators has identified below FL 290. was developed jointly by the FAA and numerous additional benefits. the Joint Aviation Authorities (JAA) These benefits include: Current Rule Projects Related to TCAS • Enhanced capacity. Equipage. under the auspices of NATSPG. The • FAA has determined that this Reduced airspace complexity. • Decreased operational errors in There are efforts under way in the amendment does not present any these regions. United States to revise the regulations differences. related to TCAS equipage. Also, ICAO • Reduction of user-requested off has published Standards and Regulatory Evaluation Summary course climbs for, altitude changes. • Recommended Practices (SARPS) that Changes to Federal regulations must Improved flexibility for peak traffic address TCAS eqipage. The status of undergo several economic analyses. demands. • More options in deviating aircraft these efforts is as follows: First, Executive Order 12866 directs that during periods of adverse weather. Revision of Regulations Related to TCAS each Federal agency shall propose or The operational benefits realized in Eqipage. adopt a regulation only upon a reasoned the NAT and PAC regions are determination that the benefits of the anticipated in WATRS as well. In response to an Independent Pilot intended regulation justify its costs. Association (IPA) petition for Specific benefits cited by aircraft Second, the Regulatory Flexibility Act operators are: rulemaking, the FAA is developing an of 1980 requires agencies to analyze the • NPRM. We believe that the CAPA Decreased flight delays. economic effect of regulatory changes • Improved access to desired flight on small entities. Third, OMB directs 2 levels. The major CRM components are: Traffic density, agencies to assess the effect of • Reduced average flight times. aircraft altitude-keeping performance and the • frequency of large errors attributed to human and regulatory changes on international Increased availability of step aircraft system errors. trade. And fourth, the Unfunded climbs.
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• Increased likelihood of receiving a on the NPRM opposed the rule on then ranked with respect to their total clearance for weather deviations. economic grounds. operating revenue. • Seamless, transparent, and TCAS II Version 7.0 is mandated for The annualized cost of compliance is harmonious operations between the any operator who uses TCAS II. There less than one-half of one percent of NAT and WATRS regions. is no economic impact to operators annual operating revenues for all but • Consistent procedural environment upgrading to TCAS II Version 7.0 due to one small entity operator. The FAA does throughout the entire flight. their upgrading for other international not consider one operator being • Reduced impact of adverse weather requirements. significantly impacted by this rule to be by permitting aircraft deviations to other a substantial number of small operators Final Regulatory Flexibility airways without any efficiency loss. being significantly impacted. Moreover, Determination Implementing RVSM in WATRS the FAA does not mandate these costs. should increase user satisfaction. The The Regulatory Flexibility Act of 1980 Only operators who choose to benefits described in this section are establishes ‘‘as a principle of regulatory participate in the RVSM program and compelling in number and operational issuance that agencies shall endeavor, WATRS will incur costs. The FAA impact. These benefits are alos consistent with the objective of the rule therefore certifies that this rule does not significant in that both air traffic service and of applicable statutes, to fit have a significant impact on a providers and aircraft operators will regulatory and informational substantial number of small entities. enjoy them. requirements to the scale of the Most of the costs of this rule will be business, organizations, and International Trade Impact Statement incurred by those operators who choose governmental jurisdictions subject to The Trade Agreement Act of 1979 to participate in WATRS RVSM and, regulations.’’ To achieve that principle, prohibits Federal agencies from therefore, must upgrade various the Act requires agencies to solicit and engaging in any standards or related equipment and altimetry systems to consider flexible regulatory proposals activities that create unnecessary meet requirements. The quantifiable and to explain the rational for their obstacles to the foreign commerce of the benefits of the rule result from fuel actions. The Act covers a wide-range of United States. Legitimate domestic savings to participating operators who small entities, including small objectives, such as safety, are not may operate at more fuel-efficient businesses, not-for-profit organizations considered unnecessary obstacles. The altitudes. Significant non-quantifiable and small governmental jurisdictions. statue also requires consideration of benefits are also associated with the rule Agencies must perform a review to international standards and where as previously discussed. determine whether a proposed or final appropriate, that they be the basis for The FAA assumed for the purpose of rule will have significant economic U.S. standards. this analysis that all existing operators impact on a substantial number of small In accordance with the above statute, in the area would become WATRS entities. If the determination is that it the FAA has assessed the potential RVSM participants. Based on that will, then the agency must prepare a effect of this rule and has determined assumption, the agency’s final regulatory flexibility analysis (RFA) as that it will impose the same costs on quantified estimates of the costs and described in the Act. domestic and international entities and benefits are nearly equal. For the period However, if an agency determines that thus has a neutral trade impact. 2001–2015, estimated undiscounted a proposed or final rule is not expected benefits in fuel savings are $34.2 to have a significant economic impact Federalism Implications million, while undiscounted costs are on a substantial number of small The regulations proposed herein will $26.2 million. Discounted benefits, entities, section 605(b) of the 1980 act not have a substantial direct effect on however, are $18.4 million while provides that the head of the agency the States, on the relationship between discounted costs equal $23.4 million. may so certify and an RFA is not the national government and the States, Discounted benefits fall below required. The certification must include or on the distribution of power and discounted estimated costs because a statement providing the factual basis responsibilities among the various costs are incurred early in the 15-year for this determination, and the levels of government. Therefore, in analysis period and benefits are reasoning should be clear. accordance with Executive order 12612, distributed more evenly throughout the Operators that met the Small Business it is determined that this rule will not period. Administration (SBA) small entity have sufficient federalism implications Although the FAA’s quantified criteria were extracted from the 44-day to warrant the preparation of a estimates of costs and benefits are traffic sample of ETMS data. These federalism assessment. nearly equal, there are substantial non- operators were cross-referenced with the quantifiable benefits. Each operator will Central Monitoring Agency (CMA) and Unfunded Mandates Reform Act of be free, under this rule, to decide for the Asia Pacific Approvals and 1995 Assessment itself if the benefits to that operator Monitoring Organization (APARMO) Title II of the Unfunded Mandates justify the costs to that operator. As databases to determine if they operated Reform Act of 1995 (the Act), codified stated previously, participating in any RVSM-approved aircraft. The small as 2 U.S.C. 1501 1571, requires each WATRS RVSM is entirely voluntary. entity operators with RVSM-approved Federal agency, to the extent permitted Operators who choose not to participate aircraft were not considered further in by law, to prepare a written assessment will still be able to fly above or beneath this impact determination. of the effects of any Federal mandate in WATRS RVSM airspace. The list of potential small entity a proposed or final agency rule that may The FAA believes that many operators operators, taken from the traffic sample, result in the expenditure by State, local, will decide that benefits justify costs was used to identify six operators and tribal governments, in the aggregate, and participate in WATRS RVSM. This currently reporting financial data to the or by the private sector, of $100 million belief is strengthened by the widespread FAA Bureau of Transportation or more (adjusted annually for inflation) acceptance of similar RVSM programs Statistics. Revenue information for these in any one year. Section 204(a) of the recently implemented in the North small entities for year 1999 was Act, 2 U.S.C. 1534(a), requires the Atlantic and Pacific regions, and further obtained from the Air Carrier Financial Federal agency to develop an effective reinforced by the fact that no comments Statistics Quarterly. The operators were process to permit timely input by
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elected officers (or their designees) of (42 U.S.C. 6362) and FAA Order 1053.1. Appendix G to Part 91—Operations in State, local, and tribal governments on It has been determined that the final Reduced Vertical Separation Minimum a proposed ‘‘significant rule is not a major regulatory action (RVSM) Airspace intergovernmental mandate.’’ A under the provisions of the EPCA. * * * * * ‘‘significant intergovernmental mandate’’ under the Act is any Immediate Adoption Section 2. Aircraft Approval provision in a Federal agency regulation Expansion of RVSM into WATRS is * * * * * that would impose an enforceable duty (g) Traffic Alert and Collision Avoidance part of an internationally coordinated upon state, local, and tribal System (TCAS) Compatibility With RVSM governments, in the aggregate, of $100 plan to expand RVSM in the ICAO Operations: All aircraft. After March 31, million or more (adjusted annually for North Atlantic Region. Operators have 2002, unless otherwise authorized by the inflation) in any one year. Section 203 already committed financial and Administrator, if you operate an aircraft that of the Act, 2 U.S.C. 1533, which engineering resources and obtained is equipped with TCAS II in RVSM airspace, it must be a TCAS II that meets TSO C–119b supplements section 204(a), provides RVSM approval. Because of the efficiencies that RVSM will bring to (Version 7.0), or a later version. that before establishing any regulatory (h) If the Administrator finds that the requirements that might significantly or operations in this area, good cause applicant’s aircraft comply with this section, uniquely affect small governments, the exists for making this rule effective on the Administrator notifies the applicant in agency shall have developed a plan that, publication. writing. among other things, provides for notice * * * * * to potentially affected small List of Subjects in 14 CFR Part 91 Section 8. Airspace Designation governments, if any, and for a Air traffic control, Aircraft, Airmen, meaningful and timely opportunity to * * * * * Airports, Aviation safety, Reporting and (c) RVSM in the West Atlantic Route provide input in the development of recordkeeping requirements. regulatory proposals. System (WATRS). RVSM may be applied in This rule does not contain a Federal The Amendment the New York FIR portion of the West Atlantic Route System (WATRS). The area is intergovernmental and private sector ° ′ In consideration of the foregoing, the defined as beginning at a point 38 30 N/ mandate that exceeds $100 million a 60°00′W direct to 38°30′N/69°15′ W direct to year, therefore, the requirements of Title Federal Aviation Administration 38°20′ N/69°57′ W direct to 37°31′ N/71°41′ II of the Unfunded Mandates Reform amends part 91 of Title 14 Code of W direct to 37°13′ N/72°40′ W direct to Act of 1995 do not apply. Federal Regulations as follows: 35°05′ N/72°40′ W direct to 34°54′ N/72°57′ W direct to 34°29′ N/73°34′ W direct to Environmental Analysis PART 91—GENERAL OPERATING AND 34°33′ N/73°41′ W direct to 34°19′ N/74°02′ FAA Order 1050.1D defines FAA FLIGHT RULES W direct to 34°14′ N/73°57′ W direct to actions that may be categorically 32°12′ N/76°49′ W direct to 32°20′ N/77°00′ ° ′ ° ′ excluded from preparation of a National 1. The authority citation for part 91 W direct to 28 08 N/77 00 W direct to 27°50′ N/76°32′ W direct to 27°50′ N/74°50′ Environmental Policy Act (NEPA) continues to read as follows: ° ′ ° ′ environmental assessment or W direct to 25 00 N/73 21 W direct to Authority: 49 U.S.C. 106(g), 40103, 40113, 25°00′05″ N/69°13′06″ W direct to 25°00′ N/ environmental impact statement. In ° ′ ° ′ ° ′ 40120, 44101, 44111, 44701, 44709, 44711, 69 07 W direct to 23 30 N/68 40 W direct accordance with FAA Order 1050.1D, ° ′ ° ′ 44712, 44715, 44716, 44717, 44722, 46306, to 23 30 N/60 00 W to the point of appendix 4, paragraph 4(j), this rule beginning. qualifies for a categorical exclusion. 46315, 46316, 46502, 46504, 46506–46507, 47122, 47508, 47528–47531. Issued in Washington, DC on December 4, Energy Impact 2001. 2. In Appendix G, amend section 2 by The energy impact of the notice has Jane F. Garvey, revising paragraph (g), and adding a been assessed in accordance with the Administrator. Energy Policy and Conservation Act new paragraph (h), and in section 8 add [FR Doc. 01–30358 Filed 12–7–01; 8:45 am] a new paragraph (c) to read as follows: (EPCA) and P. L. 94–163, as amended BILLING CODE 4910–13–M
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Part VI
The President Proclamation 7511—National Pearl Harbor Remembrance Day, 2001
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Federal Register Presidential Documents Vol. 66, No. 237
Monday, December 10, 2001
Title 3— Proclamation 7511 of December 5, 2001
The President National Pearl Harbor Remembrance Day, 2001
By The President Of The United States of America
A Proclamation
On the morning of December 7, 1941, America was attacked without warning at Pearl Harbor, Hawaii, by the air and naval forces of Imperial Japan. More than 2,400 people perished and another 1,100 were wounded, triggering our entry into World War II. Today, we honor those killed 60 years ago and those who survived to fight on other fronts in the four succeeding years of world war. We also remember the millions of brave Americans who answered our country’s call to the battlefield, to the factory, and to the farm, remembering Pearl Harbor by their deeds, their devotion to duty, and their willingness to fight for freedom. The attack at Pearl Harbor fired the American spirit with a determination that freedom would not fall to tyranny; and the United States and its allies fought to victory, preserving a world in which democracy could grow. The tragedy of December 7, 1941, remains seared upon our collective national memory, a recollection that serves not just as a symbol of American military valor and American resolve, but also as a reminder of the presence of evil in the world and the need to remain ever vigilant against it. Now, another date will forever stand alongside December 7—September 11, 2001. On that day, our people and our way of life again were brutally and suddenly attacked, though not by a complex military maneuver, but by the surreptitious wiles of evil terrorists who took cruel and heartless advantage of the freedoms guaranteed by our Nation. Their target was not chiefly our military, but innocent civilians. We fight now to defend freedom, secure civilization, and ensure the survival of our American way of life. As we fight to defend what we believe is right, we remember the sacrifice of those who have gone before us—not only the heroes of Pearl Harbor but all the men and women of the greatest of generations who defeated tyranny. We are grateful for their service, and honor it by pledging to do our best to secure for our children, our grandchildren, and all of posterity the continuing blessings of liberty. The Congress, by Public Law 103–308, as amended, has designated December 7, 2001, as ‘‘National Pearl Harbor Remembrance Day.’’ NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim December 7, 2001, as National Pearl Harbor Remembrance Day. I call upon the people of the United States to observe this solemn occasion with appropriate ceremonies and activities. I urge all Federal agencies, interested organizations, groups, and individuals to fly the flag of the United States at half-staff this and every December 7 in honor of those who died as a result of their service at Pearl Harbor.
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IN WITNESS WHEREOF, I have hereunto set my hand this fifth day of December, in the year of our Lord two thousand one, and of the Independence of the United States of America the two hundred and twenty-sixth. W
[FR Doc. 01–30660 Filed 12–7–01; 8:51 am] Billing code 3195–01–P
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Part VII
The President Executive Order 13238—Closing of Federal Government Executive Departments and Agencies on Monday, December 24, 2001
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Federal Register Presidential Documents Vol. 66, No. 237
Monday, December 10, 2001
Title 3— Executive Order 13238 of December 5, 2001
The President Closing of Federal Government Executive Departments and Agencies on Monday, December 24, 2001
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows: Section 1. All executive branch departments and agencies of the Federal Government shall be closed and their employees excused from duty on Monday, December 24, 2001, the day before Christmas Day, except as pro- vided in section 2 below. Sec. 2. The heads of executive branch departments and agencies may deter- mine that certain offices and installations of their organizations, or parts thereof, must remain open and that certain employees must report for duty on December 24, 2001, for reasons of national security or defense or other public reasons. Sec. 3. Monday, December 24, 2001, shall be considered as falling within the scope of Executive Order 11582 of February 11, 1971, and of 5 U.S.C. 5546 and 6103(b) and other similar statutes insofar as they relate to the pay and leave of employees of the United States. W THE WHITE HOUSE, December 5, 2001.
[FR Doc. 01–30624 Filed 12–7–01; 10:08 am] Billing code 3195–01–P
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Reader Aids Federal Register Vol. 66, No. 237 Monday, December 10, 2001
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING DECEMBER
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–523–5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 523–5227 3 CFR 20 CFR 655...... 63298 Presidential Documents Proclamations: 7507...... 62907 Proposed Rules: Executive orders and proclamations 523–5227 404...... 63634 The United States Government Manual 523–5227 7508...... 62909 7509...... 62911 21 CFR 7510...... 63149 Other Services 7511...... 63899 510 ...... 63163, 63164, 63499 Electronic and on-line services (voice) 523–3447 Executive Orders: 520...... 63165, 63166 Privacy Act Compilation 523–3187 11582 (See EO 524...... 63164 Public Laws Update Service (numbers, dates, etc.) 523–6641 13238) ...... 63903 556...... 62916 TTY for the deaf-and-hard-of-hearing 523–5229 13238...... 63903 558 ...... 62916, 63499, 63500 Administrative Orders: Proposed Rules: 500...... 63519 ELECTRONIC RESEARCH Presidential Determinations: No. 02–07 of 24 CFR World Wide Web November 21, 30...... 63436 Full text of the daily Federal Register, CFR and other publications 2001 ...... 63487 is located at: http://www.access.gpo.gov/nara 5 CFR 26 CFR Federal Register information and research tools, including Public 6001...... 60139 Proposed Rules: Inspection List, indexes, and links to GPO Access are located at: 1...... 63203 http://www.nara.gov/fedreg 7 CFR 29 CFR E-mail 301...... 63151 578...... 63501 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Proposed Rules: 352...... 63005 579...... 63501 an open e-mail service that provides subscribers with a digital 1410...... 63339 580...... 63501 form of the Federal Register Table of Contents. The digital form of the Federal Register Table of Contents includes HTML and 9 CFR 30 CFR PDF links to the full text of each document. 70...... 63588 256...... 60147 To join or leave, go to http://listserv.access.gpo.gov and select 88...... 63588 944...... 62917 Online mailing list archives, FEDREGTOC-L, Join or leave the list 94...... 62913 31 CFR (or change settings); then follow the instructions. Proposed Rules: 211...... 63623 PENS (Public Law Electronic Notification Service) is an e-mail 94...... 63633 service that notifies subscribers of recently enacted laws. 12 CFR 33 CFR To subscribe, go to http://hydra.gsa.gov/archives/publaws-l.html 5...... 62914 100...... 63624 and select Join or leave the list (or change settings); then follow Proposed Rules: 117 ...... 62935, 62936, 62938, the instructions. Ch. IX...... 63008 62939, 62940, 63626, 63627 165...... 60151, 62940 FEDREGTOC-L and PENS are mailing lists only. We cannot 584...... 63517 respond to specific inquiries. Proposed Rules: 14 CFR 1...... 63640 Reference questions. Send questions and comments about the 39 ...... 60140, 60143, 60144, 147...... 63642 Federal Register system to: [email protected] 60145, 62915, 63154, 63157, 175...... 63645 The Federal Register staff cannot interpret specific documents or 63159, 63307, 63621 181...... 63650 regulations. 71...... 63489, 63623 73...... 63433 34 CFR FEDERAL REGISTER PAGES AND DATE, DECEMBER 91...... 63888 Proposed Rules: 93...... 63294 Ch. VI...... 63203 60139–62906...... 3 107...... 63474 37 CFR 62907–63148...... 4 108...... 63474 63149–63306...... 5 Proposed Rules: 201...... 62942 63307–63486...... 6 39 ...... 63009, 63010, 63341 38 CFR 63487–63620...... 7 71...... 60162, 63517 63621–63904...... 10 17...... 63446, 63449 16 CFR 20...... 60152 305...... 63749 40 CFR 18 CFR 8...... 63454 381...... 63162 52...... 63311 62...... 63311 19 CFR 63...... 63313 12...... 63490 70 ...... 62945, 62946, 62949,
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62951, 62954, 62961, 62967, 3620...... 63334 48 CFR 177...... 63096 62969, 63166, 63168, 63170, 3800...... 63334 202...... 63334 178...... 63096 63175, 63180, 63184, 63188, 44 CFR 212...... 63335 180...... 63096 63318, 63503 215...... 63334 180...... 63192 64...... 63627 217...... 63336 50 CFR 261...... 60153, 62973 Proposed Rules: 237...... 63335 271...... 63331 61...... 60176 242...... 63334 17...... 62993, 63752 Proposed Rules: 47 CFR Proposed Rules: 600...... 63199 52...... 63204, 63343 235...... 63348 622...... 60161 80...... 60153 1...... 62992 635...... 63003 25...... 63512 648...... 63003 42 CFR 73 ...... 60156, 60157, 63199, 49 CFR 660...... 63199, 63630 411...... 60154 63629 571...... 60157 1001...... 62980, 63749 76...... 62992 Proposed Rules: Proposed Rules: 101...... 63512 107...... 63096 17...... 63349, 63654 43 CFR Proposed Rules: 171...... 63096 20...... 63665 3600...... 63334 51...... 63651 172...... 63096 21...... 63349, 63665 3610...... 63334 73 ...... 63209, 63653, 63654 173...... 63096 648...... 63013, 63666
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REMINDERS Reduced vertical separation Mediterranean fruit fly; 01; published 11-5-01 [FR The items in this list were minimum; published 12- comments due by 12-18- 01-27674] editorially compiled as an aid 10-01 01; published 10-19-01 ENVIRONMENTAL to Federal Register users. Airworthiness directives: [FR 01-26329] PROTECTION AGENCY Inclusion or exclusion from Airbus; published 12-5-01 COMMERCE DEPARTMENT Air pollutants, hazardous; this list has no legal Eurocopter France; National Oceanic and national emission standards: significance. published 11-23-01 Atmospheric Administration Hydrochloric acid production Overland Aviation Services; Fishery conservation and facilities; extension of published 11-2-01 management: comment period; RULES GOING INTO comments due by 12-19- TRANSPORTATION West Coast States and EFFECT DECEMBER 10, DEPARTMENT 01; published 11-19-01 2001 Western Pacific [FR 01-28857] National Highway Traffic fisheries— Safety Administration ENVIRONMENTAL AGRICULTURE Pacific Coast groundfish; PROTECTION AGENCY Anthropomorphic test devices: comments due by 12- DEPARTMENT Air pollutants, hazardous; Occupant crash protection— 20-01; published 12-5- national emission standards: Agricultural Marketing SID/HIII dummy; neck 01 [FR 01-30112] Service lateral calibration Pesticide active ingredient Cherries (tart) grown in— specifications; published DEFENSE DEPARTMENT production; comments due Michigan et al.; published 10-11-01 Federal Acquisition Regulation by 12-21-01; published 11-9-01 TREASURY DEPARTMENT (FAR): 11-21-01 [FR 01-29098] ENVIRONMENTAL ENVIRONMENTAL Fiscal Service Architect-engineer PROTECTION AGENCY PROTECTION AGENCY Financial Management contractors selection; new Service: consolidated form; Air pollutants, hazardous; Air quality implementation comments due by 12-18- national emission standards: plans; approval and Checks and warrants 01; published 10-19-01 Pesticide active ingredient promulgation; various delivery to addresses [FR 01-26203] production; comments due States: outside U.S., territories, and possessions— DEFENSE DEPARTMENT by 12-21-01; published Arkansas; published 10-9-01 11-21-01 [FR 01-29099] Cambodia (formerly Federal Acquisition Regulation California; published 10-10- Air pollution control; new 01 Democratic (FAR): Kampuchea); reference motor vehicles and engines: Illinois; published 11-8-01 Cost-reimbursement removed; published 12- contracts for services; Nonroad large spark ignition Indiana; published 11-8-01 10-01 prompt payment; engines and recreational engines (marine and land- Air quality planning purposes; VETERANS AFFAIRS comments due by 12-21- based); emissions control; designation of areas: DEPARTMENT 01; published 10-22-01 California; published 11-8-01 [FR 01-26298] comments due by 12-19- Adjudication; pensions, 01; published 10-5-01 [FR FEDERAL compensation, dependency, DEFENSE DEPARTMENT 01-23591] COMMUNICATIONS etc.: Federal Acquisition Regulation COMMISSION Correction; comments due Benefits entitlement, written (FAR): by 12-19-01; published Radio stations; table of and oral information or Fixed-price construction 11-2-01 [FR 01-27466] assignments: statements affecting; contracts; payments; Air pollution; standards of published 11-9-01 Oregon; published 11-8-01 comments due by 12-17- performance for new Texas; published 11-9-01 01; published 10-18-01 stationary sources: HEALTH AND HUMAN COMMENTS DUE NEXT [FR 01-26009] Large municipal waste SERVICES DEPARTMENT WEEK DEFENSE DEPARTMENT combustors; emission guidelines, etc.; comments Food and Drug Federal Acquisition Regulation AGRICULTURE due by 12-17-01; Administration (FAR): Biological products: DEPARTMENT published 11-16-01 [FR Agricultural Marketing Veterans Entrepreneurship 01-28085] Blood, blood components, and Small Business Service ENVIRONMENTAL and blood derivatives; Development Act of 1999; deferred donors Beef promotion and research; PROTECTION AGENCY comments due by 12-18-01; implementation; comments notification requirements; due by 12-21-01; Air pollution; standards of published 6-11-01 published 10-19-01 [FR 01- performance for new 26395] published 10-22-01 [FR Human blood donors; 01-26300] stationary sources: AGRICULTURE Large municipal waste testing for evidence of ENERGY DEPARTMENT infection due DEPARTMENT combustors; emission communicable disease Animal and Plant Health Federal Energy Regulatory guidelines, etc.; comments agents; requirements; Inspection Service Commission due by 12-17-01; published 6-11-01 Exportation and importation of Electric utilities (Federal Power published 11-16-01 [FR Act): 01-28084] PERSONNEL MANAGEMENT animals and animal OFFICE products: Standard generator ENVIRONMENTAL Bovine spongiform interconnection PROTECTION AGENCY Allowances and differentials: encephalopathy; disease agreements and Air programs; approval and Cost-of-living allowances status change— procedures; comments promulgation; State plans (nonforeign areas)— Japan; comments due by due by 12-21-01; for designated facilities and Hawaii County, HI, et al.; 12-17-01; published 10- published 11-1-01 [FR 01- pollutants: published 11-9-01 16-01 [FR 01-25953] 27438] Kansas; comments due by TRANSPORTATION AGRICULTURE Practice and procedure: 12-19-01; published 11- DEPARTMENT DEPARTMENT Natural gas pipelines and 19-01 [FR 01-28858] Federal Aviation Animal and Plant Health transmitting public utilities ENVIRONMENTAL Administration Inspection Service (transmission providers); PROTECTION AGENCY Air traffic operating and flight Plant-related quarantine, standards of conduct; Air programs; State authority rules, etc.: domestic: comments due by 12-20- delegations:
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Arizona; comments due by promulgation; various Television broadcasting: Architect-engineer 12-17-01; published 11- States: Noncommercial educational contractors selection; new 16-01 [FR 01-28342] Missouri; comments due by television; television table consolidated form; ENVIRONMENTAL 12-17-01; published 11- of allotments amendment comments due by 12-18- PROTECTION AGENCY 15-01 [FR 01-28519] to delete noncommercial 01; published 10-19-01 reservation of Channel 16 [FR 01-26203] Air programs; State authority ENVIRONMENTAL in Pittsburgh, PA; NATIONAL AERONAUTICS delegations: PROTECTION AGENCY Arizona; comments due by comments due by 12-17- AND SPACE Air quality implementation 12-17-01; published 11- 01; published 10-16-01 ADMINISTRATION plans; approval and 16-01 [FR 01-28343] [FR 01-25997] Federal Acquisition Regulation promulgation; various Air quality implementation GENERAL SERVICES (FAR): States: plans; approval and ADMINISTRATION Cost-reimbursement promulgation; various states: Missouri; comments due by Acquisition regulations: contracts for services; Missouri; comments due by 12-17-01; published 11- Real property leasehold prompt payment; 12-17-01; published 11- 16-01 [FR 01-28737] interests; historic comments due by 12-21- 15-01 [FR 01-28520] ENVIRONMENTAL preference; comments due 01; published 10-22-01 Air quality implementation PROTECTION AGENCY by 12-18-01; published [FR 01-26298] plans; √A√approval and Air quality implementation 10-19-01 [FR 01-26446] NATIONAL AERONAUTICS promulgation; various plans; approval and Federal Acquisition Regulation AND SPACE States; air quality planning promulgation; various (FAR): ADMINISTRATION purposes; designation of States: Architect-engineer Federal Acquisition Regulation (FAR): areas: Montana; comments due by contractors selection; new Fixed-price construction Arizona; comments due by 12-17-01; published 11- consolidated form; contracts; payments; 12-19-01; published 11- 15-01 [FR 01-28189] comments due by 12-18- 19-01 [FR 01-28859] 01; published 10-19-01 comments due by 12-17- ENVIRONMENTAL 01; published 10-18-01 ENVIRONMENTAL [FR 01-26203] PROTECTION AGENCY [FR 01-26009] PROTECTION AGENCY GENERAL SERVICES Air quality implementation Air quality implementation ADMINISTRATION NATIONAL AERONAUTICS plans; approval and plans; approval and Federal Acquisition Regulation AND SPACE promulgation; various ADMINISTRATION promulgation; various (FAR): States: Federal Acquisition Regulation States: Cost-reimbursement (FAR): California; comments due by Montana; comments due by contracts for services; 12-17-01; published 11- 12-17-01; published 11- prompt payment; Veterans Entrepreneurship and Small Business 15-01 [FR 01-28341] 15-01 [FR 01-28190] comments due by 12-21- Development Act of 1999; ENVIRONMENTAL 01; published 10-22-01 ENVIRONMENTAL implementation; comments PROTECTION AGENCY [FR 01-26298] PROTECTION AGENCY due by 12-21-01; Air quality implementation Hazardous waste program GENERAL SERVICES published 10-22-01 [FR plans; approval and authorizations: ADMINISTRATION 01-26300] promulgation; various New York; comments due Federal Acquisition Regulation NATIONAL CREDIT UNION States: by 12-17-01; published (FAR): ADMINISTRATION California; comments due by 11-16-01 [FR 01-28627] Fixed-price construction Credit unions: 12-17-01; published 11- ENVIRONMENTAL contracts; payments; Investment and deposit 16-01 [FR 01-28344] PROTECTION AGENCY comments due by 12-17- activities, and corporate ENVIRONMENTAL 01; published 10-18-01 Hazardous waste program credit unions— PROTECTION AGENCY [FR 01-26009] authorizations: Capital and credit Air quality implementation GENERAL SERVICES concentration limits; New York; comments due plans; approval and ADMINISTRATION comments due by 12- by 12-17-01; published promulgation; various Federal Acquisition Regulation 20-01; published 9-21- 11-16-01 [FR 01-28628] States: (FAR): 01 [FR 01-23290] California; comments due by Superfund program: Veterans Entrepreneurship NUCLEAR REGULATORY 12-17-01; published 11- Toxic chemical release and Small Business COMMISSION 16-01 [FR 01-28345] reporting; community right- Development Act of 1999; Federal claims collection; ENVIRONMENTAL to-know— implementation; comments comments due by 12-19-01; PROTECTION AGENCY Alloys corrosion; report; due by 12-21-01; published 10-5-01 [FR 01- Air quality implementation comments due by 12- published 10-22-01 [FR 25000] plans; approval and 20-01; published 8-22- 01-26300] STATE DEPARTMENT promulgation; various 01 [FR 01-21198] LABOR DEPARTMENT Irish Peace Process Cultural States: FEDERAL Employment and Training and Training Program; Maryland; comments due by COMMUNICATIONS Administration comments due by 12-17-01; 12-17-01; published 11- COMMISSION Aliens: published 10-16-01 [FR 01- 15-01 [FR 01-28187] Digital television stations; table Labor certification and 25598] ENVIRONMENTAL of assignments: petition process for Visas; nonimmigrant PROTECTION AGENCY temporary employment of documentation: Connecticut; comments due Air quality implementation nonimmigrant aliens in Irish Peace Process Cultural by 12-17-01; published plans; approval and U.S. agriculture; fee and Training Program; Q promulgation; various 10-31-01 [FR 01-27346] structure modification; classification; comments States: Radio stations; table of comments due by 12-17- due by 12-17-01; Maryland; comments due by assignments: 01; published 10-24-01 published 10-16-01 [FR 12-17-01; published 11- Alabama; comments due by [FR 01-26867] 01-25597] 15-01 [FR 01-28188] 12-18-01; published 10- NATIONAL AERONAUTICS TRANSPORTATION ENVIRONMENTAL 24-01 [FR 01-26751] AND SPACE DEPARTMENT PROTECTION AGENCY Texas; comments due by ADMINISTRATION Federal Aviation Air quality implementation 12-17-01; published 11-8- Federal Acquisition Regulation Administration plans; approval and 01 [FR 01-28074] (FAR): Airworthiness directives:
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Airbus; comments due by Pilatus Britten-Norman Ltd.; comments due by 12-18- Administration, and Related 12-19-01; published 11- comments due by 12-21- 01; published 10-19-01 Agencies Appropriations Act, 19-01 [FR 01-28795] 01; published 11-23-01 [FR 01-26382] 2002 (Nov. 28, 2001; 115 Bombardier; comments due [FR 01-29192] Stat. 704) by 12-19-01; published Pratt & Whitney; comments LIST OF PUBLIC LAWS 11-19-01 [FR 01-28797] due by 12-20-01; H.R. 2500/P.L. 107–77 British Aerospace; published 11-20-01 [FR This is a continuing list of Departments of Commerce, comments due by 12-21- 01-28707] public bills from the current Justice, and State, the 01; published 11-19-01 Airworthiness standards: session of Congress which [FR 01-28809] Judiciary, and Related Special conditions— have become Federal laws. It Agencies Appropriations Act, CFM International, S.A.; may be used in conjunction Gulfstream G-1159, G- 2002 (Nov. 28, 2001; 115 comments due by 12-18- with ‘‘PLUS’’ (Public Laws 1159A, G-1159B series Stat. 748) 01; published 10-19-01 Update Service) on 202–523– [FR 01-26325] airplanes; comments 6641. This list is also due by 12-17-01; H.R. 2924/P.L. 107–78 TRANSPORTATION available online at http:// published 11-16-01 [FR DEPARTMENT www.nara.gov/fedreg/ 01-28676] To provide authority to the Federal Aviation plawcurr.html. Federal Power Marketing Class E5 airspace; comments Administration The text of laws is not Administration to reduce Airworthiness directives: due by 12-20-01; published vandalism and destruction of 11-20-01 [FR 01-28496] published in the Federal Eurocopter France; Register but may be ordered property, and for other comments due by 12-17- TRANSPORTATION in ‘‘slip law’’ (individual purposes. (Nov. 28, 2001; 115 01; published 10-16-01 DEPARTMENT pamphlet) form from the Stat. 808) [FR 01-25694] Federal Highway Superintendent of Documents, Last List November 23, 2001 TRANSPORTATION Administration U.S. Government Printing DEPARTMENT Engineering and traffic Office, Washington, DC 20402 Federal Aviation operations: (phone, 202–512–1808). The Administration Design-build contracting; text will also be made Airworthiness directives: comments due by 12-18- available on the Internet from Public Laws Electronic Honeywell; comments due 01; published 10-19-01 GPO Access at http:// Notification Service by 12-18-01; published [FR 01-26234] www.access.gpo.gov/nara/ (PENS) 10-19-01 [FR 01-26323] nara005.html. Some laws may TREASURY DEPARTMENT not yet be available. TRANSPORTATION Alcohol, Tobacco and DEPARTMENT Firearms Bureau H.R. 768/P.L. 107–72 Federal Aviation Need-Based Educational Aid PENS is a free electronic mail Alchohol, tobacco, and other Administration Act of 2001 (Nov. 20, 2001; notification service of newly excise taxes: Airworthiness directives: 115 Stat. 648) enacted public laws. To subscribe, go to http:// McDonnell Douglas; Tobacco products and H.R. 2620/P.L. 107–73 cigarette papers and hydra.gsa.gov/archives/ comments due by 12-17- Departments of Veterans publaws-l.html or send E-mail 01; published 10-17-01 tubes— Affairs and Housing and to [email protected] [FR 01-25663] Removal from Urban Development, and with the following text manufacturer’s premises Independent Agencies TRANSPORTATION message: DEPARTMENT for experimental Appropriations Act, 2002 (Nov. Federal Aviation purposes; application 26, 2001; 115 Stat. 651) requirement eliminated; SUBSCRIBE PUBLAWS-L Administration H.R. 1042/P.L. 107–74 Your Name. Airworthiness directives: comments due by 12- To prevent the elimination of 17-01; published 10-17- McDonnell Douglas; certain reports. (Nov. 28, 01 [FR 01-25843] Note: This service is strictly comments due by 12-17- 2001; 115 Stat. 701) for E-mail notification of new 01; published 10-16-01 VETERANS AFFAIRS H.R. 1552/P.L. 107–75 laws. The text of laws is not [FR 01-25662] DEPARTMENT Internet Tax Nondiscrimination available through this service. TRANSPORTATION Adjudication; pensions, Act (Nov. 28, 2001; 115 Stat. PENS cannot respond to DEPARTMENT compensation, dependency, 703) specific inquiries sent to this Federal Aviation etc.: H.R. 2330/P.L. 107–76 address. Administration Acceptable evidence from Agriculture, Rural Airworthiness directives: foreign countries; Development, Food and Drug
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CFR CHECKLIST Title Stock Number Price Revision Date 14 Parts: 1–59 ...... (869–044–00037–7) ...... 57.00 Jan. 1, 2001 This checklist, prepared by the Office of the Federal Register, is 60–139 ...... (869–044–00038–5) ...... 55.00 Jan. 1, 2001 published weekly. It is arranged in the order of CFR titles, stock 140–199 ...... (869–044–00039–3) ...... 26.00 Jan. 1, 2001 numbers, prices, and revision dates. 200–1199 ...... (869–044–00040–7) ...... 44.00 Jan. 1, 2001 An asterisk (*) precedes each entry that has been issued since last 1200–End ...... (869–044–00041–5) ...... 37.00 Jan. 1, 2001 week and which is now available for sale at the Government Printing 15 Parts: Office. 0–299 ...... (869–044–00042–3) ...... 36.00 Jan. 1, 2001 A checklist of current CFR volumes comprising a complete CFR set, 300–799 ...... (869–044–00043–1) ...... 54.00 Jan. 1, 2001 also appears in the latest issue of the LSA (List of CFR Sections 800–End ...... (869–044–00044–0) ...... 40.00 Jan. 1, 2001 Affected), which is revised monthly. 16 Parts: The CFR is available free on-line through the Government Printing 0–999 ...... (869–044–00045–8) ...... 45.00 Jan. 1, 2001 Office’s GPO Access Service at http://www.access.gpo.gov/nara/cfr/ 1000–End ...... (869–044–00046–6) ...... 53.00 Jan. 1, 2001 index.html. For information about GPO Access call the GPO User Support Team at 1-888-293-6498 (toll free) or 202-512-1530. 17 Parts: 1–199 ...... (869–044–00048–2) ...... 45.00 Apr. 1, 2001 The annual rate for subscription to all revised paper volumes is 200–239 ...... (869–044–00049–1) ...... 51.00 Apr. 1, 2001 $1195.00 domestic, $298.75 additional for foreign mailing. 240–End ...... (869–044–00050–4) ...... 55.00 Apr. 1, 2001 Mail orders to the Superintendent of Documents, Attn: New Orders, 18 Parts: P.O. Box 371954, Pittsburgh, PA 15250–7954. All orders must be 1–399 ...... (869–044–00051–2) ...... 56.00 Apr. 1, 2001 accompanied by remittance (check, money order, GPO Deposit 400–End ...... (869–044–00052–1) ...... 23.00 Apr. 1, 2001 Account, VISA, Master Card, or Discover). Charge orders may be telephoned to the GPO Order Desk, Monday through Friday, at (202) 19 Parts: 512–1800 from 8:00 a.m. to 4:00 p.m. eastern time, or FAX your 1–140 ...... (869–044–00053–9) ...... 54.00 Apr. 1, 2001 charge orders to (202) 512-2250. 141–199 ...... (869–044–00054–7) ...... 53.00 Apr. 1, 2001 200–End ...... (869–044–00055–5) ...... 20.00 5Apr. 1, 2001 Title Stock Number Price Revision Date 20 Parts: 1, 2 (2 Reserved) ...... (869–044–00001–6) ...... 6.50 4Jan. 1, 2001 1–399 ...... (869–044–00056–3) ...... 45.00 Apr. 1, 2001 3 (1997 Compilation 400–499 ...... (869–044–00057–1) ...... 57.00 Apr. 1, 2001 and Parts 100 and 500–End ...... (869–044–00058–0) ...... 57.00 Apr. 1, 2001 1 101) ...... (869–044–00002–4) ...... 36.00 Jan. 1, 2001 21 Parts: 4 ...... (869–044–00003–2) ...... 9.00 Jan. 1, 2001 1–99 ...... (869–044–00059–8) ...... 37.00 Apr. 1, 2001 100–169 ...... (869–044–00060–1) ...... 44.00 Apr. 1, 2001 5 Parts: 170–199 ...... (869–044–00061–0) ...... 45.00 Apr. 1, 2001 1–699 ...... (869–044–00004–1) ...... 53.00 Jan. 1, 2001 200–299 ...... (869–044–00062–8) ...... 16.00 Apr. 1, 2001 700–1199 ...... (869–044–00005–9) ...... 44.00 Jan. 1, 2001 300–499 ...... (869–044–00063–6) ...... 27.00 Apr. 1, 2001 1200–End, 6 (6 500–599 ...... (869–044–00064–4) ...... 44.00 Apr. 1, 2001 Reserved) ...... (869–044–00006–7) ...... 55.00 Jan. 1, 2001 600–799 ...... (869–044–00065–2) ...... 15.00 Apr. 1, 2001 7 Parts: 800–1299 ...... (869–044–00066–1) ...... 52.00 Apr. 1, 2001 1–26 ...... (869–044–00007–5) ...... 40.00 4Jan. 1, 2001 1300–End ...... (869–044–00067–9) ...... 20.00 Apr. 1, 2001 27–52 ...... (869–044–00008–3) ...... 45.00 Jan. 1, 2001 22 Parts: 53–209 ...... (869–044–00009–1) ...... 34.00 Jan. 1, 2001 1–299 ...... (869–044–00068–7) ...... 56.00 Apr. 1, 2001 210–299 ...... (869–044–00010–5) ...... 56.00 Jan. 1, 2001 300–End ...... (869–044–00069–5) ...... 42.00 Apr. 1, 2001 300–399 ...... (869–044–00011–3) ...... 38.00 Jan. 1, 2001 400–699 ...... (869–044–00012–1) ...... 53.00 Jan. 1, 2001 23 ...... (869–044–00070–9) ...... 40.00 Apr. 1, 2001 700–899 ...... (869–044–00013–0) ...... 50.00 Jan. 1, 2001 24 Parts: 900–999 ...... (869–044–00014–8) ...... 54.00 Jan. 1, 2001 0–199 ...... (869–044–00071–7) ...... 53.00 Apr. 1, 2001 1000–1199 ...... (869–044–00015–6) ...... 24.00 Jan. 1, 2001 200–499 ...... (869–044–00072–5) ...... 45.00 Apr. 1, 2001 1200–1599 ...... (869–044–00016–4) ...... 55.00 Jan. 1, 2001 500–699 ...... (869–044–00073–3) ...... 27.00 Apr. 1, 2001 1600–1899 ...... (869–044–00017–2) ...... 57.00 Jan. 1, 2001 700–1699 ...... (869–044–00074–1) ...... 55.00 Apr. 1, 2001 1900–1939 ...... (869–044–00018–1) ...... 21.00 4Jan. 1, 2001 1700–End ...... (869–044–00075–0) ...... 28.00 Apr. 1, 2001 4 1940–1949 ...... (869–044–00019–9) ...... 37.00 Jan. 1, 2001 25 ...... (869–044–00076–8) ...... 57.00 Apr. 1, 2001 1950–1999 ...... (869–044–00020–2) ...... 45.00 Jan. 1, 2001 2000–End ...... (869–044–00021–1) ...... 43.00 Jan. 1, 2001 26 Parts: §§ 1.0-1–1.60 ...... (869–044–00077–6) ...... 43.00 Apr. 1, 2001 8 ...... (869–044–00022–9) ...... 54.00 Jan. 1, 2001 §§ 1.61–1.169 ...... (869–044–00078–4) ...... 57.00 Apr. 1, 2001 9 Parts: §§ 1.170–1.300 ...... (869–044–00079–2) ...... 52.00 Apr. 1, 2001 1–199 ...... (869–044–00023–7) ...... 55.00 Jan. 1, 2001 §§ 1.301–1.400 ...... (869–044–00080–6) ...... 41.00 Apr. 1, 2001 200–End ...... (869–044–00024–5) ...... 53.00 Jan. 1, 2001 §§ 1.401–1.440 ...... (869–042–00081–1) ...... 47.00 Apr. 1, 2000 §§ 1.441-1.500 ...... (869-044-00082-2) ...... 45.00 Apr. 1, 2001 10 Parts: §§ 1.501–1.640 ...... (869–044–00083–1) ...... 44.00 Apr. 1, 2001 1–50 ...... (869–044–00025–3) ...... 55.00 Jan. 1, 2001 §§ 1.641–1.850 ...... (869–044–00084–9) ...... 53.00 Apr. 1, 2001 51–199 ...... (869–044–00026–1) ...... 52.00 Jan. 1, 2001 §§ 1.851–1.907 ...... (869–044–00085–7) ...... 54.00 Apr. 1, 2001 200–499 ...... (869–044–00027–0) ...... 53.00 Jan. 1, 2001 §§ 1.908–1.1000 ...... (869–044–00086–5) ...... 53.00 Apr. 1, 2001 500–End ...... (869–044–00028–8) ...... 55.00 Jan. 1, 2001 §§ 1.1001–1.1400 ...... (869–044–00087–3) ...... 55.00 Apr. 1, 2001 11 ...... (869–044–00029–6) ...... 31.00 Jan. 1, 2001 §§ 1.1401–End ...... (869–044–00088–1) ...... 58.00 Apr. 1, 2001 2–29 ...... (869–044–00089–0) ...... 54.00 Apr. 1, 2001 12 Parts: 30–39 ...... (869–044–00090–3) ...... 37.00 Apr. 1, 2001 1–199 ...... (869–044–00030–0) ...... 27.00 Jan. 1, 2001 40–49 ...... (869–044–00091–1) ...... 25.00 Apr. 1, 2001 200–219 ...... (869–044–00031–8) ...... 32.00 Jan. 1, 2001 50–299 ...... (869–044–00092–0) ...... 23.00 Apr. 1, 2001 220–299 ...... (869–044–00032–6) ...... 54.00 Jan. 1, 2001 300–499 ...... (869–044–00093–8) ...... 54.00 Apr. 1, 2001 300–499 ...... (869–044–00033–4) ...... 41.00 Jan. 1, 2001 500–599 ...... (869–044–00094–6) ...... 12.00 5Apr. 1, 2001 500–599 ...... (869–044–00034–2) ...... 38.00 Jan. 1, 2001 600–End ...... (869–044–00095–4) ...... 15.00 Apr. 1, 2001 600–End ...... (869–044–00035–1) ...... 57.00 Jan. 1, 2001 27 Parts: 13 ...... (869–044–00036–9) ...... 45.00 Jan. 1, 2001 1–199 ...... (869–044–00096–2) ...... 57.00 Apr. 1, 2001
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Title Stock Number Price Revision Date Title Stock Number Price Revision Date 200–End ...... (869–044–00097–1) ...... 26.00 Apr. 1, 2001 100–135 ...... (869–044–00151–9) ...... 38.00 July 1, 2001 ...... 28 Parts: ...... 136–149 (869–044–00152–7) 55.00 July 1, 2001 150–189 ...... 0-42 ...... (869–044–00098–9) ...... 55.00 July 1, 2001 (869–044–00153–5) 52.00 July 1, 2001 190–259 ...... (869–044–00154–3) ...... 34.00 July 1, 2001 43-end ...... (869-044-00099-7) ...... 50.00 July 1, 2001 260–265 ...... (869–044–00155–1) ...... 45.00 July 1, 2001 29 Parts: 266–299 ...... (869–044–00156–0) ...... 45.00 July 1, 2001 0–99 ...... (869–044–00100–4) ...... 45.00 July 1, 2001 300–399 ...... (869–044–00157–8) ...... 41.00 July 1, 2001 100–499 ...... (869–044–00101–2) ...... 14.00 6July 1, 2001 400–424 ...... (869–044–00158–6) ...... 51.00 July 1, 2001 500–899 ...... (869–044–00102–1) ...... 47.00 6July 1, 2001 425–699 ...... (869–044–00159–4) ...... 55.00 July 1, 2001 900–1899 ...... (869–044–00103–9) ...... 33.00 July 1, 2001 700–789 ...... (869–044–00160–8) ...... 55.00 July 1, 2001 1900–1910 (§§ 1900 to 790–End ...... (869–044–00161–6) ...... 44.00 July 1, 2001 1910.999) ...... (869–044–00104–7) ...... 55.00 July 1, 2001 41 Chapters: 1910 (§§ 1910.1000 to 1, 1–1 to 1–10 ...... 13.00 3 July 1, 1984 end) ...... (869–044–00105–5) ...... 42.00 July 1, 2001 3 6 1, 1–11 to Appendix, 2 (2 Reserved) ...... 13.00 July 1, 1984 1911–1925 ...... (869–044–00106–3) ...... 20.00 July 1, 2001 3–6 ...... 14.00 3 July 1, 1984 1926 ...... (869–044–00107–1) ...... 45.00 July 1, 2001 7 ...... 6.00 3 July 1, 1984 1927–End ...... (869–044–00108–0) ...... 55.00 July 1, 2001 8 ...... 4.50 3 July 1, 1984 30 Parts: 9 ...... 13.00 3 July 1, 1984 1–199 ...... (869–044–00109–8) ...... 52.00 July 1, 2001 10–17 ...... 9.50 3 July 1, 1984 200–699 ...... (869–044–00110–1) ...... 45.00 July 1, 2001 18, Vol. I, Parts 1–5 ...... 13.00 3 July 1, 1984 700–End ...... (869–044–00111–7) ...... 53.00 July 1, 2001 18, Vol. II, Parts 6–19 ...... 13.00 3 July 1, 1984 18, Vol. III, Parts 20–52 ...... 13.00 3 July 1, 1984 31 Parts: 19–100 ...... 13.00 3 July 1, 1984 0–199 ...... (869–044–00112–8) ...... 32.00 July 1, 2001 1–100 ...... (869–044–00162–4) ...... 22.00 July 1, 2001 200–End ...... (869–044–00113–6) ...... 56.00 July 1, 2001 101 ...... (869–044–00163–2) ...... 45.00 July 1, 2001 32 Parts: 102–200 ...... (869–044–00164–1) ...... 33.00 July 1, 2001 1–39, Vol. I ...... 15.00 2 July 1, 1984 201–End ...... (869–044–00165–9) ...... 24.00 July 1, 2001 1–39, Vol. II ...... 19.00 2 July 1, 1984 1–39, Vol. III ...... 18.00 2 July 1, 1984 42 Parts: 1–190 ...... (869–044–00114–4) ...... 51.00 6July 1, 2001 1–399 ...... (869–042–00162–1) ...... 53.00 Oct. 1, 2000 ...... 191–399 ...... (869–044–00115–2) ...... 57.00 July 1, 2001 400–429 (869–042–00163–0) 55.00 Oct. 1, 2000 430–End ...... (869–042–00164–8) ...... 57.00 Oct. 1, 2000 400–629 ...... (869–044–00116–8) ...... 35.00 6July 1, 2001 630–699 ...... (869–044–00117–9) ...... 34.00 July 1, 2001 43 Parts: 700–799 ...... (869–044–00118–7) ...... 42.00 July 1, 2001 1–999 ...... (869–042–00165–6) ...... 45.00 Oct. 1, 2000 800–End ...... (869–044–00119–5) ...... 44.00 July 1, 2001 1000–end ...... (869–042–00166–4) ...... 55.00 Oct. 1, 2000 33 Parts: 44 ...... (869–042–00167–2) ...... 45.00 Oct. 1, 2000 1–124 ...... (869–044–00120–9) ...... 45.00 July 1, 2001 45 Parts: 125–199 ...... (869–044–00121–7) ...... 55.00 July 1, 2001 1–199 ...... (869–042–00168–1) ...... 50.00 Oct. 1, 2000 200–End ...... (869–044–00122–5) ...... 45.00 July 1, 2001 200–499 ...... (869–044–00173–0) ...... 31.00 Oct. 1, 2001 34 Parts: 500–1199 ...... (869–042–00170–2) ...... 45.00 Oct. 1, 2000 1–299 ...... (869–044–00123–3) ...... 43.00 July 1, 2001 1200–End ...... (869–044–00175–6) ...... 55.00 Oct. 1, 2001 300–399 ...... (869–044–00124–1) ...... 40.00 July 1, 2001 46 Parts: 400–End ...... (869–044–00125–0) ...... 56.00 July 1, 2001 1–40 ...... (869–042–00172–9) ...... 42.00 Oct. 1, 2000 35 ...... (869–044–00126–8) ...... 10.00 6July 1, 2001 *41–69 ...... (869–044–00177–2) ...... 35.00 Oct. 1, 2001 70–89 ...... (869–042–00174–5) ...... 13.00 Oct. 1, 2000 36 Parts 90–139 ...... (869–042–00175–3) ...... 41.00 Oct. 1, 2000 ...... 1–199 (869–044–00127–6) 34.00 July 1, 2001 140–155 ...... (869–044–00180–2) ...... 24.00 Oct. 1, 2001 ...... 200–299 (869–044–00128–4) 33.00 July 1, 2001 156–165 ...... (869–042–00177–0) ...... 31.00 Oct. 1, 2000 ...... 300–End (869–044–00129–2) 55.00 July 1, 2001 166–199 ...... (869–042–00178–8) ...... 42.00 Oct. 1, 2000 37 (869–044–00130–6) ...... 45.00 July 1, 2001 200–499 ...... (869–044–00183–7) ...... 36.00 Oct. 1, 2001 ...... 38 Parts: 500–End (869–044–00184–5) 23.00 Oct. 1, 2001 0–17 ...... (869–044–00131–4) ...... 53.00 July 1, 2001 47 Parts: 18–End ...... (869–044–00132–2) ...... 55.00 July 1, 2001 0–19 ...... (869–042–00181–8) ...... 54.00 Oct. 1, 2000 *20–39 ...... (869–044–00186–1) ...... 43.00 Oct. 1, 2001 39 ...... (869–044–00133–1) ...... 37.00 July 1, 2001 40–69 ...... (869–042–00183–4) ...... 41.00 Oct. 1, 2000 40 Parts: 70–79 ...... (869–042–00184–2) ...... 54.00 Oct. 1, 2000 1–49 ...... (869–044–00134–9) ...... 54.00 July 1, 2001 80–End ...... (869–042–00185–1) ...... 54.00 Oct. 1, 2000 50–51 ...... (869–044–00135–7) ...... 38.00 July 1, 2001 48 Chapters: 52 (52.01–52.1018) ...... (869–044–00136–5) ...... 50.00 July 1, 2001 1 (Parts 1–51) ...... (869–042–00186–9) ...... 57.00 Oct. 1, 2000 52 (52.1019–End) ...... (869–044–00137–3) ...... 55.00 July 1, 2001 1 (Parts 52–99) ...... (869–042–00187–7) ...... 45.00 Oct. 1, 2000 53–59 ...... (869–044–00138–1) ...... 28.00 July 1, 2001 2 (Parts 201–299) ...... (869–044–00192–6) ...... 53.00 Oct. 1, 2001 60 (60.1–End) ...... (869–044–00139–0) ...... 53.00 July 1, 2001 3–6 ...... (869–042–00189–3) ...... 40.00 Oct. 1, 2000 60 (Apps) ...... (869–044–00140–3) ...... 51.00 July 1, 2001 7–14 ...... (869–042–00190–7) ...... 52.00 Oct. 1, 2000 61–62 ...... (869–044–00141–1) ...... 35.00 July 1, 2001 15–28 ...... (869–044–00195–1) ...... 53.00 Oct. 1, 2001 63 (63.1–63.599) ...... (869–044–00142–0) ...... 53.00 July 1, 2001 29–End ...... (869–044–00196–9) ...... 38.00 Oct. 1, 2001 63 (63.600–63.1199) ...... (869–044–00143–8) ...... 44.00 July 1, 2001 63 (63.1200-End) ...... (869–044–00144–6) ...... 56.00 July 1, 2001 49 Parts: 64–71 ...... (869–044–00145–4) ...... 26.00 July 1, 2001 1–99 ...... (869–044–00197–7) ...... 55.00 Oct. 1, 2001 72–80 ...... (869–044–00146–2) ...... 55.00 July 1, 2001 100–185 ...... (869–044–00202–7) ...... 26.00 Oct. 1, 2001 81–85 ...... (869–044–00147–1) ...... 45.00 July 1, 2001 186–199 ...... (869–042–00195–8) ...... 17.00 Oct. 1, 2000 86 (86.1–86.599–99) ...... (869–044–00148–9) ...... 52.00 July 1, 2001 200–399 ...... (869–042–00196–6) ...... 57.00 Oct. 1, 2000 86 (86.600–1–End) ...... (869–044–00149–7) ...... 45.00 July 1, 2001 400–999 ...... (869–042–00197–4) ...... 58.00 Oct. 1, 2000 87–99 ...... (869–044–00150–1) ...... 54.00 July 1, 2001 1000–1199 ...... (869–044–00202–7) ...... 26.00 Oct. 1, 2001
VerDate 11-MAY-2000 17:53 Dec 07, 2001 Jkt 197001 PO 00000 Frm 00002 Fmt 4721 Sfmt 4721 E:\FR\FM\10DECL.LOC pfrm11 PsN: 10DECL viii Federal Register / Vol. 66, No. 237 / Monday, December 10, 2001 / Reader Aids
Title Stock Number Price Revision Date 1200–End ...... (869–042–00199–1) ...... 21.00 Oct. 1, 2000 50 Parts: 1–199 ...... (869–042–00200–8) ...... 55.00 Oct. 1, 2000 200–599 ...... (869–042–00201–6) ...... 35.00 Oct. 1, 2000 600–End ...... (869–042–00202–4) ...... 55.00 Oct. 1, 2000 CFR Index and Findings Aids ...... (869–044–00047–4) ...... 56.00 Jan. 1, 2001 Complete 2000 CFR set ...... 1,094.00 2000 Microfiche CFR Edition: Subscription (mailed as issued) ...... 298.00 2000 Individual copies ...... 2.00 2000 Complete set (one-time mailing) ...... 247.00 1997 Complete set (one-time mailing) ...... 264.00 1996 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, 2000, through January 1, 2001. The CFR volume issued as of January 1, 2000 should be retained. 5 No amendments to this volume were promulgated during the period April 1, 2000, through April 1, 2001. The CFR volume issued as of April 1, 2000 should be retained. 6 No amendments to this volume were promulgated during the period July 1, 2000, through July 1, 2001. The CFR volume issued as of July 1, 2000 should be retained..
VerDate 11-MAY-2000 17:53 Dec 07, 2001 Jkt 197001 PO 00000 Frm 00003 Fmt 4721 Sfmt 4721 E:\FR\FM\10DECL.LOC pfrm11 PsN: 10DECL