6–12–00 Monday Vol. 65 No. 113 June 12, 2000 Pages 36781–37004

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1 II Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000

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How To Cite This Publication: Use the volume number and the page number. Example: 65 FR 12345.

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2 III

Contents Federal Register Vol. 65, No. 112

Monday, June 12, 2000

Advisory Council on Historic Preservation Corporation for National and Community Service See Historic Preservation, Advisory Council NOTICES Agency information collection activities: Agricultural Marketing Service Submission for OMB review; comment request, 36890– RULES 36891 inspection: Education Department Burley tobacco— Moisture testing, 36781–36782 NOTICES Agency information collection activities: Proposed collection; comment request, 36891–36892 Agriculture Department See Agricultural Marketing Service Energy Department See Animal and Plant Health Inspection Service See Energy Efficiency and Renewable Energy Office See Commodity Credit Corporation See Federal Energy Regulatory Commission See National Agricultural Statistics Service NOTICES Electricity export and import authorizations, permits, etc.: Animal and Plant Health Inspection Service H.Q. Energy Services (U.S.) Inc., 36892 NOTICES Committees; establishment, renewal, termination, etc.: Energy Efficiency and Renewable Energy Office National Poultry Improvement Plan General Conference RULES Committee, 36884–36885 Energy conservation: Meetings: Electric and hybrid vehicle research, development, and National Poultry Improvement Plan General Conference demonstration program; petroleum-equivalent fuel Committee, 36885 economy calculation, 36985–36992 Environmental Protection Agency Centers for Disease Control and Prevention RULES NOTICES Air quality implementation plans; approval and Agency information collection activities: promulgation; various States: Submission for OMB review; comment request, 36815 Arizona, 36788–36790 Pesticides; tolerances in food, animal feeds, and raw Children and Families Administration agricultural commodities: NOTICES Cyprodinil, 36790–36792 Grant and cooperative agreement awards: Solid wastes: InterTribal Bison Cooperative, 36815–36816 Municipal solid waste landfill permit programs; adequacy determinations— Coast Guard West Virginia, 36792–36795 PROPOSED RULES RULES Air quality implementation plans; approval and Ports and waterways safety: promulgation; various States: Cook Inlet, AK; safety zone Arizona, 36807 Correction, 36788 Solid wastes: Municipal solid waste landfill permit programs; adequacy Commerce Department determinations— See Foreign-Trade Zones Board West Virginia, 36807–36808 See International Trade Administration NOTICES See National Oceanic and Atmospheric Administration Meetings: Dioxin reassessment documents; toxicity equivalence Commission of Fine Arts factors for dioxin and related compounds, etc.; peer NOTICES review workshop, 36898–36900 Meetings, 36890 Superfund; response and remedial actions, proposed settlements, etc.: Casmalia Disposal Site, CA, 36900 Commodity Credit Corporation Lancaster Plating Site, NC, 36900 NOTICES Superfund program: Agency information collection activities: Federal Agency Hazardous Waste Compliance Docket; Proposed collection; comment request, 36885–36886 Federal facilities; list update, 36993–37004

Consumer Product Safety Commission Federal Aviation Administration NOTICES RULES Mattresses; standards, labeling, and identification tags; Airworthiness directives: petitions, 36890 International Aero Engines AG, 36783–36785

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PROPOSED RULES Federal Trade Commission Airworthiness directives: NOTICES Airbus, 36801–36803 Meetings: Boeing, 36803–36805 Borderless online marketplace; consumer transactions; McDonnell Douglas, 36799–36801 alternative dispute resolution; public workshop, Airworthiness standards: 36888–36889 Transport category airplanes— Powerplant installations; fire protection requirements, Fine Arts Commission 36977–36983 Federal airways, 36805–36807 See Commission of Fine Arts

Food and Drug Administration Federal Communications Commission RULES PROPOSED RULES Animal drugs, feeds, and related products: Digital television stations; table of assignments: Sponsor name and address changes— Alaska, 36808–36809 ADM Animal Health & Nutrition Division, 36787– Georgia, 36808 36788 Texas, 36809 Food additives: Virginia, 36808 NOTICES Paper and paperboard components— Frequency allocations and radio treaty matters: Imidazolium compounds, 36786–36787 3650-3700 MHz band (extended C-band); government NOTICES Agency information collection activities: transfer, 36900–36903 Proposed collection; comment request, 36816–36817 Medical devices: Federal Energy Regulatory Commission Premarket approval applications, list; safety and NOTICES effectiveness summaries availability, 36817–36818 Electric rate and corporate regulation filings: CED Operating Co., L.P., et al., 36894–36896 Foreign-Trade Zones Board Meetings; Sunshine Act, 36897–36898 NOTICES Applications, hearings, determinations, etc.: Applications, hearings, determinations, etc.: Consumers Energy Co., 36892–36893 Hawaii Discovery Gas Transmission LLC, 36893 Pacific Allied Products, Ltd.; plastic food/beverage Idaho Power Co., 36893 container manufacturing facility, 36887 Indeck Maine Energy, LLC, 36893 Mississippi Koch Gateway Pipeline Co., 36893–36894 Alliant Aerospace Composite Structures Co.; space PG&E Gas Transmission, Northwest Corp., 36894 launch vehicle composite structures manufacturing Sinclair Oil Corp., 36894 plant, 36887 Wester Generating II, Inc., 36894 Tennessee Dell Computer Corp.; personal computer manufacturing Federal Financial Institutions Examination Council facilities, 36887–36888 NOTICES Uniform Retail Credit Classification and Account General Services Administration Management Policy, 36903–36906 NOTICES Environmental statements; availability, etc.: Federal Motor Carrier Safety Administration Washington, DC; Transportation Department; new or PROPOSED RULES renovated headquarters; lease acquisition, 36814– Motor carrier safety standards: 36815 Drivers’ hours of service— Fatigue prevention; driver rest and sleep for safe Health and Human Services Department operations; hearing, 36809–36810 See Centers for Disease Control and Prevention See Children and Families Administration Federal Railroad Administration See Food and Drug Administration NOTICES See Inspector General Office, Health and Human Services Agency information collection activities: Department Submission for OMB review; comment request, 36881– See National Institutes of Health 36882 NOTICES Organization, functions, and authority delegations: System Public Health Service, 36815 NOTICES Banks and bank holding companies: Health Care Financing Administration Change in bank control, 36906 See Inspector General Office, Health and Human Services Department Federal Retirement Thrift Investment Board NOTICES Historic Preservation, Advisory Council Meetings: NOTICES Employee Thrift Advisory Council, 36906 Meetings, 36884

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Housing and Urban Development Department National Credit Union Administration NOTICES RULES Grants and cooperative agreements; availability, etc.: Credit unions: Housing, community development, and empowerment Consumer financial information; privacy requirements, programs and Section 8 housing voucher assistance 36782–36783 (SuperNOFA), 36837–36838 PROPOSED RULES Section 202 projects; assisted living conversion program; Privacy Act; implementation, 36797–36799 correction, 36838–36840 National Institutes of Health NOTICES Inspector General Office, Health and Human Services Meetings: Department National Cancer Institute, 36835–36836 NOTICES National Institute of Allergy and Infectious Diseases, Reports and guidance documents; availability, etc.: 36836 Individual and small group physician practices; Patent licenses; non-exclusive, exclusive, or partially compliance program, 36818–36835 exclusive: BioSeek, Inc., 36836–36837 Interior Department See Land Management Bureau National Oceanic and Atmospheric Administration See Minerals Management Service RULES See Reclamation Bureau Fishery conservation and management: Alaska; fisheries of Exclusive Economic Zone— Internal Revenue Service Pollock; steller sea lion protection measures, 36795– 36796 RULES PROPOSED RULES Income taxes: Fishery conservation and management: Annuities valuation, interests for life or terms of years, Alaska; fisheries of Exclusive Economic Zone— and remainder or reversionary interests; actuarial Atka mackerel, 36810–36813 tables use, 36907–36944 NOTICES Coastal zone management programs and estuarine International Trade Administration sanctuaries: NOTICES State programs— Meetings: Intent to evaluate performance, 36889 Borderless online marketplace; consumer transactions; Permits: alternative dispute resolution; public workshop, Marine mammals, 36889–36890 36888–36889 U.S. Automotive Parts Advisory Committee, 36889 National Science Foundation NOTICES Reports and guidance documents; availability, etc.: International Trade Commission National Assessment Synthesis Report, 36845–36846 NOTICES Import investigations: Nuclear Regulatory Commission EPROM, EEPROM, flash microcontroller semiconductor RULES devices, and products containing same, 36843 Fee schedules revision; 100% fee recovery (2000 FY), Professional electric cutting tools from— 36945–36975 Japan, 36843–36844 NOTICES Safety eyewear and components, 36844 Reports and guidance documents; availability, etc.: Tomatoes and peppers; monitoring reports, 36844–36845 Materials licenses, consolidated guidance— Service provider licenses; program-specific guidance, Land Management Bureau 36846–36847 NOTICES Realty actions; sales, leases, etc.: Public Health Service Arizona, 36840 See Centers for Disease Control and Prevention Resource management plans, etc.: See Food and Drug Administration Cody Resource Area, WY, 36840–36841 See National Institutes of Health

Reclamation Bureau Minerals Management Service NOTICES NOTICES Environmental statements; availability, etc.: Environmental statements; availability, etc.: San Joaquin County, CA; Woodbridge Irrigation District Gulf of Mexico OCS— and City of Lodi’s Lower Mokelumne River Deepwater areas; exploration, development, and Restoration Program, 36842–36843 production activities, 36841–36842 Research and Special Programs Administration National Agricultural Statistics Service NOTICES NOTICES Hazardous materials transportation: Agency information collection activities: Intermediate bulk containers; discharge from motor Proposed collection; comment request, 36886 vehicles, 36882–36884

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Securities and Exchange Commission Veterans Affairs Department NOTICES NOTICES Agency information collection activities: Meetings: Submission for OMB review; comment request, 36847– Women Veterans Advisory Committee, 36884 36848 Self-regulatory organizations; proposed rule changes: American Stock Exchange LLC, 36850–36856 Boston Stock Exchange, Inc., 36856–36857 Separate Parts In This Issue Chicago Stock Exchange, Inc., 36857–36860 National Association of Securities Dealers, Inc., 36860– 36877 Part II Pacific Exchange, Inc., 36877–36878 Department of the Treasury, Internal Revenue Service, Philadelphia Stock Exchange, Inc., 36878–36880 36907–36944 Applications, hearings, determinations, etc.: Public utility holding company filings, 36848–36850 Part III Reunion Industries, Inc., 36850 Nuclear Regulatory Commission, 36945–36975 Sentencing Commission, United States See United States Sentencing Commission Part IV Department of Transportation, Federal Aviation Statistical Reporting Service Administration, 36977–36983 See National Agricultural Statistics Service

Transportation Department Part V See Coast Guard Department of Energy, Energy Efficiency and Renewable See Federal Aviation Administration Energy Office 36985–36992 See Federal Motor Carrier Safety Administration See Federal Railroad Administration See Research and Special Programs Administration Part VI Environmental Protection Agency, 36993–37004 Treasury Department See Internal Revenue Service United States Sentencing Commission Reader Aids NOTICES Consult the Reader Aids section at the end of this issue for Sentencing guidelines and policy statements for Federal phone numbers, online resources, finding aids, reminders, courts, 36880–36881 and notice of recently enacted public laws.

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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.

7 CFR 29...... 36781 10 CFR 170...... 36946 171...... 36946 474...... 36986 12 CFR 716...... 36782 Proposed Rules: 792...... 36797 14 CFR 39...... 36783 Proposed Rules: 25...... 36978 39 (3 documents) ...... 36799, 36801, 36803 71...... 36805 21 CFR 176...... 36786 510...... 36787 26 CFR 1...... 36908 20...... 36908 25...... 36908 33 CFR 165...... 36788 40 CFR 52...... 36788 180...... 36790 258...... 36792 Proposed Rules: 52...... 36807 258...... 36807 47 CFR Proposed Rules: 73 (4 documents) ...... 36808, 36809 49 CFR Proposed Rules: 350...... 36809 390...... 35809 394...... 36809 395...... 36809 398...... 36809 50 CFR 679...... 36795 Proposed Rules: 679...... 36810

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Rules and Regulations Federal Register Vol. 65, No. 113

Monday, June 12, 2000

This section of the FEDERAL REGISTER received no comments on the providing the service as determined by contains regulatory documents having general amendments. the Deputy Administrator, Tobacco applicability and legal effect, most of which This final rule revises the regulations Programs. are keyed to and codified in the Code of governing the permissive inspection of This rule has been determined to be Federal Regulations, which is published under tobacco pursuant to the provisions of ‘‘non significant’’ for purposes of 50 titles pursuant to 44 U.S.C. 1510. the Tobacco Inspection Act (49 Stat. Executive Order 12866, and therefore, The Code of Federal Regulations is sold by 741, 7 U.S.C. 511 et seq.). has not be reviewed by the Office of the Superintendent of Documents. Prices of The Burley Tobacco Advisory Management and Budget. new books are listed in the first FEDERAL Committee made a recommendation at This rule has been reviewed under REGISTER issue of each week. its June 10, 1999, meeting that AMS Executive Order 12988, Civil Justice conduct moisture testing on all burley Reform. This action is not intended to tobacco offered for sale at designated have retroactive effect. This rule will DEPARTMENT OF AGRICULTURE auction markets. The recommendation not preempt any State or local laws, was contingent on successful price regulations, or policies, unless they Agricultural Marketing Service negotiations between the buying present an irreconcilable conflict with segment and burley tobacco warehouse this rule. There are no administrative 7 CFR Part 29 operators. The committee further procedures which must be exhausted [Docket No. TB±99±10] recommended that tobacco marketed in prior to any judicial challenge to the an experimental unitized package be provisions of this rule. RIN 0581±AB65 turned 90 degrees within the row as a Additionally, in conformance with condition of the testing process. the provisions of the Regulatory Tobacco Inspection; Subpart BÐ Flexibility Act (5 U.S.C. 601 et seq.), full Regulations During the 1998–99 marketing season, approximately 60 million pounds of consideration has been given to the AGENCY: Agricultural Marketing Service, burley tobacco was sold in the potential economic impact upon small business. All tobacco warehouses and USDA. experimental unitized package and producers fall within the confines of ACTION: Final rule. tested for moisture content by the ‘‘small business’’ which are defined by warehouse operators. The unitized bale the Small Business Administration (13 SUMMARY: The Agricultural Marketing is a new experimental package CFR 121.201) as those having annual Service (AMS) is adopting, as a final consisting of an even number of receipts of less than $500,000 and small rule, with changes, an interim final rule traditional burley bales with one agricultural service firms are defined as revising the regulations governing additional bale opened and evenly those whose annual receipts are less permissive inspection of tobacco that arranged on top which is securely than $3,500,000. There are special tests and services be provided by bound with metal wires to form a AMS, as requested by the industry. This approximately 190 tobacco warehouses rectangular cube. and approximately 30,000 producers action incorporates recommendations Due to integrity issues between the made by the Burley Tobacco Advisory and most warehouses and producers buying and warehouse segments of the may be classified as small entities. The Committee and the buying segment of industry, it was recommended that a the that moisture Agricultural Marketing Service has third party entity perform the moisture determined that this action will not testing be performed by AMS on all testing. After three months of burley tobacco marketed during the have a significant economic impact on discussions and negotiations by the a substantial number of small entities 1999–2000 marketing season. The buying segment and the Burley Auction revisions will continue to provide because the fees are not mandatory but Warehouse Association, representing 95 apply only when special inspections or regulatory authority to conduct moisture percent of burley tobacco warehouse testing and collect fees and charges for services are requested. This rule operators, a commitment was obtained continues revisions that amended the these services. from the four major tobacco companies EFFECTIVE DATE: July 12, 2000. regulation governing the permissive purchasing burley tobacco to reimburse inspection of tobacco to conduct special FOR FURTHER INFORMATION CONTACT: John AMS $.0020 per pound for providing testing services for interested parties P. Duncan III, Deputy Administrator, moisture testing services. These testing and charge fees to recover the costs of Tobacco Programs, Agricultural services were conducted on all burley providing the service as determined by Marketing Service (AMS), United States tobacco during the 1999–2000 the Deputy Administrator, Tobacco Department of Agriculture (USDA), marketing season, including the Programs. Room 502 Annex Building, P.O. Box traditional lot consisting of a maximum The rule is changed slightly to make 96456, Washington, DC 20090–6456; or of eight bales and the experimental it clearer that the amount of the fees for Fax: (202) 205–0235. unitized package, offered for sale at special tests and services will be SUPPLEMENTARY INFORMATION: The designated markets. determined by agreement. Department published in the Federal Therefore, at the recommendation of Register on December 2, 1999 (64 FR the Burley Tobacco Advisory Committee Lists of Subjects in 7 CFR Part 29 67469) an interim final rule amending and the buying segment of the tobacco Administrative practice and the regulations at 7 CFR part 29, subpart industry, the Department implemented procedure, Advisory committees, B. The Department requested comments revised regulations to conduct special Government publications, Imports, on the regulation. The comment period testing services for interested parties Pesticides and pests, Reporting and expired on January 31, 2000, and AMS and charge fees to recover the costs of recordkeeping requirements, Tobacco.

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Accordingly, the interim final rule receive them as members of the credit all joint account holders. The amending 7 CFR part 29 which was union. commenters noted that the published at 64 FR 67469 on December EFFECTIVE DATE: This rule is effective administrative and financial burden of 2, 1999, is adopted as a final rule with November 13, 2000. However, tracking down joint account holders is the following changes: compliance is not required until July 1, substantial and that one notice is 2001. consistent with other consumer loan PART 29ÐTOBACCO INSPECTION ADDRESSES: National Credit Union regulations. The Board believes that to Subpart BÐPermissive Inspection Administration, 1775 Duke Street, accomplish its goal of protecting Alexandria, Virginia 22314–3428. borrowers and guarantors from the 1. The authority citation for 7 CFR FOR FURTHER INFORMATION CONTACT: sharing of their nonpublic personal part 29, subpart B, continues to read as Mary F. Rupp or Regina M. Metz, Staff information, notice to all borrowers and follows: Attorneys, Division of Operations, guarantors is not necessary and has Authority: 7 U.S.C. 511m and 511r. Office of General Counsel, at the above amended its rule to require notices only address or telephone: (703) 518–6540. 2. Section 29.56 is amended by under limited circumstances. The Board SUPPLEMENTARY INFORMATION: revising the last sentence to read as is amending the rule to provide that a follows: Background credit union must only provide separate notices to individuals, other than the § 29.56 Permissive inspection. On February 24, 2000, the NCUA primary borrower, if a credit union is * * * Special tests and services may Board issued a proposed rule and, on actually sharing nonpublic personal May 8, 2000, a final rule applicable to be performed for interested persons to information about them. the extent that available facilities will all federally-insured credit unions, as permit, subject to the payment of fees as required by the Gramm-Leach-Bliley Act Final Amendment provided in § 29.123. (GLB Act). 65 FR 10988 (March 1, 2000) and 65 FR 31722 (May 18, 2000). The Sections 716.4(f)(2) and 716.7(d)(6) of 3. In § 29.123, paragraph (e) is revised Board received 99 comments on its this amendment only require a credit to read as follows: proposal. The final rule required credit union to provide a separate initial § 29.123 Fees and charges. unions to have a privacy policy and notices and opt out notice to all * * * * * provide certain disclosures and notices borrowers and guarantors if the credit (e) Fees for special tests and services to individuals about whom credit union shares their nonpublic personal will be determined by agreement unions collect nonpublic personal information with nonaffiliated third between the Deputy Administrator, information. In drafting the rule, the parties other than for purposes Tobacco Programs, and the applicant or NCUA participated as part of an permitted under §§ 716.13, 716.14 and applicants for service. interagency group composed of 716.15. In addition, no annual notices representatives from the NCUA, the are required. Dated: June 6, 2000. Federal Trade Commission, the Office of Kathleen A. Merrigan, This amendment does not affect the Comptroller of the Currency, Board of notice requirements for existing Administrator, Agricultural Marketing Governors of the Federal Reserve members in § 716.4(d) or the duty in Service. System, Secretary of the Treasury, and §§ 716.4, 716.5 and 716.7 to provide [FR Doc. 00–14730 Filed 6–9–00; 8:45 am] Securities and Exchange Commission initial, annual and opt out notices to co- BILLING CODE 3410±02±P (collectively, the Agencies). The final rule took into account the unique borrowers and guarantors who have a circumstances of federally-insured member relationship with the credit NATIONAL CREDIT UNION credit unions and their members but, as union, in addition to a co-borrower or ADMINISTRATION required by the GLB Act, was consistent guarantor relationship. Finally, this and comparable with the regulations of provision does not affect the right of a 12 CFR Part 716 the other Agencies. co-borrower or guarantor to opt out as The other Agencies’ final regulations, permitted for other types of joint Privacy of Consumer Financial which were issued after the NCUA, relationships. Information permit a financial institution to provide This provision is effective November AGENCY: National Credit Union a single initial notice and opt out notice 13, 2000, and compliance is mandatory Administration (NCUA). if two or more consumers jointly obtain July 1, 2001. This means that, like the ACTION: Final rule. a financial product or service. Unlike recently passed final rule, all notices the other Agencies, NCUA’s rule required by this amendment must be SUMMARY: The NCUA Board is issuing a specifically excluded from the mailed by July 1, 2001. 65 FR at 31749. final rule to amend the requirements for provisions governing joint relationships, privacy and opt out notice where there the authority to provide only one notice The Board is issuing this rule as a is a joint relationship on a loan. The in the case of a loan. 65 FR at 31743, final rule because it decreases the amendment provides that a credit union 31745. The Board’s rationale for the regulatory burden and there is a strong is required to provide a separate initial exclusion was that ‘‘co-makers and public interest in having a final privacy notice and a separate opt out notice to guarantors should receive the notice and rule in place that allows federally- each borrower and guarantor only if the right to opt out because of the extent insured credit unions ample time to credit union actually shares their and nature of nonpublic personal comply. Accordingly, and for good nonpublic personal information with information provided to the credit cause, because the rule decreases the nonaffiliated third parties outside of one union in conjunction with these types of regulatory burden, pursuant to 5 U.S.C. of the permissible exceptions. This transactions.’’ 65 FR at 31728. Upon 553(b)(3)(B), notice and public amendment does not affect the right of further reflection, the Board is procedures are impracticable, borrowers and guarantors to receive persuaded by the 50 commenters that unnecessary, and contrary to the public notices if they are otherwise entitled to objected to requiring separate notices for interest.

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Regulatory Procedures D. Small Business Regulatory §§ 716.13, 716.14 and 716.15. (ii) You Enforcement Fairness Act may satisfy the annual notice A. Paperwork Reduction Act The Small Business Regulatory requirements of § 716.5 by providing The final rule does not impose any Enforcement Fairness Act of 1996 (Pub. one notice to those borrowers and additional paperwork requirements on L. 104–121) provides generally for guarantors jointly. federally-insured credit unions. congressional review of agency rules. A * * * * * reporting requirement is triggered in 3. Amend § 716.7 by adding B. Regulatory Flexibility Act instances where NCUA issues a final paragraphs (d)(6) to read as follows: The Regulatory Flexibility Act (5 rule as defined by Section 551 of the Administrative Procedures Act. 5 U.S.C. § 716.7 Form of opt out notice to U.S.C. 601–612) requires, subject to consumers and opt out methods. certain exceptions, that NCUA prepare 551. NCUA has recommended to The Office of Management and Budget that * * * * * an initial regulatory flexibility analysis it determine that this is not a major rule, (d) * * * (IRFA) with a proposed rule and a final and is awaiting its determination. (6) Special rule for loans. (i) You are regulatory flexibility analysis (FRFA) required to provide an initial opt out with a final rule, unless NCUA certifies E. The Treasury and General notice to a borrower or guarantor on a that the rule will not have a significant Government Appropriations Act, 1999— loan if you share his or her nonpublic economic impact on a substantial Assessment of Federal Regulations and personal information with nonaffiliated number of small credit unions. For Policies on Families third parties other than for purposes purposes of the Regulatory Flexibility NCUA has determined that the final under §§ 716.13, 716.14 and 716.15. Act, and in accordance with NCUA’s rule will not affect family well-being (ii) You may satisfy your annual opt authority under 5 U.S.C. 601(4), NCUA within the meaning of section 654 of the out notice requirement by providing one has determined that small credit unions Treasury and General Government notice to those borrowers and are those with less than one million Appropriations Act, 1999, Public Law guarantors jointly. dollars in assets. See 12 CFR 791.8(a). 105–277, 112 Stat. 2681 (1998). * * * * * NCUA’s final rule will apply to Agency Regulatory Goal [FR Doc. 00–14785 Filed 6–9–00; 8:45 am] approximately 1,626 small credit BILLING CODE 7535±01±U unions, out of a total of approximately NCUA’s goal is clear, understandable 10,627 federally-insured credit unions. regulations that impose minimal regulatory burden. This rule reduces a DEPARTMENT OF TRANSPORTATION The NCUA Board has determined and requirement for federally-insured credit certifies that the final rule will not have unions and so it meets the agency’s goal Federal Aviation Administration a significant economic impact on a of reducing regulatory burden. substantial number of small credit 14 CFR Part 39 union. The reason for this determination List of Subjects 12 CFR Part 716 is that the final rule decreases the Consumer protection, Credit unions, [Docket No. 98±ANE±45±AD; Amendment 39±11783; AD 2000±12±05] regulatory burden for all federally- Privacy, Reporting and recordkeeping insured credit union. This will result in requirements. RIN 2120±AA64 reduced costs for all federally-insured By the National Credit Union credit unions. Administration Board on June 5, 2000. Airworthiness Directives; International Becky Baker, Aero Engines AG V2500±A1/±A5/±D5 C. Executive Order 13132 Series Turbofan Engines Secretary of the Board. Executive Order 13132 encourages For the reasons set out in the AGENCY: Federal Aviation independent regulatory agencies to preamble, NCUA amends 12 CFR part Administration, DOT. consider the impact of their regulatory 716 as follows: ACTION: Final rule. actions on state and local interests. In adherence to fundamental federalism PART 716ÐPRIVACY OF CONSUMER SUMMARY: This amendment supersedes principles, NCUA, an independent FINANCIAL INFORMATION an existing airworthiness directive (AD), applicable to International Aero Engines regulatory agency as defined in 44 1. The authority citation for part 716 AG (IAE) V2500–A1/–A5/–D5 series U.S.C. 3502(5), voluntarily complies continues to read as follows: turbofan engines, that requires revisions with the executive order. This final rule Authority: 15 U.S.C. 6801 et seq., 12 U.S.C. to the Airworthiness Limitations will apply to all federally-insured credit 1751 et seq. Section (ALS) and Maintenance unions, but it will not have substantial Scheduling Section (MSS) of the direct effects on the states, on the 2. Amend § 716.4 by redesignating paragraph (f) as paragraph (f)(1) and Instructions for Continued relationship between the national Airworthiness (ICA), located in the government and the states, or on the adding paragraphs (f)(2) to read as follows: Time Limits Manual (Chapter 05–10–00) distribution of power and of the Engine Manuals, to include responsibilities among the various § 716.4 Initial privacy notice to consumers required enhanced inspection of levels of government. Section 507 of the required. selected critical life-limited parts at GLB Act states that state law may * * * * * each piece-part exposure. This action provide greater consumer protections (f)(1) * * * would add additional critical life- than this proposed rule. In that event, (2) Special rule for loans. (i) You are limited parts for enhanced inspection. federal law would not preempt state required to provide an initial notice to This action is prompted by additional law. NCUA has determined the final a borrower or guarantor on a loan if you focused inspection procedures that have rule does not constitute a policy that has share his or her nonpublic personal been developed by the manufacturer. federalism implications for purposes of information with nonaffiliated third The actions specified by this AD are the executive order. parties other than for purposes under intended to prevent critical life-limited

VerDate 112000 11:24 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\12JNR1.SGM pfrm02 PsN: 12JNR1 36784 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations rotating engine part failure, which could manufacturer to issue a manual list of parts that must be inspected, but result in an uncontained engine failure revision. The FAA does not believe, did not proposed to change how air and damage to the airplane. however, that this final rule need be carriers must manage the inspection DATES: Effective date August 11, 2000. delayed pending the publication of the program. Future AD’s may be issued to ADDRESSES: The rulemaking docket may inspection procedures, or extend the introduce additional intervention be examined at the Federal Aviation initial compliance time to accommodate strategies in order to further reduce Administration (FAA), New England the manufacturer’s manual revision uncontained engine failures, including Region, Office of the Regional Counsel, cycle. AD’s that add new parts to the list of 12 New England Executive Park, Time Limits Manual parts requiring inspection. However, the Burlington, MA. inspection program established by the One commenter states that paragraph FOR FURTHER INFORMATION CONTACT: current AD will remain unless (a) of the Compliance section refers to specifically altered in a future proposal. Diane Cook, Aerospace Engineer, Engine the V2500 Time Limits Manuals as if Certification Office, FAA, Engine and they are part of the V2500 Engine Request To Remove ‘‘of This Chapter’’ Propeller Directorate, 12 New England Manuals. However, the Time Limits From Paragraph (e) of the Compliance Executive Park, Burlington, MA 01803– Manuals are separate documents with Section 5299; telephone (781) 238–7133, fax part numbers T–V2500–1IA and T– One commenter requests that the FAA (781) 238–7199. V2500–3IA. The commenter believes remove the statement ‘‘of this chapter’’ SUPPLEMENTARY INFORMATION: A that all references to the Engine from the first sentence of paragraph (e) proposal to amend part 39 of the Federal Manuals and their part numbers should of this AD. The commenter feels that Aviation Regulations (14 CFR part 39) be replaced with references to the Time removing the statement will improve by superseding AD 99–08–11, Limits Manuals and their part numbers. the clarity of the paragraph. The FAA Amendment 39–11117 (64 FR 17956, The FAA does not concur. The V2500 agrees. The statement ‘‘of this chapter’’ April 13, 1999), to require revisions to Engine Manuals E–V2500–1IA and E– has been removed from the first the Airworthiness Limitations Section 2500–3IA contain the required sentence of paragraph (e). (ALS) and Maintenance Scheduling Instructions for Continued Section (MSS) of the Instructions for Airworthiness, including the Chapter 5 Economic Analysis Continued Airworthiness (ICA), located Time Limits Manual section. Since the No comments were received on the in the Time Limits Manual (Chapter 05– Time Limits Manuals T–V2500–1IA and economic analysis contained in the 10–00) of the Engine Manuals, for T–V2500–3IA are referenced in the proposed rules. The FAA has International Aero Engines AG (IAE) V2500 Engine Manual chapter 5 determined that the annual cost of V2500–A1/–A5/–D5 series turbofan requirements, the AD references the complying with this AD does not create engines to include focused inspection Engine Manuals. a significant economic impact on small procedures for additional critical life- entities. limited parts at each piece-part Compliance Section Paragraph exposure was published in the Federal Identification Adoption of the Proposed Rule Register on October 7, 1999 (64 FR One commenter notes that the After careful review of the available 54580). This AD will also require an air Compliance Section of the proposed data, including the comments noted carrier’s approved continuous rule does not conform to FAA’s above, the FAA has determined that air airworthiness maintenance program to conventional paragraph identification safety and the public interest require the incorporate these additional inspection structure (e.g. a, 1, i, etc.). The FAA adoption of the rule with the changes procedures. concurs and the paragraph structure described previously. The FAA has Interested persons have been afforded will be changed. Additionally, an error determined that these changes will an opportunity to participate in the was discovered in the proposed neither increase the economic burden making of this amendment. Due supersedure and paragraph (a)(2) has on any operator nor increase the scope consideration has been given to the been changed from ‘‘Whenever a Group of the AD. comments received. A part identified in this paragraph (see 2.1 for definition of Group A) * * * to Regulatory Impact Publication of Inspection Procedures ‘‘Whenever a Group A part identified in This final rule does not have Two commenters request that the this paragraph (see 3.0 for definition of federalism implications, as defined in comment period be extended until after Group A) * * * Also, it was determined Executive Order 13132, because it does the proposed inspection procedures that subparagraph designators (a)(2) (A) not have a substantial direct effect on have been provided to operators to and (B) were unnecessary and they have the States, on the relationship between allow time to review those inspection been dropped. the national government and the States, procedures. The FAA does not agree. or on the distribution of power and The FAA believes that the nature and Discussion Section Wording responsibilities among the various scope of the added inspections will not One commenter notes that the levels of government. Accordingly, the be significantly different from existing preamble published with this Notice of FAA has not consulted with state inspections. However, the effective date Proposed Rulemaking (NPRM) does not authorities prior to publication of this of this AD has been extended to 90 days include the same explaination of when final rule. after publication to allow time for the the enhanced disk inspections are For the reasons discussed above, I specific procedures to be published. required compared to the preamble certify that this action: (1) Is not a Operators may submit comments on the published for the current AD. This ‘‘significant regulatory action’’ under specific procedures once they are commenter requests that those Executive Order 12866; (2) is not a published and the FAA will consider guidelines be added to the final rule. ‘‘significant rule’’ under DOT extending the effective date further or The FAA does not agree. The inspection Regulatory Policies and Procedures (44 initiating additional rulemaking, as program established by the current AD FR 11034, February 26, 1979); and (3) necessary. The extra time until the AD remains unchanged. This NPRM will not have a significant economic becomes effective should also allow the proposed to add additional parts to the impact, positive or negative, on a

VerDate 112000 11:24 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4700 Sfmt 4700 E:\FR\FM\12JNR1.SGM pfrm02 PsN: 12JNR1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36785 substantial number of small entities 2000–12–05 International Aero Engines Inspections under the criteria of the Regulatory AG: Amendment 39–11783. Docket No. (a) Within the next 90 days after the Flexibility Act. A final evaluation has 98–ANE–45–AD. Supersedes AD 99–08– effective date of this AD, revise the been prepared for this action and it is 11, Amendment 39–11117. Airworthiness Limitations Section (ALS) and contained in the Rules Docket. A copy Applicable Engines Maintenance Scheduling Section (MSS) of the Instructions for Continued Airworthiness of it may be obtained from the Rules International Aero Engines AG (IAE) Docket at the location provided under V2500–A1/–A5/–D5 series turbofan engines, (ICA), located in the Time Limits Manual the caption ADDRESSES. installed on but not limited to Airbus (Chapter 05–10–00) of the Engine Manuals, part number (P/N) E–V2500–1IA and P/N E– List of Subjects in 14 CFR Part 39 Industrie A319, A320, and A321 series, and McDonnell Douglas MD–90 series airplanes. V2500–3IA, and for air carrier operations revise the approved continuous Air transportation, Aircraft, Aviation Note 1: This airworthiness directive (AD) airworthiness maintenance program, by safety, Safety. applies to each engine identified in the (1) Adding the following to paragraph 1, preceding applicability provision, regardless Adoption of the Amendment entitled ‘‘Airworthiness Limitations:’’ ‘‘Refer of whether it has been modified, altered, or to paragraph 2—Maintenance Scheduling for Accordingly, pursuant to the repaired in the area subject to the information that sets forth the operator’s authority delegated to me by the requirements of this AD. For engines that Administrator, the Federal Aviation have been modified, altered, or repaired so maintenance requirements for the V2500 On- Condition engine.’’ Administration amends part 39 of the that the performance of the requirements of this AD is affected, the owner/operator must (2) Adding the following paragraph 2, Federal Aviation Regulations (14 CFR entitled ‘‘Maintenance Scheduling:’’ part 39) as follows: request approval for an alternative method of compliance in accordance with paragraph (c) ‘‘Whenever a Group A part identified in this PART 39ÐAIRWORTHINESS of this AD. The request should include an paragraph (see 3.0 for definition of Group A) satisfies both of the following conditions: DIRECTIVES assessment of the effect of the modification, alteration, or repair on the unsafe condition The part is considered completely 1. The authority citation for part 39 addressed by this AD; and, if the unsafe disassembled when accomplished in continues to read as follows: condition has not been eliminated, the accordance with the disassembly instructions request should include specific proposed in the engine manufacturer’s engine manual; Authority: 49 U.S.C. 106(g), 40113, 44701. actions to address it. and § 39.13 [Amended] The part has accumulated more than 100 Compliance cycles in service since the last piece-part 2. Section 39.13 is amended by Required as indicated, unless opportunity inspection, provided that the removing Amendment 39–11117 (64 FR accomplished previously. part was not damaged or related to the cause 17956, April 13, 1999), and by adding To prevent critical life-limited rotating for its removal from the engine; then that part a new airworthiness directive, engine part failure, which could result in an is considered to be at the piece-part level and Amendment 39–11783, to read as uncontained engine failure and damage to it is mandatory to perform the inspections for follows: the airplane, accomplish the following: that part as specified in the following:

Part nomenclature Part No. (P/N) Inspect per engine manual chapter

Fan Disk ...... All ...... Chapter 72±31±12, Subtask 72±31±12±230±054. Stage 1 HP Turbine Hub ...... All ...... Chapter 72±45±11, Task 72±45±11±200±002. Stage 2 HP Turbine Hub ...... All ...... Chapter 72±45±31, Task 72±45±31±200±004''.

(b) Except as provided in paragraph (c) of 21.197 and 21.199) to operate the airplane to require the maintenance records be this AD, and notwithstanding contrary a location where the requirements of this AD maintained either indefinitely or until the provisions in section 43.16 of the Federal can be accomplished. work is repeated. Records of the piece-part Aviation Regulations (14 CFR 43.16), these Continuous Airworthiness Maintenance inspections are not required under mandatory inspections shall be performed Program § 121.380(a)(2)(vi) of the Federal Aviation only in accordance with the ALS and MSS Regulations [14 CFR 121.380(a)(2)(vi)]. All of the ICA in the Time Limits Manual (e) FAA-certificated air carriers that have other operators must maintain the records of (Chapter 05–10–00) of the Engine Manuals, an approved continuous airworthiness mandatory inspections required by the P/N E–V2500–1IA and P/N E–V2500–3IA. maintenance program in accordance with the recordkeeping requirement of § 121.369(c) of applicable regulations governing their Alternative Methods of Compliance the Federal Aviation Regulations [14 CFR operations. (c) An alternative method of compliance or 121.369(c)] must maintain records of the Note 3: The requirements of this AD have mandatory inspections that result from adjustment of the compliance time that been met when the engine manual changes provides an acceptable level of safety may be revising the ALS and MSS of the ICA in the Time Limits Manual (Chapter 05–10–00) of are made and air carriers have modified their used if approved by the Engine Certification continuous airworthiness maintenance plans Office (ECO). Operators shall submit their the Engine Manuals, P/N E–V2500–1IA and to reflect the requirements in the Engine requests through an appropriate FAA P/N E–V2500–3IA, and the air carrier’s Principal Maintenance Inspector (PMI), who continuous airworthiness program. Manuals. may add comments and then send it to the Alternately, certificated air carriers may (f) This amendment becomes effective on establish an approved system of record ECO. August 11, 2000. retention that provides a method for Note 2: Information concerning the preservation and retrieval of the maintenance Issued in Burlington, Massachusetts, on existence of approved alternative methods of records that include the inspections resulting June 6, 2000. compliance with this airworthiness directive, from this AD, and include the policy and David A. Downey, if any, may be obtained from the ECO. procedures for implementing this alternate method in the air carrier’s maintenance Assistant Manager, Engine and Propeller Ferry Flights manual required by § 121.369(c) of the Directorate, Aircraft Certification Service. (d) Special flight permits may be issued in Federal Aviation Regulations [14 CFR [FR Doc. 00–14787 Filed 6–9–00; 8:45 am] accordance with sections 21.197 and 21.199 121.369(c)]; however, the alternate system BILLING CODE 4910±13±P of the Federal Aviation Regulations (14 CFR must be accepted by the appropriate PMI and

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DEPARTMENT OF HEALTH AND unsaturated amido)ethyl]-4,5-dihydro-1- made and the grounds for the objection. HUMAN SERVICES methyl, methyl sulfates as a debonding Each numbered objection on which a agent in the manufacture of paper hearing is requested shall specifically so Food and Drug Administration intended for use in contact with food. state. Failure to request a hearing for The name of the additive was incorrect any particular objection shall constitute 21 CFR Part 176 in the June 4, 1999, notice, but is being a waiver of the right to a hearing on that [Docket No. 99F±1581] used correctly as imidazolium objection. Each numbered objection for compounds, 2–(C17 and C17-unsaturated which a hearing is requested shall Indirect Food Additives: Paper and alkyl)-1–[2–(C18 and C18-unsaturated include a detailed description and Paperboard Components amido)ethyl]-4,5-dihydro-1-methyl, analysis of the specific factual methyl sulfates in this document. information intended to be presented in AGENCY: Food and Drug Administration, FDA has evaluated data in the support of the objection in the event HHS. petition and other relevant material. that a hearing is held. Failure to include ACTION: Final rule. Based on this information, the agency such a description and analysis for any concludes that the proposed use of the particular objection shall constitute a SUMMARY: The Food and Drug additive is safe, that the additive will waiver of the right to a hearing on the Administration (FDA) is amending the achieve its intended technical effect, objection. Three copies of all documents food additive regulations to provide for and therefore, that the regulations in are to be submitted and are to be the safe use of imidazolium compounds, §§ 176.170 and 176.180 should be identified with the docket number 2–(C and C -unsaturated alkyl)-1–[2– 17 17 amended as set forth below. found in brackets in the heading of this (C and C -unsaturated amido)ethyl]- 18 18 In accordance with § 171.1(h) (21 CFR document. Any objections received in 4,5-dihydro-1-methyl, methyl sulfates as 171.1(h)), the petition and the response to the regulation may be seen a debonding agent in the manufacture of documents that FDA considered and in the Dockets Management Branch paper and paperboard intended for use relied upon in reaching its decision to between 9 a.m. and 4 p.m., Monday in contact with aqueous and fatty food approve the petition are available for through Friday. and in contact with dry food. This inspection at the Center for Food Safety action is in response to a petition filed and Applied Nutrition by appointment List of Subjects in 21 CFR Part 176 by Witco Corp. with the information contact person Food additives, Food packaging. DATES: This rule is effective June 12, listed above. As provided in § 171.1(h), 2000. Submit written objections and the agency will delete from the Therefore, under the Federal Food, requests for a hearing by July 12, 2000. documents any materials that are not Drug, and Cosmetic Act and under ADDRESSES: Submit written objections to available for public disclosure before authority delegated to the Commissioner the Dockets Management Branch (HFA– making the documents available for of Food and Drugs, and redelegated to 305), Food and Drug Administration, inspection. the Director, Center for Food Safety and 5630 Fishers Lane, rm. 1061, Rockville, The agency has carefully considered Applied Nutrition, 21 CFR part 176 is MD 20852. the environmental effects of this rule as amended as follows: announced in the notice of filing for the FOR FURTHER INFORMATION CONTACT: Vir petition. No new information or PART 176ÐINDIRECT FOOD D. Anand, Center for Food Safety and comments have been received that ADDITIVES: PAPER AND Applied Nutrition (HFS–215), Food and would affect the agency’s previous PAPERBOARD COMPONENTS Drug Administration, 200 C St. SW., determination that there is no Washington, DC 20204, 202–418–3081. significant impact on the human 1. The authority citation for 21 CFR SUPPLEMENTARY INFORMATION: In a notice environment and that an environmental part 176 continues to read as follows: published in the Federal Register of impact statement is not required. Authority: 21 U.S.C. 321, 342, 346, 348, June 4, 1999 (64 FR 30038), FDA This final rule contains no collections 379e. announced that a food additive petition of information. Therefore, clearance by (FAP 9B4669) had been filed by Witco the Office of Management and Budget 2. Section 176.170 is amended in the Corp., One American Lane, Greenwich, under the Paperwork Reduction Act of table in paragraph (a)(5) by CT 06831–2559. The petition proposed 1995 is not required. alphabetically adding an entry under to amend the food additive regulations Any person who will be adversely the headings ‘‘List of substances’’ and in § 176.170 Components of paper and affected by this regulation may at any ‘‘Limitations’’ to read as follows: paperboard in contact with aqueous and time file with the Dockets Management fatty foods (21 CFR 176.170) and Branch (address above) written § 176.170 Components of paper and paperboard in contact with aqueous and § 176.180 Components of paper and objections by July 12, 2000. Each fatty foods. paperboard in contact with dry food (21 objection shall be separately numbered, CFR 176.180) to provide for the safe use and each numbered objection shall * * * * * of imidazolium compounds, 2–(C17 and specify with particularity the provisions (a) * * * C17-unsaturated alkyl)-[2–(C18 and C18- of the regulation to which objection is (5) * * *

List of substances Limitations

******* Imidazolium compounds, 2±(C17 and C17-unsaturated alkyl)-1±[2±(C18 For use only at a level not to exceed 0.5 percent by weight of the dry and C18-unsaturated amido)ethyl]-4,5-dihydro-1-methyl, methyl paper and paperboard. sulfates (CAS Reg. No. 72749±55±4).

*******

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* * * * * the headings ‘‘List of substances’’ and § 176.180 Components of paper and paperboard in contact with dry food. 3. Section 176.180 is amended in the ‘‘Limitations’’ to read as follows: table in paragraph (b)(2) by * * * * * alphabetically adding an entry under (b) * * * (2) * * *

List of substances Limitations

******* Imidazolium compounds, 2±(C17 and C17-unsaturated alkyl)-1±[2±(C18 For use only at levels not to exceed 0.5 percent by weight of the dry and C18-unsaturated amido)ethyl]-4,5-dihydro-1-methyl, methyl paper and paperboard. sulfates (CAS Reg. No. 72749±55±4).

*******

Dated: May 31, 2000. FOR FURTHER INFORMATION CONTACT: Therefore, under the Federal Food, L. Robert Lake, Norman J. Turner, Center for Veterinary Drug, and Cosmetic Act and under Director of Regulations and Policy, Center Medicine (HFV–102), Food and Drug authority delegated to the Commissioner for Food Safety and Applied Nutrition. Administration, 7500 Standish Pl., of Food and Drugs and redelegated to [FR Doc. 00–14700 Filed 6–9–00; 8:45 am] Rockville, MD 20855, 301–827–0214. the Center for Veterinary Medicine, 21 BILLING CODE 4160±01±F SUPPLEMENTARY INFORMATION: ADM CFR part 510 is amended as follows: Animal Health & Nutrition Division, PART 510ÐNEW ANIMAL DRUGS DEPARTMENT OF HEALTH AND P.O. Box 2508, Fort Wayne, IN 46801– 2508, has informed FDA of a change of HUMAN SERVICES 1. The authority citation for 21 CFR sponsor’s address to 1000 North 30th part 510 continues to read as follows: Food and Drug Administration St., Box 1C, Quincy, IL 62305–3115. Accordingly, the agency is amending Authority: 21 U.S.C. 321, 331, 351, 352, 21 CFR Part 510 the regulations in 21 CFR 510.600(c)(1) 353, 360b, 371, 379e. and (c)(2) to reflect the change of New Animal Drugs; Change of sponsor’s address. 2. Section 510.600 is amended in the Sponsor's Address This rule does not meet the definition table in paragraph (c)(1) by revising the entry for ‘‘ADM Animal Health & AGENCY: Food and Drug Administration, of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because it is a rule of ‘‘particular applicability.’’ Nutrition Division’’ and in the table in HHS. paragraph (c)(2) by revising the entry for ACTION: Final rule. Therefore, it is not subject to the congressional review requirements in 5 ‘‘017519’’ to read as follows: SUMMARY: The Food and Drug U.S.C. 801–808. § 510.600 Names, addresses, and drug Administration (FDA) is amending the List of Subjects in 21 CFR Part 510 labeler codes of sponsors of approved animal drug regulations to reflect a applications. change of sponsor’s address for ADM Administrative practice and * * * * * Animal Health & Nutrition Division. procedure, Animal drugs, Labeling, DATES: This rule is effective June 12, Reporting and recordkeeping (c) * * * 2000. requirements. (1) * * *

Firm name and address Drug labeler code

*******

ADM Animal Health & Nutrition Division, 1000 North 30th St., Box 1C, 017519 Quincy, IL 62305±3115 *******

(2) * * *

Drug labeler code Firm name and address

*******

017519 ADM Animal Health & Nutrition Division, 1000 North 30th St., Box 1C, Quincy, IL 62305±3115 *******

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Dated: May 29, 2000. Dated: June 6, 2000. Hawthorne Street, San Francisco, CA Claire M. Lathers, W.J. Hutmacher, 94105–3901, (415) 744–1135. Director, Office of New Animal Drug Captain, U.S. Coast Guard, Captain of the SUPPLEMENTARY INFORMATION: Evaluation, Center for Veterinary Medicine. Port, Western Alaska. Throughout this document wherever [FR Doc. 00–14699 Filed 6–9–00; 8:45 am] [FR Doc. 00–14843 Filed 6–8–00; 3:25 pm] ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ are used, we mean BILLING CODE 4160±01±F BILLING CODE 4910±15±P EPA.

Table of Contents DEPARTMENT OF TRANSPORTATION ENVIRONMENTAL PROTECTION I. The State’s Submittal A. What rule did the State submit? AGENCY Coast Guard B. Are there other versions of this rule? C. What is the purpose of the submitted 40 CFR Part 52 rule? 33 CFR Part 165 II. EPA’s Evaluation and Action [AZ 086±0207a; FRL±6710±5] [COTP Western Alaska 00±002] A. How is EPA evaluating the rule? B. Does the rule meet the evaluation RIN 2115±AA97 Approval and Promulgation of criteria? Implementation Plans; Arizona State C. Public comment and final action. Safety Zone; Port Graham, Cook Inlet, Implementation Plan Revision, III. Background Information Alaska Maricopa County Environmental Why was this rule submitted? Services Department IV. Administrative Requirements AGENCY: Coast Guard, DOT. ACTION: Temporary final rule; AGENCY: Environmental Protection I. The State’s Submittal Agency (EPA). correction. A. What rule did the State submit? ACTION: Direct final rule. SUMMARY: This document corrects a The rule we are approving for temporary final rule published in the SUMMARY: EPA is taking direct final incorporation into the Arizona SIP is Federal Register of May 15, 2000, action to approve revisions to the MCESD Rule 347, Ferrous Sand Casting. concerning temporary regulations at Maricopa County Environmental This rule was adopted on March 4, 1998 Port Graham, Cook Inlet, Alaska and the Services Department portion of the by the MCESD and submitted to us on heavy-lift vessel SWAN. That document Arizona State Implementation Plan August 4, 1999 by the Arizona contained an arrival date that has been (SIP). These revisions concern volatile Department of Environmental Quality. changed; thus a correction is necessary. organic compound (VOC) emissions On August 25, 1999, this rule submittal DATES: The temporary final rule from ferrous sand casting operations. was found to meet the completeness published on May 15, 2000 is effective We are approving local rules that criteria in 40 CFR part 51, appendix V, beginning on June 10, 2000. regulate these emission sources under which must be met before formal EPA the Clean Air Act as amended in 1990 review. FOR FURTHER INFORMATION CONTACT: (CAA or the Act). Lieutenant Commander Rick Rodriguez, B. Are there other versions of this rule? DATES: This rule is effective on August Chief of Port Operations, USCG Marine There is no previous version of 11, 2000 without further notice, unless Safety Office, Anchorage, at (907) 271– MCESD Rule 347 in the SIP. There are EPA receives adverse comments by July 6724. no previous submittals on which we 12, 2000. If we receive such comment, SUPPLEMENTARY INFORMATION: have not acted. we will publish a timely withdrawal in Correction the Federal Register to notify the public C. What is the purpose of the submitted In temporary final rule FR Doc 00– that this rule will not take effect. rule? 12151, the effective date is no longer ADDRESSES: Mail comments to Andrew MCESD Rule 347 limits the amount of correct because the arrival date for the Steckel, Chief, Rulemaking Office, AIR– volatile organic compounds (VOCs) vessel has been changed to June 10, 4, Air Division, U.S. Environmental emitted by organic binder materials and 2000 instead of June 12, 2000 and a Protection Agency, Region IX, 75 other organic materials used in molds correction is needed. Hawthorne Street, San Francisco, CA made of sand or other finely divided Correction of publication. 94105. refractory material in ferrous metal sand Accordingly, the publication on May You can inspect copies of the casting operations. The emission of VOC 15, 2000, of the temporary final rule submitted rule and our technical is limited to 150 pounds per day or 25 [COTP Western Alaska 00–002], which support document (TSD) at our Region tons per year, unless VOC emissions are is the subject of FR Doc. 00–12151, is IX office from 8:00 am to 4:30 pm, controlled by a device with at least 81% corrected as follows: Monday through Friday. To see copies capture or by maintaining an organic 1. On page 30885, second column, in of the submitted rule, you may also go binder to sand ratio of less than 1.35 to the DATES section, remove the words to the following locations: 100 by weight. The TSD has more ‘‘June 12, 2000’’ and add in their place Arizona Department of Environmental information about this rule. the words ‘‘ June 10, 2000’’. Quality, 3033 North Central Avenue, II. EPA’s Evaluation and Action 2. On page 30886, first column, in Phoenix, AZ 85012 amendatory instruction number 2, Maricopa County Environmental A. How is EPA evaluating the rule? remove the words ‘‘June 12, 2000’’ and Services Department, Air Quality Generally, SIP rules must be add in their place the words ‘‘ June 10, Division, 1001 North Central Avenue, enforceable (see section 110(a) of the 2000’’. Suite 201, Phoenix, AZ 85004 Act), must require Reasonably Available 3. On page 30886, second column, FOR FURTHER INFORMATION CONTACT: Al Control Technology (RACT) for major paragraph (b), remove the words ‘‘June Petersen, Rulemaking Office (AIR–4), sources in nonattainment areas (see 12, 2000’’ and add in their place the Air Division, U.S. Environmental section 182(a)(2)(A)), and must not relax words ‘‘ June 10, 2000’’. Protection Agency, Region IX, 75 existing requirements (see sections

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110(l) and 193). The MCESD regulates a B. Does the Rule Meet the Evaluation Federal Register to notify the public serious ozone nonattainment area (see Criteria? that the direct final approval will not 40 CFR part 81), so MCESD Rule 347 We believe the rule is consistent with take effect and we will address the must fulfill the requirements of RACT. the relevant policy and guidance comments in a subsequent final action Guidance and policy documents that regarding enforceability, RACT, and SIP based on the proposal. If we do not we used to define specific enforceability relaxations. The TSD has more receive timely adverse comments, the and RACT requirements include the information on our evaluation. direct final approval will be effective following: without further notice on August 11, 1. Portions of the proposed post-1987 C. Public Comment and Final Action. 2000. This will incorporate this rule ozone and carbon monoxide policy that As authorized in section 110(k)(3) of into the federally enforceable SIP. concern RACT, 52 FR 45044, November the Act, EPA is approving the submitted III. Background Information 24, 1987. rule because we believe it fulfills all 2. ‘‘Issues Relating to VOC Regulation relevant requirements. We do not think Why was this rule submitted? Cutpoints, Deficiencies, and Deviations; anyone will object to this, so we are VOCs help produce ground-level Clarification to Appendix D of finalizing the approval without ozone and smog, which harm human November 24, 1987 Federal Register proposing it in advance. However, in health and the environment. Section Notice,’’ (Blue Book), notice of the Proposed Rules section of this 110(a) of the CAA requires states to availability published in the May 25, Federal Register, we are simultaneously submit regulations that control VOC 1988 Federal Register. proposing approval of the same emissions. Table 1 lists some of the 3. Profile of the Metal Casting submitted rules. If we receive adverse national milestones leading to the Industry, EPA 310–R097–004, comments by July 12, 2000, we will submittal of these local agency VOC September 1997 (cover only.) publish a timely withdrawal in the rules.

TABLE 1.ÐOZONE NONATTAINMENT MILESTONES

Date Event

March 3, 1978 ...... EPA promulgated a list of ozone nonattainment areas under the Clean Air Act as amended in 1977. 43 FR 8964; 40 CFR 81.305. May 26, 1988 ...... EPA notified Governors that parts of their SIPs were inadequate to attain and maintain the ozone standard and re- quested that they correct the deficiencies (EPA's SIP-Call). See section 110(a)(2)(H) of the pre-amended Act. November 15, 1990 ...... Clean Air Act Amendments of 1990 were enacted. Public Law 101±549, 104 Stat. 2399, codified at 42 U.S.C. 7401± 7671q. May 15, 1991 ...... Section 182(a)(2)(A) requires that ozone nonattainment areas correct deficient RACT rules by this date.

IV. Administrative Requirements on the distribution of power and this rule, EPA has taken the necessary responsibilities among the various steps to eliminate drafting errors and Under Executive Order 12866 (58 FR levels of government, as specified in ambiguity, minimize potential litigation, 51735, October 4, 1993), this action is Executive Order 13132 (64 FR 43255, and provide a clear legal standard for not a ‘‘significant regulatory action’’ and August 10, 1999), because it merely affected conduct. EPA has complied therefore is not subject to review by the approves a state rule implementing a with Executive Order 12630 (53 FR Office of Management and Budget. This federal standard, and does not alter the 8859, March 15, 1988) by examining the action merely approves state law as relationship or the distribution of power takings implications of the rule in meeting federal requirements and and responsibilities established in the accordance with the ‘‘Attorney imposes no additional requirements Clean Air Act. This rule also is not General’s Supplemental Guidelines for beyond those imposed by state law. subject to Executive Order 13045 (62 FR the Evaluation of Risk and Avoidance of Accordingly, the Administrator certifies 19885, April 23, 1997), because it is not Unanticipated Takings’ issued under the that this rule will not have a significant economically significant. executive order. This rule does not economic impact on a substantial In reviewing SIP submissions, EPA’s impose an information collection number of small entities under the role is to approve state choices, burden under the provisions of the Regulatory Flexibility Act (5 U.S.C. 601 provided that they meet the criteria of Paperwork Reduction Act of 1995 (44 et seq.). Because this rule approves pre- the Clean Air Act. In this context, in the U.S.C. 3501 et seq.). existing requirements under state law absence of a prior existing requirement The Congressional Review Act, 5 and does not impose any additional for the State to use voluntary consensus U.S.C. 801 et seq., as added by the Small enforceable duty beyond that required standards (VCS), EPA has no authority Business Regulatory Enforcement by state law, it does not contain any to disapprove a SIP submission for Fairness Act of 1996, generally provides unfunded mandate or significantly or failure to use VCS. It would thus be that before a rule may take effect, the uniquely affect small governments, as inconsistent with applicable law for agency promulgating the rule must described in the Unfunded Mandates EPA, when it reviews a SIP submission, submit a rule report, which includes a Reform Act of 1995 (Public Law 104–4). to use VCS in place of a SIP submission copy of the rule, to each House of the For the same reason, this rule also does that otherwise satisfies the provisions of Congress and to the Comptroller General not significantly or uniquely affect the the Clean Air Act. Thus, the of the United States. EPA will submit a communities of tribal governments, as requirements of section 12(d) of the report containing this rule and other specified by Executive Order 13084 (63 National Technology Transfer and required information to the U.S. Senate, FR 27655, May 10, 1998). This rule will Advancement Act of 1995 (15 U.S.C. the U.S. House of Representatives, and not have substantial direct effects on the 272 note) do not apply. As required by the Comptroller General of the United States, on the relationship between the section 3 of Executive Order 12988 (61 States prior to publication of the rule in national government and the States, or FR 4729, February 7, 1996), in issuing the Federal Register. A major rule

VerDate 112000 14:22 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 E:\FR\FM\12JNR1.SGM pfrm02 PsN: 12JNR1 36790 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations cannot take effect until 60 days after it ENVIRONMENTAL PROTECTION manufacturer, or pesticide is published in the Federal Register. AGENCY manufacturer. Potentially affected This action is not a ‘‘major rule’’ as categories and entities may include, but defined by 5 U.S.C. 804(2). 40 CFR Part 180 are not limited to: Under section 307(b)(1) of the Clean [OPP±301006; FRL±6590±4] Cat- NAICS Examples of poten- Air Act, petitions for judicial review of RIN 2070±AB78 egories tially affected entities this action must be filed in the United States Court of Appeals for the Cyprodinil; Extension of Tolerance for Industry 111 Crop production appropriate circuit by August 11, 2000. Emergency Exemption 112 Animal production 311 Food manufacturing Filing a petition for reconsideration by AGENCY: Environmental Protection 32532 Pesticide manufac- the Administrator of this final rule does Agency (EPA). turing not affect the finality of this rule for the ACTION: Final rule. purposes of judicial review nor does it This listing is not intended to be extend the time within which a petition SUMMARY: This regulation extends a exhaustive, but rather provides a guide for judicial review may be filed, and time-limited tolerance for residues of for readers regarding entities likely to be shall not postpone the effectiveness of the fungicide cyprodinil in or on affected by this action. Other types of such rule or action. This action may not strawberries at 5 part per million (ppm) entities not listed in the table could also be challenged later in proceedings to for an additional 1-year period. This be affected. The North American enforce its requirements. (See section tolerance will expire and is revoked on Industrial Classification System 307(b)(2).) May 31, 2001. This action is in response (NAICS) codes have been provided to to EPA’s granting of an emergency assist you and others in determining List of Subjects in 40 CFR Part 52 exemption under section 18 of the whether or not this action might apply to certain entities. If you have questions Environmental protection, Air Federal Insecticide, Fungicide, and Rodenticide Act authorizing use of the regarding the applicability of this action pollution control, Incorporation by to a particular entity, consult the person reference, Organics, Ozone, Reporting pesticide on strawberries. Section 408(l)(6) of the Federal Food, Drug, and listed under ‘‘FOR FURTHER and recordkeeping requirements, Cosmetic Act requires EPA to establish INFORMATION CONTACT.’’ Volatile organic compound. a time-limited tolerance or exemption B. How Can I Get Additional Authority: 42 U.S.C. 7401 et seq. from the requirement for a tolerance for Information, Including Copies of this Dated: May 12, 2000. pesticide chemical residues in food that Document and Other Related will result from the use of a pesticide Laura Yoshii, Documents? under an emergency exemption granted Acting Regional Administrator, Region IX. 1. Electronically.You may obtain by EPA under section 18 of the Federal electronic copies of this document, and Part 52, Chapter I, Title 40 of the Code Insecticide, Fungicide, and Rodenticide certain other related documents that of Federal Regulations is amended as Act. might be available electronically, from follows: DATES: This regulation is effective June the EPA Internet Home Page at http:// 12, 2000. Objections and requests for www.epa.gov/. To access this PART 52Ð[AMENDED] hearings, identified by docket control document, on the Home Page select number OPP-301006, must be received ‘‘Laws and Regulations’’ and then look 1. The authority citation for Part 52 by EPA on or before August 11, 2000. up the entry for this document under continues to read as follows: ADDRESSES: Written objections and the ‘‘Federal Register—Environmental Authority: 42 U.S.C. 7401 et seq. hearing requests may be submitted by Documents.’’ You can also go directly to mail, in person, or by courier. Please the Federal Register listings at http:// Subpart DÐArizona follow the detailed instructions for each www.epa.gov/fedrgstr/. method as provided in Unit III. of the 2. In person. The Agency has 2. Section 52.120 is amended by ‘‘SUPPLEMENTARY INFORMATION.’’ established an official record for this adding paragraph (c)(94)(i)(C) to read as To ensure proper receipt by EPA, your action under docket control number OPP–301006. The official record follows: objections and hearing requests must identify docket control number OPP- consists of the documents specifically § 52.120 Identification of plan. 301006 in the subject line on the first referenced in this action, and other * * * * * page of your response. information related to this action, FOR FURTHER INFORMATION CONTACT: including any information claimed as (c) * * * By mail: Stephen Schaible, Registration Confidential Business Information (CBI). (94) * * * Division (7505C), Office of Pesticide This official record includes the (i) * * * Programs, Environmental Protection documents that are physically located in Agency, Ariel Rios Bldg., 1200 the docket, as well as the documents (C) Rule 347, adopted on March 4, that are referenced in those documents. 1998. Pennsylvania Ave., NW., Washington, DC 20460; telephone number:703–308– The public version of the official record * * * * * 9362; and e-mail address: does not include any information [FR Doc. 00–14171 Filed 6–9–00; 8:45 am] [email protected]. claimed as CBI. The public version of BILLING CODE 6560±50±P the official record, which includes SUPPLEMENTARY INFORMATION: printed, paper versions of any electronic I. General Information comments submitted during an applicable comment period is available A. Does this Action Apply to Me? for inspection in the Public Information You may be affected by this action if and Records Integrity Branch (PIRIB), you are an agricultural producer, food Rm. 119, Crystal Mall #2, 1921 Jefferson

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Davis Hwy., Arlington, VA, from 8:30 additional 1-year period. EPA will evidence relied upon by the objector (40 a.m. to 4 p.m., Monday through Friday, publish a document in the Federal CFR 178.27). Information submitted in excluding legal holidays. The PIRIB Register to remove the revoked connection with an objection or hearing telephone number is (703) 305–5805. tolerance from the Code of Federal request may be claimed confidential by Regulations (CFR). Although this marking any part or all of that II. Background and Statutory Findings tolerance will expire and is revoked on information as CBI. Information so EPA issued a final rule, published in May 31, 2001, under FFDCA section marked will not be disclosed except in the Federal Register of April 14, 1999 408(l)(5), residues of the pesticide not in accordance with procedures set forth in (64 FR 18346) (FRL–6073–3), which excess of the amounts specified in the 40 CFR part 2. A copy of the announced that on its own initiative tolerance remaining in or on information that does not contain CBI under section 408 of the Federal Food, strawberries after that date will not be must be submitted for inclusion in the Drug, and Cosmetic Act (FFDCA), 21 unlawful, provided the pesticide is public record. Information not marked U.S.C. 346a, as amended by the Food applied in a manner that was lawful confidential may be disclosed publicly Quality Protection Act of 1996 (FQPA) under FIFRA and the application by EPA without prior notice. (Public Law 104–170) it established a occurred prior to the revocation of the Mail your written request to: Office of time-limited tolerance for the residues tolerance. EPA will take action to revoke the Hearing Clerk (1900), Environmental of cyprodinil in or on strawberries at 5 this tolerance earlier if any experience Protection Agency, Ariel Rios Bldg., ppm, with an expiration date of May 31, with, scientific data on, or other 1200 Pennsylvania Ave., NW., 2000. EPA established the tolerance relevant information on this pesticide Washington, DC 20460. You may also because section 408(l)(6) of the FFDCA indicate that the residues are not safe. deliver your request to the Office of the requires EPA to establish a time-limited Hearing Clerk in Rm. C400, Waterside tolerance or exemption from the III. Objections and Hearing Requests Mall, 401 M St., SW., Washington, DC requirement for a tolerance for pesticide Under section 408(g) of the FFDCA, as 20460. The Office of the Hearing Clerk chemical residues in food that will amended by the FQPA, any person may is open from 8 a.m. to 4 p.m., Monday result from the use of a pesticide under file an objection to any aspect of this through Friday, excluding legal an emergency exemption granted by regulation and may also request a holidays. The telephone number for the EPA under section 18 of the Federal hearing on those objections. The EPA Office of the Hearing Clerk is (202) 260– Insecticide, Fungicide, and Rodenticide procedural regulations which govern the 4865. Act (FIFRA). Such tolerances can be submission of objections and requests 2. Tolerance fee payment. If you file established without providing notice or for hearings appear in 40 CFR part 178. an objection or request a hearing, you period for public comment. Although the procedures in those must also pay the fee prescribed by 40 EPA received a request to extend the regulations require some modification to CFR 180.33(i) or request a waiver of that use of the product Switch 62.5 WG, reflect the amendments made to the fee pursuant to 40 CFR 180.33(m). You containing the active ingredients FFDCA by the FQPA of 1996, EPA will must mail the fee to: EPA Headquarters fludioxonil and cyprodinil, on continue to use those procedures, with Accounting Operations Branch, Office strawberries for this year’s growing appropriate adjustments, until the of Pesticide Programs, P.O. Box season due to the urgent and non- necessary modifications can be made. 360277M, Pittsburgh, PA 15251. Please routine situation which exists for South The new section 408(g) provides identify the fee submission by labeling Carolina strawberry growers due to the essentially the same process for persons it ‘‘Tolerance Petition Fees.’’ cancellation of vinclozolin use on to ‘‘object’’ to a regulation for an EPA is authorized to waive any fee strawberries and the restriction on exemption from the requirement of a requirement ‘‘when in the judgement of iprodione use to pre-bloom only; this tolerance issued by EPA under new the Administrator such a waiver or reduces the number of fungicide section 408(d), as was provided in the refund is equitable and not contrary to applications available for season-long old FFDCA sections 408 and 409. the purpose of this subsection.’’ For control below that needed, should However, the period for filing objections additional information regarding the disease pressure be heavy. After having is now 60 days, rather than 30 days. waiver of these fees, you may contact reviewed the submission, EPA concurs James Tompkins by phone at (703) 305– that emergency conditions exist. EPA A. What Do I Need to Do to File an 5697, by e-mail at has authorized under FIFRA section 18 Objection or Request a Hearing? [email protected], or by mailing a the use of cyprodinil on strawberries for You must file your objection or request for information to Mr. Tompkins control of gray mold in South Carolina. request a hearing on this regulation in at Registration Division (7505C), Office EPA assessed the potential risks accordance with the instructions of Pesticide Programs, Environmental presented by residues of cyprodinil in provided in this unit and in 40 CFR part Protection Agency, Ariel Rios Bldg., or on strawberries. In doing so, EPA 178. To ensure proper receipt by EPA, 1200 Pennsylvania Ave., NW., considered the safety standard in you must identify docket control Washington, DC 20460. FFDCA section 408(b)(2), and decided number OPP–301006 in the subject line If you would like to request a waiver that the necessary tolerance under on the first page of your submission. All of the tolerance objection fees, you must FFDCA section 408(l)(6) would be requests must be in writing, and must be mail your request for such a waiver to: consistent with the safety standard and mailed or delivered to the Hearing Clerk James Hollins, Information Resources with FIFRA section 18. The data and on or before August 11, 2000. and Services Division (7502C), Office of other relevant material have been 1. Filing the request. Your objection Pesticide Programs, Environmental evaluated and discussed in the final rule must specify the specific provisions in Protection Agency, Ariel Rios Bldg., of April 14, 1999 (64 FR 18346). Based the regulation that you object to, and the 1200 Pennsylvania Ave., NW., on that data and information grounds for the objections (40 CFR Washington, DC 20460. considered, the Agency reaffirms that 178.25). If a hearing is requested, the 3. Copies for the Docket. In addition extension of the time-limited tolerance objections must include a statement of to filing an objection or hearing request will continue to meet the requirements the factual issues(s) on which a hearing with the Hearing Clerk as described in of section 408(l)(6). Therefore, the time- is requested, the requestor’s contentions Unit III.A., you should also send a copy limited tolerance is extended for an on such issues, and a summary of any of your request to the PIRIB for its

VerDate 112000 11:24 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\12JNR1.SGM pfrm02 PsN: 12JNR1 36792 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations inclusion in the official record that is Order 12898, entitled Federal Actions to of the United States. EPA will submit a described in Unit I.B.2. Mail your Address Environmental Justice in report containing this rule and other copies, identified by docket control Minority Populations and Low-Income required information to the U.S. Senate, number OPP–30010006, to: Public Populations (59 FR 7629, February 16, the U.S. House of Representatives, and Information and Records Integrity 1994); or require OMB review or any the Comptroller General of the United Branch, Information Resources and Agency action under Executive Order States prior to publication of this final Services Division (7502C), Office of 13045, entitled Protection of Children rule in the Federal Register. This final Pesticide Programs, Environmental from Environmental Health Risks and rule is not a ‘‘major rule’’ as defined by Protection Agency, Ariel Rios Bldg., Safety Risks (62 FR 19885, April 23, 5 U.S.C. 804(2). 1200 Pennsylvania Ave., NW., 1997). This action does not involve any Washington, DC 20460. In person or by technical standards that would require List of Subjects in 40 CFR Part 180 courier, bring a copy to the location of Agency consideration of voluntary Environmental protection, the PIRIB described in Unit I.B.2. You consensus standards pursuant to section Administrative practice and procedure, may also send an electronic copy of 12(d) of the National Technology Agricultural commodities, Pesticides your request via e-mail to: opp- Transfer and Advancement Act of 1995 and pests, Reporting and recordkeeping [email protected]. Please use an ASCII (NTTAA), Public Law 104–113, section requirements. file format and avoid the use of special 12(d) (15 U.S.C. 272 note). Since Dated: May 25, 2000 characters and any form of encryption. tolerances and exemptions that are James Jones, Copies of electronic objections and established on the basis of a FIFRA Director, Registration Division, Office of hearing requests will also be accepted section 18 petition under FFDCA Pesticide Programs. on disks in WordPerfect 6.1/8.0 file section 408, such as the tolerance in this format or ASCII file format. Do not final rule, do not require the issuance of Therefore, 40 CFR chapter I is include any CBI in your electronic copy. a proposed rule, the requirements of the amended as follows: You may also submit an electronic copy Regulatory Flexibility Act (RFA) (5 PART 180Ð[AMENDED] of your request at many Federal U.S.C. 601 et seq.) do not apply. In Depository Libraries. addition, the Agency has determined 1. The authority citation for part 180 that this action will not have a B. When Will the Agency Grant a continues to read as follows: substantial direct effect on States, on the Request for a Hearing? Authority: 21 U.S.C. 321(q), 346(a) and relationship between the national 371. A request for a hearing will be granted government and the States, or on the if the Administrator determines that the distribution of power and § 180.532 [Amended] material submitted shows the following: responsibilities among the various 2. In § 180.532, in the table to There is a genuine and substantial issue levels of government, as specified in paragraph (b), the entry for strawberries of fact; there is a reasonable possibility Executive Order 13132, entitled is amended by revising the date ‘‘5/31/ that available evidence identified by the Federalism (64 FR 43255, August 10, 00’’ to read ‘‘5/31/01’’. requestor would, if established resolve 1999). Executive Order 13132 requires [FR Doc. 00–14774 Filed 6–9–00; 8:45 am] one or more of such issues in favor of EPA to develop an accountable process BILLING CODE 6560±50±F the requestor, taking into account to ensure ‘‘meaningful and timely input uncontested claims or facts to the by State and local officials in the contrary; and resolution of the factual development of regulatory policies that ENVIRONMENTAL PROTECTION issues(s) in the manner sought by the have federalism implications.’’ ‘‘Policies AGENCY requestor would be adequate to justify that have federalism implications’’ is the action requested (40 CFR 178.32). defined in the Executive Order to 40 CFR Part 258 include regulations that have IV. Regulatory Assessment [FRL±6710±3] Requirements ‘‘substantial direct effects on the States, on the relationship between the national This final rule extends a time limited State of West Virginia: Final Program government and the States, or on the Determination of Adequacy of State tolerance under FFDCA section 408. distribution of power and The Office of Management and Budget Municipal Solid Waste Landfill Permit responsibilities among the various Program (OMB) has exempted these types of levels of government.’’ This final rule actions from review under Executive directly regulates growers, food AGENCY: Environmental Protection Order 12866, entitled Regulatory processors, food handlers and food Agency. Planning and Review (58 FR 51735, retailers, not States. This action does not ACTION: Immediate final rule. October 4, 1993). This final rule does alter the relationships or distribution of not contain any information collections power and responsibilities established SUMMARY: This document approves the subject to OMB approval under the by Congress in the preemption portions of the West Virginia Municipal Paperwork Reduction Act (PRA), 44 provisions of FFDCA section 408(n)(4). Solid Waste Management Permit U.S.C. 3501 et seq., or impose any Program which did not receive enforceable duty or contain any V. Submission to Congress and the Environmental Protection Agency (EPA) unfunded mandate as described under Comptroller General approval in the Federal Register Title II of the Unfunded Mandates The Congressional Review Act, 5 document published on March 29, 2000 Reform Act of 1995 (UMRA) (Public U.S.C. 801 et seq., as added by the Small (65 FR 16523–16528). EPA published a Law 104–4). Nor does it require any Business Regulatory Enforcement document in the Federal Register on prior consultation as specified by Fairness Act of 1996, generally provides March 29, 2000 (65 FR 16523–16528), Executive Order 13084, entitled that before a rule may take effect, the giving final approval to the portions of Consultation and Coordination with agency promulgating the rule must West Virginia’s Solid Waste Indian Tribal Governments (63 FR submit a rule report, which includes a Management Rule which had been 27655, May 19, 1998); special copy of the rule, to each House of the tentatively approved in the March 8, considerations as required by Executive Congress and to the Comptroller General 1996 document (61 FR 9451–9454). This

VerDate 112000 11:24 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 E:\FR\FM\12JNR1.SGM pfrm02 PsN: 12JNR1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36793 action approves those portions of West participation in permit issuance and 3. Subpart F—Closure and Post Virginia’s solid waste permit program enforcement as required in section Closure Care—The criteria in 40 CFR which were not previously approved by 7004(b) of RCRA. Finally, EPA believes 258.60, Closure Criteria, pertaining to EPA. that the state must show that it has the time allowed to apply the final DATES: This final determination of sufficient compliance monitoring and cover. program adequacy for the State of West enforcement authorities to take specific By approving these portions of the Virginia shall become effective August action against any owner or operator West Virginia Municipal Solid Waste 11, 2000 unless adverse comments are who fails to comply with an approved Permit Program, EPA will be in effect received on or before July 12, 2000. MSWLF program. granting full program approval of West ADDRESSES: Comments should be sent to EPA Regions determine whether state Virginia’s MSWLF permit program. Section 4005(a) of RCRA provides that the following address where the full programs are ‘‘adequate’’ based on the citizens may use the citizen suit West Virginia application supporting criteria outlined above. provisions of section 7002 of RCRA to program adequacy is on file and may be B. State of West Virginia enforce the federal MSWLF criteria in reviewed: EPA Region III, 1650 Arch 40 CFR part 258 independent of any Street, Philadelphia, Pennsylvania In September 1998, West Virginia state enforcement program. As 19103–2029, or alternatively at West submitted its revised Solid Waste explained in the preamble to the final Virginia Division of Environmental Management Rule (the Rule), which incorporated all of the provisions of 40 MSWLF criteria, EPA expects that any Protection (WVDEP), 1356 Hansford owner or operator complying with Street, Charleston, West Virginia 25301– CFR part 258. After a thorough review, EPA determined that the Rule met the provisions of a state program approved 1401. by EPA should be considered to be in FOR FURTHER INFORMATION CONTACT: U.S. requirements of 40 CFR part 258 and on July 1, 1999, West Virginia submitted compliance with the federal criteria (see EPA Region III, 1650 Arch Street, 56 FR 50978, 50995, October 9, 1991). Philadelphia, Pennsylvania 19103– the Rule with proper documentation as 2029, Attn: Mr. Michael C. Giuranna, required by the SIR to EPA and C. Decision mailcode 3WC21, telephone (215) 814– requested approval under 40 CFR part EPA concludes that West Virginia’s 3298. The contact for the State of West 258. Upon review of this submittal, EPA application for a full program adequacy Virginia Division of Environmental found that West Virginia is in determination meets all of the statutory Protection is Mr. Larry Atha, 1356 compliance with all provisions of the and regulatory requirements established Hansford Street, Charleston, West SIR and that West Virginia has by RCRA. Accordingly, West Virginia is Virginia 25301–1401, telephone (304) demonstrated that the State’s MSWLF granted approval of the provisions of its 558–6350. permit program adequately meets the municipal solid waste landfill permit location restrictions, operating criteria, SUPPLEMENTARY INFORMATION: program noted above. This action will design criteria, groundwater monitoring take effect 60 days from the date of A. Background and corrective action requirements, publication, if no significant adverse On October 9, 1991, EPA promulgated closure and post-closure care comments are received within 30 days. revised criteria for Municipal Solid requirements, and financial assurance EPA believes it has good cause under Waste Landfills (MSWLFs) (40 CFR part criteria in the revised federal criteria. In section 553(d) of the Administrative 258). Section 4005(c)(1)(B) of the addition, the State of West Virginia also Procedure Act, 5 U.S.C. 553(d), to put Resource Conservation and Recovery demonstrated that its MSWLF permit this action into effect 60 days after Act (RCRA), as amended by the program contains specific provisions for publication in the Federal Register. All Hazardous and Solid Waste public participation, compliance of the requirements and obligations in Amendments, requires states to develop monitoring, and enforcement. the State’s program are already in effect permit or other similar programs that EPA issued final partial approval for as a matter of State law. EPA is incorporate the federal criteria under 40 all of subparts B, C and D and portions approving the State regulations noted CFR part 258. Section 4005(c)(1)(C) of of subparts A, E and F of 40 CFR part above through this immediate final RCRA requires that EPA determine the 258, in the Federal Register of March action and is publishing this rule adequacy of state MSWLF permit 29, 2000 (65 FR 16523–16528). These without a prior proposal to approve the programs to ensure that facilities portions of West Virginia’s Municipal changes because EPA believes it is not comply with the revised federal criteria. Solid Waste Landfill Permit Program controversial and expects no comments To fulfill this requirement, the Agency had received tentative approval in a that oppose this action. EPA is promulgated the State Implementation Federal Register document published providing an opportunity for public Rule (SIR) on October 23, 1998 (63 FR on March 8, 1996 (61 FR 9451–9454). comment now. In the proposed rules 57025) which provides procedures by EPA is today publishing this document section of today’s Federal Register EPA which EPA will approve or partially approving the remaining elements of is publishing a separate document that approve state landfill permit programs. West Virginia’s MSWLF permit program proposes to approve the State changes. EPA interprets the requirements for that are analogous to the subpart G, If EPA receives comments which oppose states or tribes to develop ‘‘adequate’’ Financial Assurance Criteria, of 40 CFR this approval or portion(s) thereof, that programs for permits, or other forms of part 258 and the remaining portions of document will serve as a proposal to prior approval, as imposing several subparts A, E and F listed below. approve such changes. If EPA receives minimum requirements. First, each state 1. Subpart A—General— The comments that oppose this approval must have enforceable standards for definitions listed in 40 CFR 258.2; decision or portion(s) thereof, we will new and existing MSWLFs that are 2. Subpart E—Groundwater withdraw this approval, or those technically comparable to EPA’s revised Monitoring and Corrective Action—The portion(s) for which EPA received MSWLF criteria. Next, the state must requirements of 40 CFR 258.51, comments opposing its decision, by have the authority to issue a permit or Groundwater Monitoring Systems; 40 publishing a document in the Federal other notice of prior approval to all new CFR 258.54, Detection Monitoring Register. We will address all public and existing MSWLFs in its jurisdiction. Program; and 40 CFR 258.55, comments in a subsequent final action The state also must provide for public Assessment Monitoring Program; based on the proposed rule.

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The EPA’s action today does not Compliance With Executive Order local governments, or EPA consults with impose any new requirements that the 13084—Consultation and Coordination state and local officials early in the regulated community must begin to with Indian Tribal Governments process of developing the proposed comply with nor do these requirements Under Executive Order 13084, EPA regulation. EPA also may not issue a become enforceable by EPA as federal may not issue a regulation that is not regulation that has federalism law. required by statute that significantly or implications and that preempts state law unless the Agency consults with Compliance With Executive Order uniquely affects the communities of Indian tribal governments, and that state and local officials early in the 12866—Regulatory Planning and process of developing the proposed imposes substantial direct compliance Review regulation. costs on those communities, unless the This approval does not have The Office of Management and Budget federal government provides the funds federalism implications. It will not have has exempted today’s action from the necessary to pay the direct compliance a substantial direct effect on states, on requirements of Executive Order 12866. costs incurred by the tribal the relationship between the national governments, or EPA consults with government and the states, or on the Compliance With Executive Order those governments. If EPA complies distribution of power and 12898—Environmental Justice with consulting, Executive Order 13084 responsibilities among the various requires EPA to provide to the Office of EPA is committed to addressing levels of government, as specified in Management and Budget, in a separately Executive Order 13132, because this environmental justice concerns and is identified section of the preamble to the assuming a leadership role in rule affects only one State. This action rule, a description of the extent of EPA’s simply approves portions of West environmental justice initiatives to prior consultation with representatives enhance environmental quality for all Virginia’s MSWLF permit program that of affected tribal governments, a the State has voluntarily chosen to residents of the United States. The summary of the nature of their concerns, operate. Thus, the requirements of Agency’s goals are to ensure that no and a statement supporting the need to section 6 of the Executive Order do not segment of the population, regardless of issue the regulation. In addition, apply. race, color, national origin, or income Executive Order 13084 requires EPA to bears disproportionately high and develop an effective process permitting Certification Under the Regulatory adverse human health and elected officials and other Flexibility Act (RFA), as amended by the environmental effects as a result of representatives of Indian tribal Small Business Regulatory Enforcement EPA’s policies, programs, and activities, governments ‘‘to provide meaningful Fairness Act of 1996 (SBREFA), 5 U.S.C. and all people live in clean and and timely input in the development of 601 et seq. sustainable communities. EPA does not regulatory policies on matters that The RFA generally requires an agency believe that today’s action will have a significantly or uniquely affect their to prepare a regulatory flexibility disproportionately high and adverse communities.’’ analysis of any rule subject to notice environmental or economic impact on This rule is not subject to Executive and comment rulemaking requirements any minority or low-income group, or Order 13084 because it does not under the Administrative Procedure Act on any other type of affected significantly or uniquely affect the or any other statute unless the agency communities of Indian tribal community. certifies that the rule will not have a governments. West Virginia is not significant economic impact on a Compliance With Executive Order authorized to implement the MSWLF substantial number of small entities. 13045—Children’s Health Protection permit program in Indian country. Small entities include small businesses, small organizations, and small Compliance With Executive Order Executive Order 13045, ‘‘Protection of governmental jurisdictions. Children from Environmental Health 13132—Federalism For purposes of assessing the impacts Risks and Safety Risks,’’ applies to any Executive Order 13132, entitled of today’s action on small entities, small rule that: (1) The Office of Management ‘‘Federalism’’ (64 FR 43255, August 10, entity is defined as: (1) A small business and Budget determines is ‘‘economically 1999), requires EPA to develop an as specified in the Small Business significant’’ as defined under Executive accountable process to ensure Administration regulations; (2) a small Order 12866, and (2) concerns an ‘‘meaningful and timely input by State governmental jurisdiction that is a environmental health or safety risk that and local officials in the development of government of a city, county, town, EPA has reason to believe may have a regulatory policies that have federalism school district or special district with a disproportionate effect on children. If implications.’’ ‘‘Policies that have population of less than 50,000; and (3) the regulatory action meets both criteria, federalism implications’’ is defined in a small organization that is any not-for- the Agency must evaluate the the Executive Order to include profit enterprise which is independently environmental health or safety effects of regulations that have ‘‘substantial direct owned and operated and is not the planned rule on children and effects on the States, on the relationship dominant in its field. between the national government and After considering the economic explain why the planned regulation is the States, or on the distribution of impacts of this approval on small preferable to other potentially effective power and responsibilities among the entities, I certify that this action will not and reasonably feasible alternatives various levels of government.’’ have a significant economic impact on considered by the Agency. This rule is Under Section 6 of Executive Order a substantial number of small entities. not subject to Executive Order 13045 13132, EPA may not issue a regulation This action does not impose any new because it is not an economically that has federalism implications, that requirements on small entities because significant rule as defined by Executive imposes substantial direct compliance small entities that are owners or Order 12866, and because it does not costs, and that is not required by statute, operators of municipal sold waste involve decisions based on unless the federal government provides landfills are already subject to the environmental health or safety risks. the funds necessary to pay the direct regulatory requirements under the State compliance costs incurred by state and laws which EPA is now approving. This

VerDate 112000 11:24 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 E:\FR\FM\12JNR1.SGM pfrm02 PsN: 12JNR1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36795 action merely approves for the purpose officials of affected small governments test methods, sampling procedures, and of RCRA 4005(c) those existing State to have meaningful and timely input in business practices) that are developed or requirements. the development of EPA regulatory adopted by voluntary consensus proposals with significant federal standards bodies. The NTTAA directs Compliance With the Congressional intergovernmental mandates, and EPA to provide Congress, through OMB, Review Act informing, educating, and advising explanations when the Agency decides The Congressional Review Act, 5 small governments on compliance with not to use available and applicable U.S.C. 801, et seq., as added by the the regulatory requirements. voluntary consensus standards. This Small Business Regulatory Enforcement EPA has determined that section 202 action does not involve technical Fairness Act of 1996, generally provides and 205 requirements do not apply to standards. Therefore, EPA did not that before a rule may take effect, the today’s action because this rule does not consider the use of any voluntary agency promulgating the rule must contain a federal mandate that may consensus standards. submit a rule report, which includes a result in annual expenditures of $100 Authority: This notice is issued under the copy of the rule, to each house of the million or more for State, local, and/or authority of section 2002, 4005 and 4010(c) Congress and to the Comptroller General tribal governments in the aggregate, or of the Solid Waste Disposal Act, as amended, of the United States. EPA will submit a the private sector. Costs to State, local 42 U.S.C. 6912, 6945 and 6949(a). report containing today’s document and and/or tribal governments already exist Dated: other required information to the U.S. under the West Virginia program, and Bradley M. Campbell, Senate, the U.S. House of today’s action does not impose any Regional Administrator, Region III. Representatives and the Comptroller additional obligations on regulated General of the United States prior to entities. In fact, EPA’s approval of state [FR Doc. 00–14164 Filed 6–9–00; 8:45 am] publication of today’s action in the programs generally may reduce, not BILLING CODE 6560±50±P Federal Register. Today’s action is not increase, compliance costs for the a ‘‘major rule’’ as defined by section 5 private sector. Further, as it applies to U.S.C. 804(2). the State, this action does not impose a DEPARTMENT OF COMMERCE federal intergovernmental mandate Compliance With the Unfunded National Oceanic and Atmospheric Mandates Reform Act because UMRA does not include duties arising from participation in a voluntary Administration Title II of the Unfunded Mandates federal program. Reform Act of 1995 (UMRA), Public The requirements of section 203 of 50 CFR Part 679 Law 104–4, establishes requirements for UMRA also do not apply to today’s [Docket No. 000119015±0015±01; I.D. federal agencies to assess the effects of action because this rule contains no 010500A] their regulatory actions on state, local, regulatory requirements that might RIN 0648±AM32 and tribal governments and the private significantly or uniquely affect small sector. Under section 202 of the UMRA, governments. Although small Fisheries of the Exclusive Economic EPA generally must prepare a written governments may own or operate Zone Off Alaska; Steller Sea Lion statement, including a cost-benefit municipal solid waste landfills, they are Protection Measures for the Pollock analysis, for proposed and final rules already subject to the regulatory Fisheries Off Alaska with ‘‘federal mandates’’ that may result requirements under the existing State in expenditures to state, local, and tribal laws that are being approved by EPA, AGENCY: National Marine Fisheries governments, in the aggregate, or to the and, thus, are not subject to any Service (NMFS), National Oceanic and private sector, of $100 million or more additional significant or unique Atmospheric Administration (NOAA), in any one year. requirements by virtue of this program Commerce. Before promulgating an EPA rule for approval. ACTION: Emergency interim rule; which a written statement is needed, extension of expiration date; request for section 205 of the UMRA generally Paperwork Reduction Act comments. requires EPA to identify and consider a Under the Paperwork Reduction Act, reasonable number of regulatory 44 U.S.C. 3501 et seq., federal agencies SUMMARY: NMFS extends the expiration alternatives and adopt the least costly, must consider the paperwork burden date of an emergency interim rule that most cost-effective or least burdensome imposed by any information request implemented reasonable and prudent alternative that achieves the objectives contained in a proposed rule or a final alternatives to avoid the likelihood that of the rule. The provisions of section rule. This rule will not impose any the pollock fisheries off Alaska will 205 do not apply when they are information requirements upon the jeopardize the continued existence of inconsistent with applicable law. regulated community. the western population of Steller sea Moreover, section 205 allows EPA to lions, or adversely modify their critical adopt an alternative other than the least Compliance With the National habitat. The emergency interim rule that costly, most cost-effective or least Technology Transfer and Advancement is effective from January 20, 2000, burdensome alternative if the Act through July 19, 2000, is extended Administrator publishes with the final Section 12(d) of the National through December 31, 2000. This rule an explanation why that alternative Technology Transfer and Advancement emergency action is necessary to was not adopted. Before EPA establishes Act of 1995 (‘‘NTTAA’’), Public Law continue to implement reasonable and any regulatory requirements that may 104–113, section 12(d) (15 U.S.C. 272 prudent alternatives until permanent significantly or uniquely affect small note) directs EPA to use voluntary rulemaking is implemented. governments, including tribal consensus standards in its regulatory DATES: The expiration date of the governments, it must have developed activities unless to do so would be emergency interim rule published under section 203 of the UMRA a small inconsistent with applicable law or January 25, 2000 (65 FR 3892), is government agency plan. The plan must otherwise impractical. Voluntary extended to December 31, 2000. provide for notifying potentially consensus standards are technical Comments must be received by July 12, affected small governments, enabling standards (e.g., materials specifications, 2000.

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ADDRESSES: Comments may be sent to pollock trawl fisheries, as previously January 25, 2000) from July 19, 2000, to Sue Salveson, Assistant Regional prosecuted, were likely to jeopardize the December 31, 2000. Administrator, Sustainable Fisheries continued existence of the western NMFS intends to initiate proposed Division, Alaska Region, NMFS, P.O. population of Steller sea lions, and and final rulemaking later in 2000 to Box 21668, Juneau, AK, 99802, Attn: adversely modify its critical habitat. permanently implement Steller sea lion Lori Gravel, or delivered to room 401 of The BiOp concluded that, to avoid the conservation measures as required by the Federal Building, 709 West 9th likelihood of jeopardizing the continued the BiOp and the RFRPAs, and as Street, Juneau, AK. Copies of the existence of the western population of recommended by the Council at its June Biological Opinion (BiOp) on the Steller sea lions, or adversely modifying 1999 meeting. This extension of an pollock fisheries of the Bering Sea and its critical habitat, reasonable and emergency interim rule is necessary to Aleutian Islands (BSAI) and Gulf of prudent alternatives to the existing prosecute the remainder of the 2000 Alaska (GOA) and the Atka mackerel pollock trawl fisheries in the BSAI and pollock fishery after July 19, 2000. fishery of the Aleutian Islands subarea, GOA must accomplish three basic Details concerning the basis for this the Revised Final Reasonable and principles: (1) Temporal dispersion of action are contained in the initial Prudent Alternatives (RFRPAs), and the fishing effort, (2) spatial dispersion of emergency interim rule and are not Environmental Assessment/Regulatory fishing effort, and (3) pollock trawl repeated here. Impact Review prepared for the exclusion zones around Steller sea lion The comments received on the initial emergency interim rule may be obtained rookeries and haulouts. emergency interim rule and this from the same address. The BiOp and NMFS published an emergency emergency rule extension will be the RFRPAs are also available on the interim rule implementing the RFRPAs responded to later this year in NMFS’ Alaska Region home page at http:// in the Federal Register on January 25, final rulemaking to permanently www.fakr.noaa.gov. Comments will not 2000 (65 FR 3892), amended on implement Steller sea lion conservation be accepted if submitted via e-mail or February 10, 2000 (65 FR 6561), and is measures. Also, there will be an Internet. effective through July 19, 2000. additional opportunity for comments At its April 2000 meeting, the North FOR FURTHER INFORMATION CONTACT: when the proposed rule is published Pacific Fishery Management Council prior to final rulemaking. Shane Capron, 907–586–7228 or (Council) voted to recommend [email protected] Authority: 16 U.S.C. 773 et seq., 1801 et extension of the emergency rule. The seq., and 3631 et seq. SUPPLEMENTARY INFORMATION: NMFS preamble to the original emergency issued a BiOp dated December 3, 1998, interim rule provides a detailed Dated: June 6, 2000. and revised December 16, 1998, on the description of the purpose and need for Bruce C. Morehead, pollock fisheries of the BSAI and GOA, the action. This action extends the Acting Assistant Administrator for Fisheries, and the Atka mackerel fishery of the expiration date of the emergency National Marine Fisheries Service. Aleutian Islands Subarea. The BiOp interim rule establishing Steller sea lion [FR Doc. 00–14776 Filed 6–9–00; 8:45 am] concluded that the BSAI and GOA conservation measures (65 FR 3892, BILLING CODE 3510±22±F

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Proposed Rules Federal Register Vol. 65, No. 113

Monday, June 12, 2000

This section of the FEDERAL REGISTER regulation sets forth procedures for statement affirming his identity when contains notices to the public of the proposed individuals to follow to obtain access to he is seeking access to a record about issuance of rules and regulations. The records about themselves in systems of himself and he cannot produce purpose of these notices is to give interested records. It also permits the amendment documentation to establish his identity, persons an opportunity to participate in the of any inaccurate records and places or when he submits a request by mail. rule making prior to the adoption of the final rules. restrictions on the disclosure of Current case law requires that an information in the records. individual need only submit an As part of a government-wide unsworn declaration, subscribed to as NATIONAL CREDIT UNION initiative, NCUA recently reviewed its true under penalty of perjury. Summers ADMINISTRATION practices related to privacy and personal v. DOJ, 999 F.2d 570 (D.C. Cir. 1993). information in federal records. In its The current regulation requires that 12 CFR Part 792 review of the agency systems of records, an NCUA official determine whether to it identified several changes in release to an individual his non-exempt The Production of Nonpublic Records recordkeeping practices and agency medical information in a system of and Testimony of NCUA Employees in organization. As a result of that review, records. The proposal eliminates that Legal Proceedings and the Privacy Act NCUA revised its systems notices to provision and conforms the rule to AGENCY: National Credit Union make them clearer and simpler and to current law that holds that an agency Administration (NCUA). eliminate redundancies. 65 FR 3486, may impose special procedures to January 21, 2000. Now, as a result of its minimize the potential harm to an ACTION: Proposed rule. review of the PA regulation, NCUA individual from disclosure of sensitive SUMMARY: NCUA proposes to make proposes to update the regulation to medical records, but ultimately the minor and technical revisions to its reflect current law, terminology and agency must ensure that the individual regulation implementing the Privacy organizational functions and clarify receives all nonexempt medical records. Act of 1974 (PA). The proposal updates which of its systems of records are Benavides v. Bureau of Prisons, 995 the rule to conform to current law subject to PA exemptions. F.2d 269 (D.C. Cir. 1993). governing the method an individual The revisions are minor or technical The proposal also amends the may use to establish his or her identity in nature. The changes seek to align PA regulation to reflect the correct number to obtain access to protected records and processing more closely with Office and of systems of records subject to a PA the requirements for the release of Management and Budget (OMB) exemption. The PA requires agencies to medical records. The proposed rule guidelines and FOIA, 5 U.S.C. 552, promulgate a rule to exempt a system of changes time limits so that they conform practices. Specifically, the current records from its access and notice more closely to those under the regulation calls for an agency response provisions. The following four of Freedom of Information Act (FOIA) and within 10 working days of receipt. The NCUA’s notices of systems of records clarifies that the agency maintains four, PA itself does not set a time limit for state that the systems are exempt from rather than three, systems of records agency responses. OMB guidelines certain provisions of the PA: NCUA–1, subject to exemptions under the PA. recommend that agencies acknowledge Employee Suitability and Security The proposal also updates the rule to requests within 10 days and, when Investigations Containing Adverse reflect organizational changes within records will be produced, do so within Information, NCUA, and; NCUA–8, NCUA and corrects cross-references in 30 days. 40 FR 28957, July 9, 1975. For Investigative Reports Involving Any Subpart C. ease of administration, NCUA proposes Crime, Suspected Crime or Suspicious to adopt processing time limits similar Activity Against a Credit Union, NCUA, DATES: Comments must be received on to those imposed by the FOIA: 20 and; NCUA–11, Office of Inspector or before August 11, 2000. working days to respond to initial PA General (OIG) Investigative Records, ADDRESSES: Direct comments to Becky requests, with a 10-day extension if and; NCUA–13, Litigation Case Files, Baker, Secretary of the Board. Mail or necessary. The proposal also changes NCUA. However, the current regulation hand-deliver comments to: National the time period for an individual to file only describes three systems subject to Credit Union Administration, 1775 an appeal of an adverse decision, exemption from provisions of the PA, Duke Street, Alexandria, Virginia currently 180 days, to the time period excluding the Litigation Case Files 22314–3428. Fax comments to (703) commonly used in the FOIA context, system. 12 CFR 792.34. 518–6319. E-mail comments to which is 30 days. The current regulation The Litigation Case Files system, [email protected]. Please send sets the copying fee at $0.25 per page. designated NCUA–13, will be exempt comments by one method only. In connection with the FOIA, NCUA from subsections (c)(3), (d), (e)(1), FOR FURTHER INFORMATION CONTACT: establishes a fee schedule adjusted (e)(4)(G), (H), (I) and (f) of the PA. 5 Dianne M. Salva, Staff Attorney, periodically to reflect actual costs. The U.S.C. 552a (c)(3), (d),(e)(1), (e)(4)(G), Division of Operations, Office of current rate for copies on the NCUA (H), (I) and (f). Because the system General Counsel, at the above address or FOIA fee schedule is $0.05 per page. covers investigatory materials compiled telephone: (703) 518–6540. The proposal makes the copying fee for for law enforcement purposes, it is SUPPLEMENTARY INFORMATION: The PA, 5 PA records the same as the fee on the eligible for these exemptions under U.S.C. 552a, governs the collection, FOIA fee schedule. subsection (k)(2) of the PA. 5 U.S.C. maintenance, use and disclosure of The proposal eliminates the 552a(k)(2). However, if an individual is personal information in a federal requirement in the current regulation denied any right, privilege, or benefit to agency’s systems of records. NCUA’s PA that an individual produce a notarized which the individual would otherwise

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 36798 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules be entitled by federal law, or for which burden on small entities. These PART 792ÐREQUESTS FOR the individual otherwise would be conclusions are based on the fact that INFORMATION UNDER THE FREEDOM eligible, as a result of the maintenance the proposed regulations are minor OF INFORMATION ACT AND PRIVACY of such records, the records or changes intended to simplify and clarify ACT, AND BY SUBPOENA; SECURITY information will be made available to agency recordkeeping and disclosure PROCEDURES FOR CLASSIFIED the individual, provided the identity of procedures. Accordingly, a regulatory INFORMATION a confidential source is not disclosed. flexibility analysis is not required. The records in the Litigation Case Files 1. The authority citation for part 792 system are used in connection with the Executive Order 13132 continues to read as follows: execution of NCUA’s legal and Executive Order 13132 encourages Authority: 5 U.S.C. 301, 552, 552a, 552b; enforcement responsibilities. These files 12 U.S.C. 1752a(d), 1766, 1789, 1795f; E.O. may contain unverified, unsolicited independent regulatory agencies to 12600, 52 FR 23781, 3 CFR, 1987 Comp., p. statements, sometimes received from consider the impact of their regulatory 235; E.O. 12958, 60 FR 19825, 3 CFR, 1995 confidential sources. In addition, actions on state and local interests. In Comp., p. 333. adherence to fundamental federalism investigative reports and other internal § 792.41 [Amended] agency memoranda concerning principles, NCUA, an independent violations of laws or regulations may be regulatory agency as defined in 44 2. In § 792.41, remove ‘‘ § 792.4(b)(2)’’ included in the files. The NCUA Board U.S.C. 3502(5), voluntarily complies and add, in its place, ‘‘§ 792.32.’’ believes that the disclosure of the with the executive order. This proposed § 792.47 [Amended] rule, if adopted, is procedural in nature existence of such information in the 3. In § 792.47(b), remove ‘‘§ 792.5’’ and will not have substantial direct files or the nature of information and add, in its place, ‘‘§ 792.19.’’ obtained in law enforcement effects on the states, on the relationship investigations may seriously hamper between the national government and § 792.49 [Amended] and undermine effective enforcement the states, or on the distribution of 4. In § 792.49, in the definition of actions. Disclosure might prematurely power and responsibilities among the Nonpublic records, remove ‘‘§ 792.3’’ alert individuals that they are under various levels of government. NCUA has and add, in its place, ‘‘§ 792.11’’. investigation or provide access to determined that the proposed rule does 5. Amend § 792.55 by revising evidentiary information. Similarly, this not constitute a policy that has paragraph (a)(3) to read as follows: system must be exempt from the PA federalism implications for purposes of provision requiring agencies to make an the executive order. § 792.55 Times, places and requirements accounting of disclosures from the for identification of individuals making system upon request from the The Treasury and General Government requests and identification of records individual. An accounting would risk Appropriations Act, 1999—Assessment requested. revealing to the individual that NCUA of Federal Regulations and Policies on (a) * * * has forwarded records to the U.S. Families (3) An individual seeking access to Department of Justice for consideration records about himself by mail or in of criminal proceedings. If such an The NCUA has determined that this person, who cannot provide the accounting were required, an individual proposed rule will not affect family required documentation or might flee the jurisdiction or otherwise well-being within the meaning of identification, may provide an unsworn interfere with criminal prosecution. section 654 of the Treasury and General declaration subscribed to as true under During litigation, authorized NCUA Government Appropriations Act, 1999, penalty of perjury. employees may disclose case file Pub. L. 105–277, 112 Stat. 2681 (1998). * * * * * information within the bounds of Agency Regulatory Goal 6. Amend § 792.56 by revising discovery rules. paragraphs (b)(1), (b)(2) and (b)(3) to Finally, the proposal also corrects NCUA’s goal is to promulgate clear read as follows: certain cross-references in Subpart C and understandable regulations that that are necessary due to earlier impose minimal regulatory burden. We § 792.56 Notice of existence of records, revisions of part 792. 63 FR 14338, access decisions and disclosure of request your comments on whether the requested information; time limits. March 25, 1998. proposed amendment is understandable * * * * * Regulatory Procedures and minimally intrusive if implemented (b) * * * as proposed. Paperwork Reduction Act (1) A request concerning a single This regulation, if adopted, will List of Subjects in 12 CFR Part 792 system of records which does not require consultation with or requisition impose no additional information Administrative practice and collection, reporting or recordkeeping of records from another agency will be procedure, Archives and records, Credit requirements. responded to within 20 working days unions, Information, Records. after receipt of the request. Regulatory Flexibility Act By the National Credit Union (2) A request requiring requisition of Pursuant to section 605(b) of the Administration Board on June 6, 2000. records from or consultation with Regulatory Flexibility Act (5 U.S.C. Becky Baker, another agency will be responded to within 30 working days of receipt of the 605(b)), NCUA certifies that this Secretary of the Board. proposed rule will not have a significant request. economic impact on a substantial For the reasons set out in the (3) If a request under paragraphs (b)(1) number of small entities. NCUA expects preamble, the NCUA proposes to amend or (2) of this section presents unusual that this proposal will not: (1) Have 12 CFR Part 792 as follows: difficulties in determining whether the significant secondary or incidental records involved are exempt from effects on a substantial number of small disclosure, the Privacy Act Officer, in entities; or (2) create any additional the Office of General Counsel, may

VerDate 112000 14:25 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules 36799 extend the time period established by § 792.66 Exemptions. from the General Counsel, is responsible the regulations by 10 working days. (a) NCUA maintains four systems of for training NCUA employees in the * * * * * records that are exempted from some obligations imposed by the Privacy Act 7. Amend § 792.57 by revising provisions of the Privacy Act. * * * and this subpart.* * * paragraph (b) to read as follows: (b)(1) System NCUA–1, entitled * * * * * ‘‘Employee Suitability Security [FR Doc. 00–14784 Filed 6–9–00; 8:45 am] § 792.57 Special Procedures: Information Investigations Containing Adverse BILLING CODE 7535±01±P furnished by other agencies; medical Information,’’ consists of adverse records. information about NCUA employees * * * * * that had been obtained as a result of DEPARTMENT OF TRANSPORTATION (b) When an individual requests routine U.S. Office of Personnel medical records concerning himself, the Management (OPM) security Federal Aviation Administration NCUA official responsible for action on Investigations. To the extent that NCUA the request may advise the individual maintains records in this system 14 CFR Part 39 that the records to be released will be pursuant to OPM guidelines that may provided first to a physician designated require retrieval of information by use of [Docket No. 99±NM±329±AD] in writing by the individual. The individual identifiers, those records are RIN 2120±AA64 physician will provide the records to encompassed by and included in the the individual. OPM Central system of records number Airworthiness Directives; McDonnell 8. Amend § 792.58 by revising the Central-9 entitled, ‘‘Personnel Douglas Model MD±90±30 Series fourth sentence of paragraph (a) to read Investigations Records,’’ and thus are Airplanes subject to the exemptions promulgated as follows: AGENCY: by OPM. * * * Federal Aviation § 792.58 Requests for correction or (2) System NCUA–8, entitled, Administration, DOT. amendment to a record; administrative ‘‘Investigative Reports Involving Any ACTION: Supplemental notice of review of requests. Crime or Suspicious Activity Against a proposed rulemaking; reopening of * * * * * Credit Union, NCUA,’’ consists of comment period. (a) * * * An individual who does not investigatory or enforcement records SUMMARY: This document revises an have access to NCUA’s ‘‘Notice of about individuals suspected of earlier proposed airworthiness directive Systems of Records,’’ and to whom the involvement in violations of laws or (AD), applicable to certain McDonnell appropriate address is otherwise regulations, whether criminal or Douglas Model MD–90–30 series unavailable, may submit a request to the administrative. * * * airplanes, that would have required Privacy Act Officer, Office of General * * * * * replacement of certain ground block Counsel, National Credit Union (4) System NCUA–13, entitled, screws with new screws; and Administration, 1775 Duke Street, ‘‘Litigation Case Files,’’ consists of retermination of the circuit ground Alexandria, Virginia, 22314–3428, in investigatory materials compiled for law wires of the electrical power control which case the request will then be enforcement purposes. Records in the unit (EPCU) to separate grounding referred to the appropriate NCUA Litigation Case Files system are used in points. That proposal was prompted by official.* * * connection with the execution of reports of complete loss of the primary * * * * * NCUA’s legal and enforcement electrical power on an airplane during 9. Amend § 792.59 by revising responsibilities. Because the system flight. This new action revises the paragraph (e) to read as follows: covers investigatory materials compiled proposed rule by expanding the for law enforcement purposes, it is applicability of the proposed AD to § 792.59 Appeal of initial determination. eligible for exemption under subsection include additional airplanes. The * * * * * (k)(2) of the Privacy Act. 5 U.S.C. actions specified by this new proposed (e) If access is denied because of an 552a(k)(2). The Litigation Case Files AD are intended to prevent a loose exemption, the individual will be system is exempt from subsections electrical ground block of the circuit notified of the right to appeal that (c)(3), (d), (e)(1), (e)(4)(G), (H), (I) and (f) ground wires of the EPCU, which could determination to the General Counsel of the Privacy Act. 5 U.S.C. 552a (c)(3), result in complete loss of the primary within 30 days after receipt. Appeals (d), (e)(1), (e)(4)(G), (H), (I) and (f). electrical power of an airplane during will be determined within 20 working However, if an individual is denied any flight. days. right, privilege, or benefit to which he would otherwise be entitled by federal DATES: Comments must be received by 10. Amend § 792.65 by revising July 7, 2000. paragraph (a)(1) to read as follows: law, or for which he otherwise would be eligible, as a result of the maintenance ADDRESSES: Submit comments in § 792.65 Fees. of such records, the records or triplicate to the Federal Aviation (a) * * * information will be made available to Administration (FAA), Transport him, provided the identity of a Airplane Directorate, ANM–114, (1) For copies of documents provided, confidential source is not disclosed. Attention: Rules Docket No. 99–NM– copy fees as stated in NCUA’s current 329–AD, 1601 Lind Avenue, SW., FOIA fee schedule; and * * * * * 12. Amend § 792.69 by revising the Renton, Washington 98055–4056. * * * * * first sentence of paragraph (a) to read as Comments may be inspected at this 11. Amend § 792.66 by revising the follows: location between 9:00 a.m. and 3:00 first sentence of paragraph (a), and the p.m., Monday through Friday, except first two sentences of paragraph (b)(1), § 792.69 Training and employee standards Federal holidays. Comments may also and the first sentence of paragraph of conduct with regard to privacy. be sent via the Internet using the (b)(2), and adding a new paragraph (a) The Director of the Office of following address: 9-anm- (b)(4) as follows: Training and Development, with advice [email protected]. Comments sent

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 36800 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules via the Internet must contain ‘‘Docket Commenters wishing the FAA to Bulletin MD90–24–062, dated February No. 99–NM–329–AD’’ in the subject line acknowledge receipt of their comments 3, 2000. The service bulletin describes and need not be submitted in triplicate. submitted in response to this notice procedures for relocating the ground The service information referenced in must submit a self-addressed, stamped wires of the EPCU system and installing the proposed rule may be obtained from postcard on which the following a new ground stud bracket. Boeing Commercial Aircraft Group, statement is made: ‘‘Comments to Accomplishment of this modification Long Beach Division, 3855 Lakewood Docket Number 99–NM–329–AD.’’ The will minimize the possibility of Boulevard, Long Beach, California postcard will be date stamped and electrical power loss of an airplane 90846, Attention: Technical returned to the commenter. during flight. Therefore, the FAA has Publications Business Administration, revised paragraph (b) of the Availability of NPRMs Dept. C1–L51 (2–60). This information supplemental NPRM to reference the may be examined at the FAA, Transport Any person may obtain a copy of this subject service bulletin as the Airplane Directorate, 1601 Lind NPRM by submitting a request to the appropriate source of service Avenue, SW., Renton, Washington; or at FAA, Transport Airplane Directorate, information for accomplishing the the FAA, Transport Airplane ANM–114, Attention: Rules Docket No. proposed retermination. In addition, the Directorate, Los Angeles Aircraft 99–NM–329–AD, 1601 Lind Avenue, FAA has revised the work hour estimate Certification Office, 3960 Paramount SW., Renton, Washington 98055–4056. of the final rule for accomplishing the Boulevard, Lakewood, California. Discussion retermination to conicide with the estimates in the subject service bulletin. FOR FURTHER INFORMATION CONTACT: A proposal to amend part 39 of the George Mabuni, Aerospace Engineer, Federal Aviation Regulations (14 CFR Explanation of Changes to the Systems and Equipment Branch, ANM– part 39) to add an airworthiness Applicability of the NPRM 130L, FAA, Transport Airplane directive (AD), applicable to certain Directorate, Los Angeles Aircraft The applicability statement of the McDonnell Douglas Model MD–90–30 NPRM referenced McDonnell Douglas Certification Office, 3960 Paramount series airplanes, was published as a Boulevard, Lakewood, California Alert Service Bulletin MD90–24A060, notice of proposed rulemaking (NPRM) Revision 01, dated September 2, 1999, 90712–4137; telephone (562) 627–5341; in the Federal Register on December 7, fax (562) 627–5210. as the appropriate source of service 1999 (64 FR 68302). That NPRM would information for determining the affected SUPPLEMENTARY INFORMATION: have required replacement of certain airplanes. However, the FAA has Comments Invited ground block screws with new screws; revised the applicability statement of and retermination of the circuit ground the supplemental NPRM to also Interested persons are invited to wires of the electrical power control reference McDonnell Douglas Service participate in the making of the unit (EPCU) to separate grounding Bulletin MD90–24–062, dated February proposed rule by submitting such points. That NPRM was prompted by 3, 2000. McDonnell Douglas Service written data, views, or arguments as reports of complete loss of the primary Bulletin MD90–24–062 (described they may desire. Communications shall electrical power on an airplane during above) includes additional airplanes identify the Rules Docket number and flight. That condition, if not corrected, that are subject to the identified unsafe be submitted in triplicate to the address could result in a loose electrical ground condition of this AD. As a result of this specified above. All communications block of the circuit ground wires of the change, the FAA also has revised the received on or before the closing date EPCU, which could result in complete applicability of paragraphs (a) and (b) for comments, specified above, will be loss of the primary electrical power of accordingly. considered before taking action on the an airplane during flight. proposed rule. The proposals contained Conclusion Comments in this notice may be changed in light Since these changes expands the of the comments received. Due consideration has been given to scope of the originally proposed rule, Submit comments using the following the comment received in response to the the FAA has determined that it is format: NPRM: • necessary to reopen the comment period Organize comments issue-by-issue. One commenter requests that the FAA to provide additional opportunity for For example, discuss a request to revise paragraph (b) of the NPRM to public comment. change the compliance time and a reference McDonnell Douglas Service request to change the service bulletin Bulletin MD90–24–062, dated February Cost Impact reference as two separate issues. 3, 2000, as the appropriate source of There are approximately 104 Model • For each issue, state what specific service information for accomplishing MD–90–30 series airplanes of the change to the proposed AD is being the proposed retermination rather than affected design in the worldwide fleet. requested. a method approved by the Manager, Los The FAA estimates that 21 airplanes of • Include justification (e.g., reasons or Angeles Aircraft Certification Office U.S. registry would be affected by this data) for each request. (ACO), FAA, Transport Airplane proposed AD. Comments are specifically invited on Directorate. The commenter states that It would take approximately 1 work the overall regulatory, economic, referencing the service bulletin will hour per airplane to accomplish the environmental, and energy aspects of eliminate the requirement for the ACO proposed replacement, at an average the proposed rule. All comments to approve an alternative method of labor rate of $60 per work hour. submitted will be available, both before compliance (AMOC), and that the Required parts would be procured from and after the closing date for comments, proposed retermination could be the operator’s stock. Based on these in the Rules Docket for examination by accomplished easily in accordance with figures, the cost impact of the interested persons. A report the service bulletin. replacement proposed by this AD on summarizing each FAA-public contact The FAA concurs with the U.S. operators is estimated to be $1,260, concerned with the substance of this commenter. Since issuance of the or $60 per airplane. proposal will be filed in the Rules NPRM, the FAA has reviewed and It would take approximately 1 work Docket. approved McDonnell Douglas Service hour per airplane to accomplish the

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules 36801 proposed retermination of the circuit § 39.13 [Amended] requests through an appropriate FAA ground wires of the EPCU, at an average 2. Section 39.13 is amended by Principal Maintenance Inspector, who may labor rate of $60 per work hour. The adding the following new airworthiness add comments and then send it to the manufacturer has committed previously directive: Manager, Los Angeles ACO. to its customers that it will bear the cost McDonnell Douglas: Docket 99–NM–329– Note 3: Information concerning the of replacement parts. As a result, the AD. existence of approved alternative methods of cost of those parts is not attributable to Applicability: Model MD–90–30 series compliance with this AD, if any, may be this proposed AD. Based on these airplanes, as listed in McDonnell Douglas obtained from the Los Angeles ACO. figures, the cost impact of the Alert Service Bulletin MD90–24A060, Special Flight Permits retermination proposed by this AD on Revision 01, dated September 2, 1999, and McDonnell Douglas Service Bulletin MD90– (d) Special flight permits may be issued in U.S. operators is estimated to be $1,260, accordance with §§ 21.197 and 21.199 of the or $60 per airplane. 24–062, dated Feburary 3, 2000; certificated in any category. Federal Aviation Regulations (14 CFR 21.197 The cost impact figures discussed and 21.199) to operate the airplane to a above are based on assumptions that no Note 1: This AD applies to each airplane location where the requirements of this AD operator has yet accomplished any of identified in the preceding applicability can be accomplished. the proposed requirements of this AD provision, regardless of whether it has been modified, altered, or repaired in the area Issued in Renton, Washington, on June 6, action, and that no operator would 2000. accomplish those actions in the future if subject to the requirements of this AD. For airplanes that have been modified, altered, or Donald L. Riggin, this AD were not adopted. repaired so that the performance of the Acting Manager, Transport Airplane Regulatory Impact requirements of this AD is affected, the Directorate, Aircraft Certification Service. owner/operator must request approval for an [FR Doc. 00–14795 Filed 6–9–00; 8:45 am] The regulations proposed herein alternative method of compliance in would not have a substantial direct accordance with paragraph (c) of this AD. BILLING CODE 4910±13±U effect on the States, on the relationship The request should include an assessment of the effect of the modification, alteration, or between the national Government and DEPARTMENT OF TRANSPORTATION the States, or on the distribution of repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not power and responsibilities among the Federal Aviation Administration various levels of government. been eliminated, the request should include specific proposed actions to address it. Therefore, it is determined that this 14 CFR Part 39 proposal would not have federalism Compliance: Required as indicated, unless accomplished previously. [Docket No. 2000±NM±104±AD] implications under Executive Order To prevent a loose electrical ground block 13132. of the circuit ground wires of the electrical RIN 2120±AA64 For the reasons discussed above, I power control unit (EPCU), accomplish the certify that this proposed regulation (1) following: Airworthiness Directives; Airbus Model is not a ‘‘significant regulatory action’’ A300, A300±600, and A310 Series Replacement under Executive Order 12866; (2) is not Airplanes a ‘‘significant rule’’ under the DOT (a) For airplanes listed in McDonnell AGENCY: Federal Aviation Regulatory Policies and Procedures (44 Douglas Alert Service Bulletin MD90– 24A060, Revision 01, dated September 2, Administration, DOT. FR 11034, February 26, 1979); and (3) if 1999: Within 30 days after the effective of promulgated, will not have a significant ACTION: Notice of proposed rulemaking this AD, replace the electrical ground block (NPRM). economic impact, positive or negative, screws with new screws in accordance with on a substantial number of small entities McDonnell Douglas Alert Service Bulletin SUMMARY: This document proposes the under the criteria of the Regulatory MD90–24A060, Revision 01, dated supersedure of an existing airworthiness Flexibility Act. A copy of the draft September 2, 1999. directive (AD), applicable to certain regulatory evaluation prepared for this Note 2: Accomplishment of the Airbus Model A300 and all Model action is contained in the Rules Docket. replacement of electrical ground block A300–600 and A310 series airplanes, A copy of it may be obtained by screws prior to the effective date of this AD in accordance with McDonnell Douglas Alert that currently requires performing a contacting the Rules Docket at the pitch trim system test to detect any location provided under the caption Service Bulletin MD90–24A060, dated July 28, 1999, is acceptable for compliance with continuity defect in the autotrim ADDRESSES . the requirements of paragraph (a) of this AD. function, and follow-on corrective List of Subjects in 14 CFR Part 39 actions, if necessary. This action would Modification of the Electrical Power Control require repetitive inspections of the Air transportation, Aircraft, Aviation Unit autotrim function to detect such defects, safety, Safety. (b) For airplanes listed in McDonnell and corrective actions, if necessary. This The Proposed Amendment Douglas Service Bulletin MD90–24–062, action also would expand the dated February 3, 2000: Within 12 months applicability to include additional Accordingly, pursuant to the after the effective date of this AD, reterminate airplanes. This proposal is prompted by authority delegated to me by the the circuit ground wires of the EPCU to Administrator, the Federal Aviation separate grounding points to ensure that a issuance of mandatory continuing Administration proposes to amend part single point failure does not occur, in airworthiness information by a foreign 39 of the Federal Aviation Regulations accordance with McDonnell Douglas Service civil airworthiness authority. The (14 CFR part 39) as follows: Bulletin MD90–24–062, dated February 3, actions specified by the proposed AD 2000. are intended to prevent a sudden change PART 39ÐAIRWORTHINESS Alternative Methods of Compliance in pitch due to an out-of-trim condition combined with an autopilot disconnect, DIRECTIVES (c) An alternative method of compliance or which could result in reduced 1. The authority citation for part 39 adjustment of the compliance time that provides an acceptable level of safety may be controllability of the airplane. continues to read as follows: used if approved by the Manager, Los DATES: Comments must be received by Authority: 49 U.S.C. 106(g), 40113, 44701. Angeles ACO. Operators shall submit their July 12, 2000.

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 36802 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules

ADDRESSES: Submit comments in FAA, Transport Airplane Directorate, order to ensure the continued triplicate to the Federal Aviation ANM–114, Attention: Rules Docket No. airworthiness of these airplanes in Administration (FAA), Transport 2000–NM–104–AD, 1601 Lind Avenue, France. Airplane Directorate, ANM–114, SW., Renton, Washington 98055–4056. FAA’s Conclusions Attention: Rules Docket No. 2000–NM– Discussion 104–AD, 1601 Lind Avenue, SW., These airplane models are Renton, Washington 98055–4056. On January 18, 2000, the FAA issued manufactured in France and are type Comments may be inspected at this AD 2000–02–04, amendment 39–11522 certificated for operation in the United location between 9:00 a.m. and 3:00 (65 FR 3799, January 25, 2000), States under the provisions of § 21.29 of p.m., Monday through Friday, except applicable to certain Airbus Model the Federal Aviation Regulations (14 Federal holidays. A300 and all Model A300–600 and CFR 21.29) and the applicable bilateral The service information referenced in A310 series airplanes. That AD requires airworthiness agreement. Pursuant to the proposed rule may be obtained from performing a pitch trim system test to this bilateral airworthiness agreement, Airbus Industrie, 1 Rond Point Maurice detect any continuity defect in the the DGAC has kept the FAA informed Bellonte, 31707 Blagnac Cedex, France. autotrim function, and follow-on of the situation described above. The This information may be examined at corrective actions, if necessary. That FAA has examined the findings of the the FAA, Transport Airplane action was prompted by issuance of DGAC, reviewed all available Directorate, 1601 Lind Avenue, SW., mandatory continuing airworthiness information, and determined that AD Renton, Washington. information by a foreign civil action is necessary for products of this airworthiness authority. The FOR FURTHER INFORMATION CONTACT: type design that are certificated for requirements of that AD are intended to Norman B. Martenson, Manager, operation in the United States. prevent a sudden change in pitch due to International Branch, ANM–116, FAA, an out-of-trim condition combined with Explanation of Requirements of Transport Airplane Directorate, 1601 an autopilot disconnect, which could Proposed Rule Lind Avenue, SW., Renton, Washington result in reduced controllability of the Since an unsafe condition has been 98055–4056; telephone (425) 227–2110; airplane. identified that is likely to exist or fax (425) 227–1149. develop on other airplanes of the same Actions Since Issuance of Previous Rule SUPPLEMENTARY INFORMATION: type design registered in the United Since issuance of AD 2000–02–04, the Comments Invited ´ ´ States, the proposed AD would Direction Generale de l’Aviation Civile supersede AD 2000–02–04 to require Interested persons are invited to (DGAC), which is the airworthiness repetitive inspections to detect participate in the making of the authority for France, has advised the continuity defects in the autotrim proposed rule by submitting such FAA that repetitive inspections are function and to expand the applicability written data, views, or arguments as necessary to maintain the fleet in an to include additional airplanes. The they may desire. Communications shall airworthy condition, and that additional actions would be required to be identify the Rules Docket number and airplanes may be subject to the accomplished in accordance with the be submitted in triplicate to the address identified unsafe condition. In light of applicable service bulletin described specified above. All communications the DGAC’s recommendation, the FAA previously. The proposed AD also received on or before the closing date has determined that further rulemaking would require that operators report for comments, specified above, will be action is necessary; this proposed AD results of inspection findings to Airbus. considered before taking action on the follows from that determination. proposed rule. The proposals contained Interim Action Explanation of Relevant Service in this notice may be changed in light This is considered to be interim Information of the comments received. action for Model A300–600 and A310 Comments are specifically invited on Airbus has issued Service Bulletins series airplanes. The manufacturer has the overall regulatory, economic, A300–22A6042, Revision 01 (for Model advised that it currently is developing a environmental, and energy aspects of A300–600 series airplanes); A300– modification that will positively address the proposed rule. All comments 22A0115, Revision 02 (for Model A300 the unsafe condition addressed by this submitted will be available, both before series airplanes); and A310–22A2053, AD. Once this modification is and after the closing date for comments, Revision 01 (for Model A310 series developed, approved, and available, the in the Rules Docket for examination by airplanes); all dated March 7, 2000. FAA may consider additional interested persons. A report These service bulletins describe rulemaking for these airplanes. summarizing each FAA-public contact procedures for repetitive inspections of concerned with the substance of this the autotrim function by testing the Cost Impact proposal will be filed in the Rules integrity of the flight control computer There are approximately 120 Docket. (FCC) and flight augmentation computer airplanes of U.S. registry that would be Commenters wishing the FAA to (FAC) in logic activation of the autotrim. affected by this proposed AD. The acknowledge receipt of their comments For any default found during the test, inspection that is proposed by this AD submitted in response to this notice the service bulletins describe would take approximately 1 work hour must submit a self-addressed, stamped procedures for trouble-shooting and per airplane to accomplish, at an postcard on which the following follow-on corrective actions, including average labor rate of $60 per work hour. statement is made: ‘‘Comments to replacing the FCC and/or FAC, retesting, Based on these figures, the cost impact Docket Number 2000–NM–104–AD.’’ checking the wires between certain FCC of the proposed actions on U.S. The postcard will be date stamped and and FAC pins, and repairing damaged operators is estimated to be $7,200, or returned to the commenter. wires. $60 per airplane, per inspection cycle. The DGAC classified these service The cost impact figure discussed Availability of NPRMs bulletins as mandatory and issued above is based on assumptions that no Any person may obtain a copy of this French airworthiness directive 2000– operator has yet accomplished any of NPRM by submitting a request to the 115–304(B) R1, dated May 3, 2000, in the current or proposed requirements of

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules 36803 this AD action, and that no operator Note 1: This AD applies to each airplane report within 10 days after the effective date would accomplish those actions in the identified in the preceding applicability of this AD. future if this AD were not adopted. provision, regardless of whether it has been modified, altered, or repaired in the area Alternative Methods of Compliance Regulatory Impact subject to the requirements of this AD. For (c) An alternative method of compliance or airplanes that have been modified, altered, or adjustment of the compliance time that The regulations proposed herein repaired so that the performance of the provides an acceptable level of safety may be would not have a substantial direct requirements of this AD is affected, the used if approved by the Manager, effect on the States, on the relationship owner/operator must request approval for an International Branch, ANM–116, FAA, between the national Government and alternative method of compliance in Transport Airplane Directorate. Operators the States, or on the distribution of accordance with paragraph (c) of this AD. shall submit their requests through an power and responsibilities among the The request should include an assessment of appropriate FAA Principal Maintenance various levels of government. Therefore, the effect of the modification, alteration, or Inspector, who may add comments and then repair on the unsafe condition addressed by it is determined that this proposal send it to the Manager, International Branch, this AD; and, if the unsafe condition has not ANM–116. would not have federalism implications been eliminated, the request should include under Executive Order 13132. Note 2: Information concerning the specific proposed actions to address it. existence of approved alternative methods of For the reasons discussed above, I Compliance: Required as indicated, unless compliance with this AD, if any, may be certify that this proposed regulation (1) accomplished previously. obtained from the International Branch, is not a ‘‘significant regulatory action’’ To prevent a sudden change in pitch due ANM–116. under Executive Order 12866; (2) is not to an out-of-trim condition combined with an a ‘‘significant rule’’ under the DOT autopilot disconnect, which could result in Special Flight Permits Regulatory Policies and Procedures (44 reduced controllability of the airplane, (d) Special flight permits may be issued in FR 11034, February 26, 1979); and (3) if accomplish the following: accordance with §§ 21.197 and 21.199 of the promulgated, will not have a significant Repetitive Inspections Federal Aviation Regulations (14 CFR 21.197 economic impact, positive or negative, and 21.199) to operate the airplane to a (a) At the applicable time specified by location where the requirements of this AD on a substantial number of small entities paragraph (a)(1) or (a)(2) of this AD: Perform can be accomplished. under the criteria of the Regulatory an inspection of the autotrim function by Flexibility Act. A copy of the draft testing the flight control computer (FCC)/ Note 3: The subject of this AD is addressed regulatory evaluation prepared for this flight augmentation computer (FAC) integrity in French airworthiness directive 2000–115– 304(B) R1, dated May 3, 2000. action is contained in the Rules Docket. in logic activation of the autotrim, in A copy of it may be obtained by accordance with Airbus Service Bulletin Issued in Renton, Washington, on June 6, A300–22A6042, Revision 01 (for Model 2000. contacting the Rules Docket at the A300–600 series airplanes); A300–22A0115, location provided under the caption Revision 02 (for Model A300 series Donald L. Riggin, ADDRESSES. airplanes); or A310–22A2053, Revision 01 Acting Manager, Transport Airplane Directorate, Aircraft Certification Service. List of Subjects in 14 CFR Part 39 (for Model A310 series airplanes); all dated March 7, 2000; as applicable. If any [FR Doc. 00–14794 Filed 6–9–00; 8:45 am] Air transportation, Aircraft, Aviation discrepancy is found, prior to further flight, BILLING CODE 4910±13±U safety, Safety. perform all applicable corrective actions (including trouble-shooting, replacing the The Proposed Amendment FCC and/or FAC, retesting, checking the DEPARTMENT OF TRANSPORTATION wires between certain FCC and FAC pins, Accordingly, pursuant to the and repairing damaged wires) in accordance Federal Aviation Administration authority delegated to me by the with the applicable service bulletin. Repeat Administrator, the Federal Aviation the inspection thereafter at intervals not to Administration proposes to amend part exceed 500 flight hours. 14 CFR Part 39 39 of the Federal Aviation Regulations (1) For airplanes on which the pitch trim [Docket No. 2000±NM±107±AD] (14 CFR part 39) as follows: system test has been performed in accordance with the requirements of AD RIN 2120±AA64 PART 39ÐAIRWORTHINESS 2000–02–04, amendment 39–11522: Inspect DIRECTIVES within 500 flight hours after accomplishment Airworthiness Directives; Boeing of the test required by that AD, or within 20 Model 737±300, ±400, and ±500 Series 1. The authority citation for part 39 days after the effective date of this AD, Airplanes continues to read as follows: whichever occurs later. (2) For all other airplanes: Inspect within AGENCY: Federal Aviation Authority: 49 U.S.C. 106(g), 40113, 44701. 20 days after the effective date of this AD. Administration, DOT. § 39.13 [Amended] Reporting Requirement ACTION: Notice of proposed rulemaking 2. Section 39.13 is amended by (b) For all inspections required by (NPRM). removing amendment 39–11522 (65 FR paragraph (a) of this AD: At the applicable 3799, January 25, 2000), and by adding time specified by paragraph (b)(1) or (b)(2) of SUMMARY: This document proposes the a new airworthiness directive (AD), to this AD, submit a report of the inspection adoption of a new airworthiness read as follows: results (both positive and negative findings) directive (AD) that is applicable to all to AI/SE-D32 Technical Data and Boeing Model 737–300, –400, and –500 Airbus Industrie: Docket 2000–NM–104–AD. Documentation Services, Airbus Industrie series airplanes. This proposal would Supersedes AD 2000–02–04, Amendment Customer Services Directorate, 1 Rond Point require replacement of the existing 39–11522. Maurice Bellonte, 31707 Blagnac Cedex autothrottle computer with a new, Applicability: Model A300 B2–203 and France; fax (+33) 5 61 93 28 06. improved autothrottle computer. This B4–203 series airplanes in a forward facing (1) For inspections accomplished after the cockpit version, as listed in Airbus Service effective date of this AD: Submit the report proposal is prompted by reports of Bulletin A300–22A0115, Revision 02, dated within 10 days after performing the asymmetric thrust conditions during March 7, 2000; and all Model A300–600 and inspection. flight caused by irregular autothrottle A310 series airplanes; certificated in any (2) For inspections accomplished prior to operation in which the thrust levers category. the effective date of this AD: Submit the slowly move apart causing the airplane

VerDate 112000 14:25 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00007 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 36804 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules to bank excessively and go into a roll. statement is made: ‘‘Comments to AD. The alert service bulletin The actions specified by the proposed Docket Number 2000–NM–107–AD.’’ recommends that this replacement AD are intended to prevent such The postcard will be date stamped and should be accomplished ‘‘as soon as conditions, which could result in loss of returned to the commenter. manpower and materials are available.’’ control of the airplane. However, in developing an appropriate Availability of NPRMs DATES: Comments must be received by compliance time for the proposed July 27, 2000. Any person may obtain a copy of this replacement, the FAA considered not NPRM by submitting a request to the ADDRESSES: Submit comments in only the degree of urgency associated triplicate to the Federal Aviation FAA, Transport Airplane Directorate, with addressing the subject unsafe Administration (FAA), Transport ANM–114, Attention: Rules Docket No. condition, but also the number of Airplane Directorate, ANM–114, 2000–NM–107–AD, 1601 Lind Avenue, proposed requirements and the Attention: Rules Docket No. 2000–NM– SW., Renton, Washington 98055–4056. availability of required parts. The FAA has determined that one year represents 107–AD, 1601 Lind Avenue, SW., Discussion an appropriate interval of time Renton, Washington 98055–4056. The FAA has received reports on Comments may be inspected at this allowable wherein all of these actions certain Boeing Model 737–300, –400, can be accomplished during scheduled location between 9:00 a.m. and 3:00 and –500 series airplanes indicating an p.m., Monday through Friday, except airplane maintenance and an ample asymmetric thrust condition caused by number of required parts will be Federal holidays. irregular autothrottle operation, in The service information referenced in available for modification of the U.S. which the thrust levers slowly move the proposed rule may be obtained from fleet within the proposed compliance apart causing the airplane to bank and Boeing Commercial Airplane Group, period. The FAA also finds that such a roll. This thrust condition exceeds the P.O. Box 3707, Seattle, Washington compliance time will not adversely autopilot roll authority and results in a 98124–2207. This information may be affect the safety of the affected bank angle of more than 30 degrees. In examined at the FAA, Transport airplanes. one incident, the airplane rolled more Airplane Directorate, 1601 Lind Cost Impact than 46 degrees without crew Avenue, SW., Renton, Washington. recognition. Without pilot intervention, There are approximately 1,974 FOR FURTHER INFORMATION CONTACT: an airplane that has asymmetric thrust airplanes of the affected design in the Thanh Truong, Aerospace Engineer, can bank excessively and go into a roll. worldwide fleet. The FAA estimates that Systems and Equipment Branch, ANM– Such conditions, if not corrected, could 799 airplanes of U.S. registry would be 130S, FAA, Transport Airplane result in loss of control of the airplane. affected by this proposed AD, that it Directorate, Seattle Aircraft Certification would take approximately 1 work hour Office, 1601 Lind Avenue, SW., Renton, Explanation of Relevant Service per airplane to accomplish the proposed Washington 98055–4056; telephone Information replacement, and that the average labor (425) 227–2552; fax (425) 227–1181. The FAA has reviewed and approved rate is $60 per work hour. Required SUPPLEMENTARY INFORMATION: Boeing Alert Service Bulletin 737– parts would cost between $1,400 and Comments Invited 22A1130, dated September 24, 1998, $4,200 per airplane. Based on these which describes procedures for figures, the cost impact of the proposed Interested persons are invited to replacement of the existing autothrottle AD on U.S. operators is estimated to be participate in the making of the computer with a new, improved between $1,460 and $4,260 per airplane. proposed rule by submitting such autothrottle computer. The improved The cost impact figures discussed written data, views, or arguments as autothrottle computer disengages the above are based on assumptions that no they may desire. Communications shall autothrottle if an asymmetric thrust operator has yet accomplished any of identify the Rules Docket number and condition is detected, and prevents the the proposed requirements of this AD be submitted in triplicate to the address airplane from rolling to an excessive action, and that no operator would specified above. All communications bank angle. accomplish those actions in the future if received on or before the closing date Accomplishment of the actions this AD were not adopted. for comments, specified above, will be specified in the alert service bulletin is Regulatory Impact considered before taking action on the intended to adequately address the proposed rule. The proposals contained unsafe condition. The regulations proposed herein in this notice may be changed in light would not have a substantial direct of the comments received. Explanation of Requirements of effect on the States, on the relationship Comments are specifically invited on Proposed Rule between the national Government and the overall regulatory, economic, Since an unsafe condition has been the States, or on the distribution of environmental, and energy aspects of identified that is likely to exist or power and responsibilities among the the proposed rule. All comments develop on other products of this same various levels of government. Therefore, submitted will be available, both before type design, the proposed AD would it is determined that this proposal and after the closing date for comments, require accomplishment of the actions would not have federalism implications in the Rules Docket for examination by specified in the alert service bulletin under Executive Order 13132. interested persons. A report described previously, except as For the reasons discussed above, I summarizing each FAA-public contact discussed below. certify that this proposed regulation (1) concerned with the substance of this is not a ‘‘significant regulatory action’’ proposal will be filed in the Rules Differences Between Proposed Rule and under Executive Order 12866; (2) is not Docket. Alert Service Bulletin a ‘‘significant rule’’ under the DOT Commenters wishing the FAA to Operators should note that this Regulatory Policies and Procedures (44 acknowledge receipt of their comments proposed AD would require FR 11034, February 26, 1979); and (3) if submitted in response to this notice replacement of the autothrottle promulgated, will not have a significant must submit a self-addressed, stamped computer to be accomplished within economic impact, positive or negative, postcard on which the following one year after the effective date of this on a substantial number of small entities

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules 36805 under the criteria of the Regulatory 10–62017–1, –2, –3, –4, –5, –11, –21, –23, An informal docket may also be Flexibility Act. A copy of the draft –25, or –27. examined during normal business hours regulatory evaluation prepared for this Alternative Methods of Compliance at the office of the Regional Air Traffic action is contained in the Rules Docket. (c) An alternative method of compliance or Division, Federal Aviation A copy of it may be obtained by adjustment of the compliance time that Administration, 2601 Meacham Blvd; contacting the Rules Docket at the provides an acceptable level of safety may be Fort Worth, TX 76193–0500. location provided under the caption used if approved by the Manager, Seattle FOR FURTHER INFORMATION CONTACT: Bil ADDRESSES. Aircraft Certification Office (ACO), FAA, Nelson, Airspace and Rules Division, Transport Airplane Directorate. Operators ATA–400, Office of Air Traffic Airspace List of Subjects in 14 CFR Part 39 shall submit their requests through an appropriate FAA Principal Maintenance Management, Federal Aviation Air transportation, Aircraft, Aviation Administration, 800 Independence safety, Safety. Inspector, who may add comments and then send it to the Manager, Seattle ACO. Avenue, SW., Washington, DC 20591; The Proposed Amendment Note 2: Information concerning the telephone: (202) 267–8783. Accordingly, pursuant to the existence of approved alternative methods of SUPPLEMENTARY INFORMATION: authority delegated to me by the compliance with this AD, if any, may be obtained from the Seattle ACO. Comments Invited Administrator, the Federal Aviation Interested parties are invited to Administration proposes to amend part Special Flight Permit 39 of the Federal Aviation Regulations participate in this proposed rulemaking (d) Special flight permits may be issued in by submitting such written data, views, (14 CFR part 39) as follows: accordance with §§ 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 or arguments as they may desire. PART 39ÐAIRWORTHINESS and 21.199) to operate the airplane to a Comments that provide the factual basis DIRECTIVES location where the requirements of this AD supporting the views and suggestions can be accomplished. presented are particularly helpful in 1. The authority citation for part 39 developing reasoned regulatory continues to read as follows: Issued in Renton, Washington, on June 6, 2000. decisions on the proposal. Comments Authority: 49 U.S.C. 106(g), 40113, 44701. Donald L. Riggin, are specifically invited on the overall regulatory, aeronautical, economic, § 39.13 [Amended] Acting Manager, Transport Airplane Directorate, Aircraft Certification Service. environmental, and energy-related 2. Section 39.13 is amended by aspects of the proposal. [FR Doc. 00–14793 Filed 6–9–00; 8:45 am] adding the following new airworthiness Communications should identify the directive: BILLING CODE 4910±13±U airspace docket number and be Boeing: Docket 2000–NM–107–AD. submitted in triplicate to the address Applicability: All Model 737–300, –400, DEPARTMENT OF TRANSPORTATION listed above. Commenters wishing the and –500 series airplanes; certificated in any FAA to acknowledge receipt of their category. Federal Aviation Administration comments on this action must submit Note 1: This AD applies to each airplane with those comments a self-addressed, identified in the preceding applicability 14 CFR Part 71 stamped postcard on which the following statement is made: provision, regardless of whether it has been [Airspace Docket No. 00±ASW±6] modified, altered, or repaired in the area ‘‘Comments to Airspace Docket No. 00– subject to the requirements of this AD. For Proposed Modification of Federal ASW–6.’’ The postcard will be date/ airplanes that have been modified, altered, or Airways in the Vicinity of Dallas/Fort time stamped and returned to the repaired so that the performance of the Worth; TX commenter. All communications requirements of this AD is affected, the received on or before the specified owner/operator must request approval for an AGENCY: Federal Aviation closing date for comments will be alternative method of compliance in Administration (FAA), DOT. accordance with paragraph (c) of this AD. considered before taking action on the The request should include an assessment of ACTION: Notice of proposed rulemaking. proposed rule. The proposal contained the effect of the modification, alteration, or in this action may be changed in light SUMMARY: This action proposes to repair on the unsafe condition addressed by of comments received. All comments this AD; and, if the unsafe condition has not amend fourteen Federal airways in the submitted will be available for been eliminated, the request should include vicinity of Dallas/Fort Worth, TX. The examination in the Rules Docket both specific proposed actions to address it. FAA is proposing this action to simplify before and after the closing date for Compliance: Required as indicated, unless the airway structure, thereby, enhancing comments. A report summarizing each accomplished previously. the management of aircraft operations in substantive public contact with FAA To prevent a severe asymmetric thrust the area. personnel concerned with this condition during flight which could result in DATES: Comments must be received on rulemaking will be filed in the docket. loss of control of the airplane, accomplish the or before July 28, 2000. following: ADDRESSES: Send comments on this Availability of NPRM Replacement proposal in triplicate to: Manager, Air An electronic copy of this document (a) Within 1 year after the effective date of Traffic Division, ASW–500, Docket No. may be downloaded using a modem and this AD: Replace the existing autothrottle 00–ASW–6, Federal Aviation suitable communications software from computer with a new, improved autothrottle Administration, 2601 Meacham Blvd; the FAA regulations section of the computer in accordance with Boeing Alert Fort Worth, TX 76193–0500. The official Fedworld electronic bulletin board Service Bulletin 737–22A1130, dated docket may be examined in the Rules service (telephone: 703–321–3339) or September 24, 1998. Docket, Office of the Chief Counsel, the Government Printing Office’s Spares Room 916, 800 Independence Avenue, electronic bulletin board service (b) As of the effective date of this AD, no SW., Washington, DC, weekdays, except (telephone: 202–512–1661). person shall install on any airplane, an Federal holidays, between 8:30 a.m. and Internet users may reach the FAA’s autothrottle computer having part number 5 p.m. web page at http://www.faa.gov or the

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Superintendent of Documents’s web current. It, therefore—(1) is not a V–16 [Revised] page at http://www.access.gpo.gov/nara ‘‘significant regulatory action’’ under From Los Angeles, CA; Paradise, CA; Palm for access to recently published Executive Order 12866; (2) is not a Springs, CA; Blythe, CA; Buckeye, AZ; rulemaking documents. ‘‘significant rule’’ under Department of Phoenix, AZ; INT Phoenix 155° and Any person may obtain a copy of this Transportation (DOT) Regulatory Stanfield, AZ, 105° radials; Tucson, AZ; Notice of Proposed Rulemaking (NPRM) Policies and Procedures (44 FR 11034, Cochise, AZ; Columbus, NM; El Paso, TX; by submitting a request to the Federal February 26, 1979); and (3) does not Salt Flat, TX; Wink, TX; INT Wink 066° and ° Aviation Administration, Office of Air warrant preparation of a Regulatory Big Spring, TX, 260 radials; Big Spring; Traffic Airspace Management, 800 Evaluation as the anticipated impact is Abilene, TX; Bowie, TX; Bonham, TX; Paris, Independence Avenue, SW., so minimal. Since this is a routine TX; Texarkana, AR; Pine Bluff, AR; Marvell, AR; Holly Springs, MS; Jacks Creek, TN; Washington, DC 20591, or by calling matter that will only affect air traffic Shelbyville, TN; Hinch Mountain, TN; (202) 267–8783. Communications must procedures and air navigation, it is identify the docket number of this Volunteer, TN; Holston Mountain, TN; certified that this rule, when Pulaski, VA; Roanoke, VA; Lynchburg, VA; NPRM. Persons interested in being promulgated, will not have a significant Flat Rock, VA; Richmond, VA; INT placed on a mailing list for future economic impact on a substantial Richmond 039° and Patuxent, MD, 228° NPRM’s should call the FAA’s Office of number of small entities under the radials; Patuxent; Smyrna, DE; Cedar Lake, Rulemaking, (202) 267–9677, for a copy criteria of the Regulatory Flexibility Act. NJ; Coyle, NJ; INT Coyle 036° and Kennedy, of Advisory Circular No. 11–2A, Notice NY, 209° radials; Kennedy; Deer Park, NY; of Proposed Rulemaking Distribution Federal airways are published in paragraph 6010(a) of FAA Order Calverton, NY; Norwich, CT; Boston, MA. System, which describes the application The airspace within Mexico and the airspace procedure. 7400.9G dated September 1, 1999, and below 2,000 feet MSL outside the United effective September 16, 1999, which is States is excluded. The airspace within Background incorporated by reference in 14 CFR Restricted Areas R–5002A, R–5002C, and R– On October 10, 1996, the Dallas/Fort 71.1. The Federal airways listed in this 5002D is excluded during their times of use. Worth Metroplex Plan (DFW/MP) was document would be published The airspace within Restricted Areas R–4005 implemented. The DFW/MP was a subsequently in the Order. and R–4006 is excluded. major airspace redesign project which, List of Subjects in 14 CFR Part 71 V–17 [Revised] in part, decommissioned four Very High From Brownsville, TX, via Harlingen, TX; Frequency Omnidirectional Range/ Airspace, Incorporation by reference, McAllen, TX; 29 miles 12 AGL, 34 miles 25 Tactical Air Navigation (VORTAC) and Navigation (air). MSL, 37 miles 12 AGL; Laredo, TX; Cotulla, relocated and commissioned four new The Proposed Amendment TX; INT Cotulla 046° and San Antonio, TX, VORTAC facilities. The four new 198° radials; San Antonio; Centex, TX; Waco, navigational VORTAC facilities were In consideration of the foregoing, the TX; Glen Rose, TX; Millsap, TX; Bowie, TX; designed to enhance the management of Federal Aviation Administration Ardmore, OK; Will Rogers, OK; Gage, OK; aircraft operations in the vicinity of proposes to amend 14 CFR part 71 as Garden City, KS; to Goodland, KS. DFW. In support of the DFW/MP, the follows: V–63 [Revised] FAA amended twelve VOR Federal airways (61 FR 41736). However, since PART 71ÐDESIGNATION OF CLASS A, From Bowie, TX; Texoma, OK; McAlester, the implementation of this amended CLASS B, CLASS C, CLASS D, AND OK; Razorback, AR; Springfield, MO; Federal airway structure the FAA has CLASS E AIRSPACE AREAS; Hallsville, MO; Quincy, IL; Burlington, IA; Moline, IL; Davenport, IA; Rockford, IL; discovered that further amendment of AIRWAYS; ROUTES; AND REPORTING Janesville, WI; Badger, WI; Oshkosh, WI; the existing airway structure would POINTS Stevens Point, WI; Wausau, WI; Rhinelander, improve aircraft movement and thus WI; to Houghton, MI. Excluding that airspace management of the navigable airspace in 1. The authority citation for part 71 at and above 10,000 feet MSL from 5 NM the DFW area. Therefore, revisions to continues to read as follows: north to 46 NM north of Quincy during the the current airway system in the DFW Authority: 49 U.S.C. 106(g), 40103, 40113, time that the Howard West MOA is activated area are necessary. 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– by NOTAM. The Proposal 1963 Comp., p. 389. V–66 [Revised] The FAA is proposing to amend part § 71.1 [Amended] From Mission Bay, CA; Imperial, CA; 13 71 of Title 14 Code of Federal miles, 24 miles, 25 MSL; Bard, AZ; 12 miles, 2. The incorporation by reference in 35 MSL; INT Bard 089° and Gila Bend, AZ, Regulations to revise fourteen Federal 14 CFR 71.1 of the Federal Aviation ° airways in the vicinity of Dallas/Fort 261 radials; 46 miles, 35 MSL; Gila Bend; Administration Order 7400.9G, Airspace Tucson, AZ, 7 miles wide (3 miles south and Worth, TX. The proposed rule would Designations and Reporting Points, 4 miles north of centerline); Douglas, AZ; amend the following Federal airways: dated September 1, 1999, and effective INT Douglas 064° and Columbus, NM, 277° V–15, V–16, V–17, V–566 by modifying September 16, 1999, is amended as radials; Columbus; El Paso, TX; 6 miles wide; the route descriptions; V–63, V–69, V– follows: INT El Paso 109° and Hudspeth 287° radials; 131, V–305, V–507, V–573 by amending 6 miles wide; Hudspeth; Pecos, TX; Midland, the start points; and V–66, V–163, V– Paragraph 6010(a) Domestic VOR Federal TX; INT Midland 083° and Abilene, TX, 252° 358, and V–407 by modifying the end Airways radials; Abilene; to Millsap, TX. * * * * * points. The FAA is proposing this V–69 [Revised] action to simplify the airway structure, V–15 [Revised] thereby, enhancing the management of From El Dorado, AR; Pine Bluff, AR; INT From Hobby, TX, via Navasota, TX; College Pine Bluff 038° and Walnut Ridge, AR, 187° aircraft operations in the area. Station, TX; Waco, TX; Cedar Creek, TX; radials; Walnut Ridge; Farmington, MO; The FAA has determined that this Bonham, TX; McAlester, OK; Okmulgee, OK; Troy, IL; Capital, IL; Pontiac, IL; to Joliet, IL. regulation only involves an established to Neosho, MO. From Sioux City, IA; INT body of technical regulations for which Sioux City 340° and Sioux Falls, SD, 169° V–131 [Revised] frequent and routine amendments are radials; Sioux Falls; Huron, SD; Aberdeen, From Okmulgee, OK; Tulsa, OK; Chanute, necessary to keep them operationally SD; Bismarck, ND; to Minot, ND. KS; to Topeka, KS.

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V–163 [Revised] ACTION: Proposed rule. ENVIRONMENTAL PROTECTION From Matamoros, Mexico; via Brownsville, AGENCY TX; 27 miles standard width, 37 miles 7 SUMMARY: EPA is proposing to approve miles wide (3 miles E and 4 miles W of a revision to the Maricopa County 40 CFR Part 258 centerline); Corpus Christi, TX; Three Rivers, Environmental Services Department TX; INT Three Rivers 345° and San Antonio, (MCESD) portion of the Arizona State [FRL±6710±4] TX, 168° radials; San Antonio; Lampasas, TX; Implementation Plan (SIP). This to Glen Rose, TX. State of West Virginia: Final Approval revision concerns volatile organic of State Municipal Solid Waste V–305 [Revised] compound (VOC) emissions from Management Permit Program From El Dorado, AR; Little Rock, AR; ferrous sand casting operations. We are Walnut Ridge, AR; Malden, MO; proposing to approve a local rule to AGENCY: Environmental Protection Cunningham, KY; Pocket City, IN; INT regulate this emission source under the Agency. ° ° Pocket City 046 and Hoosier, IN, 205 Clean Air Act as amended in 1990 (CAA ACTION: Proposed rule. radials; Hoosier; INT Hoosier 025° and or the Act). ° Brickyard, IN, 185 radials; Brickyard; INT SUMMARY: The Environmental Protection ° ° DATES: Any comments on this proposal Brickyard 038 and Kokomo, IN, 182 radials; Agency (EPA) proposes to grant Kokomo. must arrive by July 12, 2000. ADDRESSES: Mail comments to Andrew complete program approval for West V–358 [Revised] Steckel, Rulemaking Office Chief (AIR– Virginia’s Municipal Solid Waste Permit From San Antonio, TX, via Stonewall, TX; Program. In the ‘‘Rules and Regulations’’ ° 4), U.S. Environmental Protection Lampasas, TX; INT Lampasas 041 and Waco, Agency, Region IX, 75 Hawthorne section of this Federal Register, EPA is TX, 249° radials; Waco. Street, San Francisco, CA 94105. approving the remaining elements of the V–407 [Revised] You can inspect copies of the State’s program as an immediate final From Harlingen, TX; via INT Harlingen submitted rule and EPA’s technical rule without prior proposal because 006° and Corpus Christi, TX, 193° radials; support documents (TSDs) at our Region EPA views this action as Corpus Christi; via INT Corpus Christi 039° IX office during normal business hours. noncontroversial and anticipates no and Palacios, TX, 241° radials; Palacios; via adverse comments. The Agency has ° ° You may also see copies of the INT Palacios 017 and Humble, TX, 242 submitted rule at the following explained the reasons for this program radials; Humble; Daisetta, TX; Lufkin, TX; locations: approval in the preamble to the Elm Grove, LA; to El Dorado, AR. immediate final rule. If EPA does not Arizona Department of Environmental receive adverse written comments, the V–507 [Revised] Quality, 3033 North Central immediate final rule will become From Ardmore, OK; Will Rogers, OK, via Avenue, Phoenix, AZ 85012 ° ° effective and the Agency will not take INT Will Rogers 284 and Gage, OK, 152 Maricopa County Environmental radials; Gage; Liberal, KS; to Garden City, KS. further action on this proposal. If EPA Services Department, Air Quality receives adverse written comments, EPA V–566 [Revised] Division, 1001 North Central will withdraw the immediate final rule, Avenue, Suite 201, Phoenix, AZ From Gregg County, TX; Belcher, LA; Elm and it will not take effect. EPA will then Grove, LA; Alexandria, LA; INT Alexandria 85004 109° and Reserve, LA, 323° radials; Reserve; address public comments in a later final FOR FURTHER INFORMATION CONTACT: Al excluding the portion within R–3801B and rule based on this proposal. EPA may R–3801C. Petersen, Rulemaking Office (AIR–4), not provide further opportunity for Air Division, U.S. Environmental comment. Any parties interested in V–573 [Revised] Protection Agency, Region IX, 75 commenting on this action must do so From Will Rogers, OK; INT Will Rogers Hawthorne Street, San Francisco, CA at this time. 195°T(188°M) and Ardmore, OK, 94105–3901, (415) 744–1135. 327°(321°M) radials; Ardmore; Bonham, TX; DATES: Written comments must be SUPPLEMENTARY INFORMATION: This Sulpher Springs, TX; Texarkana, AR; INT received on or before July 12, 2000. Texarkana 037° and Hot Springs, AR, 225° proposal addresses the following local ADDRESSES: Comments should be sent to radials; Hot Springs; to Little Rock, AR. rule: MCESD Rule 347. In the Rules and the following address where the full * * * * * Regulations section of this Federal West Virginia program approval Register, we are approving this local Issued in Washington, DC, on June 1, 2000. application is on file and may be rule in a direct final action without reviewed: EPA Region III, 1650 Arch Reginald C. Matthews, prior proposal because we believe this Street, Philadelphia, PA 19103–2029, or Manager, Airspace and Rules Division. SIP revision is not controversial. If we alternatively at West Virginia Division [FR Doc. 00–14655 Filed 6–9–00; 8:45 am] receive adverse comments, however, we of Environmental Protection (WVDEP), BILLING CODE 4910±13±P will publish a timely withdrawal of the 1356 Hansford Street, Charleston, WV direct final rule and address the 25301–1401. comments in subsequent action based FOR FURTHER INFORMATION CONTACT: U.S. on this proposed rule. We do not plan ENVIRONMENTAL PROTECTION EPA Region III, 1650 Arch Street, to open a second comment period, so AGENCY Philadelphia, Pennsylvania 19103– anyone interested in commenting 2029, Attn: Mr. Michael C. Giuranna, 40 CFR Part 52 should do so at this time. If we do not mailcode 3WC21, telephone (215) 814– receive adverse comments, no further [AZ 086±0207b; FRL±6710±6] 3298. The contact for the State of West activity is planned. For further Virginia Division of Environmental information, please see the direct final Approval and Promulgation of Protection is Mr. Larry Atha, 1356 action. Implementation Plans; Arizona State Hansford Street, Charleston, West Implementation Plan Revision, Dated: May 12, 2000. Virginia 25301–1401, telephone (304) Maricopa County Environmental Laura Yoshii, 558–6350. Services Department Acting Regional Administrator, Region IX. SUPPLEMENTARY INFORMATION: For AGENCY: Environmental Protection [FR Doc. 00–14172 Filed 6–9–00; 8:45 am] additional information, please see the Agency (EPA). BILLING CODE 6560±50±P immediate final rule published in the

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‘‘Rules and Regulations’’ section of this Reference Center 445 12th Street, SW., Room TW–A325, Washington, DC Federal Register. Washington, DC. The complete text of 20554. In addition to filing comments Authority: This notice is issued under the this decision may also be purchased with the FCC, interested parties should authority of section 2002, 4005 and 4010(c) from the Commission’s copy contractor, serve the petitioner, or its counsel or of the Solid Waste Disposal Act, as amended, International Transcription Services, consultant, as follows: Richard J. 42 U.S.C. 6912, 6945 and 6949(a). Inc., (202) 857–3800, 1231 20th Street, Bodorff, E. Joseph Knoll III, Wiley, Rein NW., Washington, DC 20036. & Fielding, 1776 K Street, NW., Bradley M. Campbell, Provisions of the Regulatory Washington, DC 20006 (Counsel for Regional Administrator, Region III. Flexibility Act of 1980 do not apply to Central Virginia Educational [FR Doc. 00–14165 Filed 6–9–00; 8:45 am] this proceeding. Telecommunications Corporation). BILLING CODE 6560±50±P Members of the public should note FOR FURTHER INFORMATION CONTACT: Pam that from the time a Notice of Proposed Blumenthal, Mass Media Bureau, (202) Rule Making is issued until the matter 418–1600. FEDERAL COMMUNICATIONS is no longer subject to Commission SUPPLEMENTARY INFORMATION: This is a COMMISSION consideration or court review, all ex synopsis of the Commission’s Notice of parte contacts are prohibited in 47 CFR Part 73 Proposed Rule Making, MM Docket No. Commission proceedings, such as this 00–97, adopted June 2, 2000, and [DA 00±1216, MM Docket No. 00±98, RM± one, which involve channel allotments. released June 5, 2000. The full text of 9811] See 47 CFR 1.1204(b) for rules this Commission decision is available governing permissible ex parte contacts. for inspection and copying during Digital Television Broadcast Service; For information regarding proper normal business hours in the FCC Thomasville, GA filing procedures for comments, see 47 Reference Center 445 12th Street, SW, CFR 1.415 and 1.420. AGENCY: Federal Communications Washington, DC. The complete text of Commission. Federal Communications Commission. this decision may also be purchased ACTION: Proposed rule. Barbara A. Kreisman, from the Commission’s copy contractor, Chief, Video Services Division, Mass Media International Transcription Services, SUMMARY: The Commission requests Bureau. Inc., (202) 857–3800, 1231 20th Street, comments on a petition filed by WCTV [FR Doc. 00–14614 Filed 6–9–00; 8:45 am] NW, Washington, DC 20036. Licensee Corporation, licensee of station BILLING CODE 6712±01±P Provisions of the Regulatory WCTV–TV, NTSC Channel 6, Flexibility Act of 1980 do not apply to Thomasville, Georgia, requesting the this proceeding. substitution of DTV Channel 46 for FEDERAL COMMUNICATIONS Members of the public should note station WCTV–TV’s assigned DTV COMMISSION that from the time a Notice of Proposed Channel 52. DTV Channel 46 can be Rule Making is issued until the matter allotted to Thomasville, Georgia, in 47 CFR Part 73 is no longer subject to Commission compliance with the principle [DA 00±1215, MM Docket No. 00±97, RM± consideration or court review, all ex community coverage requirements of 9865] parte contacts are prohibited in Section 73.625(a) at reference Commission proceedings, such as this coordinates 30–40–13 N and 83–56–26 Digital Television Broadcast Service; one, which involve channel allotments. W with a power of 1000 (kW) and a Richmond, VA See 47 CFR 1.1204(b) for rules height above average terrain (HAAT) of governing permissible ex parte contacts. AGENCY: Federal Communications 619 meters. For information regarding proper Commission. DATES: Comments must be filed on or filing procedures for comments, see 47 ACTION: Proposed rule. before July 27, 2000, and reply CFR 1.415 and 1.420. comments on or before August 11, 2000. SUMMARY: The Commission requests Federal Communications Commission. ADDRESSES: Federal Communications comments on a petition filed by Central Barbara A. Kreisman, Commission, 445 12th Street, SW., Virginia Educational Chief, Video Services Division, Mass Media Room TW–A325, Washington, DC Telecommunications Corporation, Bureau. 20554. In addition to filing comments licensee of station WCVE–TV, NTSC [FR Doc. 00–14613 Filed 6–9–00; 8:45 am] with the FCC, interested parties should Channel *23 requesting the substitution BILLING CODE 6712±01±P serve the petitioner, or its counsel or of DTV Channel *42 for station WCVE– consultant, as follows: Robert A. Beizer, TV’s assigned DTV Channel *24. DTV Secretary, WCTV Licensee Corporation, Channel *42 can be allotted to FEDERAL COMMUNICATIONS 1201 New York Avenue, NW., Suite Richmond, Virginia, in compliance with COMMISSION 1000, Washington, DC 20005–3917, the principle community coverage (Petitioner). requirements of Section 73.625(a) at 47 CFR Part 73 FOR FURTHER INFORMATION CONTACT: Pam reference coordinates 37–30–46 N and [DA 00±1217, MM Docket No. 00±99, RM± Blumenthal, Mass Media Bureau, (202) 77–36–06 W. As requested, we propose 9858] 418–1600. to allot DTV Channel *42 to Richmond with a power of 100 (kW) and a height Digital Television Broadcast Service; SUPPLEMENTARY INFORMATION: This is a above average terrain (HAAT) of 327 Anchorage, AK synopsis of the Commission’s Notice of meters. Proposed Rule Making, MM Docket No. AGENCY: Federal Communications 00–98, adopted June 2, 2000, and DATES: Comments must be filed on or Commission. before July 27, 2000, and reply released June 5, 2000. The full text of ACTION: Proposed rule. this Commission decision is available comments on or before August 11, 2000. for inspection and copying during ADDRESSES: Federal Communications SUMMARY: The Commission requests normal business hours in the FCC Commission, 445 12th Street, SW., comments on a petition filed by

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Fireweed Communications Corporation, Federal Communications Commission. this Commission decision is available licensee of station KYES–TV, NTSC Barbara A. Kreisman, for inspection and copying during Channel 5, Anchorage, Alaska, Chief, Video Services Division, Mass Media normal business hours in the FCC requesting the substitution of DTV Bureau. Reference Center 445 12th Street, SW, Channel 6 for its assigned DTV Channel [FR Doc. 00–14612 Filed 6–9–00; 8:45 am] Washington, DC. The complete text of 22. DTV Channel 6 can be allotted to BILLING CODE 6712±01±P this decision may also be purchased Anchorage, Alaska, in compliance with from the Commission’s copy contractor, the principle community coverage International Transcription Services, requirements of Section 73.625(a) at FEDERAL COMMUNICATIONS Inc., (202) 857–3800, 1231 20th Street, reference coordinates 61–20–10 N and COMMISSION NW, Washington, DC 20036. Provisions of the Regulatory 149–30–47 W. As requested, we propose 47 CFR Part 73 Flexibility Act of 1980 do not apply to to allot DTV Channel 6 to Anchorage this proceeding. with a power of 45 (kW) and a height [DA 00±1218, MM Docket No. 00±100, RM± 9860] Members of the public should note above average terrain (HAAT) of 250 that from the time a Notice of Proposed meters. Digital Television Broadcast Service; Rule Making is issued until the matter is no longer subject to Commission DATES: Comments must be filed on or San Antonio, TX consideration or court review, all ex before July 27, 2000, and reply AGENCY: Federal Communications parte contacts are prohibited in comments on or before August 11, 2000. Commission. Commission proceedings, such as this ADDRESSES: Federal Communications ACTION: Proposed rule. one, which involve channel allotments. Commission, 445 12th Street, SW, Room See 47 CFR 1.1204(b) for rules SUMMARY: The Commission requests TW–A325, Washington, DC 20554. In governing permissible ex parte contacts. comments on a petition filed by Alamo For information regarding proper addition to filing comments with the Pubic Telecommunications Council, FCC, interested parties should serve the filing procedures for comments, see 47 licensee of noncommercial station CFR 1.415 and 1.420. petitioner, or its counsel or consultant, KLRN–TV, NTSC Channel *9 San as follows: Jeremy Lansman, President, Antonio, Texas, requesting the Federal Communications Commission. Fireweed Communications Corporation, substitution of DTV Channel *8 for Barbara A. Kreisman, 3700 Woodland Drive, #800, Anchorage, station KLRN–TV’s assigned DTV Chief, Video Services Division, Mass Media Alaska, (petitioner). Channel *20. DTV Channel *8 can be Bureau. [FR Doc. 00–14611 Filed 6–9–00; 8:45 am] FOR FURTHER INFORMATION CONTACT: Pam allotted to San Antonio, Texas, in Blumenthal, Mass Media Bureau, (202) compliance with the principle BILLING CODE 6712±01±P community coverage requirements of 418–1600. Section 73.625(a) at reference SUPPLEMENTARY INFORMATION: This is a coordinates 29–19–38 N and 98–21–17 DEPARTMENT OF TRANSPORTATION synopsis of the Commission’s Notice of W. As requested, we propose to allot Proposed Rule Making, MM Docket No. DTV Channel *8 to San Antonio with a Federal Motor Carrier Safety 00–99, adopted June 2, 2000, and power of 8.3 (kW) and a height above Administration released June 5, 2000. The full text of average terrain (HAAT) of 263 meters. this Commission decision is available However, since the community of San 49 CFR Parts 350, 390, 394, 395 and for inspection and copying during Antonio is located within 275 398 normal business hours in the FCC kilometers of the U.S.-Mexican border, [Docket No. FMCSA±97±2350] concurrence by the Mexican Reference Center 445 12th Street, SW, RIN 2126±AA23 Washington, DC. The complete text of government must be obtained for this allotment. this decision may also be purchased Additional Public Hearing for Hours of from the Commission’s copy contractor, DATES: Comments must be filed on or Service of Drivers; Driver Rest and International Transcription Services, before July 27, 2000, and reply Sleep for Safe Operations Inc., (202) 857–3800, 1231 20th Street, comments on or before August 11, 2000. AGENCY: Federal Motor Carrier Safety NW, Washington, DC 20036. ADDRESSES: Federal Communications Commission, 445 12th Street, SW, Room Administration (FMCSA), DOT. Provisions of the Regulatory ACTION: Proposed rule; notice of hearing. Flexibility Act of 1980 do not apply to TW–A325, Washington, DC 20554. In this proceeding. addition to filing comments with the SUMMARY: The FMCSA is announcing FCC, interested parties should serve the Members of the public should note two more days of hearings for additional petitioner, or its counsel or consultant, interested persons to speak with that from the time a Notice of Proposed as follows: Margaret L. Tobey, Morrison FMCSA officials about the agency’s Rule Making is issued until the matter & Foerster LLP, 2000 Pennsylvania proposed hours-of-service regulations is no longer subject to Commission Avenue, NW, Suite 5500, Washington, (65 FR 25540, May 2, 2000). This action consideration or court review, all ex DC 20006 (Counsel Alamo Public is necessary to inform the public about parte contacts are prohibited in Telecommunications Council). the dates, times, and location of the Commission proceedings, such as this FOR FURTHER INFORMATION CONTACT: Pam hearing. The FMCSA continues to hope one, which involve channel allotments. Blumenthal, Mass Media Bureau, (202) to hear from the public about how the See 47 CFR 1.1204(b) for rules 418–1600. proposed hours-of-service regulations governing permissible ex parte contacts. SUPPLEMENTARY INFORMATION: This is a would improve highway safety and For information regarding proper synopsis of the Commission’s Notice of affect drivers’ professional, personal and filing procedures for comments, see 47 Proposed Rule Making, MM Docket No. family lives. All oral presentations will CFR 1.415 and 1.420. 00–100, adopted June 2, 2000, and be transcribed and placed in the public released June 5, 2000. The full text of docket.

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DATES: Additional hearings will be held All persons participating will be Fishery Management Plan for the on July 6 and 7, 2000, 8:30 a.m. to 4:30 subject to Federal and DOT workplace Groundfish Fishery of the Bering Sea p.m. in Washington, DC. security measures. All persons will need and Aleutian Islands Area (FMP). FOR FURTHER INFORMATION CONTACT: identification with a picture on it and DATES: Comments must be received by General Information. To request time to must display the identification to DOT June 26, 2000. be heard and for other general security officers. All persons will be information about the session, contact required to sign in at the guard desk and ADDRESSES: Comments may be mailed to Mr. Stanley Hamilton, Office of walk through metal detectors. All Sue Salveson, Assistant Regional Regulatory Development, (202) 366– visitors will be required to wear a Administrator, Sustainable Fisheries 0665. Specific Information. For ‘‘Visitor’’ badge at all times while in the Division, Alaska Region, NMFS, P.O. information concerning the rulemaking, DOT building. Box 21668, Juneau, AK 99802–1668, contact Mr. David Miller, Office of Bus The DOT security office will limit and Attn: Lori Gravel. Comments will not be and Truck Standards, (202) 366–1790, monitor the public’s access and accepted if submitted via e-mail or or Mr. Charles Medalen, Office of the movement through the DOT building. Internet. Hand or courier delivered Chief Counsel, Federal Highway All persons requesting to participate in comments may be sent to the Federal Administration, (202) 366–1354. Office the sessions, but failing to satisfy DOT Building, 709 West 9th Street, Room hours are from 7:45 a.m. to 4:15 p.m, et, security requirements, will be denied 453, Juneau, AK 99801. Copies of the Monday through Friday, except Federal entry into the building and will forfeit Regulatory Impact Review/Initial holidays. the opportunity to participate. Such Regulatory Flexibility Analysis (RIR/ SUPPLEMENTARY INFORMATION: persons will be allowed to submit IRFA) prepared for this action may be written comments to the docket, at the obtained from the same address or by Electronic Access above address, by the close of business calling the Alaska Region, NMFS, at Internet users may access all on July 31, 2000. 907–586–7228. Send comments on comments received by the U.S. DOT collection-of information requirements Authority: 49 U.S.C. 504, 14122, 31133, to the above address and to the Office Dockets, Room PL–401, by using the 31136, and 31502; sec. 113, Pub. L. 103–311, universal resource locator (URL): http:/ 108 Stat. 1673, 1676; and 49 CFR 1.73. of Information and Regulatory Affairs, /dms.dot.gov. It is available 24 hours Office of Management and Budget each day, 365 days a year. Please follow Issued on: June 1, 2000. (OMB), Washington DC 20503 (Attn: the instructions online for more Julie Anna Cirillo, NOAA Desk Officer). information and help. Acting Assistant Administrator. FOR FURTHER INFORMATION CONTACT: An electronic copy of this document [FR Doc. 00–14691 Filed 6–9–00; 8:45 am] Alan Kinsolving, 907–586–7228. may be downloaded by using a BILLING CODE 4910±22±P computer, modem and suitable SUPPLEMENTARY INFORMATION: communications software from the Background Government Printing Office’s Electronic DEPARTMENT OF COMMERCE Bulletin Board Service at (202) 512– The number of Steller sea lions (Eumetopias jubatus) in the Bering Sea 1661. Internet users may reach the National Oceanic and Atmospheric and Aleutian Islands Management Area Office of the Federal Register’s web page Administration (NOAA) at http://www.access.gpo.gov./nara. has declined significantly during the past several decades and in 1997 NMFS Internet users may also find this 50 CFR Part 679 document at the FMCSA’s Motor Carrier listed the western stock of Steller sea Regulatory Information Service [Docket No. 000524152±0152±01; I.D. lions as an endangered species. A (MCREGIS) web site for notices at http:/ 030100C] requirement of the Endangered Species Act is that Federal actions affecting the /www.fmcsa.dot.gov/rulesregs/fmcsr/ RIN 0648±AM34 rulemakings.htm. critical habitat of a listed species must not jeopardize the continued existence Background Fisheries of the Exclusive Economic Zone Off Alaska; Requirement to Use of the populations of those species or The earlier hearings, each of two days’ Vessel Monitoring System Transmitter adversely affect or modify their critical duration, took place between May 31 for Atka Mackerel in Aleutian Islands habitat. Atka mackerel is an important and June 30 in Washington, DC; Subarea prey species for Steller sea lions and Ontario, CA; Golden, CO; Kansas City, stocks adequate for the food needs of MO; Indianapolis, IN; Vernon, CT; and AGENCY: National Marine Fisheries Steller sea lions must remain available Jackson, GA. Service (NMFS), National Oceanic and in Steller sea lion critical habitat. The additional hearing will be held Atmospheric Administration (NOAA), Hence, the Atka mackerel fishery must Thursday and Friday, July 6 and 7, Commerce. be managed to provide for the food 2000, from 8:30 a.m. to 4:30 p.m. in ACTION: Proposed rule; request for needs of Steller sea lions and avoid Room 4200 of the DOT headquarters comments. potential jeopardy to them. building, 400 Seventh Street, SW., On January 22, 1999, NMFS Washington, DC 20590. Speakers must SUMMARY: NMFS publishes a proposed published a final rule that reduces the limit their oral presentations to not rule to require vessels participating in percentage of Atka mackerel taken from more than 10 minutes duration. the directed fishery for Atka mackerel in Steller sea lion critical habitat over a 4- Presenters may submit additional the Aleutian Islands subarea (AI) of the year period in the Western and Central written documentation to be placed in Bering Sea and Aleutian Islands Area to Districts of the AI (64 FR 3446). The the public docket. carry and use a Vessel Monitoring final rule also prohibits all trawling for All persons who would like to System (VMS) transmitter. This action is groundfish within areas designated as participate must request to do so by necessary to enhance monitoring of Steller sea lion critical habitat when telephoning Mr. Stanley Hamilton at fishery activities within critical habitat NMFS determines that the harvest of (202) 366–0665 by 4 p.m., et., on Friday, areas. It is intended to further the Atka mackerel has reached the July 7, 2000. conservation goals and objectives of the applicable limits specified in the

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00014 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules 36811 regulations for the year and district. A unaware of exactly when the unit was 9. It must not be possible for the critical habitat trawl closure remains in transmitting and would be unable to vessel operator to determine when the effect until NMFS closes the Atka alter the signal or the time of VMS transmitter is transmitting or mackerel fishery in that area. transmission. NMFS estimates that a taking a position for later transmission; The Atka mackerel fishery is a high- NMFS-approved VMS transmitter 10. Transmissions from the VMS volume, low-value fishery pursued by a would cost approximately $1,800 per transmitter and the communication small group of large factory trawlers, unit and the charge to the vessel owner service provider must be secure, and it mostly greater than 200 feet (61 m) in for the transmission of VMS position must not be possible for unauthorized length. In 1997, for example, 12 factory data would be $5 per day. parties to intercept vessel location trawlers participated in the AI Atka information. mackerel fishery, with 8 of these vessels The VMS Approval Process NMFS will publish notice in the accounting for over 80 percent of the A VMS consists of a NMFS-approved Federal Register as VMS components retained catch in the fishery. The fishery VMS transmitter that automatically are approved for use. At this time, is highly localized and occurs at depths determines the vessel’s position and NMFS believes that only the Argos between 100 and 200 meters in the same transmits it to a NMFS-approved system is suitable for use in all areas off few locations each year, most commonly communications service provider. The Alaska. The Argos system uses the in island passes. Important Atka communications service provider ArgoNet Mar GE transmitter in mackerel fishing locations in the AI receives the transmission and relays it conjunction with the Argos system of include Seguam Pass, Tanaga Pass, to NMFS. On March 31, 1994, NMFS polar-orbiting satellites. While there are Petrel Bank, and the seamounts and published standards for the use of VMS other space-based communications reefs near Buldir Island. All of these (59 FR 15180). NMFS will use the service providers that provide coverage locations are in or near Steller sea lion criteria described below, which are for waters off Alaska, such as Inmarsat- critical habitat. based on the 1994 standards, to approve C, only the Argos system has When critical habitat areas are closed, VMS transmitters and communication demonstrated that it offers 100 percent continued Atka mackerel fishing takes service providers. coverage of all areas off Alaska. place very close or adjacent to the 1. The VMS transmitter must be However, because of the rapid pace of closed critical habitat areas. The tamper-proof and it must be impossible technological change in the field of boundaries of these areas are complex, for the vessel operator to input false satellite-based vessel monitoring, NMFS the areas are remote, and the weather is position information; anticipates that other vendors will frequently poor. Ensuring that no 2. The VMS transmitter must be able produce VMS components that meet all fishing is taking place inside critical to determine, store and transmit vessel NMFS standards in the near future. habitat using traditional methods of position; NMFS will contact the owners of all enforcement, such as aerial surveillance, 3. The VMS transmitter must allow vessels that participated in the AI Atka is difficult. Effective enforcement of for regular as well as random mackerel fishery in 1998 or 1999 and these closures will be greatly enhanced automatically generated position ensure that they are aware of which if vessels participating in the fishery use reporting. The interval between position VMS transmitters have been approved a VMS transmitter that automatically reports must be programmable; by NMFS and have received installation and frequently transmits vessel position 4. Each position report must include: instructions. Owners of vessels that to NMFS so that vessels fishing near (a) the vessel location, accurate within wish to participate in AI Atka mackerel critical habitat can be monitored 400 m; (b) a transmitter identifier that is fisheries that did not do so in 1997 or closely. unique to that transmitter; and (c) the 1998 would need to contact the NMFS’ intent to implement a VMS in date and time that the vessel position Sustainable Fisheries Division (see 1999 before the Atka mackerel ‘‘B’’ was taken; ADDRESSES) and request a list of season, beginning September 1, 1999, 5. The VMS transmitter must be NMFS-approved VMS transmitters. In was noted in the final rule that equipped with an onboard alarm system most instances, NMFS anticipates that established the protective measures (64 that will alert the vessel crew if the unit the installation of the VMS transmitter FR 3446, January 22, 1999). The North malfunctions or is not able to transmit; would take less than 6 hours. Pacific Fishery Management Council 6. The VMS transmitter, in Installation would be the responsibility determined that the additional conjunction with the VMS of the vessel owners. information provided by a VMS communication service provider, must This regulatory amendment would program would assist in the provide seamless and transparent require that the owner or operator of a management of the Atka mackerel communications from any location vessel participating in the AI Atka fishery and requested that NMFS within the exclusive economic zone off mackerel fishery carry and use a NMFS- develop regulations to implement such Alaska; approved VMS transmitter at all times a system. 7. The transmitter must be able to fix when engaging in directed fishing for Under this action, a vessel the vessel’s position at least once every Atka mackerel. Trawl vessels not participating in a directed fishery for 20 minutes and be able to store those carrying properly installed and Atka mackerel in the AI would be positions in local, non-volatile memory operating VMS units would be required to have an operating NMFS- until they can be transmitted to, and prohibited from retaining Atka mackerel approved VMS transmitter on board. received by, the communication service at more than the maximum retainable These transmitters automatically provider; amount of 20 percent established in determine the vessel’s location several 8. In addition to regular position regulations at § 679.20(e) and (f) while times per hour using Global Positioning reports, the VMS transmitter must be fishing in the AI subarea. System satellites and send the position capable of transmitting a specially This proposed rule would also revise information to NMFS via a mobile identified status report giving the vessel regulations governing Atka mackerel communication service provider. The position whenever the transmitter is harvest in the Community Development VMS transmitters are designed to be powered-up, powered-down, is unable Quota (CDQ) fisheries. Current tamper-resistant and automatic. In most to determine vessel position or has its regulations prohibit any trawling by a cases, the vessel owner would be antenna disconnected; CDQ group in the critical habitat areas

VerDate 112000 11:29 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 E:\FR\FM\12JNP1.SGM pfrm02 PsN: 12JNP1 36812 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Proposed Rules after the specified percent of the group’s of the information to be collected; and List of Subjects in 50 CFR Part 679 annual Atka mackerel CDQ has been ways to minimize the burden of the Alaska, Fisheries, Reporting and reached. These regulations do not allow collection of information, including recordkeeping requirements. the CDQ groups to account separately through the use of automated collection for Atka mackerel catch inside and techniques or other forms of information Dated: June 6, 2000. outside the critical habitat areas, but technology. Bruce C. Morehead, rather assume that all catch of Atka Send comments regarding this burden Acting Assistant Administrator for Fisheries, mackerel is made within the critical estimate or any other aspect of the National Marine Fisheries Service. habitat areas until the maximum percent collection of information to NMFS at the For the reasons set forth in the is reached and the critical habitat area previously listed ADDRESS, and to the preamble, 50 CFR part 679 is proposed closes. NMFS proposes to change these Office of Information and Regulatory to be amended as follows: requirements so that each CDQ group Affairs, Office of Management and would be prohibited from catching more Budget, Washington, D.C. 20503 (Att: PART 679ÐFISHERIES OF THE than the specified percentage of its Atka NOAA Desk Officer). EXCLUSIVE ECONOMIC ZONE OFF mackerel CDQ inside the critical habitat NMFS prepared an IRFA for this ALASKA areas. The CDQ groups and NMFS proposed rule pursuant to the would use catch location data for each requirements of 5 U.S.C. 603, without 1. The authority citation for part 679 haul collected by observers onboard the first determining whether the proposal continues to read as follows: vessels to determine whether the Atka would have a significant impact on a Authority: 16 U.S.C. 773 et seq., 1801 et mackerel was caught inside the critical substantial number of small entities. seq. and 3631 et seq. The following is a summary of the IRFA: habitat area. This action will provide 2. In § 679.7, paragraph (a)(2) is greater flexibility to the CDQ groups for This action would require that factory trawlers participating in the Aleutian revised and a new paragraph (c)(3) is management of their Atka mackerel added to read as follows: CDQs. Further, these proposed revisions Islands Atka mackerel fishery carry and would create a management structure use a VMS unit. It is intended to § 679.7 Prohibitions. facilitate NMFS’ ability to ensure that for the CDQ Atka mackerel fishery (a) * * * consistent with the management federally managed fisheries not adversely affect designated critical (2) Conduct any fishing contrary to structure that NMFS intends to propose notification of inseason action, closure, later in 2000 for management of pollock habitat, and it is being promulgated or adjustment issued under § § 679.20, CDQ fishing in the Bering Sea critical under the authority of the Magnuson- 679.21, 679.22 or 679.25. habitat areas. Stevens Act. This action will have a small but negative impact on the * * * * * Classification approximately 13 factory trawlers that (c) * * * Notwithstanding any other provision fish for Atka mackerel in the Aleutian (3) Use a vessel to participate in a of the law, no person is required to Islands. NMFS believes that none of the directed fishery for Atka mackerel in the respond to, nor shall any person be vessels that fish for Atka mackerel in the Aleutian Islands subarea unless that subject to a penalty for failure to comply Aleutian Islands would qualify as small vessel carries a NMFS-approved Vessel with, a collection-of-information subject entities. The preferred alternative would Monitoring System (VMS) transmitter to the requirements of the PRA, unless impose a new reporting and and complies with the requirements that collection-of-information displays a recordkeeping requirement on these described at § 679.28(f). currently valid OMB control number. vessels of approximately 12.1 hours per * * * * * This proposed rule contains a new year per vessel. It would not duplicate, 3. In § 679.22, paragraph (a)(8)(iii)(D) collection-of-information requirement overlap, or conflict with existing is revised to read as follows: subject to review and approval by OMB Federal rules. In addition to the under the Paperwork Reduction Act preferred alternative, NMFS considered § 679.22 Closures. (PRA). This collection-of-information a ‘‘no action’’ alternative that would not (a) * * * requirement has been submitted to OMB require the use of VMS units for vessels (8) * * * for approval. The new information engaged in directed fishing for Atka (iii) * * * requirements include the requirement to mackerel in the Aleutian Islands. This (D) CDQ fishing. Harvesting install, maintain, and use a NMFS- alternative was rejected because it groundfish CDQ with trawl gear is approved VMS unit. The public would fail to relieve an unnecessary prohibited within areas designated as reporting burden for this collection of restriction on vessels participating in Steller sea lion critical habitat in the information is estimated to average 6 other fisheries, and because it would fail Western and/or Central Districts of the hours to install the unit, 4 hours per to meet NMFS’ need to facilitate AI (see Table 1, Table 2, and Figure 4 year to maintain the unit, and 5 seconds monitoring and enforcement of Steller to part 226 of this title) for the duration per response to transmit data. These sea lion protective measures. estimates include the time for reviewing A copy of the RIR/IRFA can be of the year when the Regional Administrator announces, by instructions, searching existing data obtained from NMFS (see ADDRESSES). sources, gathering and maintaining the This proposed rule has been notification in the Federal Register, that data needed, and completing and determined to be not significant for the harvest of Atka mackerel within the reviewing the collection of information. purposes of E.O. 12866. critical habitat areas by vessels fishing Public comment is sought regarding The President has directed Federal for CDQ groups has reached the whether this proposed collection of agencies to use plain language in their applicable percentage specified for the information is necessary for the proper communications with the public, year and district at paragraph performance of the functions of the including regulations. To comply with (a)(8)(iii)(B) of this section. agency, including whether the that directive, we seek public comment * * * * * information has practical utility; the on any ambiguity or unnecessary 4. In § 679.28, the section heading and accuracy of the burden estimate; ways to complexity arising from the language paragraph (a) are revised and a new enhance the quality, utility, and clarity used in this proposed rule. paragraph (f) is added to read as follows:

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§ 679.28 Equipment and operational type approval specifications for VMS (ii) Activate the VMS transmitter and requirements. components in the Federal Register. receive confirmation from NMFS that (a) Applicability. This section (ii) Transmitter manufacturers or the VMS transmissions are being contains the requirements for scales, communication service providers may received before participating in a fishery observer sampling stations, bins for submit products or services to NMFS for requiring the VMS; volumetric estimates, and vessel evaluation based on the published (iii) Continue the VMS transmissions monitoring system hardware. This specifications. until the fishery requiring VMS has section does not require any vessel or (iii) NMFS will publish a list of closed or until notified by NMFS staff processor to provide this equipment. NMFS-approved transmitters and that you may stop transmissions; Such requirements appear elsewhere in communication service providers in the (iv) Stop fishing immediately if this part. Federal Register. As necessary, NMFS informed by NMFS staff or an will publish amendments to the list of authorized officer that NMFS is not * * * * * approved components in the Federal receiving position reports from the VMS (f) Vessel Monitoring System (VMS) Register. transmitter; Requirements. (1) What is a VMS? A (3) What are the vessel owner’s (v) Make the VMS transmitter VMS consists of a NMFS-approved VMS responsibilities? If you are a vessel available for inspection by NMFS transmitter that automatically owner that must participate in a VMS, personnel, observers, or an authorized determines the vessel’s position and you or your crew must: officer; transmits it to a NMFS-approved (i) Obtain a NMFS-approved VMS (vi) Ensure that the VMS transmitter communications service provider. The transmitter and have it installed is not tampered with, disabled, communications service provider onboard your vessel in accordance with destroyed, or operated improperly; receives the transmission and relays it the instructions provided by NMFS. (vii) Pay all charges levied by the to NMFS. You may get a copy of the VMS communication service provider. (2) How are VMS transmitters and installation and operation instructions (2) [Reserved] communications service providers from the Regional Administrator upon [FR Doc. 00–14775 Filed 6–9–00; 8:45 am] approved by NMFS? (i) NMFS publishes request. BILLING CODE 3510±22±F

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Notices Federal Register Vol. 65, No. 113

Monday, June 12, 2000

This section of the FEDERAL REGISTER be full public participation and date of the hearing approaches. At the contains documents other than rules or submission of final proposals that hearing, a short formal presentation will proposed rules that are applicable to the address potential environmental precede the request for public public. Notices of hearings and investigations, impacts. The Government’s evaluation comments. GSA representatives will be committee meetings, agency decisions and of final proposals will include available to receive comments from the rulings, delegations of authority, filing of petitions and applications and agency consideration of an offeror’s ability and public regarding issues of concern, statements of organization and functions are willingness to address impacts and including comments on the potential examples of documents appearing in this implement proposed mitigation impacts of the proposed project, means section. measures identified through the NEPA of mitigating those impacts, and project process, including public comments alternatives. received on the Draft EIS. GSA encourages Federal, regional, GENERAL SERVICES Draft EIS Availability state and local agencies, and interested ADMINISTRATION individuals and groups, to take this Copies of the Draft EIS will be opportunity to identify environmental Notice of the Availability of the Draft available for review at the locations concerns that they believe should be Environmental Impact Statement and identified below. Also available for addressed in the Final EIS. In the Notice of Public Hearing on the Draft review will be copies of the transcript interest of available time, each speaker Environmental Impact Statement for a of proceedings from the April 11th will be asked to limit oral comments to Proposed Department of Public Scoping Meeting and public five (5) minutes. However, agencies and Transportation Headquarters comments submitted. In addition, the the general public are encouraged to Draft EIS and other information AGENCY: National Capital Region; provide written comments on the regarding this project are available on scoping issues in addition to, or in lieu General Services Administration, the internet at http://www.evolv.com/ Department of Transportation. of, presenting oral comments at the DOT. public hearing. ACTION: Proposed lease acquisition of a The Draft EIS may be viewed at the Written comments will be accepted new or renovated headquarters for the following locations: through July 24, 2000. All written and Department of Transportation in the 1. Department of Transportation, oral comments will be addressed and Central Employment Area of Dockets Room, PL–401, 400 7th Street, incorporated into the Final EIS. GSA Washington, DC. SW, Washington, DC 20590. 2. Martin Luther King Library, 9th & anticipates that the Final EIS will be SUMMARY: The General Services G Streets, NW, Washington, DC. released in the Fall of 2000. Administration (GSA) announces the 3. Public Affairs Office, Navy, Bldg, Project Information availability of the Draft Environmental 200, 2nd Floor, Wing 1 North, Topics of environmental analysis Impact Statement (Draft EIS) for the Washington Navy Yard, Washington, presented in the Draft EIS include short proposed lease acquisition of a new or DC. renovated headquarters for the term impacts of construction and long- Department of Transportation (DOT) in Public Hearing term impacts of site operations and the Central Employment Area (CEA) of A Notice of Intent to prepare an EIS maintenance on land use, historic Washington, DC. GSA also announces and conduct a public scoping meeting resources, visual resources, physical that a public hearing on the Draft EIS was issued on June 30, 1999. The public and biological resources, public will be held on July 12, 2000. scoping meeting was held on July 29, transportation, traffic and parking, 1999 to assist GSA in determining the public services and utilities, and socio- Background Information significant issues related to this project. economic conditions. The DOT seeks to update its facilities, A second public scoping meeting was environmental analysis also addresses maximize efficiency, and reorganize and held on April 11, 2000 to provide the cumulative impacts that would result consolidate its operations. To this end, public a further opportunity to comment from this end and other development GSA is currently conducting a on the project and, specifically, the sites projects that have been completed competitive procurement of 1.35 million and proposals selected to participate in recently, are currently under rentable square feet of new or renovated Phase II of the competition. Comments development, and are proposed within space under an operating lease for a from both these meetings have been each study area. term of fifteen years. Consolidation in a incorporated into the Draft EIS. Time and Location of Meeting new or renovated headquarters will The subject of this notice is a public produce significant operating hearing that will be held to solicit The public meeting will be held: At efficiencies in support of DOT’s comment from agencies and the public 7 p.m. Wednesday, 12, 2000 at the mission. on the Draft EIS. This public hearing Ronald Reagan Building and The Government is conducting this will be held at 7 pm on Wednesday, July International Trade Center Horizon procurement as a negotiated, best value 12, 2000, at the Ronald Reagan Building Ballroom (Ground Level, 131⁄2 Street source selection. This procurement and International Trade Center Horizon Entrance) 13th Street and Pennsylvania process has been developed with full Ballroom (Ground Level, 131⁄2 Street Avenue, NW Washington, DC 20004. integration of the NEPA process, Entrance) 13th Street and Pennsylvania DATES: Written comments on the Draft incorporating NEPA compliance into Avenue, NW., Washington, DC 20004. EIS must be postmarked no later than the agency’s decision making The hearing will be advertised in July 24, 2000, to the following address: framework. The results of this effort will local and regional newspapers as the General Services Administration, Attn:

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Mr. John Simeon, Portfolio information collection requests under of communication, such as audio or Development Division (WPC), 7th and D review by the Office of Management and video tapes, were recommended to Streets, SW., Suite 2002, Washington, Budget (OMB) in compliance with the reach the workers. DC 20407. Paperwork Reduction Act (44 U.S.C. The goal of the overall project is to FOR FURTHER INFORMATION PLEASE Chapter 35). To request a copy of these increase awareness of and information CONTACT: Mr. John Simeon, General requests, call the CDC Reports Clearance about the nature, extent, and Services Administration, (202) 260– Officer at (404) 639–7090. Send written seriousness of silica exposure, and to 9586. comments to CDC, Desk Officer; Human increase the use of appropriate Resources and Housing Branch, New engineering controls and respiratory Dated: June 6, 2000. Executive Office Building, Room 10235; protection among construction workers Anthony Costa, Washington, DC 20503. Written in Texas. A culturally and linguistically Assistant Regional Administrator, National comments should be received within 30 relevant silicosis education and Capital Region, General Services days of this notice. prevention program targeting Administration. Proposed Projects construction workers will be developed, [FR Doc. 00–14734 Filed 6–9–00; 8:45 am] implemented, and evaluated. The goal BILLING CODE 6820±23±M 1. Silicosis, No Mas!: Evaluation of of the evaluation is to determine if Materials Used for Outreach to Hispanic culturally tailored health messages are Construction Workers—New—National more effective than non-culturally DEPARTMENT OF HEALTH AND Institute for Occupational Safety and tailored health messages in promoting HUMAN SERVICES Health (NIOSH), Centers for Disease changes in knowledge, attitudes, and Control and Prevention (CDC)—Over behaviors. Public Health Service Operating 14,000 workers in the U.S. have died Information and data obtained from Divisions; Delegation of Authority from silicosis and hundreds more add to this evaluation will help direct future the death toll each year. Silicosis is the Notice is hereby given that I have outreach efforts in silicosis prevention third leading cause of death attributed delegated to the Public Health Service among the Hispanic population. In to occupational diseases in the U.S. In (PHS) Operating Division (OPDIV) addition, results from this study will be the state of Texas, 300 cases of silicosis used to further current understanding of Heads the service fellowships related and workers exposed to silica were authorities vested in the Secretary of the effects of cultural values in the reported between 1990 and 1997. design of safety and health messages, Health and Human Services under Among these cases, construction was thereby helping future development of Sections 207 and 208 of the PHS Act, 42 one of the most frequently reported culturally and linguistically appropriate U.S.C. 209 and 210, and under Title 42 industries. Silicosis was diagnosed in occupational safety and health messages CFR, Subpart B, Part 61—Service workers as young as 22 years of age, and tailored for the Hispanic population. Fellowships. one third of the cases were found among The total annual burden hours are This delegation supersedes the Hispanic workers, most of whom were 200. delegation of authority memorandum diagnosed with silicosis in their thirties. titled, ‘‘Delegation of Authority— Despite the alarming number of Service Fellowships,’’ to the PHS Avg. reports, few attempts have been made to No. of No. of burden Agency Heads from the Deputy educate construction workers in Texas, re- re- per re- Assistant Secretary for Health Respondents sponses/ particularly workers of Hispanic/Latino spond- respond- sponse Management Operations, Office of the decent. An evaluation of the outreach ents (in ent hours) Assistant Secretary for Health, dated activities conducted during the 1996 January 8, 1993. National Campaign to Eliminate Construction This delegation becomes effective Silicosis and the Special Emphasis workers ...... 600 1 20/60 upon date of signature. Also, I hereby Program (SEP) for silicosis indicated ratify and affirm the actions taken by that no effort was undertaken to meet Dated: June 6, 2000. you or your subordinates, which the needs of Hispanic workers. In both involved the exercise of authorities events, educational outreach was Nancy Cheal, delegated herein prior to the effective directed at the mainstream industry, Acting Associate Director for Policy, Planning date of this delegation. trade associations, employers, and labor and Evaluation, Centers for Disease Control and Prevention (CDC). Dated: June 2, 2000. unions. Yet, while some educational [FR Doc. 00–14737 Filed 6–9–00; 8:45 am] Donna E. Shalala, materials were directly translated into BILLING CODE 4163±18±P Secretary. Spanish, no special efforts were directed at Hispanic workers in the course of the [FR Doc. 00–14751 Filed 6–9–00; 8:45 am] campaign nor in the SEP. In addition, BILLING CODE 4160±17±M the results of 11 focus groups recently DEPARTMENT OF HEALTH AND conducted in Texas indicated that most HUMAN SERVICES DEPARTMENT OF HEALTH AND Hispanic workers were unaware of Administration for Children and HUMAN SERVICES silicosis and most knew little about the Families cause and health effects of silicosis. Barriers to silicosis prevention raised by Centers for Disease Control and [Program Announcement No. 93612±005] Prevention the focus group participants included lack of knowledge about prevention and [30 DAY±42±00] Administration for Native Americans lack of proper protective equipment ProgramsÐSupplemental Funding for Agency Forms Undergoing Paperwork provided by their employers. While InterTribal Bison Cooperative/ Reduction Act Review most workers in the focus groups could 90NA7059 read either Spanish or English, there The Centers for Disease Control and were individuals who could not read AGENCY: Administration for Native Prevention (CDC) publishes a list of either language. Hence, other mediums Americans (ANA), ACF, DHHS.

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ACTION: Notice of Supplemental SUMMARY: The Food and Drug comments on: (1) Whether the proposed Funding Award. Administration (FDA) is announcing an collection of information is necessary opportunity for public comment on the for the proper performance of FDA’s SUMMARY: The Administration for proposed collection of certain functions, including whether the Native Americans announces that a non- information by the agency. Under the information will have practical utility; competitive grant award is being made Paperwork Reduction Act of 1995 (the (2) the accuracy of FDA’s estimate of the to the InterTribal Bison Cooperative in PRA), Federal agencies are required to burden of the proposed collection of the amount of $140,190 for Grant publish a notice in the Federal Register information, including the validity of #90NA7059. The project period is concerning each proposed collection of the methodology and assumptions used; September 1, 1998—August 341, 2000. information, including each proposed (3) ways to enhance the quality, utility, This supplement will augment Year 2 extension of an existing collection of and clarity of the information to be funding to allow for the hiring of information, and to allow 60 days for collected; and (4) ways to minimize the necessary staff as well as other supports public comment in response to the burden of the collection of information to facilitate the completion of all notice. This notice solicits comments on on respondents, including through the original objectives projected under the reporting requirements relating to use of automated collection techniques, grant. The InterTribal Bison Cooperative shipment of nonsterile devices that are when appropriate, and other forms of is funded to provide services to forty- to be sterilized elsewhere or are shipped information technology. two member tribes, including: to other establishments for further Marketing and sales; land base and process labeling or repacking. Agreement for Shipment of Devices for Sterilization—21 CFR 801.150(e) (OMB production capacity; research and DATES: Submit written comments on the Control No. 0910–0131)—Extension development of herd management and a collection of information by August 11, collaboration with tribal colleges in 2000. Under sections 501(c) and 502(a) of developing bison curricula. ADDRESSES: Submit written comments the Federal Food, Drug, and Cosmetic FOR FURTHER INFORMATION CONTACT: Lois on the collection of information to the Act (the act) (21 U.S.C. 351(c) and Hodge, Grants Officer, Department of Dockets Management Branch (HFA– 352(a)), nonsterile devices that are Health and Human Services, 305), Food and Drug Administration, labeled as sterile but are in interstate Administration for Children and 5630 Fishers Lane, rm. 1061, Rockville, transit to a facility to be sterilized are Families, Office of Grants MD 20852. All comments should be adulterated and misbranded. FDA Administration, 370 L’Enfant identified with the docket number regulations in § 801.150(e) (21 CFR Promenade SW., Mail Stop HHH 326F, found in brackets in the heading of this 801.150(e)) establish a control Washington, DC 20447, telephone: 202– document. mechanism by which firms may 401–2344 or Georgeline Sparks, Program FOR FURTHER INFORMATION CONTACT: manufacture and label medical devices Specialist, Administration for Native Peggy Schlosburg, Office of Information as sterile at one establishment and ship Americans, DHHS./ACF/ANA, 370 Resources Management (HFA–250), the devices in interstate commerce for L’Enfant Promenade SW., Washington, Food and Drug Administration, 5600 sterilization at another establishment, a DC 20447, telephone: 202–690–6420. Fishers Lane, Rockville, MD 20857, practice that facilitates the processing of Authority: This award will be made 301–827–1223. devices and is economically necessary pursuant to Native Americans Programs Act SUPPLEMENTARY INFORMATION: Under the for some firms. Under § 801.150(e), of 1974 as amended, 42 U.S.C. 2991 B. PRA (44 U.S.C. 3501–3520), Federal manufacturers and sterilizers may sign (CFDA 93.612). agencies must obtain approval from the an agreement containing the following: Dated: June 5, 2000. Office of Management and Budget (1) Instructions for maintaining Gary Mounts, (OMB) for each collection of accountability of the number of units in each shipment; (2) acknowledgment that Acting Commissioner, Administration for information they conduct or sponsor. Native Americans. ‘‘Collection of information’’ is defined the devices are nonsterile, being shipped for further processing; and (3) [FR Doc. 00–14750 Filed 6–9–00; 8:45 am] in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and includes agency requests specifications for sterilization BILLING CODE 4184±01±M or requirements that members of the processing. public submit reports, keep records, or This agreement allows the DEPARTMENT OF HEALTH AND provide information to a third party. manufacturer to ship misbranded HUMAN SERVICES Section 3506(c)(2)(A) of the PRA (44 products to be sterilized without U.S.C. 3506(c)(2)(A)) requires Federal initiating regulatory action and provides Food and Drug Administration agencies to provide a 60-day notice in FDA with a means to protect consumers the Federal Register concerning each [Docket No. 00N-1303] from use of nonsterile products. During proposed collection of information, routine plant inspections, FDA normally including each proposed extension of an Agency Information Collection reviews agreements that must be kept existing collection of information, Activities: Proposed Collection; for 2 years after final shipment or before submitting the collection to OMB Comment Request; Agreement for delivery of devices. for approval. To comply with this Shipment of Devices for Sterilization requirement, FDA is publishing notice The respondents to this collection of information are device manufacturers AGENCY: Food and Drug Administration, of the proposed collection of and contract sterilizers. HHS. information set forth in this document. With respect to the following FDA estimates the reporting burden of ACTION: Notice. collection of information, FDA invites this collection of information as follows:

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TABLE 1.ÐESTIMATED ANNUAL REPORTING BURDEN1

Annual Fre- 21 CFR Section No. of Re- quency per Re- Total Annual Hours per Re- Total Hours spondents sponse Responses sponse

801.150(e) 90 20 1,800 4 7,200 Total 7,200 1There are no capital costs or operating and maintenance costs associated with this collection of information.

FDA’s estimate of the burden is based list of premarket approval applications effectiveness summaries of approved on actual data obtained from industry (PMA’s) that have been approved. This PMA’s and denials announced in that during the past 3 years where there are list is intended to inform the public of quarter. approximately 90 firms subject to this the availability of safety and FDA believes that this procedure requirement. effectiveness summaries of approved expedites public notification of these No burden has been estimated for the PMA’s through the Internet and the actions because announcements can be recordkeeping requirement in agency’s Dockets Management Branch. § 801.150(a)(2) because these records are placed on the Internet more quickly ADDRESSES: Summaries of safety and maintained as a usual and customary than they can be published in the effectiveness are available on the Federal Register, and FDA believes that part of normal business activities. Under Internet at http://www.fda.gov/cdrh/ 5 CFR 1320.3(b)(2), the time, effort, and the Internet is accessible to more people pmapage.html. Copies of summaries of financial resources necessary to comply than the Federal Register. safety and effectiveness are also with a collection of information are available by submitting a written In accordance with section 515(d)(3) excluded from the burden estimate if request to the Dockets Management of the Federal Food, Drug, and Cosmetic the reporting, recordkeeping, or Branch (HFA–305), Food and Drug Act (the act) (21 U.S.C. 360e(d)(3)), disclosure activities needed to comply Administration, 5630 Fishers Lane, rm. notification of an order approving, are usual and customary because they 1061, Rockville, MD 20852. Please cite denying, or withdrawing approval of a would occur in the normal course of the appropriate docket number as listed PMA will continue to include a notice activities. in table 1 in the SUPPLEMENTARY of opportunity to request review of the Dated: June 5, 2000. INFORMATION section of this document order under section 515(g) of the act. William K. Hubbard, when submitting a written request. The 30-day period for requesting reconsideration of an FDA action under Senior Associate Commissioner for Policy, FOR FURTHER INFORMATION CONTACT: Planning, and Legislation. § 10.33(b) (21 CFR 10.33(b)) for notices Kathy M. Poneleit, Center for Devices [FR Doc. 00–14701 Filed 6–9–00; 8:45 am] and Radiological Health (HFZ–402), announcing approval of a PMA begins BILLING CODE 4160±01±F Food and Drug Administration, 9200 on the day the notice is placed on the Corporate Blvd., Rockville, MD 20850, Internet. Section 10.33(b) provides that 301–594–2186. FDA may, for good cause, extend this DEPARTMENT OF HEALTH AND 30-day period. Reconsideration of a HUMAN SERVICES SUPPLEMENTARY INFORMATION: In the denial or withdrawal of approval of a Federal Register of January 30, 1998 (63 PMA may be sought only by the Food and Drug Administration FR 4571), FDA published a final rule to applicant; in these cases, the 30-day revise §§ 814.44(d) and 814.45(d) (21 [Docket Nos. 00M±0811, 00M±1215, 00M± period will begin when the applicant is CFR 814.44(d) and 814.45(d)) to 1216, 00M±0915, 99M±4619, 00M±0901, notified by FDA in writing of its discontinue publication of individual 99M±4763, 00M±0424, 00M±1073, 00M±0577, decision. 00M±0579, 00M±0599, 00M±0445, 00M±0580, PMA approvals and denials in the 00M±0578, 00M±0810, 00M±0809, 00M±1212] Federal Register. Instead, revised The following is a list of approved §§ 814.44(d) and 814.45(d) state that PMA’s for which summaries of safety Medical Devices; Availability of Safety FDA will notify the public of PMA and effectiveness were placed on the and Effectiveness Summaries for approvals and denials by posting them Internet in accordance with the Premarket Approval Applications on FDA’s Internet home page at http:// procedure explained previously from AGENCY: Food and Drug Administration, www.fda.gov; by placing the summaries January 1, 2000, through March 31, HHS. of safety and effectiveness on the 2000. There were no denial actions during this period. The list provides the ACTION: Notice. Internet and in FDA’s Dockets Management Branch; and by publishing manufacturer’s name, the product’s SUMMARY: The Food and Drug in the Federal Register after each generic name or the trade name, and the Administration (FDA) is publishing a quarter a list of available safety and approval date.

TABLE 1.ÐLIST OF SAFETY AND EFFECTIVENESS SUMMARIES FOR APPROVED PMA'S MADE AVAILABLE JANUARY 1, 2000, THROUGH MARCH 31, 2000

PMA Number/Docket No. Applicant Trade Name Approval Date

P970005/00M±0811 Kremer Laser Eye Center Kremer Exciber Laser System (Serial July 30, 1998 #KEA940202) P970055/00M±1215 Biotrin International, Ltd. Biotrin Parvovirus IgM EIA (V619IMUS) August 6, 1999 P970054/00M±1216 Biotrin International, Ltd. Biotrin Parvovirus IgG EIA (V519IGUS) August 6, 1999 P980049/00M±0915 ELA Medical, Inc. Defender II Model 9201 Implantable Car- September 15, 1999 diovascular Defibrillator H990003/99M±4619 American Medical Systems ActiconTM Neosphincter September 20, 1999

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TABLE 1.ÐLIST OF SAFETY AND EFFECTIVENESS SUMMARIES FOR APPROVED PMA'S MADE AVAILABLE JANUARY 1, 2000, THROUGH MARCH 31, 2000ÐContinued

PMA Number/Docket No. Applicant Trade Name Approval Date

P850022(S9)/00M±0901 Biolectron Inc. SpinalPak Stimulator September 24, 1999 H990005/99M±4763 Nitinol Medical Technologies CardioSEAL Septal Occlusion System September 28, 1999 P930034(S12)/00M±0424 Summit Technology SVS Apex Plus Excimer Laser October 21, 1999 Workstation w/the Emphasis Discs P910066(S11)/00M±1073 Orthologic Corp. OrthologicTM 1000 Bone Growth Stimu- December 17, 1999 lator P990035/00M±0577 Sunlight Ultrasound Tech- The SunlightTM Omnisense Ultrasound January 20, 2000 nologies, Ltd. Bone Sonometer P990066/00M±0579 GE Medical Systems Senographe 2000D January 28, 2000 H990011/00M±0599 Nitinol Medical Technologies CardioSEAL Septal Occlusion System February 1, 2000 P980040/00M±0445 Allergan Inc. Sensar Soft Acrylic UV±Light Absorbing February 3, 2000 Posterior Chamber Intraocular Lens P990016/00M±0580 McCue Corporation, Inc. McCue CUBAClinical Ultraonic Bone February 15, 2000 Sonometry System w/CUBAplus+V4.1.0 P940034(S8)/00M±0578 Gen-Probe Incorporated Gen-Probe AmplifiedTM Mycobacterium February 15, 2000 Tuberculosis Direct (MTD) Test P900009(S6)/00M±0810 Smith & Nephew Inc. Exogen 2000 or Sonic Accelerated Frac- February 22, 2000 ture Healing System P990023/00M±0809 Alcon Labs Cellugel Ophthalmic Viscosurgical De- February 24, 2000 vice P950019(S9)/00M±1212 United States Surgical Corp. Ray Threaded Fusion Cage (TFC) w/In- March 2, 2000 strumentation

Dated: May 23, 2000. address: Office of Inspector General, on the OIG’s belief that health care Linda S. Kahan, Department of Health and Human providers and related entities can use Deputy Director for Regulations Policy, Center Services, Attention: OIG–7P–CPG, Room internal controls more effectively to for Devices and Radiological Health. 5246, Cohen Building, 330 monitor adherence to applicable Federal [FR Doc. 00–14702 Filed 6–9–00; 8:45 am] Independence Avenue, S.W., health care statutes, regulations and BILLING CODE 4160±01±F Washington, D.C. 20201. program requirements. We do not accept comments by Copies of these compliance program facsimile (FAX) transmission. In guidances can be found on the OIG DEPARTMENT OF HEALTH AND commenting, please refer to file code website at http://www.hhs.gov/oig. HUMAN SERVICES OIG–7P–CPG. Comments received timely will be available for public Developing Draft Compliance Program Office of Inspector General inspection as they are received, Guidance for Individual and Small generally beginning approximately 2 Group Physician Practices Draft OIG Compliance Program for weeks after publication of a document, Individual and Small Group Physician On September 8, 1999, the OIG in Room 5541 of the Office of Inspector Practices published a solicitation notice seeking General at 330 Independence Avenue, information and recommendations for AGENCY: Office of Inspector General S.W., Washington, D.C. 20201 on developing formal guidance for (OIG), HHS. Monday through Friday of each week individual and small group physician ACTION: Notice and comment period. from 8 a.m. to 4:30 p.m. practices (64 FR 48846). In response to FOR FURTHER INFORMATION CONTACT: that solicitation notice, the OIG received SUMMARY: This Federal Register notice Kimberly Brandt, Office of Counsel to 83 comments from various outside seeks the comments of interested parties the Inspector General, (202) 619–2078. sources. In developing this notice for on draft compliance guidance SUPPLEMENTARY INFORMATION: formal public comment, we have developed by the Office of Inspector considered those comments, as well as General (OIG) for individual and small Background previous OIG publications, such as group physician practices. Through this By issuing compliance program other compliance program guidance and notice, the OIG is setting forth its guidance, the OIG seeks to engage the Special Fraud Alerts. In addition, we general views on the value and private health care community in have also taken into account fundamental principles of individual combating fraud and abuse. In the last investigations and audits conducted by and small group physician practices’ few years, the OIG has developed and the OIG, and have consulted with the compliance programs, and the specific issued compliance program guidance Health Care Financing Administration elements that these practices should directed at the following segments of the and the Department of Justice. consider when developing and health care industry: Hospitals; home This draft compliance program implementing an effective compliance health agencies; clinical laboratories; guidance for individual and small group program. third-party medical billing companies; physician practices contains seven DATES: To ensure consideration, suppliers of durable medical equipment, elements that the OIG has determined comments must be delivered to the prosthetics, orthotics and supplies; are fundamental to an effective address provided below by no later than hospices; Medicare+Choice compliance program: 5 p.m. on July 27, 2000. organizations; and nursing facilities. • Implementing written policies; ADDRESSES: Please mail or deliver The development of these types of • Designating a compliance officer/ written comments to the following compliance program guidance is based contact;

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• Conducting comprehensive training mission of all physician practices 2 to A. Benefits of a Compliance Program and education; provide quality care to their patients. The OIG believes that physician • Developing accessible lines of Many physicians have expressed an practices can gain numerous benefits by communication; interest in better protecting their implementing an effective compliance • Conducting internal monitoring and practices from the potential for program. These benefits may include: auditing; fraudulent or erroneous conduct • The development of effective through the implementation of • Enforcing standards through well- internal procedures to ensure compliance programs. While the Office compliance with regulations, payment publicized disciplinary guidelines; and of Inspector General (OIG) believes that • Responding promptly to detected policies and coding rules; the great majority of physicians are • Improved medical record offenses and undertaking corrective honest and share our goal of protecting documentation; action. the integrity of Medicare and other • Improved education for practice These elements are contained in Federal health care programs, all health employees; previous guidance issued by the OIG. As care providers have a duty to ensure • A reduction in the denial of claims; with previously-issued guidance, this that the claims submitted to Federal • More streamlined practice draft compliance program guidance health care programs are true and operations through better represents the OIG’s suggestions on how accurate. The development of effective communication and more individual and small group physician compliance programs in physician comprehensive policies; practices can best voluntarily establish practices will go a long way toward • The avoidance of potential liability internal controls to prevent fraudulent achieving this goal. arising from noncompliance; and or other improper activities. The Through this document, the OIG • Reduced exposure to penalties.5 contents of this guidance are not provides its views on the fundamental An effective compliance program is mandatory or binding, nor is this elements of physician practice essential for physician practices of all guidance an exclusive discussion of the compliance programs, as well as the sizes and does not have to be costly or advisable elements of a compliance principles that each physician practice resource-intensive. With the program. should consider when developing and development of a formal program, a implementing an effective compliance physician practice may find it easier to Public Input and Comment in program. While this document presents comply with its affirmative duty to Developing Final Guidance basic procedural and structural ensure the accuracy of claims submitted To ensure that all parties have an guidance for designing a compliance for reimbursement. opportunity to provide input, we are program, it is not in and of itself a B. Application of Compliance Program publishing this guidance in draft form, compliance program. Rather, it is a set Guidance and welcome all comments from of guidelines that physician practices interested parties. The OIG will should consider when developing and The OIG recognizes that there is no consider all comments that are received implementing a compliance program. ‘‘one size fits all’’ compliance program, within the above-cited time frame, As stated in previous guidance,3 these especially for physician practices. The incorporate any specific guidelines are not mandatory. Nor do applicability of these recommendations recommendations, as appropriate, and they represent an exclusive document of will depend on the circumstances of the prepare a final version of the guidance advisable elements of a compliance particular physician practice. Each thereafter for publication in the Federal program. They are a resource to be practice should undertake reasonable Register. considered in addition to other OIG steps to respond to each of the seven outreach efforts, as well as other Federal elements of this guidance, depending on Draft Compliance Program Guidance agency efforts to promote compliance.4 the size and resources of that practice. for Individual and Small Group Compliance programs not only help to Physician Practices 2 Much of this guidance can also apply to other prevent fraudulent or erroneous claims, I. Introduction independent practitioners, such as psychologists, but they may also show that the physical therapists, speech language pathologists, physician practice is making a good This compliance program guidance is and occupational therapists. faith effort to submit claims intended to assist individual and small 3 Currently, the Office of Inspector General has issued compliance program guidance for the appropriately. Physician practices group physician practices (‘‘physician following eight industry sectors: hospitals, clinical should view compliance programs as 1 practices’’) in developing and laboratories, home health agencies, durable medical analogous to practicing preventive implementing internal controls and equipment suppliers, third-party medical billing medicine. procedures that promote adherence to companies, hospices, Medicare+Choice An effective compliance program also organizations offering coordinated care plans, and statutes and regulations applicable to nursing facilities. All of the guidance is available sends an important message to a the Federal health care programs on the OIG website at http://www.hhs.gov/oig in physician practice’s employees that (‘‘Federal health care program the Electronic Reading Room, or by calling the OIG while the practice recognizes that requirements’’) and private insurance Public Affairs office at (202) 619–1343. mistakes will occur, employees have an program requirements. Compliance 4 The OIG periodically issues Advisory Opinions responding to specific inquiries concerning the affirmative, ethical duty to come programs strengthen the efforts of application of the OIG’s authorities, in particular, Government and the private sector to the anti-kickback statute, and Special Fraud Alerts 5 The OIG, for example, will consider the prevent and reduce improper conduct. setting forth activities that raise legal and existence of an effective compliance program that These programs can also further the enforcement issues. These documents, as well as pre-dated any governmental investigation when reports from the OIG’s Office of Audit Services addressing the appropriateness of administrative (OAS) and Office of Evaluation and Inspections sanctions. However, the burden is on the physician 1 For the purpose of this guidance, the term (OEI) can be obtained on the Internet at: http:// practice to demonstrate the operational ‘‘physician’’ is defined as: (1) A doctor of medicine www.hhs.gov/oig. We also recommend that effectiveness of the compliance program. See 62 FR or osteopathy; (2) a doctor of dental surgery or of physician practices regularly review the Health 67392. In addition, criminal sanctions may be dental medicine; (3) a podiatrist; (4) an optometrist; Care Financing Administration (HCFA) website on mitigated by an effective compliance program that or (5) a chiropractor, all of whom must be the Internet at http://www.hcfa.gov, for up-to-date was in place at the time of the criminal offense. See appropriately licensed by the State. 42 U.S.C. regulations, manuals, and program memoranda United States Sentencing Commission Guidelines, 1395x(r). related to the Medicare and Medicaid programs. Guidelines Manual, 8 A1.2, Application Note 3(d).

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In other words, erroneous • Health Programs Enforcing disciplinary standards by claims result only in the return of funds making clear or ensuring employees are There appear to be significant claimed in error. aware that compliance is treated misunderstandings among physicians Fourth, innocent billing errors are a seriously and that violations will be regarding the critical differences significant drain on the programs and dealt with consistently and uniformly; between fraudulent (intentionally or all parties (physicians, providers, and recklessly false) health care claims on carriers, fiscal intermediaries, • the one hand and innocent ‘‘erroneous’’ Government agencies, and beneficiaries) Responding appropriately to claims on the other. Some physicians need to work cooperatively to reduce detected violations through the feel that Federal law enforcement the overall error rate. But again, it investigation of allegations and the agencies have maligned medical should be emphasized that civil or disclosure of incidents to appropriate professionals and are focused on criminal penalty action will not be Government entities. innocent billing errors. These initiated with respect to billing errors The OIG recognizes that full physicians are under the impression due to inadvertence or negligence, or for implementation of all elements may not that innocent billing errors can subject billings based on a negligent medical be feasible for all physician practices. them to civil penalties, or even jail. judgment. However, as a first step, a good faith These feelings and impressions are Finally, it is reasonable for physicians meaningful commitment to compliance mistaken. (and other providers) to ask: what duty will substantially contribute to the To these concerns, OIG would like to do they owe the Federal health care program’s successful implementation. make the following points. First, we do programs? The answer is that all health Smaller practices should consider not disparage physicians, other medical care providers have a duty to reasonably addressing each of the elements in a professionals or medical enterprises. In ensure that the claims submitted to manner that best suits the practice. By our view, the great majority of them are Medicare and other Federal health care contrast, larger practices should address working ethically to render high quality programs are true and accurate. The OIG the elements in a more systematic medical care to our Medicare continues to engage the provider manner. For example, larger practices beneficiaries and to submit proper community in an extensive, good faith can use both this guidance and the claims to Medicare. effort to work cooperatively on Third-Party Medical Billing Compliance Second, under the law, physicians are voluntary compliance to minimize Program Guidance to create a not subject to civil or criminal penalties errors and to prevent potential penalties compliance program unique to the for innocent errors, or even negligence. for improper billings before they occur. practice.10 The Government’s primary enforcement We encourage all physicians and other The OIG recognizes that physician tool, the civil False Claims Act, covers providers to join in this effort. practices need to find the best way to only offenses that are committed with II. Compliance Program Elements achieve compliance for their given actual knowledge of the falsity of the circumstances. Specifically, the OIG claim, reckless disregard, or deliberate A. The Seven Basic Compliance encourages physician practices to ignorance of the falsity of the claim.6 Elements participate in other compliance The False Claims Act simply does not The OIG believes that every effective programs, such as the compliance cover mistakes, errors, or negligence. compliance program should begin with programs of the hospitals or other The other major civil remedy available a commitment by the physician practice settings in which the physicians to the Federal Government, the Civil to address all of the applicable elements practice. A physician’s participation in Monetary Penalties Law, has exactly the listed below, which are based on the another provider’s compliance program same standard of proof.7 The OIG is seven elements set forth in the Federal could be a way, at least partly, to satisfy very mindful of the difference between Sentencing Guidelines: 9 recommended elements of the innocent errors (‘‘erroneous claims’’) on • Establishing compliance standards physician’s or physician practice’s own one hand, and reckless or intentional through the development of a code of compliance program. The OIG conduct (‘‘fraudulent claims’’) on the conduct and written policies and encourages this type of collaborative other. For criminal penalties, the procedures; effort, where the content is appropriate • standard is even higher—criminal intent Assigning compliance monitoring to the setting involved, because it to defraud must be proved beyond a efforts to a designated compliance provides a means to promote the desired reasonable doubt. The Attorney General officer or contact; • objective without imposing an undue of the United States has stated, ‘‘[i]t is Conducting comprehensive training burden or requiring physicians to not the [Justice Department’s] policy to and education on practice ethics and undertake duplicative action. policies and procedures; punish honest billing mistakes * * * • [or] mere negligence. * * * These are Conducting internal monitoring and B. Written Policies and Procedures auditing focusing on high-risk billing not cases where we are seeking to Any effective compliance program punish someone for honest billing and coding issues through performance of periodic audits; should have compliance standards and mistakes.’’ 8 • procedures that will be followed by the Third, even ethical physicians (and Developing accessible lines of communication, such as discussions at practice and that describe the lines of their staffs) make billing mistakes and responsibility for implementing the errors through inadvertence or 9 See United States Sentencing Commission compliance program. Those standards Guidelines, Guidelines Manual, 8 A1.2, Application and procedures should be reasonably 6 31 U.S.C. 3729. Note 3(k). The Federal Sentencing Guidelines are capable of reducing the prospect of 7 42 U.S.C. 1320a–7a. detailed policies and practices for the Federal 8 Reno Willing to Work With Hospitals to Ensure criminal justice system that prescribe the Proper Use of False Claims Act, 6 Health Care Pol’y appropriate sanctions for offenders convicted of 10 Available on the OIG website at http:// Rep. 261 (1998). Federal crimes. www.hhs.gov/oig.

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A good way to begin creating company (PPMC) or management procedures are necessary, those updates a standard of conduct for a physician services organization (MSO), the should be given to employees. New practice is by looking at the standards practice can incorporate the compliance employees should receive both the code of conduct implemented by other policies of those entities, if appropriate, of conduct and policies when hired and physician practices and/or by requesting into its own policies. be trained on their contents information from professional Physician practices can meet the goal immediately thereafter. As part of the associations to get ideas as to the items of developing policies and procedures compliance effort, the distribution of the to include in a standard of conduct. by: (1) Developing a written compliance code and policies should be However, it is important that the manual; and (2) updating clinical forms documented. physician practice not simply copy periodically to make sure they elicit the 3. Specific Risk Areas another practice’s standards. The data required for the different levels of standards of conduct for the physician coding. All written policies and The OIG recognizes that many practice should be specific to that procedures should be tailored to the physician practices may not have in practice. This can be accomplished by physician practice where they will be place policies and procedures to prevent tailoring the standards of conduct to applied. fraudulent or erroneous conduct in their address the particularized needs of the Areas in which a policy may be practices. In order to develop policies practice. helpful to the practice include: and procedures, the physician practice The practice’s expectations with • Employee hiring and retention; should determine what types of fraud respect to billing and coding, patient • Creation and maintenance of and abuse related topics need to be care, documentation, and payer encounter forms, including the addressed based on its specific needs. relationships should be made clear to registration form, history and physical One of the most important things in practice employees in the form of a code form and charge master (superbill and making that determination is a listing of of conduct. This can also be succinctly patient statement); risk areas where the practice may be stated in a practice mission statement. • Coding and billing competency and vulnerable. For example, employees should be told responsibilities; To assist physician practices in that the practice bills only for services • Correct coding initiatives; performing this initial assessment, the that are actually rendered, codes • Patient outreach and OIG has developed a list of potential accurately, documents medical communication; risk areas affecting physician providers. necessity and appropriateness, and • General marketing; and These risk areas include: (a) Coding and adheres to all payer contracts. • Patient quality of care. billing; (b) reasonable and necessary The concept of commitment to Creating a resource manual from services; (c) documentation and (d) compliance is different from the mere publicly available information may be a improper inducements, kickbacks and existence of written policies and cost-effective approach for developing self-referrals. This list of risk areas is not procedures. This commitment should be policies and procedures. For example, exhaustive, or all encompassing. Rather, clearly established during training and the practice can develop a ‘‘binder’’ that it should be viewed as a starting point in the practice’s policies. Everyone in contains the practice’s written policies for an internal review of potential the practice should understand the and procedures, relevant HCFA vulnerabilities within the physician obligation to comply with the applicable 13 directives and carrier bulletins, and practice. The objective of such an standards. They should be informed and summaries of informative OIG assessment should be to ensure that key understand that the organization will documents (e.g., Special Fraud Alerts, personnel in the physician practice is take actions to uphold those standards. Advisory Opinions, inspection and aware of these risk areas and that steps Upon development, the code of conduct audit reports). This binder should be are taken to minimize, to the extent and policies should be distributed and/ regularly updated and should be possible, the types of problems or made continually available to all accessible to all employees. It could also identified. While there are many ways employees, contractors and agents, once include a summary of the relevant to accomplish this objective, clear implemented. These materials should be reimbursement requirements of Federal written policies and procedures that are reviewed at least annually and revised and private payer plans (including those communicated to all employees are as necessary. relating to reasonable and necessary important to ensure the effectiveness of 2. Policies and Procedures services, coding and documentation).12 a compliance program. Specifically, the In the case of more technical materials, following are discussions of risk areas The code of conduct should be for physicians: 14 reinforced with basic policies it may be advisable to provide summaries in the handbook and make reaffirming the key points in the code of 13 The OIG recommends that, in addition to the conduct. The practice’s policies should the source documents available upon list set forth below, physicians review the OIG’s explain in clear and plain language the Work Plan to identify vulnerabilities and risk areas 11 procedures by which compliance Practices with laboratories or arrangements on which the OIG will focus in the future. In with third-party billing companies should check the addition, it is recommended that physician measures are to be incorporated into risk areas included in the guidance for those practices review the OIG’s semiannual reports, standard operating practices. industries. The guidance is available on the OIG which identify program vulnerabilities and risk The OIG believes that written policies website at http://www.hhs.gov/oig. areas that the OIG has targeted during the preceding and procedures are essential to all 12 There are many published summaries of six months. All of these documents are available on reimbursement requirements of varying specificity the OIG’s webpage at http://www.hhs.gov/oig. physician practices, regardless of size and quality. Various specialty and trade 14 A listing of additional risk areas that a and capability. If a lack of resources to associations may also have developed such physician practice may want to include in its develop such policies is genuinely an summaries. Continued

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a. Coding and Billing. The • Upcoding the level of service tests, including screening tests, they identification of risk areas associated provided.21 believe are appropriate for the treatment with coding and billing should be a The written policies and procedures of their patients. However, the major part of any physician practice’s concerning proper coding should reflect physician practice should be aware that compliance program. the current reimbursement principles Medicare will only pay for services that The following risk areas associated set forth in applicable statutes, meet the Medicare definition of with billing have been among the most regulations 22 and Federal, State or reasonable and necessary.24 frequent subjects of investigations and private payer health care program Medicare (and many insurance plans) audits by the OIG: requirements and should be developed may deny payment for a service that the • Billing for items or services not in tandem with coding and billing physician believes is clinically rendered or not provided as claimed;15 standards used in the physician appropriate, but which is not reasonable • Submitting claims for equipment, practice. Furthermore, written policies and necessary. Thus, when a physician medical supplies and services that are and procedures should ensure that provides services to a patient, he or she not reasonable and necessary;16 coding and billing are based on medical should only bill those services believed • Double billing;17 record documentation. Particular to be reasonable and necessary for the • Billing for non-covered services as attention should be paid to issues of diagnosis and treatment of a patient. if covered; appropriate diagnosis codes and Upon request, the physician practice • Knowing misuse of provider individual Medicare Part B claims should be able to provide identification numbers, which results in (including documentation guidelines for documentation, such as a patient’s improper billing;18 evaluation and management services).23 medical records and physician’s orders, • Billing for unbundled services;19 The physician practice should also • to support the appropriateness of a Failure to properly use coding institute a policy that all rejected claims service that the physician has provided. modifiers;20 pertaining to diagnosis and procedure c. Documentation. Timely, accurate codes be reviewed by the coder. This and complete documentation is critical policies can be found at Appendix A of this should facilitate a reduction in similar to nearly every aspect of a physician document. errors. 15 For example, Dr. X, an ophthalmologist, bills practice. Therefore, one of the most for laser surgery he did not perform. As proof, he b. Reasonable and Necessary Services. important physician practice did not even have laser equipment or access to such The compliance program should compliance issues is the appropriate equipment at the place of service designated on the provide guidance that claims be documentation of diagnosis and claim form to perform the surgery. submitted only for services that the treatment. Physician documentation is 16 Billing for services which are not reasonable physician practice finds to be and necessary, supplies and equipment involves necessary to determine the appropriate seeking reimbursement for a service that is not reasonable and necessary in the medical treatment for the patient and is warranted by a patient’s documented medical particular case. The OIG recognizes that the basis for coding and billing condition. See 42 U.S.C. 1395i(a)(1)(A) (‘‘no physicians should be able to order any determinations. Most importantly, payment may be made under part A or part B [of Medicare] for any expenses incurred for items or failure to document properly has the services which * * * are not reasonable and should also consult the National Correct Coding potential to compromise good patient Initiative (NCCI) system. See Appendix F for necessary for the diagnosis or treatment of illness care. Thorough and accurate or injury or to improve the functioning of the information on how to access the NCCI system. The NCCI coding edits are updated on a quarterly basis documentation helps to ensure accurate malformed body member’’). See also Appendix A and are used to process claims and determine for further discussion on this topic. recording and timely transmission of payments to physicians. 17 Double billing occurs when the physician bills information. 21 Upcoding is billing for a more expensive for the same item or service more than once or service than the one actually performed. For i. Medical Record Documentation. In when another party bills the Federal health care example, Dr. X defrauds Medicare by intentionally addition to facilitating high quality program for an item or service also billed by the billing at a higher evaluation and management (E physician. Although duplicate billing can occur due patient care, a properly documented & M) code than what he actually renders to the to simple error, the knowing submission of medical record verifies and documents patient. Upcoding has been a major focus of the duplicate claims—which is sometimes evidenced OIG’s law enforcement efforts. In fact, the Health precisely what services were actually by systematic or repeated double billing—can create Insurance Portability and Accountability Act of provided. The medical record may be liability under criminal, civil, and/or administrative 1996 added another civil monetary penalty to the used to validate: (a) The site of the law. OIG’s sanction authorities for upcoding violations. 18 service; (b) the appropriateness of the Of particular concern, physician practices See 42 U.S.C. 1320a–7a(a)(1)(A). should be aware of the provisions of reassignment 22 The official coding guidelines are promulgated services provided; and (c) the accuracy of benefits. These provisions govern who may by HCFA, the National Center for Health Statistics, of the billing. Accurate medical record receive payment due to a provider or supplier of the American Medical Association and the documentation should comply, at a services or a beneficiary. See 42 CFR 424.70– American Health Information Management 424.80. See also Medicare Carrier Manual minimum, with the following Association. See International Classification of 25 § 3060.10. Diseases, 9th Revision, Clinical Modification (ICD– principles: 19 • Unbundling is the practice of a physician 9 CM) (and its successors); 1998 Health Care The medical record should be billing for multiple components of a service that Financing Administration Common Procedure complete and legible; must be included in a single fee. For example, if Coding System (HCPCS) (and its successors); and • The documentation of each patient dressings and instruments are included in a fee for Physicians’ Current Procedural Terminology (CPT). encounter should include the reason for a minor procedure, the provider may not also bill In addition, there are specialized coding systems for separately for the dressings and instruments. specific segments of the health care industry. the encounter; any relevant history; 20 A modifier, as defined by the CPT–4 manual, Among these are ADA (for dental procedures), DSM physical examination findings; prior provides the means by which the physician practice IV (psychiatric health benefits) and DMERCs (for diagnostic test results; assessment, can indicate a service or procedure that has been durable medical equipment, prosthetics, orthotics clinical impression, or diagnosis; plan performed has been altered by some specific and supplies). circumstance, but not changed in its definition or 23 The failure of a physician practice to: (i) code. Assuming the modifier is used correctly and document items and services rendered; and (ii) 24 See 42 U.S.C. 1395y(a)(1)(A). appropriately, this specificity provides the properly submit them for reimbursement is a major 25 For additional information on proper justification for payment for those services. For area of potential fraudulent or erroneous conduct documentation, physician practices should also correct use of modifiers, the physician practice involving Federal health care programs. The OIG reference the Documentation Guidelines for should reference the appropriate sections of the has undertaken numerous audits, investigations, Evaluation and Management (E and M) Services, Medicare Carrier Manual. See Medicare Carrier inspections and national enforcement initiatives published by HCFA. These guidelines are available Manual § 4630. For general information on the aimed at reducing potential and actual fraud, abuse on the Internet at http://www.hcfa.gov/medicare/ correct use of modifiers, the physician practice and waste in these areas. mcarpti.htm.

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The patient’s the patients’ best medical interests.28 value to or from those who may benefit progress, his or her response to, and any In particular, arrangements with from a physician practice’s referral of changes in, treatment, and any revision hospitals, hospices, nursing facilities, Federal health care program business.34 in diagnosis should be documented. home health agencies, durable medical In order to keep current with this area The CPT and ICD–9–CM codes equipment suppliers and vendors are of the law, a physician practice may reported on the health insurance claims areas of potential concern. In general the obtain copies, available on the OIG form should be supported by anti-kickback statute prohibits knowing website, of all relevant OIG Special documentation in the medical record and willfully giving or receiving Fraud Alerts and Advisory Opinions and the medical chart should contain all anything of value to induce referrals of required information. Additionally, that address the application of the anti- Federal health care program business. It kickback and physician self-referral HCFA and the local carriers should be is generally recommended that all able to determine who provided the laws to ensure that the policies reflect business arrangements wherein 35 services. These issues can be the root of current positions and opinions. physician practices refer business to an 4. Retention of Records. A physician investigations of inappropriate or outside entity should be on a fair market erroneous conduct, and have been practice’s policies and procedures value basis.29 Whenever a physician should also contain a section on the identified by HCFA and OIG as a practice intends to enter into a business leading cause of inappropriate retention of compliance, business and arrangement that involves its making medical records. These records payments. referrals, the arrangement should be ii. HCFA 1500 Form. Another primarily include documents relating to reviewed by counsel familiar with the documentation area that physician patient care and the practice’s business anti-kickback statute and physician self- practices should monitor closely is the activities. The physician practice’s referral statute. designated compliance officer should proper completion of the HCFA 1500 In addition to developing policies to form. The following practices will help keep an updated binder or record of address arrangements with other health compliance-related activities. This ensure that the form has been properly care providers and suppliers, physician completed: involves, at a minimum, keeping track practices should implement measures to • Link the diagnosis code with the of compliance meetings, educational avoid offering inappropriate activities, and internal audit results. steps taken to perform an examination 30 and the record of personal history inducements to patients. Examples of Particular attention should be paid to obtained; such inducements include routinely documenting violations uncovered by • Link a single most appropriate waiving coinsurance or deductible the compliance program and the diagnosis with the corresponding amounts without a good faith resulting remedial action. procedure code; determination that the patient is in • financial need or failing to make Use modifiers appropriately; and program business or to whom the doctor is in such • Provide Medicare with all reasonable efforts to collect the cost- a position to influence should be reviewed to avoid information about a patient’s other sharing amount.31 violation of the anti-kickback, self-referral, and insurance coverage. Possible risk areas that should be other relevant Federal and State laws. The OIG has addressed in the policies and published safe harbors that define practices not d. Kickbacks, Inducements and Self- subject to the anti-kickback statute, because such Referrals. A physician practice should procedures include: • arrangements would be unlikely to result in fraud have policies and procedures to ensure Financial arrangements with or abuse. Failure to comply with a safe harbor compliance with the anti-kickback outside entities to whom the practice provision does not make an arrangement per se statute,26 and the physician self-referral may refer Federal health care program illegal. Rather, the safe harbors set forth specific 32 conditions that, if fully met, would assure the law.27 Remuneration for referrals is business; entities involved of not being prosecuted or sanctioned for the arrangement qualifying for the 28 26 The anti-kickback statute provides criminal See Appendix B for additional information on safe harbor. One such safe harbor applies to penalties for individuals and entities that the anti-kickback statute. personal services contracts. See 42 CFR knowingly offer, pay, solicit, or receive bribes or 29 The OIG’s definition of ‘‘fair market value’’ is 1001.952(d). kickbacks or other remuneration in order to induce not the typical commercial definition of this term. 33 See OIG Special Fraud Alert ‘‘Joint Venture business reimbursable by Federal health care The OIG’s definition of this term excludes any Arrangements’’ (August 1989) available on the OIG programs. See 42 U.S.C. 1320a–7b(b). Civil value attributable to referrals of Federal program website at http://www.hhs.gov/oig. See also OIG penalties, exclusion from participation in the business on the ability to influence the flow of such Advisory Opinion 97–5. Federal health care programs, and civil False business. Adhering to the rule of keeping business 34 Physician practices should establish clear Claims Act liability may also result from a violation arrangements at fair market value is not a guarantee policies governing gift-giving because such of the prohibition. See 42 U.S.C. 1320a–7a(a)(5), 42 of legality, but is a highly useful general rule. exchanges may be viewed as inducements to U.S.C. 1320a–7(b)(7), and 31 U.S.C. 3729–3733. 30 See 42 U.S.C. 1128A(a)(5). influence business decisions. Practice policies 27 The physician self-referral law, 42 U.S.C. 31 In the OIG Special Fraud Alert ‘‘Routine should emphasize that accepting gifts of any kind 1395nn, (also known as the ‘‘Stark law’’), prohibits Waiver of Part B Co-payments/ Deductibles’’ (May may influence the employee’s independent a physician from making a referral to an entity with 1991), the OIG describes several reasons why judgment. To the extent such gifts are accepted, which the physician or any member of the routine waivers of these cost-sharing amounts pose they should be reported to the designated person physician’s immediate family has a financial concerns. The Alert sets forth the circumstances charged with recording such information for the relationship if the referral is for the furnishing of under which it may be appropriate to waive these practice. designated health services, unless the financial amounts. See also 42 U.S.C. 1320a–7a(a)(5). 35 Practices should also check the HCFA website relationship fits into an exception set forth in the 32 All physician contracts and agreements with for the most recent regulations regarding these statute or implementing regulations. parties in a position to influence Federal health care issues.

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Physician practices that implement a following record retention guidelines outsource all or part of the functions of compliance program should provide for should be followed: a compliance officer to a third party, the development and implementation of • The length of time that a such as a consultant, PPMC, MSO, a records retention system. This system physician’s medical record Independent Physician Association, should establish policies and documentation is to be retained should billing company or professional procedures regarding the creation, be specified in the physician practice’s association. However, if this role is distribution, retention, and destruction policies and procedures (Federal and outsourced, the compliance officer of documents. In designing a record State statutes should be consulted for should have sufficient interaction with system, privacy concerns and Federal specific time frames); the physician practice to be able to and State regulatory requirements • Medical records should be secured effectively serve as the compliance should be taken into consideration. In against loss, destruction, unauthorized officer. Outsourced compliance officers, addition to maintaining appropriate and access, unauthorized reproduction, who spend most of their time offsite, thorough medical records on each corruption, or damage; and will naturally have certain limitations • patient, the OIG recommends that the Policies and procedures should that a physician practice should system include the following types of stipulate the disposition of medical consider before making such a critical documents: records in the event the practice is sold decision. • All records and documentation or closed. The primary responsibilities assigned (e.g., billing and claims documentation) C. Designation of a Compliance Officer/ to a compliance officer/contact should include the following: required for participation in Federal, Contact • State, and private payer health care Overseeing and monitoring the To administer the compliance implementation of the compliance programs; and program, the practice should designate • program; All records necessary to an individual who is responsible for • Establishing methods, such as demonstrate the integrity of the overseeing the compliance program. periodic audits, to improve the physician practice’s compliance process This person, often called a ‘‘compliance practice’s efficiency and quality of and to confirm the effectiveness of the officer,’’ may have duties in addition to 36 services, and to reduce the practice’s program. serving in this role. This person could vulnerability to fraud and abuse; While conducting its compliance be the office manager or the primary • Periodically revising the activities, as well as its daily operations, biller. The key, however, is that the compliance program in light of changes a physician practice should document person be sufficiently independent in in the needs of the practice or changes its efforts to comply with applicable his or her position so as to protect in the law and in the policies and Federal health care program against any conflicts of interest that may procedures of Government and private requirements. For example, when a arise from performing assigned duties payer health plans; physician practice requests advice from and compliance duties. Additional • Developing, coordinating and a Government agency (including a attributes and qualifications that this participating in a training program that Medicare fiscal intermediary or carrier) person should possess include: focuses on the elements of the charged with administering a Federal • Attention to detail; compliance program, and seeks to health care program, the practice should • Experience in billing and coding; ensure that training materials are document and retain a record of the and appropriate; request and any written or oral • Effective communication skills, • Ensuring that the HHS–OIG’s List of response. This step is extremely both oral and written, with employees, Excluded Individuals and Entities, and important if the practice intends to rely physicians and carriers. the General Services Administration’s on that response to guide it in future It is acceptable for a physician List of Parties Debarred from Federal decisions, actions, or claim practice to designate more than one Programs have been checked with reimbursement requests or appeals. A employee with compliance monitoring respect to all employees, medical staff log of oral inquiries between the responsibility. In lieu of having a and independent contractors;37 practice and third parties, such as designated compliance officer, the • Ensuring that employees and carrier representatives, will help the physician practice could instead physicians know, and comply with, practice document its attempts at describe in its policies and procedures pertinent Federal and State statutes, compliance. In addition, in a the compliance functions for which regulations and standards; subsequent investigation these records designated employees, known as may become relevant to the issue of ‘‘compliance contacts,’’ would be 37 The HHS–OIG ‘‘List of Excluded Individuals/ whether the practice’s reliance was responsible. For example, one employee Entities’’ provides information to health care could be responsible for preparing providers, patients, and others regarding ‘‘reasonable’’ and whether it exercised individuals and entities that are excluded from due diligence in developing procedures written policies and procedures, while participation in Federal health care programs. This and practices to implement the advice. another could be responsible for report, in both an on-line searchable and conducting or arranging for periodic downloadable database, can be located on the In short, all physician practices, Internet at http://www.hhs.gov/oig. The OIG regardless of size, should have audits and ensuring that billing questions are answered. Therefore, the sanction information is readily available to users in procedures to create and retain two formats on over 15,000 individuals and entities appropriate documentation. The compliance-related responsibilities of currently excluded from program participation the designated person or persons may be through action taken by the OIG. The on-line only a portion of his or her duties. searchable database allows users to obtain 36 Among the materials useful in documenting the information regarding excluded individuals and compliance program are employee certifications Another possibility is that one entities sorted by: (1) The legal bases for exclusions; relating to training and other compliance initiatives, individual could serve as compliance (2) the types of individuals and entities excluded copies of compliance training materials, and any officer for more than one entity. In by the OIG; and (3) the States where excluded corresponding reports of investigation, outcomes, situations where staffing limitations individuals reside or entities do business. In and employee disciplinary actions. In addition, the addition, the General Services Administration physician practice should keep all relevant mandate that the practice cannot afford maintains a monthly listing of debarred contractors, correspondence with carriers, private payer to designate a person(s) to oversee ‘‘List of Parties Debarred from Federal Programs,’’ insurers, and HCFA. compliance activities, the practice could at http://www.arnet.gov/epls.

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• Investigating any report or understand that compliance is a 3. Format of the Training Program allegation concerning possible unethical condition of continued employment. Training may be conducted either in- or improper business practices, and Compliance training should center on house or by an outside source.39 monitoring subsequent corrective action explaining why the practice is Training at outside seminars, instead of and/or compliance. developing and establishing a code of internal programs and in-service Each physician practice needs to conduct and written policies and sessions, can be an effective way to assess its own practice situation and procedures. The training should achieve the practice’s training goals. In determine what best suits that practice emphasize that following the policies fact, many community colleges offer in terms of compliance oversight. will not get a practice employee in certificate or associate degree programs D. Conducting Effective Training and trouble, but violating the policies will. in billing and coding, and professional Education New employees should be trained on associations provide various kinds of the compliance program within 60 days Education is an important part of any continuing education and certification of their start date and such training programs. Many carriers also offer compliance program. Education should be documented. Thereafter, programs should be tailored to the billing training. employees should receive refresher As part of the training, practices physician practice’s needs and include training on an annual basis or as should make sure all employees are both compliance and specific training. appropriate. familiar with at least the key risk areas Training expectations should be in this guidance and areas of particular commensurate with the size and 2. Coding and Billing Training OIG interest as identified in the OIG’s speciality of the practice. Coding and billing training on the 40 There are three basic steps for setting Work Plan published each year. The Federal health care program up educational objectives: physician practice also needs to work • Determining who needs training requirements may be necessary for with its third-party billing company, if (both in coding and billing and in certain members of the physician one is used, to ensure that compliance); practice staff depending on their documentation is of a level that is • Determining the type of training respective responsibilities. Individuals adequate for the billing company to that best suits the practice’s needs (e.g., who are directly involved with billing, submit accurate claims on behalf of the seminars, in-service training, self-study coding or other aspects of the Federal physician practice. If it is not, these or other programs); and health care programs should receive problem areas should also be covered in • Determining when the education is extensive education specific to that the training. In addition to the billing needed and how much each person individual’s responsibilities. Items to training, physician practices should be should receive. cover in coding and billing training can certain that updated ICD–9, HCPCS and Training can be accomplished include: CPT manuals (in addition to the carrier through a variety of means, including • Coding requirements; bulletins construing those sources) are in-person training sessions (i.e., either • Claim development and submission available to all employees involved in on site or at outside seminars), processes; the billing process. A source of distribution of newsletters, 38 or even a • Marketing practices that reflect continuous updates on current billing readily accessible office bulletin board. current legal and program standards; policies should also be readily available.41 Regardless of the training modality • The ramifications of submitting a Physician practices are not required to used, a physician practice should claim for physician services when ensure that the necessary education is have separate education and training rendered by a non-physician; programs for both the compliance and communicated effectively. Simply • Signing a form for a physician providing individuals with documents coding and billing training. All in- without the physician’s authorization; service training and continuing for their own reading and • The ramifications of altering comprehension is seldom sufficient. education can integrate compliance medical records; issues, as well as other core values 1. Compliance Training • Proper documentation of services adopted by the practice, such as quality Under the direction of the designated rendered; improvement and improved patient • compliance officer/contact, both initial How to report misconduct; service, into their curriculum. and recurrent training in compliance is • Proper billing standards and advisable, both with respect to the procedures and submission of accurate 39 Another way for physician practices to receive bills for services or items rendered to effective training is for the physicians and/or the compliance program itself and employees of the practice to attend training applicable statutes and regulations. The Federal health care program programs offered by larger entities, such as a operation and importance of the beneficiaries; hospital, a local medical society or a carrier. This compliance program, the consequences • The personal obligation of each sort of collaborative effort is an excellent way for the practice to meet the desired training objective of violating the policies set forth in the person involved in the billing process to without having to expend the resources to develop program, and the role of each employee ensure claims are properly and and implement in-house training. in the operation of the compliance accurately submitted; 40 The OIG’s work plan is currently available on program should also be addressed. • The legal sanctions for submitting the Internet at http://www.hhs.gov/oig. The OIG Compliance training should have two Work Plan details the various projects the OIG deliberately false or reckless billings; intends to address in the fiscal year. The Work Plan goals: (1) All employees should receive • Informing physicians that they contains the projects of the Office of Audit Services, training on how to perform their jobs in cannot receive payment or any type of Office of Evaluation and Inspections, Office of compliance with the standards of the incentive to induce referrals and that Investigations and the Office of Counsel to the practice and any applicable regulations; Inspector General. claims should not be submitted for 41 Some publications, such as OIG’s Special Fraud and (2) each employee should physician services when those services Alerts, audit and inspection reports, and Advisory are rendered by a non-physician (unless Opinions are readily available from the OIG and can 38 HCFA also offers free online training for they follow the applicable Federal provide a basis for educational courses and general fraud and abuse issues at http:// programs for physician practice employees. These www.medicaretraining.com. See Appendix F for health care program requirements, e.g., can be obtained through the Internet. See Appendix additional information. ‘‘incident to’’ rules). F.

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4. Continuing Education on Compliance • Creation of a user-friendly process, 2. Claims Submission Audit Issues such as an anonymous drop box, for In addition to the policies and There is no set formula for effectively reporting fraudulent or procedures themselves, bills and determining how often training sessions erroneous conduct; medical records should be reviewed for should occur.42 The OIG recommends • Provisions in the policies and compliance with applicable coding, that there be at least an annual training procedures that state that a failure to billing and documentation program for all individuals involved in report fraudulent or erroneous conduct requirements. The people involved in the coding and billing aspects of the is a violation of the compliance these self-audits should include the practice. New billing and coding program; person in charge of billing compliance employees should be trained within 60 • Development of a simple and and a medically trained person (e.g., days of assuming their duties and readily accessible procedure to process registered nurse or preferably a should work under an experienced reports of fraudulent or erroneous physician (physicians can rotate in this employee until their training has been conduct; position)). Each practice needs to decide completed. • for itself whether to review claims Utilization of a process that retrospectively or concurrently with the E. Developing Effective Lines of maintains the confidentiality of the Communication claims submission. In the Third-Party persons involved in the alleged Medical Billing Compliance Program An open line of communication is fraudulent or erroneous conduct and the Guidance,44 the OIG recommended that essential to proper implementation of an person making the allegation; and a baseline, or ‘‘snapshot,’’ be used as effective compliance program. Guidance • Provisions in the policies and part of the benchmarking analysis that previously issued by the OIG has procedures that there will be no would enable a practice to judge its encouraged the use of several forms of retribution for reporting conduct that a progress in reducing or eliminating communication between the compliance reasonable person acting in good faith potential areas of vulnerability. officer/committee and provider would have believed to be fraudulent or The practice’s self-audits should be personnel, many of which focus on erroneous. used to determine whether: formal processes and are more costly to 1. Bills are accurately coded and implement (e.g., hotlines and e-mail). The OIG recognizes that protecting anonymity may be infeasible for small accurately reflect the services provided; However, the OIG recognizes that the • Services or items provided are nature of some physician practices is physician practices. However, the OIG believes all practice employees, when reasonable and necessary; not as conducive to implementing these • Any incentives for unnecessary seeking answers to questions or types of measures. The nature of a small services exist; and physician practice dictates that such reporting potential instances of • Medical records contain sufficient communication and information fraudulent or erroneous conduct, should documentation to support the charge. exchanges need to be conducted know to whom to turn for assistance in A baseline audit should examine the through a less formalized process than these matters and should be able to do claim development and submission that which has been envisioned by prior so without fear of retribution. While the process, from patient intake through OIG guidance. physician practice should always strive claim submission and payment, and In the small physician practice to maintain the confidentiality of an identify elements within this process setting, the communication element can employee’s identity, it should also make that may contribute to non-compliance be met by implementing a clear ‘‘open clear that there may be a point at which or that may need to be the focus for door’’ policy between the physicians the individual’s identity may become improving execution.45 This audit and compliance personnel and practice known or may have to be revealed in should establish a consistent employees. This policy can be certain instances. methodology for selecting and implemented in conjunction with less F. Auditing and Monitoring examining records, and this formal communication techniques, such methodology should serve as a basis for as conspicuous notices posted in An ongoing evaluation process is future audits. It should be conducted common areas and/or the development important to a successful compliance based on claims submitted during the and placement of a compliance bulletin program. This ongoing evaluation initial three months after board where everyone in the practice should include not only whether the implementation of the education and can go for up-to-date compliance practice’s standards and procedures are 43 training program so as to give the information. in fact current and accurate, but also physician practice a benchmark against A compliance program’s system for whether or not the compliance program which to measure future compliance effective communication should include is effective, i.e., whether individuals are effectiveness. the following: properly carrying out their Following the baseline audit, periodic • The requirement that employees responsibilities and claims are audits could be conducted at least once report conduct that a reasonable person submitted appropriately. would, in good faith, believe to be each year to ensure that the compliance program is being followed. A randomly fraudulent or erroneous; 1. Policies and Procedures selected number of medical records 42 Currently, the OIG is monitoring a significant It is recommended that the could be reviewed to ensure that the number of corporate integrity agreements that individual(s) in charge of the coding was performed accurately. require many of these training elements. The OIG compliance program also be charged Although there is no set formula to how usually requires a minimum of one hour annually many medical records should be for basic training in compliance areas. Additional with the responsibility of periodically training is required for specialty fields such as reviewing the policies and procedures reviewed, a basic guide is two to five claims development and billing. to see if they are current and complete. 43 In addition to whatever other method of If the policies and procedures are found 44 Available on the OIG website at http:// communication is being utilized, practices should www.hhs.gov/oig. post in a prominent area the HHS–OIG Hotline to be ineffective or outdated, they 45 See Appendix D.II. referencing the Provider telephone number (1–800–HHS–TIPS). See should be updated to reflect changes in Self-Disclosure Protocol for information on how to Appendix D for additional information. CPT codes and Government regulations. conduct a baseline audit.

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When audit results reveal areas solution for, the issue. reasonable indications of suspected needing additional information or G. Enforcing Standards Through Well- noncompliance, it is important that the education of employees and physicians, Publicized Disciplinary Guidelines compliance officer or other practice these areas should be incorporated into employee investigate the allegations to An effective physician practice the training and educational system. determine whether a material violation compliance program includes Periodic audits could include the of applicable law or the requirements of procedures for enforcing and following: the compliance program has occurred, • A valid sample of the practice’s top disciplining individuals who violate the and, if so, take decisive steps to correct ten denials, or the practice’s top ten practice’s compliance standards. the problem.47 As appropriate, such services provided; Enforcement and disciplinary • Confirmation that the physician steps may include a corrective action provisions are necessary to put teeth 48 practice has been using specific codes, into a compliance program. plan, the return of any overpayments, 49 as some codes are too general for A physician practice’s enforcement a report to the Government, and/or a ‘‘reasonable and necessary’’ purposes; and disciplinary mechanisms should referral to law enforcement authorities. • A check for data entry errors; ensure that violations of the practice’s There are several key warning signs of • Confirmation that all orders are compliance policies will result in when a compliance program is not written and signed by a physician; consistent and appropriate sanctions, working well, e.g., high rates of rejected • A check for reasonable and including the possibility of termination, and/or suspended claims and the necessary services performed; against the offending individual. At the • placement of a practice on pre-payment Confirmation that all tests ordered same time, the practice’s enforcement review by the carrier. These warning by the physician(s) were actually and disciplinary procedures should be signs should be followed up on performed and documented and that flexible enough to account for mitigating immediately and the compliance only those tests were billed; and or aggravating circumstances. The procedures of the practice changed to • A review of assignment codes and program should also stipulate that prevent the problem from recurring. modifiers to the claims. individuals who fail to detect or report As previously stated, the physician One of the most important elements of violations of the compliance program a successful billing compliance program may also be subject to discipline. practice should take appropriate is appropriate action when the Disciplinary actions could include: corrective action, including prompt physician practice identifies a problem warnings (oral); reprimands (written); identification of any overpayment to the in its internal audit. This action should probation; demotion; temporary affected payer. A knowing and willful be taken as soon as possible, but it is suspension; discharge of employment; failure to disclose overpayments within recommended that the action be taken restitution of damages; and referral for a reasonable period of time could be within 60 days from the date the criminal prosecution. Inclusion of interpreted as an attempt to conceal the problem is identified. The specific disciplinary guidelines in in-house overpayment from the Government, action a physician practice takes should training and procedure manuals is thereby establishing an independent depend on the circumstances of the sufficient to meet the ‘‘well publicized’’ basis for a criminal violation with situation it has identified. In some standard of this element. respect to the physician practice, as well cases, the action can be as simple as Any communication resulting in the as any individual who may have been generating a repayment to Medicare or finding of non-compliant conduct the appropriate payer. Alternatively, the should be documented in the 47 Instances of noncompliance must be repayment could be effectuated through compliance files by including the date determined on a case-by-case basis. The existence offsets to other billings, such as of incident, name of the reporting party, or amount of a monetary loss to a health care undercodings. In others, the physician program is not solely determinative of whether the name of the person responsible for conduct should be investigated and reported to practice may want to seek legal advice taking action, and the follow-up action governmental authorities. In fact, there may be and/or consult with a coding/billing taken. Physician practices should also instances where there is no readily identifiable expert to determine the next best course conduct checks to make sure all current monetary loss, but corrective actions are still of action. There is no boilerplate necessary to protect the integrity of the applicable and potential practice employees are not program and its beneficiaries, e.g., where services solution to how to handle problems that listed on the OIG or GSA lists of required by a plan of care are not provided. are identified. individuals excluded from participation 48 The physician practice may seek advice from It is important that the physician in Federal health care or Government its legal counsel to determine the extent of the practice’s liability and to plan the appropriate practice monitor its billing program to procurement programs.46 ensure claims are correctly submitted. If course of action. H. Responding to Detected Offenses and 49 The OIG has established a Provider Self- a physician practice identifies, through Disclosure Protocol that encourages providers to its internal audits, what it believes is a Developing Corrective Action Initiatives voluntarily report suspected fraud. The concept of potential problem, there should be Violations of a physician practice’s voluntary self-disclosure is premised on a sufficient confidence in the compliance recognition that the Government alone cannot compliance program, significant failures protect the integrity of the Medicare and other procedures developed by the physician to comply with applicable Federal or Federal health care programs. Health care providers practice to reasonably believe that the State law, and other types of must be willing to police themselves, correct problem is in fact a potential issue. misconduct threaten a practice’s status underlying problems, and work with the Steps should be taken to remedy the Government to resolve these matters. The Provider as a reliable, honest, and trustworthy Self-Disclosure Protocol can be located on the OIG’s situation immediately. website at: www.hhs.gov/oig. See Appendix D for All physician practices should create 46 See Footnote 37 for information on how to further information on the Provider Self-Disclosure a system to address how they will access these lists. Protocol.

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The routine physician or group practice should take Dated: June 6, 2000. use of ABNs is generally prohibited because all reasonable steps to respond to the the ABN must state the specific reason the Michael F. Mangano, offense and to prevent similar offenses. physician anticipates that the specific service The compliance program should Principal Deputy Inspector General. will not be covered. provide for a full internal investigation Appendix A: Additional Risk Areas A common risk area associated with ABNs of all reports of detected violations. The is in regard to diagnostic tests or services. I. Reasonable and Necessary Services There are four steps that a physician practice goodwill that physicians generate by can take to help ensure it is in compliance developing an effective compliance A. Local Medical Review Policy with the regulations concerning ABNs for program will quickly dissipate if the An area of concern relating to diagnostic tests or services: physician ignores reports of possible determinations of reasonable and necessary 1. Determine which tests are not covered fraudulent activity. services is the variation in local medical under national coverage rules; The compliance program procedures review policies (LMRPs) among carriers. 2. Determine which tests are not covered should include provisions to ensure that Physicians are supposed to bill the Federal under local coverage rules such as LMRPs a violation is not compounded once health care programs only for items and (contact the practice’s carrier to see if a discovered. The individuals involved in services that are reasonable and necessary. listing has been assembled); and However, in order to determine whether an the violation should either be retrained, 3. Determine which tests are only covered item or service is reasonable and necessary for certain diagnoses. or, if appropriate, terminated. The under Medicare guidelines, the physician The OIG is aware that the use of ABNs is physician practice may also prevent the must apply the appropriate LMRP.1 an area where physician practices experience compounding of the violation by Physician practices are to bill the Federal numerous difficulties. Practices can help to conducting a review of all confirmed health programs only for items and services reduce problems in this area by educating violations, and, if appropriate, self- that are covered. In order to determine if an their physicians on the correct use of ABNs, reporting the violations to the item or service is covered for Medicare, obtaining guidance from the carrier regarding applicable authority. This should be physician practices must be knowledgeable their interpretation of whether an ABN is done within 90 days of the discovery of of the LMRPs applicable to their practices necessary where the service is not covered, jurisdiction. When the LMRP indicates that developing a standard form for all diagnostic a violation. an item or service may not be covered by tests (most carriers have a developed model), The physician practice should Medicare, the physician practice is and developing a process for handling recognize that if a violation occurred responsible to convey this information to the patients who refuse to sign ABNs. and was not immediately detected, its patient so that the patient can make an compliance program may require informed decision concerning the health care C. Physician Liability for Certifications in the services he/she may want to receive. Provision of Medical Equipment and modification. Physicians who detect Supplies and Home Health Services violations should analyze the situation Physician practices convey this information to determine whether a flaw in their through Advanced Beneficiary Notices In January 1999, the OIG issued a Special (ABNs). Fraud Alert on this topic, which is available compliance program failed to anticipate on the OIG website at www.hhs.gov/oig/ the detected problem, or whether the B. Advanced Beneficiary Notices frdalrt/index.htm. The following is a compliance program’s procedures failed Physicians are required to provide ABNs summary of the Special Fraud Alert. to prevent the violation. In any event, it before they provide services that they know The OIG issued the Special Fraud Alert to is prudent, even absent the detection of or believe Medicare does not consider reiterate to physicians the legal and any violations, for physician practices to reasonable and necessary. A properly programmatic significance of physician periodically review and modify their executed ABN acknowledges that coverage is certifications made in connection with the compliance programs.51 uncertain or yet to be determined, and ordering of certain items and services for stipulates that the patient promises to pay the Medicare patients. In light of information III. Conclusion bill if Medicare does not. Patients who are obtained through OIG provider audits, the not notified before they receive such services OIG deemed it necessary to remind Just as immunizations are given to are not responsible for payment. The ABN physicians that they may be subject to patients to prevent them from becoming must be sufficient to put the patient on notice criminal, civil, and administrative penalties ill, physician practices should view the of the reasons why the physician believes for signing a certification when they know implementation of an effective that the payment may be denied. The that the information is false or for signing a compliance program as comparable to a objective is to give the patient sufficient certification with reckless disregard as to the form of preventive medicine to protect information to allow an informed choice as truth of the information. (See Appendix B against fraudulent or erroneous conduct. to whether to pay for the service. and Appendix C for more detailed This compliance program guidance is Accordingly, each ABN should: information on the applicable statutes). 1. Be in writing; Medicare has conditioned payment for intended to assist physician practices in 2. Identify the specific service that may be many items and services on a certification developing and implementing internal denied (procedure name and CPT/HCPC code signed by a physician attesting that the controls and procedures that promote is recommended); physician has reviewed the patient’s adherence to Federal health care 3. State the specific reason why the condition and has determined that an item or program and private insurance program physician believes that service may be service is reasonable and necessary. Because requirements. By implementing an denied; and Medicare primarily relies on the professional 4. Be signed by the patient acknowledging judgment of the treating physician to 50 See 42 U.S.C. 1320a–7b(a)(3) and 18 U.S.C. that the required information was provided determine the reasonable and necessary 669. nature of a given service or supply, it is 51 Previous OIG Compliance Program Guidance 1 HCFA has recently developed a website which, have set forth criteria for assessing the effectiveness when completed by the end of the year 2000, will 2 The relevant manual provisions are located at of a compliance program. See Footnote 3 for a contain the LMRPs for each of the contractors MCM, Part III, §§ 7300, 7320. This section of the listing of previous Compliance Program Guidance across the country. The website can be accessed at manual also includes the carrier’s recommended and information on how to access them. http://www.lmrp.net. form of an ABN.

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This can be Two areas where physician certification as to done by reviewing the medical staff bylaws The Patient Anti-Dumping Statute, 42 whether an item or service is reasonable and or policies and procedures of the hospital U.S.C. 1395dd, is an area that has been necessary is essential and which can result that must define the responsibility of on-call receiving increasing scrutiny. The statute is in fraudulent or erroneous conduct are: (1) physicians to respond to, examine, and treat intended to ensure that all patients who home health services; and (2) durable patients with emergency medical conditions. come to the emergency department of a medical equipment. Physicians should also be aware that, in most hospital receive care, regardless of their cases, on-call physicians must come to the By signing a CMN, the physician insurance or ability to pay. Both hospitals hospital to examine the patient when a represents that: and physicians need to work together to request is made for their services. If, 1. He or she is the patient’s treating ensure compliance with the provisions of however, their offices are located in a physician and that the information regarding this law. hospital-owned facility on contiguous land or the physician’s address and unique physician The statute imposes three fundamental on the hospital campus, the patient may be identification number (UPN) is correct; requirements upon hospitals that participate seen in the physician’s office. 2. The entire CMN, including the sections in the Medicare program with regard to filled out by the supplier, was completed patients requesting emergency care. First, the B. Teaching Physicians prior to the physician’s signature; and hospital must conduct an appropriate 3. The information in section B relating to Special regulations apply to teaching medical screening examination to determine physicians’ billings. Regulations provide that whether the item or service is reasonable and 3 if an emergency medical condition exists. services provided by teaching physicians in necessary is true, accurate, and complete to Second, if the hospital determines that an the best of the physician’s knowledge. teaching settings are payable under the emergency medical condition exists, it must physician fee schedule only if the services Activities such as signing blank CMNs, either provide the treatment necessary to signing CMNs without seeing the patient to are personally furnished by a physician who stabilize the emergency medical condition or is not a resident or the services are furnished verify the item or service is reasonable and comply with the statute’s requirements to necessary, and signing a CMN for a service by a resident in the presence of a teaching effect a proper transfer of a patient whose 8 that the physician knows is not reasonable physician. condition has not been stabilized.4 A hospital The teaching physician must be present and necessary are activities that can lead to is considered to have met this second criminal, civil and administrative penalties. during the key portion of any service or requirement if an individual refuses the 9 Ultimately, physicians should be sure to procedure for which payment is sought. hospital’s offer of additional examination or Physicians should ensure the following with carefully review any form of certification treatment, or refuses to consent to a transfer, (order, prescription or CMN) before signing it respect to services provided in the teaching after having been informed of the risks and 10 to verify that the information contained in physician setting: benefits.5 1. Only services actually provided are the certification is both complete and If an individual’s emergency medical accurate. billed; condition has not been stabilized, the 2. Every physician who provides or D. Billing for Non-Covered Services as If statute’s third requirement is activated. A supervises the provision of services to a Covered hospital may not transfer an individual with patient is responsible for the correct an unstable emergency medical condition In some instances, we are aware that documentation of the services that were unless: (1) The individual or his or her physician practices submit claims for rendered; representative makes a written request for services in order to receive a denial from the 3. Every physician is responsible for transfer to another medical facility after being carrier, thereby enabling the patient to assuring that in cases where the physician informed of the risk of transfer and the submit the denied claim for payment to a provides evaluation and management (E and transferring hospital’s obligation under the secondary payer. M) services, a patient’s medical record statute to provide additional examination or A common question relating to this risk is: includes appropriate documentation of the treatment; (2) a physician has signed a If the medical services provided are not applicable key components of the E and M certification summarizing the medical risks services provided or supervised by the covered under Medicare, but the secondary and benefits of a transfer and certifying that, physician (e.g., patient history, physician or supplemental insurer requires a Medicare based upon the information available at the examination, and medical decision making), rejection in order to cover the services, then time of transfer, the medical benefits as well as documentation to adequately would the original submission of the claim reasonably expected from the transfer reflect the procedure or portion of the to Medicare be considered fraudulent? Under outweigh the increased risks; or (3) if a services provided by the physician; and the applicable regulations, the OIG would not physician is not physically present when the 4. Every physician must document his or consider such submissions to be fraudulent. transfer decision is made, a qualified medical her presence during the key portion of any For example, the denial may be necessary to person signs the certification after the service or procedure for which payment is establish patient liability protections as physician, in consultation with the qualified sought. stated in section 1879 of the Social Security medical person, has made the determination Act (the Act) (codified at 42 U.S.C. 1395pp). C. Gainsharing Arrangements and Civil that the benefits of transfer outweigh the As stated, Medicare denials may also be Monetary Penalties for Hospital Payments to increased risks. The physician must later required so that the patient can seek payment Physicians To Reduce or Limit Services to countersign the certification.6 from a secondary insurer. In instances where Beneficiaries Physician and/or hospital misconduct may a claim is being submitted to Medicare for result in violations of the statute.7 One area In July 1999, the OIG issued a Special this purpose, the physician should indicate Fraud Alert on this topic, which is available on the claim submission that the claim is 3 on the OIG website at www.hhs.gov/oig/ being submitted for the purpose of receiving See 42 U.S.C. 1395dd(a). 4 frdalrt/index.htm. The following is a a denial, in order to bill a secondary See 42 U.S.C. 1395dd(b)(1). 5 summary of the Special Fraud Alert. insurance carrier. This step should assist See 42 U.S.C. 1395dd(b)(2)–(3). 6 carriers and prevent inadvertent payments to See 42 U.S.C. 1395dd(c)(1)(A). 7 8 42 CFR 415.150-.190. which the physician is not entitled. In some Hospitals and physicians, including on-call 9 Id. instances, however, the carrier pays the claim physicians, who violate the statute may face stiff penalties. Those penalties include civil fines of up 10 This section is not intended to be and is not even though the service is non-covered, and to $50,000 (or not more than $25,000 in the case a complete reference for teaching physicians. It is even though the physician did not intend for of a hospital with less than 100 beds) per violation strongly recommended that those physicians who payment to be made. When this occurs, the and exclusion of a physician from participation in practice in a teaching setting consult their physician has a responsibility to refund the the Federal health care programs. respective hospitals for more guidance.

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The term ‘‘gainsharing’’ typically refers to payment is considered to be made directly to violation or be excluded from participation an arrangement in which a hospital gives a the billing service if the service can convert in Federal health care programs for up to 5 physician a percentage share of any the payment to its own use and control years. reduction in the hospital’s costs for patient without the payment first passing through care attributable in part to the physician’s the control of the physician. For example, the C. Professional Courtesy efforts. The civil monetary penalty (CMP) billing service cannot bill the claims under The term ‘‘professional courtesy’’ is used to that applies to gainsharing arrangements is its own name or tax identification number. describe a number of analytically different set forth in 42 U.S.C. 1320a–7a(b)(1). This The billing service must bill claims under the practices. The traditional definition is the section prohibits any hospital or critical physician’s name and tax identification practice by a physician of waiving all, or a access hospital from knowingly making a number. Nor can a billing service have the part, of the fee for services provided to the payment directly or indirectly to a physician Medicare payments sent directly to its office physician’s office staff, other physicians, as an inducement to reduce or limit services or its bank account. The Medicare payments and/or their families. In recent times, to Medicare or Medicaid beneficiaries under should instead be sent to the physician’s ‘‘professional courtesy’’ has come to also a physician’s care. office or bank account. mean the waiver of coinsurance obligations It is the OIG’s position that the CMP law Physician practices should review the or other out-of-pocket expenses for clearly prohibits any gainsharing third-party medical billing guidance for physicians or their families (i.e., ‘‘insurance arrangements that involve payments by or on additional information on third-party billing only’’ billing), and similar payment behalf of a hospital to physicians with companies and the compliance risk areas arrangements by hospitals or other clinical care responsibilities, directly or associated with billing companies. institutions for services provided to their indirectly, to induce a reduction or limitation medical staffs or employees. While only the of services to Medicare or Medicaid patients. B. Billing Practices by Non-Participating first of these practices is truly ‘‘professional However, hospitals and physicians are not Physicians courtesy,’’ in the interests of clarity and prohibited from working together to reduce Even though nonparticipating physicians completeness, we will address all three. unnecessary hospital costs through other do not accept payment directly from the In general, whether a professional courtesy arrangements. For example, hospitals and Medicare program, there are a number of arrangement runs afoul of the fraud and physicians may enter into personal services laws that apply to the billing of Medicare abuse laws is determined by two factors: (i) contracts where hospitals pay physicians beneficiaries by non-participating physicians. how the recipients of the professional based on a fixed fee at fair market value for Limiting Charges courtesy are selected; and (ii) how the services rendered to reduce costs rather than professional courtesy is extended. If 42 U.S.C. 1395w–4(g) prohibits a a fee based on a share of cost savings. recipients are selected in a manner that nonparticipating physician from knowingly directly or indirectly takes into account their III. Physician Billing Practices and willfully billing or collecting on a ability to affect past or future referrals, the repeated basis an actual charge for a service A. Third-Party Billing Services anti-kickback statute—which prohibits giving that is in excess of the Medicare limiting Physicians should remember that they charge. For example, a nonparticipating anything of value to generate Federal health remain responsible to the Medicare program physician may not bill a Medicare care program business—may be implicated. If for bills sent in the physician’s name or beneficiary $50 for an office visit when the the professional courtesy is extended through containing the physician’s signature, even if Medicare limiting charge for the visit is $25. a waiver of copayment obligations (i.e., the physician had no actual knowledge of a Additionally, there are numerous provisions ‘‘insurance only’’ billing), other statutes may billing impropriety. The attestation on the that prohibit nonparticipating physicians be implicated, including the prohibition of HCFA 1500 form, i.e., the physician’s from knowingly and willfully charging inducements to beneficiaries, section signature line, states that the physician’s patients in excess of the statutory charge 1128A(a)(5) of the Act (codified at 42 U.S.C. services were billed properly. In other words, limitations for certain specified procedures, 1320a–7a(a)(5)). Claims submitted as a result it is no defense for the physician if the such as cataract surgery, mammography of either practice may also implicate the civil physician’s billing service improperly bills screening, and coronary artery bypass False Claims Act. Medicare. surgery. Physicians who fail to comply with The following are general observations One of the most common risk areas these sections may be fined up to $10,000 per about professional courtesy arrangements involving billing services deals with that physician practices should consider: violation or be excluded from participation • physician practices contracting with billing in Federal health care programs for up to five A physician’s regular and consistent services on a percentage basis. Although years. practice of extending professional courtesy by waiving the entire fee for services percentage based billing arrangements are not Refund of Excess Charges illegal per se, the Office of Inspector General rendered to a group of persons (including has a longstanding concern that such 42 U.S.C. 1395w–4(g) mandates that if a employees, physicians, and/or their family arrangements may increase the risk of nonparticipating physician collects an actual members) may not implicate any of the OIG’s intentional upcoding and similar abusive charge for a service that is in excess of the fraud and abuse authorities so long as billing practices.11 limiting charge, the physician must refund membership in the group receiving the A physician may contract with a billing the amount collected above the limiting courtesy is determined in a manner that does service on a percentage basis. However, the charge to the individual within 30 days not take into account directly or indirectly billing service cannot directly receive notice of the violation. For example, if a any group member’s ability to refer to, or Medicare payments made to the physician. physician collected $50 from a Medicare otherwise generate Federal health care Under 42 U.S.C. 1395u(b)(6), Medicare beneficiary for an office visit, but the limiting program business for, the physician. • payments can only be made to either the charge for the visit was $25, the physician A non-referring physician’s regular and beneficiary or a party (such as a physician) must refund $25 to the beneficiary, which is consistent practice of extending professional that furnished the services and accepted the difference between the amount collected courtesy by waiving otherwise applicable assignment of the beneficiary’s claim. A ($50) and the limiting charge ($25). copayments for services rendered to billing service that contracts on a percentage Physicians who fail to comply may be fined physicians, referring and non-referring alike, basis does not qualify as a party that up to $10,000 per violation or be excluded their employees and family members, would furnished services to a beneficiary, thus a from participation in Federal health care not implicate the anti-kickback statute so billing service cannot directly receive programs for up to 5 years. long as membership in the group is Medicare payments. According to the 42 U.S.C. 1395u(l)(A)(iii) mandates that a determined in a manner that does not take Medicare Carriers Manual § 3060(A), a nonparticipating physician must refund into account directly or indirectly any group payments received from a Medicare member’s ability to refer to, or otherwise beneficiary if it is later determined by a Peer generate Federal health care program 11 This concern is noted in Advisory Opinion No. Review Organization or a Medicare carrier business for, the physician. 98–4 and also the Office of Inspector General • Compliance Program Guidance for Third-Party that the services were not reasonable and Any waiver of copayment practice, Medical Billing Companies. Both are available on necessary. Physicians who fail to refund the including that described in the preceding the OIG website at http://www.hhs.gov/oig. payments may be fined up to $10,000 per bullet, does implicate section 1128A(a)(5) of

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The bank account includes Medicaid or any combination or variation of reimbursement received from the Medicare intent of the parties. Physicians who are such words, abbreviations, symbols or concerned that their particular practices may program; thus, intentional embezzlement of emblems in a manner that such person funds from this account is a violation of the run afoul of the Federal fraud and abuse laws knows or should know would convey the may request an OIG advisory opinion law. false impression that the advertised item is pursuant to regulations at 42 CFR Part 1008 endorsed by the named entities. For instance, III. False Statements Relating to Health Care (See Appendix D for further detail), except a physician may not place an ad in the Matters (18 U.S.C. 1035) for matters pertaining to the physician self- newspaper that reads ‘‘Dr. X is a cardiologist referral law, which are addressed by HCFA. Description of Unlawful Conduct approved by both the Medicare and Medicaid IV. Other Risk Areas programs.’’ A violation of this section may It is a crime to knowingly and willfully result in a penalty of up to $5,000 ($25,000 falsify or conceal a material fact, or make any A. Rental of Space in Physician Offices by in the case of a broadcast or telecast) for each materially false statement or use any Persons or Entities to Which Physicians Refer violation. materially false writing or document in In February 2000, the OIG issued a Special connection with the delivery of or payment Fraud Alert on this topic, which is available Appendix B: Criminal Statutes for health care benefits, items or services. Note that this law applies not only to Federal on the OIG website at www.hhs.gov/oig/ This Appendix contains a description of frdalrt/index.htm. The following is a health care programs, but to most other types criminal statutes related to fraud and abuse summary of the Special Fraud Alert. of health care benefit programs as well. in the context of health care. The Appendix Among various relationships between is not intended to be a compilation of all Penalty for Unlawful Conduct physicians and labs, hospitals, home health Federal statutes related to health care fraud agencies, etc., the OIG has identified The penalty may include the imposition of potentially illegal practices involving the and abuse. It is merely a summary of some a fine, imprisonment of up to 5 years, or rental of space in a physician’s office by of the more frequently cited Federal statutes. both. suppliers that provide items or services to I. Health Care Fraud (18 U.S.C. 1347) Example patients who are referred or sent to the supplier by the physician-landlord. An Description of Unlawful Conduct Dr. X certified on a claim form that he performed laser surgery on a Medicare example of a suspect arrangement is the It is a crime to knowingly and willfully rental of physician office space by a durable beneficiary when he knew that the surgery execute (or attempt to execute) a scheme to was not actually performed on the patient. medical equipment (DME) supplier in a defraud any health care benefit program, or position to benefit from referrals of the to obtain money or property from a health IV. Obstruction of Criminal Investigations of physician’s patients. The OIG is concerned care benefit program through false Health Care Offenses (18 U.S.C. 1518) that in such arrangements the rental representations. Note that this law applies Description of Unlawful Conduct payments may be disguised kickbacks to the not only to Federal health care programs, but physician-landlord to induce referrals. to most other types of health care benefit It is a crime to willfully prevent, obstruct, Space Rental Safe Harbor to the Anti- programs as well. mislead, delay or attempt to prevent, Kickback Statute obstruct, mislead, or delay the Penalty for Unlawful Conduct communication of records relating to a To avoid potentially violating the anti- kickback Statute, the OIG recommends that The penalty may include the imposition of Federal health care offense to a criminal rental agreements should comply with all of fines, imprisonment of up to 10 years, or investigator. Note that this law applies not the following criteria for the space rental safe both. If the violation results in serious bodily only to Federal health care programs, but to harbor: injury, the prison term may be increased to most other types of health care benefit • The agreement is set out in writing and a maximum of 20 years. If the violation programs as well. results in death, the prison term may be signed by the parties. Penalty for Unlawful Conduct • The agreement covers all of the space expanded to include any number of years, or rented by the parties for the term of the life imprisonment. The penalty may include the imposition of a fine, imprisonment of up to 5 years, or agreement and specifies the space covered by Examples both. the agreement. 1. Dr. X, a chiropractor, intentionally billed • Examples If the agreement is intended to provide Medicare for physical therapy and the lessee with access to the space for chiropractic treatments that he knew were 1. Dr. X instructs his employees to tell OIG periodic intervals of time rather than on a never rendered. investigators that Dr. X personally performs full-time basis for the term of the rental 2. Dr. X, a psychiatrist, billed Medicare, all treatments when, in fact, medical agreement, the rental agreement specifies Medicaid, CHAMPUS, and private insurers technicians do the majority of the treatment exactly the schedule of such intervals, the for psychiatric services that were provided by and Dr. X is rarely present in the office. precise length of each interval, and the exact his nurses rather than himself. 2. Dr. X was under investigation by the FBI rent for each interval. • for reported fraudulent billings. Dr. X altered The term of the rental agreement is for II. Theft or Embezzlement in Connection patient records in an attempt to cover up the not less than one year. With Health Care (18 U.S.C. 669) improprieties. • The aggregate rental charge is set in advance, is consistent with fair market value, Description of Unlawful Conduct V. Mail and Wire Fraud (18 U.S.C. 1341, and is not determined in a manner that takes It is a crime to knowingly and willfully 1343) into account the volume or value of any embezzle, steal or intentionally misapply any Description of Unlawful Conduct referrals or business otherwise generated of the assets of a health care benefit program. between the parties for which payment may Note that this law applies not only to Federal It is a crime to use the mail, private be made in whole or in part under Medicare health care programs, but to most other types courier, or wire service to conduct a scheme or a State health care program. of health care benefit programs as well. to defraud another of money or property. The • The aggregate space rented does not term ‘‘wire services’’ includes the use of a exceed that which is reasonably necessary to Penalty for Unlawful Conduct telephone, fax machine or computer. Each accomplish the commercially reasonable The penalty may include the imposition of use of a mail or wire service to further business purpose of the rental. a fine, imprisonment of up to 10 years, or fraudulent activities is considered a separate

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Examples of false claims for would be considered a separate violation of • Personal services and management services or supplies that were not provided the law. contracts; specifically as presented include, but are not • Sale of practice; limited to: Penalty for Unlawful Conduct • Referral services; • A claim for a service or supply that was The penalty may include the imposition of • Warranties; never provided. a fine, imprisonment of up to 5 years, or • Discounts; • A claim indicating the service was both. • Employment relationships; provided for some diagnosis code other than • Examples Waiver of Part A co-insurance and the true diagnosis code in order to obtain deductible amounts; reimbursement for the service (which would 1. Dr. X electronically submits claims to • Group purchasing organizations; not be covered if the true diagnosis code the Medicare fiscal intermediary via his • Increased coverage or reduced cost computer for office visits that he did not were submitted). sharing under a risk-basis or prepaid plan; • actually provide to Medicare beneficiaries. A claim indicating a higher level of and service than was actually provided. 2. Dr. X, a neurologist, knowingly • Charge reduction agreements with health • A claim for a service that the provider submitted claims for tests that were not plans. reasonable and necessary and intentionally knows is not reasonable and necessary. upcoded office visits and Electromyograms to Penalty for Unlawful Conduct • A claim for services provided by an Medicare. The penalty may include the imposition of unlicensed individual. a fine of up to $25,000, imprisonment of up Knowingly—To ‘‘knowingly’’ present a VI. Criminal Penalties for Acts Involving to 5 years, or both. In addition, the provider false or fraudulent claim means that the Federal Health Care Programs (42 U.S.C. can be excluded from participation in provider: (1) has actual knowledge that the 1320a–7b) Federal health care programs. The information on the claim is false; (2) acts in Description of Unlawful Conduct regulations defining the aggravating and deliberate ignorance of the truth or falsity of the information on the claim; or (3) acts in False Statements and Representations mitigating circumstances that must be reviewed by the OIG in making an exclusion reckless disregard of the truth or falsity of the It is a crime to knowingly and willfully: information on the claim. It is important to • determination are set forth in 42 CFR Part Make, or cause to be made, false 1001. note the provider does not have to statements or representations in applying or deliberately intend to defraud the Federal Examples benefits or payments under all Federal health Government in order to be found liable under care programs; 1. Dr. X accepted payments to sign this Act. The provider need only • Make, or cause to be made, any false Certificates of Medical Necessity for durable ‘‘knowingly’’ present a false or fraudulent statement or representation for use in medical equipment for patients she never claim in the manner described above. determining rights to such benefit or examined. Deliberate Ignorance—To act in ‘‘deliberate payment; 2. Home Health Agency disguises referral ignorance’’ means that the provider has • Conceal any event affecting an fees as salaries by paying referring physician deliberately chosen to ignore the truth or individual’s initial or continued right to Dr. X for services Dr. X never rendered to falsity of the information on a claim receive a benefit or payment with the intent Medicare beneficiaries or by paying Dr. X a submitted for payment, even though the to fraudulently receive the benefit or sum in excess of fair market value for the provider knows, or has notice, that payment either in an amount or quantity services he rendered to Medicare information may be false. An example of a greater than that which is due or authorized; beneficiaries. provider who submits a false claim with • Convert a benefit or payment to a use deliberate ignorance would be a physician other than for the use and benefit of the Appendix C: Civil and Administrative who ignores provider update bulletins and person for whom it was intended; Statutes thus does not inform his/her staff of changes • Present, or cause to be presented, a claim This Appendix contains a description of in the Medicare billing guidelines or update for a physician’s service when the service civil and administrative statutes related to his/her billing system in accordance with was not furnished by a licensed physician; changes to Medicare billing practices. When • fraud and abuse in the context of health care. For a fee, counsel an individual to The Appendix is not intended to be a claims for non-reimbursable services are dispose of assets in order to become eligible compilation of all Federal statutes related to submitted as a result, the False Claims Act for medical assistance under a State health health care fraud and abuse. It is merely a has been violated. program, if disposing of the assets results in summary of some of the more frequently Reckless Disregard—To act in ‘‘reckless the imposition of an ineligibility period for cited Federal statutes. disregard’’ means that the provider pays no the individual. regard to whether the information on a claim Anti-Kickback Statute I. The False Claims Act (31 U.S.C. 3729– submitted for payment is true or false. An 3733) example of a provider who submits a false It is a crime to knowingly and willfully claim with reckless disregard would be a solicit, receive, offer, or pay remuneration of Description of Unlawful Conduct physician who assigns the billing function to any kind (e.g., money, goods, services): This is the law most often used to bring a an untrained office person without inquiring • For the referral of an individual to case against a health care provider for the whether the employee has the requisite another for the purpose of supplying items or submission of false claims to a Federal health knowledge and training to accurately file services that are covered by a Federal health care program. The False Claims Act prohibits such claims. care program; or knowingly presenting (or causing to be • For purchasing, leasing, ordering, or presented) to the Federal Government a false Penalty for Unlawful Conduct arranging for any good, facility, service, or or fraudulent claim for payment or approval. The penalty for violating the False Claims item that is covered by a Federal health care Additionally, it prohibits knowingly making Act is a minimum of $5,000 up to a program. or using (or causing to be made or used) a maximum of $10,000 for each false claim There are a number of limited exceptions false record or statement to get a false or submitted. In addition to the penalty, a to the law, also known as ‘‘safe harbors,’’ fraudulent claim paid or approved by the provider could be found liable for up to three which provide immunity from criminal Federal Government or it agents, like a times the amount unlawfully claimed. prosecution and which are described in carrier, other claims processor, or state greater detail in the statute and related Medicaid program. Examples regulations (found at 42 CFR 1001.952 and at • A physician and his oncology clinic www.hhs.gov/oig/ak/index.htm#OIG Safe Definitions knowingly submitted improper claims to Harbor Regulations). Current safe harbors False Claim—A false claim is a claim for Medicare and Medicaid for services rendered include: payment for services or supplies that were at the clinic by nonphysicians without a • Investment interests; not provided specifically as presented or for physician’s supervision or attendance.

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• Dr. X intentionally upcoded office visits to receive services and have tests performed Exceptions Relating to Other Compensation and angioplasty consultations that were that were not preventive care services and Arrangements submitted for payment to Medicare. tests. 1. Rental of office space and rental of • Dr. X, a podiatrist, knowingly submitted 2. Dr. X hired Physician Assistant P to equipment; claims to the Medicare and Medicaid provide services to Medicare and Medicaid 2. Bona fide employment relationship; programs for non-routine surgical procedures beneficiaries without conducting a 3. Personal service arrangement; when he actually performed routine, non- background check on P. Had Dr. X performed 4. Remuneration unrelated to the provision covered services such as the cutting and a background check by reviewing the HHS– of designated health services; trimming of toenails and the removal of corns OIG List of Excluded Individuals/Entities, Dr. 5. Physician recruitment; and calluses. X. would have discovered that he should not 6. Isolated transactions; hire P because P is excluded for a period of 7. Certain group practice arrangements II. Civil Monetary Penalties Law (42 U.S.C. 5 years from participation in Federal health with a hospital (pre-1989); and 1320a–7a) care programs. 8. Payments by a physician for items and Description of Unlawful Conduct 3. Dr. X and his oximetry company billed services The Civil Monetary Penalties Law (CMPL) Medicare for pulse oximetry that they knew Penalty for Unlawful Conduct is a comprehensive statute that covers an they did not perform and services that had been intentionally upcoded. Violations of the statute subject the billing array of fraudulent and abusive activities and entity to denial of payment for the designated is very similar to the False Claims Act. For III. Limitations on Certain Physician health services, refund of amounts collected instance, the CMPL prohibits a health care Referrals (‘‘Stark Laws’’) (42 U.S.C. 1395nn) from improperly submitted claims, and a provider from presenting, or causing to be civil monetary penalty of up to $15,000 for Description of Unlawful Conduct presented, claims for services that the each improper claim submitted. Physicians provider ‘‘knows or should know’’ were: Physicians (and immediate family who violate the statute may also be subject • Not provided as indicated by the coding members) who have an ownership, to additional fines per prohibited referral. In on the claim; investment or compensation relationship addition, providers that enter into an • Not reasonable or necessary; with an entity providing ‘‘designated health arrangement that they know or should know • Furnished by a person who is not services’’ are prohibited from referring circumvents the referral restriction law may licensed as a physician (or who was not patients for these services where payment be subject to a CMP of up to $100,000 per properly supervised by a licensed physician); may be made by a Federal health care arrangement. • Furnished by a licensed physician who program unless a statutory or regulatory Examples obtained his or her license through exception applies. An entity providing a misrepresentation of a material fact (such as designated health service is prohibited from 1. Dr. A worked in a medical clinic located cheating on a licensing exam); billing for the provision of a service that was in a major city. She also owned a free standing laboratory located in a major city. • Furnished by a physician who was not provided based on a prohibited referral. Dr. A referred all orders for laboratory tests certified in the medical specialty that he or Designated health services include: clinical on her patients to the laboratory she owned. she claimed to be certified in; or laboratory services; physical therapy 2. Dr. X agreed to serve as the Medical • Furnished by a physician who was services; occupational therapy services; excluded from participation in the Federal Director of Home Health Agency, HHA for radiology services, including magnetic which he was paid a sum substantially above health care program to which the claim was resonance imaging, axial tomography scans, the fair market value for his services. In submitted. and ultrasound services; radiation therapy return, Dr. X routinely referred his Medicare Additionally, the CMPL contains various services and supplies; durable medical and Medicaid patients to HHA for home other prohibitions, including: equipment and supplies; parenteral and • health services. Offering remuneration to a Medicare or enteral nutrients, equipment and supplies; 3. Dr. Y received a monthly stipend of $500 Medicaid beneficiary that the person knows prosthetics, orthotics, prosthetic devices and from a local hospital to assist him in meeting or should know is likely to influence the supplies; home health services; outpatient practice expenses. Dr. Y performed no beneficiary to obtain items or services billed prescription drugs; and inpatient and specific service for the stipend and had no to Medicare or Medicaid from a particular outpatient hospital services. obligation to repay the hospital. Dr. Y provider; and New regulations clarifying the exceptions • referred patients to the hospital for in-patient Employing or contracting with an to the Stark Laws are expected to be issued surgery. individual or entity that the person knows or by HCFA during the summer of 2000. Current should know is excluded from participation exceptions articulated within the Stark Laws IV. Exclusion of Certain Individuals and in a Federal health care program. include the following, provided all Entities From Participation in Medicare and The term ‘‘should know’’ means that a conditions of each exception as set forth in Other Federal Health Care Programs (42 provider: (1) Acted in deliberate ignorance of the statute and regulations are satisfied. U.S.C. §1320a–7) the truth or falsity of the information; or (2) Exceptions for Ownership or Compensation Mandatory Exclusion acted in reckless disregard of the truth or Arrangements Individuals or entities convicted of the falsity of the information. The Federal 1. Physician’s services; Government does not have to show that a following conduct must be excluded from 2. In-office ancillary services; and participation in Medicare and Medicaid for a provider specifically intended to defraud a 3. Prepaid plans. Federal health care program in order to prove minimum of five years: Exceptions for Ownership or Investment in • a provider violated the statute. A criminal offense related to the delivery Publicly Traded Securities and Mutual of an item or service under Medicare or Penalty for Unlawful Conduct Funds Medicaid; Violation of the CMPL may result in a 1. Ownership of investment securities • A conviction under Federal or State law penalty of up to $10,000 per item or service which may be purchased on terms of a criminal offense relating to the neglect and up to three times the amount unlawfully generally available to the public; or abuse of a patient; • claimed. In addition, the provider may be 2. Ownership of shares in a regulated A conviction under Federal or State law excluded from participation in Federal health investment company as defined by of a felony relating to fraud, theft, care programs. The regulations defining the Federal law, if such company had, at the embezzlement, breach of fiduciary aggravating and mitigating circumstances end of the company’s most recent fiscal responsibility or other financial misconduct that must be reviewed by the OIG in making year, or on average, during the previous against a health care program financed by an exclusion determination are set forth in 42 3 fiscal years, total assets exceeding any Federal, State, or local government CFR Part 1003. $75,000,000; agency; or 3. Hospital in Puerto Rico; • A conviction under Federal or State law Examples 4. Rural provider; and of a felony relating to unlawful manufacture, 1. Dr. X paid Medicare and Medicaid 5. Hospital ownership (whole hospital distribution, prescription, or dispensing of a beneficiaries $20 each time they visited him exception). controlled substance.

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If there is one prior conviction, the to report matters involving fraud, waste and In addition, if the provider is obligated to exclusion will be for 10 years. If there are two mismanagement in any departmental enter into an Integrity Agreement (IA) as part prior convictions, the exclusion will be program to the OIG. The OIG maintains a of the resolution of a voluntary disclosure, permanent. hotline that offers a confidential means for there are three benefits the provider might Permissive Exclusion reporting these matters. receive as a result of self-reporting: • If the provider has an effective Individuals or entities may be excluded Contacting the OIG Hotline compliance program and agrees to maintain from participation in Federal health care By Phone: 1–800–HHS–TIPS (1–800–447– its compliance program as part of the False programs for a minimum of 3 years if they 8477) Claims Act settlement, the OIG may not even meet any of the following criteria: By E–Mail: [email protected] • By Mail: Office of Inspector General require an IA; A criminal offense related to the delivery • of an item or service under Medicare or Department of Health and Human Services In cases where the provider’s own audits Medicaid; Attn: HOTLINE, detected the disclosed problem, the OIG may • A misdemeanor related to fraud, theft, 330 Independence Ave., S.W., consider alternatives to the IA’s auditing embezzlement, breach of fiduciary Washington, D.C. 20201 provisions. The provider may be able to responsibility or other financial misconduct When contacting the Hotline, please perform some or all of its billing audits against a health care program financed by provide the following information to the best through internal auditing methods rather of your ability: than be required to retain an independent any Federal, State, or local government • agency; Type of Complaint: review organization to perform the billing • Interference with, or obstruction of, any Medicare Part A review; and • investigation into certain criminal offenses; Medicare Part B Self-disclosing can help to demonstrate a • A misdemeanor related to the unlawful Indian Health Service provider’s trustworthiness to the OIG and manufacture, distribution, prescription or TRICARE may result in the OIG determining that they dispensing of a controlled substance; Other (please specify) can sufficiently safeguard the Federal health • • Exclusion or suspension under a Federal HHS Department or program being affected care programs through an IA without the or State health care program; by your allegation of fraud, waste, abuse/ exclusion remedy for a material breach, • Submission of claims for excessive mismanagement: which is typically included in an IA. charges, unnecessary services or services that Health Care Financing Administration Specific instructions on how to submit a were of a quality which fails to meet (HCFA) voluntary disclosure under the Provider Self- professionally recognized standards of health Indian Health Service Disclosure Protocol can be found on the care; Other (please specify) OIG’s internet site at www.hhs.gov/oig or in • Violating the CMP law or the statute Please provide the following information. the Federal Register at 63 FR 58399. entitled ‘‘Criminal Penalties for Acts (However, if you would like your referral The Provider Self-Disclosure Protocol can Involving Federal Health Care Programs’’; to be submitted anonymously, please also be a useful tool for conducting baseline • Ownership or control of an entity by a indicate such in your correspondence or audits. The protocol details the OIG’s views sanctioned individual or immediate family phone call.) on the appropriate elements of an effective member (spouse, natural or adoptive parent, Your Name investigative and audit plan for providers. child, sibling, stepparent, stepchild, Your Street Address Physician practices can use the self- stepbrother or stepsister, in-laws, Your City/County disclosure protocol as a model for conducting grandparent and grandchild); Your State audits and self-assessments. • Failure to disclose information required Your Zip Code In relying on the protocol for audit design by law; Your email Address and sample selection, a physician practice • Failure to supply claims payment • Subject/Person/Business/Department that should pay close attention to the sections on information; and allegation is against. self-assessment and sample selection. These • Defaulting on health education loan or Name of Subject two sections provide valuable guidance scholarship obligations. Title of Subject regarding how these two functions should be The above list is not all inclusive. Subject’s Street Address performed. Additional grounds for permissive exclusion Subject’s City/County The self-assessment section of the protocol are detailed in the statute. Subject’s State contains information that can be applied to Examples Subject’s Zip Code audit design. Self-assessment is an internal • financial assessment to determine the 1. Nurse R was excluded based on a Please provide a brief summary of your monetary impact of the matter. The approach conviction involving obtaining dangerous allegation and the relevant facts. of a review can include reviewing either all drugs by forgery. She also altered II. Provider Self-Disclosure Protocol claims affected or a statistically valid sample prescriptions that were given for her own of the claims. health problems before she presented them to The recommended method for a provider Sample selection must include several the pharmacist to be filled. to contact the OIG regarding potential fraud elements. These elements are drawn from the 2. Practice T was excluded due to its or abuse issues that may exist in the Government sampling program known as affiliation with its excluded owner. The provider’s own organization is through the RAT–STATS.1 All of these elements are set practice owner, excluded from participation use of the Provider Self-Disclosure Protocol. forth in more detail in the Provider Self- in the Federal health care programs for This program encourages providers to Disclosure Protocol, but the elements soliciting and receiving illegal kickbacks, was voluntarily disclose irregularities in their include: (1) Sampling unit, (2) sampling still participating in the day-to-day dealings with Federal health care programs. frame, (3) probe sample, (4) sample size, (5) operations of the practice after his exclusion While voluntary disclosure under the random numbers, (6) sample design and (7) was effective. protocol does not guarantee a provider protection from civil, criminal or missing sample items. All of these sampling Appendix D: OIG–HHS Contact administrative actions, the fact that a elements should be clearly documented by Information provider voluntarily disclosed possible the physician practice and compiled in the wrongdoing is a mitigating factor in OIG’s format set forth in the Provider Self- I. OIG Hotline Number recommendations to prosecuting agencies. Disclosure Protocol. Use of the format set One method for providers to report Self-reporting offers providers the forth in the Provider Self-Disclosure Protocol potential fraud, waste, and abuse problems is opportunity to minimize the potential cost will help physician practices to ensure that to contact the OIG Hotline number. All HHS and disruption of a full-scale audit and the elements of their internal audits are in and contractor employees have a investigation, to negotiate a fair monetary conformance with OIG standards. responsibility to assist in combating fraud, settlement, and to avoid an OIG permissive waste and abuse in all departmental exclusion preventing the provider from doing 1 Available through the OIG website at http:// programs. As such, providers are encouraged business with Federal health care programs. www.hhs.gov/oas/ratstat.html.

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III. Advisory Opinion Requests Office of Investigations (OI) provisions set forth in section 552b(c)(4) Health care professionals or others may OIG List of Excluded Individuals/Entities and 552b(c)(6). Title 5 U.S.C., amended. request an advisory opinion from OIG on the OIG News The grant applications and the following issues: OIG Regulations discussions could disclose confidential • What constitutes prohibited OIG Semi-Annual Report OIG Workplan trade secrets or commercial property ‘‘remuneration’’ or payment under the anti- such as patentable material, and kickback statute; • Health Care Financing Administration material, and personal information Whether the arrangement or proposed (www.hcfa.gov) arrangement fits into a safe harbor to the anti- concerning individuals associated with kickback statute; This website includes information on a the grant applications, the disclosure of • What constitutes an inducement to wide array of topics, including the following: which would constitute a clearly reduce or limit services to Medicare/ Medicare unwarranted invasion of personal Medicaid beneficiaries; and National Correct Coding Initiative privacy. • Whether any activity or proposed Intermediary-Carrier Directory activity constitutes grounds for the Payment Name of Committee: National Cancer imposition of fraud and abuse sanctions. Program Manuals Institute Special Emphasis Panel Cancer The OIG issues Advisory Opinions on Program Transmittals & Memorandum Education Grant (R25 application). specific existing or proposed arrangements in Provider Billing/HCFA Forms Date: June 28, 2000. which the requesting party is engaged or in Statistics and Data Time: 4 PM to 5 PM. Agenda: To review and evaluate grant good faith intends to engage; the OIG does Medicaid not issue Advisory Opinions on hypothetical applications. HCFA Regional Offices Place: Georgetown Holiday Inn, arrangements. Advisory Opinions will not be Letters to State Medicaid Directors issued on questions of fair market value or Kaleidoscope Room, 2101 Wisconsin Ave, Medicaid Hotline Numbers NW, Washington, DC 20007. whether an individual is a bona fide Policy & Program Information employee. Advisory Opinions will be Contact Person: David E. Maslow, PhD, State Medicaid Contacts Scientific Review Administrator, Grants binding only on the requesting party and the State Medicaid Manual OIG. Failure to seek an Advisory Opinion is Review Administrator, Grants Review State Survey Agencies Branch, Division of Extramural Activities, not admissible as evidence of intent to Statistics and Data violate the law. National Cancer Institute, National Institutes of Health, 6116 Executive Boulevard—Room Procedures for requesting an Advisory HCFA Medicare Training 8054, Bethesda, MD 20892–7405, 301/496– Opinion are available on the OIG website at (www.medicaretraining.com) 2330. www.hhs.gov/oig or at 42 CFR 1008.1 This site provides computer-based training This notice is being published less than 15 through 1008.59. on the following topics: days prior to the meeting due to the timing Appendix E: Carrier Contract HCFA 1500 Form limitations imposed by the review and Information Fraud & Abuse funding cycle. ICD–9–CM Diagnosis Coding Medicare (Catalogue of Federal Domestic Assistance Adult Immunization Program Nos. 93.392, Cancer Construction; A complete list of contact information Medicare Secondary Payer (MSP) 93.393, Cancer Cause and Prevention (address, phone number, email address) for Women’s Health Research; 93.394, Cancer Detection and Medicare Part A Fiscal Intermediaries, Front Office Management Diagnosis Research; 93.395, Cancer Medicare Part B Carriers, Regional Home Introduction to the World of Medicare Treatment Research; 93.396, Cancer Biology Health Intermediaries, and Durable Medical Home Health Agency Research; 93.397, Cancer Centers Support; Equipment Regional Carriers can be found on HCFA 1450 (UB92) 93.398, Cancer Research Manpower; 93.399, the HCFA website at www.hcfa.gov/ Cancer Control, National Institutes of Health, medicare/incardir.htm. Government Printing Office (www.access.gpo.gov) HHS) Dated: June 5, 2000. Medicaid This site provides access to Federal laws Contact information (address, phone and regulations pertaining to Federal health LaVerne Y. Stringfield, number, email address) for each state care programs. Director, Office of Federal Advisory Medicaid carrier can be found on the HCFA Committee Policy. The U.S. House of Representatives Internet website at www.hcfa.gov/medicaid/ [FR Doc. 00–14745 Filed 6–9–00; 8:45 am] Library (uscode.house.gov/usc.htm) mcontact.htm. In addition to a list of BILLING CODE 4140±01±M Medicaid carriers, the website includes This site provides access to the United contact information for each State survey States Code, which contains laws pertaining agency and the HCFA Regional Offices. to Federal health care programs. Contact information for each state DEPARTMENT OF HEALTH AND Medicaid Fraud Control Unit can be found [FR Doc. 00–14703 Filed 6–9–00; 8:45 am] HUMAN SERVICES on the OIG website at www.hhs.gov/oig/oi/ BILLING CODE 4152±01±P mfcu/index.htm. National Institutes of Health Appendix F: Internet Resources DEPARTMENT OF HEALTH AND National Cancer Institute; Notice of Office of Inspector General—U.S. HUMAN SERVICES Meeting Department of Health and Human Services Pursuant to section 10(a) of the National Institute of Health (www.hhs.gov/oig) Federal Advisory Committee Act, as This website includes a variety of amended (5 U.S.C. Appendix 2), notice information relating to Federal health care National Cancer Institute; Notice of Closed Meeting is hereby given of a meeting of the programs, including the following: National Cancer Institute Board of Advisory Opinions Pursuant to section 10(d) of the Scientific Advisors. Anti-Kickback Information Federal Advisory Committee Act, as The meeting will be open to the Compliance Program Guidance amended (5 U.S.C. Appendix 2), notice public, with attendance limited to space Corporate Integrity Agreements Fraud Alerts is hereby given of the following available. Individuals who plan to Links to web pages for the: meeting. attend and need special assistance, such Office of Audit Services (OAS) The meeting will be closed to the as sign language interpretation of other Office of Evaluation and Inspections (OEI) public in accordance with the reasonable accommodations, should

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36836 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices notify the Contact Person listed below Place: Gaithersburg Hilton, 620 Perry Park, Activities, NIAID, NIH, Room 2217, 6700–B in advance of the meeting. Gaithersburg, MD 20877. Rockledge Drive, MSC, 7610, Bethesda, MD Contact Person: C.M. Kerwin, PhD, 20892–7610, 301–496–2550. Name of Committee: National Cancer Scientific Review Administrator, Special This notice is being published less than 15 Institute Board of Scientific Advisors. Review, Referral and Resources Branch, days prior to the meeting due to the timing Date: June 22, 2000. Division of Extramural Activities, National limitations imposed by the review and Time: 8:30 AM to 6:00 PM. Cancer Institute, National Institutes of funding cycle. Agenda: Report of the Director, NCI; Health, 6116 Executive Boulevard, Room (Catalogue of Federal Domestic Assistance Ongoing and New Business, Special Initiative 8086, Rockville, MD 20892–7405, 301/496– Program Nos. 93.855, Allergy, Immunology, Updates, Budget Presentation, and RFA 7421. and Transplantation Research; 93.856, Concept Reviews. This notice is being published less than 15 Microbiology and Infectious Diseases Place: 900 Rockville, Pike, Building 31, days prior to the meeting due to the timing Research, National Institutes of Health, HHS) limitations imposed by the review and Conference Room 10, Bethesda, MD 20892. Dated: June 2, 2000. Contact Person: Paulette S. Gray, PhD, funding cycle. LaVerne Y. Stringfield, Executive Secretary, Division of Extramural (Catalogue of Federal Domestic Assistance Director, Office of Federal Advisory Activities, National Cancer Institute, National Program Nos. 93.392, Cancer Construction; Committee Policy. Institutes of Health, 6116 Executive 93.393, Cancer Cause and Prevention Boulevard, Rm. 8141, Bethesda, MD 20892. Research; 93.394, Cancer Detection and [FR Doc. 00–14746 Filed 6–9–00; 8:45 am] This notice is being published less than 15 Diagnosis Research; 93.395, Cancer BILLING CODE 4140±01±M days prior to the meeting due to scheduling Treatment Research; 93.396, Cancer Biology changes. Research; 93.397, Cancer Centers Support; (Catalogue of Federal Domestic Assistance 93.398, Cancer Research Manpower; 93.399, DEPARTMENT OF HEALTH AND Program Nos. 93.392, Cancer Construction; Cancer Control, National Institutes of Health, HUMAN SERVICES 93.393, Cancer Cause and Prevention HHS) Research; 93.394, Cancer Detection and Dated: June 2, 2000. National Institutes of Health Diagnosis Research; 93.395, Cancer LaVerne Y. Stringfield, Treatment Research; 93.396, Cancer Biology Prospective Grant of Exclusive Director, Office of Federal Advisory Research; 93.397, Cancer Centers Support; License: Antagonists of the αEβ Committee Policy. 7 93.398, Cancer Research Manpower; 93.399, Integrin as Therapeutic Agents for Cancer Control, National Institutes of Health, [FR Doc. 00–14748 Filed 6–9–00; 8:45 am] Inflammatory Diseases HHS) BILLING CODE 4140±01±M Dated: June 2, 2000. AGENCY: National Institutes of Health, LaVerne Y. Stringfield, Public Health Service, DHHS. DEPARTMENT OF HEALTH AND Director, Office of Federal Advisory ACTION: Notice. Committee Policy. HUMAN SERVICES SUMMARY: This is notice, in accordance [FR Doc. 00–14747 Filed 6–9–00; 8:45 am] National Institutes of Health with 35 U.S.C. § 209 (c) (1) and 37 CFR BILLING CODE 4140±01±M § 404.7 (a) (1) (i), that the National National Institute of Allergy and Institutes of Health, Department of Infectious Diseases; Notice of Closed Health and Human Services is DEPARTMENT OF HEALTH AND Meeting contemplating the grant of an exclusive HUMAN SERVICES Pursuant to section 10(d) of the license to practice the inventions National Institutes of Health Federal Advisory Committee Act, as embodied in PCT Patent Application S/ amended (5 U.S.C. Appendix 2), notice N PCT/US99/27817 (filed November 23, National Cancer Institute; Notice of is hereby given of the following 1999) based on U.S. Patent Application Closed Meeting meeting. 60/109,957 (filed November 25, 1998), αEβ The meeting will be closed to the entitled ‘‘Antagonists of the 7 Pursuant to section 10(d) of the public in accordance with the Integrin as Therapeutic Agents for Federal Advisory Committee Act, as provisions set forth in sections Inflammatory Diseases’’, to BioSeek, amended (5 U.S.C. Appendix 2), notice 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Inc., having a place of business in San is hereby given to the following as amended. The contract proposals and Francisco, CA. The patent rights in meeting. these inventions have been assigned to The meeting will be closed to the the discussions could disclose confidential trade secrets or commercial the United States of America. public in accordance with the The prospective exclusive license provisions set forth in sections property such as patentable material, and personal information concerning territory will be worldwide and the field E 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., of use may be limited to α β7-related as amended. The grant applications and individuals associated with the contract proposals, the disclosure of which human therapeutics for the treatment of the discussions could disclose inflammatory diseases. confidential trade secrets or commercial would constitute a clearly unwarranted invasion of personal privacy. DATES: Only written comments and/or property such as patentable material, license applications which are received Name of Committee: National Institute of and personal information concerning by the National Institutes of Health on individuals associated with the grant Allergy and Infectious Diseases Special Emphasis Panel. or before August 11, 2000 will be applications, the disclosure of which considered. would constitute a clearly unwarranted Date: June 19, 2000. Time: 1 pm to 4 pm. invasion of personal privacy. ADDRESSES: Requests for copies of the Agenda: To review and evaluate contract patent, inquiries, comments and other Name of Committee: National Cancer proposals. materials relating to the contemplated Institute Special Emphasis Panel, National Place: 6700B Rockledge Drive, Room 2148, Cooperative Drug Discovery Group. Bethesda, MD 20817. (Telephone Conference exclusive license should be directed to: Date: June 7–9, 2000. Call) Vasant Gandhi, J.D., Ph.D., Technology Time: 7:00 PM to 5:00 PM Contract Person: Hagit S. David, PhD, Licensing Specialist, Office of Agenda: To review and evaluate grant Scientific Review Administrator, Scientific Technology Transfer, National Institutes applications. Review Program, Division of Extramural of Health, 6011 Executive Boulevard,

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Suite 325, Rockville, MD 20852–3804; DEPARTMENT OF HOUSING AND availability of approximately $2.424 Telephone: (301) 496–7056, X224; URBAN DEVELOPMENT billion in HUD program funds covering Facsimile (301) 402–0220; E-mail 39 grant categories within programs [Docket No. FR±4560±C±08] [email protected]. operated and administered by HUD FY 2000 Super Notice of Funding offices and Section 8 housing voucher SUPPLEMENTARY INFORMATION: The Availability (SuperNOFA) for HUD's assistance. The FY 2000 SuperNOFA pathogenesis of inflammatory reactions Housing, Community Development and included HUD’s funding availability may depend upon the traffic of Empowerment Programs and Section 8 announcement for the Economic inflammatory mediating cells from sites Housing Voucher Assistance; Development Initiative (EDI). The EDI of induction to sites of inflammation. Amendment to Funding Availability section of the SuperNOFA announced This trafficking is known to be Announcement for Economic the availability of approximately $24.1 mediated, in part, by the interaction of Development Initiative (EDI); Extension million in EDI funds to stimulate α4β the integrin, 7, and the addressin, of Application Due Date for Regional economic development by local mucosa adressin cell adhesion Economic Development Projects governments and private sector parties. molecule-1. This homing, which This document extends the governs the entry of cells into tissues, is AGENCY: Office of the Secretary, HUD. application due date to apply for accompanied by additional adhesion ACTION: Super Notice of Funding funding for regional economic molecule-ligand interactions that ensure Availability (SuperNOFA) for HUD development projects under the the retention of cells in the target tissue. Grant Programs; Amendment to EDI Economic Development Initiative (EDI) The inventors believe the integrin, Announcement—Extension of EDI to July 14, 2000. This application due E α β7, may play a role in retaining Regional Application Due Date. date extension is only for regional economic development project intraepithelial lymphocytes in the SUMMARY: On February 24, 2000, HUD intraepithelial site via its interaction applications. It has been brought to published its Fiscal Year (FY) 2000 HUD’s attention that the amount of time with E-cadherin. Experiments have Super Notice of Funding Availability -/- necessary to collect and compile the shown in IL–2 mice, that (SuperNOFA) for HUD’s Housing, E administration of anti-α β7 can prevent information necessary for a regional Community Development, and economic development project colonic inflammation and reverse pre- Empowerment Programs and Section 8 existing inflammation. This data is application is more time consuming Housing Voucher Assistance. This than that required for general economic important because it strongly suggests document extends the application due that both entry and retention of cells are development project applications. date to apply for funding for regional Accordingly, HUD is providing necessary for the induction and economic development projects under -/- additional time to prepare and submit maintenance of colitis in these IL–2 the Economic Development Initiative mice. The present technology relates to regional economic development project (EDI). This application due date applications. (Please note that the EDI methods for treating inflammatory extension is only for the regional reactions for but not necessarily limited application due was extended economic development project previously to June 13, 2000, for all to: autoimmune diseases, graft-versus- applications. host disease and transplantation applications by notice published in the DATES: The application due date for EDI rejections. Federal Register on May 9, 2000 (65 FR regional economic development projects 26844).) The prospective exclusive license: applications is extended by this notice Please note that applicants that will be royalty-bearing and will comply to July 14, 2000. already submitted applications for with the terms and conditions of 35 FOR FURTHER INFORMATION CONTACT: You regional economic development projects U.S.C. § 209 and 37 CFR 404.7. The may contact either Tony Johnston or by the June 13, 2000, application due prospective exclusive license may be Paul Webster of the Office of Economic date, need not resubmit a new granted unless within sixty (60) days Development Department of Housing application and need not amend their from the date of this published notice, and Urban Development, 451 Seventh applications. Applicants that already the NIH receives written evidence and Street, SW, Room 7136, Washington, DC submitted applications for regional argument that establish that the grant of 20410; telephone (202) 708–1871 (this is economic development projects, the license would not be consistent with not a toll-free number). Persons with however, may submit new or amended the requirements of 35 U.S.C. § 209 and speech or hearing impairments may applications if they choose to do so. 37 CFR 404.7. access this number via TTY by calling Applicants that already submitted Applications for a license in the field the toll-free Federal Information Relay applications and plan to submit new or of use filed in response to this notice Service at 1–800–877–8339. You may amended applications should clearly will be treated as objections to the grant also call the SuperNOFA Information identify whether the information of the contemplated exclusive license. Center, which you may reach by calling submitted is new and replaces a Comments and objections submitted to 1–800–HUD–8929 or the Center’s TTY previously submitted application in its this notice will not be made available number at 1–800–HUD–2209. Other entirety or is an addendum or for public inspection and, to the extent than the ‘‘800’’ number, these numbers amendment to the previously submitted permitted by law, will not be released are not toll-free. application. under the Freedom of Information Act, SUPPLEMENTARY INFORMATION: On The funding availability 5 U.S.C. § 552. February 24, 2000 (65 FR 9322), HUD announcement for EDI is found at page published its Fiscal Year (FY) 2000 9787 of the February 24, 2000 Dated: June 1, 2000. Super Notice of Funding Availability SuperNOFA. The original Jack Spiegel, (SuperNOFA) for HUD’s Housing, announcement contains all the Director, Division of Technology Development Community Development, and information with respect to EDI and Transfer, Office of Technology Transfer. Empowerment Programs and Section 8 application contents and where to [FR Doc. 00–14749 Filed 6–9–00; 8:45 am] Housing Voucher Assistance. The FY submit EDI applications. This notice BILLING CODE 4140±01±P 2000 SuperNOFA announced the only provides the extended due date for

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00024 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36838 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices regional economic development project DEPARTMENT OF HOUSING AND the availability of $50,000,000 for the applications. URBAN DEVELOPMENT physical conversion of Section 202 projects or portions of Section 202 Therefore, in the Super Notice of [Docket No. FR±4581±C±02] Funding Availability for Housing, projects to Assisted Living Facilities. Community Development, and FY 2000 NOFA for the Assisted Living The purpose of this document is to correct certain technical errors that Empowerment Programs and Section 8 Conversion Program (ALCP) for appeared in the published NOFA. Housing Voucher Assistance for Fiscal Section 202 Projects; Technical Year 2000, notice document 00–4123, Correction Technical Errors To Be Corrected beginning at 65 FR 9322, in the issue of AGENCY: Office of the Assistant The page numbers referred to in this Friday, February 24, 2000, the following Secretary for Housing-Federal Housing notice refer to Federal Register page clarification is made: Commissioner, HUD. numbers. Economic Development Initiative (EDI) ACTION: Notice of funding availability On page 14694, second column, under Section, Beginning at 65 FR 9789 (NOFA); technical correction. the fourth full paragraph, which addresses Application Kits, HUD failed • On page 9789, in the first column, SUMMARY: This document makes certain to include the toll free TTY number and continuing to the second column, under technical corrections to the FY 2000 to indicate that application kits for the Section I, the paragraphs concerning NOFA for the Assisted Living ALCP NOFA and the Service ‘‘Application Deadline’’ under the Conversion Program (ALP) for Section Coordinators NOFA are available on the Program Overview and ‘‘Application 202 Projects, published on March 17, Internet. The TTY number and a 2000. Due Date’’ under Section I of the statement that both application kits are Additional Information are corrected to DATES: The application due date for this available on the Internet are included by read as follows: NOFA, as published on March 17, 2000, this document. is not changed by this notice. The On page 14696, second column, under Application Deadline. July 14, 2000, application due date is July 17, 2000. the sixth full paragraph, which for the regional economic development FOR FURTHER INFORMATION, CONTACT: identifies contact persons for technical project applications, and June 13, 2000, You should contact the lead Multifamily assistance, HUD is correcting the name for general economic development Hub where you will be mailing your of the office of the contact persons and project applications. ALCP Application. (Please refer to Hub replacing the name of one of the contact * * * * * telephone numbers in Appendix B to persons. Application Due Date. Please submit the March 17, 2000, ALCP NOFA, On page 14696, second column, the your completed applications (one published at 65 FR 14705.) paragraph designated ‘‘(14)’’ is revised original and two copies) for general You also may contact Aretha by adding a new sentence to the end of the first full paragraph of paragraph (14) economic development project(s) on or Williams, Housing Project Manager, to clarify that a Section 202/PRAC before 12:00 midnight, Eastern time, on Office of Housing Assistance and Grant project is not eligible to request funding June 13, 2000, to the addresses shown Administration, Room 6138, at (202) 708–2866 x2480, for questions regarding under the NOFA for Service below. Please submit your completed Coordinators for Multifamily Housing, applications (one original and two the physical conversion of the ALF. Ms. Williams can be reached, also by e:mail, published also on March 17, 2000 (65 copies) for regional economic at ‘‘[email protected]’’. For FR 14708), because the Section 202/ development project(s) on or before questions about management of the ALF PRAC project may pay for the service 12:00 midnight, Eastern time, on July and coordination with agencies of the coordinator out of PRAC funds. 14, 2000. Department of Health and Human On page 14699, third column, the first Applicants that already submitted Services and other third parties, you full paragraph under ‘‘Rating Factor 1,’’ applications by the June 13, 2000, may contact Carissa Janis, Housing contains an incorrect cross reference to application due date need not resubmit Project Manager, Office of Housing other sections of the NOFA and this a new application and need not amend Assistance and Grant Administration, reference is corrected by this document. their applications. Applicants that Room 6168 at (202) 708–3730 x2487. On page 14699, third column, the last already submitted applications, Ms. Janis may be reached also by e:mail paragraph in that column which however, may submit new or amended at ‘‘[email protected]’’. Both Ms. continues on page 14700, contains an applications if they choose to do so. Williams and Ms. Janis are located at incorrect cross reference to other the Department of Housing and Urban sections of the NOFA and this reference Applicants that submit new or Development, 451 Seventh Street, SW, is corrected by this document. amended applications should clearly Washington, DC 20410. On page 14700, first column, the first identify whether the information Please note that the above-listed full paragraph under Rating Factor 3, submitted is new and replaces a telephone numbers are not toll free contains an incorrect cross-reference to previously submitted application in its numbers. other sections of the NOFA, and the entirety or is an addendum or If you have a hearing or speech reference is corrected by this document. amendment to the previously submitted impairment, you may access either On page 14700, second column, the application. telephone number via TTY by calling second full paragraph under Rating Dated: June 7, 2000. the Federal Information Relay Service at Factor 4 contains an incorrect cross- Cardell Cooper, 1–800–877–8339. reference to other sections of the NOFA SUPPLEMENTARY INFORMATION and the reference is corrected by this Assistant Secretary for Community Planning document. and Development. I. Background On page 14700, third column at the [FR Doc. 00–14852 Filed 6–8–00; 2:32 pm] On March 17, 2000 (65 FR 14694), top, the paragraph designated ‘‘(3)’’ BILLING CODE 4210±32±P HUD published the NOFA for ALCP for under Rating Factor 4 contains an Section 202 Projects which announced incorrect point assignment where the

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36839 answer is ‘‘yes’’ and this is corrected by For Further Information and Technical meals, 24-hour staffing and on-site health this document. Assistance. You should contact the lead care. Submit information responding to this On page 14700, third column, the first Multifamily Hub where you will be mailing factor in accordance with Application paragraph under Rating Factor 5 the ALCP Application. (Please refer to Hub Submission Requirements in Section telephone numbers in Appendix B). VI(B)(5)(a), (8)(h), and (2)(d) of this NOFA. contains an incorrect cross-reference to You also may contact Aretha Williams, 5. On page 14699, third column, the other sections of the NOFA, and the Housing Project Manager, Office of Housing reference is corrected by this document. Assistance and Grant Administration, Room last paragraph in that column which On page 14700, third column, in the 6138, at (202) 708–2866 x2480, for questions continues on page 14700 is corrected to paragraph designated ‘‘(1)’’ under Rating regarding the physical conversion of the ALF. read as follows: Factor 5, the parenthetical phrase Ms. Williams can be reached, also by e:mail, The factor also addresses your inability to (including minority residents) is added at ‘‘[email protected]’’. For fund the repairs or conversion activities from to relate application submission questions about management of the ALF and existing financial resources. In making this requirements to the appropriate Rating coordination with agencies of the Department determination, HUD will consider project of Health and Human Services and other Factor. financial information. The Department will third parties, you may contact Carissa Janis, also review more favorably those On page 14700, third column, in the Housing Project Manager, Office of Housing applications which establish a connection paragraph designated ‘‘(3)’’ under Rating Assistance and Grant Administration, Room between the proposed ALF and the Factor 5, the phrase ‘‘the community at 6168 at (202) 708–3730 x2487. Ms. Janis may community’s Analysis of Impediments to large and with the minority and elderly be reached also by e:mail at Fair Housing Choice (AI) or other planning communities in particular’’ is added to ‘‘[email protected]’’. Both Ms. document that analyzes fair housing issues relate application submission Williams and Ms. Janis are located at the and is prepared by a local planning or similar requirements to the appropriate Rating Department of Housing and Urban organization. Submit information responding Factor. Development, 451 Seventh Street, SW, to this factor in accordance with Application Washington, DC 20410. (The telephone On page 14702, first column, the Submission Requirements in Section numbers listed in this paragraph are not toll VI(B)(4)(a) through (d), (2)(c) and (9)(a) paragraph designated ‘‘paragraph (8)’’ free.) through (c) of the NOFA. In evaluating this contains an incorrect cross-reference to factor, HUD will consider: * * * another section of the NOFA and the 3. On page 14696, second column, reference is corrected. ‘‘paragraph (14)’’ is corrected to read as 6. On page 14700, first column, the On page 14702, second column, a new follows: first full paragraph under Rating Factor sentence is added at the end of (14) The ALCP requires service 3 is corrected to read as follows: paragraph (b) to require the applicant to coordination responsible for linking the ALF This factor addresses the quality and also indicate how the applicant intends to services in the community which are effectiveness of your proposal in addressing to pay for the service coordinator role. available to low income persons. All section the proposed conversion, effectiveness of 202 projects funded under this NOFA must On page 14704, third column, service coordination and management have sufficient service coordination in place, planning and the meals and supportive paragraph (b) of Appendix A is or request additional funds if appropriate, to services which the ALF intends to provide. corrected to add ‘‘Birmingham’’ to the ensure that services meeting licensing There must be a relationship between the list of HUD Field Offices which will requirements are available to ALF residents proposed activities, the project’s and the submit applications to HUD’s on an ongoing basis. Service coordination community’s needs and purposes of the Greensboro Hub. must be described in the application (see program funding for your application to Accordingly, in the FY 2000 NOFA Section VI(B)(8)(b) through (c) of this NOFA). receive points for this factor. Submit for Assisted Living Conversion Program If you need to enhance an existing service information responding to this factor in (ALCP) for Section 202 Projects, notice coordination program or add one where it accordance with Application Submission does not exist, you must apply for funding document 00–6572, beginning at 65 FR Requirements in Section VI(B)(5)(b) through through the Service Coordinator NOFA, (e), and (h) and (7) and (B)(8))(a) through (e) 14694, in the issue of Friday, March 17, published elsewhere in this edition of the and (g) and (h) of this NOFA. 2000, the following corrections are Federal Register, and attach a copy of the made: Form HUD 424M so indicating the request to 7. On page 14700, second column, the 1. On page 14694, second column, the the ALCP application. Alternatively, you may second full paragraph under Rating paragraph titled ‘‘For Application Kits’’ show evidence that funding for the enhanced Factor 4 is corrected to read as follows: is corrected to read as follows: service coordination is provided by other Submit information responding to this sources and indicate such funding on the factor in accordance with Application For Application Kits. You may obtain an HUD Form 424M which is exhibit 10(c) of Submission Requirements in Section ALCP application kit and supplemental your ALF application. If you are funded VI(B)(5)(f),(g), and (B)(8)(f) of this NOFA. information by calling either the Multifamily under this NOFA and requested new or Housing Clearinghouse at (voice) 1–800- enhanced service coordination in this 8. On page 14700, third column at the MULTI–70 (1–800–685–8470). Persons with application, you will be funded first under top, the paragraph designated hearing or speech impairments may call the the service coordinator NOFA. ‘‘paragraph (3)’’ under Rating Factor 4 is Clearinghouse’s TTY number—1–800–483– Note: If you are a Section 202/PRAC corrected to read as follows: 2209. There is a separate application kit for project, you are NOT eligible to request service coordination information (which is (3) (2 points) The extent of local funding under the service coordinator NOFA necessary for those needing to enhance or organizational support which is firmly because you can pay for the service add service coordination per Section committed to providing funds for additional coordinator out of PRAC funds. III(A)(14) of this NOFA). Please make sure to repair or retrofit necessary for the project provide your name, address (including zip 4. On page 14699, third column, the NOT specifically directed to activities code), and telephone number (including area eligible under this NOFA (consider yes = 2 first full paragraph under ‘‘Rating Factor point, no = 0 points). code). The application kit is also available on 1’’ is corrected to read as follows: the Internet through the HUD web site at 9. On page 14700, third column, the http://www.hud.gov. This factor addresses your capacity to carry first paragraph under Rating Factor 5 is out the conversion in a timely, cost- 2. On page 14694, second column, the conscious and effective manner. It also corrected to read as follows: paragraphs titled ‘‘For Further reviews your experience with the supportive This factor addresses the extent to which Information and Technical Assistance’’ services which the ALF intends to provide to you have evidenced general support for are corrected to read as follows: elderly residents, especially in such areas as conversion by participating in your

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36840 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices community’s Consolidated Planning Process, Dated: June 2, 2000. applicable law. All valid applications involving the residents in the planning and William C. Apgar, received at or prior to 9 a.m. on (date are working toward addressing the need in a Assistant Secretary for Housing-Federal of publication), shall be considered as holistic and comprehensive manner through Housing Commissioner. simultaneously filed at that time. Those linkages with other activities in the community. Submit information responding [FR Doc. 00–14520 Filed 6–9–00; 8:45 am] received thereafter shall be considered to this factor in accordance with Application BILLING CODE 4210±27±P in the order of filing. Appropriation of Submission Requirements in Section any of the land described in this order VI(B)(2)(a) through (d) of this NOFA. under the general mining laws prior to DEPARTMENT OF THE INTERIOR the date and time of restoration is 10. On page 14700, third column, the unauthorized. Any such attempted paragraph designated ‘‘(1)’’ under Rating Bureau of Land Management adverse possession under 30 U.S.C. 38 Factor 5, is corrected to read as follows: (1988), shall vest no rights against the [AZ±050±000±1430±EQ; AZA 25117] (1) (3 points) The involvement of project United States. Acts required to establish residents (including minority residents) or Arizona: Expiration of Segregative a location and to initiate a right of their representatives, in the development of Effect, and Opening Order for possession are governed by State law the ALCP application, and your intent to where not in conflict with Federal law. involve residents, in the development and Proposed Airport Lease AZA 25117, Arizona The Bureau of Land Management will operation of the project and in relocation not intervene in disputes between rival planning (Minus one (-1) point if not AGENCY: Bureau of Land Management, addressed); locators over possessory rights since Interior. Congress has provided for such 11. On page 14700, third column, the ACTION: Notice of Realty Action. determinations in local courts. paragraph designated ‘‘(3)’’ under Rating Dated: June 6, 2000. Factor 5 is corrected to read as follows: SUMMARY: This action recognizes the expiration of the segregative effect as of Mervin Boyd, (3) (1 point) The extent to which you August 20, 1998, on the following Assistant Field Manager, Yuma. developed linkages with the community at [FR Doc. 00–14715 Filed 6–9–00; 8:45 am] large and the elderly and minority described public lands in La Paz communities in particular and with other County, Arizona. The land is hereby BILLING CODE 4310±32±M activities, programs or projects related to the opened to the operation of the public proposed project to coordinate your activities land laws, including location and entry so solutions are holistic and comprehensive. under mining laws, subject to valid DEPARTMENT OF THE INTERIOR existing rights. 12. On page 14702, first column, the Bureau of Land Management paragraph designated ‘‘paragraph 8’’ is Gila and Salt River Meridian, Arizona corrected to read as follows: T. 4 N., R. 18 W., [WY±020±1210±00] Sec. 19, those lands south of Interstate 10 (8) A supportive services plan (SSP), a within lot 4, SE1⁄4SW1⁄4, SE1⁄2SE1⁄4; copy of which must be submitted to the Notice of Availability of the Decision Sec. 30, lots 1 to 4, inclusive, E1⁄2, E1⁄2W1⁄2; appropriate state and/or local agency as Record and Plan Amendment Sec. 31, lots 1 to 4, inclusive, E1⁄2, E1⁄2W1⁄2. instructed in Section IV(B) of this NOFA. For Addressing Management for Bureau of those applicants needing to contact state The area described contains approximately Reclamation Withdrawn Lands Medicaid offices, a list of them may be 1, 380 acres, more or less. Restored to Bureau of Land accessed on the Internet at ‘‘www.hcfa.gov/ EFFECTIVE DATE: June 12, 2000. Management Jurisdiction in the Cody medicaid/scon1.htm’’. The fifth character Field Office Planning Area, and Notice FOR FURTHER INFORMATION CONTACT: from the end is the numeral ‘‘1’’, not the of Off-road Vehicle (ORV) Designations letter ‘‘l’’ that includes: * * * Lucas Lucero, Realty Specialist, Yuma Field Office, 2555 E. Gila Ridge Road, AGENCY: Bureau of Land Management, 13. On page 14702, second column, Yuma, Arizona 85365, or (520) 317– Interior. the paragraph designated ‘‘(b)’’ is 3237. corrected to read as follows: ACTION: Notice of Availability. SUPPLEMENTARY INFORMATION: The (b) A description of how you will provide segregative effect for Airport Lease SUMMARY: The Bureau of Land the supportive services to those who are frail Application AZA 25117, was made on Management (BLM), Cody Field Office, and have disabilities (i.e., on or off-site or announces the availability of a decision combination of on or off-site), including an August 19, 1993; August 24, 1994; explanation of how the service coordination August 29, 1995; and August 21, 1997. record and plan amendment addressing role will facilitate the adequate provision of The segregation was made pursuant to the management of approximately such services to ALF residents, and how the the Act of May 24, 1928 (49 U.S.C. 149,783.31 acres of Federal lands in services will meet the identified needs of the Appendices 211–213) as amended by Park and Big Horn counties of residents. Also indicate how you intend to the Act of August 16, 1941 (55 Stat. Wyoming. The lands were formerly fund the service coordinator role. 621). withdrawn for use by the Bureau of The segregative effect is hereby Reclamation and have been restored to 14. On page 14704, third column, terminated for all public lands BLM jurisdiction in the Cody Field paragraph (b) of Appendix A is encumbered by Airport Lease Office Planning Area. The BLM is also corrected to read as follows: Application AZA 25117. providing Notice of ORV Designations (b) Applicants required to submit At 9 a.m. on June 12, 2000, the land affecting these Federal lands. applications to the Greensboro Hub are encumbered by Airport Lease The decision record includes a normally serviced by the Greensboro, Application AZA 25117, will be opened general management plan which Columbia, Atlanta, Caribbean, Knoxville, Louisville, Nashville, Jacksonville, Miami, to location and entry under the United amends the 1990 Cody Resource Jackson, Birmingham, Ft. Worth, States mining laws, subject to valid Management Plan (RMP). The general Albuquerque, Dallas, Houston, Little Rock, existing rights, the provisions of existing management plan is adopted as the New Orleans, San Antonio, and Shreveport withdrawals, other segregations of management prescription for the Field Offices. record, and the requirements of formerly withdrawn Federal lands

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36841 which have been restored to BLM SUPPLEMENTARY INFORMATION in this Dated: June 5, 2000. jurisdiction. (The decision record notice. Alan R. Pierson, describes these as restored lands). The State Director. FOR FURTHER INFORMATION CONTACT: Tom process used in developing the plan [FR Doc. 00–14786 Filed 6–9–00; 8:45 am] Hare, Assistant Field Manager, Bureau amendment involved the publication of BILLING CODE 4310±22±P an Environmental Assessment (EA) of Land Management, Cody Field Office, (WY–020–EA9–126) in September 1999 P.O. Box 518, Cody, Wyoming 82414– to document the review of existing 0518, or call (307) 587–2216. DEPARTMENT OF THE INTERIOR planning decisions in the 1990 Cody SUPPLEMENTARY INFORMATION: EA WY– RMP. The purpose of that review was to Minerals Management Service 020–EA9–126 was available for a formal determine (1) Which of the decisions 30-day review and protest period during would apply to the restored lands; (2) Completion of an Environmental whether any decisions would need to be September and October 1999. For 60 Assessment on Exploration, deferred because further analysis was days ending on November 8, 1999, the Development, and Production needed before RMP decisions could be public also had an opportunity to Operations and Activities in the applied or made for any of the restored comment on potential Areas of Critical Deepwater Gulf of Mexico Outer lands; and (3) whether it would be Environmental Concern (ACEC). The Continental Shelf State of Wyoming participated in a 60- necessary to pursue new withdrawals to AGENCY: Minerals Management Service, day Governor’s consistency review protect specific resources on any of the Interior. restored lands. By virtue of the former during the same period. Six comment ACTION: Completion of an environmental Bureau of Reclamation withdrawals, the letters addressing 33 concerns were assessment. lands have remained closed to surface received and were carefully considered entry and (or) mining, prohibiting in developing the decision record. There SUMMARY: The Minerals Management activities such as desert land entry, the were no protests received, nor any Service (MMS) has completed an transfer of public lands through sale or comments, on potential ACEC. environmental assessment (EA) on exchange, and the staking and Comments received on the EA resulted exploration, development, and development of mining claims for in a number of changes, additions, and production activities in the deepwater locatable minerals. In addition, a clarifications reflected in the decision areas (generally beyond 1,000 feet water moratorium on leasing Federal minerals record and plan amendment. depth) of the Gulf of Mexico (GOM) on the restored lands was enacted by the The plan amendment includes the Outer Continental Shelf (OCS). The Wyoming BLM State Director, pending following ORV Designations: Vehicle MMS is mandated to manage the completion of the planning review and development of OCS oil and natural gas the establishment of multiple-use use on the restored lands is limited to designated roads and trails in the resources, while also ensuring safe management decisions for the restored operations and protection of the human following areas: (1) Essential and lands. and natural environment. To meet these recovery habitat for threatened or The planning review determined that objectives, MMS has used the National there was sufficient National endangered species, (2) areas with Environmental Policy Act (NEPA) Environmental Policy Act analysis, as fragile soils or with Class I or II visual process as a planning tool to assist in documented in the 1990 Environmental resource management ratings, and (3) managing these activities and assure Impact Statement for the Cody RMP and areas containing significant cultural or appropriate environmental reviews. The the September 1999 EA, to adopt paleontological resources. In the findings of the EA are summarized existing Cody RMP decisions for the remainder of the planning area, ORV below. restored lands. The review further use on BLM-administered public land is Based on the information and established that, generally, the lands limited to existing roads and trails. analyses in the EA, MMS has will be opened to surface entry and (or) ‘‘Existing’’ roads and trails are roads and determined that a programmatic mining through the publication of trails in existence as of the date the Environmental Impact Statement (EIS) ‘‘opening orders’’ in the Federal decision record was signed (March 3, on regional deepwater activities on the Register, but that new closures will be 2000) and any BLM-authorized roads Gulf of Mexico OCS is not required. pursued on about 651.83 acres to and trails constructed after that date. Most deepwater operations and provide for expansion of the Park Until activity planning specifically activities are substantially the same as County Landfill and to protect public addresses the use of over-the-snow those associated with conventional safety, scenic resources, and vehicles, they will be subject to the operations and activities on the recreational opportunities. With the same requirements and limitations as all continental shelf. These deepwater publication of the decision record and other vehicles. components and activities include RMP amendment, the moratorium on anchoring, mooring, stationkeeping, leasing Federal minerals on the restored Parties who are interested in, and who most drilling and well completion lands has been lifted. wish to be involved in, future activity activities (the exceptions are discussed The decision record also puts planning and implementation of below), well test and cleanup applicable restored lands in the Rivers management actions that may involve, operations, flaring/burning, facility and Historic Trails Special Recreation or affect, the resource values addressed installation and production operations, Management Areas (SRMAs). Public in the Cody RMP (including the RMP host facilities, pipeline installation and lands within these SRMAs will be amendment for the restored lands) are operations, alternative transportation managed intensively for recreational requested to identify themselves. Please options, operational emissions, routine use. The remaining restored lands are contact the Cody Field Office and produced-water discharges, support included within the Cody Planning Area request to be placed on a future contact service activities, decommissioning, and extensive recreation management area. list for activity planning and site clearance. Existing NEPA ORV Designations have been adopted, implementation activities concerning documents, established project-specific as well, and are described under the Cody RMP. and programmatic NEPA review

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36842 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices processes, and established mitigation Louisiana 70123–2394 by asking for the Mokelumne River. The final EIR/EIS measures are fully sufficient to address publication MMS 2000–001. Copies of describes and presents the these deepwater components and the Technical Report (OCS Report MMS environmental effects of the four associated activities. 2000–015) prepared in support of the elements of the program. The first two Specific deepwater operations and EA will also be available in mid-July elements are addressed at a project level activities that are substantially different 2000. Both the EA and the Technical in this final EIR/EIS, including five fish from those associated with conventional Report will eventually be available on passage alternatives and five optional operations and activities on the CD and will be placed on the MMS fish passage actions. The remaining two continental shelf have been addressed website http://www.mms.gov. elements are addressed at a by requiring specific mitigation FOR FURTHER INFORMATION: Questions programmatic level. The preferred measures, initiating a more in-depth EA, regarding the EA should be directed to alternative is to construct a new dam and initiating an EIS. Ms. Deborah Cranswick, Leasing and and new fish-passage facilities, and Seafloor discharges from pre-riser and Environment, at (504) 736–2744. includes optional actions to improve riserless drilling operation, and the Questions regarding deepwater predator control below the dam, move discharge of synthetic-based drilling operations should be directed to Mr. Jim the WID diversion point to just fluids (SBF) and cuttings wetted with Regg, Field Operations, at (504) 736– upstream of the dam, and construct a SBF may pose potentially significant 2843. The mailing address is Minerals downstream splash pool. localized impacts to chemosynthetic Management Service, Gulf of Mexico DATES: Reclamation will not make a communities. An appropriate mitigation OCS Region, 1201 Elmwood Park decision on the proposed action until measure has been developed to avoid or Boulevard, New Orleans, Louisiana after Endangered Species Act (ESA) reduce the potential for significant 70123–2394. impacts from these factors. Deepwater compliance has been completed. After wells must be at least 1,000 ft away from Dated: June 6, 2000. ESA compliance has been completed, Reclamation will complete a Record of any potential high-density J. Hammond Eve, Decision (ROD). The ROD will state the chemosynthetic communities. Notice to Acting Regional Director, Gulf of Mexico OCS Lessees (NTL) 98–11 is being modified Region. action that will be implemented and will discuss all factors leading to the to include this 1,000 ft buffer zone [FR Doc. 00–14738 Filed 6–9–00; 8:45 am] decision. around all deepwater well sites. As the BILLING CODE 4310±MR±U NTL goes through the formal review and ADDRESSES: Copies of the final EIR/EIS implementation process, this mitigation may be requested from Mr. Anders is currently being applied on a site-by- DEPARTMENT OF THE INTERIOR Christensen, Woodbridge Irrigation site basis. Accidental spills of chemical District, 18777 N. Lower Sacramento products and the subsea release of oil Bureau of Reclamation Road, Woodbridge, California 95258, or are low-probability events. Extensive [FES 00±20] Mr. Buford Holt, Bureau of Reclamation, mitigation measures for spill prevention 16349 Shasta Dam Boulevard, Shasta and response are currently required. Woodbridge Irrigation District and City Lake, California 96019. Deepwater seismic surveying of Lodi's Lower Mokelumne River See SUPPLEMENTARY INFORMATION operations are essentially the same as Restoration Program, San Joaquin section for locations where copies of the seismic surveying operations on the County, CA final EIR/EIS are available for public continental shelf. Historically, the inspection. potential impacts of noise associated AGENCY: Bureau of Reclamation, with seismic surveying have been Interior. FOR FURTHER INFORMATION CONTACT: Mr. Buford Holt, Bureau of Reclamation, at considered insignificant, and the EA ACTION: Notice of availability of the final (530) 275–1554; or Mr. Anders supports this view. As this position has environmental impact report/ Christensen, Woodbridge Irrigation recently become controversial, the environmental impact statement (Final District, at (209) 369–6808. potential impacts of geological and EIR/EIS). geophysical (G&G) activities, including SUPPLEMENTARY INFORMATION: The seismic surveying operations, on the SUMMARY: Pursuant to the National LMRRP was developed to implement GOM OCS are currently being analyzed Environmental Policy Act (NEPA) and important elements from resource in detail in a separate EA. The decision the California Environmental Quality management plans prepared by on the need to prepare an EIS on Act (CEQA), the Bureau of Reclamation CALFED, USFWS, and DFG. The goal of seismic surveying operations is pending (Reclamation), Woodbridge Irrigation the LMRRP is to substantially increase completion of the G&G EA. District (WID), and the City of Lodi have fall-run chinook salmon and steelhead The use of floating production, prepared a joint final EIR/EIS for the populations, enhance critical and storage, and offloading (FPSO) systems Lower Mokelumne River Restoration limiting aquatic habitats, and restore represents new and unusual technology Program (LMRRP). The LMRRP riparian ecosystem integrity and for the GOM OCS and may pose encompasses an area located in northern diversity. In addition to a No-Project potentially significant impacts to the San Joaquin County along the lower Alternative, which involves the marine and coastal environments. The Mokelumne River between Camanche continued operation of the existing need for an EIS was recognized early Dam and the Mokelumne and Cosumnes Woodbridge Dam and fish passage during the preparation of this EA. A Rivers. The Proposed Project comprises facilities, four action alternatives are Notice of Intent to Prepare an EIS was four elements: Improving fish passage at examined, including: (1) Construct new published in the Federal Register on Woodbridge Dam, upgrading the fish fish passage facilities on the existing June 10, 1999. screen at the WID diversion, placing Woodbridge Dam; (2) construct a new Copies of the EA are available from screens on unscreened or underscreened Woodbridge Dam with operable weir the Public Information Office (MS riparian diversions on the Mokelumne gates and new fish passage facilities; (3) 5034), Minerals Management Service, River between Camanche Dam and the construct a new Woodbridge Dam with Gulf of Mexico OCS Region, 1201 Cosumnes Rivers on a voluntary basis, operable weir gates and new fish Elmwood Park Boulevard, New Orleans, and restoring riparian vegetation along passage facilities, and diversion pumps;

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36843 and (4) replace the existing Woodbridge INTERNATIONAL TRADE from the U.S. Patent and Trademark Dam and pump water from the river. COMMISSION Office which changed the inventorship of the ’903 patent. In view of the fact The final EIR/EIS considers the [Inv. No. 337±TA±395] environmental effects of the five that the inventors had been corrected on alternatives in all topical areas required Notice of Decision To Extend the the ’903 patent, Atmel petitioned the under NEPA and CEQA. Of particular Deadline for Determining Whether To Commission on September 8, 1998, to importance for this project are the Review an Initial Determination on reconsider its finding of no violation following topics: Fisheries, water Inventorship based on the unenforceablility of the quality, vegetation and wetland ’903 patent. The Commission referred resources, wildlife, recreation, and In the Matter of Certain Eprom, Eeprom, the petition to the presiding ALJ on Flash Microcontroller Semiconductor visual resources. January 25, 1999, for issuance of an ID. Devices and Products Containing Same. This action is taken under the Notice of the draft environmental AGENCY: U.S. International Trade authority of section 337 of the Tariff Act impact report/environmental impact Commission. of 1930, 19 U.S.C. 1337, and section statement was published in the Federal ACTION: Notice. 210.42(h) of the Commission Rules of Register on November 3, 1999 (64 FR Practice and Procedure, 19 CFR 0212). A public hearing was held on SUMMARY: Notice is hereby given that 210.42(h). November 16, 1999. The written the U.S. International Trade Copies of the nonconfidential version comment period closed on January 4, Commission has determined to extend of the ID and all other nonconfidential 2000. The final EIR/EIS contains by two weeks, i.e., until July 17, 2000, documents filed in connection with this responses to all comments received and the deadline for determining whether to investigation are or will be available for changes made to the text of the draft review an initial determination (ID) inspection during official business EIR/EIS as a result of those comments. issued on May 17, 2000, by the hours (8:45 a.m. to 5:15 p.m.) in the presiding administrative law judge (ALJ) Office of the Secretary, U.S. Locations for Inspecting/Reviewing the in the above-captioned investigation. International Trade Commission, 500 E Final EIR/EIS FOR FURTHER INFORMATION CONTACT: Jean Street SW, Washington, DC 20436, Jackson, Esq., Office of the General telephone 202–205–2000. Public Copies of the final EIR/EIS are documents are also available for available for public inspection and Counsel, U.S. International Trade Commission, 500 E Street, SW, downloading from the Commission’s review at the following locations: Washington, DC 20436, telephone (202) website at http://www.usitc.gov. • Woodbridge Irrigation District 205–3104. Hearing-impaired persons are By order of the Commission. Office, 18777 N. Lower Sacramento advised that information on this matter Dated: June 6, 2000. Road, Woodbridge, California 95258; can be obtained by contacting the Donna R. Koehnke, telephone: (209) 369–6808 Commission’s TDD terminal on 202– Secretary. • Bureau of Reclamation, Program 205–1810. General information [FR Doc. 00–14762 Filed 6–9–00; 8:45 am] concerning the Commission may also be Analysis Office, Room 7456, 1849 C BILLING CODE 7020±02±P Street NW., Washington, DC 20240; obtained by accessing its Internet server telephone: (202) 208–4662 (http://www.usitc.gov). SUPPLEMENTARY INFORMATION: The • Bureau of Reclamation, Denver INTERNATIONAL TRADE Commission instituted this patent-based COMMISSION Office Library, Building 67, Room 167, investigation on March 18, 1997, based Denver Federal Center, 6th and Kipling, on a complaint filed by Atmel [Investigation No. 731±TA±571 (Review)] Denver CO 80225; telephone: (303) 445– Corporation. 62 FR 13706. The 2072 Professional Electric Cutting Tools complaint alleged that several From Japan • Bureau of Reclamation, Regional respondents violated section 337 by Director, Attention: MP–140, 2800 importing into the United States, selling AGENCY: United States International Cottage Way, Sacramento CA 95825– for importation, and/or selling in the Trade Commission. 1898; telephone: (916) 978–5100 United States after importation certain ACTION: Termination of five-year review. • Natural Resources Library, U.S. electronic products and/or components that infringe one or more of claim 1 of SUMMARY: The subject five-year review Department of the Interior, Main Interior U.S. Letters Patent 4,511,811 (the ’811 was initiated in November 1999 to Building, 1849 C Street NW., patent), claim 1 of U.S. Letters Patent determine whether revocation of the Washington, DC 20240–0001 4,673,829 (the ’829 patent), claim 1 of existing antidumping duty order on • Lodi Public Library, 201 W. Locust U.S. Letters Patent 4,974,565 (the ’565 professional electric cutting tools would Street, Lodi, CA 95240–2099. patent) and claims 1–9 of U.S. Letters be likely to lead to continuation or recurrence of dumping and of material Dated: May 26, 2000. Patent 4,451,903 (the ’903 patent). The ’565 patent was later withdrawn from injury to a domestic industry. On June Lester A. Snow, the case. 2, 2000, the Department of Commerce Regional Director. On July 2, 1998, the Commission published notice that it was revoking [FR Doc. 00–14744 Filed 6–9–00; 8:45 am] found that the ’903 patent was the order ‘‘[b]ecause the domestic BILLING CODE 4310±MN±P unenforceable for failure to name a co- interested parties have withdrawn, in inventor. During the Commission full, their participation in the ongoing investigation, a U.S. District Court sunset review’’ (65 FR 35324). found the ’811 and ’829 patents invalid Accordingly, pursuant to section 751(c) and the Commission, therefore, applied of the Tariff Act of 1930 (19 U.S.C. collateral estoppel to find that the ’811 1675(c)), the subject review is and ’829 patents were invalid. Atmel terminated. obtained a ‘‘Certificate of Correction’’ EFFECTIVE DATE: June 2, 2000.

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FOR FURTHER INFORMATION CONTACT: Vera SUPPLEMENTARY INFORMATION: The INTERNATIONAL TRADE Libeau (202–205–3176), Office of Commission instituted this investigation COMMISSION Investigations, U.S. International Trade on May 1, 2000, based on a complaint Commission, 500 E Street SW, filed by Bacou USA Safety, Inc. and [Investigation Nos. 332±350 and 332±351] Washington, DC 20436. Hearing- Uvex Safety Manufacturing, Inc. impaired individuals are advised that (‘‘complainants’’), both of Smithfield, Monitoring of U.S. Imports of information on this matter can be Rhode Island. The complaint named one Tomatoes; Monitoring of U.S. Imports obtained by contacting the respondent, Crews, Inc. of Memphis, of Peppers Commission’s TDD terminal on 202– Tennessee. 205–1810. Persons with mobility AGENCY: United States International impairments who will need special Complainants alleged that respondent Trade Commission. assistance in gaining access to the had violated section 337 of the Tariff ACTION: Publication of monitoring Commission should contact the Office Act of 1930 by importing into the reports in 2000. of the Secretary at 202–205–2000. United States, selling for importation, General information concerning the and/or selling within the United States EFFECTIVE DATE: June 6, 2000. Commission may also be obtained by after importation certain safety eyewear FOR FURTHER INFORMATION CONTACT: For accessing its internet server (http:// and components thereof by reason of (a) general information, Timothy McCarty www.usitc.gov). infringement of claims 1–5, 8–14, and (202–205–3324) or Lowell Grant (202– Authority: This review is being terminated 16–18 of U.S. Letters Patent 5,457,505 205–3312), Agriculture and Forest under authority of title VII of the Tariff Act (the ’505 patent); (b) the claim of U.S. Products Division, Office of Industries, of 1930; this notice is published pursuant to Letters Patent Des. 322,616; and (c) or for information on legal aspects, section 207.69 of the Commission’s rules (19 misappropriation of trade dress, the William Gearhart (202–205–3091), CFR 207.69). threat or effect of which is to destroy or Office of the General Counsel, U.S. Issued: June 6, 2000. substantially injure an industry in the International Trade Commission. By order of the Commission. United States. Hearing impaired persons can obtain Donna R. Koehnke, On May 17, 2000, complainants filed information on these studies by Secretary. an unopposed motion to amend the contacting the Commission’s TDD [FR Doc. 00–14761 Filed 6–9–00; 8:45 am] complaint and notice of investigation to terminal on (202) 205–1810. General BILLING CODE 7020±02±U delete ‘‘claim 18’’ of the ’505 patent. In information concerning the Commission their motion, complainants stated that may also be obtained by accessing its the ’505 patent has only 17 claims and internet server (http://www.usitc.gov). INTERNATIONAL TRADE that references to ‘‘claim 18’’ were due Background COMMISSION to a typographical error. Section 316 of the North American [Inv. No. 337±TA±433] On May 18, 2000, the presiding ALJ Free-Trade Agreement Implementation issued an ID (Order No. 4) granting Certain Safety Eyewear and Act (NAFTA Implementation Act), 19 complainants’ motion. The ALJ found Components Thereof; Notice of U.S.C. 3381, directs the Commission to that there was good cause for the Commission Decision Not To Review monitor imports of fresh or chilled amendment, and that there was no an Initial Determination Amending the tomatoes (HTS heading 0702.00) and prejudice to the parties or to the public Complaint and Notice of Investigation fresh or chilled peppers, other than chili interest. Accordingly, the complaint and peppers (HTS subheading 0709.60.00), AGENCY: U.S. International Trade the notice of investigation were until January 1, 2009. As a result of such Commission. amended to delete all references to monitoring, the domestic industry ACTION: Notice. ‘‘claim 18’’ of the ’505 patent. producing a like or directly competitive The authority for the Commission’s perishable agricultural product may SUMMARY: Notice is hereby given that request, in a global safeguard petition the U.S. International Trade determination is contained in section 337 of the Tariff Act of 1930, as filed under section 202 of the Trade Act Commission has decided not to review of 1974 or a bilateral safeguard petition amended (19 U.S.C. 1337), and in the presiding administrative law judge’s filed under section 302 of the NAFTA section 210.42 of the Commission’s (‘‘ALJ’s’’) initial determination (‘‘ID’’) Implementation Act, that provisional Rules of Practice and Procedure (19 CFR granting an unopposed motion to amend relief be provided pending completion the complaint and notice of 210.42). Copies of the ALJ’s ID and all of a full section 202 or 302 investigation to delete references to other nonconfidential documents filed investigation. If provisional relief is ‘‘claim 18’’ of U.S. Letters Patent in connection with this investigation are requested, the Commission has 21 days 5,457,505. or will be available for inspection in which to make its decision and to FOR FURTHER INFORMATION CONTACT: during official business hours (8:45 a.m. transmit any provisional relief Gracemary Rizzo, Office of the General to 5:15 p.m.) in the Office of the recommendation to the President. In Counsel, U.S. International Trade Secretary, U.S. International Trade response to the monitoring directive, the Commission, 500 E Street, S.W., Commission, 500 E Street, S.W., Commission instituted investigation No. Washington, D.C. 20436, telephone Washington, D.C. 20436, telephone 202– 332–350, Monitoring of U.S. Imports of (202) 205–3117. Hearing-impaired 205–2000. Tomatoes (59 FR 1763) and persons are advised that information on Issued: June 5, 2000. investigation No. 332–351, Monitoring this matter can be obtained by By order of the Commission. of U.S. Imports of Peppers (59 FR 1762). contacting the Commission’s TDD Although section 316 of the NAFTA terminal on 202–205–1810. General Donna R. Koehnke, Implementation Act does not require information concerning the Commission Secretary. that the Commission publish reports on may also be obtained by accessing its [FR Doc. 00–14759 Filed 6–9–00; 8:45 am] the results of its monitoring activities, Internet server (http://www.usitc.gov). BILLING CODE 7020±02±U the initial notices of investigation for

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36845 these studies indicated that the the National Science and Technology ADDRESSES: Review comments should Commission planned to publish reports Council (NSTC), the National Science be formatted based on the guidelines on the monitoring annually. Foundation (NSF) announces the provided by GCRIO upon notification of Subsequently, the Commission has availability of the draft version of the how to access the report. Review published statistical reports in those National Assessment Synthesis Report comments should be submitted via years in which it was not conducting an for a 60-day public comment period email over the Internet as a Microsoft investigation under other statutory (June 12 through August 11, 2000). The Word or WordPerfect attachment using authority with respect to such products. National Assessment’s goal is to analyze a separate file for the Overview report and evaluate what is known about the and for each chapter of the Foundation Written Submissions potential consequences of climate report that is reviewed. Review The Commission does not plan to variability and change for the Nation, in comments should be emailed to hold a public hearing in connection the context of other pressures on the [email protected]. If email with preparation of the 2000 statistical public, the environment, and the submission is not possible, review reports. However, interested persons are Nation’s resources. The National comments may be submitted via mail to: invited to submit written statements Assessment Synthesis Team (NAST) National Assessment Comments, Office concerning the matters to be addressed was formed in 1998 under the Federal of the U.S. Global Change Research in the reports. Commercial or financial Advisory Committee Act and was Program, 400 Virginia Avenue, SW, information which a submitter desires charged with, among other Suite 750, Washington, DC 20024. When the Commission to treat as confidential responsibilities, integrating key findings submitting comments by mail, please must be provided on separate sheets of from the regional and sectoral analyses, provide comments both as hardcopy paper, each clearly marked augmented as appropriate with and on a 3.5″ DS/HD disk (either Mac ‘‘Confidential Business Information’’ at additional analyses and material from or IBM format) as a text file. the top. All submissions requesting the scientific literature. The NAST FOR FURTHER INFORMATION CONTACT: confidential treatment must conform prepared the report to address questions National Assessment Review with the requirements of section 201.6 of importance to stakeholders and the Coordinator, Office of the U.S. Global of the Commission’s Rules of Practice Nation. The draft report is titled Climate Change Research Program, Suite 750, and Procedure (19 CFR 201.6). All Change Impacts on the United States: 400 Virginia Avenue, SW, Washington, written submissions, except for The Potential Consequences of Climate DC 20024; or telephone 202–488–8630, confidential business information, will Variability and Change. The report fax at 202–488–8681, or send an email be made available in the Office of the consists of an Overview and a to [email protected]. Secretary of the Commission for Foundation document that contains 19 SUPPLEMENTARY INFORMATION: inspection by interested persons. To be chapters detailing and documenting the assured of consideration by the findings presented in the Overview. A I. Background Commission, written statements relating list of chapters making up the draft The 1990 Global Change Research Act to the Commission’s report should be NAST report is included with this (PL 101–606) that established the US submitted to the Commission in notice. The comments received will be Global Change Research Program accordance with section 201.8 of the considered by the NAST in the (USGCRP) required the program to Commission’s rules at the earliest preparation of the final version of its conduct periodic assessments that practical date and should be received no report. Although the report has already would: Integrate and interpret the later than the close of business on June undergone extensive peer-review, this is findings of USGCRP; analyze trends in 28, 2000. All submissions should be still a draft version of the report and it global change over the next 25 to 100 addressed to the Secretary, United should not be definitively quoted or years; analyze the effects of global States International Trade Commission, cited as it is still undergoing review and change on the natural environment, 500 E Street SW, Room 112–A, is likely to be changed based on agriculture, energy, land and water Washington, DC 20436. The comments received. Due to its length resources, transportation, human health Commission plans to publish both and the extensive use of color graphics and welfare, human social systems, and monitoring reports in September 2000. in parts of the report, the report is biological diversity; and discuss Issued: June 6, 2000. available for review primarily over the associated scientific uncertainties. By order of the Commission. Worldwide Web. Information about how Responsibility for undertaking the Donna R. Koehnke, to access and download copies of the assessment was vested in the NSTC. relevant chapters and the Overview Secretary. In 1998, the President’s Science report is available at the Web site of the [FR Doc. 00–14760 Filed 6–9–00; 8:45 am] Advisor, acting in his capacity as Global Change Research Information executive secretary of the NSTC, BILLING CODE 7020±02±U Office (GCRIO) at http://www.gcrio.org/ requested that the SGCR conduct the National Assessment/. The Web site first national assessment of the also provides information on how to consequences of global climate change NATIONAL SCIENCE FOUNDATION submit comments on the draft. For those and variability. The SGCR established who cannot access the report over the the NAST, which is a 14-member Subcommittee on Global Change Web, one copy is available for public Research; Draft Report Availability FACA-chartered committee established inspection weekdays during normal on behalf of the SGCR by the NSF. The AGENCY: National Science Foundation. business hours at the library of the NAST developed the plan for the National Science Foundation in ACTION: Notice of the availability of draft Assessment and it was approved by the Arlington, VA. Appointments can be report for public comment. SGCR and the NSTC. The National made by calling 703–306–0658. Assessment process was designed to be SUMMARY: On behalf of the DATES: Reviewer comments on the draft broadly inclusive, drawing on inputs Subcommittee on Global Change report of the NAST must be received at from academia, government, the public Research (SGCR) of the Committee on the postal or email address indicated and private sectors, and interested Environment and Natural Resources of below on or before August 11, 2000. citizens through a distributed set of

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36846 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices regional and sectoral activities. Among reviewed references supporting the SUMMARY: The NRC is announcing the other responsibilities, the NAST has proposed changes. Comments on the availability of, and requesting comments been responsible for preparing the overall tone, internal consistency, and on, draft NUREG–1556, Volume 18, National Assessment Synthesis Report scientific validity of the Overview and ‘‘Consolidated Guidance about Materials and providing overall intellectual chapters and comments expressing the Licenses: Program-Specific Guidance guidance on the Assessment. reasons for agreement or disagreement about Service Provider Licenses,’’ dated II. Review Process with specific major points are also May 2000. invited. The NRC is using Business Process Drafts of the National Assessment The materials available for review Redesign techniques to redesign its Synthesis Report have undergone two include the draft versions of the materials licensing process, as described rounds of technical peer review. In the Overview report and Foundation in NUREG–1539, ‘‘Methodology and first round that took place in November chapters. Documents available for Findings of the NRC’s Materials and December of 1999, over 500 experts review include the following: Licensing Process Redesign.’’ A critical were asked to review the Overview Overview Report element of the new process is report plus one to four chapters of the consolidating and updating numerous Foundation report for technical and Foundation Report (listing is of subject guidance documents into a NUREG- scientific accuracy. Review drafts were matter of chapter) series of reports. This draft NUREG also sent to federal agency 1. Climate Change report is the 18th guidance document representatives, all members of the developed to support an improved Synthesis Team, and the chairs of all 2. Vegetation and Biochemistry materials licensing process. regional and sectoral teams. Over 300 Scenarios technical reviews of the Overview and 3. Socioeconomic Change This guidance is intended for use by individuals chapters were received. In 4. Northeast applicants, licensees, and the NRC staff, the second round that took place in 5. Southeast and will also be available to Agreement March and April, about two dozen 6. Midwest States. This document combines and additional experts were asked to review 7. Great Plains updates the guidance found in the the report as a whole. 8. West following draft regulatory guides: The technical review process has been 9. Pacific Northwest ‘‘Guide for the Application for a License overseen by a small panel of eminent 10. Alaska for the Use of Radioactive Materials for persons from the private and public 11. Islands Calibrating Radiation Survey and sectors that has been assembled under 12. Native Peoples and Homelands Monitoring Instruments,’’ ‘‘Guide for the the auspices of the President’s Council 13. Agriculture Application for the Use of Radioactive of Advisors on Science and Technology 14. Water Resources Materials in Leak-Testing Services,’’ and (PCAST). This special panel has assured 15. Human Health ‘‘Guide for the Applications for the Use a representative mix of reviewers and 16. Coastal Areas and Marine Resources of Radioactive Materials in Servicing the responsiveness of the NAST to the 17. Forests Preregistered Gauges, Measuring technical comments received. In 18. Conclusions Devices, and Sealed Sources Used in addition to the outside technical review, 19. Research Needs Such Devices.’’ Additionally, NRC staff included information contained in the the report was provided to the federal III. Public Availability of Comments agency members of the SGCR for corresponding Standard Review Plans comment as part of the overall review Subsequent to the receipt and for these three draft regulatory guides. process. collation of the comments, the This draft report takes a more risk- The SGCR is now responsible for collection of comments received will be informed, performance-based approach coordinating a public comment period available for public inspection to licensing service providers, and on this draft version of the National weekdays during normal business hours reduces the information (amount and Assessment Synthesis Report. This at the library of the National Science level of detail) needed to support an notice announces the availability of this Foundation in Arlington, VA. application for these activities. This report for public comment by experts, Appointments can be made by calling document is strictly for public comment interested organizations and 703–306–0658. and is not for use in preparing or individuals, and the public. Comments Dated: June 6, 2000. reviewing service provider licenses that are provided will be evaluated, Karen J. York, until it is published in final form. It is integrated, and used, as appropriate, in being distributed for comment to Human Resource and Management Specialist. the revision of this draft of the report. encourage public participation in its An information sheet providing specific [FR Doc. 00–14732 Filed 6–9–00; 8:45 am] development. requests for formatting submissions of BILLING CODE 7555±01±M DATES: The comment period ends comments is available on the Web site. August 11, 2000. Comments received All comments must indicate who is after that time will be considered if submitting the comments. The emphasis NUCLEAR REGULATORY practicable. should be on providing detailed COMMISSION recommendations on the Overview and/ ADDRESSES: Submit written comments or on specific chapters of the Consolidated Guidance About to: Chief, Rules and Directives Branch, Foundation report so that changes can Materials Licenses: Program-Specific Division of Administrative Services, be considered that address the Guidance About Service Provider Office of Administration, U.S. Nuclear comment. To be most useful, comments Licenses Regulatory Commission, Washington, should be specific in suggesting AGENCY: U.S. Nuclear Regulatory D.C. 20555–0001. Hand-deliver alternative wording or other changes to Commission (NRC). comments to 11545 Rockville Pike, the text of a particular paragraph or Rockville, Maryland, between 7:15 a.m. ACTION: Notice of Availability and chapter and, where appropriate, offer and 4:30 p.m. on Federal workdays. Request for Comments. supporting information and peer- Comments may also be submitted

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00033 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36847 through the Internet by addressing Rule 17f–2, SEC File No. 270–233, OMB examination certificates filed under rule electronic mail to [email protected]. Control No. 3235–0223 17f–1 of the Act. Rule 17f–1 requires the Those considering public comment Form N–17f–2, SEC File No. 270–317, accountant’s certificate of each may request a free single copy of draft OMB Control No. 3235–0360 examination be attached to Form N– NUREG–1556, Volume 18, by writing to Notice is hereby given that pursuant 17f–1 and transmitted to the the U.S. Nuclear Regulatory to the Paperwork Reduction Act of 1995 Commission promptly after each Commission, ATTN: Mrs. Carrie Brown, (44 U.S.C. 3501 et seq.) the Securities examination. The form facilities the Mail Stop TWFN 9–C–24, Washington, and Exchange Commission filing of the accountant’s certificate, and D.C. 20555–0001. Alternatively, submit (‘‘Commission’’) has submitted to the increases the accessibility of the requests through the Internet by Office of Management and Budget certificate to both Commission’s staff addressing electronic mail to requests for extension of the previously and interested investors. [email protected]. A copy of draft NUREG– approved collections of information Commission staff estimates that 1556, Volume 18, is also available for discussed below. approximately five funds maintain their inspection and/or copying for a fee in Rule 17f–1 under the Investment assets with a national securities the NRC Public Document Room, 2120 Company Act of 1940 (the ‘‘Act’’) is exchange member. The annual burden L Street, NW. (Lower Level), entitled: ‘‘Custody of Securities with of the rule’s requirements is estimated Washington, D.C. 20555–0001. Members of National Securities to be approximately 27 minutes for each The Presidential Memorandum dated Exchanges.’’ Rule 17f–1 provides that of these funds.3 The total annual burden June 1, 1998, entitled, ‘‘Plain Language any registered management investment for all funds is therefore estimated to be in Government Writing,’’ directed that company (‘‘fund’’) that wishes to place 2.25 burden hours. the Federal government’s writing be in its assets in the custody of a national Compliance with the collection of plain language. The NRC requests securities exchange member may do so information required by Form N–17f–1 comments on this licensing guidance only under a written contract that must is mandatory for funds that place their NUREG specifically with respect to the be ratified initially and approved assets in the custody of a national clarity and effectiveness of the language annually by a majority of the fund’s securities exchange member. Rule 17f–2 under the Act is entitled: used. Comments should be sent to the board of directors. The written contract ‘‘Custody of Investments by Registered address listed above. also must contain certain specified provisions. In addition, the rule requires Management Investment Company.’’ FOR FURTHER INFORMATION CONTACT: Mrs. an independent public accountant to Rule 17f–2 establishes safeguards for Carrie Brown, TWFN 9–F–24, Division examine the fund’s assets in the custody arrangements in which a registered of Industrial and Medical Nuclear of the exchange member at least three management investment company is Safety, Office of Nuclear Material Safety times during the fund’s fiscal year. The deemed to maintain custody of its own and Safeguards, U.S. Nuclear Regulatory rule requires the written contract and assets, such as when the fund maintains Commission, Washington, D.C. 20555, the certificate of each examination to be its assets in a facility that provides telephone (301) 415–8092; electronic transmitted to the Commission. The safekeeping but not custodial services. mail address: [email protected]. purpose of the rule is to ensure the The rule includes several recordkeeping Electronic Access safekeeping of fund assets. or reporting requirements. The fund’s Commission staff estimates that directors must prepare a resolution Draft NUREG–1556, Vol. 18 is approximately five funds maintain their designating not more than five fund available electronically by visiting the assets with a national securities officers or responsible employees who NRC’s Home Page (http://www.nrc.gov/ exchange member.1 The annual burden may have access to the fund’s assets. nrc/nucmat.html). of the rule’s requirements is estimated The designated access persons (two or For the Nuclear Regulatory Commission. to be approximately 4.5 hours for each more of whom must act jointly when Dated at Rockville, Maryland, this 6th day of these funds.2 Commission staff handling fund assets) must prepare a of June, 2000. estimates the total annual burden for all written notation providing certain Catherine Haney, funds is 22.5 hours. information about each deposit or Acting Chief, Rulemaking and Guidance Compliance with the collection of withdrawal of fund assets, and must Branch, Division of Industrial and Medical information required by rule 17f–1 is transmit the notation to another officer Nuclear Safety, NMSS. mandatory for funds that place their or director designated by the directors. [FR Doc. 00–14758 Filed 6–9–00; 8:45 am] assets in the custody of a national Independent public accounts must BILLING CODE 7590±01±P securities exchange. Responses will not verify the fund’s assets at least three be kept confidential. Form N–17f–1 is times a year, and two of the entitled: ‘‘Certificate of Accounting of examinations must be unscheduled. Securities and Similar Investments of a The requirement that directors SECURITIES AND EXCHANGE Management Investment Company in designate access persons is intended to COMMISSION the Custody of Members of National ensure that directors evaluate the Securities Exchanges.’’ Form N–17f–1 is trustworthiness of insiders who handle Submission for OMB Review; the cover sheet for accountant fund assets. The requirements that Comment Request access persons act jointly in handling 1 The Commission’s records show that five funds fund assets, prepare a written notation Upon Written Request Copies Available filed Form N–17f–1 during calendar year 1999. of each transaction, and transmit the 2 From: Securities and Exchange The Commission staff estimates, based upon the notation to another designated person Commission, Office of Filings and experience of staff familiar with the information Information Services, Washington, DC collection requirements of the rule, that each fund 3 20549. spends approximately 4.5 hours annually in Commission staff estimates that it takes Extension: complying with the rule’s requirements: 4 hours of approximately 9 minutes of clerical time to prepare clerical time (1 hour to prepare the custodial each Form N–17f–1. This estimated is based on Rule 17f–1, SEC File No. 270–236, OMB contract for board review and to transmit the Commission staff members filling out the Form N– Control No. 3235–0222 contract, and 1 hour to transmit of the accountant’s 17f–1. Each fund is required to file Form N–17f–1 Form N–17f–1, SEC File No. 270–316, certificates three times yearly), and 0.5 hours for the three times annually, for an average hour burden OMB Control No. 3235–0359 board of directors to ratify the custodial contract. per dund of 27 minutes.

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36848 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices are intended to reduce the risk of year. Commission staff estimates that SECURITIES AND EXCHANGE misappropriation of fund assets by each fund spends approximately nine COMMISSION access persons, and to ensure that minutes (0.15 hours) preparing each [Release No. 35±27180] adequate records are prepared, reviewed response on Form N–17f–2 6 Therefore, by a responsible third person, and the total annual burden of Form N–17f– Filings Under the Public Utility Holding available for examination by the 2’s annual paperwork requirements is Company Act of 1935, as Amended Commission. The requirement that estimated to be approximately 92 (``Act'') auditors verify fund assets without hours,7 an increase of 72 hours from the notice twice each year is intended to prior estimate of 20 hours. The increase June 5, 2000. provide an additional deterrent to the in the annual hour burden is primarily AGENCY: Notice is hereby given that the misappropiation of fund assets and to attributable to the increase in the following filing(s) has/have been made detect any irregulatirites. number of respondents from 130 funds with the Commission pursuant to Commission staff estimates that to 204 funds.8 provisions of the Act and rules approximately 204 funds rely upon the Complying with the collection of promulgated under the Act. All rule (and that each fund offers an information requirements of the rule is interested persons are referred to the average of two separate series or mandatory for those funds that maintain application(s) and/or declaration(s) for portfolios subject to the rule) 4 custody of their own assets. The complete statements of the proposed Commission staff estimates that each information provided to the transaction(s) summarized below. The fund spends approximately 2 hours Commission by the fund’s independent application(s) and/or declaration(s) and annually in drafting resolutions by public accounts about each verification any amendments(s) is/are available for directors, 24 hours annually in of the fund’s assets will not be kept public inspection through the preparing transaction notations, and 100 confidential. Commission’s Branch of Public hours annually assisting independent The estimate of average burden hours Reference. public accountants perform is made solely for the purposes of the Interested persons wishing to unscheduled verifications of assets.5 Paperwork Reduction Act, and is not comment or request a hearing on the The total annual burden of the rule’s derived from a comprehensive or even application(s) and/or declaration(s) paperwork requirements thus is a representative survey or study of the should submit their views in writing by estimated to be 25,704 hours. This costs of Commission rules. June 27, 2000, to the Secretary, represents an increase of 10,844 hours An agency may not conduct or Securities and Exchange Commission, from a prior estimate of 13,860 hours, sponsor, and a person is not required to Washington, DC 20549–0609, and serve based on an increase in the number of respond to, a collection of information a copy on the relevant applicant(s) and/ funds relying on the rule from 110 to unless it displays a currently valid or declarant(s) at the address(es) 204 funds. control number. specified below. Proof of service (by Form N–17f–2 is entitled ‘‘Certificate Written comments regarding the affidavit or, in the case of an attorney at of Accounting of Securities and Similar above information should be directed to law, by certificate) should be filed with the following persons: (i) Desk Officer Investments in the Custody of the request. Any request for hearing for the Securities and Exchange Management Investment Companies.’’ should identify specifically the issues of Commission, Office of Information and Form N–17f–2 is the cover sheet for the facts or law that are disputed. A person Regulatory Affairs, Office of accountant examination certificates who so requests will be notified of any Management and Budget, Room 10102, filed under rule 17f–2 of the Act by hearing, if ordered, and will receive a New Executive Office Building, registered management investment copy of any notice or order issued in the Washington, DC 20503; and (ii) Michael companies maintaining custody of matter. After June 27, 2000, the E. Bartell, Associate Executive Director, securities or other investments. Form application(s) and/or declaration(s), as Office of Information Technology, N–17f–2 facilitates the filing of the filed or as amended, may be granted Securities and Exchange Commission, and/or permitted to become effective. accountant’s examination certificates. 450 Fifth Street, NW., Washington, DC The use of the form allows the 20549. Comments must be submitted to Allegheny Energy, Inc., et al. (70–9627) certificates to be filed electronically, OMB within 30 days of this notice. Allegheny Energy, Inc., and increases the accessibility of the (‘‘Allegheny’’), a registered holding examination certificates to both the Dated: June 5, 2000. Jonathan G. Katz, company, Allegheny Energy Service Commission’s examination staff and Company (‘‘AESC’’), a service Secretary. interested investors by ensuring that the subsidiary of Allegheny, The Potomac certificates are filed under the proper [FR Doc. 00–14716 Filed 6–9–00; 8:45 am] Edison Company (‘‘Potomac Edison’’), a SEC file number and the correct name BILLING CODE 8010±01±M wholly owned electric public utility of a fund. subsidiary of Allegheny, all located at Commission staff estimates that 6 This estimate is based on the experience of 10435 Downsville Pike, Hagerstown, approximately 204 funds rely on rule members of the Commission staff in completing Maryland 21740–1766, and Allegheny 17f–2, and therefore, file Form N–17f– Form N–17f–2. 7 This estimate is based on the following Energy Supply Company, LLC, a wholly 2 with the Commission. A fund relying × calculation: 204 (respondents) 3 (responses per owned nonutility subsidiary of on rule 17f–2 must file the form with fund per year) × .015 (hours per response) = 91.8 Allegheny located at 10435 Downsville the Commission at least three times a burden hours. 8 The estimate of the hour burden per fund per Pike, Hagerstown, Maryland 21740– response remains 9 minutes for each Form N–17f– 1766, and Allegheny Energy Supply 4 A fund relying upon rules 17f–2 is required to 2 filed with the Commission. The prior annual hour Company, LLC, a wholly owned file Form N–17f–2 with the Commission three times burden estimate was based on a calculation of .05 yearly. The Commission’s records indicate that hours (which equals 3 minutes) instead of .015 nonutility subsidiary of Allegheny approximately 204 funds filed Form N–17f–2 with hours (9 minutes). The annual hour burden for located at R.R. 12, P.O. Box 1000, the Commission during calendar year 1999. Form N–17f–2 has, therefore, increased by only 42.3 Roseytown, Pennsylvania 15601 5 Each of these hour burden estimates is based burden hours if the prior annual hour burden is (‘‘Genco’’ and collectively, upon conversations with attorneys and accountants recalculated: 110 (respondents) x 3 (responses per familiar with the information collection respondent per year) x .015 (hours per response) = ‘‘Applicants’’), have filed an requirements of the rule. 49.5 burden hours. application-declaration under sections

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6(a), 7, 9(a), 10, 12(b), 12(c), 12(d), and other inventory (‘‘Inventory’’) to Genco in PE Genco for an initial cash 13(b) of the Act, and rules 43, 44, 45, 46, through intermediate subsidiaries more contribution of $100,000, with the 54, 90 and 91 under the Act. particularly described below.1 contributions to be in the form of Potomac Edison, subject to obtaining The Related Assets consist of current collateralized government obligations. the requisite regulatory approvals, assets, deferred charges, cash, temporary Potomac Edison would then transfer intends to leave the generating business cash investments, and an undivided its undivided ownership interests in the entirely. To accomplish this, Applicants 28% ownership interest in Allegheny Generating Assets, Related Assets, request authority for Potomac Edison to Generating Company (‘‘ACC’’).2 Inventory and Other Interests to PE transfer most of its electric generating Applicants project that the net book Transferring Agent. PE Transferring business to Genco, which was organized value of the Related Assets will be Agent would issue a promissory note to to compete in deregulated, competitive approximately $57.9 million as of June Potomac Edison in an amount equal to electricity generation markets. 30, 2000. The Other Interests consist of the sum of the net book values of the Specifically, Applicants request an undivided 2% ownership interest in Generating Assets and Inventory authority for Potomac Edison to transfer Ohio Valley Electric Corporation (‘‘Purchase Note’’) in exchange for the to Genco, at net book value, Potomac (‘‘OVEC’’), a public utility, and Potomac transfer of these assets. In order to Edison’s undivided ownership interests Edison’s rights and obligations under assure that PE Transferring agent has in certain jointly held and certain four agreements regarding the operation sufficient assets to cover the principal wholly owned generating facilities and of four of the generating facilities amount of the Purchase Note and its related fixed assets (‘‘Generating included as Generating Assets. accrued interest, Potomac Edison would Assets’’), in certain current assets The Related Liabilities consist of issue a non-interest bearing note to PE related to the Generating Assets accounts payables, accrued taxes, tax Transferring agent in an amount $20 (‘‘Related Assets’’), and other related deferrals, pollution control bonds, and million greater than the Purchase Note interests (‘‘Other Interests’’) each of other deferred credits related to the as a capital contribution. In addition, which is more particularly described Generating Assets. Applicants project Potomac Edison would issue a non- below. In addition, Applicants request that the book value of the Related interest bearing promissory note to PE authority for Potomac Edison to transfer Liabilities will be approximately $215.3 Transferring Agency in an amount and for Genco to assume certain net million as of July 1, 2000. Applicants constituting the difference between the liabilities and debt associated with the state that the Related Liabilities do not net book values of the Related Assets Generation Assets and Related Assets include Potomac Edison’s first mortgage and the Related Liabilities. (‘‘Related Liabilities’’). As discussed bonds. Applicants state that Potomac PE Transferring Agent would in turn below, Applicants also request authority Edison expects to obtain a release from contribute the undivided ownership interests in the Generating Assets, for Potomac Edison to transfer its the lien of the first mortgage by pledging Related Assets, Inventory and Other undivided ownership interests in additional bondable property in an Interests to PE Genco, which would also certain hydroelectric generating stations amount not to exceed the net book value assume the Related Liabilities. PE located in Virginia (‘‘Virginia Hydros’’) of the Generating Assets, which could Transferring Agent would then dividend to a subsidiary it proposes to organize, include remaining utility assets of its membership interests in PE Genco to PE VA Hydro, LLC (‘‘PE VA Hydro’’). Potomac Edison, and request authority The Generating Assets consist of the Potomac Edison, which would in turn to pledge those assets to obtain the undivided ownership interests in the dividend these membership interests to described release. following generating facilities: a 25% Allegheny, after which PE Genco would The Virginia Hydros consist of interest in the Fort Martin Power station merge with Genco. Potomac Edison’s undivided 100% located in Maidsville, West Virginia; a Applicants state that it is undesirable, 33% interest in the Albright Power ownership interests in the Luray, at this time, for Genco to directly Station located in Albright, West Newport, Shenandoah and Warren acquire the Virginia Hydros because the Virginia; a 32.76% interest in the hydroelectric generating stations. acquisition could subject Genco to Harrison Power Station located in According to Applicants, the net book regulation as a ‘‘public utility’’ under Shinnston, West Virginia; a 20% value of the Virginia Hydros will be Virginia law. In order to facilitate interest in the Hatfield’s Ferry Power approximately $3.6 million as of June Potomac Edison’s exit from the Station located in Masontown, 30, 2000. generation business and Genco’s entry Pennsylvania; a 30% interest in the To accomplish the proposed transfers, into Virginia’’s deregulated generation Pleasants Power Station, located in Applicants request authority to form market, Applicants request authority for Saint Mary’s, West Virginia; a 100% two limited liability corporations, PE Potomac Edison to organize and acquire interest in the R. Paul Smith Station and Transferring Agent, LLC (‘‘PE PE VA Hydro and for Potomac Edison R. Paul Smith Ash Basin, both located Transferring Agency’’) and PE Genco, to transfer the Virginia Hydros to PE VA in Williamsport, Maryland; and a 100% LLC (‘‘PE Genco’’). Potomac Edison Hydro. Applicants also request interest in the Millville, Dam #4 and would acquire the ownership interests authority for Potomac Edison to Dam #5 hydro stations located in West in PE Transferring Agent in exchange dividend the membership interests in Virginia. The Generating Assets also for an initial cash contribution of PE VA Hydro to Allegheny, and for consist of step-up transformers and $200,000, and PE Transferring Agent Allegheny to contribute these interests ancillary transmission and distribution would acquire the membership interests in PE VA Hydro to Genco, making PE equipment, production equipment, VA Hydro a wholly owned subsidiary of 1 buffers and rights of way, and other Applicants state that Potomac Edison will Genco. transfer the Inventory at net book value. Applicants equipment that connect the Generating project that the net book value of the Inventory will In addition, Applicants request Assets to the transmission grid. be approximately $32.8 million as of June 30, 2000. authority for Potomac Edison to render Applicants project that the total net 2 AGC, a Virginia corporation that is currently operating services with respect to the book value of the Generating Assets will jointly owned by Potomac Edison, Genco, and Generating Assets on behalf of Genco, Monongahela Power Company, owns a 40% be approximately $448.4 million as of undivided interest in a pumped storage and to render operating services with June 30, 2000. Potomac Edison also hydroelectric generating facility and related respect to the Virginia Hydros on behalf intends to transfer fuel, supplies, and facilities located in Bath County, Virginia. of PE VA Hydro, until Genco and PE VA

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Hydro obtain the necessary permits and that it shall not interpose any objection Commentary .02(d) and Commentary .04 licenses to operate the Generating to the proposed withdrawal. The matter to Amex Rule 950(d).3 The proposed Assets and the Virginia Hydros, was considered and decided by the rule change was published for comment respectively. These services will be Equity Listings Committee of the PCX at in the Federal Register on October 15, rendered at cost, in accordance with a meeting held on May 2, 2000. 1999.4 On November 1, 1999, May 26, rules 90 and 91 under the Act. Further, The Company’s application relates 2000, and May 31, 2000, the Amex filed Applicants request authority for AE solely to the withdrawal of the Security Amendment Nos. 1, 2, and 3, Units 1 and 2, LLC (‘‘AEU’’), a public from listing and registration on the PCX respectively, to the proposal.5 No utility subsidiary of Allegheny, to merge and shall have no effect upon the comments were received regarding the with Genco in exchange for Genco Security’s continued listing and proposed rule change. This order assuming the former company’s registration on the Amex under Section approves the portion of the proposal, as outstanding debt.3 12(b) of the Act.3 amended, adopting Commentary .04 to Any interested persons may, on or For the Commission by the Division of Amex Rule 950(d); this order also Investment Management, pursuant to before June 26, 2000, submit by letter to approves the portion of the proposal delegated authority. the Secretary of the Securities and adopting Commentary .02(d) to Amex Margaret H. McFarland, Exchange Commission, 450 Fifth Street, Rule 950(d) on a pilot basis until August NW., Washington, DC 20549–0609, facts Deputy Secretary. 31, 2000. Finally, this order accelerates bearing upon whether the application approval of Amendment Nos. 1, 2 and [FR Doc. 00–14717 Filed 6–9–00; 8:45 am] has been made in accordance with the 3, and solicits comments from interested BILLING CODE 8010±01±M rules of the PCX and what terms, if any, persons on those amendments. should be imposed by the Commission II. Description of the Proposal SECURITIES AND EXCHANGE for the protection of investors. The COMMISSION Commission, based on the information A. Proposed New Commentary .02(d) submitted to it, will issue an order Commentary .02 to Amex Rule 950(d) Issuer Delisting; Notice of Application granting the application after the date generally sets forth the procedures by To Withdraw From Listing and mentioned above, unless the which a floor broker representing the Registration; (Reunion Industries, Inc., Commission determines to order a order of a public customer of a member Common Stock, $.01 Par Value) File hearing on the matter. firm may cross that order with a contra No. 1±15739 For the Commission, by the Division of side order from the firm’s proprietary Market Regulation, pursuant to delegated account. In these circumstances, the June 5, 2000. 4 authority. firm is said to be ‘‘facilitating’’ the Reunion Industries, Inc. (‘‘Company’’) Jonathan G. Katz, customer order, and the transaction is has filed an application with the Secretary. called a ‘‘facilitation cross.’’ Securities and Exchange Commission [FR Doc. 00–14719 Filed 6–9–00; 8:45 am] Under the current version of the rule, (‘‘Commission’’), pursuant to Section BILLING CODE 8010±01±M a floor broker seeking to execute a 12(d) of the Securities Exchange Act of facilitation cross must first bring the 1 1934 (‘‘Act’’) and Rule 12d2–2(d) transaction to the trading floor and 2 thereunder, to withdraw its Common SECURITIES AND EXCHANGE request a market from the trading Stock, $.01 par value (‘‘Security’’), from COMMISSION crowd. After receiving bids and offers listing and registration on the Pacific from the crowd, the floor broker must Exchange, Inc. (‘‘PCX’’). [Release No. 34±42894; File No. SR±Amex± 99±36] propose a price at which to cross the Following the completion of its order that improves upon the price merger with Chatwins Group, Inc., on Self-Regulatory Organizatons: Orders provided by the crowd. However, before March 16, 2000, the Company, whose Approving a Proposed Rule Change the floor broker can effect the cross, the Security has been listed on the PCX, and Notice of Filing and Order market makers in the crowd are given additionally effected its listing and Granting Accelerated Approval to the opportunity to take all or part of the registration on the American Stock Amendment Nos. 1, 2, and 3 to the transaction at the proposed price. Exchange (‘‘Amex’’). Trading in the Proposed Rule Change by the Under the current rule, if the crowd Security on the Amex began on March American Stock Exchange LLC does not want to participate in the trade, 23, 2000. The Company’s board of Relating to Facilitation, Solicitation, the floor broker may proceed with the directors subsequently determined that and Crossing Transactions cross. If the crowd wants to take part of the Security’s limited trading volume on the order, however, the crowd has the PCX, compared with that on the June 2, 2000. precedence and the floor broker may Amex, did not justify the cost of I. Introduction cross only that amount remaining after maintaining such listing. On March 27, the crowd has taken its portion. If the On September 2, 1999, the American 2000, therefore, the Company’s board crowd wants to take the entire order, the Stock Exchange LLC (‘‘Amex’’ or passed a resolution authorizing the floor broker will not be able to cross any ‘‘Exchange’’) filed with the Securities withdrawal of the Security from listing part of the order. and registration on the PCX. and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) pursuant to Section The PCX, having determined that the 3 The current proposal replaces an earlier Company complied with the rules of the 19(b)(1) of the Securities Exchange Act proposed (file No. SR–Amex–98–19) that the Amex PCX governing the withdrawal of the of 1934 (‘‘Act’’),1 and Rule 19–4 withdrew. See Securities Exchange Act Release No. Security from listing and registration, thereunder,2 a proposed rule change to 41864 No. 41864 (September 10, 1999), 64 FR 50843 has indicated by letter to the Company amend its rules by adopting (September 20, 1999). 4 See Securities Exchange Act Release No. 41985 (October 7, 1999), 64 FR 55998. 3 3 AEU’s principal assets are to 44MW generation 15 U.S.C. 78l(b). 5 The modifications made by these amendments units in Springdale, Pennsylvania. 4 17 CFR 200.30–3(a)(1). are incorporated in the description of the proposal 1 15 U.S.C. 78l(d). 1 15 U.S.C. 78s(b)(1). in Section II below, and are further discussed in 2 17 CFR 240.12d2–2(d). 2 17 CFR 240 19b–4. Section III below.

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The proposed rule change would add request for a market, and the trading order, (2) an order being facilitated, or new paragraph (d) to Commentary .02 to crowd subsequently improves the floor (3) orders being crossed, the execution establish a 90-day pilot program that broker’s price, and the facilitation cross of which are imminent, to enter, based would apply to facilitation cross is executed at that improved price, the on such knowledge, an order to buy or transactions in equity options.6 The floor broker would be entitled to sell an option of the same class as any proposal would entitle the floor broker, priority to facilitate 20% of the option that is the subject of the order, 10 under certain conditions, to cross a contracts. or an order to buy or sell the security specified percentage of the customer The proposed rule change also underlying such class, or an order to order on behalf of the member firm provides that if the facilitation buy or sell any related instrument until before market makers in the crowd can transaction takes place at the specialist’s either (1) all of the terms of the participate in the transaction. This quoted bid or offer, any participation originating order 15 and any changes in provision would generally apply to allocated to the specialist pursuant to the terms or conditions of the order of orders of 400 contracts or more. Amex trading floor practices 11 would However, the Exchange would be apply only to the number of contracts which the member or associated person permitted to establish a smaller eligible remaining after all public customer has knowledge are disclosed to the order size, so long as that size is not orders have been filled and the member trading crowd, or (2) the trade can no smaller than 50 contracts.7 firm’s crossing rights have been longer reasonably be considered The percentage of the floor broker’s exercised. However, in no case could imminent in view of the passage of time guarantee would depend upon whether the total number of contracts guaranteed since the order was received. For the price at which the order is to the member firm and the specialist purposes of proposed Amex Rule ultimately traded is at the crowd’s best exceed 40% of the facilitation 950(d), Commentary .04, an order to buy bid or offer in response to the broker’s transaction.12 or sell a ‘‘related instrument,’’ means, in initial request for a market, or at an The proposed rule change makes clear reference to an index option, an order to improved price. that if the facilitation transaction takes buy or sell securities comprising 10% or First, the floor broker would be place at a price at which the specialist more of the component securities in the granted a right under the proposal to is not on parity with registered options index or an order to buy or sell a futures execute a facilitation cross even at a traders in the crowd, the specialist contract on an economically equivalent price that does not improve upon the would not be guaranteed any index. best bid or offer provided by the crowd participation. The proposal also makes The Amex stated that it seeks to in response to his initial request for a clear, however, that it is not intended to market. The proposed rule change prohibit either a member firm or codify and expand its policy prohibiting provides that where the trade takes specialist from trading more than their either a member or a person associated place at the market provided by the percentage entitlements if the other with a member from using non-public crowd, all public customer orders on the members of the trading crowd do not information for the member’s or specialist’s book or represented in the choose to trade with the remaining associated person’s benefit by trading in trading crowd at the time the market portion of the facilitated order.13 the underlying stock or any closely was established would need to be related instrument. Specifically, satisfied first. Once these public B. Proposed New Commentary .04 proposed Commentary .04 is designed customer orders are satisfied, the floor Proposed new Commentary .04 to to prevent members and associated broker would be entitled to facilitate Amex 950(d) states that it may be persons from using undisclosed 20% of the contracts remaining in the considered conduct inconsistent with information about imminent solicited, 8 customer order. just and equitable principles of trade for facilitated, or crossed options The proposed rule change further any member or person associated with transactions to trade the relevant option provides that if the floor broker a member, who has knowledge of all or any closely related instrument in proposes the facilitation cross at a price material terms and conditions of (1) an advance of persons represented in the between the best bid and offer provided 14 originating order and a solicited trading crowd. The Amex believes that by the crowd in response to his initial trading on the basis of undisclosed request for a market—and the crowd 10 See Amendment No. 2. information could threaten the integrity then wants to take part or all of the 11 These practices provide specialists with a order at the improved price—the floor greater than equal participation in trades that take of the auction market or disadvantage broker would be entitled to priority over place at a price at which the specialist is on parity other market participants. with registered options traders in the crowd. See the crowd to facilitate 40% of the Amendment No. 3. The Commission notes that the III. Discussion contracts.9 However, if the floor broker Amex has separately filed a proposal to codify its has proposed the cross at a price specialist allocation practices. See File No. SR– After careful review, the Commission between the best bid and offer provided Amex–00–30, available for inspection in the finds that the proposed rule change is Commission’s Public Reference Room. by the crowd in response to his initial 12 See Amendment No. 3, concerning proposed consistent with the provisions of the Act subsection (d)(3). applicable to a national securities 6 See Amendment No. 2. 13 See Amendment No. 2, concerning proposed exchange, particularly those of Section 7 Amendment No. 2 concerning proposed subsection (d)(4). subsection (d)(2). The Exchange would be permitted 14 Amex Rule 950(d), Commentary .03 states, in to adjust the eligible order size on a class by class part, that a member or member organization to the solicited party and bids at the price he is basis. Telephone conversation between Clarie representing an order in options (‘‘originating prepared to buy from the solicited party or offers McGrath, Vice President and Special Counsel, order’’) may solicit another member, member at the price he is prepared to sell to the solicited Derivative Securities, Amex, and Ira Brandriss, organization, or non-member broker-dealer outside party. Attorney, Division of Market Regulation, the the trading crowd (‘‘solicited party’’) to participate 15 Commission, on May 26, 2000. in the transaction on a proprietary basis provided The proposal as originally filed refers to ‘‘all 8 See Amendment No. 1, concerning proposed the member or member organization, upon entering the terms of the order.’’ Amendment No. 2 modifies subsection(d)(1)(i). the trading crowd to execute the transaction, this phrase to refer to ‘‘all the terms of the 9 See Amendment No. 2, which reduces the announces to the trading crowd the same terms and originating order,’’ defining more clearly the proposed percentage guarantee from 50% to 40%. conditions about the originating order as disclosed disclosure requirement. See Section III.C below.

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6(b)(5) 16 and Section 6(b)(8) 17 of the an order would reduce the incentive of relevant option or any closely related Act, and the rules and regulations crowds to compete for orders, and thus instrument in advance of persons thereunder.18 impair the price discovery mechanism represented in the trading crowd. of the Exchange’s market. The Commission believes that it is A. Proposed New Commentary .02(d) It is recent approval of the application reasonable for the Amex to prohibit, as The Commission believes that of the International Securities Exchange inconsistent with just the equitable proposed new Commentary. 02(d) to (‘‘ISE’’) for registration as a national principles of trade, transactions by Amex Rule 950(d) will enable the Amex securities exchange, the Commission members or associated persons based on to better compete with other options discussed the same concern with the knowledge of imminent undisclosed exchanges in attracting the order flow of respect to the ISE’s proposed solicited, facilitated, or crossing broker-dealer firms seeking to facilitate ‘‘facilitation mechanism,’’ a system transactions. The Commission believes customer orders, without adversely designed to effect a type of facilitation that such trading could threaten the impacting the prices those orders guarantee in an electronic context. The integrity of the auction market or receive. Commission wrote: disadvantage other market The Commission finds that the 20 It is difficult to assess the precise level at participants. Accordingly, by Amex’s proposal to grant participation which guarantees may begin to erode restricting trading based on knowledge rights, under certain conditions, to competitive market maker participation and of an imminent undisclosed solicited, member firm seeking to execute potential price competition within a given facilitated, or crossing transaction, the facilitation crosses on the Exchange is market. In the future, after the Commission Commission believes that the proposal reasonable. Currently, Amex market has studied the impact of guarantees, the will help to maintain the integrity of the makers have priority rights for the full Commission may need to reassess the level Amex’s market. As noted above, a of these guarantees. For the immediate term, size of a customer order over the firm member or associated person who has that brings a crossing transaction of the the Commission believes that 40% is not clearly inconsistent with the statutory knowledge of all of the material terms Amex floor, as long as the market standards of competition and free and open of a solicited order, an order being makers are willing to trade at the markets.19 By the same token, the facilitated, or orders being crossed may proposed price. Commission believes that the Amex’s trade after disclosing to the trading While the proposal entitles the proposed rule change, crowd the terms of the originating order member firm to a specified percentage which allocates no more than 40% of an and any changes in the terms and of a facilitation transaction when order to the firm seeking to facilitate an conditions of the order.21 The executed at the trading crowd’s best bid order, is not inconsistent with the Commission believes that this or offer, it does not eliminate the statutory standard. The Commission disclosure requirement should provide crowd’s ability to trade with a portion notes, moreover, that for those crossing the trading crowd with a fair and full of the order proposed to be crossed, or transactions in which a specialist, opportunity to make informed trading even so substantially reduce that ability pursuant to Amex trading floor decisions.22 so as to raise serious concern that the practices, is entitled to an allocation in The Commission notes that proposed proposal would reduce price addition to the proposed allocation for Commentary .04 does not relieve market competition by the crowd. Moreover, the facilitating firm, the Amex has participants of the general Amex the Commission believes that the included a provision to limit the requirement that their acts and practice proposal may contribute to better prices combined allocations awarded to the be consistent with just and equitable for crossing transactions. Specifically, it firm and the specialist an aggregate of principles of trade.23 Thus, the provides an incentive for upstairs firms no more than 40% of the order. Commission notes, as it has concluded to improve on the prices quoted by the previously,24 that disclosing the terms crowd by offering these firms a greater B. Proposed New Commentary .04 of an order and any change in the terms participation in the trade when they As described more fully above, and conditions of the order to the better the crowd’s price. In addition, proposed Commentary .04 restricts trading crowd prior to effecting a trade market makers will always have an trading by a member or associated does not provide a safe harbor from opportunity to improve the market and person who has knowledge of all of the possible violations of front-running compete for a greater portion of the material terms of a solicited order, an prohibitions.25 trade. order being facilitated, or orders being In evaluating the proposed rule crossed. The restriction does not apply 20 See Securities Exchange Act Release No. 34959 change, the Commission considered, however, if either (1) all of the terms of (November 9, 1994), 59 FR 59446 (November 17, among other matters, whether the 1994) (order approving File No. SR–CBOE–94–15). the originating order and any changes in 21 Under proposed Commentary .04, a member or Amex’s proposal to guarantee that a the terms and conditions of the order of associated person with knowledge of the terms and member firm could cross up to 40% of which the member or associated person conditions of a solicited, facilitated, or crossing has knowledge are disclosed to the transaction also may trade based on knowledge of 16 the order if the trade can no longer reasonably be 15 U.S.C. 78f(b)(5). Section 6(b)(5) requires that trading crowd; or (2) the trade can no the rules of a national securities exchange be considered imminent in view of the passage of time designed to, among other things, promote just and longer reasonably be considered since the order was received. equitable principles of trade, remove impediments imminent in view of the passage of time 22 See Securities Exchange Act Release No. 36195 to and perfect the mechanism of a free and open since the order was received. (August 25, 1995), 60 FR 45753 (September 1, 1995) market, and, in general, to protect investors and the According to the Amex, proposed (order approving File No. SR–CBOE–95–07) (‘‘1995 public interest. It also requires that those rules not CBOE Order’’). be designed to permit unfair discrimination Amex Rule 950(d), Commentary .04 is 23 See Amex Constitution, Article V, Section h(4). between customers, issuers, brokers, or dealers. designed to prevent members and 24 See 1995 CBOE Order, supra note 22. 17 15 U.S.C. 78f(b)(8). Section 6(b)(8) requires that associated persons from using 25 See Securities Exchange Act Release No. 25233 the rules of the exchange do not impose any burden undisclosed information about (December 30, 1987), 53 FR 296 (January 6, 1998) on competition not necessary or appropriate in imminent solicited, facilitated, or (noting the filing and immediate effectiveness of furtherance of the purposes of the Act. frontrunning policies filed by the American Stock 18 In approving this proposal, the Commission has crossing transactions to trade the Exchange, New York Stock Exchange, Pacific considered the proposed rule’s impact on Exchange, Philadelphia Stock Exchange, Chicago efficiency, competition, and capital formation. 15 19 See Securities Exchange Act Release No. 42455 Board Options Exchange, and the National U.S.C. 78c(f). (February 24, 2000), 65 FR 11388 (March 2, 2000). Association of Securities Dealers).

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The Commission notes that proposed Amendment No. 2 also includes the arguments concerning Amendment Nos. Commentary .04 is substantially similar provisions described above concerning 1, 2, and 3, including whether they are to current Chicago Board Options specialist allocations, and stipulates that consistent with the Act. Persons making Exchange (‘‘CBOE’’) Rule 6.9(e). The the allocations guaranteed to the written submissions should file six Commission believes that it is member firm and the specialist in the copies thereof with the Secretary, reasonable for the Amex to adopt a rule aggregate may not exceed 40% of the Securities and Exchange Commission, that is substantially similar to CBOE order. It thus strengthens the proposal 450 Fifth Street, N.W., Washington, D.C. Rule 6.9(e) to provide similar by adding a necessary clarification of 20549–0609. Copies of the submission, protections for the Amex’s marketplace. priority rights pursuant to current all subsequent amendments, all written In addition, Commission believes that it trading practices. statements with respect to the proposed is reasonable for the Amex to include Amendment No. 2 also provides the rule change that are filed with the solicited, facilitated, and crossing Exchange the authority to reduce the Commission, and all written transactions in Amex Rule 950(d), size of orders to which the new communications relating to the Commentary .04 because solicited, guarantee applies from 400 to 50 proposed rule change between the facilitated, and crossing transactions contracts. The Commission has already Commission and any person, other than could present opportunities for misuse approved ISE and CBOE rules those that may be withheld from the of non-public information. permitting guarantees to firms public in accordance with the facilitating crosses in order sizes as low C. Accelerated Approval of provisions of 5 U.S.C. § 552, will be as 50 contracts.28 Thus, this Amendments available for inspection and copying in modification of the Amex proposal the Commission’s Public Reference The Commission finds good cause, raises no new regulatory issues. Further, Room. Copies of such filing will also be pursuant to Section 19(b)(2)(B) 26 of the it will benefit options market available for inspection and copying at Act, for approving Amendment Nos. 1, participants by allowing for the principal office of the Amex. All 2, and 3 to the proposal prior to the substantially consistent treatment of submissions should refer to File No. thirtieth day after the date of crossing mechanisms under the rules of SR–Amex–99–36 and should be publication of notice of filing thereof in the ISE, the CBOE, and the Amex, and submitted by July 3, 2000. the Federal Register. will allow the Amex to compete without Amendment No. 1 adds the provision, disadvantage for facilitation orders. V. Conclusion described above, that would provide an Amendment No. 2 also seeks to For the reasons discussed above, the allocation to a member firm seeking to establish proposed Commentary .02(d) Commission finds that the proposal is facilitate a customer order even when it to Rule 950(d) as a 90-day pilot consistent with the Act and the rules only matches, but does not improve program. The Commission finds no and regulations thereunder. upon, the prices given by the crowd in reason to delay approval of this It Is Therefore Ordered, pursuant to response to the floor broker’s initial modification. Section 19(b)(2) of the Act, that the request for a market. The Commission With respect to proposed portion of the proposed rule change has already approved rules of the ISE, Commentary .04, Amendment No. 2 (SR–Amex–99–36), as amended, the CBOE, and the Pacific Exchange clarifies that the restriction on trading adopting Commentary .04 to Amex Rule (‘‘PCX’’) that establish participation for a person who has knowledge of the 950(d) is approved, and the portion of guarantees for firms seeking to facilitate terms of a solicited, facilitation, or the proposed rule change adopting orders even when they only match the crossing order no longer applies as long Commentary .02(d) to Amex Rule 950(d) best prices offered by other market as he disclosed all the terms of the is approved on a pilot basis until August participants.27 Thus, the addition of this originating order.29 This clarification 31, 2000. provision to the Amex proposal raises brings the proposed rule change in no new regulatory issues. Further, it For the Commission, by the Division of conformity with the disclosure Market Regulation, pursuant to delegated should benefit options market requirement of CBOE Rule 6.9(e) and authority.33 participants by allowing for raises no new regulatory issue. Margaret H. McFarland, substantially consistent treatment of Amendment No. 3 includes several Deputy Secretary. crossing mechanisms under the rules of modifications of the proposed new rule the various exchanges, and will allow text that were made for technical [FR Doc. 00–14720 Filed 6–9–00; 8:45 am] the Amex to compete without purposes 30 or to clarify its meaning, and BILLING CODE 8010±01±M disadvantage for facilitation orders. thus strengthen the proposal. Amendment No. 2 reduces the Accordingly, the Commission finds allocation to the member firm seeking to good cause, consistent with Sections SECURITIES AND EXCHANGE facilitate a customer order from 50% to 6(b)(5) 31 and 19(b)(2) 32 of the Act to COMMISSION 40% when the firm improves the price accelerate approval of Amendment Nos. [Release No. 34±42895; File No. SR±AMEX± given by the crowd in response to the 1, 2, and 3 to the proposed rule change. 00±10] floor broker’s request for a market. It thus limits guaranteed participation to a IV. Solicitation of Comments Self-Regulatory Organizations; Notice percentage that the Commission has Interested persons are invited to of Filing of Proposed Rule Change and previously found consistent with the submit written data, views, and Amendment No. 1 by the American Act and raises no new regulatory issues. Stock Exchange LLC Relating to the 28 See relevant citations at supra, note 27. Listing and Trading of Trust Issued 26 15 U.S.C. 78s(b)(2)(B). 29 See supra, note 14. Receipts 27 See Securities Exchange Act Release Nos. 30 One modification refers to current trading floor 42455 (February 24, 2000), 65 FR 11388 (March 2, practices on the Amex regarding specialist June 2, 2000. 2000) (approving ISE’s registration as a national allocations, rather than to the Amex proposal that Pursuant to Section 19(b)(1) of the securities exchange); 42835 (May 26, 2000) would codify these practices, which is still pending (approving File No. SR–CBOE–99–10); and 42848 before the Commission. See supra, note 11. Securities Exchange Act of 1934 (May 26, 2000) (approving File No. SR–PCX–99– 31 15 U.S.C. 78f(b)(5). 18). 32 15 U.S.C. 78s(b)(2). 33 17 CFR 200.30–3(a)(12).

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(‘‘Act’’) 1 and Rule 196–4 thereunder,2 (ii) each component security must criteria and trading rules to permit the notice is hereby given that on February have a minimum public float of at least listing and trading of HOLDRs pursuant 14, 2000, the American Stock Exchange $150 million; to Rule 19b–4(e).6 The Exchange LLC (‘‘Amex’’ or ‘‘Exchange’’) filed with (iii) each component security must be believes listing newly proposed the Securities and Exchange listed on a national securities exchange HOLDRs products pursuant to Rule 19– Commission (‘‘SEC’’ or ‘‘Commission’’) or traded through the facilities of 4(e) is appropriate because the the proposed rule change as described Nasdaq and be a reported national Commission has approved, pursuant to in Items I and II below, which Items market system security; Section 19(b) of the Act, trading rules, have been prepared by the Exchange. (iv) each component security must procedures and listing standards for the Amendment No. 1 was filed on June 2, have an average daily trading volume of HOLDRs product class and the 2000.3 The Commission is publishing at least 100,000 shares during the Exchange has a surveillance program for this notice to solicit comments on the preceding sixty-day trading period; the HOLDRs’ product class.7 In proposed rule change from interested (v) each component security must addition, the Commission has reviewed persons. have an average daily dollar value of a number of proposals to list and trade shares traded during the preceding the Internet and Biotech holders that I. Self-Regulatory Organization’s sixty-day trading period of at least $1 comprised the same product structure. Statement of the Terms of Substance of million; and The Commission noticed these the Proposed Rule Change (vi) the most heavily weighted security proposed rule changes regarding the The Exchange proposes to amend may not initially represent more than Internet and Biotech HOLDRS in the Amex Rule 1202 to provide for the 20% of the overall value of the HOLDR. Federal Register and did not receive trading of Holding Company Depository any comments concerning the Receipts (‘‘HOLDRs’’) pursuant to Rule II. Self-Regulatory Organization’s proposals. 19b–4(e) of the Act.4 The text of the Statement of the Purpose of, and Amex Rule 1200 subjects HOLDRs to proposed rule change follows. Italics Statutory Basis for, the Proposed Rule all of the Exchange’s trading rules by indicate text to be added. Change providing that the provisions of the Exchange’s Constitution and all other TRUST ISSUED RECEIPTS In its filing with the Commission, the rules and policies of the Board of Initial and Continued Listing Exchange included statements concerning the purpose of and basis for Governors apply to the trading of Rule 1202 the proposed rule change and discussed HOLDRs on the Exchange. Further, Trust Issued Receipts will be listed any comments it received on the initial and continued listing standards and traded on the Exchange subject to proposed rule change. The text of these applicable to HOLDRs, as set forth in application of the following criteria: statements may be examined at the Amex Rule 1202, currently provide that (a)–(e) No change. places specified in Item IV below. The HOLDRs will be listed and traded on the Commentary .01 The Exchange may exchange has prepared summaries, set Exchange subject to application of the approve a series of HOLDRs for listing forth in sections A, B, and C below, of following criteria: (a) Initial Listing— and trading on the Exchange pursuant the most significant aspects of such For each Trust, the Exchange will to Rule 19b–4(e) under the Securities statements. establish a minimum number of Trust Exchange Act of 1934 (‘‘Act’’), provided Issued Receipts required to be each of the component securities A. Self-Regulatory Organization’s outstanding at the time of satisfies the following criteria: Statement of the Purpose of, and commencement of trading on the Eligibility Criteria for Component Statutory Basis for, the Proposed Rule Exchange: (b) Continued Listing— Securities Represented by a series of Change Following the initial twelve month HOLDRs: 1. Purpose period following formation of a Trust (i) each component security must be and commencement of trading on the The Exchange proposes to amend registered under Section 12 of the Exchange, the Exchange will consider Amex rule 1202 to provide for the Exchange Act; the suspension of trading in or removal trading of HOLDRs pursuant to Rule from listing of a Trust upon which a 19b–4(e) of the Act. On September 21, 1 series of Trust Issued Receipts is based 15 U.S.C. 78s(b)(1). 1999, the Amex received approval to 2 17 CFR 240.19b–4. under any of the following 3 In Amendment No. 1, which has been adopt new Rules 1200 et seq. to permit circumstances: (i) if the Trust has more incorporated into the proposed rule change, the the trading of Trust Issued Receipts (of than 60 days remaining until Exchange replaced the word ‘‘companies’’ with the which HOLDRs are a type).5 Since that termination and there are fewer than 50 term ‘‘component securities’’ throughout the time, the Exchange has listed Internet, record and/or beneficial holders of Trust proposed rule change and the proposed rule text. The Exchange also clarified that the Exchange, and Biotechnology, Pharmaceutical, Issued Receipts for 30 or more not the Commission, may approve a series of Telecommunications, Business to HOLDRs for listing pursuant to Rule 19b–4(e) Business, Internet Architecture, Internet 6 Rule 19b–4(e), adopted by the Commission on provided each of the component securities satisfies Infrastructure, Broadband, and December 8, 1998, permits the Exchange to list and the proposed listing criteria. See Letter from Scott Semiconductor HOLDRs. The Exchange trade new derivative securities products without a Van Hatten, Attorney, Amex, to Nancy Sanow, rule change provided the Exchange has in place Assistant Director, Division of Market Regulation, anticipates additional proposals to list trading rules, procedures, a surveillance program SEC, dated May 24, 2000. new HOLDRs products. and listing standards that pertain to the class of 4 Rule 19b–4(e) provides that the listing and To accommodate the listing of securities covering the new product. See Securities trading of a new derivative securities product by an additional HOLDRs, the Exchange now Exchange Act Release No. 40761 (December 8, SRO shall not be deemed a proposed rule change, 1998), 63 FR 70952 (December 22, 1998). pursuant to paragraph (c)(1) of Rule 19b–4, if the proposes to revise existing listing 7 See Amendment to Rule Filing Requirements for Commission has approved, pursuant to Section Self-Regulatory Organizations Regarding New 19(b) of the Act, the SRO’s trading rules, procedures 5 HOLDRs are negotiable receipts issued by trusts Derivative Securities Products and Order and listing standards for the product class that that represent investors’ discrete identifiable and Approving the Listing and Trading of Trust Issued include the new derivative securities product and undivided beneficial ownership interest in the Receipts, Securities Exchange Act Release Nos. the self-regulatory organization has a surveillance securities deposited into the trust. See Securities 40761 (December 8, 1998), 63 FR 70952 (December program for the product class. 17 CFR 240.19b– Exchange Act Release No. 41892 (September 21, 22, 1998) and 41892 (September 21, 1999), 64 FR (4)(e). 1999), 64 FR 52559 (September 29, 1999). 52559 (September 29, 1999), respectively.

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36855 consecutive trading days; (ii) if the Trust B. Self-Regulatory Organization’s For the Commission, by the Division of has fewer than 50,000 receipts issued Statement on Burden on Competition Market Regulation, pursuant to delegated and outstanding; (iii) if the market value authority.11 of all receipts issued and outstanding is The Exchange does not believe that Margaret H. McFarland, less than $1,000,000; or, (iv) if such the proposed rule change will impose Deputy Secretary. any burden on competition. other event shall occur or condition [FR Doc. 00–14721 Filed 6–9–00; 8:45 am] exists which in the opinion of the C. Self-Regulatory Organization’s BILLING CODE 8010±01±M Exchange, makes further dealings on the Statement on Comments on the Exchange inadvisable. Proposed Rule Change Received From In addition, the component securities Members, Participants or Others SECURITIES AND EXCHANGE represented by the securities in the COMMISSION portfolio underlying HOLDRs must meet No written comments were solicited the following minimum criteria: (1) or received with respect to the proposed [Release No. 34±42888; File No. SR±Amex± Each component security must be rule change. 00±05] registered under Section 12 of the III. Date of Effectiveness of the Exchange Act; (2) the minimum public Self-Regulatory Organizations; Proposed Rule Change and Timing for float of each component security American Stock Exchange LLC.; Order Commission Action included in the portfolio must be at Approving Proposed Rule Change to least $150 million; (3) each component Within 35 days of the date of Rescind Rules 5 and 6, the Exchange's security must either be listed on a publication of this notice in the Federal Off-Board Trading Rules, and to Make national securities exchange or be Register or within such longer period (i) Conforming Changes to Rules 25, 317, traded through the facilities of Nasdaq 900 and 959 and be a reported national market as the Commission may designate up to 90 days of such date if it finds such system security; (4) the average daily June 1, 2000. trading volume for each component longer period to be appropriate and security must be at least 100,000 shares publishes its reasons for so finding or I. Introduction (ii) as to which the self-regulatory during the preceding sixty-day trading On February 1, 2000, the American period; and (5) the average daily dollar organization consents, the Commission Stock Exchange LLC (‘‘Amex’’ or value of the shares traded during the will: ‘‘Exchange’’) filed with the Securities preceding sixty-day trading period must (A) by order approve the proposed and Exchange Commission (‘‘SEC’’ or be at least $1 million. And lastly, no rule change; or component security may initially ‘‘Commission’’), pursuant to Section (B) institute proceedings to determine represent more than 20% of the overall 19(b)(1) of the Securities Exchange Act whether the proposed rule change 1 value of the receipt.8 of 1934 (‘‘Act’’) and Rule 19b–4 should be disapproved. thereunder,2 a proposed rule change to The Exchange believes codifying the rescind Rules 5 and 6, the Exchange’s IV. Solicitation of Comments abovbe listing criteria for HOLDRs listed off-board trading rules, and to make pursuant to Rule 19b–4(e) will ensure conforming changes to Rules 25, 317, that no security included in the basket Interested persons are invited to 900 and 959. The proposed rule change and HOLDRs will be readily susceptible submit written data, views, and was published for comment in the to manipulation, while permitting arguments concerning the foregoing, Federal Register on March 3, 2000.3 sufficient flexibility in the construction including whether the proposed rule of various HOLDRs baskets to meet change, as amended, is consistent with Proposed rule changes filed by thee investors’ needs. Additionally, the the Act. Persons making written Chicago Stock Exchange and the listing criteria will further serve to submissions should file six copies Philadelphia Stock Exchange to rescind ensure sufficient liquidity for those thereof with the Secretary, Securities their off-board trading rules were investors seeking to purchase and and Exchange Commission, 450 Fifth published on the same date as the Amex deposit in basket securities with the Street, N.W., Washington, D.C. 20549– proposing release.4 Shortly thereafter, trustee to create HOLDRs. 0609. Copies of the submission, all the Boston Stock Exchange and the subsequent amendments, all written Pacific Exchange filed similar proposed 2. Statutory Basis 5 statements with respect to the proposed rule changes. The Commission The proposed rule change is rule change that are filed with the received no comments on any of these consistent with Section 6(b) of the Act 9 Commission, and all written proposals. Today, in separate orders, the in general and furthers the objectives of communications relating to the Commission is approving the proposed Section 6(b)(5)10 in particular in that it proposed rule change between the rule changes to rescind off-board trading is designed to prevent fraudulent and Commission and any person, other than manipulative acts and practices, to those that may be withheld from the 11 17 CFR 200.30–3(a)(12). promote just and equitable principles of 1 15 U.S.C. 78s(b)(1). public in accordance with the 2 trade, remove impediments to and 17 CFR 240.19b–4. provisions of 5 U.S.C. 552, will be 3 Securities Exchange Act Release No. 42460 perfect the mechanism of a free and available for inspection and copying at (February 25, 2000), 65 FR 11618. open market and a national market the Commission’s Public Reference 4 Securities Exchange Act Release No. 42459 system, and, in general, protect Room. Copies of such filing will also be (February 25, 2000). 65 FR 11619 (March 3, 2000) investors and the public interest. (File No. SR–CHX–99–28); Securities Exchange Act available for inspection and copying at Release No. 42458 (February 25, 2000), 65 FR 11628 the principal office of the Exchange. All (March 3, 2000) (File NO. SR–Phlx–00–12). 8 See Securities Exchange Act Release No. 41892 submissions should refer to File No. 5 Securities Exchange Act Release No. 42661 (September 21, 1999), 64 FR 52559 (September 29, (April 10, 2000), 65 FR 20497 (April 17, 2000) (File 1999). SR–AMEX–00–10 and should be No. SR–BSE–00–02); Securities Exchange Act 9 15 U.S.C. 78f(b). submitted by July 3, 2000. Release NO. 42660 (April 10, 2000), 65 FR 21052 10 15 U.S.C. 78f(b)(5). (April 19, 2000) (File No. SR–PCX–00–11).

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00042 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36856 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices rules filed by the exchanges noted applicable to a national securities orders can no longer justify their above.6 exchange. In particular, the Commission anticompetitive nature. To the extent finds the proposed rule change is off-board trading rules enhance order II. Description of the Proposal consistent with Section 6(b)(5) of the interaction, they do so in an undesirable Exchange Rules 5 and 6 restrict a Act 8 which requires, among other way—by attempting a direct restriction member’s ability to effect transactions in things, that the rules of an exchange be on competition. Such attempts are never Exchange-listed securities (Rule 5) and designed to promote just and equitable wholly successful and typically only bonds (Rule 6) off a national securities principles of trade, to remove distort, rather than eliminate, exchange. In the proposing release, the impediments to and perfect the competition and introduce unnecessary Exchange explained that these rules mechanism of a free and open market costs ultimately borne by investors. were originally intended to ‘‘centralize and a national market system and, in The outcome of competition between buying and selling interest in listed general, to protect investors and the market centers should depend on which securities to ensure the execution of public interest, and Section 6(b)(8), market centers are most able to serve orders at the best possible prices. Over which requires that the rules of an investor interests by providing the time, however, these off-board trading exchange not impose any burden on highest quality trading services at the restrictions came to be viewed by many competition not necessary or lowest possible prices; the as anticompetitive.’’ The Exchange also appropriate in furtherance of the Act. Commission’s regulatory task is noted that Chairman Levitt had recently The rescission of the Exchange’s off- removing unwarranted regulatory called for the elimination of off-board board trading restrictions is also barriers to competition between market trading rules. consistent with Section 11A of the Act 9 centers. As stated in the NYSE Approval The Exchange proposed to eliminate which sets forth the findings and Order, the rescission of off-board trading Exchange Rule 5 because the rule is objectives that are to guide the rules is ‘‘intended solely to free the ‘‘largely irrelevant’’ to the trading of Commission in its oversight of the forces of competition and allow investor Amex-listed equity securities, given the national market system. Specifically, interests to control the success or failure applicability of Commission Rule 19c– rescinding the off-board trading of individual market centers.’’ 12 The 3 7 and the fact that most Amex-listed restrictions will help further the same rationale and motivation support stocks were listed for trading after April national market system objective in the Commission’s action today. 26, 1979. The Exchange also noted that Section 11(A)(a)(1)(C)(i) to assure the Exchange Rule 5 only applies to Amex IV. Conclusion economically efficient execution of members, and that non-member firms securities transactions, and in Section It is Therefore Ordered, pursuant to do in fact trade Amex-listed equities off 13 11A(a)(1)(C)(ii) to assure fair Section 19(b)(2) of the Act, that the an exchange. With respect to Exchange proposed rule change (SR-Amex-00–05) Rule 6, the Exchange stated that the rule competition between exchange markets and markets other than exchange is approved. was of ‘‘little practical consequence’’ 10 due to the exceptions in the rule that markets. For the Commission, by the Division of permit ‘‘the great bulk of listed bond As discussed more fully in the NYSE Market Regulation, pursuant to delegated authority.14 transactions to occur over-the counter.’’ Approval Order, the existence of off- Therefore, in light of the ‘‘limited board trading restricting can no longer Margaret H. McFarland, practical impact of the Exchange’s off- be justified in an age when advancing Deputy Secretary. board trading rules and the changing technology and expanding trading [FR Doc. 00–14724 Filed 6–09–00; 8:45 am] view on their propriety.’’ the Exchange volume are introducing new BILLING CODE 8010±01±M proposed to eliminate its off-board competitive challenges for the U.S. trading restrictions for Amex-listed securities markets, both at home and equities and bonds. abroad. Off-board trading rules such as SECURITIES AND EXCHANGE Exchange Rules 5 and 6 directly restrict COMMISSION III. Discussion a certain type of market center [Release No. 34±42887; File No. SR±BSE± The Commission finds that the competition—competition between 00±02] proposed rule change is consistent with exchange markets and markets other the requirements of the Act and the than exchange markets. Their rescission Self-Regulatory Organizations; Boston rules and regulations thereunder today eliminates an inappropriate Stock Exchange Inc.; Order Approving regulatory burden on competition that Proposed Rule Change to Rescind 6 The New York Stock Exchange was first to runs contrary to the objectives set forth Chapter II, Section 23, the Exchange's submit a proposed rule change rescinding its off- in the Act. Off-Board Trading Rule board trading rule, Rule 390. Securities Exchange Off-board trading restrictions have Act Release No. 42450 (February 23, 2000), 65 FR June 1, 2000. 10577 (February 28, 2000) (‘‘NYSE Release’’). been justified on the basis that they On May 5, 2000 the Commission approved the promote the interaction of investors’ I. Introduction New York Stock Exchange’s proposed rule change orders without participation by a to rescind Rule 390. Securities Exchange Act dealer—indeed an objective set forth in On March 9, 2000, the Boston Stock Release 34–42758 (May 5, 2000), 65 FR 30175 (May 11 Exchange, Inc. (‘‘BSE’’ or ‘‘Exchange’’) 10, 2000) (‘‘NYSE Approval Order’’). the Act. The Commission believes, however, that whatever beneficial effect filed with the Securities and Exchange In the NYSE Release, the Commission also Commission (‘‘SEC’’ or ‘‘Commission’’), solicited the public’s views on a broad range of off-board trading restrictions such as issues related to market fragmentation—the trading Exchange Rules 5 and 6 may have in pursuant to Section 19(b)(1) of the of orders in multiple locations without interaction enhancing the interaction of investor Securities Exchange Act of 1934 of those orders. The period for public comment on (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a market fragmentation expired on May 12, 2000. The Commission currently is reviewing the comments 8 15 U.S.C. 78f(b)(5). 12 submitted in response to the NYSE Release. 9 15 U.S.C. 78k–1. NYSE Approval Order at 30179. 13 7 Commission Rule 19c–3 prohibits a national 10 In approving this proposal, the Commission has 15 U.S.C. 78s(b)(2). securities exchange from imposing off-board trading considered its impact on efficiency, competition, 14 17 CFR 200.30–3(a)(12). restrictions to equity securities listed after April 26, and capital formation. 15 U.S.C. 78c(f). 1 15 U.S.C. 78s(b)(1). 1979. 17 CFR 240.19c(3). 11 Section 11A(a)(1)(C)(v) of the Act. 2 17 CFR 240.19b–4.

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36857 proposed rule change to rescind Chapter III. Discussion the Act.10 The Commission believes, II, Section 23, the Exchange’s off-board however, that whatever beneficial effect The Commission finds that the off-board trading restrictions such as trading rule. The proposed rule change proposed rule change is consistent with Chapter II, Section 23 may have in was published for comment in the the requirements of the Act and the 3 enhancing the interaction of investor Federal Register on April 17, 2000. rules and regulations thereunder orders can no longer justify their Shortly thereafter, a proposed rule applicable to a national securities change filed by the Pacific Exchange anticompetitive nature. To the extent exchange. In particular, the Commission off-board trading rules enhance order rescinding its off-board trading rule was finds the proposed rule change is published for public comment.4 Similar interaction, they do so in an undesirable consistent with Section 6(b)(5) of the way—by attempting a direct restriction proposed rule changes filed by the 7 Act which requires, among other on competition. Such attempts are never American Stock Exchange, Chicago things, that the rules of an exchange be wholly successful and typically only Stock Exchange, and the Philadelphia designed to promote just and equitable distort, rather than eliminate, Stock Exchange had already been principles of trade, to remove 5 competition and introduce unnecessary published for public comment. The impediments to and perfect the costs ultimately borne by investors. Commission received no comments on mechanism of a free and open market The outcome of competition between any of these proposals. Today, in and a national market system and, in market centers should depend on which separate orders, the Commission is general, to protect investors and the market centers are most able to serve approving the proposed rule changes to public interest, and Section 6(b)(8), investor interests by providing the rescind off-board trading rules filed by which requires that the rules of an highest quality trading services at the the exchange noted above.6 exchange not impose any burden on lowest possible prices; the competition not necessary or Commission’s regulatory task removing II. Description of the Proposal appropriate in furtherance of the Act. unwarranted regulatory barriers to The rescission of the Exchange’s off- Chapter II, Section 23 restricts a competition between market centers. As board trading restrictions is also stated in the NYSE Approval Order, the member’s ability to effect transactions in 8 consistent with Section 11A of the Act rescission of off-board trading rules is Exchange-listed securities off a national which sets forth the findings and securities exchange. In the proposing ‘‘intended solely to free the forces of objectives that are to guide the competition and allow investor interests release, the Exchange noted that Commission in its oversight of the ‘‘[a]dvances in the application of to control the success or failure of national market system. Specifically, individual market centers.’’ 11 The same technology have resulted in the creation rescinding the off-board trading of new competitors to the regional rationale and motivation support the restrictions will help further the Commission’s action today. exchanges, such as Alternative Trading national market system objective in Systems. As such, the Exchange Section 11A(a)(1)(C)(i) to assure the IV. Conclusion recognizes the need for exchanges and economically efficient execution of It is Therefore Ordered, pursuant to their members to take part in the greater securities transactions, and in Section Section 19(b)(2) of the Act,12 that the level of free market trading.’’ The 11A(a)(1)(C)(ii) to assure fair proposed rule change (SR–BSE–00–02) Exchange also noted that the NYSE had competition between exchange markets is approved. proposed to rescind its off-board trading and markets other than exchange 9 For the Commission, by the Division of rule, and that the Commission had markets. Market Regulation, pursuant to delegated requested that the Exchange review its As discussed more fully in the NYSE authority.13 restrictions on off-board trading. Approval Order, the existence of off- Margaret H. McFarland, board trading restrictions can no longer Deputy Secretary. 3 Securities Exchange Act Release No. 42661 be justified in an age when advancing [FR Doc. 00–14726 Filed 6–9–00; 8:45 am] (April 10, 2000), 65 FR 20497. technology and expanding trading BILLING CODE 8010±01±M 4 Securities Exchange Act Release No. 42660 volume are introducing new (April 10, 2000, 65 FR 21052 (April 19, 2000) (File No. SR–PCX–00–11). competitive challenges for the U.S. 5 Securities Exchange Act Release No. 42460 securities markets, both at home and SECURITIES AND EXCHANGE (February 25, 2000), 65 FR 11618 (March 3, 2000) abroad. Off-board trading rules such as COMMISSION (File No. SR–Amex–00–05); Securities Exchange Chapter II, Section 23 directly restrict a Act Release No. 42459 (February 25, 2000, 65 FR certain type of market center [Release No. 34±42891; File No. SR±CHX± 11619 (March 3, 2000) (File No. SR–CHX–99–28); 00±07] Securities Exchange Act Release No. 42458 competition—competition between (February 25, 2000), 65 FR 11628 (March 3, 2000) exchange markets and markets other Self Regulatory Organizations; Notice (File No. SR–Phlx–00–12). than exchange markets. Their rescission of Filing of Proposed Rule Change by 6 The New York Stock Exchange was first to today eliminates an inappropriate submit a proposed rule change rescinding its off- the Chicago Stock Exchange, Inc. to board trading rule, Rule 390. Securities Exchange regulatory burden on competition that Eliminate the Series 7B Qualification Act Release No. 42450 (February 23, 2000), 65 FR runs contrary to the objectives set forth Examination for Floor Clerks Who May 10577 (February 28, 2000) (‘‘NYSE Release’’). in the Act. Accept Orders From Professional On May 5, 2000, the Commission approved the Off-board trading restrictions have New York Stock Exchange’s proposed rule change Customers for Execution on the to rescind Rule 390. Securities Exchange Act been justified on the basis that they Exchange's Trading Floor Release No. 34–42758 (May 5, 2000), 65 FR 30175 promote the interaction of investors’ (May 10, 2000) (‘‘NYSE Approval Order’’). orders without participation by a June 1, 2000. In the NYSE Release, the Commission also dealer—indeed an objective set forth in Pursuant to Section 19(b)(1) of the solicited the public’s views on a broad range of Securities Exchange Act of 1934 issues related to market fragmentation—the trading of orders in multiple locations without interaction 7 15 U.S.C. 78f(b)(5). 10 of those orders. The period for public comment on 8 15 U.S.C. 78k–1. Section 11A(a)(1)(C)(v) of the Act. market fragmentation expired on May 12, 2000. The 9 In approving this proposal, the Commission has 11 NYSE Approval Order at 30179. Commission currently is reviewing the comments considered its impact on efficiency, competition, 12 15 U.S.C. 78s(b)(2). submitted in response to the NYSE Release. and capital formation. 15 U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12).

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(‘‘Act’’),1 and Rule 19b–4 thereunder,2 charge fees for such registration and A. Self-Regulatory Organization’s notice is hereby given that on March 17, examination. This provision shall apply Statement of the Purpose of, and 2000, the Chicago Stock Exchange, Inc. to all members[,] and member Statutory Basis for, the Proposed Rule (‘‘CHX’’ or ‘‘Exchange’’) filed with the organizations, including members and Change Securities and Exchange Commission member organizations which are to be 1. Purpose (‘‘SEC’’ or ‘‘Commission’’) the proposed solely on the Floor of the Exchange. rule change as described in Items I, II, Interpretations and Policies: The Exchange proposes to amend its and III below, which Items have been .01 (a) No change. Interpretation .01(d) of CHX Article VI, prepared by the Exchange. The (b) No change. Rule 3 to eliminate the Series 7B Commission is publishing this notice to (c) No change. Examination for Exchange floor clerks. solicit comments on the proposed rule (d) Public Business Exam Under existing Exchange rules, a floor change from interested persons. Floor members who successfully clerk of a qualified floor member may accept orders from professional 1. Self-Regulatory Organization’s complete the Series 7 Examination may conduct a public business which is customers for execution on the Statement of the Terms of Substance of Exchange’s trading floor, so long as the the Proposed Rule Change limited to accepting orders while on the floor directly from non-broker-dealer floor clerk has successfully completed The Exchange proposes to amend its customers. In lieu of the Series 7 either the Series 7 Examination or the 6 Interpretation .01(d) of CHX Article VI, Examination, Floor members who Series 7B Examination. The Exchange’s Rule 3 by eliminating the Series 7B proposed rule change would require 3 successfully complete the Series 7A Qualification Examination for examination may conduct a public that Exchange floor clerks who will Exchange floor clerks who may, among business which is limited to accepting accept professional orders pass (i) the 7 other functions, accept orders from orders directly from professional Floor Membership Examination professional customers 4 for execution customers for execution on trading already administered by the Exchange to on the Exchange’s complete the floor. Floor clerks of floor members that prospective floor members and (ii) Exchange’s Floor Membership have successfully completed the either the Series 7 or the Series 7A Examination and either the Series 7 Series 7 or Series 7A examination Examination. The CHX’s Floor Examination or the Series 7A may accept orders from professional Membership Examination addresses the Qualification Examination.5 Proposed customers for execution on the trading rules and practices of the Exchange’s new language is in italics; proposed floor so long as such clerks successfully trading floor but has broader coverage deletions are in brackets. 8 complete both the Floor Membership than the Series 7B Examination. * * * * * Exam and either the Series 7 The Exchange notes that the New York Stock Exchange, Inc. (‘‘NYSE’’) ARTICLE VI Examination or the Series 7A[7B]E[e]xamination. For purposes of recently eliminated the Series 7B RESTRICTIONS AND REQUIREMENTS this interpretation and policy, a Examination and now requires its floor * * * * * ‘‘professional customer’’ includes a clerks to pass both a new Trading bank; trust company; insurance Assistant Examination (‘‘Series 25 Training and Examination of Examination‘‘) 9 and either the Series 7 Registrants company; investment trust; a state or political subdivision thereof; a Examination or the Series 7A Rule 3. The Exchange may require the Examination before becoming eligible to charitable or nonprofit educational 10 successful completion of a training institution regulated under the laws of accept professional orders. Like the course or an examination, or both, in the United States, or any state;[,] a [or] CHX’s Floor Membership Examination, connection with registration of members pension or profit sharing plan subject to the NYSE’s new Trading Assistant and persons associated with a member ERISA, or of any agency of the Untied Examination contains questions relating or member organization, and may States or [as] of a state or political to its floor rules and policies but has subdivision thereof; or any person broader coverage that the questions 1 15 U.S.C. 78s(b)(1). (other than a natural person) who has, formerly included in the Series 7B 2 17 CFR 240.19b–4. Examination. The CHX therefore 3 The Series 7B Qualification Examination or who has under management, net tangible assets of at least sixteen million proposes to change its examination (‘‘Series 7B Examination’’) was originally requirements to correspond to the recent implemented by the NYSE in 1994, to serve as an dollars. alternative qualification examination to the General .02 No change. NYSE changes that have been approved Securities Registered Representative Examination by the Commission. The CHX represents (‘‘Series 7 Examination’’). See Securities Exchange * * * * * Act Release No. 34334 (July 8, 1994), 59 FR 35964 6 See Securities Exchange Act Release No. 37690 (July 14, 1994). II. Self-Regulatory Organization’s (September 17, 1996), 61 FR 49803 (September 23, 4 The Exchange’s proposed rule change defines Statement of the Purpose of, and 1996). the term ‘‘professional customer’’ to include a bank; Statutory Basis for, the Proposed Rule 7 The Exchange adopted the Floor Membership trust company; insurance company; investment Change trust; a state or political subdivision thereof; a Exam in 1996. See Securities Exchange Act Release No. 37690 (September 17, 1996), 61 FR 49803 charitable or nonprofit education institution In this filing with the Commission, regulated under the laws of the United States, or (September 23, 1996). any state; a pension or profit sharing plan subject the CHX included statements 8 Telephone conversation between Michael to ERISA, or of an agency of the United States or concerning the purpose of, and basis for, Cardin, Market Regulation Department, CHX, and of a state or political subdivision thereof; or any the proposed rule change and discussed Susie Cho, Attorney, Division of Market Regulation, person (other than a natural person) who has, or any comments it received on the Commission, on April 5, 2000. who has under management, net tangible assets of 9 See Securities Exchange Act Release No. 40943 at least sixteen million dollars. proposed rule change. The text of these (January 13, 1999), 64 FR 3330 (January 21, 1999) 5 The Series 7A Qualification Examination statements may be examined at the (order approving the Series 25 Examination). (‘‘Series 7A Examination’’) was originally places specified in Item IV below. The 10 See Securities Exchange Act Release No. 42092 implemented by the NYSE in 1993, to serve as an Exchange has prepared summaries, set (November 2, 1999), 64 FR 61375 (November 10, alternative qualification exam to the Series 7 1999) (order approving the elimination of the Series Examination. See Securities Exchange Act Release forth in Section A, B, and C below, of 7B Examination and establishing the Series 7A No. 32698 (July 29, 1993), 58 FR 41539 (August 4, the most significant aspects of such Examination as the appropriate qualification 1993). statements. examination for NYSE floor clerks).

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36859 that successful completion of the Washington, D.C. 20549–0609. Copies of proposing release.4 Shortly thereafter, Exchange’s Floor Membership the submission, all subsequent the Boston Stock Exchange and the Examination would ensure that clerks amendments, all written statements Pacific Exchange filed similar proposed wishing to perform certain functions on with respect to the proposed rule rule changes.5 The Commission the floor, such as accepting professional change that are filed with the received no comments on any of these orders, are sufficiently familiar with the Commission, and all written proposals. Today, in separate orders, the rules and practices of the Exchange’s communications relating to the Commission is approving the proposed trading floor. proposed rule change between the rule changes to rescind off-board trading Commission and any person, other than 2. Statutory Basis rules filed by the exchanges noted those that may be withheld from the above. The CHX believes that the proposed public in accordance with the rule change is consistent with Section provisions of 5 U.S.C. 552, will be II. Description of the Proposal 6(b) of the Act 11 in general and furthers available for inspection and copying at Certain provision of Article VIII, the objectives of Section 6(b)(5) 12 in the Commission’s Public Reference Exchange Rule 9 restricts a member’s particular in that it is designed to Room. Copies of such filing will also be ability to effect transactions in promote just and equitable principles of available for inspection and copying at Exchange-listed securities off a national trade, to remove impediments and to the principal office of the Exchange. All perfect the mechanism of a free and securities exchange. In the proposing submissions should refer to File No. release, the Exchange noted that the open market and a national market SR–CHX–00–07 and should be New York Stock Exchange, along with system, and, in general, to protect submitted by July 3, 2000. investors and the public interest. other exchanges, had submitted similar For the Commission, by the Division of proposals to rescind their off-board B. Self-Regulatory Organization’s Market Regulation, pursuant to delegated 6 13 trading rules, and that the Commission Statement on Burden on Competition authority. had recently adopted amendments to Margaret H. McFarland, The Exchange does not believe that the Intermarket Trading System Plan Deputy Secretary. the proposed rule change will impose (‘‘ITS’’) to expand the ITS linkage with any burden on competition that is not [FR Doc. 00–14723 Filed 6–9–00; 8:45 am] the National Association of Securities necessary or appropriate in furtherance BILLING CODE 8010±01±M Dealers’ Computer Assisted Execution of the purposes of the Act. System. Thus, ‘‘to confirm the Exchange’s commitment to the C. Self-Regulatory Organization’s SECURITIES AND EXCHANGE competitive ideals on which those Statement on Comments on the COMMISSION actions are based,’’ the Exchange Proposed Rule Change Received From [Release No. 34±42886; File No. SR±CHX± proposed to rescind certain provisions Members, Participants, or Others 99±28] of its off-board trading rule, Article VIII, The Exchange did not solicit or Exchange Rule 9. receive written comments on the Self-Regulatory Organizations; III. Discussion proposed rule change. Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change To III. Date of Effectiveness of the Delete Certain Provisions of Article The Commission finds that the Proposed Rule Change and Timing for VIII, Exchange Rule 9, Prohibiting Off- proposed rule change is consistent with Commission Action Floor Transactions by Exchange the requirements of the Act and the Members rules and regulations thereunder Within 35 days of the date of applicable to a national securities publication of this notice in the Federal June 1, 2000. exchange. In particular, the Commission Register or within such longer period(i) finds the proposed rule change is I. Introduction as the Commission may designate up to consistent with Section 6(b)(5) of the 90 days of such date if it finds such On December 27, 1999, the Chicago longer period to be appropriate and Stock Exchange, Inc. (‘‘CHX’’ or 4 Securities Exchange Act Release No. 42460 publishes its reasons for so finding or ‘‘Exchange’’) filed with the Securities (February 25, 2000), 65 FR 11618 (March 3, 2000) (ii) as to which the Exchange consents, and Exchange Commission (‘‘SEC’’ or (File No. SR–Amex–00–05); Securities Exchange the Commission will: ‘‘Commission’’), pursuant to Section Act Release No. 42458 (February 25, 2000), 65 FR (A) By order approve such proposed 11628 (March 3, 2000) (File No. SR–Phlx–00–12). 19(b)(1) of the Securities Exchange Act 5 Securities Exchange Act Release No. 42461 rule change, or of 1934 (‘‘Act’’) 1 and Rule 19b–4 (April 10, 2000), 65 FR 20497 (April 17, 2000) (File (B) Institute proceedings to determine thereunder,2 a proposed rule change to No. SR–BSE–00–02); Securities Exchange Act whether the proposed rule change rescind certain provisions of Article Release No. 42660 (April 10, 2000), 65 FR 21052 should be disapproved. VIII, Exchange Rule 9, the Exchange’s (April 19, 2000) (File No. SR–PCX–00–11). 6 Referring to Securities Exchange Act Release No. IV. Solicitation of Comments off-board trading rules. The proposed 42450 (February 23, 2000), 65 FR 10577 (February rule change was published for comment 28, 2000) (‘‘NYSE Release’’). Interested persons are invited to in the Federal Register on March 3, On May 5, 2000, the Commission approved the submit written data, views, and 2000.3 Proposed rule changes filed by New York Stock Exchange’s proposed rule change arguments concerning the foregoing, the American Stock Exchange and the rescinding its off-board trading rule, Rule 390. including whether the proposed rule Securities Exchange Act Release No. 34–42758 Philadelphia Stock Exchange to rescind (May 5, 2000), 65 FR 30175 (May 10, 2000) (‘‘NYSE change is consistent with the Act. their off-board trading rules were Approval Order’’). Persons making written submissions published on the same date as the CHX In the NYSE Release, the Commission also should file six copies thereof with the solicited the public’s views on a broad range of issues related to market fragmentation—the trading Secretary, Securities and Exchange 13 17 CFR 200.30–3(a)(12). of orders in multiple locations without interaction Commission, 450 Fifth Street, N.W., 1 15 U.S.C. 78s(b)(1). of those orders. The period for public comment on 2 17 CFR 240.19b–4. market fragmentation expired on May 12, 2000. The 11 15 U.S.C. 78f(b). 3 Securities Exchange Act Release No. 42459 Commission currently is reviewing the comments 12 15 U.S.C. 78f(b)(5). (February 25, 2000), 65 FR 11619. submitted in response to the NYSE Release.

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Act 7 which requires, among other way—by attempting a direct restriction in Items I, II, and III below, which Items things, that the rules of an exchange be on competition. Such attempts are never have been prepared by NASD designed to promote just and equitable wholly successful and typically only Regulation. On May 1, 2000, the NASD principles of trade, to remove distort, rather than eliminate, Regulation filed Amendment No. 1 to impediments to and perfect the competition and introduce unnecessary the proposed rule change.3 The mechanism of a free and open market costs ultimately borne by investors. Commission is publishing this notice to and a national market system and, in The outcome of competition between solicit comments on the proposed rule general, to protect investors and the market centers should depend on which change, as amended, from interested public interest, and Section 6(b)(8), market centers are most able to serve persons. which requires that the rules of an investors interests by providing the I. Self-Regulatory Organization’s exchange not impose any burden on highest quality trading services at the Statement of the Terms of Substance of competition not necessary or lowest possible prices; the the Proposed Rule Change appropriate in furtherance of the Act. Commission’s regulatory task is The rescission of the Exchange’s off- removing unwarranted regulatory NASD Regulation is proposing to board trading restrictions is also barriers to competition between market amend the Rule 1010 Series, which consistent with Section 11A of the Act 8 centers. As stated in the NYSE Approval concerns member admission. Additions which sets forth the findings and Order, the rescission of off-board trading are italicized; deletions are [bracketed]. rules is ‘‘intended solely to free the objectives that are to guide the 1010. Membership Proceedings Commission in its oversight of the forces of competition and allow national market system. Specifically, investors interest to control the success 1011. Definitions or failure of individual market rescinding the off-board trading Unless otherwise provided, terms centers.’’ 11 The same rationale and restrictions will help further the used in the Rule 1010 Series shall have motivation support the Commission’s national market system objective in the meaning as defined in Rule 0120. action today. Section 11A(a)(1)(C)(i) to assure the (a) ‘‘Applicant’’ economically efficient execution of IV. Conclusion The term ‘‘Applicant’’ means a person securities transactions, and in Section It is therefore ordered, pursuant to [or entity] that applies for membership 11A(a)(1)(C)(ii) to assure fair Section 19(b)(2) of the Act,12 that the in the Association under Rule 1013[,] or competition between exchange markets proposed rule change (SR–CHX–99–28) a member that files an application [to and markets other than exchange remove or modify a restriction under 9 is approved. markets. For the Commission, by the Division of Rule 1017, or files a notice and As discussed more fully in the NYSE Market Regulation, pursuant to application for continuance in Approval Order, the existence of off- delegated authority.13 membership under Rule 1018] for board trading restrictions can no longer approval of a change in ownership, be justified in an age when advancing Margaret H. McFarland, control, or business operations under technology and expanding trading Deputy Secretary. Rule 1017. volume are introducing new [FR Doc. 00–14727 Filed 6–9–00; 8:45 am] (b) ‘‘Associated Person’’ competitive challenges for the U.S. BILLING CODE 8010±01±M The term ‘‘Associated Person’’ means: securities markets, both at home and (1) a natural person registered under the abroad. Off-board trading rules such as Rules of the Association; or (2) a sole Articles VIII, Exchange Rule 9 directly SECURITIES AND EXCHANGE proprietor, partner, officer, director, restrict a certain type of market center COMMISSION branch manager, or other natural person competition—competition between [Release No. 34±42885; File No. SR±NASD± occupying a similar status or performing exchange markets and markets other 99±67] similar functions who will be or is than exchange markets. Their rescission anticipated to be associated with the today eliminates an inappropriate Self-Regulatory Organizations; Notice Applicant, or a natural person engaged regulatory burden on competition that of Filing of Proposed Rule Change and in the investment banking or securities runs contrary to the objectives set forth Amendment No. 1 Thereto by NASD business who will be or is anticipated in the Act. Regulation, Inc. Relating to to be directly or indirectly controlling or Off-board trading restrictions have Amendments to Membership Rules controlled by the Applicant, whether or been justified on the basis that they not any such person is registered or promote the interaction of investors’ June 1, 2000. Pursuant to Section 19(b)(1) of the exempt from registration under the orders without participation by a NASD By-Laws or the Rules of the dealer—indeed an objective set forth in Securities Exchange Act of 1934 (‘‘Act’’ 1 Association. the Act.10 The Commission believes, or ‘‘Exchange Act’’), and Rule 19b–4 thereunder,2 notice is hereby given that (c) ‘‘Department’’ however, that whatever beneficial effect The term ‘‘Department’’ means the off-board trading restrictions such as on November 2, 1999, the National Association of Securities Dealers, Inc. Department of Member Regulation of Article VIII, Exchange Rule 9 may have NASD Regulation. in enhancing the interaction of investors (‘‘NASD’’ or ‘‘Association’’), through its wholly owned subsidiary NASD (d) ‘‘Director’’ orders can no longer justify their The term ‘‘Director’’ means a member anticompetitive nature. To the extent Regulation, Inc. (‘‘NASD Regulation’’), filed with the Securities and Exchange of the NASD Regulation Board. off-board trading rules enhance order (e) ‘‘district’’ interaction, they do so in an undesirable Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described The term ‘‘district’’ means a district established by the NASD Regulation 7 15 U.S.C. 78f(b)(5). 11 Board. 8 15 U.S.C. 78k–1. NYSE Approval Order at 30179. 9 In approving this proposal, the Commission has 12 15 U.S.C. 78s(b)(2). (f) ‘‘district office’’ considered its impact on efficiency, competition, 13 17 CFR 200.30–3(a)(12). and capital formation. 15 U.S.C. 78c(f). 1 15 U.S.C. 78s(b)(1). 3 This 19b–4 filing, represents Amendment No. 1 10 Section 11A(a)(1)(C)(v) of the Act. 2 17 CFR 240.19b–4. to File No. SR–NASD–99–67.

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The term ‘‘district office’’ means an [(k)](m) ‘‘sales practice [violations] an Applicant requests and obtains office of NASD Regulation located in a event’’ approval for ten registered district. The term ‘‘sales practice [violations] representatives in the first six months (g) ‘‘Governor’’ event’’ means any [conduct directed at with an additional ten registered The term ‘‘Governor’’ means a or involving a customer that would representatives in the next year); in such member of the NASD Board. constitute a violation of any Rule in the case, the Department has specifically (h) ‘‘Interested Association Staff’’ Rule 2000 or 3000; any provision of the considered the firm’s expansion plans The term ‘‘Interested Association Act, Securities Exchange Act of 1934; or and approved them. Staff’’ means an employee who directly any state statute prohibiting fraudulent The safe harbor is not available to any participates in a decision under Rule conduct in connection with the offer, member that has disciplinary history. 1014[,] or 1017, [or 1018,] an employee sale, or purchase of a security or in For purposes of this Interpretation, who directly supervises an employee connection with the rendering of ‘‘disciplinary history’’ means a finding with respect to such decision, an investment advice] customer complaint, of a violation by the member or a employee who conducted an arbitration, or civil litigation that has principal of the member in the past five investigation or examination of a been reported to the Central Registration years by the Securities and Exchange member that files an application under Depository, currently is required to be Commission, a self-regulatory Rule 1017 [or a notice and application reported to the Central Registration organization, or a foreign financial under Rule 1018], the District Director Depository, or otherwise has been regulatory authority of one or more of for the relevant district, and the head of reported to the Association. the following provisions (or a the Department. [(l)](n) ‘‘Subcommittee’’ comparable foreign provision) or rules The term ‘‘Subcommittee’’ means a (i) ‘‘material change in business or regulations thereunder: Sections subcommittee of the National operations’’ 15(b)(4)(E) and 15(c) of the Securities Adjudicatory Council that is constituted The term ‘‘material change in Exchange Act of 1934; Section 17(a) of pursuant to Rule 1015 to conduct a business operations’’ includes, but is not the Securities Act of 1933; SEC Rules review of a Department decision issued limited to: 10b–5 and 15g–1 through 15g–9; NASD under the Rule 1010 Series. (1) removing or modifying a Rules 2110, 2120, 2310, 2330, 2440, membership agreement restriction; IM–1011–1. Safe Harbors for Business 3010 (failure to supervise only), 3310, (2) market making, underwriting, or Expansions and 3330; and MSRB Rules G–19, G–30, acting as a dealer for the first time; and This interpretive material concerns and G–37(b) & (c). (3) adding business activities that the types of business expansions that For those firms to which the safe require a higher minimum net capital will not require a member to submit a harbor is available, the following types under SEC Rule 15c3–1. Rule 1017 application to obtain NASD of expansions are presumed not to be a [(i)](j) ‘‘NASD Board’’ Regulation’s approval of the expansion. material change in business operations The term ‘‘NASD Board’’ means the This safe harbor applies to: (1) firms and therefore do not require a Rule 1017 Board of Governors of the NASD. that do not have a membership application. For any expansion beyond [(j)](k) ‘‘NASD Regulation Board’’ agreement, and (2) firms that have a these limits, a member should contact The term ‘‘NASD Regulation Board’’ membership agreement that does not its district office prior to implementing means the Board of Directors of NASD contain a restriction on the factors listed the change to determine whether the Regulation. below. proposed expansion requires an (l) ‘‘principal place of business’’ The safe harbor is not available to a application under Rule 1017. The term ‘‘principal place of member that has a membership Expansions in each area are measured business’’ means the executive office agreement that contains a specific on a rolling 12-month basis; members from which the sole proprietor or the restriction as to one or more of the are required to keep records of increases officers, partners, or managers of the factors listed below. In that case, the in personnel, offices, and markets to Applicant direct, control, and agreement takes precedence because determine whether they are within the coordinate the activities of the NASD Regulation has determined that a safe harbor. Applicant, unless the Department particular restriction should apply as to ‘‘Associated Persons involved in determines that the principal place of one or more of the factors, and NASD sales’’ includes all Associated Persons, business is where: (1) the largest number Regulation has issued a decision with a whether or not registered, who are of Associated Persons of the Applicant rationale for that restriction. Similarly, involved in sales activities with public are located; or (2) the books and records the safe harbor also does not apply if customers, including sales assistants necessary to provide information and the member has a membership and cold callers, but excludes clerical, data to operate the business and comply agreement that permits expansion back office, and trading personnel who with applicable rules are located. beyond the limits set forth below (e.g., are not involved in sales activities.

Safe Harbor-Number of Increase Permitted Within One Year Period Without Rule 1017 Application

Number of Associated Persons Involved in Sales 1±10 ...... 10 persons. 11 or more ...... 10 persons or a 30 percent increase, whichever is greater. Number of Offices (registered or unregistered) 1±5 ...... 3 offices. 6 or more ...... 3 offices or a 30 percent increase, whichever is greater. Number of Markets Made 1±10 ...... 10 markets. 11 or more ...... 10 markets or a 30 percent increase, whichever is greater.

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1012. General Provisions (B) appear at or otherwise participate (A) all such written communications; (a) [Service of Notices and Decisions;] in a scheduled membership interview (B) memoranda stating the substance Filing by Applicant or Service by the pursuant to Rule 1013(b) or 1017(f); or of all such oral communications; and Association (C) file an executed membership (C) all written responses and agreement under Rule 1014(d) or Rule memoranda stating the substance of all [A notice or a decision issued by the 1017(g)(4) within 25 days after service of oral responses to all such Association under the Rule 1010 Series the agreement, or within such other communications. with respect to an application shall be period agreed to by the Department and [(3) The prohibitions against ex parte served promptly by first-class mail on the Applicant. communications shall become effective the Applicant or its counsel, unless a (2) If an Applicant wishes to continue when Association staff has knowledge Rule specifies a different method of to seek membership or approval of a that an Applicant intends to file a service. Service by the Association or change in ownership, control, or written request for review by the filing by an Applicant by mail shall be business operations, then the Applicant National Adjudicatory Council under deemed complete upon mailing. Service shall be required to submit a new Rule 1015.] by the Association or filing by an application and fee under Rule 1013 or Applicant by commercial courier or 1017, respectively. The Association [(c)] (d) Recusal or Disqualification facsimile shall be deemed complete on shall not refund any fee for a lapsed the date specified in the written application. A Governor or a member of the confirmation of receipt.] National Adjudicatory Council or a [(b)] (c) Ex Parte Communications Subcommittee thereof shall not (1) An Applicant may file an (1) The prohibitions against ex parte participate in a matter governed by the application or any document or communications shall become effective Rule 1010 Series as to which that person information requested under the Rule when Association staff has knowledge has a conflict of interest or bias, or if 1010 Series by first-class mail, overnight that an Applicant intends to file a circumstances otherwise exist where his courier, or hand delivery. If the written request for review by the or her fairness might reasonably be Department and the Applicant agree, National Adjudicatory Council under questioned. In such a case, the person the Applicant also may file a requested Rule 1015. shall recuse himself or shall be document or information by facsimile. [(1)] (2) Unless on notice and disqualified as follows: (2) The Association shall serve a opportunity for an Applicant and (1) The Chair of the NASD Board shall notice or decision issued under the Rule Interested Association Staff to have authority to direct the 1010 Series by first-class mail on the participate, or to the extent required for disqualification of a Governor, and a Applicant or its counsel, unless a Rule the disposition of ex parte matters as majority of the Governors of the NASD specifies a different method of service. authorized by the Rules of the Board excluding the Chair shall have (3) Service by the Association or filing Association: authority to direct the disqualification by an Applicant shall be deemed (A) an Applicant, a counsel or of the Chair of the NASD Board. complete as follows: representative of an Applicant, or an (2) The Chair of the National (A) Service or filing by first-class mail Interested Association Staff shall not Adjudicatory Council shall have shall be deemed complete on the date make or knowingly cause to be made an authority to direct the disqualification of postmark; ex parte communication relevant to the of a member of the National (B) Service or filing by overnight merits of a membership proceeding Adjudicatory Council or a member of a courier shall be deemed complete on the under the Rule 1010 Series to a Subcommittee appointed pursuant to date of delivery to the overnight courier Governor, a member of the National Rule 1015, and the Vice Chair of the as specified in the airbill; Adjudicatory Council or a National Adjudicatory Council shall Subcommittee thereof, or an Association (C) Service or filing by hand delivery have authority to direct the employee who is participating or shall be deemed complete on the date disqualification of the Chair of the advising in a decision of such a person of receipt as evidenced by a date stamp; National Adjudicatory Council. with respect to that proceeding; and and (B) a Governor, a member of the [(d)] (e) Computation of Time (D) Service or filing by facsimile shall National Adjudicatory Council or a (1) Calendar Day be deemed complete on the date Subcommittee thereof, or an Association specified in the document and on the employee who is participating or In the Rule 1010 Series, ‘‘day’’ means written confirmation of transmission. advising in the decision of such a calendar day. (b) Lapse of Application person with respect to a membership (2) Formula proceeding shall not make or knowingly In computing a period of time under (1) Absent a showing of good cause, cause to be made to an Applicant, a the Rule 1010 Series, the day of the act, an application filed under Rule 1013 or counsel or representative of the event, default, or lapse from which the 1017 shall lapse if an Applicant fails to: Applicant, or an Interested Association period of time designated begins to run (A) respond fully within 60 days after Staff an ex parte communication shall not be included. The last day of service of an initial written request for relevant to the merits of that proceeding. the period so computed shall be information or documents under Rule [(2)] (3) A Governor, a member of the included unless it is a Saturday, 1013, within 30 days after service of an National Adjudicatory Council or a Sunday, or Federal holiday, in which initial written request for information or Subcommittee thereof, or an Association event the period runs until the end of documents under Rule 1017, within 30 employee participating or advising in the next day that is not a Saturday, days after service of a subsequent the decision of such a person, who Sunday, or Federal holiday. written request for information or receives, makes, or knowingly causes to Intermediate Saturdays, Sundays, and documents under Rule 1013 or 1017, or be made a communication prohibited by Federal holidays shall be excluded from within such other time period agreed to this paragraph shall place in the record the computation when the period by the Department and the Applicant; of the membership proceeding: prescribed is ten days or less.

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1013. New Member Application [and registered under the Rules of the disciplinary history of each Associated Membership] and Interview Association, and the names of the Person, and a list of any other persons (a) Filing of Application persons who will be in charge of each or entities that will exercise control office; with respect to the Applicant’s (1) Where To File (v) a list of the types of securities to business]; [Each Applicant for Association be offered and sold and the types of [(E)](I) documentation of any of the membership shall file its application in retail or institutional customers to be following events, unless the event has two parts. The first part of the solicited; been reported to the Central Registration application shall be filed with the (vi) a description of the methods and Depository: Membership Department and shall media to be employed to develop a (i) a regulatory action against or include the following documents:] customer base and to offer and sell investigation of the Applicant or an An Applicant for Association products and services to customers, Associated Person by the Commission, membership shall file its application including the use of the Internet, the Commodity Futures Trading with the Department of Member telephone solicitations, seminars, or Commission, a federal, state, or foreign Regulation at the district office in the mailings; regulatory agency, or a self-regulatory district in which the Applicant intends (vii) a description of the business organization that is pending, to have its principal place of business as facilities and a copy of any proposed or adjudicated, or settled; defined in Rule 1011(l). final lease; (ii) an investment-related civil action (viii) the number of markets to be (2) Contents for damages or an injunction against the made, if any, the type and volatility of The application shall include: Applicant or an Associated Person that the products, and the anticipated (A) an original signed and notarized is pending, adjudicated, or settled; maximum inventory positions; (iii) an investment-related customer paper Form BD, with applicable (ix) any plan to enter into contractual complaint or arbitration [involving sales schedules; commitments, such as underwritings or practice violations, theft, (B) an original signed paper Form U– other securities-related activities; misappropriation, conversion, or breach 4 for each Associated Person who is (x) any plan to distribute or maintain of fiduciary duty, against the Applicant required to be registered under the securities products in proprietary or an Associated Person that is pending, Rules of the Association; positions, and the risks, volatility, settled, or has resulted in an award or (C) an original NASD-approved degree of liquidity, and speculative judgment] that is required to be reported fingerprint card for each Associated nature of the products; [and] on Form U–4; [and] Person who will be subject to SEC Rule (xi) any other activity that the (iv) a criminal action (other than a 17f–2; Applicant may engage in that minor traffic violation) against the (D) a new member assessment report; reasonably could have a material impact Applicant or an Associated Person that [(E) a new member firm contact on net capital within the first twelve is pending, adjudicated, or that has questionnaire; and] months of business operations; and resulted in a guilty or no contest plea; [(F)] (E) a check for the appropriate (xii) a description of the and fee[.]; communications and operational [(F)](v) a copy of any document [(2) The second part of the application systems the Applicant will employ to evidencing a termination for cause or a shall be filed with the Department of conduct business with customers or permitted resignation after investigation Member Regulation at the district office other members and the plans and of an alleged violation of a federal or in the district in which the Applicant procedures the Applicant will employ to state securities law, a rule or regulation intends to have its principal place of ensure business continuity, including: thereunder, a self-regulatory business and shall include the following system capacity to handle the organization rule, or an industry information and documents:] anticipated level of usage; contingency standard of conduct; [(A)] (F) a detailed business plan [, in plans in the event of systems or other [(G)](J) a description of any remedial a form prescribed by the Association,] technological or communications action, such as special training [or], that adequately and comprehensively problems or failures that may impede continuing education requirements, or describes all material aspects of the customer usage or firm order entry or heightened supervision, imposed on an business that will be, or are reasonably execution; system redundancies; Associated Person by a state or federal anticipated to be, performed at and after disaster recovery plans; system security; authority or self-regulatory organization; the initiation of business operations, disclosures to be made to potential and [(H)](K) a written acknowledgment including future business expansion existing customers who may use such that heightened supervisory procedures plans, if any, and includes: systems; and supervisory or customer and special educational programs may (i) a trial balance, balance sheet, protection measures that may apply to be required pursuant to Notice To supporting schedules, and computation customer use of, or access to, such Members 97–19 for an Associated of net capital, each of which has been systems; Person whose record[s] reflects[: prepared as of a date that is within 30 [(B) a copy of the Applicant’s most (i)] disciplinary actions [involving] or days before the filing date of the recent Form BD;] sales practice [violations] events; application; [(C)](G) a copy of any decision or [(ii) customer complaints; or (ii) a monthly projection of income order by a federal or state authority or (iii) arbitrations that were resolved and expenses, with a supporting self-regulatory organization taking adversely to the Associated Person;] rationale, for the first twelve months of permanent or temporary adverse action [(I)](L) a copy of final or proposed operations; with respect to a registration or contracts with banks, clearing entities, (iii) an organizational chart; licensing determination regarding the or service bureaus, and a general (iv) [a list of] the intended [locations] Applicant or an Associated Person; description of any other final or location of [all offices,] the Applicant’s [(D)](H) a list of all Associated proposed contracts; principal place of business and all other Persons[, the most recent Form U–4 and [(J)](M) a description of the nature and offices, if any, whether or not such Form U–5 for each Associated Person, source of Applicant’s capital with offices would be required to be any other document that discloses the supporting documentation, including a

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Department shall conduct a membership financing to the Applicant’s business, (4) Rejection Of Application That Is interview with a representative or the terms and conditions of such Not Substantially Complete representatives of the Applicant. financing arrangements, the risk to net If the Department determines within (2) Service of Notice capital presented by the Applicant’s 30 days after the filing of an application At least seven days before the proposed business activities, and any that the application is not substantially membership interview, the Department arrangement for additional capital complete, the Department may reject the shall serve on the Applicant a written should a business need arise; application and deem it not to have notice that specifies the date and time [(K)](N) a description of the financial been filed. In such case, within the 30 of the interview and the representative controls to be employed by the day period, the Department shall serve or representatives of the Applicant who Applicant; a written notice on the Applicant of the are required to participate in the [(L)](O) a description of the Department’s determination and the interview. The Department shall serve Applicant’s supervisory system and a reasons therefor. The Association shall the notice by facsimile or [commercial] copy of its written supervisory refund the application fee, less $350, overnight courier. The Applicant and procedures, internal operating which shall be retained by the the Department may agree to a shorter procedures (including operational and Association as a processing fee. If the or longer period for notice or a different internal controls), internal inspections Applicant determines to continue to method of service under this plan, written approval process, and seek membership, the Applicant shall subparagraph. qualifications investigations required by submit a new application and fee under (3) Time Rule 3010; this Rule. Unless the Department directs [(M)](P) a description of the number, (5) Request For Additional Documents otherwise for good cause shown, a experience, and qualifications of Or Information membership interview shall be supervisors and principals and the Within 30 days after the [receipt] scheduled to occur within 90 days after number, experience, and qualifications filing of an application, the Department the [receipt] filing of an application or of persons to be supervised by such shall [determine whether the within 60 days after the [receipt] filing personnel, the other responsibilities of application is complete and, if not, shall of all additional information or the supervisors and principals with the request] serve an initial request for any documents requested, whichever is Applicant, their full-time or part-time additional information or documents later. status, any business activities that the necessary to render a decision on the (4) Place supervisors or principals may engage in application. The Department may Unless the Department and the outside of their association with the [request] serve subsequent requests for Applicant otherwise agree, the Applicant, the hours per week devoted additional information or documents at membership interview shall be to such activities, and an explanation of any time during the membership conducted in the district office for the how a part-time supervisor or principal application process. district in which the Applicant has or will be able to discharge his or her [(5)] Unless otherwise agreed by the intends to have its principal place of designated functions on a part-time Department and the Applicant, the business. basis; Applicant shall file any additional (5) Updated Financial Documents [(N)](Q) a description of Applicant’s information and documents with the On or before the date of the proposed recordkeeping system; Department within 60 days after service membership interview, the Applicant [(O)](R) a copy of the Applicant’s of the Department’s initial request and shall file an updated trial balance, written training plan to comply with 30 days after service of any subsequent balance sheet, supporting schedules, Firm Element continuing education request. and computation of net capital. The requirements described in Rule 1120(b), Applicant shall prepare such including the name of the Associated [(b) Lapse of Application] documents as of a date that is within 45 Person responsible for implementation; [(1) Absent a showing of good cause, days before the date of the membership and an application for membership shall interview, unless the Applicant and the (P) [a copy of the documents lapse if an Applicant fails to: Department agree on a longer period. described in paragraph (a)(1)] a Web (A) respond fully within 60 days after The Applicant shall promptly notify the CRD entitlement request form and a an initial request for information or Department in writing of any material Member Contact Questionnaire user documents, within 30 after any adverse change in its financial access request form. subsequent request, or within such condition that occurs before a decision (3) Electronic Filings [The Applicant other time period agreed to by the constituting final action of the shall file both parts of the application Department and the Applicant; Association is served on the Applicant. simultaneously by commercial courier. (B) appear at or otherwise participate [(5)](6) Review of Standards for The application shall be deemed in a scheduled membership interview Admission received on the date specified in the pursuant to paragraph (c); or During the membership interview, the written confirmation of receipt (C) return an executed membership Department shall review the application generated by the commercial courier for agreement under Rule 1014(c) within 25 and the standards for admission to the delivery of the second part of the days after service of the agreement.] membership with the Applicant’s application to the district office.] Upon [(2) The lapse of an application shall representative or representatives. approval of the Applicant’s Web CRD require an Applicant continuing to seek [(6)](7) Information From Other entitlement request form, the Applicant membership to submit a new Sources shall submit any amendments to its application under paragraph (a).] During the membership interview, the Forms BD or U–4, any additional Forms Department shall provide to the U–4, and any Form U–5 electronically [(c)](b) Membership Interview Applicant’s representative or via Web CRD. Upon approval of the (1) Requirement for Interview representatives any information or Applicant’s membership, the Applicant Before the Department [issues a] document that the Department has shall submit any amendments to its serves its decision on an application for obtained from the Central Registration

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Depository or a source other than the conversion, or breach of fiduciary duty days before the membership interview] Applicant and upon which the that is pending, settled, or has resulted filed under Rule 1013(b)(5). The Department intends to base its decision in an award or judgment;] or a criminal Department may impose a reasonably under Rule 1014. If the Department action (other than a minor traffic determined higher net capital receives such information or document violation) that is pending, adjudicated, requirement for the initiation of after the membership interview or or that has resulted in a guilty or no operations after considering: decides to base its decision on such contest plea; (A) the amount of net capital information after the membership (D) an Associated Person was sufficient to avoid early warning level interview, the Department shall terminated for cause or permitted to reporting requirements, such as SEC promptly serve the information or resign after an investigation of an Rule 17a–11; document and an explanation thereof on alleged violation of a federal or state (B) the amount of capital necessary to the Applicant. securities law, a rule or regulation meet expenses net of revenues for at thereunder, a self-regulatory least twelve months, based on reliable 1014. Department Decision organization rule, or industry standard projections agreed to by the Applicant (a) Standards for Admission of conduct; and the Department; (C) any planned market making After considering the application, the (E) a state or federal authority or self- activities, the number of markets to be membership interview, other regulatory organization has imposed a made, the type and volatility of information and documents provided by remedial action, such as special training products, and the anticipated maximum the Applicant, other information and [or], continuing education requirements, or heightened supervision, on an inventory positions; documents obtained by the Department, (D) any plan to enter into other and the public interest and the Associated Person; and (F) a state or federal authority or self- contractual commitments, such as protection of investors, the Department regulatory organization has provided underwritings or other securities-related shall determine whether the Applicant information indicating that the activities; meets each of the following standards: Applicant or an Associated Person (E) any plan to distribute or maintain (1) The application and all supporting otherwise poses a threat to public securities products in proprietary documents are complete and accurate. investors. positions, and the risks, volatility, (2) The Applicant and its Associated (A) The Applicant has established all degree of liquidity, and speculative Persons have all licenses and contractual or other arrangements and nature of the products; and registrations required by state and business relationships with banks, (F) any other activity that the federal authorities and self-regulatory clearing corporations, service bureaus, Applicant will engage in that reasonably organizations. or others necessary to: could have a material impact on net (3) The Applicant and its Associated a. initiate the operations described in capital within the first twelve months of Persons are capable of complying with the Applicant’s business plan, business operations. the federal securities laws, the rules and considering the nature and scope of [(7)](8) The Applicant has financial regulations thereunder, and the Rules of operations and the number of personnel; controls to ensure compliance with the the Association, including observing and federal securities laws, the rules and high standards of commercial honor and b. comply with the federal securities regulations thereunder, and the Rules of just and equitable principles of trade. In laws, the rules and regulations the Association. determining whether this standard is thereunder, and the Rules of the [(8)](9) The Applicant has met, the Department may take into Association. compliance, supervisory, operational, consideration whether: (5) The Applicant has or has adequate and internal control practices and (A) a state or federal authority or self- plans to obtain facilities that are standards that are consistent with regulatory organization has taken sufficient to: practices and standards regularly permanent or temporary adverse action (B) initiate the operations described in employed in the investment banking or with respect to a registration or the Applicant’s business plan, securities business, taking into account licensing determination regarding the considering the nature and scope of the nature and scope of Applicant’s Applicant or an Associated Person; operations and the number of personnel; proposed business. (B) an Applicant’s or Associated and [(9)](10) The Applicant has a Person’s record[s] reflects[: (i) (C) comply with the federal securities supervisory system, including written disciplinary actions involving sales laws, the rules and regulations supervisory procedures, internal practice violations; (ii) customer thereunder, and the Rules of the operating procedures (including complaints; or (iii) arbitrations that were Association. operational and internal controls), and resolved adversely to the Applicant or (6) The communications and compliance procedures designed to Associated Person] a sales practice operational systems that the Applicant prevent and detect, to the extent event; intends to employ for the purpose of practicable, violations of the federal (C) an Applicant or Associated Person conducting business with customers and securities laws, the rules and is the subject of a pending, adjudicated, other members are adequate and regulations thereunder, and the Rules of or settled regulatory action or provide reasonably for business the Association. In evaluating the investigation by the Commission, the continuity in each area set forth in Rule adequacy of a supervisory system, the Commodity Futures Trading 1013(a)(2)(F)(xii); Department shall consider the overall Commission, a federal, state, or foreign [(6)](7) The Applicant is capable of nature and scope of the Applicant’s regulatory agency, or a self-regulatory maintaining a level of net capital in intended business operations and shall organization; a pending, adjudicated, or excess of the minimum net capital consider whether: settled investment-related civil action requirements set forth in SEC Rule (A) the number, location, experience, for damages or an injunction; [an 15c3–1 adequate to support the and qualifications of supervisory investment-related customer complaint Applicant’s intended business personnel are adequate in light of the or arbitration alleging sales practice operations on a continuing basis, based number, location, experience, and violations, theft, misappropriation, on information [that is current within 30 qualifications of persons to be

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If the under the Rules of the Association; [(13)](14) The application and all Department grants the application (C) the Applicant has identified the supporting documents otherwise are subject to restrictions, the decision shall functions to be performed by each consistent with the federal securities explain in detail the reason for each Associated Person and has adopted laws, the rules and regulations restriction, referencing the applicable procedures to assure the registration thereunder, and the Rules of the standard or standards in paragraph (a) with the Association and applicable Association. states of all persons whose functions are upon which the restriction is based and subject to such registration (b) Granting or Denying Application identify the specific financial, requirements. (1) If the Department determines that operational, supervisory, disciplinary, [(C)](D) each Associated Person the Applicant meets each of the investor protection, or other regulatory identified in the business plan to standards in paragraph (a), the concern that the restriction is designed discharge a supervisory function [in the Department shall grant the application to address and the manner in which the business plan] has at least one year of for membership. restriction is reasonably designed to address the concern. direct experience or two years of related (2) If the Department determines that experience in the subject area to be (3) Failure to [Issue] Serve Decision the Applicant does not meet one or If the Department fails to [issue] serve supervised; more of the standards in paragraph (a) [(D)](E) the Applicant will solicit a decision within 180 days after in whole or in part, the Department [receipt] the filing of an application or retail or institutional business; [may] shall: [(E)](F) the Applicant will recommend such later date as the Department and (A) grant the application subject to securities to customers; the Applicant have agreed in writing, [(F)](G) the location or part-time one or more restrictions reasonably the Applicant may file a written request status of a supervisor or principal will designed to address a specific financial, with the NASD Board requesting that affect such person’s ability to be an operational, supervisory, disciplinary, the NASD Board direct the Department effective supervisor; investor protection, or other regulatory to [issue] serve a decision. Within seven [(G)](H) [the records of an Associated concern based on the standards for days after [receipt] the filing of such a Person reflect: (i) disciplinary actions admission in Rule 1014(a); or request, the NASD Board shall direct the involving sales practice violations; (ii) (B) deny the application. Department to serve its written decision customer complaints; or (iii) arbitrations [(c) Submission of Membership immediately or to show good cause for that were resolved adversely to the Agreement an extension of time. If the Department Associated Person] the Applicant shows good cause for an extension of should be required to place one or more If the Department grants an time, the NASD Board may extend the Associated Persons under heightened application, with or without restriction, 180 day time limit by not more than 90 supervision pursuant to Notice to the Applicant’s approval for days. Members 97–19; membership shall be contingent upon [(H)](I) any remedial action, such as the Applicant’s submission of a written (d) Submission of Membership special training or continuing education membership agreement, satisfactory to Agreement requirements or heightened supervision, the Department, undertaking to: If the Department grants an has been imposed on an Associated (1) engage only in the business set application, with or without restriction, Person by a state or federal authority or forth in the business plan and the the Applicant’s approval for self-regulatory organization; and membership agreement; membership shall be contingent upon [(I)](J) any other condition that will (2) abide by any restriction specified the Applicant’s filing of an executed have a material impact on the in the Department’s decision; written membership agreement, Applicant’s ability to detect and prevent (3) obtain the Department’s prior satisfactory to the Department, violations of the federal securities laws, approval of the removal or modification undertaking to: the rules and regulations thereunder, of such a restriction pursuant to Rule (1) abide by any restriction specified and the Rules of the Association. 1017; and in the Department’s decision; and [(10)](11) The Applicant has a (4) notify and obtain the Department’s (2) obtain the Department’s approval recordkeeping system that enables approval of a change in ownership or of a change in ownership, control, or Applicant to comply with federal, state, control or a material change in business business operations pursuant to Rule and self-regulatory organization operations pursuant to Rule 1018. 1017, including the modification or

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If the National Adjudicatory (e) Service and Effectiveness of Decision Council calls a decision for review, a (1) Notice The Department shall serve its written notice of review shall be served If a hearing is requested or directed, decision and the membership agreement promptly on the Applicant by first-class the hearing shall be held within 45 days on the Applicant in accordance with mail. The written notice of review shall after the [receipt] filing of the request [or Rule 1012. The decision shall become state the specific grounds for the review service of the notice by] with the effective upon service and shall remain and whether a hearing is directed. If a National Adjudicatory Council or in effect during the pendency of any decision is called for review by any service of the notice by the review until a decision constituting member of the National Adjudicatory Subcommittee. The National final action of the Association is issued Council or the Review Subcommittee, Adjudicatory Council shall [send] serve under Rule 1015 or 1016, unless the decision shall be reviewed by the written notice of the date and time of otherwise directed by the National National Adjudicatory Council. The the hearing to the Applicant by Adjudicatory Council, the NASD Board, National Adjudicatory Council facsimile or [commercial] overnight or the Commission. simultaneously shall send by first-class courier not later than 14 days before the hearing. (f) Effectiveness of Restriction mail a copy of the notice to the district office where the Applicant filed its (2) Counsel A restriction imposed under this Rule membership application.] The Applicant and the Department shall remain in effect and bind the may be represented by counsel at a Applicant and all successors to the (b) Transmission of Documents hearing conducted pursuant to this ownership or control of the Applicant Within ten days after [receipt] the Rule. unless: filing of a request for [or notice of] (3) Evidence (1) removed or modified by [the review, the Department shall: Formal rules of evidence shall not Department under Rule 1017] a decision (1) transmit to the National apply to a hearing under this Rule. Not constituting final action of the Adjudicatory Council copies of all later than five days before the hearing, Association issued under Rule 1015, documents that were considered in the Applicant and the Department shall 1016, or 1017; connection with the Department’s exchange copies of their proposed [(2) removed or modified by a decision and an index to the documents; hearing exhibits and witness lists and decision constituting final action of the and provide copies of the same to the Association issued under Rule 1015 or (2) serve on the Applicant a copy of National Adjudicatory Council. If the 1016;] or such documents (other than those Applicant or the Department fails to [(3)](2) stayed by the National documents originally submitted by provide copies of its proposed hearing Adjudicatory Council, the NASD Board, Applicant) and a copy of the index. exhibits or witness list within such or the Commission. time, the Subcommittee shall exclude (c) Membership Application Docket (g) Final Action the evidence or witnesses from the The Department shall promptly proceeding, unless the Subcommittee Unless the Applicant files a written record in the Association’s membership determines that good cause is shown for request for a review under Rule 1015, application docket each request for [or failure to comply with the production the Department’s decision shall notice of] review filed with the National date set forth in this subparagraph. constitute final action by the Adjudicatory Council under this Rule (4) Transcript Association. and each material subsequent event, The hearing shall be recorded and a 1015. Review by National Adjudicatory filing, and change in the status of a transcript prepared by a court reporter. Council membership proceeding. A transcript of the hearing shall be available for purchase from the court (a) Initiation of Review by Applicant (d) Appointment of Subcommittee reporter at prescribed rates. The [(1) Request by Applicant] The National Adjudicatory Council or Applicant, the Department, or a witness Within 25 days after service of a the Review Subcommittee defined in may seek to correct the transcript. A decision under Rule 1014[,] or 1017 [or Rule 9120 shall appoint a Subcommittee proposed correction of the transcript 1018], an Applicant may file a written to participate in the review. The shall be submitted to the Subcommittee request for review with the National Subcommittee shall be composed of at within a reasonable period of time Adjudicatory Council. A request for least two members. One member shall prescribed by the Subcommittee. Upon review shall state with specificity why be a current member of the National notice to the Applicant and the the Applicant believes that the Adjudicatory Council. The remaining Department, the Subcommittee may Department’s decision is inconsistent member or members shall be current or direct the correction to the transcript as with the membership standards set forth past Directors or past Governors. requested or sua sponte. in Rule 1014, or otherwise should be set [(5) Failure to Appear at Hearing] aside, and state whether a hearing is (e) Powers of Subcommittee [If an Applicant fails to appear at a requested. The Applicant If a hearing is requested [or directed], hearing for which it has notice, the simultaneously shall [send] file by first- the Subcommittee shall conduct the National Adjudicatory Council may class mail a copy of the request to the hearing. If a hearing is not requested, dismiss the request for review as district office where the Applicant filed the Subcommittee may serve a notice abandoned, and the decision of the its [membership] application. directing that a hearing be held. If a Department shall become the final [(2) Notice by National Adjudicatory hearing is not requested or directed, the action of the Association. Upon a Council Subcommittee shall conduct its review showing of good cause, the National

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Adjudicatory Council may withdraw a (3) Issuance of Decision After vote of the majority of the NASD Board dismissal entered pursuant to this Expiration of Call for Review Periods then in office, the NASD Board may, subparagraph.] The National Adjudicatory Council during the 15 day period, vote to extend shall provide its proposed written the period to more than 15 days. (g) Additional Information, Briefs decision to the NASD Board. The NASD (c) Review At Next Meeting At any time during its consideration, Board may call the membership the Subcommittee or the National proceeding for review pursuant to Rule If a Governor calls a membership Adjudicatory Council may direct the 1016. If the NASD Board does not call proceeding for review within the time Applicant or the Department to [submit] the membership proceeding for review, prescribed in paragraph (b), the NASD file additional information [and to file] the proposed written decision of the Board shall review the membership or briefs. Any additional information or National Adjudicatory Council shall proceeding not later than the next brief [submitted] filed shall be provided become final. The National meeting of the NASD Board. The NASD to all parties before the National Adjudicatory Council shall serve the Board may order the Applicant and the Adjudicatory Council renders its Applicant with a written notice Department to file briefs in connection decision. specifying the date on which the call for with review proceedings pursuant to this paragraph. (h) Abandonment of Request for Review review period expired and stating that the final written decision will be served If an Applicant fails to specify the (d) Decision of NASD Board, Including within 15 days after such date. The Remand grounds for its request for review under National Adjudicatory Council shall After review, the NASD Board may Rule 1015(a)(1), appear at a hearing for serve its final written decision within 15 affirm, modify, or reverse the proposed which it has notice, or file information days after the date on which the call for or briefs as directed, the National written decision of the National review period expired. The decision Adjudicatory Council. Alternatively, the Adjudicatory Council or the Review shall constitute the final action of the Subcommittee may dismiss the request NASD Board may remand the Association for purposes of SEC Rule membership proceeding with for review as abandoned, and the 19d–3, unless the National Adjudicatory decision of the Department shall instructions. The NASD Board shall Council remands the membership prepare a written decision that includes become the final action of the proceeding. Association. Upon a showing of good all of the elements described in Rule (4) Failure to Issue Decision 1015[(i)(2)](j)(2). cause, the National Adjudicatory If the National Adjudicatory Council Council or the Review Subcommittee fails to serve its final written decision (e) Issuance of Decision may withdraw a dismissal entered within the time prescribed in pursuant to this paragraph. The NASD Board shall serve its subparagraph (3), the Applicant may file written decision on the Applicant [(h)](i) Subcommittee Recommendation a written request with the NASD Board within 15 days after the meeting at The Subcommittee shall present a requesting that the NASD Board direct which it conducted its review. The recommended decision in writing to the the National Adjudicatory Council to decision shall constitute the final action National Adjudicatory Council within serve its decision immediately or to of the Association for purposes of SEC 60 days after the date of the hearing show good cause for an extension of Rule 19d–3, unless the NASD Board held pursuant to paragraph (f), and not time. Within seven days after [receipt] remands the membership proceeding. later than seven days before the meeting the filing of such a request, the NASD 1017. [Removal or Modification of of the National Adjudicatory Council at Board shall direct the National Business Restriction] Application for which the membership proceeding shall Adjudicatory Council to serve its Approval of Change in Ownership, be considered. written decision immediately or to show Control, or Business Operations [(i)](j) Decision good cause for an extension of time. If the National Adjudicatory Council (a) Events Requiring Application (1) Proposed Written Decision shows good cause for an extension of [A member of the Association may After considering all matters time, the NASD Board may extend the presented in the review and the seek modification or removal of a 15 day time limit by not more than 15 restriction on its business activities Subcommittee’s recommended written days. decision, the National Adjudicatory imposed pursuant to the Rule 1010 Council may affirm, modify, or reverse 1016. Discretionary Review by NASD Series by filing a written application the Department’s decision or remand Board with the Department at the district office for the district in which the the membership proceeding with (a) Call for Review by Governor instructions. The National Adjudicatory member’s principal place of business is Council shall prepare a proposed A Governor may call a membership located. The application shall present written decision pursuant to proceeding for review by the NASD facts showing that the circumstances subparagraph (2). Board if the call for review is made that gave rise to the restriction have (2) Contents within the period prescribed in changed and state with specificity why The decision shall include: [sub]paragraph [(2)](b). the restriction should be modified or removed in light of the standards set (A) a description of the Department’s (b) 15 Day Period; Waiver decision, including its rationale; forth in Rule 1014 and the articulated (B) a description of the principal A Governor shall make his or her call rationale for the imposition of the issues raised in the review; for review at the next meeting of the restriction. A copy of the decision and (C) a summary of the evidence on NASD Board that is at least 15 days after membership agreement pertaining to each issue; and the date on which the NASD Board such restriction shall be appended to (D) a statement whether the receives the proposed written decision the application.] Department’s decision is affirmed, of the National Adjudicatory Council. A member shall file an application for modified, or reversed, and a rationale By unanimous vote of the NASD Board, approval of any of the following changes therefor that references the applicable the NASD Board may shorten the period to its ownership, control, or business standards in Rule 1014. to less than 15 days. By an affirmative operations:

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(1) a merger of the member with (c) Effecting Change and Imposition of restriction shall lapse if an Applicant another member, unless both are Interim Restrictions fails to: (A) respond fully within 30 days after members of the New York Stock (1) A member shall file an application a request for information or documents; Exchange, Inc. or the surviving entity for approval of a change in ownership will continue to be a member of the New (B) appear at or otherwise participate or control at least 30 days prior to such in a scheduled membership interview York Stock Exchange, Inc.; change. A member may effect a change (2) a direct or indirect acquisition by pursuant to paragraph (d); or in ownership or control prior to the (C) return an executed membership the member of another member, unless conclusion of the proceeding, but the the acquiring member is a member of agreement under paragraph (e)(4) within Department may place new interim 25 days after service of the agreement. the New York Stock Exchange, Inc.; restrictions on the member based on the (3) a direct or indirect acquisition of (2) The lapse of an application shall standards in Rule 1014, pending final require the Applicant to submit a new substantially all of the member’s assets, Department action. unless the acquirer is a member of the application to modify or remove a (2) A member may file an application restriction under paragraph (a).] New York Stock Exchange, Inc.; to remove or modify a membership (4) a change in the equity ownership agreement restriction at any time. An [(d)](f) Membership Interview or partnership capital of the member existing restriction shall remain in effect (1) The Department may require the that results in one person or entity during the pendency of the proceeding. Applicant to participate in a directly or indirectly owning or (3) A member may file an application membership interview within 30 days controlling 25 percent or more of the for approval of a material change in after the [receipt] filing of the equity or partnership capital; or business operations, other than the application, or if the Department (5) a material change in business modification or removal of a restriction, requests additional information or operations as defined in Rule 1011(i). at any time, but the member may not documents, within 30 days after the (b) Filing and Content of Application effect such change until the conclusion filing of the additional information or of the proceeding, unless the documents by the Applicant. (1) The member shall file the Department and the member otherwise (2) At least seven days before the application with the Department at the agree. membership interview, the Department district office in the district in which the shall serve on the Applicant a written (d) Rejection Of Application That Is Not member’s principal place of business is notice that specifies the date and time Substantially Complete located. If the application involves a of the interview and [the representative merger between members with principal If the Department determines within or representatives of the Applicant] places of business in two or more 30 days after the filing of an application persons who are required to participate districts, the application shall be filed that the application is not substantially in the interview. The Department shall and processed by the district office complete, the Department may reject the serve the notice by facsimile or wherein the surviving firm’s principal application and deem it not to have [commercial] overnight courier. The place of business will be located. been filed. In such case, within the 30 Applicant and the Department may (2) The application shall describe in day period, the Department shall serve agree to a shorter or longer period for detail the change in ownership, control, a written notice on the Applicant of the notice or a different method of service. or business operations and include a Department’s determination and the (3) Unless the Department and the business plan, pro forma financials, an reasons therefor. If the Applicant Applicant otherwise agree, the organizational chart, and written determines to continue to apply for membership interview shall be supervisory procedures reflecting the approval of a change in ownership, conducted in the district office for the change. control, or business operations, the district in which the Applicant has its (A) If the application requests Applicant shall submit a new principal place of business. approval of a change in ownership or application under this Rule. (4) During the membership interview, control, the application also shall the Department shall review the [(b)](e) Request for Additional include the names of the new owners, application and the considerations for Documents and Information their percentage of ownership, and the the Department’s decision set forth in sources of their funding for the purchase Within 30 days after the [receipt] paragraph [(e)(1)](g)(1). The Department and recapitalization of the member. filing of an application [to remove or shall provide to the Applicant’s (B) If the application requests the modify a restriction], the Department representative or representatives any removal or modification of a shall [determine whether the information or document that the membership agreement restriction, the application is complete, and if not, Department has obtained from the application also shall: shall] serve a request for any additional Central Registration Depository or a (i) present facts showing that the information or documents necessary to source other than the Applicant and circumstances that gave rise to the render a decision [under paragraph (e)] upon which the Department intends to restriction have changed; and on the application. The Department may base its decision under paragraph (ii) state with specificity why the serve subsequent requests for additional [(e)](g). If the Department receives such restriction should be modified or information or documents at any time information or document after the removed in light of the standards set during the application process. Unless membership interview or decides to forth in Rule 1014 and the articulated otherwise agreed by the Department and base its decision on such information rationale for the imposition of the the Applicant, the Applicant shall file after the membership interview, the restriction. any additional information and Department shall promptly serve the (C) If the application requests documents with the Department within information or document and an approval of an increase in Associated 30 days after service of a request. explanation thereof on the Applicant. Persons involved in sales, offices, or markets made, the application shall set [(c) Lapse] [(e)](g) Department Decision forth the increases in such areas during [(1) Absent a showing of good cause, (1) [In evaluating an application the preceding 12 months. an application to modify or remove a submitted under paragraph (a)] The

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Department shall consider the time, the NASD Board may extend the For the protection of investors, the application, the membership interview, time limit for issuing a decision by not Department may shorten the 60 day other information and documents more than 30 days. period. For good cause shown by the provided by the Applicant or obtained (4) If the Department [modifies or member, the Department may lengthen by the Department, the public interest, removes a restriction on the Applicant’s the 60 day period. The Department shall and the protection of investors. business activities, the] approves an serve written notice on the Applicant of (A) In rendering a decision on an application under this Rule in whole or any change in the 60-day period and the application for approval of a change in part, the Department shall require an reasons therefor. During the 60-day or ownership or control, or an application Applicant to file an executed other imposed period, the Department for approval of a material change in membership agreement [submitted may continue to place interim business operations that does not under Rule 1014 shall be modified restrictions on the member for the involve modification or removal of a accordingly]. protection of investors. membership agreement restriction, the [1018. Change in Ownership, Control, or Department shall determine if the [(f)](h) Service and Effectiveness of Operations] Applicant would continue to meet the Decision standards in Rule 1014(a) upon The Department shall serve its [(a) Notice approval of the application. decision on the Applicant in accordance At least 30 days prior to the (B) In rendering a decision on an with Rule 1012. The decision shall occurrence of any of the following application requesting the modification become effective upon service and shall changes in ownership, control, or or removal of a membership agreement remain in effect during the pendency of operations, a member shall file a written restriction, the Department shall any review until a decision constituting notice and application for continuance consider whether maintenance of the final action of the Association is in membership with the Department at restriction is appropriate in light of: [issued] served under Rule 1015 or the district office in the district in [(A)](i) the standards set forth in Rule 1016, unless otherwise directed by the which the member’s principal place of 1014; National Adjudicatory Council, the business is located: [(B)](ii) the circumstances that gave NASD Board, or the Commission. (1) a merger of the member with rise to the imposition of the restriction; another member; [(C)](iii) the Applicant’s operations [(g)](i) Request for Review; Final Action (2) an acquisition by the member of since the restriction was imposed; another member; [(D)] (iv) [a] any change in ownership An Applicant may file a written request for review of the Department’s (3) an acquisition of substantially all or control or supervisors and principals; of the member’s assets; and decision with the National Adjudicatory Council pursuant to Rule 1015. The (4) a change in the equity ownership [(E)](v) any new evidence submitted or partnership capital of the member in connection with the application. procedures set forth in Rule 1015 shall apply to such review, and the National that results in one person or entity (2) The Department shall [issue] serve owning or controlling 25 percent or a written decision on the application Adjudicatory Council’s decision shall be subject to discretionary review by the more of the equity or partnership within 30 days after the conclusion of capital; or the membership interview or the NASD Board pursuant to Rule 1016. If the Applicant does not file a request for (5) a material change in the member’s [submission] filing of additional business operations.] information or documents, whichever is a review, the Department’s decision later. If the Department does not require shall constitute final action by the [(b) Review and Imposition of Interim the Applicant to participate in a Association. Restrictions membership interview or request [(h)](j) Removal or Modification of The Department shall review a change additional information or documents, Restriction on Department’s Initiative in ownership, control, or operations the Department shall [issue] serve a described in paragraph (a) prior to the written decision within 45 days after the The Department shall modify or change taking effect. The Department [receipt] filing of the application under remove a restriction on its own may maintain existing restrictions on paragraph (a). The decision shall state initiative if the Department determines the member’s business activities and whether the application [to modify or such action is appropriate in light of the place new interim restrictions on the remove the restriction] is granted or considerations set forth in paragraph member based on the standards in Rule denied in whole or in part, and shall [(e)(1)](g)(1). The Department shall 1014, pending final Department action.] provide a rationale for the Department’s notify the member in writing of the decision, referencing the applicable Department’s determination and inform [(c) Request for Information standard in Rule 1014. the member that it may apply for further Within 30 days after receipt of the (3) If the Department fails to [issue] modification or removal of a restriction notice and application under paragraph serve a decision within 180 days after by filing an application under paragraph (a), the Department shall request any [receipt] filing of an application or such (a). additional information or documents later date as the Department and the (k) Lapse or Denial of Application for necessary to render a decision under Applicant have agreed in writing, the Approval of Change in Ownership paragraph (f). Unless otherwise agreed Applicant may file a written request by the Department and the Applicant, with the NASD Board requesting that If an application for approval of a the Applicant shall file such additional the NASD Board direct the Department change in ownership lapses, or is denied information or documents with the to issue a decision. Within seven days and all appeals are exhausted or Department within 30 days after the after [receipt] the filing of such a waived, the member shall, no more than Department’s request. The Department request, the NASD Board shall direct the 60 days after the lapse or exhaustion or may request additional information and Department to issue a written decision waiver of appeal: documents at any time during the immediately or to show good cause for (1) submit a new application; application process; unless the an extension of time. If the Department (2) unwind the transaction; or Applicant and the Department agree shows good cause for an extension of (3) file a Form BDW. otherwise, the Applicant shall file such

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The (C) return an executed membership are necessary for the Applicant to procedures set forth in Rule 1015 shall agreement under paragraph (g) within continue to meet such standards. apply to such a review, and the National 25 days after service of the agreement. (2) The Department shall issue a Adjudicatory Council’s decision shall be (2) The lapse of an application shall written decision within 30 days after the subject to discretionary review by the require the Applicant to submit a new membership interview or the NASD Board pursuant to Rule 1016. If application under paragraph (a).] submission of additional information or the Applicant does not file a request for [(e) Membership Interview documents, whichever is later. If the review, the Department’s action shall Department does not require the constitute the final action of the (1) The Department may require the Applicant to participate in a Association.] Applicant to participate in a membership interview or submit membership interview. The additional information or documents, 1018. Stay of Application During membership interview shall be held the Department shall issue a written Pendency of Criminal or Other within 30 days after the receipt of the decision within 45 days after receipt of Proceeding application, or if the Department an application under paragraph (a). The (a) The Department may stay an requests additional information or decision shall state the terms for application filed under Rule 1013 or documents, within 30 days after the continuance in NASD membership, 1017 if: filing of such additional information or whether current restrictions, if any, are (1) a state or federal authority files documents by the Applicant. maintained or new restrictions are criminal charges against the Applicant (2) At least seven days before the imposed, and shall provide a rationale membership interview, the Department or a principal or proposed principal of for the Department’s decision, the Applicant; shall serve on the Applicant a written referencing the applicable standard in notice that specifies the date and time (2) the Commission files a complaint Rule 1014. or a request for injunctive relief against of the interview and the representative (3) If the Department fails to issue a or representatives of the Applicant who the Applicant or a principal or proposed decision within 180 days after receipt of principal of the Applicant; or are required to participate in the an application or such later date as the interview. The Department shall serve (3) the Association, another self- Department and the Applicant have regulatory organization, or a state files the notice by facsimile or commercial agreed in writing, the Applicant may courier. The Applicant and the a disciplinary complaint against the file a written request with the NASD Applicant or a principal or proposed Department may agree to a shorter or Board requesting that the NASD Board longer period for notice or a different principal of an Applicant alleging a direct the Department to issue a violation of a law or rule listed in IM– method of service. decision. Within seven days after (3) Unless the Department and the 1011–1 (or a comparable state law, rule, receipt of such a request, the NASD or regulation). Applicant otherwise agree, the Board shall direct the Department to membership interview shall be issue a written decision immediately or In such case, the application shall be conducted in the district office for the to show good cause for an extension of stayed during the pendency of the district in which the Applicant has or time. If the Department shows good proceeding. If the Department has intends to have its principal place of cause for an extension of time, the imposed interim restrictions under Rule business. NASD Board may extend the time limit 1017(c), the restrictions shall remain in (4) During the membership interview, for issuing a decision by not more than effect during the stay. the Department shall review the 30 days.] (b) If the Applicant or principal or application and the considerations for proposed principal prevails in the the Department’s decision set forth in [(g) Submission of Membership proceeding, the stay shall be lifted paragraph (f). The Department shall Agreement automatically. provide to the Applicant’s The Department may condition (c) If there is a material change in the representative or representatives any approval of an application for circumstances that gave rise to the stay, information or document that the continuance in membership on the the Applicant may file a written request Department has obtained from the Applicant’s submission of a new written with the Department to lift the stay. The Central Registration Depository or a membership agreement pursuant to Rule Department shall serve a written source other than the Applicant and 1014(c).] response on the Applicant within 14 upon which the Department intends to days after the filing of the request by the base its decision under paragraph (f). If [(h) Service and Effectiveness of Applicant. If the Department denies the the Department receives such Decision request, the Applicant may file a written information or document after the The Department shall serve its request for review with the National membership interview or decides to decision on the Applicant in accordance Adjudicatory Council. The National base its decision on such information with Rule 1012. The decision shall Adjudicatory Council or the Review after the membership interview, the become effective upon service and shall Subcommittee shall serve a written

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Electronic Filing Rules • providing a safe harbor for modest the member potentially could be subject (a) Filing Requirement expansions that will not require an to disciplinary action for failure to file application, an application under proposed Rule Except as provided in Rule 1013(a)(2), which together are intended to provide all [All] forms required to be filed by the 1017. more even-handed treatment among Proposed Interpretive Material 1011– By-Laws shall be filed through an members for various business electronic process or such other process 1 (IM–1011–1) is added to create a safe expansions, provide more certainty harbor for certain changes that are the Association may prescribe to the regarding which expansions require Central Registration Depository. presumed not to be material and approval, and eliminate unnecessary therefore do not require a member to * * * * * applications; • submit an application for approval of II. Self-Regulatory Organization’s permitting the staff to stay the change. The safe harbor would not Statement of the Purpose of, and membership applications if a firm or be available to members that have a Statutory Basis for, the Proposed Rule one of its principals is the subject of a ‘‘disciplinary history.’’ The term Change disciplinary action; ‘‘disciplinary history’’ shall mean a • permanently rescinding the finding of a violation by the member or In its filing with the Commission, National Adjudicatory Council’s a principal of the member in the past NASD Regulation included statements authority to review membership five years by the Commission, a self- concerning the purpose of, and basis for, decisions that are not appealed by an regulatory organization, or a foreign the proposed rule change and discussed Applicant; financial regulatory authority of one or any comments it received on the • simplifying administrative more of the following provisions (or proposed rule change. The text of these procedures for submitting an comparable foreign provisions) or rules statements may be examined at the application and calculating the various or regulations thereunder: Sections places specified in Item IV below. time limits that apply to the process; 15(b)(4)(E) and 15(c) of the Act (failure NASD Regulation has prepared and to supervise; fraud and manipulation); summaries, set forth in Sections A, B, • permitting the staff to reject Section 17(a) of the Securities Act of and C below, of the most significant immediately applications that are not 1933 (fraudulent interstate transactions); aspects of such statements. substantially complete. A detailed explanation of the Exchange Act 10b–5 (fraud and A. Self-Regulatory Organization’s proposed rule change follows. manipulation), and 15g–1 through 15g– Statement of the Purpose of, and 9 (penny stock rules); NASD Rules 2110 Statutory Basis for, the Proposed Rule a. Proposed Rule 1011 (just and equitable principles of trade), Change The definition of ‘‘Associated Person’’ 2120 (fraud and manipulation), 2310 (suitability), 2330 (protection of 1. Purpose is amended to clarify that it includes only natural persons. customer securities and funds), 2440 NASD Regulation proposes to amend The term ‘‘material change in (fair prices and commissions), 3010 the Rule 1010 Series, which governs business operations’’ is defined for the (failure to supervise only), 3310 NASD membership. NASD Regulation first time. The definition is significant (manipulative and deceptive staff worked with the Member because it triggers a requirement for a quotations), and 3330 (payments to Admission Review Committee member to apply to the district office for influence market prices); and MSRB (Committee), 4 an ad-hoc committee approval of the change under proposed Rules G–19 (suitability), G–30 (prices convened in August 1998, to develop Rule 1017. The term is defined to and commissions), and G–37(b) and (c) the proposed changes. The purpose of include removing or modifying a (political contributions). the proposed rule change is to membership agreement restriction;5 The term ‘‘principal place of streamline the Rules and make them market making, underwriting, or acting business’’ is defined for the first time. more efficient while preserving their as a dealer for the first time; or adding An Applicant’s principal place of investor protection function. business activities that require a higher business determines which district The most significant changes are as minimum net capital. office will process its application. follows: NASD Regulation does not believe ‘‘Principal place of business’’ means the • reorganizing and consolidating that it is possible to develop an location where the officers, partners, or some of the current rules to make them exhaustive definition of the term managers direct and control the easier to use; ‘‘material change in business activities of the Applicant, unless NASD • clarifying the rules and policies that operations.’’ If a change in a member’s Regulation staff designates a different apply to business expansions by— business falls outside of the definition, location. That location may be where or the safe harbor described below (e.g., the largest number of associated persons because it exceeded the safe harbor 4 Members of the Committee are: Faith Colish, are located or where the books and New York, New York; Linda Lerner, All-Tech limits or the member has disciplinary records are kept. This definition is Investment Group, Inc., Montvale, New Jersey; designed to prevent an Applicant from Brian T. Shea, Pershing, Jersey City, New Jersey; 5 NASD Regulation included removing or trying to select a particular district Theodore W. Urban, Ferris, Baker & Watts, modifying a restriction in this definition to effect Incorporated, Washington, D.C.; and Richard P. the consolidation of current Rules 1017 and 1018. office to process its application through Woltman, Spelman & Co., Inc., San Diego, The rationale for the consolidation is set forth in the its designation of a principal place of California. Mr. Urban chairs the Committee. section titled ‘‘Proposed Rule 1017,’’ below. business.

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NASD Regulation proposes to Applicant does not timely provide to become an NASD member. These redefine ‘‘sales practice violations’’ as requested information or documents. procedures can consume as much as 90 ‘‘sales practice event’’ because the The only changes to the lapse rule are days and a considerable amount of staff definition includes not only proven to permit the staff and the Applicant to and Applicant resources, but still result violations, but also unproven agree on a submission date for the in a rejected application. allegations.6 The proposed definition membership agreement, rather than Under the proposed rule, if an includes any customer complaint, requiring that all agreements be application is so deficient upon initial arbitration, or civil litigation that has submitted within 25 days, and clarify submission that the staff cannot begin been or is required to be reported to the that fees are not refunded for lapsed processing it (e.g., it is missing major Central Registration Depository (‘‘CRD’’) applications. components of the application, such as or otherwise is required to be reported The subparagraphs of Rule 1012(c) are written supervisory procedures or a to the Association (e.g., via Rule 3070). reordered for ease of reading. business plan), then the staff may reject The terms ‘‘Applicant’’ and the application. The staff would have no c. Proposed Rule 1013 ‘‘Interested Association Staff’’ are more than 30 days after submission to amended to make them consistent with One of the major changes to this Rule do this, and would be required to other rule changes. is to simplify application submission provide reasons for its action in writing. procedures. Currently, this Rule NASD Regulation proposes a $350 b. Proposed Rule 1012 requires Applicants to submit their processing fee for the rejection of an NASD Regulation proposes to amend applications in two parts. Part One, application that is not substantially the service and filing provisions to which includes primarily forms and fees complete. NASD Regulation considered permit additional methods of delivery (e.g., the initial Forms BD and U–4), is but rejected defining the term and to use consistent terminology for sent directly to the CRD in Rockville, ‘‘substantially complete’’ because the calculating deadlines. The term Maryland, for processing. Part Two, determination will vary depending on ‘‘commercial courier’’ is replaced with which includes all remaining the type and complexity of the proposed ‘‘overnight courier’’ to clarify that documents required for member business, among other things. The lapse Applicants and NASD Regulation staff admission, is sent to the district office rules will still apply to those situations may use the overnight delivery service that will review the application. At the where an Applicant stops providing offered by the United States Post Office. time the rule was adopted, the staff information in the middle of the NASD Regulation interprets the term thought it would be more efficient to application process. ‘‘overnight courier’’ to refer to any entity send each part to the location where it Rule 1013 also is simplified by that regularly provides such overnight would be processed. In practice, this has removing requirements for Applicants delivery services, such as Federal created problems when both parts of the to submit information that has already Express, DHL, or the United States Post application are not submitted at the been submitted to CRD. The district staff Office. Use of the term ‘‘overnight same time, or one or both parts are has full access to CRD and can obtain courier’’ is not intended to imply that incomplete, making it difficult to the information they need directly from only actual overnight delivery may be determine when the application should it. This change will make the used under the Rule. Overnight delivery be treated as filed and when the staff application process simpler for should be used if it is available. should begin reviewing it. The Applicants by eliminating duplicative However, if overnight delivery is not application filing date is critical because submissions to NASD Regulation. available for a particular location, the the 180-day limitation placed on the Under the proposed Rule 1013(a)(2), Applicant or NASD Regulation staff may staff for rendering a decision on the an Applicant will continue to submit use the most rapid delivery option application is measured from this date. only its initial Forms BD and U–4 in available (e.g., two day service) from the To alleviate these problems, NASD paper along with the rest of the overnight courier and still be in Regulation recommends one point of application. The Applicant also will compliance with the proposed Rule. entry for the entire application, the submit a Web CRD entitlement request Throughout the proposed rules, the district office. District staff will review form with its application. Under term ‘‘file’’ is used uniformly to refer to the entire application to determine if it proposed Rule 1013(a)(3), upon submissions by an Applicant, and the is substantially complete. If so, they will approval of the Web CRD entitlement term ‘‘serve’’ is used uniformly to refer forward any documents that need to go request form by NASD Regulation, the to delivery of requests, decisions, and to CRD and continue processing the Applicant must make all subsequent the like by the Association; other application. Form filings and amendments terminology, such as ‘‘issuance’’ or NASD Regulation proposes a new rule electronically via Web CRDsm. A 7 ‘‘receipt’’ is deleted. These changes for dealing with applications that are conforming change is proposed for Rule provide greater clarity in calculating not substantially complete at the time of 1140. This process will be in conformity deadlines in accordance with proposed submission. Currently, the staff does not with Commission requirements for the Rule 1012(a). have any authority to refuse to begin submission of Form BD and The lapse of application provisions processing an inadequately prepared amendments to it.8 Similarly, the initial are consolidated and moved from Rules application. Instead, they attempt to Member Contact Questionnaire and user 1013(b), 1017(c), and 1018(d) to begin processing such an application by access request form also are submitted proposed Rule 1012(b) for ease of sending a request for further on paper; upon approval of a reference. The lapse rule, which is information to the Applicant. If the membership application, the member discussed in greater detail in the next Applicant does not timely provide the may update the Member Contact section, permits the staff to discontinue requested information, then the rules Questionnaire electronically. processing an application if an permit the staff to ‘‘lapse’’ the The proposed rule adds new application. The staff then notifies the requirements for Applicants to submit 6 NASD Regulation is not proposing any change Applicant that the application has to the definition of sales practice violation on the information concerning their ability to Form U–4. lapsed, all fees are forfeited, and the 7 See, e.g., proposed Rules 1013(a)(5), (b)(1), and Applicant is required to start over with 8 See Exchange Act Release No. 41594 (July 2, 1014(c)(3). the application process if it still wants 1999), 64 FR 37586 (July 12, 1999).

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36874 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices ensure business continuity, including Rule 1014(c), which concerns the NASD Regulation believes that the information about the capacity of their submission of membership agreements, oversight function envisioned for the communications and operational is amended by deleting the requirement call for review provision, which has systems, contingency plans, disaster that any member with a membership proved to be unworkable, is performed recovery plans, and the like. NASD agreement obtain approval from NASD through a variety of other existing Regulation also proposes a new Regulation of any change in business mechanisms. The Home Office of the standard for admission that requires that outside the terms of the agreement. Member Regulation Department such systems, plans, and procedures be NASD Regulation believes that this employs a full time Membership adequate in proposed Rule 1014(a)(6). provision is too restrictive, particularly Manager to coordinate and oversee the The staff would not be required to for firms with no disciplinary history. national program. Part of the manager’s investigate the adequacy themselves; The provision also puts members with responsibility includes a quality control rather, the Applicant would certify that a membership agreement at a function. This function is carried out in the systems, plans, and procedures are disadvantage vis-aacute;-vis members several ways: maintenance of a adequate for the Applicant’s business. that do not have a membership Membership Procedures Manual; The Applicant may self-certify or may agreement.10 Therefore, this provision is periodic advice memoranda sent to rely on a third party (e.g., a vendor of deleted. When the proposed rule change District Office staff (‘‘MAP Bulletins’’); such a system) to provide the becomes effective, to ensure that regularly scheduled telephone certification if the Applicant so chooses. members are treated equally, NASD conferences with District Office staff to NASD Regulation also wishes to Regulation will permit members that are discuss procedural and substantive clarify that under Rule 1013(b)(4), the eligible for the safe harbor to use it, even issues arising in the program; and Applicant and the staff may agree to if their membership agreement includes periodic training sessions for new and hold the membership interview at the a general requirement to obtain approval incumbent staff. To supplement these Applicant’s place of business. from NASD Regulation of any change in tools, Member Regulation’s Office of Rule 1013 is amended by adding new business outside the terms of the Quality Assurance conducts periodic subparagraph (b)(5) to require agreement. When NASD Regulation peer reviews of the membership admission program, most recently in Applicants to provide updated financial examines a member, it will update the 1998 and 1999. The purpose of these information at the time of their membership agreement to reflect the peer reviews was to assess the District membership interview. new rule. As part of the proposed rule change, paragraphs 1014(c) and (d) also Offices’ application of the membership d. Proposed Rule 1014 are reordered for ease of reading. rules and procedures. The reviews included an examination of 265 files in NASD Regulation proposes few In addition, upon adoption of the recently-issued membership decisions. changes with respect to the standards proposed rules, NASD Regulation will The reviews included spot checks of for admission. NASD Regulation begin including business expansions source documents to confirm the facts proposes a new standard with respect to plans in membership agreements to the extent practicable. underlying the decisions. In addition, business continuity, as described above. peer reviews of the membership NASD Regulation also proposes that the e. Proposed Rule 1015 program will be conducted in the future. Applicant’s supervisory procedures NASD Regulation also proposes a new must specifically include procedures to Under current Rule 1015, the NAC or paragraph (h) for dismissing appeals ensure proper registrations are obtained the Review Subcommittee may call for that are abandoned by an applicant, by the firm. All other changes to the review a district decision on a which includes failing to appear at a standards for admission are conforming membership application, even if the hearing as set forth in current Rule 9 changes. Applicant does not appeal the decision. 1015(f)(5), among other things. NASD Regulation also considered the NASD Regulation considered at length requirement of Rule 1014(a)(9)(C) that whether a procedure or policy could be f. Proposed Rule 1017 prospective supervisors have at least developed to implement this provision Current Rule 1017, which addresses one year of direct experience or at least effectively, but ultimately determined applications for removal or modification two years of related experience in the that it is unworkable. NASD Regulation of a business restriction, and Rule 1018, subject area to be supervised. NASD has temporarily suspended calls for which addresses applications for Regulation believes that this review of membership decisions and approval of changes in ownership, requirement should continue to be proposes to delete this provision control, or operations, are consolidated imposed and has published interpretive altogether for the reasons set forth in in proposed Rule 1017. Sometimes a guidance on this subject in How To Exchange Act Release No. 41311 (Apr. member initiates business changes that Become A Member, which is available at 20, 1999), 64 FR 20347 (Apr. 26, 1999) involve both rules, which creates www.nasdr.com/4700_toc.htm. NASD (File SR–NASD–99–15). confusion as to which rule should be Regulation does not believe that used. Therefore, NASD Regulation supervisory experience requirements 10 In 1984, the SEC approved a codification of the proposes to consolidate these rules to should be increased. NASD’s member admission procedures, which make them easier for staff and included a requirement that any restriction on a member’s business be included in a membership applicants to use and to eliminate any 9 NASD Regulation also wishes to provide some agreement executed by the member. See Exchange confusion that may arise from guidance on how it treats unadjudicated violations Act Release No. 21159 (July 20, 1984), 49 FR 30268 overlapping provisions. under Rule 1014. The Rule permits the staff to (July 27, 1984) (File No. SR–NASD–82–24). Thus, This consolidation is achieved in part consider unadjudicated violations as part of a a member admitted before 1984 or a member decision on a membership application. In most admitted without any restriction from 1984 to 1997 by defining the term ‘‘material change in cases, an unadjudicated violation by itself will not may not have a membership agreement. In 1997, business operations’’ in proposed Rule result in a restriction or a denial, but depending on NASD Regulation began requiring all new members 1011(i) to include the removal or the circumstances, may require heightened to execute a membership agreement, regardless of modification of a business restriction. supervision. However, a particularly egregious whether NASD Regulation imposed any restriction. allegation, e.g., a criminal charge involving a large See NASD Rule 1014(c); Exchange Act Release. No. All material changes in business number of customers, may cause the staff to 38908 (Aug. 7, 1997), 62 FR 43385 (Aug. 13, 1997) operations would trigger a review under consider a restriction or denial. (File No. SR–NASD–97–28). proposed Rule 1017. Members should

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36875 note that a ‘‘restriction’’ is specifically eliminating duplication by self- more information is available about the labeled as such in the membership regulatory organizations. processing time for applications. agreement, and NASD Regulation issues Proposed Rule 1017 also sets forth for g. Proposed Rule 1018 a decision that states the rationale for the first time what type of information the restriction. should be included in an application NASD Regulation proposes to adopt a A restriction is distinct from other and the content of the staff’s decision on new NASD Rule 1018, which would limitations that a member may set forth an application under this Rule. The permit the staff to stay a membership in its business plan that may be recited Rule also clarifies when the application application under NASD Rule 1013 or as part of the ‘‘Business Activities’’ should be filed and what changes can be 1017 if a state or federal authority files section of a membership agreement. For effected prior to obtaining NASD criminal charges against the Applicant example, an applicant may include in Regulation’s approval. or a principal or proposed principal of its business plan that it intends to have NASD Regulation proposes a new the Applicant; the SEC files a complaint 10–20 registered representatives and paragraph (k) to clarify what happens if or a request for injunctive relief against make markets in no more than 10 a change in ownership application the Applicant or a principal or proposed stocks. If the NASD approves the lapses or is denied. The proposed rule application, these self-imposed principal of the Applicant; or the NASD, change provides that if the ownership another self-regulatory organization, or a limitations, which have been considered change application lapses or is denied, as part of the application, may be state files a complaint alleging a then the member has a fixed period of violation of one of the laws or rules included in the ‘‘Business Activities’’ time to submit a new application,11 section of the membership agreement. listed in IM–1011–1 (or a comparable unwind the transaction, or file a Form state provision). These types of limitations are not BDW. Of course, as under the current considered ‘‘restrictions’’ under the rules, a member could continue to Under the proposed rule, the stay Rules because they are not imposed by operate with the approved owners if the would be lifted automatically if the NASD Regulation, and therefore NASD transaction has not closed. The Applicant prevailed in the disciplinary Regulation does not have to include a Department may shorten the 60-day action. The staff also would be rationale for them in the decision in the period for the protection of investors or authorized to lift the stay if application. Under the proposed Rules, lengthen it upon good cause shown by circumstances changed. If the staff a member that has such limitations in the Applicant. The Department may denied the request to lift the stay, the its membership agreement may expand continue to place interim restrictions on Applicant could appeal to the National beyond those limitations to the extent the member during the 60-day (or other Adjudicatory Council. permitted in the safe harbor in IM– imposed) period. NASD Regulation’s 2. Statutory Basis 1011–1. practice has been to inform Applicants In contrast, for example, NASD of these options, but not impose NASD Regulation believes that the Regulation may specifically restrict the particular deadlines. The purpose of the proposed rule change is consistent with number of markets a member makes proposed rule change is to provide more the provisions of Section 15A(b)(6) of because NASD Regulation determines structure to this process and ensure that the Act,12 which requires, among other and issues a decision stating that the members who do not timely obtain things, that the Association’s rules must member cannot adequately supervise a approvals of ownership changes are not large number of markets. In such a case, be designed to prevent fraudulent and doing business with the public. manipulative acts and practices, to the restricted member cannot take As part of its review of the Rule 1010 advantage of the safe harbor in proposed promote just and equitable principles of Series, NASD Regulation considered trade, and, in general, to protect Rule 1011 and must apply under whether the time frames in Rule 1017 proposed Rule 1017 to lift the investors and the public interest. could be shortened so that the overall Section 15A(b)(8) of the Act 13 requires restriction. process would be completed in 90 days. Another type of change that triggers that a national securities association NASD Regulation determined not to establish rules providing a fair an application under proposed Rule shorten the time frames at this time 1017 is a change in the equity procedure for the denial of membership because other rule revisions (e.g., in such association. NASD Regulation ownership or partnership capital of the defining material change in operations member that results in one person or believes that the proposed rule change and listing the documents required for is consistent with these sections because entity owning or controlling 25 percent the application), should speed up or more of the equity or partnership it provides better notice to applicants processing of applications. NASD about the various requirements of the capital. NASD Regulation wishes to Regulation also intends to publish on its application process, simplifies and clarify that a group of individuals acting Web site further guidance to members clarifies the rules, and better protects in concert to obtain control of 25 on what types of documents and investors by circumscribing expansions percent or more of the equity or information the staff will require if a by members with disciplinary histories partnership capital of a member will be member requests approval to engage in and by permitting the Association in deemed to be an ‘‘entity’’ under the certain specialized areas of the Rule, and as such, trigger the securities or investment banking certain circumstances to stay requirement to submit an application to business. NASD Regulation believes that applications by members who are obtain approval of the ownership these changes should be given a chance subject to disciplinary action. The change. to work before any time frames are proposed rule change also provides NASD Regulation proposes to shortened. NASD Regulation will better notice to applicants whose change discontinue its review of certain reconsider the issue one year after the in ownership is denied by informing changes. Under proposed Rule 1017, rule revisions have become effective and them of their options once the denial is NASD Regulation would discontinue final. review of member mergers and 11 A lapsed Applicant may propose the same acquisitions that are reviewed by the owners; a denied Applicant must propose new 12 15 U.S.C. 78o–3(b)(6). New York Stock Exchange, thereby owners. 13 15 U.S.C. 78o–3(b)(8).

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B. Self-Regulatory Organization’s any new type of business, but only to Third, NASD Regulation determined Statement on Burden on Competition adding market making, underwriting, or that it should begin asking Applicants NASD Regulation does not believe acting as a dealer for the first time. for information about their ability to The California Association of that the proposed rule change will result ensure business continuity, including Independent Broker-Dealers (‘‘CAIBD’’) in any burden on competition that is not information about the capacity of their also submitted a comment letter. CAIBD necessary or appropriate in furtherance communications and operational stated that: (1) the staff has too much of the purposes of the Act. systems, contingency plans, disaster discretion in determining whether a recovery plans, and the like. The staff C. Self-Regulatory Organization’s member should be permitted to expand; would not be required to investigate the Statement on Comments on the (2) NASD Regulation does not need to adequacy themselves; rather, the Proposed Rule Change Received From ask for lease arrangement information or applicant would certify that the Members, Participants, or Others descriptions of communications and systems, plans, and procedures are The proposed rule change was operations systems; (3) supervisory adequate for the applicant’s business. published for comment in NASD Notice experience should not be required; (4) The applicant may rely on a third party membership interviews should be to Members 99–67. Two comments were (e.g., a vendor of such a system) to waived in certain circumstances; (5) a received in response to the Notice. provide the certification if the applicant list of persons to be registered should The commenters raised several issues. so chooses. This review will be less not be required; and (6) an Applicant One commenter, the Jeffrey Matthews extensive in the case of an introducing should not be required to describe the Financial Group LLC, stated that the broker-dealer that is relying on the volatility of its products. staff has been given too much time to systems of a clearing broker. First, NASD Regulation does not Fourth, NASD Regulation staff, as review an Applicant’s submission and believe that the staff has too much request additional information. As part well as the NAC and the District discretion in rendering a decision on a Committees, have expressed the view of its deliberations on the proposed member’s application to expand its rules, NASD Regulation considered that the experience requirement for business. Indeed, the criteria for supervisors is appropriate. In some shortening certain deadlines. NASD approval of membership applications is Regulation determined not to shorten cases, NASD Regulation has set forth in detail in Rule 1014. To the appropriately denied membership or a the time frames at this time because extent a decision on an application is other rule revisions (e.g., defining business expansion application where denied in whole or in part or approved the Applicant has not demonstrated any material change in operations and subject to restrictions, the rules require listing the documents required for the experience in the proposed business that the reason for the denial or line.14 NASD Regulation believes that application) should speed up processing imposition of restrictions be specifically of applications. NASD Regulation also this experience requirement serves an explained, referencing the applicable important investor protection function. has provided additional guidance to standard for membership upon which members on what types of documents Fifth, NASD Regulation believes that the decision is based. membership interviews are essential for and information the staff will require if Furthermore, as part of its proposal, a member requests approval to engage in new member Applicants under NASD NASD Regulation is creating a safe Rule 1013. The in-person interview certain specialized areas of the harbor that will permit members to securities or investment banking plays an important role in determining undertake certain types of business whether the Applicant and its business. This guidance is posted at expansions without obtaining NASD www.nasdr.com/cmlappsl1.htm. principals are knowledgeable about the Regulation approval. NASD Regulation legal and regulatory requirements of NASD Regulation concluded that these believes that it is appropriate to changes should be given a chance to operating a broker-dealer and can continue exercising discretion in demonstrate that they are capable of work before any time frames are reviewing expansions outside of the safe complying with all laws and shortened. NASD Regulation will harbor because such expansions could regulations, as required by the reconsider the issue one year after the be material. rule revisions have become effective and Second, NASD Regulation has membership standard in proposed more information is available about the routinely required Applicants to NASD Rule 1014(a)(3). Interviews with processing time for applications. In the provide information about their lease a current member applying to remove a meantime, NASD Regulation will make arrangements. This permits NASD restriction or expand its business are not every effort to respond promptly and Regulation to verify certain aspects of an required by the rules, but may be held within the time limits to each application. For example, an Applicant at the election of staff under proposed submission of information. that proposed to have a very small NASD Rule 1017. Sixth, a list of prospective registered This same commenter also suggested number of registered persons in most persons is also essential to rendering a that a member should be permitted to cases would lease space commensurate decision under proposed Rule 1014. add business activities without approval with staffing. If that Applicant instead NASD Regulation must check the from NASD Regulation if the revenues leased a very large space, NASD disciplinary history of all such persons from the activity are less than five Regulation would most likely request in determining whether an Applicant percent of total revenue. Certain types of further information about the business meets the standards set forth in business expansions (adding a limited purpose for the lease and to ensure that proposed Rule 1014(a)(3) and (10). numbers of sales personnel, offices, and the Applicant was not planning an Finally, NASD Regulation believes markets) are permitted under the unapproved expansion. Likewise, if an taking the volatility of a firm’s products proposed safe harbor. After further applicant proposed to employ a large into consideration is necessary in order consideration of this comment by the number of associated people in a to assess a firm’s ability to maintain an Board, NASD Regulation determined to relatively small space, NASD Regulation adequate net capital level under revise the definition of material change would question the Applicant’s ability in business operations as proposed in to support the number of personnel 14 In the Matter of Sierra Nevada Securities, Inc., Notice To Members 99–67 so that the proposed from both a supervisory and Exchange Act Release No. 41330, 1999 SEC LEXIS definition would not apply to adding operational standpoint. 833, Apr. 26, 1999.

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Exchange Act Rule 15c3–1 and the the Commission’s Public Reference rules filed by the exchanges noted adequacy of the firm’s procedures for Room. Copies of such filing will also be above.5 supervising its financial and operational available for inspection and copying at II. Description of the Proposal functions. the principal office of the NASD. All NASD Regulation requested, but did submissions should refer to File No. Exchange Rules 5.43–5.49 restrict a not receive, comment on several issues SR–NASD–99–67 and should be member’s ability to effect transactions in in NTM 99–67. NASD Regulation has submitted by July 3, 2000. Exchange-listed securities off a national determined to retain the safe harbor securities exchange. In the proposing For the Commission, by the Division of numbers as proposed in the Notice. Market Regulation, pursuant to delegated release, the Exchange stated that ‘‘once However, NASD Regulation has authority.15 the Commission approves the NYSE’s determined that the definition of Margaret H. McFarland, proposal to rescind its off-board trading disciplinary history should be amended restrictions, the Exchange’s off-board Deputy Secretary. to include violations by officers or trading restrictions will no longer be principals of the member. NASD [FR Doc. 00–14718 Filed 6–9–00; 8:45 am] necessary or appropriate.’’ Therefore, Regulation also has determined that BILLING CODE 8010±01±P the Exchange proposed to rescind Rules restrictions in a membership agreement 5.43–5.49, and to make a conforming should not automatically sunset after a change to Rule 5.5(b). SECURITIES AND EXCHANGE fixed period (e.g., five years) if the COMMISSION applicant does not have any III. Discussion disciplinary history; instead, restrictions The Commission finds that the [Release No. 34±42890; File No. SR±PCX± proposed rule change is consistent with will continue to be individually 00±11] reviewed. Finally, NASD Regulation the requirements of the Act and the determined that it should clarify what Self-Regulatory Organizations; Pacific rules and regulations thereunder happens if a change in ownership is Exchange, Inc.; Order Approving applicable to a national securities denied and has proposed Rule 1017(k) Proposed Rule Change To Rescind exchange. In particular, the Commission to address this situation. Rules 5.43±5.49, and Modify Rule finds the proposed rule change is 5.5(b), Relating to the Exchange's Off- consistent with Section 6(b)(5) of the III. Date of Effectiveness of the 6 Board Trading Restrictions Act which requires, among other Proposed Rule Change and Timing for things, that the rules of an exchange be Commission Action June 1, 2000. designed to promote just and equitable Within 35 days of the date of principles of trade, to remove I. Introduction publication of this notice in the Federal impediments to and perfect the Register or within such longer period (i) On March 26, 2000, the Pacific mechanism of a free and open market as the Commission may designate up to Exchange, Inc. (‘‘PCX’’ or ‘‘Exchange’’) and a national market system and, in 90 days of such date if it finds such filed with the Securities and Exchange general, to protect investors and the longer period to be appropriate and Commission (‘‘SEC’’ or ‘‘Commission’’), public interest, and Section 6(b)(8), publishes its reasons for so finding or pursuant to Section 19(b)(1) of the which requires that the rules of an (ii) as to which the self-regulatory Securities Exchange Act of 1934 exchange not impose any burden on organization consents, the Commission (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a competition not necessary or will: proposed rule change to rescind Rules appropriate in furtherance of the Act. (A) by order approve such proposed 5.43–5.49, the Exchange’s off-board The rescission of the Exchange’s off- rule change, or trading rules, and to make a conforming board trading restrictions is also (B) institute proceedings to determine change to Rule 5.5(b). The proposed rule consistent with Section 11A of the Act 7 whether the proposed rule change change was published for comment in which sets forth the findings and should be disapproved. the Federal Register on April 19, 2000.3 objectives that are to guide the IV. Solicitation of Comments Similar proposed rule changes filed by Commission in its oversight of the the American Stock Exchange, Chicago national market system. Specifically, Interested persons are invited to Stock Exchange, the Philadelphia Stock rescinding the off-board trading submit written data, views, and Exchange, and the Boston Stock restrictions will help further the arguments concerning the foregoing, Exchange had already been published national market system objective in including whether the proposed rule 4 for public comment. The Commission Section 11A(a)(1)(C)(i) to assure the change is consistent with the Act. received no comments on any of these Persons making written submissions proposals. Today, in separate orders, the 5 The New York Stock Exchange was first to should file six copies thereof with the Commission is approving the proposed submit a proposed rule change rescinding its off- Secretary, Securities and Exchange rule changes to rescind off-board trading board trading rule, Rule 390. Securities Exchange Commission, 450 Fifth Street, N.W., Act Release No. 42450 (February 23, 2000), 65 FR Washington, D.C. 20549–0609. Copies of 10577 (February 28, 2000) (‘‘NYSE Release’’). 15 17 CFR 200.30–3(a)(12). On May 5, 2000, the Commission approved the the submission, all subsequent 1 15 U.S.C. 78s(b)(1). New York Stock Exchange’s proposed rule change amendments, all written statements 2 17 CFR 240.19b–4. to rescind Rule 390. Securities Exchange Act with respect to the proposed rule 3 Securities Exchange Act Release No. 42660 Release No. 34–42758 (May 5, 2000), 65 FR 30175 change that are filed with the (April 10, 2000), 65 FR 21052. (May 10, 2000) (‘‘NYSE Approval Order’’). Commission, and all written 4 Securities Exchange Act Release No. 42460 In the NYSE Release, the Commission also (February 25, 2000), 65 FR 11618 (March 3, 2000) solicited the public’s views on a broad range of communications relating to the (File No. SR–Amex–00–05); Securities Exchange issues related to market fragmentation—the trading proposed rule change between the Act Release No. 42459 (February 25, 2000), 65 FR of orders in multiple locations without interaction Commission and any person, other than 11619 (March 3, 2000) (File No. SR–CHX–99–28); of those orders. The period for public comment on those that may be withheld from the Securities Exchange Act Release No. 42458 market fragmentation expired on May 12, 2000. The (February 25, 2000), 65 FR 11628 (March 3, 2000) Commission currently is reviewing the comments public in accordance with the (File No. SR–Phlx–00–12); Securities Exchange Act submitted in response to the NYSE Release. provisions of 5 U.S.C. 552, will be Release No. 42661 (April 10, 2000), 65 FR 20497 6 15 U.S.C. 78f(b)(5). available for inspection and copying in (April 17, 2000) (File No. SR–BSE–00–02). 7 15 U.S.C. 78k–1.

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In the proposing Approval order, the existence of off- delegated authority. release the Exchange noted that the board trading restrictions can no longer Margaret H. McFarland, ‘‘staff of the Commission recently asked be justified in an age when advancing Deputy Secretary. the Exchange to review its off-board technology and expanding trading trading restrictions and consider volume are introducing new [FR Doc. 00–14722 Filed 6–9–00; 8:45 am] BILLING CODE 8010±01±M measures to repeal such restrictions.’’ competitive challenges for the U.S. Therefore, the Exchange proposed securities markets, both at home and rescinding Rule 132 to ‘‘broaden the free abroad. Off-board trading rules such as SECURITIES AND EXCHANGE market trading activities of Exchange Rules 5.43–5.49 directly restrict a COMMISSION members and the investors they certain type of market center represent by removing restrictions on competition—competition between [Release No. 34±42889; File No. SR±Phlx± over-the-counter trading in listed 00±12] exchange markets and markets other securities.’’ than exchange markets. Their rescission Self-Regulatory Organizations; III. Discussion today eliminates an inappropriate Philadelphia Stock Exchange, Inc.; The Commission finds that the regulatory burden on competition that Ordering Approving Proposed Rule proposed rule change is consistent with runs contrary to the objectives set forth Change to Rescind Rule 132, the the requirements of the Act and the in the Act. Exchange's Off-Board Trading Rule Off-board trading restrictions have rules and regulations thereunder been justified on the basis that they June 2, 2000. applicable to a national securities exchange. In particular, the Commission promote the interaction of investors’ I. Introduction orders without participation by a finds the proposed rule change is On February 10, 2000, the consistent with Section 6(b)(5) of the dealer—indeed an objective set forth in 7 the Act.9 The Commission believes, Philadelphia Stock Exchange, Inc. Act which requires, among other however, that whatever beneficial effect (‘‘Phlx’’ or ‘‘Exchange’’) filed with the things, that the rules of an exchange be off-board trading restrictions such as Securities and Exchange Commission designed to promote just and equitable (‘‘SEC’’ or ‘‘Commission’’), pursuant to principles of trade, to remove Rules 5.43–5.49 may have in enhancing Section 19(b)(1) of the Securities impediments to and perfect the the interaction of investor orders can no Exchange Act of 1934 (‘‘Act’’) 1 and Rule mechanism of a free and open market longer justify their anticompetitive 19b–4 thereunder,2 a proposed rule and a national market system and, in nature. To the extent off-board trading change to rescind Rule 132, the general, to protect investors and the rules enhance order interaction, they do Exchange’s off-board trading rule. The public interest, and Section 6(b)(8), so in an undesirable way—by proposed rule change was published for which requires that the rules of an attempting a direct restriction on comment in the Federal Register on exchange not impose any burden on competition. Such attempts are never March 3, 2000.3 Proposed rule changes competition not necessary or wholly successful and typically only filed by the American Stock Exchange appropriate in furtherance of the Act. distort, rather than eliminate, and the Chicago Stock Exchange to The rescission of the Exchange’s off- competition and introduce unnecessary rescind their off-board trading rules board trading restrictions is also costs ultimately borne by investors. were published on the same date as the consistent with Section 11A of the Act 8 The outcome of competition between Phlx proposing release.4 Shortly which sets forth the findings and market centers should depend on which thereafter, the Boston Stock Exchange objectives that are to guide the market centers are most able to serve and the Pacific Exchange filed similar Commission in its oversight of the investor interests by providing the proposed rule changes.5 The national market system. Specifically, highest quality trading services at the Commission received no comments on rescinding the off-board trading lowest possible prices; the any of these proposals. Today, in Commission’s regulatory task is separate orders, the Commission is 6 The New York Stock Exchange was first to removing unwarranted regulatory approving the proposed rule changes to submit a proposed rule change rescinding its off- board trading rule, Rule 390. Securities Exchange barriers to competition between market Act Release No. 42450 (February 23, 2000), 65 FR centers. As stated in the NYSE Approval 11 15 U.S.C. 78s(b)(2). 10577 (February 28, 2000) (‘‘NYSE Release’’). Order, the rescission of off-board trading 12 17 CFR 200.30–3(a)(12). On May 5, 2000, the Commission approved the rules is ‘‘intended solely to free the 1 15 U.S.C. 78s(b)(1). New York Stock Exchange’s proposed rule change forces of competition and allow investor 2 17 CFR 240.19b–4. to rescind Rule 390. Securities Exchange Act 3 Securities Exchange Act Release No. 42458 Release No. 34–42758 (May 5, 2000), 65 FR 30175 interests to control the success or failure (February 25, 2000), 65 FR 11628. (May 10, 2000) (‘‘NYSE Approval Order’’). 10 of individual market centers.’’ The 4 Securities Exchange Act Release No. 42460 In the NYSE Release, the Commission also same nationale and motivation support (February 25, 2000), 65 FR 11618 (March 3, 2000) solicited the public’s views on a broad range of the Commission’s action today. (File No. SR–Amex–00–05); Securities Exchange issues related to market fragmentation—the trading Act Release No. 42459 (February 25, 2000), 65 FR of orders in multiple locations without interaction 11619 (March 3, 2000) (File No. SR–CHX–99–28). of those orders. The period for pubic comment on 8 In approving this proposal, the Commission has 5 Securities Exchange Act Release No. 42661 market fragmentation expired on May 12, 2000. The considered its impact on efficiency, competition, (April 10, 2000), 65 FR 20497 (April 17, 2000) (File Commission currently is reviewing the comments and capital formation. 15 U.S.C. 78c(f). No. SR–BSE–00–02); Securities Exchange Act submitted in response to the NYSE Release. 9 Section 11A(a)(1)(C)(v) of the Act. Release No. 42660 (April 10, 2000), 65 FR 21052 7 15 U.S.C. 78f(b)(5). 10 NYSE Approval Order at 30179. (April 19, 2000) (File No. SR–PCX–00–11). 8 15 U.S.C. 78k–1.

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36879 restrictions will help further the same rationale and motivation support effective upon filing with the national market system objective in the Commission’s action today. Commission. The Commission is Section 11A(a)(1)(C)(i) to assure the publishing this notice to solicit IV. Conclusion economically efficient executive of comments on the proposed rule change, securities transactions, and in Section It is therefore ordered, pursuant to as amended, from interested persons. 11A(a)(1)(C)(ii) to assure fair Section 19(b)(2) of the Act,12 that the I. Self-Regulatory Organization’s competition between exchange markets proposed rule change (SR–Phlx–00–12) Statement of the Terms of Substance of and markets other than exchange is approved. the Proposed Rule Change markets.9 For the Commission, by the Division As discussed more fully in the NYSE of Market Regulation, pursuant to The Exchange is proposing to extend 13 Approval Order, the existence of off- delegated authority. the pilot program relating to Exchange Rule 98, Emergency Committee, for an board trading restrictions can no longer Margaret H. McFarland, be justified in an age when advancing additional 120 days, or until August 21, Deputy Secretary. 2000. No changes to the existing rule technology and expanding trading [FR Doc. 00–14725 Filed 6–9–00; 8:45 am] volume are introducing new language are being proposed. BILLING CODE 8010±01±M competitive challenges for the U.S. II. Self-Regulatory Organization’s securities markets, both at home and Statement of the Purpose of, and abroad. Off-board trading rules such as SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule Rule 132 directly restrict a certain type COMMISSION Change of market center competition— competition between exchange markets [Release No. 42898; File No. SR±Phlx±00± In its filing with the Commission, the and markets other than exchange 41] Exchange included statements markets. Their rescission today concerning the purpose of and basis for Self-Regulatory Organizations; Notice eliminates an inappropriate regulatory the proposed rule change, as amended, of Filing and Immediate Effectiveness burden on competition that runs and discussed any comments it received of Proposed Rule Change by the contrary to the objectives set forth in the on the proposed rule change. The text Philadelphia Stock Exchange, Inc. Act. of these statements may be examined at Extending the Pilot Program Regarding the places specified in Item IV below. Off-board trading restrictions have Exchange Rule 98, Emergency The Exchange has prepared summaries, been justified on the basis that they Committee, Until August 21, 2000 set forth in Sections A, B, and C below, promote the interaction of investors’ of the most significant aspects of such orders without participation by a June 5, 2000. statements. dealer—indeed an objective set forth in Pursuant to Section 19(b)(1) of the the Act.10 The Commission believes, Securities Exchange Act of 1934 A. Self-Regulatory Organization’s however, that whatever beneficial effect (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 Statement of the Purpose of, and off-board trading restrictions such as notice is hereby given that on April 18, Statutory Basis for, the Proposed Rule Rule 132 may have in enhancing the 2000, the Philadelphia Stock Exchange, Change interaction of investor orders can no Inc. (‘‘Phlx’’ or ‘‘Exchange’’), filed a 1. Purpose longer justify their anticompetitive proposed rule change with the nature. To the extent off-board trading Securities and Exchange Commission On December 23, 1999, the rules enhance order interaction, they do (‘‘SEC’’ or ‘‘Commission’’). The Commission granted approval to so in an undesirable way—by proposed rule change is described in amendments to Exchange Rule 98, attempting a direct restriction on Items I, II, and III below, which Items Emergency Committee (the competition. Such attempts are never have been prepared by the Exchange. ‘‘Committee’’) on a 120-day pilot basis.6 wholly successful and typically only On April 20, 2000, the Exchange filed In general, the Committee is authorized distort, rather than eliminate, Amendment No. 1 to the proposed rule to determine the existence of, and take competition and introduce unnecessary change.3 The Exchange filed the action with respect to, extraordinary costs ultimately borne by investors. proposed rule change, as amended, market conditions or other emergencies at the Exchange. The amendments to The outcome of competition between pursuant to Section 19(b)(3)(A) of the 4 5 Exchange Rule 98 updated the market center should depend on which Act, and Rule 19b–4(f)(6) thereunder, composition of the Committee to reflect market centers are most able to serve which renders the proposed rule change the current governance structure of the investor interests by providing the 7 12 Exchange, clarified that the Committee highest quality trading services at the 15 U.S.C. 78s(b)(2). 13 was authorized to act in the event of any lowest possible prices; the 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). emergency condition created by the Commission’s regulatory task is 2 17 CFR 240.16b–4. Year 200 date change, and deleted a removing unwarranted regulatory 3 See April 19, 2000 letter from Richard S. provision referencing CENTRAMART, barriers to competition between market Rudolph, Counsel, Exchange, to Rebekah Liu, an equity order entry system which is centers. As stated in the NYSE Approval Special Counsel, Division of Market Regulation, no longer used on the Exchange. The Order, the rescission of off-board trading SEC (‘‘Amendment No. 1’’ ). In Amendment No. 1, the Exchange requested that the proposed rule Committee is now composed of five rules is ‘‘intended solely to free the change be filed under Section 19(b)(3)(A) of the Act individuals: the Chairman of the Board forces of competition and allow investor and Rule 19b–4(f)(6) thereunder. 15 U.S.C. of Governors; the On-Floor Vice interests to control the success or failure 78s(b)(3)(A) and 17 CFR 240.19b–4(f)(6). The Chairman of the Board of Governors; of individual market centers.’’ 11 The Exchange also requested that the Commission waive the 5-day notice of its intent to file the proposal, and requested that the Commission waive the 30- 6 See Exchange Act Release No. 42272 (December 9 In approving this proposal, the Commission has day period before the proposal becomes effective to 23, 1999), 65 FR 153 (January 3, 2000) SR–Phlx–99– considered its impact on efficiency, competition, permit the proposed rule change to become 42). and capital formation. 15 U.S.C. 78c(f). immediately effective. 7 The amendments replaced the President, which 10 Section 11A(a)(1)(C)(v) of the Act. 4 15 U.S.C. 78s(b)(3)(A). the Exchange no longer has, with the On-Floor Vice 11 NYSE Approval Order at 30179. 5 17 CFR 240.19b–4(f)(6). Chairman of the Board of Governors.

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36880 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices and the Chairmen of the Floor such shorter time as the Commission with the Commission’s Public Reference Procedure Committee, the Options may designate if consistent with the Room. Copies of such filing will also be Committee, and the Foreign Currency protection of investors and the public available for inspection and copying at Options Committee. interest; provided the Exchange has the principal office of the Exchange. All The Commission approved the given the Commission written notice of submissions should refer to the File No. amendments to Exchange Rule 98 on a its intent to file the proposed rule SR–Phlx–00–41 and should be pilot basis in order to allow the change, along with a brief description submitted by July 3, 2000.12 Exchange to examine the operation of and text of the proposed rule change, at For the Commission, by the Division the Committee to ensure that the least five business days prior to the date of Market Regulation, pursuant to Committee is not dominated by any one of filing of the proposed rule change, or delegated authority. Exchange interest (e.g., On-Floor or Off- such shorter time as designated by the Margaret H. McFarland, Floor interests). The Commission Commission. At any time within 60 Deputy Secretary. requested that the Exchange report back days of the filing of a rule change to the Commission on its views as to pursuant to Section 19(b)(3)(A) of the [FR Doc. 00–14728 Filed 6–9–00; 8:45 am] whether the Committee structure Act, the Commission may summarily BILLING CODE 8010±01±M ensures that all Exchange interests are abrogate the rule change if it appears to fairly represented by the Committee. the Commission that such action is The Exchange has requested that the necessary or appropriate in the public UNITED STATES SENTENCING pilot program be extended in order to interest, for the protection of investors, COMMISSION provide it more time to examine the or otherwise in furtherance of the Sentencing Guidelines for United operation of the Committee and submit purposes of the Act. States Courts the requested information to the The Commission finds that it is Commission. appropriate to accelerate the effective AGENCY: United States Sentencing date of the proposed rule change and to 2. Statutory Basis Commission. permit the proposed rule change to ACTION: Notice of preliminary policy The Exchange believes that the become immediately effective because priorities for amendment cycle ending proposed rule change, as amended, is the proposal simply extends a May 1, 2001. Request for comment. consistent with the provisions of previously approved pilot program for Section 6(b)(5) of the Act8 which an additional 120 days, or until August SUMMARY: As part of its statutory requires that the rules of an Exchange be 21, 2000. By extending the pilot authority and responsibility to analyze designed to perfect the mechanisms of program, the Commission will enable sentencing issues, including operation a free and open market and a national the Committee to be in place and of the federal sentencing guidelines, and market system, and to protect investors operational in the event of any in accordance with Rule 5.2 of its Rules and the public interest. extraordinary market conditions or of Practice and Procedure, the emergencies at the Exchange, and will Commission has preliminarily B. Self-Regulatory Organization’s identified and hereby proposes certain Statement on Burden on Competition afford the Exchange the opportunity to respond to the Commission’s request to priorities as the focus of its policy The Exchange does not believe that provide information on whether the development work, including possible the proposed rule change, as amended, Committee is fairly representing all amendments to guidelines, policy will result in any burden on interests of the Exchange.11 statements, and commentary, for the competition that is not necessary or amendment cycle ending May 1, 2001. appropriate in furtherance of the IV. Solicitation of Comments The Commission invites comment on purposes of the Act. Interested persons are invited to these proposed priority areas and on C. Self-Regulatory Organization’s submit written data, views, and any other sentencing issues that it Statement on Comments on the arguments concerning the foregoing should address in the coming year. Proposed Rule Change Received From including whether the proposed rule DATES: Public comment should be Members, Participants, or Others change is consistent with the Act. received by the Commission not later Persons making written submissions than July 7, 2000. The Exchange has neither solicited should file six copies thereof with the ADDRESSES: Send comment to: United nor received written comments on the Secretary, Securities and Exchange States Sentencing Commission, One proposed rule change, as amended. Commission, 450 Fifth Street, NW., Columbus Circle, NE, Suite 2–500, III. Date of Effectiveness of the Washington, DC 20549–0609. Copies of South Lobby, Washington, DC 20002– Proposed Rule Change and Timing for the submission, all subsequent 8002. Attn: Public Affairs. Commission Action amendments, all written statements FOR FURTHER INFORMATION CONTACT: with respect to the proposed rule The foregoing rule change has become Michael Courlander, Public Affairs change that are filed with the effective upon filing pursuant to Section Officer, Telephone: (202) 502–4590. Commission, and all written 19(b)(3)(A)(iii) of the Act 9 SUPPLEMENTARY INFORMATION: The and Rule communications relating to the 19b–4(f)(6) 10 thereunder because the United States Sentencing Commission, proposed rule change between the an independent commission in the proposed rule change does not (i) Commission and any person, other than significantly affect the protection of judicial branch of the United States those that may be withheld from the Government, is empowered by 28 U.S.C. investors or the public interest; (ii) public in accordance with the impose any significant burden on 994(a) to promulgate sentencing provisions of 5 U.S.C. 552, will be guidelines and policy statements for competition; and (iii) become operative available for inspection and copying for 30 days after the date of filing, or federal courts. Section 994 also directs the Commission to review and revise 11 For purposes only of accelerating the operative 8 15 U.S.C. 78f(b)(5). date of this proposal, the Commission has periodically promulgated guidelines 9 15 U.S.C. 78s(b)(3)(A). considered its impact on efficiency, competition, 10 17 CFR 240.19b–4(f)(6). and capital formation. 15 U.S.C. 78c(f). 12 17 CFR 200.30–3(a)(12).

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36881 and authorizes it to submit guideline DEPARTMENT OF TRANSPORTATION days after the 30 day notice is amendments to the Congress not later published. 44 U.S.C. 3507(b)–(c); 5 CFR than the first day of May each year. See Federal Railroad Administration 1320.12(d); see also 60 FR 44978, 44983, 18 U.S.C. 994(o), (p). Aug. 29, 1995. OMB believes that the 30 Proposed Agency Information The Commission hereby gives notice day notice informs the regulated Collection Activities; Comment community to file relevant comments that, during the amendment cycle Request and affords the agency adequate time to ending May 1, 2001, it may consider digest public comments before it possible amendments to guidelines, AGENCY: Federal Railroad Administration, DOT. renders a decision. 60 FR 44983, Aug. policy statements, and commentary, 29, 1995. Therefore respondents should relating to the following: (1) Certain ACTION: Notice and Request for Comments. submit their respective comments to economic crimes, particularly fraud, OMB within 30 days of publication to theft, and tax offenses; (2) money SUMMARY: In compliance with the best ensure having their full effect. 5 laundering; (3) counterfeiting of bearer Paperwork Reduction Act of 1995 (44 CFR 1320.12(c); see also 60 FR 44983, obligations of the United States; (4) U.S.C. 3501 et seq.), this notice Aug. 29, 1995. further response to the Protection of announces that the Information The summaries below describe the Children from Sexual Predators Act of Collection Requirement (ICR) abstracted nature of the information collection 1998; (5) firearms; (6) nuclear, chemical, below has been forwarded to the Office requirements (ICRs) and the expected and biological weapons, and related of Management and Budget (OMB) for burden. The revised requirements are national security issues; (7) the payment review and comment. The ICR describes being submitted for clearance by OMB to, or receipt by, federal employees of the nature of the information collection as required by the PRA. unauthorized compensation, and related and its expected burden. The Federal Title: Bridge Worker Safety Rules. offenses; (8) offenses implicating the Register notice with a 60-day comment OMB Control Number: 2130–0535. privacy interests of taxpayers; (9) the period soliciting comments on the Type of Request: Extension of a resolution of a number of conflicts following collections of information was currently approved collection. published on February 9, 2000 (65 FR Affected Public: Businesses. among the circuit courts on sentencing 6438). Form(s): N/A. guideline issues; (10) the Abstract: Section 20139 of Title 49 of DATES: Comments must be submitted on implementation of any crime legislation the United States Code required FRA to or before July 12, 2000. enacted during the second session of the issue rules, regulations, orders, and 106th Congress requiring a Commission FOR FURTHER INFORMATION CONTACT: Mr. standards for the safety of maintenance- response; and (11) any minor technical Robert Brogan, Office of Planning and of-way employees on railroad bridges, or conforming amendments necessary Evaluation Division, RRS–21, Federal including for ‘‘bridge safety equipment’’ for proper operation of the sentencing Railroad Administration, 1120 Vermont such as nets, walkways, handrails, and guideline system. Ave., N.W., Mail Stop 17, Washington, safety lines, and requirements for the D.C. 20590 (telephone: (202) 493–6292), use of vessels when work is performed In addition to inviting comment on or Dian Deal, Office of Information any of the preliminary priority issues on bridges located over bodies of water. Technology and Productivity FRA has added 49 CFR Part 214 to proposed in this notice, the Commission Improvement, RAD–20, Federal welcomes comment on any other issue establish minimum workplace safety Railroad Administration, 1120 Vermont standards for railroad employees as they that interested persons believe the Ave., N.W., Mail Stop 35, Washington, apply to railroad bridges. Specifically, Commission should address during the D.C. 20590 (telephone: (202) 493–6133). section 214.15(c) establishes standards amendment cycle ending May 1, 2001, (These telephone numbers are not toll- and practices for safety net systems. including short-and long-term research free.) Safety nets and net installations are to issues. To the extent practicable, SUPPLEMENTARY INFORMATION: The be drop-tested at the job site after initial comments submitted on additional Paperwork Reduction Act of 1995 installation and before being used as a issues should include the following: (1) (PRA), Public Law 104–13, Section 2, fall-protection system, after major A statement of the issue, including the 109 Stat. 163 (1995) (codified as revised repairs, and at six-month intervals if left scope and manner of study, particular at 44 U.S.C. 3501–3520), and its at one site. If a drop-test is not feasible problem areas and possible solutions, implementing regulations, 5 CFR Part and is not performed, then a written and any other matters relevant to a 1320, require Federal agencies to issue certification must be made by the proposed priority; (2) citations to two notices seeking public comment on railroad or railroad contractor, or a applicable sentencing guidelines, information collection activities before designated certified person, that the net statutes, case law, and constitutional OMB may approve paperwork packages. does comply with the safety standards provisions; and (3) a direct and concise 44 U.S.C. 3506, 3507; 5 CFR 1320.5, of this section. FRA and State inspectors statement of why the Commission 1320.8(d)(1), 1320.12. On February 9, use the information to enforce Federal should make the issue a priority. 2000, FRA published a 60-day notice in regulations. The information that is the Federal Register soliciting comment maintained at the job site promotes safe Authority: 28 U.S.C. § 994(a), (o), (p); on ICRs that the agency was seeking bridge worker practices. USSC Rules of Practice and Procedure 5.2. OMB approval. 65 FR 6438. FRA Annual Estimated Burden Hours: .2 Diana E. Murphy, received no comments in response to hour. this notice. Chair. Title: Two-way End-of-Train Devices. Before OMB decides whether to OMB Control Number: 2130–0540. [FR Doc. 00–14781 Filed 6–9–00; 8:45 am] approve these proposed collections of Type of Request: Extension of a BILLING CODE 2210±01±U information, it must provide 30 days for currently approved collection. public comment. 44 U.S.C. 3507(b); 5 Affected Public: Businesses. CFR 1320.12(d). Federal law requires Form(s): N/A. OMB to approve or disapprove Abstract: Section 20141 of the United paperwork packages between 30 and 60 States Code amended the Federal

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36882 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices railroad safety laws by adding certain DEPARTMENT OF TRANSPORTATION an IBC from a motor vehicle prior to statutory mandates related to power discharging the contents; brake safety, specifically regarding two- Research and Special Programs • The delivery and transfer of small way end-of-train telemetry devices (two- Administration quantities of hazardous materials into way EOTs). This section required two- [Docket No. RSPA±2000±6827 (12412±N)] storage tanks was safer from IBCs than way end-of-train devices (or devices from several drums and not feasible able to perform the same function) on Hazardous Materials: Proposed DOT from a cargo tank motor vehicle; and • road trains other than locals, road Exemption for Discharging Carriers would have sufficient switchers, or work trains to enable the Intermediate Bulk Containers on Motor operational controls in place to ensure initiation of emergency braking from the Vehicles safety during the transfer operation. rear of the train. The information Based on numerous requests for collected enhances rail safety by AGENCY: Research and Special Programs modification of the subject exemptions, ensuring that the locomotive engineer is Administration (RSPA) DOT. particularly with regard to IBC capacity notified if someone other than a train ACTION: Notice of proposed exemption. limitations and authorized materials, crew member tests the two-way end-of- RSPA sent a May 27, 1999 letter to each train devices at the initial terminal or SUMMARY: RSPA proposes to consolidate holder and person having party status to other point of installation to confirm and standardize all existing DOT DOT Exemptions 11911, 11769, 11646, that the device is capable of initiating an Exemptions that authorize the discharge 11537, 10429, 12013 and 12245. The emergency power brake application of intermediate bulk containers (IBC) letter contained 14 procedural and from the rear of the train. The from a motor vehicle without removing shipment questions regarding the information collected is also used to by the IBC from the vehicle. These are DOT operations of the respective holders. FRA to verify that the end-of-train Exemptions 12245, 12013, 11911, RSPA received numerous responses to telemetry equipment is properly 11769, 11646, 11537, and 10429. the letter. The information gathered calibrated for accuracy according to the DATES: Comment Date: Comments must from each response was compiled and manufacturer’s specifications at least be received on or before August 11, evaluated. In the replies to the letter, every 365 days. Additionally, the 2000. more than one third of the respondents indicated they unload in excess of 1,200 information collected verifies that two- ADDRESSES: Written Comments: Address way end-of-train standards, such as the gallons of one hazardous material comments to the Dockets Management during a single delivery. Under this front unit having a manually operated System, U.S. Department of switch that is labeled ‘‘emergency’’ scenario, RSPA believes that the IBCs Transportation, PL 401, 400 Seventh St., are being used as cargo tanks. which can initiate an emergency brake SW, Washington, DC 20590–0001. transmission command to the rear unit On October 27, 1999 RSPA sent a Comments should identify the docket letter and a draft exemption (draft) to (when activated), are met. number, RSPA–2000–6827 (12412–N), Annual Estimated Burden Hours: the individuals who received the May and should be submitted in two copies. 27, 1999 letter. The draft contained 5,797 hours. Persons wishing to receive confirmation Addressee: Send comments regarding many provisions similar to the existing of receipt of their comments should these information collections to the IBC exemptions. In addition, the draft include a self-addressed stamped Office of Information and Regulatory proposed that the maximum quantity of postcard. The Dockets Management Affairs, Office of Management and hazardous material discharged from an System is located on the Plaza Level of Budget, 725 Seventeenth Street, N.W., IBC was not to exceed 300 gallons per the Nassif Building, at the above Washington, D.C., 20503; Attention: shipment per day. RSPA received address. Public dockets may be FRA Desk Officer. numerous comments on this draft. The Comments are invited on the reviewed between the hours of 10:00 majority of the comments addressed the following: Whether the proposed a.m. to 5:00 p.m., Monday thru Friday, restriction placed upon the maximum collections of information are necessary excluding Federal holidays. In addition, quantity of hazardous material that for the proper performance of the comments can be reviewed by accessing could be discharged at one location. functions of FRA, including whether the the DMS Website (http://dms.dot.gov). These comments were an additional information will have practical utility; Comments may also be submitted by E- indication to RSPA that the IBCs are the accuracy of FRA’s estimates of the mail to ‘‘[email protected]’’. In every being used as cargo tanks. Instead of burden of the proposed information case, the comment should refer to the imposing a quantity limitation, RSPA is collections; ways to enhance the quality, Docket number set forth above. considering a requirement that the utility, and clarity of the information to FOR FURTHER INFORMATION CONTACT: Mr. discharge system provide the same level be collected; and ways to minimize the Donald Burger, telephone number (202) of safety during discharge as is required burden of the collections of information 366–4545, Office of Hazardous Materials for use of a cargo tank. On July 10, 1998, on respondents, including the use of Technology, Research and Special RSPA issued a Final Rule under Docket automated collection techniques or Programs Administration, U.S. RSPA–1997–2905 (HM–166Y) (63 FR other forms of information technology. Department of Transportation, 37454), addressing this issue for IM A comment to OMB is best assured of Washington, DC 20590–0001. Portable Tanks where RSPA permitted having its full effect if OMB receives it SUPPLEMENTARY INFORMATION: an IM portable tank to be unloaded within 30 days of publication of this while remaining on a vehicle with the I. Background notice in the Federal Register. power unit attached, provided the tank meets the outlet requirements of Authority: 44 U.S.C. 3501–3520. The rationale and justification presented to RSPA with the original § 178.345–11. Section 178.345– Margaret B. Reid, exemption applications to authorize the 11(b)(1)(iii) provides that the remote Acting Director, Office of Information unloading of IBCs while onboard a means of closure for the stop valve on Technology and Support Systems, Federal motor vehicle were: a cargo tank must be capable of thermal Railroad Administration. • A demonstrated need to deliver activation when required by Part 173 for [FR Doc. 00–14764 Filed 6–9–00; 8:45 am] hazardous materials to sites which did materials which are flammable, BILLING CODE 4910±06±U not have the capability to safely unload pyrophoric, oxidizing, or poisonous

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36883 liquids. The tank outlets are required to each would operate under the same b. The safety analyses performed in be equipped with this feature to ensure controls and provisions. A second major development of this exemption only that the valve closes in a fire situation. draft of the proposed exemption is considered the hazards and risks Cargo tanks have been required to have provided below. associated with transportation in this feature for many years. RSPA commerce. Expiration Date: TBD believes that when an IM portable tank, 3. Regulatory System Affected: 49 CFR as well as an IBC, is used in the same (For Renewal, See 49 CFR 107.109) Parts 106, 107 and 171–180. manner as a cargo tank it should have 4. Regulations From Which Exempted: 1. Grantee: TBD the same level of safety in the event the 49 CFR 177.834(h), in that an IBC is operator cannot manually operate the 2. Purpose and Limitation: unloaded while on a motor vehicle, and closure. a. This exemption authorizes the the marking requirements in The intended effect of this proposal is discharge of liquid hazardous materials § 172.302(c). to develop a standardized exemption from DOT Specification UN 5. Basis: This exemption is based on and to provide for the safe discharge of Intermediate Bulk Containers (IBCs) the application of XXXXXX dated materials from intermediate bulk without removing the IBC from the ZZZZZ, submitted in accordance with containers that have not been removed vehicle on which it is transported. This § 107.105 and the public proceeding from the transport vehicle prior to exemption provides no relief from the thereon. unloading. Under this exemption, the Hazardous Materials Regulations (HMR) 6. Hazardous Materials (49 CFR holder and all parties to the exemption other than as specifically stated herein. 172.101):

Hazard class/ Identi-fication Proper shipping name/hazardous materials description division No. Packing group

All materials authorized to be shipped in UN IBCs ...... As appro- As appro-priate As appro- priate. priate

7. Safety Control Measures: test. The pressure test must be 11. COMPLIANCE: Failure by a a. Packaging—Packaging prescribed is performed at no less than the pressure person to comply with any of the a DOT Specification UN IBC. the hose is expected to be subjected to following may result in suspension or (1) IBCs may not be manifolded during product transfer. This test must revocation of this exemption and together or have discharge outlets hard include all hose and hose fittings penalties prescribed by the Federal piped onto the vehicle. arranged in the configuration to be hazardous materials transportation law, (2) Discharge outlets must meet the employed during transfer operations. 49 U.S.C. 5101 et seq: requirements of § 178.345–11. Burst pressure of the hose must be at • All terms and conditions prescribed b. Operational Controls— least four times the service pressure of in this exemption and the Hazardous (1) Two or more materials may not be the pump. Materials Regulations, 49 CFR Parts loaded on the same vehicle if any (7) If the IBC is pressurized, the IBC 171–180. mixture of the materials would cause an must be equipped with a pressure relief unsafe condition. device set to open at not higher than • Registration required by § 107.601 (2) The IBC must be attended by a two-thirds of the IBC test pressure or 9 et seq., when applicable. qualified person at all times during psig in the case of a metal IBC. Each ‘‘Hazmat employee,’’ as defined unloading operations. For the purposes (8) All hazardous material must be in § 171.8, who performs a function of this requirement, ‘‘attended’’ and purged from the pump, if equipped, ‘‘qualified’’ have the meanings subject to this exemption must receive piping and the IBC discharge hose prior training on the requirements and described in § 177.834(i)(3) and (4), to re-entering transportation. Hoses may respectively. conditions of this exemption in addition not remain attached to the IBCs during to the training required by §§ 172.700 (3) IBCs must be discharged using a transportation. mechanical pump with a positive means through 172.704. (9) Prior to refilling, each IBC and its of stopping the flow of liquid from the No person may use or apply this service equipment must be visually pump, by gravity, or by pressurizing the inspected in accordance with the exemption, including display of its IBC. provisions of § 173.35(b). number, when this exemption has (4) Before starting each transfer from (10) Transportation is limited to expired or is otherwise no longer in an IBC to a receiving system, the person effect. performing the function must determine private or contract motor vehicle. 12. REPORTING REQUIREMENTS: that each component of the discharge 8. SPECIAL PROVISIONS: system (including hose) is of sound a. A current copy of this exemption The carrier is required to report any quality and free of leaks and that must be maintained at each facility incident involving loss of packaging connections are secure. where the package is offered for contents or packaging failure to the (5) A hose or associated equipment transportation. Associate Administrator for Hazardous that shows signs of leakage, significant b. The marking requirement of Materials Safety (AAHMS) as soon as bulging, or other defects may not be § 172.302(c) is waived. practicable. In addition, the holder(s) of used. 9. MODES OF TRANSPORTATION this exemption must inform the (6) If an IBC is unloaded using a AUTHORIZED: Motor vehicle. AAHMS, in writing, of any incident pump, or if the IBC is pressurized for 10. MODAL REQUIREMENTS: A involving the package and shipments unloading, prior to using a new or current copy of this exemption must be made under the terms of this exemption. repaired transfer hose, the hose carried aboard each motor vehicle used (Sections 171.15 and 171.16 apply to assembly (the hose and associated to transport packages covered by this any activity undertaken under the fittings) must be subjected to a pressure exemption. authority of this exemption.)

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Issued in Washington, DC, on May 17, SUMMARY: Notice is hereby given that Advisory Council on Historic Preservation, 2000, under the authority delegated in 49 the Advisory Council on Historic 1100 Pennsylvania Ave., NW., Room 809, CFR Part 107. Preservation will meet on Friday, June Washington, D.C., 202–606–8503, at least Robert A. McGuire, 23, 2000. The meeting will be held in seven (7) days prior to the meeting. Acting Associate Administrator for the Appropriations Committee Hearing FOR FURTHER INFORMATION CONTACT: Hazardous Materials Safety. Room, Room 228, The State House, Additional information concerning the [FR Doc. 00–14481 Filed 6–9–00; 8:45 am] State Street, Augusta, Maine, Beginning meeting is available from the Executive BILLING CODE 4910±60±P at 8:30 a.m. Director, Advisory Council on Historic The Council was established by the Preservation, 1100 Pennsylvania Ave., National Historic Preservation Act of NW., #809, Washington, DC 20004. DEPARTMENT OF VETERANS 1966 (U.S.C. Section 470) to advise the Dated: June 7, 2000. AFFAIRS President and the Congress on matters John M. Fowler, relating to historic preservation and to Executive Director. Advisory Committee on Women comment upon Federal, federally Veterans, Notice of Meeting assisted, and federally licensed [FR Doc. 00–14765 Filed 6–9–00; 8:45 am] BILLING CODE 4310±10±M The Department of Veterans Affairs undertakings having an effect upon gives notice under Public Law 92–463 properties listed in or eligible for inclusion in the National Register of that a meeting of the Advisory DEPARTMENT OF AGRICULTURE Committee on Women Veterans Historic Places. The Council’s members are the Architect of the Capitol; the (Committee) will be held on June 26–27, Animal and Plant Health Inspection Secretaries of the Interior, Agriculture, 2000, at the Department of Veterans Service Affairs, 810 Vermont Avenue, NW, Housing and Urban Development, and Room 230, Washington, DC. On June 26, Transportation; the Administrators of [Docket No. 99±055±1] the meeting will begin at 9:00 a.m. and the Environmental Protection Agency General Conference Committee of the adjourn at 5:00 p.m. On June 26, the and General Services Administration; National Poultry Improvement Plan; meeting will begin at 9:00 a.m. and the Chairman of the National Trust for Reestablish adjourn at 5:00 p.m. On June 27, the Historic Preservation; the President of meeting will begin at 9:00 a.m. and the National Conference of State AGENCY: Animal and Plant Health adjourn at 12 noon. Historic Preservation Officers; a Inspection Service, USDA. Governor; a Mayor; a Native Hawaiian; The purpose of the Committee is to ACTION: Notice of reestablishment. advise the Secretary of Veterans Affairs and eight non-Federal members regarding the needs of women veterans appointed by the President. SUMMARY: We are giving notice that the with respect to health care, The agenda for the meeting includes Secretary of Agriculture has rehabilitation, compensation, outreach, the following: reestablished the General Conference and other programs and activities I. Chairman’s Welcome Committee of the National Poultry administered by the Department of II. Chairman’s Report Improvement Plan for a 2-year period. Veterans Affairs designed to meet such III. Millennium Discussion The Secretary has determined that the needs. The Committee will make A. Follow up from Thursday’s Lighthouse Committee is necessary and in the recommendations to the Secretary Tour—Action public interest. B. Council Millennium Report on Federal regarding such activities. FOR FURTHER INFORMATION CONTACT: Mr. Both days of the meeting will be to Stewardship: Primary Findings and Recommendations—Action Andrew Rhorer, Senior Coordinator, discuss the proceedings of the National C. Proposed Executive Order on Federal National Poultry Improvement Plan, VS, Summit on Women Veterans Issues, Stewardship: Working Draft—Action APHIS, Suite A102, 1500 Klondike scheduled on June 23–25, 2000, in D. Task Force on Balancing Cultural and Road, Conyers, GA 30207–5115; (770) preparation of the Committee’s annual Natural Values in National Parks— 922–3496. report. All sessions will be open to the Action SUPPLEMENTARY INFORMATION: The public. IV. Tribal Issues purpose of the General Conference A. Proposed Council Policy Regarding Those who plan to attend should Committee of the National Poultry contact Ms. Maryanne Carson, Tribal Relations—Action B. Narragansett Section 106 Substitution Improvement Plan (Committee) is to Department of Veterans Affairs, Center maintain and ensure industry for Women Veterans, 810 Vermont Agreement—Report V. Executive Director’s Report involvement in Federal administration Avenue, NW, Washington, DC 20420 at A. Lawsuit on Section 106 Regulations— of matters pertaining to poultry health. (202) 273–6193. Report The Committee Chairperson and the Dated: June 5, 2000. B. Follow up from March Council Vice Chairperson shall be elected by the Actions—Report By Direction of the Secretary. Committee from among its members. C. Los Alamos Fire Damage—Report and Marvin R. Eason, There are seven members on the Possible Action Committee. This Committee differs Committee Management Officer. D. A Citizen’s Guide to Section 106 Review—Report somewhat from other advisory [FR Doc. 00–14757 Filed 6–9–00; 8:45 am] committees in the selection process and BILLING CODE 8320±01±M VI. New Business A. Foreclosure of Council’s Opportunity to composition of its membership. The Comment—Corps of Engineer’s Civil poultry industry elects the members of Works the Committee. The members represent ADVISORY COUNCIL ON HISTORIC B. Proposal to Recognize Federal six geographic areas with one member- PRESERVATION Preservation Policy Leaders—Action at-large. The membership is not subject VII. Adjourn Notice of Meeting to the U.S. Department of Agriculture’s Note: The meetings of the Council are open review, and a formal request for AGENCY: Advisory Council on Historic to the public. If you need accommodations nominations for membership is not Preservation due to a disability, please contact the published in the Federal Register.

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Done in Washington, DC, this 7th day of 4. Review of the laboratory protocol alternative means for communication of June 2000. for the isolation and identification of information (Braille, large print, Paul W. Fiddick, Salmonella. audiotape, etc.) should contact USDA’s Assistant Secretary for Administration. 5. Review of the approval system for Target Center at (202) 720–2600 (voice [FR Doc. 00–14779 Filed 6–9–00; 8:45 am] authorized laboratories of the NPIP. and TDD). The meetings will be open to the BILLING CODE 3410±34±U SUPPLEMENTARY INFORMATION: public. The sessions held on June 30 Title: Foreign Donation of and July 1, 2000, will include delegates Agricultural Commodities. DEPARTMENT OF AGRICULTURE to the NPIP Biennial Conference, OMB Number: 0551–0035. representing State officials and poultry Expiration Date of Approval: October Animal and Plant Health Inspection industry personnel from the 48 31, 2000. Service cooperating States. However, due to Type of Request: Extension of time constraints, the public will not be [Docket No. 00±048±1] currently approved information allowed to participate in the discussions collection. National Poultry Improvement Plan; during either of the meetings. Written Abstract: Cooperating sponsors must General Conference Committee statements on meeting topics may be provide proposal documents and Meeting and Biennial Conference filed with the Committee before or after compliance and related reports until the meetings by sending them to the commodities or local currencies AGENCY: Animal and Plant Health person listed under FOR FURTHER Inspection Service, USDA. generated from the sale thereof are INFORMATION CONTACT: Written utilized. Shipping agents must submit ACTION: Notice of meeting. statements may also be filed at the information and certifications regarding meetings. Please refer to Docket No. 00– SUMMARY: We are giving notice of a their activities and affiliations. 048–1 when submitting your statements. Documents are used to develop effective meeting of the General Conference This notice of meeting is given agreements and assure statutory Committee of the National Poultry pursuant to section 10 of the Federal requirements and objectives are met. Improvement Plan and of the Biennial Advisory Committee Act. Conference. Estimate of Burden: The public Done in Washington, DC, this 7th day of reporting burden for these collections DATES: The General Conference June 2000. vary in direct relation to the number Committee will meet on June 29, 2000, Craig A. Reed, and type of agreements. from 8:30 a.m. to 5 p.m. The Biennial Administrator, Animal and Plant Health Respondents: U.S. private voluntary Conference will meet on June 30, 2000, Inspection Service. organizations, U.S. cooperatives, foreign from 8 a.m. to 5 p.m. and on July 1, [FR Doc. 00–14780 Filed 6–9–00; 8:45 am] governments, shipping agents, ship 2000, from 8 a.m. to noon. BILLING CODE 3410±34±U owners and brokers, and survey ADDRESSES: The meeting will be held at companies. the Doubletree Hotel, 1775 East Estimated Number of Respondents: Cheyenne Mountain Boulevard, DEPARTMENT OF AGRICULTURE 180 per annum. Colorado Springs, CO. Estimated Number of Responses per Commodity Credit Corporation FOR FURTHER INFORMATION CONTACT: Mr. Respondent: 21 per annum. Andrew R. Rhorer, Senior Coordinator, Notice of Request for Extension of a Estimated Total Annual Burden of National Poultry Improvement Plan, VS, Currently Approved Information Respondents: 38,827 hours. APHIS, 1498 Klondike Road, Suite 200, Collection Copies of this information collection Conyers, GA 30094–1231; (770) 922– can be obtained from Kimberly Chisley, 3496. AGENCY: Commodity Credit Corporation, the Agency Information Collection SUPPLEMENTARY INFORMATION: The USDA. Coordinator, at (202) 720–2568. General Conference Committee (the ACTION: Notice and request for Requests for comments: Send Committee) of the National Poultry comments. comments regarding (a) whether the proposed collection of information is Improvement Plan (NPIP), representing SUMMARY: In accordance with the cooperating State agencies and poultry necessary for the proper performance of Paperwork Reduction Act of 1995, this the functions of the agency, including industry members, serves an essential notice announces the Commodity Credit function by acting as liaison between whether the information will have Corporation’s (CCC) intention to request practical utility; (b) the accuracy of the the poultry industry and the Department an extension to a currently approved in matters pertaining to poultry health. agency’s estimate of the burden of the information collection in support of the proposed collection of information; (c) In addition, this Committee assists the regulations governing the foreign Department in planning, organizing, and ways to enhance the quality, utility and donation of agricultural commodities clarity of the information to be conducting the NPIP Biennial under both the section 416(b) and the Conference. collected; and (d) ways to minimize the Food for Progress programs based on re- burden of the collection of information Topics for discussion at the upcoming estimates. meetings include: on those who are to respond, including DATES: 1. Establishment of ‘‘U.S. Salmonella Comments on this notice must be through the use of automated, Enteritidis Clean State’’ classifications received by August 11, 2000 to be electronic, mechanical, or other for egg-and meat-type chickens. assured of consideration. technological collection techniques or 2. Establishment of a ‘‘U.S. ADDITIONAL INFORMATION OR COMMENTS: other forms of information technology. Salmonella Enteritidis Monitored’’ Contact Merle Brown, Director, Program Comments may be sent to Merle program for commercial table egg Administration Division, Foreign Brown, Director, Program pullets. Agricultural Service, U.S. Department of Administration Division, FAS, USDA, 3. Good management practices for the Agriculture, Stop 1031, Washington, DC Stop 1031, Washington, DC 20250, or control of Salmonella and Mycoplasma 20250–1031, telephone (202) 720–3573. the Desk Officer for Agriculture, Office infections in poultry. Persons with disabilities who require an of Information and Regulatory Affairs,

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Office of Management and Budget, contains a series of surveys that obtains The Agricultural Surveys Program has Washington, DC 20503. basic agricultural data from farmers and approval from OMB for a 3-year period. All responses to this notice will be ranchers throughout the Nation for NASS intends to request that the summarized and included in the request preparing agricultural estimates and program be approved for another 3 for OMB approval. All comments will forecasts of crop acreage, yield, and years. These data are collected under also become a matter of public record. production; stocks of grains and the authority of 7 U.S.C. 2204(a). Signed at Washington, D.C. on June 2, soybeans; hog and pig numbers; sheep Individually identifiable data collected 2000. inventory and lamb crop; cattle under this authority are governed by inventory; and cattle on feed. Grazing Timothy J. Galvin, Section 1770 of the Food Security Act fees, land values, pesticide usage, and of 1985, 7 U.S.C. 2276, which requires Administrator, Foreign Agricultural Service, pest management practices data are also and Vice President, Commodity Credit USDA to afford strict confidentiality to collected. Corporation. non-aggregated data provided by Uses of the statistical information are [FR Doc. 00–14663 Filed 6–9–00; 8:45 am] extensive and varied. Producers, farm respondents. BILLING CODE 3410±10±P organizations, agribusinesses, state and Estimate of Burden: Public reporting national farm policy makers, and burden for this collection of information DEPARTMENT OF AGRICULTURE government agencies are important is estimated to average 15 minutes per users of these statistics. Agricultural response. statistics are used to plan and National Agricultural Statistics Service Respondents: Farms. administer other, related Federal and Notice of Intent to Extend and Revise state programs in such areas as Estimated Number of Respondents: a Currently Approved Information consumer protection, conservation, 547,000. Collection foreign trade, education, and recreation. Estimated Total Annual Burden on One important modification to the Respondents: 139,000 hours. AGENCY: National Agricultural Statistics program is the addition of a Monthly Service, USDA. Hog Survey. NASS was directed to Copies of this information collection ACTION: Notice and request for publish on a monthly basis the Hogs and related instructions can be obtained comments. and Pigs Inventory Report with the without charge from Ginny McBride, the passage by Congress and signature of the Agency OMB Clearance Officer, at (202) SUMMARY: In accordance with the President of H.R. 1906, the FY2000 720–5778. Paperwork Reduction Act of 1995 (Pub. Department of Agriculture budget. The L. No. 104–13) and Office of Monthly Hog Survey will supplement Comments Management and Budget regulations at the Hog Survey Program currently Comments are invited on: (a) Whether 5 CFR part 1320 (60 FR 44978, August conducted as part of the Quarterly the proposed collection of information 29, 1995), this notice announces the Agricultural Surveys. The monthly intent of the National Agricultural surveys will use a shorter version of the is necessary for the proper performance Statistics Service (NASS) to extend and quarterly questionnaire and will be of the functions of the agency, including revise a currently approved information conducted eight times a year, during the whether the information will have collection, the Agricultural Surveys months between the Quarterly Hog practical utility; (b) the accuracy of the Program. Surveys. The sampling frame for the agency’s estimate of the burden of the proposed collection of information DATES: Comments on this notice must be monthly program will be hog owners including the validity of the received by August 16, 2000 to be who reported breeding females on the assured of consideration. December Quarterly Hog Survey. methodology and assumptions used; (c) A second revision to the program is ways to enhance the quality, utility, and ADDITIONAL INFORMATION OR COMMENTS: the addition of questions regarding clarity of the information to be Contact Rich Allen, Associate damage to crops caused by wildlife, collected; and (d) ways to minimize the Administrator, National Agricultural methods being used to reduce these burden of the collection of information Statistics Service, U.S. Department of losses, and the cost of preventative on those who are to respond, including Agriculture, 1400 Independence Avenue measures. These additional questions SW, Room 4117 South Building, through the use of appropriate will be asked only in January 2001. automated, electronic, mechanical, or Washington, D.C. 20250–2000, (202) Aggregated totals will be provided to the 720–4333. other technological collection USDA’s Animal and Plant Health techniques or other forms of information SUPPLEMENTARY INFORMATION: Inspection Service action agency, technology. Comments may be sent to: Title: Agricultural Surveys Program. Wildlife Services, to help identify and Ginny McBride, Agency OMB Clearance OMB Control Number: 0535–0213. monitor crop losses caused by wildlife. Officer, U.S. Department of Agriculture, Expiration Date of Approval: The third revision is the 1400 Independence Avenue SW, Room November 30, 2000. discontinuance of the Fall Area Survey. 4162 South Building, Washington, D.C. Type of Request: Intent to extend and A reduced sample of the 1999 Fall Area 20250–2000. All responses to this notice revise a currently approved information Surveys respondents will be selected for collection. an Integrated Pest Management Survey will become a matter of public record Abstract: The National Agricultural (IPM). This survey will be conducted and be summarized in the request for Statistics Service is responsible for only in January 2001 to collect OMB approval. collecting and issuing state and national information on IPM practices formerly Signed at Washington, D.C., June 1, 2000. estimates of crop and livestock collected as part of the Fall Area Survey. Rich Allen, production, grain stocks, farm numbers, This is the fourth year of the USDA plan Associate Administrator. land values, on-farm pesticide usage, to measure the general adoption of IPM [FR Doc. 00–14729 Filed 6–9–00; 8:45 am] and pest crop management practices. practices for the Nation’s agricultural The Agricultural Surveys Program production. BILLING CODE 3410±20±P

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DEPARTMENT OF COMMERCE 14th and Pennsylvania Avenue, NW., above. The application indicates that Washington, DC 20230. subzone status would help improve the Foreign-Trade Zones Board Dated: June 2, 2000. plant’s international competitiveness. Dennis Puccinelli, In accordance with the Board’s [Docket 24±2000] regulations, a member of the FTZ Staff Acting Executive Secretary. has been designated examiner to Foreign-Trade Zone 9ÐHonolulu, HI [FR Doc. 00–14798 Filed 6–9–00; 8:45 am] investigate the application and report to Request for Removal of Board Order BILLING CODE 3510±DS±P the Board. Restriction, Pacific Allied Products, Public comment on the application is Ltd. (Plastic Food/Beverage invited from interested parties. DEPARTMENT OF COMMERCE Containers) Submissions (original and three copies) An application has been submitted to Foreign±Trade Zones Board shall be addressed to the Board’s the Foreign-Trade Zones Board (the Executive Secretary at the address Board) by the Department of Business, [Docket 25±2000] below. The closing period for their Economic Development & Tourism of receipt is August 11, 2000. Rebuttal Foreign-Trade Zone 158 Jackson, MSÐ comments in response to material the State of Hawaii, grantee of FTZ 9, Application for Subzone Status: Alliant requesting authority, on behalf of Pacific submitted during the foregoing period Aerospace Composite Structures may be submitted during the subsequent Allied Products, Ltd. (PAP), to extend Company Plant (Space Launch Vehicle its authority to manufacture plastic 15-day period (to August 28, 2000). Composite Structures), Iuka, A copy of the application and the food/beverage containers under FTZ Mississippi procedures, subject to restriction. It was accompanying exhibits will be available formally filed on June 2, 2000. An application has been submitted to for public inspection at each of the Board Order 735 (60 FR 26715, 5/18/ the Foreign-Trade Zones Board (the following locations: 95) authorized the manufacture of Board) by the Vicksburg/Jackson U.S. Department of Commerce Export plastic food/beverage containers under Foreign Trade Zone, Inc., grantee of FTZ Assistance Center, 704 East. Main zone procedures within FTZ 9 solely for 158, requesting special-purpose subzone Street, Raymond, MS 39154. the Hawaiian and export markets for a status for the space launch vehicle Office of the Executive Secretary, period ending July 1, 2000. The State of composite structures manufacturing Foreign-Trade Zones Board, U.S. Hawaii is now requesting that the plant of Alliant Aerospace Composite Department of Commerce, Room 4008, manufacturing authority for PAP be Structures Company (Alliant), located in 14th Street & Constitution Avenue, NW, extended on a permanent basis. Foreign- Iuka, Mississippi. The application was Washington, DC 20230–0001. sourced components used in PAP’s submitted pursuant to the provisions of Dated: June 2, 2000. manufacturing include polyethylene the Foreign-Trade Zones Act, as Dennis Puccinelli, terephthalate and high density amended (19 U.S.C. 81a–81u), and the Acting Executive Secretary. polyethylene. regulations of the Board (15 CFR Part [FR Doc. 00–14799 Filed 6–9–00; 8:45 am] FTZ procedures exempt PAP from 400). It was formally filed on June 2, BILLING CODE 3510±DS±P Customs duty payments on the foreign 2000. components used in export production. The Alliant plant (20 acres/317,000 On its Hawaiian sales, the company is sq. ft.) is located at within the Tri State DEPARTMENT OF COMMERCE able to choose the duty rate that applies Commerce Park at 751 County Road to the plastic containers (3%) for the 989, Iuka (Tishomingo County), Foreign-Trade Zones Board foreign components noted above (duty Mississippi. The facility (200 rates 1.2¢/kg. + 7.5% and 8.9%, employees) is used to produce [Docket 23±2000] respectively). The request indicates that composite foam structural components Foreign-Trade Zone 78, Nashville, the savings from FTZ procedures will (thermal shield, center body, forward Tennessee Application for Expansion continue to help improve the facility’s skirt, nose cone) for space launch and Request for Manufacturing international competitiveness. In vehicles (i.e., rockets) manufactured by Authority (Personal Computers) accordance with the Board’s regulations, U.S. aerospace firms. The production a member of the FTZ Staff has been process involves heat forming An application has been submitted to designated examiner to investigate the polymethacrylimide (‘‘Rohacell’’) foam, the Foreign-Trade Zones Board (the application and report to the Board. machining, layering with carbon fiber Board) by the Metropolitan Government Public comment on the application is and adhesives, pressurization/heat of Nashville and Davidson County, invited from interested parties. curing, and trimming. The only material grantee of FTZ 78, requesting authority Submissions (original and three copies) input purchased from abroad that would to expand its zone in the Nashville, shall be addressed to the Board’s be admitted to the proposed subzone in Tennessee area, and requesting, on Executive Secretary at the address foreign status (19 CFR 146.42(a)) is behalf of Dell Computer Corporation below. The closing period for their polymethacrylimide foam—HTSUS# (Dell), authority to manufacture receipt is August 11, 2000. Rebuttal 3921.19.00; duty rate: 6.5% personal computers under zone comments in response to material (representing 8% of finished product procedures within FTZ 78 (Nashville submitted during the foregoing period value). Customs port of entry). The application may be submitted during the subsequent FTZ procedures would exempt was submitted pursuant to the 15-day period to August 28, 2000. Alliant from Customs duty payments on provisions of the Foreign-Trade Zones A copy of the application will be the foreign polymethacrylimide foam Act, as amended, (19 U.S.C. 81a–81u), available for public inspection at the used in export production. On its and the regulations of the Board (15 CFR following location: domestic sales, the company would be Part 400). It was formally filed on June Office of the Executive Secretary, able to choose the duty rate that applies 1, 2000. Foreign-Trade Zones Board, U.S. to finished composite structures (duty FTZ 78 was approved on March 2, Department of Commerce, Room 4008, free) for the foreign foam input noted 1982 (Board Order 190, 47 FR 16191, 4/

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15/82) and expanded on February 18, servers) and data storage products. All SUMMARY: The United States Department 1999 (Board Order 1024, 64 FR 9472, 2/ of these products fall into HTSUS of Commerce (the ‘‘Department’’) and 26/99). The zone currently consists of classifications which are duty free. The the Federal Trade Commission (the five sites in the Nashville, Tennessee imported components for which Dell is ‘‘FTC’’) have extended the deadline to area: seeking inverted tariff benefits include: June 29, 2000, for submitting comments Site 1—(52,000 square feet) within a plastic and rubber components; cloth in the public workshop on alternative 200,000 square foot warehouse located tape; metal screws, clamps, washers, dispute resolution (‘‘ADR’’) for online at 750 Cowan Street, Nashville; clips, and springs; locks and keys; fans; consumer transactions (announced in 65 Site 2—(63 acres) within the 2,000- adapters and battery chargers; magnets; FR 7831 (Feb. 16, 2000)). acre Cockrill Bend industrial park, batteries; microphones; speakers; surge Nashville; protectors; switches; sockets and plugs; DATES: Public comments will be Site 3—(275,000 square feet) within a cables, connectors, and power cords; accepted until June 29, 2000. ‘‘populated’’ printed circuit boards; and 400,000 square foot warehouse located ADDRESSES: Mail written comments to leather carrying cases. Duty rates on at 323 Mason Road, La Vergne, Secretary, Federal Trade Commission, Tennessee; these items range up to 6.2% ad Room H–159, 600 Pennsylvania Site 4—(39 acres) Space Park North valorem. Avenue, NW, Washington, DC 20580. Industrial Park, 1000 Cartwright Street, In accordance with the Board’s Goodlettsville, Tennessee; and regulations, a member of the FTZ Staff Submission of Documents: Comments Site 5—(19 acres) Old Stone Bridge has been designated examiner to should be captioned ‘‘Alternative Industrial Park, Old Stone Bridge, investigate the application and report to Dispute Resolution for Consumer Goodlettsville. the Board. Transactions in the Borderless Online The applicant is now requesting Public comment on the application is Marketplace.’’ To enable prompt review authority to expand the FTZ to include invited from interested parties. and public access, paper submissions two additional sites: Submissions (original and three copies) should include three hard copies and a Site 6—‘‘Airport Site,’’ to include 806 shall be addressed to the Board’s version on diskette in ASCII, acres located in Nashville at Nashville Executive Secretary at the address WordPerfect (please specify version), or International Airport, One Terminal below. The closing period for their Microsoft Word (please specify version) Drive, Nashville. The Airport Site receipt is August 11, 2000. Rebuttal format. Diskettes should be labeled with involves an industrial-park type of comments in response to material the name of the party and the name and facility that will include manufacturing, submitted during the foregoing period version of the word processing program distribution, and logistics facilities for may be submitted during the subsequent used to create the document. As an Dell and warehousing and logistics 15-day period to August 28, 2000. alterntive to paper submissions, email facilities for other parties requiring FTZ A copy of the application and the comments to: [email protected]. Messages to procedures at the airport, particularly accompanying exhibits will be available that address will receive a reply in involving air freight; and for public inspection at each of the acknowledgment. Comments submitted Site 7—‘‘Eastgate Site,’’ at 3850 following locations: in electronic form should be in ASCII, Eastgate Boulevard, Lebanon, Office of the Executive Secretary, WordPerfect (plese specify verion), or Tennessee. This site is in the Eastgate Foreign-Trade Zones Board, U.S. Microsoft Word (please specify version) Business Park, off Interstate 40, twelve Department of Commerce, Room 4008, format. Written comments will be miles east of Nashville International 14th and Pennsylvania Avenue, N.W., available for public inspection in Airport. The site contains 38 acres with Washington, DC 20230. accordance with the Freedom of one 300,000 square foot building Nashville Export Assistance Center, currently occupied by Dell—the Information Act, 5 U.S.C. 552 and 211 Commerce Ave, Suite 100, Commission regulations, 16 CFR Part remainder of the site will be available Nashville, TN 37201. for other users. 4.9 on normal business days between The application also requests Dated: June 1, 2000. the hours of 8:30 a.m. and 5 p.m. at 600 authority on behalf of Dell to Dennis Puccinelli, Pennsylvania Avenue, NW, Washington, manufacture personal computers, Acting Executive Secretary. DC 20580. The Department and the FTC including servers and workstations, [FR Doc. 00–14797 Filed 6–9–00; 8:45 am] will make this notice, and, to the extent within FTZ 78 (within the proposed BILLING CODE 3510±DS±P possible, all papers or comments expansion sites). Dell is already received in response to this notice authorized to manufacture such available to the public through the computers under zone procedures DEPARTMENT OF COMMERCE Internet at: http://www.ecommerce.gov/ within Foreign Trade Zone 183 and adr. Subzone 183A. This proposal requests International Trade Administration FOR FURTHER INFORMATION CONTACT: For the same scope of manufacturing authority under FTZ procedures in FEDERAL TRADE COMMISSION questions about the workshop, please terms of products or components as contact either Kate Rodriguez, Public Workshop: Alternative Dispute International Trade Administration, requested in Dell’s previous Resolution for Consumer Transactions applications, and involves an increase phone (202) 482–2145; email: in the Borderless Online Marketplace _ in the overall level of production under kate [email protected] or Maneesha Mithal, Federal Trade Commission, FTZ procedures for Dell. AGENCY: International Trade The specific finished products for Administration, Department of phone: (202) 326–2771; email: which Dell seeks authority to produce Commerce; Federal Trade Commission. [email protected]. All materials relating under FTZ procedures are various types to the workshop can also be found at ACTION: Notice Announcing Reopening of computers (desktop and notebook http://www.ecommerce.gov/adr. of Public Comment Period. computers, workstations, and network

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By direction of the Commission. automotive parts trade policy between The evaluation will include a site Donald S. Clark, the United States and Japan and other visit, consideration of public comments, Secretary. Asian markets. and consultations with interested Barbara S. Wellbery, The Assistant Secretary for Federal, Territorial, and local agencies Counsellor to the Under Secretary for Administration, with the concurrence of and members of the public. A public Electronic Commerce, International Trade the General Counsel formally meeting will be held as part of the site Administration, Department of Commerce. determined on June 6, 2000, pursuant to visit. Notice is hereby given of the date [FR Doc. 00–14763 Filed 6–9–00; 8:45 am] Section 10(d) of the Federal Advisory of the site visit for the listed evaluation, BILLING CODE 3510±25±M Committee Act, as amended, that the and the date, local time, and location of June 23 meeting of the Committee and the public meeting during the site visit. of any subcommittee thereof, dealing The American Samoa Coastal DEPARTMENT OF COMMERCE with privileged or confidential Management Program evaluation site commercial information may be exempt visit will be from July 24–28, 2000. The International Trade Administration from the provisions of the Act relating public meeting will be held on to open meeting and public Wednesday, July 26, 2000, at 5:00 p.m., Closed Meeting of the U.S. Automotive in the Rainmaker Hotel, Pago Pago, Parts Advisory Committee (APAC) participation therein because these items are concerned with matters that American Samoa. AGENCY: International Trade are within the purview of 5 U.S.C. 552b Copies of the Territory’s most recent Administration, Commerce (c)(4) and (9)(B). A copy of the Notice performance reports, as well as OCRM’s ACTION: Notice. of Determination is available for public notifications and supplemental request inspection and copying in the letters to the Territory, are available SUMMARY: The APAC will have a closed Department of Commerce Records upon request from OCRM. Written meeting on June 23, 2000, at the U.S. Inspection Facility, Room 6020, Main comments from interested parties Department of Commerce to discuss Commerce. regarding this Program are encouraged U.S.-made automotive parts sales in and will be accepted until 15 days after Japanese and other Asian markets. Dated: June 6, 2000. the public meeting. Please direct written Henry P. Misisco, DATES: June 23, 2000. comments to Margo E. Jackson, Deputy Director, Office of Automotive Affairs. FOR FURTHER INFORMATION CONTACT: Dr. Director, Office of Ocean and Coastal Robert Reck, U.S. Department of [FR Doc. 00–14714 Filed 6–9–00; 8:45 am] Resource Management, NOS/NOAA, Commerce, Room 4036, Washington, BILLING CODE 3510±DR±P 1305 East-West Highway, 10th Floor, D.C. 20230, telephone: 202–482–1418. Silver Spring, Maryland, 20910. When the evaluation is completed, OCRM will SUPPLEMENTARY INFORMATION: The U.S. DEPARTMENT OF COMMERCE Automotive Parts Advisory Committee place a notice in the Federal Register (the ‘‘Committee’’) advises U.S. announcing the availability of the Final National Oceanic and Atmospheric Evaluation Findings. Government officials on matters relating Administration to the implementation of the Fair Trade FOR FURTHER INFORMATION CONTACT: in Automotive Parts Act of 1998 (Public Evaluation of Coastal Zone Margo E. Jackson, Deputy Director, Law 105–261). The Committee: (1) Management Programs Office of Ocean and Coastal Resource Reports to the Secretary of Commerce Management, NOS/NOAA, 1305 East- on barriers to sales of U.S.-made AGENCY: Office of Ocean and Coastal West Highway, Silver Spring, Maryland automotive parts and accessories in Resource Management, National Ocean 20910, (301) 713–3155, Extension 114. Japanese and other Asian markets; (2) Service, National Oceanic and Federal Domestic Assistance Catalog reviews and considers data collected on Atmospheric Administration (NOAA), 11.419 Coastal Zone Management Program sales of U.S.-made auto parts and DOC. Administration. accessories in Japanese and other Asian ACTION: Notice of Intent to Evaluate. markets; (3) advises the Secretary of Dated: June 7, 2000. Commerce during consultations with SUMMARY: The NOAA Office of Ocean CAPT Ted Lillestolen, other Governments on issues concerning and Coastal Resource Management Deputy Assistant Administrator for Ocean sales of U.S.-made automotive parts in (OCRM) announces its intent to evaluate Services and Coastal Zone Management. Japanese and other Asian markets; and the performance of the American Samoa [FR Doc. 00–14874 Filed 6–8–00; 2:32 pm] (4) assists in establishing priorities for Coastal Management Program. BILLING CODE 3510±08±M the initiative to increase sales of U.S.- This evaluation will be conducted made auto parts and accessories to pursuant to section 312 of the Coastal Japanese markets, and otherwise Zone Management Act of 1972 (CZMA), DEPARTMENT OF COMMERCE provide assistance and direction to the as amended, and regulations at 15 CFR National Oceanic and Atmospheric Secretary of Commerce in carrying out Part 928. The CZMA requires a Administration the intent of that section; and (5) assists continuing review of the performance of the Secretary of Commerce in reporting states and U.S. territories with respect to [I.D. 051800G] to Congress by submitting an annual coastal program implementation. written report to the Secretary on the Evaluation of Coastal Zone Management Marine Mammals; File No. 675±1563 sale of U.S.-made automotive parts in Programs requires findings concerning AGENCY: National Marine Fisheries Japanese and other Asian markets, as the extent to which a state or territory Service (NMFS), National Oceanic and well as any other issues with respect to has met the national objectives, adhered Atmospheric Administration (NOAA), which the Committee provides advice to its coastal program document Commerce. pursuant to its authorizing legislation. approved by the Secretary of Commerce, ACTION: Issuance of permit. At the meeting, committee members and adhered to the terms of financial will discuss specific trade and sales assistance awards funded under the SUMMARY: Notice is hereby given that Dr. expansion programs related to CZMA. Graham A.J. Worthy, (Principal

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Investigator), Department of Marine Dated in Washington, D.C., May 31, 2000. flame standard similar to the component Biology, Texas A&M University, 5001 Charles H. Atherton, test set forth in British Standard 5852; Avenue U, Suite 105, Galveston, Texas Secretary. (3) a warning label for flammable 77551, has been issued a permit to take [FR Doc. 00–14756 Filed 6–9–00; 8:45 am] mattresses; and (4) a permanent mattress Northern fur seals (Callorhinus ursinus) BILLING CODE 6330±01±M identification tag attached to the for purposes of scientific research. innerspring of the mattress. The ADDRESSES: The permit and related petitioner focuses primarily on the role documents are available for review CONSUMER PRODUCT SAFETY polyurethane foam plays in mattress upon written request or by appointment COMMISSION fires. He notes that the Commission’s in the following office(s): existing mattress flammability standard Permits and Documentation Division, Petitions Requesting Standards, only addresses cigarette ignition; yet Office of Protected Resources, NMFS, Labeling, and Identification Tags for childplay with open-flame sources 1315 East-West Highway, Room 13705, Mattresses causes nearly two-thirds of mattress Silver Spring, MD 20910 (301/713– fires. He argues that with polyurethane 2289); and AGENCY: Consumer Product Safety foam mattresses, fires have become Regional Administrator, Alaska Commission. increasingly more deadly than with Region, NMFS, P.O. Box 21668, Juneau, ACTION: Notice. cotton batting mattresses due to AK 99802–1668 (907/586–7221); increased smoke generation, heat SUMMARY: The Commission has received FOR FURTHER INFORMATION CONTACT: production and flame spread. With petitions (FP 00–1, FP 00–2, FP 00–3 regard to labels, he notes that Ruth Johnson or Simona Roberts, 301/ and FP 00–4) requesting that the 713–2289. polyurethane foam manufacturers Commission issue performance provide warnings to mattress SUPPLEMENTARY INFORMATION: On standards and labeling requirements to manufacturers, but these warnings are February 11, 2000, notice was published address the flammability of mattresses. not passed on to the consumer. With in the Federal Register (65 FR 6997) The petitioner also requests that the regard to an identification tag, the that a request for a scientific research Commission require a permanent tag petitioner argues that such a tag would permit to take fur seals had been stating the mattress’s manufacturer and help to identify mattresses involved in submitted by the above-named other identifying information. The fires because often only the innerspring individual. The requested permit has Commission solicits written comments unit remains after a mattress fire. The been issued under the authority of the concerning the petitions. Commission is docketing these petitions Marine Mammal Protection Act of 1972, DATES: The Office of the Secretary must under provisions of the Flammable as amended (16 U.S.C. 1361 et seq.), the receive comments on the petitions by Fabrics Act, 15 U.S.C. 1191–1204. Regulations Governing the Taking and August 11, 2000. Interested parties may obtain copies Importing of Marine Mammals (50 CFR ADDRESSES: Comments, preferably in of the petitions by writing or calling the part 216), and the Fur Seal Act of 1966, Office of the Secretary, Consumer as amended (16 U.S.C. 1151 et seq.). five copies, on the petitions should be mailed to the Office of the Secretary, Product Safety Commission, Dated: June 6, 2000. Consumer Product Safety Commission, Washington, DC 20207; telephone (301) Ann D. Terbush, Washington, DC 20207, telephone (301) 504–0800. Copies of the petitions are Chief, Permits and Documentation Division, 504–0800, or delivered to the Office of also available for inspection from 8:30 Office of Protected Resources, National the Secretary, Room 501, 4330 East- a.m. to 5 p.m., Monday through Friday, Marine Fisheries Service. West Highway, Bethesda, Maryland in the Commission’s Public Reading [FR Doc. 00–14777 Filed 6–9–00; 8:45 am] 20814. Comments may also be filed by Room, Room 419, 4330 East-West BILLING CODE 3510±22±F telefacsimile to (301) 504–0127 or by Highway, Bethesda, Maryland. email to [email protected]. Comments Dated: June 6, 2000. should be captioned ‘‘Petitions FP 00– Sadye E. Dunn, COMMISSION OF FINE ARTS 1 through FP 00–4, Petitions on Mattress Secretary, Consumer Product Safety Flammability.’’ Copies of the petitions Commission. Notice of Meeting are available for inspection at the [FR Doc. 00–14696 Filed 6–9–00; 8:45 am] The next meeting of the Commission Commission’s Public Reading Room, BILLING CODE 6355±01±P of Fine Arts is schedule for June 15, Room 419, 4330 East-West Highway, 2000, at 10 a.m. in the Commission’s Bethesda, Maryland. offices at the National Building Museum FOR FURTHER INFORMATION CONTACT: CORPORATION FOR NATIONAL AND (Pension Building), Suite 312, Judiciary Rockelle Hammond, Office of the COMMUNITY SERVICE Square, 441 F Street, N.W., Washington, Secretary, Consumer Product Safety D.C., 20001–2728. Items of discussion Commission, Washington, D.C. 20207; New Information Collection; will include designs for projects telephone (301) 504–0800, ext. 1232. Submission for OMB Review; affecting the appearance of Washington, SUPPLEMENTARY INFORMATION: The Comment Request D.C., including buildings and parks. Commission has received AGENCY: Corporation for National and Inquiries regarding the agenda and correspondence from Whitney A. Davis, Community Service request to submit written or oral director of the Children’s Coalition for ACTION: Notice. statements should be addressed to Fire-Safe Mattresses, requesting that the Charles H. Atherton, Secretary, Commission take various actions The Corporation for National and Commission of Fine Arts, at the above concerning mattress flammability. The Community Service (hereinafter the address or call 202–504–2200. Commission is docketing as petitions ‘‘Corporation’’) has submitted the Individuals requiring sign language his requests for rules requiring: (1) An following public information collection interpretation for the hearing impaired open flame standard similar to the full- request (ICR) to the Office of should contact the Secretary at least 10 scale test set forth in California Management and Budget (OMB) for days before the meeting date. Technical Bulletin 129; (2) an open review and approval in accordance with

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36891 the Paperwork Reduction Act of 1995 application to the Corporation for proposed information collection (Public Law 104–13, (44 U.S.C. Chapter continued funding. requests prior to submission of these 35)). Copies of these individual ICRs, The Corporation seeks public requests to OMB. Each proposed with applicable supporting comment on the forms, the instructions information collection, grouped by documentation, may be obtained by for the forms, and the instructions for office, contains the following: (1) Type calling the Corporation, Tracy Stone, the narrative portion of these of review requested, e.g. new, revision, Director, AmeriCorps Promise Fellows, continuation application instructions. extension, existing or reinstatement; (2) (202) 606–5000, extension 173. Type of Review: New collection. Title; (3) Summary of the collection; (4) Individuals who use a Agency: Corporation for National and Description of the need for, and telecommunications device for the deaf Community Service. proposed use of, the information; (5) (TTY–TDD) may call (202) 565–2799 Title: AmeriCorps Promise Fellows Respondents and frequency of between 8:30 a.m. and 5:00 p.m. Eastern Continuation Application Instructions. collection; and (6) Reporting and/or time, Monday through Friday. OMB Number: None. Recordkeeping burden. OMB invites Comments should be sent to the Agency Number: None. public comment. Office of Information and Regulatory Affected Public: Entities in their first The Department of Education is Affairs, Attn: OMB Desk Officer for the or second year of operation as grantees especially interested in public comment Corporation for National and of the Corporation’s AmeriCorps addressing the following issues: (1) Is Community Service, Office of Promise Fellows program. this collection necessary to the proper Information and Regultory Affairs Total Respondents: 66. functions of the Department; (2) will (OIRA), Room 10235, Washington, D.C. Frequency: Once per year. this information be processed and used 20503, (202) 395–6466, within 30 days Average Time Per Response: 25 hours. in a timely manner; (3) is the estimate from the date of this publication in the Estimated Total Burden Hours: 1,650 of burden accurate; (4) how might the Federal Register. hours. Department enhance the quality, utility, Total Burden Cost (capital/startup): The OMB is particularly interested in and clarity of the information to be None. comments which: collected; and (5) how might the Total Burden Cost (operating/ • Evaluate whether the proposed Department minimize the burden of this maintenance): None. collection of information is necessary collection on the respondents, including for the proper performance of the Dated: June 6, 2000. through the use of information functions of the Corporation, including Tracy Stone, technology. whether the information will have Director, AmeriCorps Promise Fellows. Dated: June 6, 2000. practical utility; [FR Doc. 00–14695 Filed 6–9–00; 8:45 am] • John Tressler, Evaluate the accuracy of the BILLING CODE 6050±28±U Leader, Regulatory Information Management, agency’s estimate of the burden of the Office of the Chief Information Officer. proposed collection of information, including the validity of the DEPARTMENT OF EDUCATION Office of the Undersecretary methodology and assumptions used; Type of Review: New. • Propose ways to enhance the Notice of Proposed Information Title: Assessing Literacy Models in quality, utility and clarity of the Collection Requests the Boston Public Schools. information to be collected; and Frequency: Semi-Annually. • Propose ways to minimize the AGENCY: Department of Education. Affected Public: Not-for-profit burden of the collection of information SUMMARY: The Leader, Regulatory institutions; Individuals or households. on those who are to respond, including Information Management, Office of the Reporting and Recordkeeping Hour through the use of appropriate Chief Information Officer, invites Burden: Responses: 873; Burden Hours: automated, electronic, mechanical, or comments on the proposed information 2,055. other technological collection collection requests as required by the Abstract: Funding has been granted to techniques or other forms of information Paperwork Reduction Act of 1995. carry out an evaluation of four literacy technology, e.g., permitting electronic DATES: Interested persons are invited to models currently implemented in the submissions of responses. submit comments on or before August Boston Public Schools. The purpose of Description: The AmeriCorps Promise 11, 2000. the evaluation will be to gather Fellows program supports a leadership SUPPLEMENTARY INFORMATION: Section information about the strengths and cadre of AmeriCorps members 3506 of the Paperwork Reduction Act of weaknesses of these models across all spearheading community efforts to 1995 (44 U.S.C. Chapter 35) requires domains of literacy and for all types of provide young people with five basic that the Office of Management and students. The data collected from promises: Budget (OMB) provide interested sixteen schools and approximately 800 • Caring adults in their lives as Federal agencies and the public an early students over a two-year period will parents, mentors, tutors, and coaches; opportunity to comment on information inform practice in the school district • Safe places with structured collection requests. OMB may amend or and nationwide through dissemination activities in which to learn and grow; waive the requirement for public in professional publications. • A healthy start; consultation to the extent that public Requests for copies of the proposed • An effective education that equips participation in the approval process information collection request may be them with marketable skills; and would defeat the purpose of the accessed from http://edicsweb.ed.gov, or • An opportunity to give back to information collection, violate State or should be addressed to Vivian Reese, communities through their own service. Federal law, or substantially interfere Department of Education, 400 Maryland The AmeriCorps Promise Fellows with any agency’s ability to perform its Avenue, SW, Room 5624, Regional Continuation Application Instructions statutory obligations. The Leader, Office Building 3, Washington, D.C. provide the requirements, instructions Regulatory Information Management, 20202–4651. Requests may also be and forms that current grantees of the Office of the Chief Information Officer, electronically mailed to the internet program need to complete an publishes that notice containing address [email protected] or

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36892 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices faxed to 202–708–9346. Please specify On August 21, 1998, FE authorized www.fe.doe.gov. Upon reaching the the complete title of the information HQUS to transmit electric energy from Fossil Energy Home page, select collection when making your request. the United States to Canada using the ‘‘Electricity’’, then ‘‘Pending Comments regarding burden and/or the international electric transmission Proceedings’’ from the options menus. collection activity requirements should facilities owned by Basin Electric Power Issued in Washington, D.C., on June 6, be directed to Jacqueline Montague at Cooperative, Bonneville Power 2000. (202) 708–5359 or via her internet Administration, Citizens Utilities, Anthony J. Como, _ address Jackie [email protected]. Detroit Edison Company, Eastern Maine Deputy Director, Electric Power Regulation, Individuals who use a Electric Cooperative, Fraser Paper Office of Coal & Power Im/Ex, Office of Coal telecommunications device for the deaf Limited, Joint Owners of the Highgate & Power Systems, Office of Fossil Energy. (TDD) may call the Federal Information Project, Long Sault, Inc., Maine Electric [FR Doc. 00–14743 Filed 6–9–00; 8:45 am] Relay Service (FIRS) at 1–800–877– Power Company, Maine Public Service BILLING CODE 6450±01±P 8339. Company, Minnesota Power, Inc., [FR Doc. 00–14735 Filed 6–9–00; 8:45 am] Minnkota Power Cooperative, New York Power Authority, Niagara Mohawk DEPARTMENT OF ENERGY BILLING CODE 4000±01±U Power Corporation, Northern States Power, Vermont Electric Transmission Federal Energy Regulatory Company and Washington Water Power. Commission DEPARTMENT OF ENERGY That two-year authorization (Order EA– [Docket No. ER00±2299±000] [Dockets No. EA±181±A and EA±182±A] 182) will expire on August 21, 2000. On May 16, 2000, HQUS filed two Consumers Energy Company; Notice Application to Export Electric Energy; applications with FE for renewal of both of Issuance of Order H.Q. Energy Services (U.S.) Inc. of the above export authorizations and requested that the authorization for each June 6, 2000. AGENCY: Office of Fossil Energy, DOE. be issued for a 5-year term. Consumers Energy Company ACTION: Notice of Application. DOE notes that the circumstances (Consumers Energy) submitted for filing SUMMARY: Under two separate described in these applications are a rate schedule under which Consumers applications, H.Q. Energy Services virtually identical to those for which Energy will engage in wholesale electric (U.S.) Inc. (HQUS) has applied for export authority had previously been power and energy transactions as a renewal of its authority to transmit granted in FE Order EA–181 and FE marketer. Consumers Energy also electric energy from the United States to Order EA–182. Consequently, DOE requested waiver of various Commission Mexico and from the United States to believes that it has adequately satisfied regulations. In particular, Consumers Canada pursuant to section 202(e) of the its responsibilities under the National Energy requested that the Commission Federal Power Act. Environmental Policy Act of 1969 grant blanket approval under 18 CFR part 34 of all future issuances of DATES: Comments, protests or requests through the documentation of a to intervene must be submitted on or categorical exclusion in the FE Docket securities and assumptions of liability before July 12, 2000. EA–181 and FE Docket EA–182 by Consumers Energy. proceedings. On June 1, 2000, pursuant to ADDRESSES: Comments, protests or delegated authority, the Director, requests to intervene should be Procedural Matters Division of Corporate Applications, addressed as follows: Office of Coal & Any person desiring to become a Office of Markets, Tariffs and Rates, Power Im/Ex (FE–27), Office of Fossil party to this proceeding or to be heard granted requests for blanket approval Energy, U.S. Department of Energy, by filing comments or protests to these under part 34, subject to the following: 1000 Independence Avenue, SW., applications should file a petition to Within thirty days of the date of the Washington, DC 20585–0350 (FAX 202– intervene, comment or protest at the order, any person desiring to be heard 287–5736). address provided above in accordance or to protest the blanket approval of FOR FURTHER INFORMATION CONTACT: with §§ 385.211 or 385.214 of the issuances of securities or assumptions of Steven Mintz (Program Office) 202–586- FERC’s Rules of Practice and Procedures liability by Consumers Energy should 9506 or Michael Skinker (Program (18 CFR 385.211, 385.214). Fifteen file a motion to intervene or protest with Attorney) 202–586–2793. copies of each petition and protest the Federal Energy Regulatory SUPPLEMENTARY INFORMATION: Exports of should be filed with the DOE on or Commission, 888 First Street, NE, electricity from the United States to a before the date listed above. Washington, DC 20426, in accordance foreign country are regulated and Comments on the HQUS application with Rules 211 and 214 of the require authorization under section to export electric energy to Mexico Commission’s Rules of Practice and 202(e) of the Federal Power Act (FPA) should be clearly marked with Docket Procedure (18 CFR 385.211 and (16 U.S.C. 824a(e)). EA–181–A. Comments on the HQUS 385.214). On July 16, 1998, the Office of Fossil application to export electric energy to Absent a request for hearing within Energy (FE) of the Department of Energy Canada should be clearly marked with this period, Consumers Energy is (DOE) authorized HQUS to transmit Docket EA–182–A. Additional copies authorized to issue securities and electric energy from the United States to are to be filed directly with Pierre F. de assume obligations or liabilities as a Mexico using the international electric Ravel d’Esclapon, H. Liza Moses, guarantor, indorser, surety, or otherwise transmission facilities of San Diego Gas LeBoeuf, Lamb, Greene & MacRae, in respect of any security of another and Electric Company, El Paso Electric L.L.P., 125 West 55th Street, New York, person; provided that such issuance or Company, Central Power and Light New York 10019–5389. assumption is for some lawful object Company, and Comision Federal de Copies of this application will be within the corporate purposes of Electricidad, the national utility of made available, upon request, for public Consumers Energy, and compatible with Mexico. That two-year authorization inspection and copying at the address the public interest, and is reasonably (Order EA–181) will expire on July 16, provided above or by accessing the necessary or appropriate for such 2000. Fossil Energy Home Page at http:// purposes.

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The Commission reserves the right to web at http://www.ferc.fed.us/online/ Requesting Fast Track Processing And require a further showing that neither rims.htm (call 202–208–2222 for Request for Immediate Action against public nor private interests will be assistance). the ISO New England, Inc. adversely affected by continued Any person desiring to be heard or to Linwood A. Watson, Jr., approval of Consumers Energy’s protests this filing should file a motion issuances of securities or assumptions of Acting Secretary. to intervene or protest with the Federal liability. [FR Doc. 00–14708 Filed 6–9–00; 8:45 am] Energy Regulatory Commission, 888 Notice is hereby given that the BILLING CODE 6717±01±M First Street, NE, Washington, DC 20426, deadline for filing motions to intervene in accordance with Rules 211 and 214 or protests, as set forth above, is July 3, of the Commission’s Rules of Practice DEPARTMENT OF ENERGY 2000. and Procedure (18 CFR 385.211 and Copies of the full text of the Order are Federal Energy Regulatory 385.214). All such motions or protests available from the Commission’s Public Commission must be filed on or before June 12, 2000. Reference Branch, 888 First Street, NE, Protests will be considered by the Washington, DC 20426. The Order may [Docket No. ER00±2623±000] Commission in determining the also be viewed on the Internet at http:/ appropriate action to be taken, but will Idaho Power Company; Notice of Filing /www.ferc.fed.us/online/rims.htm (call not serve to make protestants parties to 202–208–2222 for assistance). June 6, 2000. the proceeding. Any person wishing to become a party must file a motion to Lindwood A. Watson, Jr. Take notice that on May 26, 2000, intervene. Copies of this filing are on Acting Secretary. Idaho Power Company (IPC), tendered Point-to-Point Transmission Service file with the Commission and are [FR Doc. 00–14712 Filed 6–9–00; 8:45 am] Agreements for Firm and Non-Firm available for public inspection in the BILLING CODE 6717±01±M Point-to-Point Transmission Service Public Reference Room. This filing may between Idaho Power Company and also be viewed on the Internet at http:/ /www.ferc.fed.us/online/rims.htm (call DEPARTMENT OF ENERGY Puget Sound Energy. Any person desiring to be heard or to 202–208–2222) for assistance. Answers Federal Energy Regulatory protest such filing should file a motion to the complaint shall also be due on or Commission to intervene or protest with the Federal before June 12, 2000. Energy Regulatory Commission, 888 Linwood A. Watson, Jr., [Docket No. RP00±314±000] First Street, NE., Washington, DC 20426, Acting Secretary. in accordance with Rules 211 and 214 Discovery Gas Transmission LLC; of the Commission’s Rules of Practice [FR Doc. 00–14711 Filed 6–9–00; 8:45 am] Notice of Request for Waiver and Procedure (18 CFR 385.211 and BILLING CODE 6717±01±M June 6, 2000. 385.214). All such motions and protests should be filed on or before June 16, Take notice that on May 31, 2000, DEPARTMENT OF ENERGY Discovery Gas Transmission LLC 2000. Protests will be considered by the (Discovery) filed a Request for Waiver of Commission to determine the Federal Energy Regulatory section 284.12(c)(3) of the Commission’s appropriate action to be taken, but will Commission regulations with respect to conducting not serve to make protestants parties to electronic transactions on the public the proceedings. Any person wishing to [Docket No. RP00±315±000] become a party must file a motion to internet. Discovery states that it is a Koch Gateway Pipeline Company; intervene. Copies of this filing are on relatively small company whose Notice of Cash Out Report customers conduct relatively few file with the Commission and are transactions. It claims that available for public inspection. This June 6, 2000. implementation of the services required filing may also be viewed on the Take notice that on June 1, 2000, under this regulation is not warranted Internet at http://www.ferc.fed.us/ Koch Gateway Pipeline Company and would not be cost effective under online/rims.htm (call 202–208–2222 for (Koch) tendered for filing its cash-in/ the circumstances. assistance). cash-out report for the period April 1, Any person desiring to be heard or to Linwood A. Watson, Jr., 1999 through March 31, 2000. protest said filing should file a motion Acting Secretary. Koch states that copies of this filing to intervene or a protest with the have been served upon Koch’s [FR Doc. 00–14713 Filed 6–9–00; 8:45 am] Federal Energy Regulatory Commission, customers, state commissions and other 888 First Street, NE, Washington, DC BILLING CODE 6717±01±M interested parties. 20426, in accordance with Sections Any person desiring to be heard or to 385.214 or 385.211 of the Commission’s DEPARTMENT OF ENERGY protest said filing should file a motion Rules and Regulations. All such motions to intervene or a protest with the or protests must be filed on or before Federal Energy Regulatory Federal Energy Regulatory Commission, June 13, 2000. Protests will be Commission 888 First Street, NE., Washington, DC considered by the Commission in 20426, in accordance with Sections determining the appropriate action to be [Docket No. EL00±80±000] 385.214 or 385.211 of the Commission’s taken, but will not serve to make Indeck Maine Energy, LLC v. ISO New Rules and Regulations. All such motions protestants parties to the proceedings. England, Inc.; Notice of Complaint or protests must be filed on or before Any person wishing to become a party June 13, 2000. Protests will be must file a motion to intervene. Copies June 6, 2000. considered by the Commission in of this filing are on file with the Take notice that on June 2, 2000, determining the appropriate action to be Commission and are available for public Indeck Maine Energy, LLC submitted for taken, but will not serve to make inspection in the Public Reference filing, pursuant to Section 206 of the protestants parties to the proceedings. Room. This filing may be viewed on the Federal Power Act, a Complaint Any person wishing to become a party

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36894 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices must file a motion to intervene. Copies rims.htm (call 202–208–2222 for DEPARTMENT OF ENERGY of this filing are on file with the assistance). Commission and are available for public Federal Energy Regulatory inspection in the Public Reference Linwood A. Watson, Jr., Commission Acting Secretary. Room. This filing may be viewed on the [Docket No. ER00±2348±000] web at http://www.ferc.fed.us/online/ [FR Doc. 00–14707 Filed 6–9–00; 8:45 am] rims.htm (call 202–208–2222 for BILLING CODE 6717±01±M Wester Generating II, Inc.; Notice of assistance). Withdrawal

Linwood A. Watson, Jr. DEPARTMENT OF ENERGY June 6, 2000. Acting Secretary. Take notice that on June 2, 2000, [FR Doc. 00–14709 Filed 6–9–00; 8:45 am] Federal Energy Regulatory Westar Generating II, Inc. filed a Notice BILLING CODE 6717±01±M Commission of Withdrawal of its April 28, 2000, application for acceptance of the [Docket No. OR00±5±000] Purchase Power Agreement between DEPARTMENT OF ENERGY Westar and Western Resources, Inc. Sinclair Oil Corporation v. Equilon Pipe Any person desiring to be heard or to Federal Energy Regulatory Line Company LLC; Notice of protest such filing should file a motion Commission Complaint to intervene or protest with the Federal Energy Regulatory Commission, 888 [Docket No. RP99±518±014] June 6, 2000. First Street, NE, Washington, DC 20426, PG&E Gas Transmission, Northwest Take notice that on June 2, 2000, in accordance with Rules 211 and 214 Corporation; Notice of Proposed Sinclair Oil Corporation (Sinclair) of the Commission’s Rules of Practice Change in FERC Gas Tariff tendered for filing a complaint against and Procedure (18 CFR 385.211 and Equilon Pipe Line Company LLC 385.214). All such motions and protests June 6, 2000. (Equilon). should be filed on or before June 16, Take notice that on June 1, 2000, Sinclair states that it is a shipper of 2000. Protests will be considered by the PG&E Gas Transmission, Northwest crude oil on a pipeline operated by Commission to determine the Corporation (PG&E GT–NW) tendered Equilon that originates at South appropriate action to be taken, but will for filing as part of its FERC Gas Tariff, Terminal, Cushing, Lincoln County, not serve to make protestants parties to First Revised Volume No. 1–A, the Oklahoma and terminates at West Tulsa, the proceedings. Any person wishing to following tariff sheets with an effective Tulsa County, Oklahoma. Sinclair become a party must file a motion to date of June 1, 2000: further states that its crude oil intervene. Copies of this filing are on Tenth Revised Sheet No. 7 shipments on that line constitute file with the Commission and are First Revised Sheet No. 7.01 transportation in interstate commerce available for public inspection. This First Revised Sheet No. 7C and that Equilon has refused to publish filing may also be viewed on the Original Sheet No. 7D a tariff with the Commission to govern Internet at http://www.ferc.fed.us/ PG&E GT–NW states that these sheets the use of the pipeline. online/rims.htm (call 202–208–2222 for assistance). are being filed to reflect the Any person desiring to be heard or to implementation of four negotiated rate protest this filing should file a motion Linwood A. Watson, Jr. agreements. to intervene or protest with the Federal Acting Secretary. PG&E GT–NW further states that a Energy Regulatory Commission, 888 [FR Doc. 00–14710 Filed 6–9–00; 8:45 am] copy of this filing has been served on First Street, NE, Washington, DC 20426, BILLING CODE 6717±01±M PG&E GT–NW’s jurisdictional in accordance with Rules 211 and 214 customers, and interested state of the Commission’s Rules of Practice regulatory agencies. and Procedure (18 CFR 385.211 and DEPARTMENT OF ENERGY Any person desiring to be heard or to 385.214). All such motions or protests protest said filing should file a motion must be filed on or before June 26, 2000. Federal Energy Regulatory to intervene or a protest with the Protests will be considered by the Commission Federal Energy Regulatory Commission, Commission in determining the [Docket No. EG00±156±000, et al.] 888 First Street, NE, Washington, DC appropriate action to be taken, but will 20426, in accordance with Sections not serve to make protestants parties to CED Operating Company, L.P., et al.; 385.214 or 385.211 of the Commission’s the proceeding. Any person wishing to Electric Rate and Corporate Regulation Rules and Regulations. All such motions become a party must file a motion to Filings or protests must be filed in accordance intervene. Copies of this filing are on with Section 154.210 of the file with the Commission and are June 2, 2000. Commission’s Regulations. Protests will available for public inspection in the Take notice that the following filings be considered by the Commission in Public Reference Room. This filing may have been made with the Commission: determining the appropriate action to be also be viewed on the Internet at http:/ 1. CED Operating Company, L.P. taken, but will not serve to make /www.ferc.fed.us/online/rims.htm (call protestants parties to the proceedings. 202–208–2222) for assistance. Answers [Docket No. EG00–156–000] Any person wishing to become a party to the complaint shall also be due on or Take notice that on May 25, 2000, must file a motion intervene. Copies of before June 26, 2000. CED Operating Company, L.P., c/o this filing are on file with the Consolidated Edison Development, Inc., Commission and are available for public Linwood A. Watson, Jr., 111 Broadway, 16th Floor, New York, inspection in the Public Reference Acting Secretary. New York 10006, filed with the Federal Room. This filing may be viewed on the [FR Doc. 00–14706 Filed 6–9–00; 8:45 am] Energy Regulatory Commission an web at http://www/ferc.fed.us/online/ BILLING CODE 6717±01±M application for determination of exempt

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The Applicant states that it will be Maryland Public Service Commission, CED Generation Holding Company, L.P., engaged directly and exclusively in the the Virginia State Corporation a Delaware limited liability company, business of owning and/or operating an Commission, the West Virginia Public (‘‘Holdco’’) owns a 99 percent limited electric generating facility located in the Service Commission, and all parties of partner’s interest in Applicant. Holdco Republic of Bolivia and selling electric record. is a direct subsidiary of Consolidated energy at wholesale. The Applicant Comment date: June 20, 2000, in Edison Development (‘‘CED’’), a New requests a determination that the accordance with Standard Paragraph E York corporation, which is a wholly- Applicant is an exempt wholesale at the end of this notice. owned direct subsidiary of Consolidated generator under Section 32(a)(1) of the 6. Duquesne Light Company Edison, Inc. (‘‘Con Ed, Inc.’’), also a New Public Utility Holding Company Act of York corporation. CED Management 1935. [Docket No. ER00–2627–000] Company, Inc., a Delaware corporation, Comment date: June 23, 2000, in Take notice that on May 30, 2000, owns a one (1) percent general partner’s accordance with Standard Paragraph E Duquesne Light Company (DLC) filed a interest in Applicant, and is a wholly- at the end of this notice. The Service Agreement dated May 8, 2000 owned subsidiary of Holdco. CED Opco Commission will limit its consideration with Constellation Power Source under will operate under an operations and of comments to those that concern the DLC’s Open Access Transmission Tariff maintenance agreement with the owner, adequacy or accuracy of the application. (Tariff). The Service Agreement adds a facility with a maximum capacity of Constellation Power Source as a 4. Cinergy Services, Inc. approximately 238 MW located in customer under the Tariff. Lakewood Township, New Jersey. [Docket No. ER00–2625–000] DLC requests an effective date of May Comment date: June 23, 2000, in Take notice that on May 30, 2000, 8, 2000 for the Service Agreement. Comment date: June 20, 2000, in accordance with Standard Paragraph E Cinergy Services, Inc. (Services), accordance with Standard Paragraph E at the end of this notice. The tendered for filing on behalf of its at the end of this notice. Commission will limit its consideration operating companies, The Cincinnati of comments to those that concern the Gas & Electric Company and PSI Energy, 7. Broad River Energy LLC adequacy or accuracy of the application. Inc. (collectively Cinergy Operating [Docket No. ER00–2628–000] Companies) a Letter Agreement, dated 2. Kiowa Power Partners, L.L.C. Take notice that on May 30, 2000, April 24, 2000, as a supplement to the Broad River Energy LLC (Broad River) [Docket No. EG00–157–000] Service Agreement No. 43, dated tendered for filing an executed umbrella Take notice that on May 25, 2000, January 22, 1997, between Southwestern service agreement under which Broad Kiowa Power Partners, L.LC. (the Electric Cooperative, Inc. (SWEC) and River will make short-term market- Applicant) whose address is 359 Lake the Cinergy Operating Companies under based power sales under its Market- Park Road, Suite 128, Lewisville, Texas the COC FERC Electric Market-Based Based Rate Tariff, FERC Electric Tariff, 75057, filed with the Federal Energy Power Sales Tariff, Volume No. 7. Original Volume No. 1, to Carolina Regulatory Commission an application SWEC and the Cinergy Operating Power & Light Company (CP&L). for determination of exempt wholesale Companies have agreed to procedures Broad River requests an effective date generator status pursuant to Part 365 of for the curtailment of some of SWEC’s of June 1, 2000, for the umbrella service the Commission’s regulations. load. agreement. The Applicant states that it will be Copies of the filing were served on Broad River states that a copy of the engaged directly and exclusively in the SWEC and the State Regulatory filing has been served on CP&L. business of owning and/or operating an Commissions of Illinois, Ohio, Kentucky Comment date: June 20, 2000, in electric generating facility located near and Indiana. accordance with Standard Paragraph E Kiowa, Oklahoma and selling electric Comment date: June 20, 2000, in at the end of this notice. energy at wholesale. The Applicant accordance with Standard Paragraph E requests a determination that the at the end of this notice. 8. PJM Interconnection, L.L.C. Applicant is an exempt wholesale 5. Allegheny Energy Service [Docket No. ER00–2629–000] generator under Section 32(a)(1) of the Corporation, on behalf of Allegheny Take notice that on May 30, 2000, Public Utility Holding Company Act of Energy Supply Company, LLC PJM Interconnection, L.L.C. (PJM), 1935. tendered for filing two executed Comment date: June 23, 2000, in [Docket No. ER00–2626–000] umbrella service agreements for network accordance with Standard Paragraph E Take notice that on May 30, 2000, integration transmission service under at the end of this notice. The Allegheny Energy Service Corporation state retail access programs under the Commission will limit its consideration on behalf of Allegheny Energy Supply PJM Open Access Transmission Tariff of comments to those that concern the Company, LLC (Allegheny Energy with BGE Home Products & Service, Inc. adequacy or accuracy of the application. Supply) filed Amendment No. 1 to and ECONnergy PA, Inc. with effective ´ 3. Servicios Energeticos, S.A. Supplement No. 12 to the Market Rate dates of May 23, 2000 and May 1, 2000, Tariff to incorporate a Settlement respectively. [Docket No. EG00–158–000] Procedures Agreement with Citizens Copies of this filing were served upon Take notice that on May 25, 2000, Power Sales LLC into the tariff ´ the parties to the service agreements and Servicios Energeticos, S.A. (the provisions. the state commissions within the PJM Applicant) whose address is Servicios Allegheny Energy Supply Company ´ control area. Energeticos, S.A., Av. Hernando Siles requests a waiver of notice requirements Comment date: June 20, 2000, in No. 5635, Obrajes, La Paz, Bolivia, filed to make the Amendment effective as of accordance with Standard Paragraph E with the Federal Energy Regulatory May 23, 2000. at the end of this notice.

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9. California Power Exchange Comment date: June 20, 2000, in operative tendered an informational Corporation accordance with Standard Paragraph E filing in compliance with its rate [Docket No. ER00–2630–000] at the end of this notice. schedules. The filing sets forth the revised approved costs for member- 13. Entergy Services, Inc. Take notice that on May 30, 2000, the owned generation resources and the California Power Exchange Corporation [Docket No. ER00–2634–000] revised approved reimbursements under (CalPX) tendered for filing its Tariff Take notice that on May 30, 2000, its Resource Integration Agreements Amendment No. 15, designed to track Entergy Services, Inc., on behalf of with two of its members, Garkane Power changes in the Payments Calendar Entergy Mississippi, Inc., tendered for Association, Inc., and Moon Lake implemented by Tariff Amendment No. filing an Interconnection and Operating Electric Association, Inc. 25 of the California Independent System Agreement with Warren Power, LLC A copy of this filing has been served Operator Corporation. (Warren), and a Generator Imbalance upon all of Deseret’s members. CalPX requests an effective date of Agreement with Warren. Comment date: June 20, 2000, in July 24, 2000. Comment date: June 20, 2000, in accordance with Standard Paragraph E Comment date: June 20, 2000, in accordance with Standard Paragraph E at the end of this notice. accordance with Standard Paragraph E at the end of this notice. at the end of this notice. 17. Broad River Energy LLC 14. Consumers Energy Company 10. California Power Exchange [Docket No. ER00–2638–000] [Docket No. ER00–2635–000] Corporation Take notice that on May 30, 2000, Take notice that on May 30, 1999, Broad River Energy LLC (Broad River) [Docket No. ER00–2631–000] Consumers Energy Company tendered for filing Amendment Nos. 2 Take notice that on May 30, 2000, the (Consumers) tendered for filing an and 3 to the long-term market-based rate California Power Exchange Corporation executed transmission service power purchase agreement between (CalPX) tendered for filing proposed agreement with Croswell Light & Power Broad River and Carolina Power & Light Tariff Amendment No. 16, designed to (Customer) pursuant to the Joint Open Company (the Agreement), which was track certain changes implemented by Access Transmission Service Tariff filed accepted for filing by the Commission in Tariff Amendment Nos. 25 and 28 of the on December 31, 1996 by Consumers an order dated November 23, 1999 in California Independent System Operator and The Detroit Edison Company Docket No. ER00–38–000 (89 FERC Corporation (CAISO). (Detroit Edison). ¶61,202). CalPX requests an effective date of The agreement has an effective date of Broad River requests an effective date March 27, 2000 for changes related to May 5, 2000. concurrent with the commencement of charges for cancellation of maintenance Copies of the filed agreement were service under the Agreement. outages and June 15, 2000 for payments served upon the Michigan Public Broad River states that a copy of the and charges related to the CAISO’s Service Commission, Detroit Edison, filing has been served on Carolina Demand Relief Program. and the Customer. Power & Light Company. Comment date: June 20, 2000, in Comment date: June 20, 2000, in Comment date: June 20, 2000, in accordance with Standard Paragraph E accordance with Standard Paragraph E accordance with Standard Paragraph E at the end of this notice. at the end of this notice. at the end of this notice. 11. California Power Exchange 15. PJM Interconnection, L.L.C. Standard Paragraphs Corporation [Docket No. ER00–2636–000] E. Any person desiring to be heard or [Docket No. ER00–2632–000] Take notice that on May 30, 2000, to protest such filing should file a PJM Interconnection, L.L.C. (PJM), motion to intervene or protest with the Take notice that on May 30, 2000, the tendered for filing amendments to the California Power Exchange Corporation Federal Energy Regulatory Commission, service agreement for Network 888 First Street, N.E., Washington, D.C. (CalPX) tendered for filing its Tariff Integration Transmission Service for Amendment No. 17, designed to track 20426, in accordance with Rules 211 PP&L Inc. (now PPL Electric Utilities and 214 of the Commission’s Rules of the ten-minute market implemented by Corporation) (PPL) so as to reflect that, Tariff Amendment No. 29 of the Practice and Procedure (18 CFR 385.211 commencing May 1, 2000, the load of and 385.214). All such motions or California Independent System Operator the Borough of Lewisberry, Corporation. protests should be filed on or before the Pennsylvania (Lewisberry) will be comment date. Protests will be CalPX requests an effective date to served by PPL rather than GPU. coincide with the effective date of considered by the Commission in Copies of this filing were served upon determining the appropriate action to be CAISO’s ten-minute market in its Tariff PPL, GPU, Lewisberry, and the Amendment No. 29. taken, but will not serve to make Pennsylvania Public Utility protestants parties to the proceeding. Comment date: June 20, 2000, in Commission. Any person wishing to become a party accordance with Standard Paragraph E PJM requests an effective date of May must file a motion to intervene. Copies at the end of this notice. 1, 2000, for the amendments to the of these filings are on file with the 12. Entergy Services, Inc. service agreements. Commission and are available for public Comment date: June 20, 2000, in inspection. This filing may also be [Docket No. ER00–2633–000] accordance with Standard Paragraph E viewed on the Internet at http:// Take notice that on May 30, 2000, at the end of this notice. www.ferc.fed.us/ online/rims.htm (call Entergy Services, Inc., on behalf of 16. Deseret Generation & Transmission 202–208–2222 for assistance). Entergy Louisiana, Inc., tendered for Co-operative filing an Interconnection and Operating Linwood A. Watson, Jr., Agreement with Cleco Midstream [Docket No. ER00–2637–000] Acting Secretary. Resources LLC (Cleco), and a Generator Take notice that on May 30, 2000, [FR Doc. 00–14705 Filed 6–9–00; 8:45 am] Imbalance Agreement with Cleco. Deseret Generation & Transmission Co- BILLING CODE 6717±01±U

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DEPARTMENT OF ENERGY CAE–11. Consent Agenda—Markets, Tariffs and Omitted Rates—Gas Federal Energy Regulatory CAE–12. CAG–1. Commission Docket# ER00–2148, 000, New England Docket# RP00–289, 000, Tennessee Gas Power Pool Pipeline Company Sunshine Act Meetings CAE–13. CAG–2. Docket# ER00–1655, 000, Southern Docket# RP96–383 004 Dominion June 7, 2000. Company Services, Inc. Transmission, Inc. (formerly CNG The following notice of meeting is Other#s ER00–1655 001 Southern Transmission Corporation) published pursuant to section 3(A) of Company Services, Inc. CAG–3. CAE–14. Docket# RP00–284, 000, Southern Natural the Government in the Sunshine Act Omitted (Pub. L. No. 94–409), 5 U.S.C 552B: Gas Company CAE–15. CAG–4. AGENCY HOLDING MEETING: Federal Docket# ER00–1711, 000, Public Service Docket# RP00–243, 000, Alliance Pipeline Energy Regulatory Commission. Company of New Mexico L.P. DATE AND TIME: June 14, 2000, 10:00 a.m. Other#s EL00–46, 000, Entergy Power CAG–5. Marketing Corporation v. Southwest Omitted PLACE: Room 2C, 888 First Street, N.E., Power Pool, Inc. Washington, D.C. 20426. CAG–6. EL00–53, 000, Texas-New Mexico Power Omitted STATUS: Open. Company v. Public Service Company of CAG–7. MATTERS TO BE CONSIDERED: Agenda. New Mexico Docket# RP98–249, 000, Columbia Gas ER00–1829, 000, Southwest Power Pool, Transmission Corporation * NOTE: Items listed on the agenda may be Inc. deleted without further notice. Other#s RP98–250, 000, Columbia Gulf CAE–16. Transmission Company CONTACT PERSON FOR MORE INFORMATION: Docket# ER00–175, 000, Utilicorp United CAG–8. David P. Boergers, Secretary, Telephone Inc. Docket# TM00–1–22, 001, Dominion (202) 208–0400, For a recording listing Other#s ER00–175 001 Utilicorp United Transmission, Inc. (formerly CNG items stricken from or added to the Inc. Transmmission Corporation) CAE–17. meeting, call (202) 208–1627. CAG–9. Docket# OA96–194, 000, Niagara Mohawk Docket# RP00–24, 005, Transcontinental This is a list of matters to be Power Corporation considered by the Commission. It does Gas Pipe Line Corporation CAE–18. CAG–10. not include a listing of all papers Omitted Docket# RP97–287, 050, El Paso Natural relevant to the items on the agenda; CAE–19. Gas Company however, all public documents may be Docket# EC00–66, 000, Consolidated Water CAG–11. examined in the reference and Power Company Stora Enso OYJ Docket# PR00–5, 001, Coral Mexico information center. CAE–20. Pipeline, L.L.C. Docket# ER99–2770 001 Florida Power & Other#s PR00–5, 000, Coral Mexico 743rd—Meeting June 14, 2000, Regular Light Company Pipeline, L.L.C. Meeting (10:00 a.m.) Other#s EL99–69 001 Florida Power & Light Company Consent Agenda—Energy Projects—Hydro Consent Agenda—Markets, Tariffs and CAE–21. CAH–1. Rates—Electric Omitted Omitted CAE–1. CAE–22. CAH–2. Docket# ER00–2295, 000, Wisconsin Public Omitted Docket# P–2588, 005, City of Kaukauna, Service Corporation CAE–23. Wisconsin CAE–2. Docket# EF99–3021 001 United States CAH–3. Omitted Department of Energy—Southeastern Omitted CAE–3. Power Administration CAH–4. Docket# ER00–2208, 000, California CAE–24. Docket# P–2543, 045, Montana Power Independent System Operator Docket# OA97–163 009 Mid-Continent Company Corporation Area Power Pool CAE–4. Other#s OA97–658 009 Mid-Continent Consent Agenda—Energy Projects— Docket# ER00–2256, 000, TXU Electric Area Power Pool Certificates Company ER97–1162 008 Mid-Continent Area Power CAC–1. Other#s ER00–2257, 000, TXU Electric Pool Docket# CP00–196, 000, Transcontinental Company and TXU Sesco CAE–25. Gas Pipe Line Corporation CAE–5. Docket# ER00–1598 001 Baltimore Gas & CAC–2. Docket# ER00–2268, 000, Pinnacle West Electric Company, Calvert Cliffs, Inc., Docket# CP00–36, 000, Guardian Pipeline Capital Corporation Constellation Generation, Inc. and L.L.C. CAE–6. Constellation Power Source, Inc. Other#s CP00–37, 000, Guardian Pipeline Omitted CAE–26. L.L.C. CAE–7. Omitted CP00–38, 000, Guardian Pipeline L.L.C. Docket# ER00–2274, 000, California CAE–27. CAC–3. Independent System Operator Docket# EL00–12 001 Tennessee Power Omitted Corporation Company CAC–4. CAE–8. CAE–28. Docket# CP96–684, 001, Interenergy Docket# ER00–2309, 000, Allegheny Docket# OA00–5, 000, Commonwealth Sheffield Processing Company and Bear Energy Supply Company, L.L.C., The Edison Company and Commonwealth Paw Energy, L.L.C. Potomac Edison Company and West Edison Company of Indiana, Inc. CAC–5. Penn Power Company CAE–29. Docket# CP00–58, 000, Columbia Gas CAE–9. Docket# NJ00–2, 000, Department of Transmission Corporation Docket# ER00–2297, 000, New England Energy—Bonneville Power CAC–6. Power Pool Adminstration Omitted CAE–10. CAE–30. CAC–7. Omitted Omitted Omitted

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CAC–8. documents were prepared by the EPA’s downloaded from the Internet for Omitted Office of Research and Development review and comment. Background CAC–9. (ORD) and with the involvement of information is also available at the Docket# RM98–17, 002, Landowners other federal agencies, in particular the above-mentioned website. This Notification Expanded Categorical National Institutes of Health’s National Exclusions and Other Environmental information, provided as background Filing Requirements Institute of Environmental Health only, consists of other exposure and CAC–10. Sciences. EPA will consider the peer health sections of the reassessment, Omitted review advice and public comment specifically Part I: Estimating Exposure submissions in revising these draft to Dioxin-Like Compounds (Volumes 2– Energy Projects—Hydro Agenda dioxin reassessment documents in 4) and Part II: Health Assessment for H–1. Reserved preparation for an upcoming review by 2,3,7,8-Tetrachlorodibenzo-p-Dioxin Energy Projects—Certificates Agenda EPA’s Science Advisory Board (SAB). (TCDD) and Related Compounds C–1. DATES: The two-day peer review (Chapters 1–8). Reserved workshop will be held on Tuesday, July In addition, a Compact Disk-Read 25, 2000, 9 a.m. to 5:30 p.m. and Only Memory (CD–ROM) containing the Markets, Tariffs and Rates—Electric Agenda Wednesday, July 26, 2000, 8:30 a.m. to external review draft of the TEF chapter E–1. 5:00 p.m. Members of the public may and the background information, is Reserved attend as observers, and there will be a available from EPA’s National Service Markets, Tariffs and Rates—Gas Agenda limited time for comments from the Center for Environmental Publications G–1. public. The extended public comment (NSCEP) in Cincinnati, Ohio (telephone: Reserved period begins June 12, 2000, and 1–800–490–9198, or 513–489–8190; concludes two weeks following the facsimile 513–489–8695). If you are David P. Boergers, SAB’s peer review meeting on the requesting a copy of the CD–ROM, Secretary. dioxin reassessment which is scheduled please provide your name, mailing [FR Doc. 00–14836 Filed 6–8–00; 10:59 am] for October 2000. The specific date of address, and reference the ‘‘Dioxin CD’’ that meeting has not been determined. BILLING CODE 6717±01±P and Document number EPA/600/P–00/ EPA will announce in a subsequent 001Ab-Ae. The background documents Federal Register (FR) notice the formal are available only on CD–ROM and the closing date of the public comment ENVIRONMENTAL PROTECTION Internet. period. AGENCY Also, a limited number of paper ADDRESSES: The external peer review copies of only the draft TEF chapter and [FRL±6714±9] workshop will be held at the Holiday the Integrated Summary and Risk Characterization will be available from Draft Dioxin Reassessment Inn Capital, 550 C Street, SW, Washington, DC 20024, Tel: 202–479– NSCEP. If you are requesting a paper Documents; Toxicity Equivalence copy of either the draft TEF chapter or Factors (TEFs) for Dioxin and Related 4000. The Eastern Research Group, Inc. (ERG), an EPA contractor, is organizing, draft Integrated Summary and Risk Compounds and Integrated Summary Characterization, please provide your and Risk Characterization for 2,3,7,8- convening, and conducting the peer review workshop. To attend the name, mailing address, and the Tetrachlorodibenzo-p-Dioxin (TCDD) document title and number, Part II. and Related Compounds workshop as an observer, please register by Monday, July 17, 2000, by calling Chapter 9: Toxicity Equivalence Factors AGENCY: Environmental Protection ERG at Tel: 781–674–7374, or send a (TEFs) for Dioxin and Related Agency facsimile to: 781–674–2906. Space is Compounds, Document number NCEA– ACTION: Notice of peer review workshop limited, and registrations to attend will I–0836; and/or Part III. Integrated and public comment period. be accepted on a first-come, first-served Summary and Risk Characterization for basis. Time will be set aside each day 2,3,7,8-Tetrachlorodibenzo-p-Dioxin SUMMARY: The U.S. Environmental to hear comments from observers. (TCDD) and Related Compounds, Protection Agency (EPA) is announcing Individual comments will be limited to Document number EPA/600/P–00/ that an EPA contractor will be no more than 5 minutes per person, and 001Ag. Copies of draft documents or organizing, convening, and conducting the number of people giving oral background information are not an external peer review workshop to comments will be limited by the time available from ERG. review the external review draft available. If you wish to make Comment Submission: Comments documents entitled, Part II. Chapter 9: comments at the workshop, please sign may be mailed to the Technical Toxicity Equivalence Factors (TEFs) for up in advance by contacting ERG. Information Staff (8623D), NCEA–W, Dioxin and Related Compounds Commenters will be scheduled on a U.S. Environmental Protection Agency, (hereafter, TEF chapter) and Part III. first-come, first-served basis. Please 1200 Pennsylvania Avenue, NW., Ariel Integrated Summary and Risk reference the ‘‘EPA Dioxin Workshop’’ Rios Building, Washington, DC 20460, Characterization for 2,3,7,8- when contacting ERG or the hotel. or delivered to the Technical Tetrachlorodibenzo-p-Dioxin (TCDD) Document Availability: The primary Information Staff at 808 17th Street, and Related Compounds (hereafter, distribution method for the external NW., 5th Floor, Washington, DC 20006; Integrated Summary and Risk review drafts of the TEF chapter and telephone: 202–564–3261; facsimile: Characterization). The EPA is also Integrated Summary and Risk 202–565–0050. Comments should be in announcing an extended public Characterization to the public will be writing. Please submit one unbound comment period for these two draft via the Internet on ORD’s National original with pages numbered documents. The peer review workshop Center for Environmental Assessment consecutively, and three copies of the will be organized, convened, and (NCEA) website. These external review comments. For attachments, provide an conducted by the Eastern Research drafts are available at http:// index, number pages consecutively with Group, Inc. (ERG), an EPA contractor for www.epa.gov/ncea/dioxin.htm. These the comments, and submit an unbound this external scientific peer review. The documents can be viewed and original and three copies. Electronic

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36899 comments may be emailed to: the Agency convened three peer-review and Related Compounds includes [email protected]. workshops to review early drafts of the information on critical human health Please note that all technical reassessment chapters. end points, mode of action, comments received in response to this In September 1994, EPA released the pharmacokinetics, dose-response, and notice will be placed in a public record. external review drafts of the health TEFs. There will be a total of nine For that reason, commentors should not effects and exposure documents which chapters in Part II. Part III: Integrated submit personal information (such as amounted to over 2,200 pages. In late Summary and Risk Characterization for medical data or home address), 1994 EPA took public comment and 2,3,7,8-Tetrachlorodibenzo-p-Dioxin Confidential Business Information, or held numerous public meetings across (TCDD) and Related Compounds is information protected by copyright. Due the country on the drafts, followed by intended to be a stand-alone document. to limited resources, acknowledgments SAB review of the draft dioxin In this part, key findings pertinent to will not be sent. reassessment in May 1995. The SAB’s understanding the potential hazards and FOR FURTHER INFORMATION CONTACT: For report was received in the Fall of that risks of dioxins are described and workshop information, registration, and year. In its report to the Agency, the integrated, including a discussion of all logistics, contact ERG, 110 Hartwell SAB responded favorably to most important assumptions and Avenue, Lexington, Massachusetts, portions of the reassessment, but uncertainties. 02421–3136; Tel: 781–674–7374; Fax: recommended substantive revision of The two draft documents that are the 781–674–2906. two key sections. The SAB subject of the independent scientific For information on the public recommended the revision of these two peer review meeting announced today comment period, contact Linda C. sections, Chapter 8: Dose-Response are the new TEF chapter and the Tuxen, NCEA, telephone: 202–564– Modeling for 2,3,7,8-TCDD and the Risk updated, revised, and reformatted 3332; facsimile: 202–565–0090; or Characterization document, and the Integrated Summary and Risk email: [email protected]. This is an development of an additional document Characterization. The TEF chapter was extended public comment period that that would focus on the toxicity developed as a result of a will continue until the SAB meeting in equivalent factors (TEFs) for dioxin and recommendation from the SAB to gather the Fall 2000. It is very important to dioxin-like compounds. In addition to in one place the discussion and note that, as the dioxin reassessment these substantive recommendations, the scientific information on the complex process continues, two versions of the SAB suggested that the redrafting issue and use of TEFs for dioxin and draft sections will be put on the dioxin process include broader participation of dioxin-like compounds. The draft TEF website. The external review drafts, the outside scientists from both the public chapter was developed by a team of availability of which are announced in and private sectors. They also requested experts and has undergone internal EPA this FR notice, will be replaced by the that the two redrafted chapters and the review. The Integrated Summary and SAB review drafts in early September. new TEF chapter be submitted to Risk Characterization, formerly independent external peer review, identified as Chapter 9: Risk The public is requested to make clear in before being returned to the SAB for re- Characterization in the 1994 draft their submitted comments on which review. With respect to Chapters 1–7 of reassessment, was initially revised using draft document they are commenting. the health document and the full a writing team process. The writing SUPPLEMENTARY INFORMATION: In April exposure reassessment document, the team was composed of approximately 1991, EPA announced that it would SAB accepted these sections. They 12 leading scientific experts in fields conduct a scientific reassessment of the suggested that the sections be updated related to dioxin exposure and health health risks of exposure to dioxin and to address public and SAB comments effects. These experts came from a wide dioxin-like compounds. Previous EPA and to incorporate new scientific data, range of public and private dioxin assessment documents, one final but the SAB’s report stated that organizations, as well as academia. A and one draft, were completed in 1985 substantive further review of these preliminary revised draft was developed and 1988, respectively. EPA undertook sections by the SAB was not needed. by a writing group and was reviewed by the 1991 reassessment in light of After receipt of the SAB’s report, the the 40 individual stakeholders. This significant advances in our scientific Agency worked with over 40 individual preliminary draft was used as the understanding of mechanisms of dioxin stakeholders from the private and public framework for an extensively revised toxicity, significant new studies of sectors, representing environmental, document developed by a small internal dioxin’s carcinogenic potential in industry, academic, state, and other EPA writing group. humans and increased evidence of other public interest and public health The third section of the reassessment adverse health effects. EPA has worked communities, on the next steps and to on which the SAB recommended to make each phase of the dioxin gather input on possible approaches for substantive revisions is Chapter 8: Dose- reassessment an open and participatory conducting the revision process. The Response Modeling for 2,3,7,8-TCDD. process. These efforts have included the Agency has tried to keep these The draft Chapter 8 underwent public involvement of outside scientists as individuals apprised of reassessment comment and external peer review in principal authors of several chapters, activities at critical points in the March 1997. A writing team developed frequent public meetings to report revision process. The Agency expects the draft final chapter based on the peer progress and take public comment, and that these individuals will be important review and public comments and any publication of early drafts for public avenues of public comment on the draft relevant new scientific data in January comment and peer review. Early in the documents. 2000. Because this section has already reassessment process, EPA held public The final dioxin reassessment will undergone extensive review, we are not meetings (1991 and 1992) to inform the consist of three parts. Part I: Estimating soliciting further comments. The next public of the Agency’s plans and Exposure to Dioxin-Like Compounds step for Chapter 8 is SAB review in the activities for the reassessment, to hear focuses on sources, levels of dioxin-like Fall 2000. and receive public comments and compounds in environmental media, After the July 25 and 26 external peer reviews of the proposed plans, and to and human exposures. Part II: Health review workshop, the TEF chapter and receive any current, scientifically Assessment for 2,3,7,8- Integrated Summary and Risk relevant information. In 1992 and 1993, Tetrachlorodibenzo-p-Dioxin (TCDD) Characterization will be revised to

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 36900 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices reflect the comments of the independent also resolve their Casmalia Disposal [email protected]; Tel: (415) 744– scientific peer reviewers, other Federal Site-related liability for the response 1382. agencies, and the public. In the Fall, the costs incurred or to be incurred by the Keith Takata, SAB will conduct a scientific peer federal Natural Resources Trustees’ (the review of the TEF chapter, the dose- United States Fish and Wildlife Service, Director, Superfund Division, Region IX. response modeling chapter, and the the National Oceanic and Atmospheric [FR Doc. 00–14770 Filed 6–9–00; 8:45 am] Integrated Summary and Risk Administration, and the United States BILLING CODE 6560±50±U Characterization. The SAB review will Department of the Air Force), and be anounced in the Federal Register. potential natural resource damages. The EPA expects to conclude the dioxin settling parties will pay a total of $27.6 ENVIRONMENTAL PROTECTION reassessment about six months from million toward Casmalia Disposal Site AGENCY now, incorporating appropriate changes response costs. [FRL±6714±1] that have been indicated by the Through June 26, 2000, EPA will comments of Federal agencies, the receive written comments relating to the Lancaster Plating Site/Lillington, NC; public, the external peer reviewers, and settlement. In addition, in accordance Notice of Proposed Settlement the SAB review panel. Final SAB with section 7003(d) of RCRA, 42 U.S.C. AGENCY: approval is needed to produce a final 6973(d), EPA will hold a public hearing Environmental Protection EPA dioxin reassessment document. to receive comments on the proposed Agency. settlement, on June 26, 2000, from 7–9 ACTION: Notice of proposed settlement. Dated: June 6, 2000. p.m., in the Board of Supervisors’ Norine E. Noonan, Hearing Room, at the County SUMMARY: Under section 122(h)(1) of the Assistant Administrator for Research and Administration Building, 511 E. Comprehensive Environmental Development. Lakeside Parkway, Santa Maria, Response, Compensation, and Liability [FR Doc. 00–14853 Filed 6–9–00; 8:45 am] California. EPA will consider all Act (CERCLA), the Environmental BILLING CODE 6560±50±P comments it receives during this Protection Agency (EPA) has proposed comment period, and may modify or to settle claims for response costs at the withdraw its consent to the settlement Lancaster Plating Site (Site) located in ENVIRONMENTAL PROTECTION if any comments disclose facts or Lillington, North Carolina, with AGENCY considerations indicating that the Kimrick, Inc. EPA will consider public [FRL±6713±8] settlement is inappropriate, improper, comments on the proposed settlement or inadequate. EPA’s written responses for thirty days. EPA may withdraw from Casmalia Disposal Site; Notice of to all comments will be made available or modify the proposed settlement Extension of the Public Comment at the EPA Region IX Superfund should such comments disclose facts or Period for Proposed CERCLA Records Center (415–536–2000), 95 considerations which indicate the Administrative De Minimis Settlement Hawthorne Street, Suite 403 S, San proposed settlement is inappropriate, Francisco, CA 94105–3901 and at the improper, or inadequate. Copies of the AGENCY: Environmental Protection proposed settlement are available from: Agency. Santa Maria Library (805–925–0994), 420 South Broadway, Santa Maria, CA Ms. Paula V. Batchelor, U.S. ACTION: Notice; extension of public 93454. Environmental Protection Agency, comment period. Region IV, CERCLA Program Services DATES: Original, signed comments must Branch, Waste Management Division, 61 be received by EPA on or before June 26, SUMMARY: In accordance with section Forsyth Street, SW., Atlanta, Georgia 2000. 122(i) of the Comprehensive 30303, (404) 562–8887. ADDRESSES: Environmental Response, Comments should be Written comments may be submitted Compensation, and Liability Act, as addressed to the Regional Hearing Clerk, to Ms. Batchelor at the above address amended (‘‘CERCLA’’), 42 U.S.C. U.S. EPA Region IX (ORC–1), 75 within 30 days of the date of 9622(i), and section 7003(d) of the Hawthorne Street, San Francisco, CA publication. Resource Conservation and Recovery 94105–3901, and should refer to: Act, as amended (‘‘RCRA’’) 42 U.S.C. Casmalia Disposal Site, Santa Barbara Dated: May 25, 2000. 6973(d), the Environmental Protection County, CA, U.S. EPA Docket No. 99– Franklin E. Hill, Agency (‘‘EPA’’) provided notice in the 02(a). The proposed settlement and Chief, CERCLA Program Services Branch, March 15, 2000, Federal Register, 65 FR additional background information Waste Management Division. 13967–13969, of a proposed relating to the settlement are available [FR Doc. 00–14772 Filed 6–9–00; 8:45 am] administrative de minimis settlement for inspection at the EPA Region IX BILLING CODE 6560±50±U concerning the Casmalia Disposal Site Superfund Records Center (415–536– in Santa Barbara County, California 2000), 95 Hawthorne Street, Suite 403 S, (‘‘the Casmalia Disposal Site’’). This San Francisco, CA 94105–3901 and at FEDERAL COMMUNICATIONS notice extends the public comment the Santa Maria Library (805–925– COMMISSION period through June 26, 2000. Section 0994), 420 South Broadway, Santa 122(g) of CERCLA, 42 U.S.C. 9622(g), Maria, CA 93454. A copy of the [ET Docket No. 98±237, FCC 00±181] proposed Administrative Order on provides EPA with the authority to enter 3650±3700 MHz Government Transfer into administrative de minimis Consent may be obtained from the settlements. This settlement is intended Regional Hearing Clerk at the address AGENCY: Federal Communications to resolve the liabilities of 433 settling provided above. Commission. parties for the Casmalia Disposal Site FOR FURTHER INFORMATION CONTACT: ACTION: Notice. under sections 106 and 107 of CERCLA, Karen Goldberg, Assistant Regional 42 U.S.C. 9606, 9607, and section 7003 Counsel, U.S. EPA Region IX (ORC–3), SUMMARY: This document modifies the of RCRA, 42 U.S.C. 6973. For most of 75 Hawthorne Street, San Francisco, CA freeze imposed on applications for new the settling parties, the settlement will 94105–3901; E-Mail: earth stations and major modifications

VerDate 112000 19:49 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 E:\FR\FM\12JNN1.SGM pfrm08 PsN: 12JNN1 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Notices 36901 in existing earth stations in the 3650– Summary of the Memorandum Opinion lift the freeze are unacceptable because 3700 MHz band, which is also referred and Order such action would likely have the effect to as the extended C-band. We are 1. In the Notice of Proposed Rule of significantly limiting or precluding partially lifting the freeze to allow the Making and Order (‘‘Notice and Order’’), future fixed service operations in this acceptance of applications for new 64 FR 2462, January 14, 1999, the band. However, we find that a limited extended C-band earth station receive Commission proposed to allocate the lifting of the freeze will provide relief sites that are within close proximity 3650–3700 MHz band to the non- for satellite users of the extended C- (i.e., 10 miles or less) of an existing government fixed service on a primary band without jeopardizing its future grandfathered extended C-band earth basis. To ensure that adequate availability for terrestrial uses. We will station receive site. Additionally, we are opportunities would continue to exist therefore accept applications for new lifting the freeze with respect to major for the provision of fixed services in the extended C-band earth stations or major modifications to existing grandfathered 3650–3700 MHz band, the Commission modifications of an existing extended C- extended C-band earth station receive stated that it would no longer accept band earth station if the proposed earth sites. applications for new earth stations or station facilities are located in close major modifications in existing earth proximity (i.e. 10 miles or less) to an DATES: Effective May 22, 2000. station facilities for the fixed-satellite existing, grandfathered extended C-band service (‘‘FSS’’) in the 3650–3700 MHz earth station in the 3650–3700 MHz FOR FURTHER INFORMATION CONTACT: band. The Notice and Order band. We find that this will provide Rodney Conway, Office of Engineering grandfathered existing extended C-band reasonable opportunities to obtain and Technology, (202) 418–2904. earth stations. suitable real estate for the placement of SUPPLEMENTARY INFORMATION: This is a 2. The Commission continues to new extended C-band earth stations summary of the Commission’s Order, ET believe that a freeze limiting the growth near grandfathered extended C-band Docket 98–237, FCC 00–181, adopted of new earth station facilities in the earth stations. Below is a list of existing May 17, 2000, and released May 22, extended C-band is necessary to ensure sites. We find that the introduction of 2000. The full text of this Commission that adequate opportunities exist for new extended C-band earth stations in fixed services in the 3650–3700 MHz close proximity to an existing decision is available for inspection and band. As noted in the Notice and Order grandfathered extended C-band earth copying during normal business hours a broad range of fixed services could be stations will not substantially impede in the FCC Reference Information implemented in the 3650–3700 MHz the opportunities for the introduction of Center, Room Cy–A257, 445 12th Street, band which could help to achieve the fixed services in the 3650–3700 MHz SW, Washington, DC, and also may be overarching goals of Section 706 of the band. Further, we find that this action purchased from the Commission’s Telecommunications Act of 1996 by will provide relief to satellite operators duplication contractor, International providing advanced while having a de minimis impact on Transcription Service, (202) 857–3800, telecommunications capability to all the opportunities for the provision of 1231 20th Street, NW Washington, DC Americans. The proposals submitted by fixed services in the 3650–3700 MHz 20036. New Skies and the C-Band Coalition to band.

TABLE 1.ÐAUTHORIZED EXTENDED C-BAND EARTH STATIONS 1 (Receive at 3625±3700 MHz and Transmit at 5850±5925 MHz) 2

State/City North latitude West longitude

California: Carmel Valley ...... 36° 24′10″ 121° 38′48″ Culver City ...... 34° 01′ 06″ 118° 24′ 13″ Livermore ...... 37° 45′ 39″ 121° 47′ 50″ Los Angeles ...... 34° 01′ 53″ 118° 27′ 18″ 34° 01′ 54″ 118° 27′ 15″ 34° 01′ 54″ 118° 27′ 18.3″ 34° 01′ 54″ 118° 27′ 21.3″ Malibu ...... 34° 04′ 49.67″ 118° 53′ 43.91″ 34° 04′ 50.32″ 118° 53′ 46.40″ Mountain House ...... 37° 45′ 01″ 121° 35′ 34″ 37° 45′ 02″ 121° 35′ 35″ Niles Canyon ...... 37° 35′ 56″ 121° 56′ 32″ 37° 36′ 00″ 121° 56′ 35″ Salt Creek ...... 38° 56′ 20.2″ 122° 08′ 48″ 38° 56′ 21″ 122° 08′ 49.2″ 38° 56′ 22.3″ 122° 08′ 49.6″ Somis ...... 34° 19′ 31″ 118° 59′ 41″ Sylmar ...... 34° 19′ 04″ 118° 29′ 00″ Florida: Medley ...... 25° 50′ 26″ 80° 19′ 03″ 25° 51′ 19″ 80° 19′ 52″ Melbourne ...... 28° 02′ 25″ 80° 35′ 48″ 28° 05′ 10″ 80° 38′ 10″ Miami ...... 25° 48′ 34″ 80° 21′ 11″ 25° 48′ 35″ 80° 21′ 10″ 25° 48′ 35″ 80° 21′ 11″ Miramar 3 ...... 25° 58′ 32″ 80° 17′ 00″ Orlando ...... 28° 25′ 29″ 81° 07′ 21″

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TABLE 1.ÐAUTHORIZED EXTENDED C-BAND EARTH STATIONS 1ÐContinued (Receive at 3625±3700 MHz and Transmit at 5850±5925 MHz) 2

State/City North latitude West longitude

Palm Bay ...... 28° 02′ 28″ 80° 35′ 42″ Guam: Pulantat ...... 13° 25′ 00″ 4 144° 44′ 57″ Maine: Andover ...... 44° 37′ 57″ 70° 42′ 01″ 44° 37′ 58″ 70° 41′ 54″ Maryland: Etam ...... 39° 16′ 48″ 79° 44′ 14″ 39° 16′ 50″ 79° 44′ 13″ Clarksburg ...... 39° 13′ 07″ 77° 16′ 12″ Massachusetts: Whitinsville ...... 42° 06′ 59″ 71° 38′ 08″ New Jersey: Franklin ...... 41° 07′ 04″ 74° 34′ 33″ New York: Staten Island ...... 40° 36′ 13″ 74° 10′ 39″ North Carolina: West Jefferson ...... 36° 25′ 50″ 81° 23′ 45″ Oregon: Moores Valley ...... 45° 20′ 33″ 123° 17′ 15″ Pennsylvania: Roaring Creek ...... 40° 53′ 34″ 76° 26′ 23″ 40°53′35.9″ 76° 26′ 22.6″ 40°53′37″ 76° 26′ 22″ 40°53′37.5″ 76° 26′ 21.8″ Puerto Rico: Carolina ...... 18° 26′ 00″ 65° 59′ 35″ Caguas ...... 18° 17′ 53″ 66° 03′ 14″ Cayey ...... 18° 08′ 00″ 66° 07′ 57″ Humacao ...... 18° 09′ 05″ 65° 47′ 20″ Rio Piedras ...... 18° 14′ 30″ 66° 01′ 50″ 18° 22′ 59″ 66° 04′ 09″ Tennessee: Nashville ...... 36° 14′ 06″ 86° 45′ 21″ 36° 14′ 5.7″ 86° 45′ 19.4″ 36° 14′ 5.7″ 86° 45′ 21.4″ Texas: Woodland Hills ...... 32° 37′ 48″ 96° 50′ 33″ Virginia: Alexandria ...... 38° 47′ 39″ 77° 09′ 51″ Shenandoah Court ...... 38° 43′ 45″ 78° 39′ 26″ Washington: Brewster ...... 48° 08′ 49″ 119° 41′ 28″ 48° 08′ 51″ 119° 41′ 29″ West Virginia: Lennox ...... 39° 34′ 07″ 79° 34′ 45″ Rowlesburg ...... 39° 16′ 52.1″ 79° 44′ 10.7″ 1 In addition, there is an extended C-band earth station on the Midway Atoll. 2 Most of these earth stations are authorized to make use of both C-band (3700±4200 MHz for downlinks and 5925±6425 MHz band for uplinks) and extended C-band frequencies (3625±3700 MHz for downlinks and 5850±5925 MHz for uplinks). 3 This is a receive-only station. 4 Guam's longitude coordinate is East, not West.

TABLE 2.ÐSITES AUTHORIZED FOR LESS THAN THE FULL EXTENDED C-BAND

Band City, State Latitude Longitude

3685±3700 MHz ...... Miami, Florida ...... 25°28′48″ 80°10′48″ Atlanta, Georgia ...... 33°52′38.23″ 84°27′58.35″ Marietta, Georgia ...... 33°55′41″ 84°29′45″ Guaynabo, Puerto Rico ...... 18°34′10″ 66°23′00″ San Juan, Puerto Rico ...... 18°22′00″ 66°07′00″ 3650±3700 MHz ...... Auburn University, Alabama ...... 32°35′47″ 85°29′27″

TABLE 3.ÐAUTHORIZED TT&C SITES [Receive at 3698.5±3699.5 MHz and Transmit at 5923.5±5924.5 MHz]

City/State Latitude Longitude

Three Peaks, California ...... 38°8′51.9″ 122°47′38″ Hawley, Pennsylvania ...... 41°27′51″ 75°7′47.9″

3. Pursuant to the authority contained For Relief and Modified Request For processing changes are effective May 22, in sections 4(i), 302, 303(e), 303(f), Emergency Relief and Request For 2000. 303(g), 303(r), and 405 of the Expedited Action filed by New Skies Communications Act of 1934, as Satellites N.V., are hereby granted, in amended, it is ordered that the Request part, and denied in part. The application

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Federal Communications Commission. Division, Chief Counsel’s Office, Office Policy allowed institutions until the Magalie Roman Salas, of the Comptroller of the Currency, 250 December 31, 2000, Reports to make Secretary. E Street, SW., Washington, DC 20219. changes involving computer [FR Doc. 00–14610 Filed 6–9–00; 8:45 am] FDIC: James Leitner, Examination programming resources. In a BILLING CODE 6712±01±P Specialist, (202) 898–6790, Division of modification issued on November 23, Supervision, or Michael Phillips, 1999 (64 FR 65712), the implementation Counsel, (202) 898–3581, Supervision date for manual changes was extended and Legislation Branch, Legal Division, to the December 31, 2000, Reports. FEDERAL FINANCIAL INSTITUTIONS Federal Deposit Insurance Corporation, Following the issuance of the Uniform EXAMINATION COUNCIL 550 17th Street, N.W., Washington, D.C. Policy, the Agencies received numerous Uniform Retail Credit Classification 20429. inquiries for clarifications of the and Account Management Policy OTS: William J. Magrini, Senior standards contained in the Policy, Project Manager, (202) 906–5744, Donna especially with respect to the re-aging of AGENCY: Federal Financial Institutions M. Deale, Manager, Supervision Policy, open-end accounts and extensions, Examination Council. (202) 906–7488, Supervision Policy, or deferrals, renewals, or rewrites of ACTION: Final notice. Ellen J. Sazzman, Counsel (Banking and closed-end loans. In response to these Finance), (202) 906–7133, Regulations inquiries for clarification, the Agencies SUMMARY: The Federal Financial and Legislation Division, Chief have decided to publish this revised Institutions Examination Council Counsel’s Office, Office of Thrift Uniform Policy. In addition to various (FFIEC), on behalf of the Board of Supervision, 1700 G Street, N.W., editorial changes, the Agencies have Governors of the Federal Reserve Washington, D.C. 20552. changed the Uniform Policy to clarify System (FRB), the Federal Deposit SUPPLEMENTARY INFORMATION: various items in the Uniform Policy Insurance Corporation (FDIC), the Office with respect to (1) the re-aging of open- of the Comptroller of the Currency Background Information end accounts; (2) extensions, deferrals, (OCC), and the Office of Thrift On June 30, 1980, the FRB, FDIC, and renewals, and rewrites of closed-end Supervision (OTS), collectively referred OCC adopted the Uniform Policy for loans; (3) examiner considerations; and to as the Agencies, is publishing Classification of Consumer Installment (4) the treatment of specific categories of revisions to the Uniform Retail Credit Credit Based on Delinquency Status retail loans. Classification and Account Management (1980 policy). The Federal Home Loan 1. Re-aging of open-end accounts. The Policy, to clarify certain provisions, Bank Board, the predecessor of the OTS, Uniform Policy provided that open-end especially regarding the re-aging of adopted the 1980 policy in 1987. The accounts should not be re-aged more open-end accounts and extensions, 1980 policy established uniform than once within any twelve-month deferrals, renewals, and rewrites of guidelines for the classification of retail period and no more than twice within closed-end loans. The National Credit installment credit based on delinquency any five-year period. The Agencies have Union Administration (NCUA), also a status and provided charge-off time decided to clarify the Uniform Policy by member of FFIEC, does not plan to frames for open-end and closed-end stating that institutions may adopt a adopt the Uniform Policy at this time. credit. more conservative re-aging standard This Policy is a supervisory policy used The Agencies undertook a review of (e.g., some institutions allow only one by the Agencies for uniform the 1980 policy as part of their review re-aging in the lifetime of an open-end classification and treatment of retail of all written policies mandated by account). In addition, this modification credit loans in financial institutions. Section 303(a) of the Riegle Community of the Uniform Policy recognizes the importance of formal workout programs DATES: Any changes to an institution’s Development and Regulatory Improvement Act of 1994. As a result of and provides guidance on the handling policies and procedures as a result of of open-end accounts that enter into this the Uniform Retail Credit Classification this review, on February 10, 1999 (64 FR 6655), the Agencies issued the Uniform type of program. and Account Management Policy issued Specifically, the Agencies have on February 10, 1999, as modified by Retail Credit Classification and Account Management Policy (Uniform Policy). In modified the Uniform Policy to provide these revisions, should be implemented that institutions may re-age an account for reporting in the December 31, 2000, general, the Uniform Policy: • Established a charge-off policy for after it enters a workout program, Call Report or Thrift Financial Report, including internal and third-party debt as appropriate. open-end credit at 180 days delinquency and closed-end credit at counseling services, but only after FOR FURTHER INFORMATION CONTACT: 120 days delinquency. receipt of at least three consecutive FRB: David Adkins, Supervisory • Provided guidance for loans minimum monthly payments or the Financial Analyst, (202) 452–5259, or affected by bankruptcy, fraud, and equivalent cumulative amount. Re-aging Anna Lee Hewko, Financial Analyst, death. for workout program purposes is limited (202) 530–6260, Division of Banking • Established guidelines for re-aging, to once in a five-year period and is in Supervision and Regulation, Board of extending, deferring, or rewriting past addition to the once-in-twelve-months/ Governors of the Federal Reserve due accounts. twice-in-five-years limitation. The term System. For the hearing impaired only, • Provided for classification of certain ‘‘re-age’’ is defined in the document (in Telecommunication Device for the Deaf delinquent residential mortgage and footnote 3) to mean ‘‘returning a (TDD), Diane Jenkins, (202) 452–3544, home equity loans. delinquent, open-end account to current Board of Governors of the Federal • Provided an alternative method of status without collecting the total Reserve System, 20th and C Streets, recognizing partial payments. amount of principal, interest, and fees N.W., Washington, D.C. 20551. As issued on February 10, 1999, the that are contractually due.’’ In the OCC: Daniel L. Pearson, National Uniform Policy was effective for manual Agencies’ view, management Bank Examiner, (202) 874–5170, Credit adjustments to an institution’s policies information systems should track the Risk Division, or Ron Shimabukuro, and procedures as of the June 30, 1999, principal reductions and charge-off Senior Attorney, (202) 874–5090, Call Report or Thrift Financial Report, history of loans in workout programs by Legislative and Regulatory Activities as appropriate. In addition, the Uniform type of program.

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2. Extensions, deferrals, renewals, and Uniform Policy that such assessment collection experience, when a rewrites of closed-end loans. The would be required when a residential or portfolio’s history reflects high losses Agencies have modified the Uniform home equity loan is 120 days past due. and low recoveries, more conservative Policy to provide that institutions • Loans in bankruptcy with collateral standards are appropriate and should adopt and adhere to explicit may be written down to the value of the necessary. standards that control the use of collateral, less cost to sell. The quality of retail credit is best extensions, deferrals, renewals, and As modified, the Uniform Policy now indicated by the repayment performance rewrites of closed-end loans. Such reads as follows: of individual borrowers. Therefore, in general, retail credit should be classified standards would be based on the Uniform Retail Credit Classification based on the following criteria: borrower’s willingness and ability to and Account Management Policy 1 repay the loan and would limit number • Open- and closed-end retail loans and frequency of such treatment of The Uniform Retail Credit past due 90 cumulative days from the closed-end loans. The Agencies have Classification and Account Management contractual due date should be also defined the terms ‘‘extension,’’ Policy establishes standards for the classified Substandard. ‘‘deferral,’’ ‘‘renewal,’’ and ‘‘rewrite.’’ classification and treatment of retail • Closed-end retail loans that become This modification of the Uniform credit in financial institutions. Retail past due 120 cumulative days and open- Policy states that institutions should credit consists of open- and closed-end end retail loans that become past due adopt standards that prohibit additional credit extended to individuals for 180 cumulative days from the advances that finance the unpaid household, family, and other personal contractual due date should be interest and fees. The Agencies have expenditures, and includes consumer classified Loss and charged off.2 In lieu added guidance that comprehensive and loans and credit cards. For purposes of of charging off the entire loan balance, effective risk management, reporting, this policy, retail credit also includes loans with non-real estate collateral may and internal controls be established and loans to individuals secured by their be written down to the value of the maintained to support the collection personal residence, including first collateral, less cost to sell, if process and to ensure timely recognition mortgage, home equity, and home repossession of collateral is assured and of losses. improvement loans. Because a retail in process. 3. Examination considerations. The credit portfolio generally consists of a • One- to four-family residential real Agencies have added guidance that an large number of relatively small-balance estate loans and home equity loans that examiner may classify retail portfolios, loans, evaluating the quality of the retail are past due 90 days or more with loan- or segments thereof, where underwriting credit portfolio on a loan-by-loan basis to-value ratios greater than 60 percent standards are weak and present is inefficient and burdensome for the should be classified Substandard. unreasonable credit risk and may institution being examined and for Properly secured residential real estate criticize account management practices examiners. loans with loan-to-value ratios equal to that are deficient. Actual credit losses on individual or less than 60 percent are generally not Adoption of the Uniform Policy may retail credits should be recorded when classified based solely on delinquency affect an institution’s timing and the institution becomes aware of the status. Home equity loans to the same measurement of probable loan losses loss, but in no case should the charge- borrower at the same institution as the that have been incurred. As a result of off exceed the time frames stated in this senior mortgage loan with a combined changes the Uniform Policy made to the policy. This policy does not preclude an loan-to-value ratio equal to or less than 1980 policy, an institution may need to institution from adopting a more 60 percent need not be classified. adjust its loan loss allowance to reflect conservative internal policy. Based on However, home equity loans where the any shortening in its time frame for institution does not hold the senior recording charge-offs. Moreover, a larger 1 The agencies’ classifications used for retail mortgage, that are past due 90 days or allowance may be necessary if an credit are Substandard, Doubtful, and Loss. These more should be classified Substandard, institution’s charge-off practices are are defined as follows: Substandard: An asset even if the loan-to-value ratio is equal classified Substandard is protected inadequately by to, or less than, 60 percent. different than the new guidelines for the current net worth and paying capacity of the accounts of deceased persons and obligor, or by the collateral pledged, if any. Assets For open- and closed-end loans accounts of borrowers in bankruptcy. so classified must have a well-defined weakness or secured by residential real estate, a 4. Treatment of specific categories of weaknesses that jeopardize the liquidation of the current assessment of value should be debt. They are characterized by the distinct made no later than 180 days past due. retail loans. These modifications to the possibility that the institution will sustain some Uniform Policy clarified the Policy’s loss if the deficiencies are not corrected. Doubtful: Any outstanding loan balance in excess treatment of various categories of retail An asset classified Doubtful has all the weaknesses of the value of the property, less cost to loans: inherent in one classified Substandard with the sell, should be classified Loss and • Regarding retail loans that are due added characteristic that the weaknesses make charged off. collection or liquidation in full, on the basis of • Loans in bankruptcy should be to be charged off, in lieu of charging off currently existing facts, conditions, and values, the entire loan balance, loans with non- highly questionable and improbable. Loss: An asset, classified Loss and charged off within real estate collateral may be written or portion thereof, classified Loss is considered down to the value of the collateral, less uncollectible, and of such little value that its 2 For operational purposes, whenever a charge-off continuance on the books is not warranted. This is necessary under this policy, it should be taken cost to sell, if repossession of collateral classification does not mean that the asset has no later than the end of the month in which the is assured and in process. absolutely no recovery or salvage value; rather, it applicable time period elapses. Any full payment • For open- and closed-end loans is not practical or desirable to defer writing off an received after the 120- or 180-day charge-off secured by one-to four-family essentially worthless asset (or portion thereof), even threshold, but before month-end charge-off, may be though partial recovery may occur in the future. considered in determining whether the charge-off residential real estate, a current Although the Board of Governors of the Federal remains appropriate. assessment of value should be made no Reserve System, Federal Deposit Insurance OTS regulation 12 CFR 560.160(b) allows savings later than 180 days past due, and any Corporation, Office of the Comptroller of the institutions to establish adequate (specific) outstanding loan balance in excess of Currency, and Office of Thrift Supervision do not valuation allowances for assets classified Loss in the value of the property, less cost to require institutions to adopt identical classification lieu of charge-offs. definitions, institutions should classify their assets Open-end retail accounts that are placed on a sell, should be charged off. The using a system that can be easily reconciled with fixed repayment schedule should follow the charge- Agencies removed the condition in the the regulatory classification system. off time frame for closed-end loans.

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60 days of receipt of notification of Re-Aging, Extensions, Deferrals, Open-End Accounts 3 filing from the bankruptcy court or Renewals, and Rewrites Institutions that re-age open-end within the time frames specified in this Re-aging of open-end accounts, and accounts should establish a reasonable classification policy, whichever is written policy and adhere to it. To be shorter, unless the institution can extensions, deferrals, renewals, and rewrites of closed-end loans can be used considered for re-aging, an account clearly demonstrate and document that should exhibit the following: repayment is likely to occur. Loans with to help borrowers overcome temporary • financial difficulties, such as loss of job, The borrower has demonstrated a collateral may be written down to the renewed willingness and ability to value of the collateral, less cost to sell. medical emergency, or change in family circumstances like loss of a family repay the loan. Any loan balance not charged off should • The account has existed for at least be classified Substandard until the member. A permissive policy on re- agings, extensions, deferrals, renewals, nine months. borrower re-establishes the ability and • The borrower has made at least willingness to repay for a period of at or rewrites can cloud the true performance and delinquency status of three consecutive minimum monthly least six months. payments or the equivalent cumulative • Fraudulent loans should be the portfolio. However, prudent use is acceptable when it is based on a amount. Funds may not be advanced by classified Loss and charged off no later the institution for this purpose. than 90 days of discovery or within the renewed willingness and ability to repay the loan, and when it is structured Open-end accounts should not be re- time frames adopted in this aged more than once within any twelve- classification policy, whichever is and controlled in accordance with sound internal policies. month period and no more than twice shorter. within any five-year period. Institutions • Loans of deceased persons should Management should ensure that may adopt a more conservative re-aging be classified Loss and charged off when comprehensive and effective risk standard; for example, some institutions the loss is determined or within the management and internal controls are allow only one re-aging in the lifetime time frames adopted in this established and maintained so that re- of an open-end account. Additionally, classification policy, whichever is ages, extensions, deferrals, renewals, an over-limit account may be re-aged at shorter. and rewrites can be adequately its outstanding balance (including the controlled and monitored by Other Considerations for Classification over-limit balance, interest, and fees), management and verified by examiners. provided that no new credit is extended If an institution can clearly document The decision to re-age, extend, defer, to the borrower until the balance falls that a past due loan is well secured and renew, or rewrite a loan, like any other below the predelinquency credit limit. in the process of collection, such that modification of contractual terms, Institutions may re-age an account collection will occur regardless of should be supported in the institution’s after it enters a workout program, delinquency status, then the loan need management information systems. including internal and third-party debt not be classified. A well-secured loan is Adequate management information counseling services, but only after collateralized by a perfected security systems usually identify and document receipt of at least three consecutive interest in, or pledges of, real or any loan that is re-aged, extended, minimum monthly payments or the personal property, including securities deferred, renewed, or rewritten, equivalent cumulative amount, as with an estimable value, less cost to sell, including the number of times such agreed upon under the workout or debt sufficient to recover the recorded action has been taken. Documentation management program. Re-aging for investment in the loan, as well as a normally shows that the institution’s workout purposes is limited to once in reasonable return on that amount. In the personnel communicated with the a five-year period and is in addition to process of collection means that either borrower, the borrower agreed to pay the once in twelve-months/twice in five- a collection effort or legal action is the loan in full, and the borrower has year limitation described above. To be proceeding and is reasonably expected the ability to repay the loan. To be effective, management information to result in recovery of the loan balance effective, management information systems should track the principal or its restoration to a current status, systems should also monitor and track reductions and charge-off history of generally within the next 90 days. the volume and performance of loans loans in workout programs by type of that have been re-aged, extended, Partial Payments on Open-and Closed- program. deferred, renewed, or rewritten and/or End Credit placed in a workout program. Closed-End Loans Institutions should use one of two Institutions should adopt and adhere methods to recognize partial payments. 3 These terms are defined as follows. Reage: to explicit standards that control the use A payment equivalent to 90 percent or Returning a delinquent, open-end account to of extensions, deferrals, renewals, and more of the contractual payment may be current status without collecting the total amount of principal, interest, and fees that are contractually rewrites of closed-end loans. The considered a full payment in computing due. Extension: Extending monthly payments on a standards should exhibit the following: past due status. Alternatively, the closed-end loan and rolling back the maturity by • The borrower should show a institution may aggregate payments and the number of months extended. The account is renewed willingness and ability to give credit for any partial payment shown current upon granting the extension. If repay the loan. extension fees are assessed, they should be • received. For example, if a regular collected at the time of the extension and not added The standards should limit the installment payment is $300 and the to the balance of the loan. Deferral: Deferring a number and frequency of extensions, borrower makes payments of only $150 contractually due payment on a closed-end loan deferrals, renewals, and rewrites. per month for a six-month period, the without affecting the other terms, including • maturity, of the loan. The account is shown current Additional advances to finance loan would be $900 ($150 shortage upon granting the deferral. Renewal: Underwriting unpaid interest and fees should be times six payments), or three full a matured, closed-end loan generally at its prohibited. months past due. An institution may outstanding principal amount and on similar terms. Management should ensure that use either or both methods in its Rewrite: Underwriting an existing loan by significantly changing its terms, including payment comprehensive and effective risk portfolio, but may not use both methods amounts, interest rates, amortization schedules, or management, reporting, and internal simultaneously with a single loan. its final maturity. controls are established and maintained

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[FR Doc. 00–14704 Filed 6–9–00; 8:45 am] [FR Doc. 00–14733 Filed 6–9–00; 8:45 am] BILLING CODE 6210±01±P (25%) 6714±01±P (25%) 6720± BILLING CODE 6210±01±P Examination Considerations 01±P (25%) 4810±33±P (25%) Examiners should ensure that institutions adhere to this policy. Nevertheless, there may be instances FEDERAL RETIREMENT THRIFT that warrant exceptions to the general FEDERAL RESERVE SYSTEM INVESTMENT BOARD classification policy. Loans need not be Change in Bank Control Notices; classified if the institution can Employee Thrift Advisory Council; Acquisitions of Shares of Banks or document clearly that repayment will Open Meeting Bank Holding Companies occur irrespective of delinquency status. In accordance with section 10(a)(2) of Examples might include loans well The notificants listed below have the Federal Advisory Committee Act secured by marketable collateral and in applied under the Change in Bank (Pub. L. 92–463), a notice is hereby the process of collection, loans for Control Act (12 U.S.C. 1817(j)) and given of the following committee which claims are filed against solvent § 225.41 of the Board’s Regulation Y (12 meeting: estates, and loans supported by valid CFR 225.41) to acquire a bank or bank NAME: Employee Thrift Advisory insurance claims. holding company. The factors that are Council. The Uniform Classification and considered in acting on the notices are TIME: 10 a.m. Account Management policy does not set forth in paragraph 7 of the Act (12 preclude examiners from classifying U.S.C. 1817(j)(7)). DATE: June 27, 2000. individual retail credit loans that The notices are available for PLACE: 4th Floor, Conference Room, exhibit signs of credit weakness immediate inspection at the Federal Federal Retirement Thrift Investment regardless of delinquency status. Reserve Bank indicated. The notices Board, 1250 H Street, NW., Washington, Similarly, an examiner may also classify also will be available for inspection at DC retail portfolios, or segments thereof, the offices of the Board of Governors. STATUS: Open. where underwriting standards are weak Interested persons may express their and present unreasonable credit risk, MATTERS TO BE CONSIDERED: views in writing to the Reserve Bank and may criticize account management 1. Approve minutes of the May 19, indicated for that notice or to the offices practices that are deficient. 1999, meeting. In addition to reviewing loan of the Board of Governors. Comments 2. Report of the Executive Director on classifications, the examiner should must be received not later than June 26, Thrift Savings Plan status. ensure that the institution’s allowance 2000. 3. November 15, 1999–January 31, for loan and lease losses provides A. of Kansas 2000, Thrift Savings Plan Open Season. adequate coverage for probable losses City (D. Michael Manies, Assistant Vice 4. Legislation. inherent in the portfolio. Sound risk and President) 925 Grand Avenue, Kansas 5. New TSP record keeping system/ account management systems, including City, Missouri 64198–0001: investment funds. a prudent retail credit lending policy, 1. Robert M. Alexander, Calhan, 6. New Business. measures to ensure and monitor Colorado; Sean A. Gooding, Cherry Hills Any interested person may attend, adherence to stated policy, and detailed Village, Colorado; Alexander R. appear before, or file statements with operating procedures, should also be Gooding, Cherry Hills Village, Colorado; the Council. For further information implemented. Internal controls should Leslie A. Melzer, Denver, Colorado; contact Elizabeth S. Woodruff, be in place to ensure that the policy is Robert J. Breidenthal, Bonner Springs, Committee Management Officer, on followed. Institutions that lack sound Kansas; Arcadia Partners, Ltd.(Dan & (202) 942–1660. policies or fail to implement or Patricia League), Colorado Springs, Dated: June 6, 2000. effectively adhere to established policies Colorado; Michael S. League, Colorado will be subject to criticism. Springs, Colorado; and Joe F. Jenkins, Elizabeth S. Woodruff, Tonganoxie, Kansas; to acquire voting General Counsel, Federal Retirement Thrift Implementation shares of Financial Services of the Investment Board. This policy should be fully Rockies, Inc., Colorado Springs, [FR Doc. 00–14739 Filed 6–9–00; 8:45 am] implemented for reporting in the Colorado, and thereby indirectly acquire BILLING CODE 6760±01±M

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Part II

Department of the Treasury Internal Revenue Service

26 CFR Part 1 et al. Use of Actuarial in Valuing Annuities, Interests for Life or Terms of Years, and Remainder or Reversionary Interests; Final Rule

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DEPARTMENT OF THE TREASURY lives. Section 7520 of the Internal Background Revenue Code of 1986 (Code) was Internal Revenue Service enacted by section 5031 of the On April 30, 1999, the IRS published Technical and Miscellaneous Revenue in the Federal Register (64 FR 23187 26 CFR Parts 1, 20, and 25 Act of 1988 and was effective on May and 64 FR 23245) temporary regulations and a notice of proposed rulemaking by [TD 8886] 1, 1989. These regulations are necessary because section 7520(c)(3) directs the cross reference to temporary regulations RIN 1545±AX07 Secretary to revise the actuarial tables (REG–103851–99) under sections 642, used in valuing interests dependent on 664, 2031, 2512, and 7520 relating to the Use of Actuarial Tables in Valuing mortality experience not less frequently use of actuarial tables in valuing Annuities, Interests for Life or Terms than once each 10 years to take into annuities, interests for life or terms of of Years, and Remainder or account the most recent mortality years, and remainder or reversionary Reversionary Interests experience available as of the time of interests. No written comments responding to the notice of proposed AGENCY: Internal Revenue Service (IRS), the revision. This document contains Treasury. amendments to the regulations revising rulemaking by cross reference to temporary regulations were received ACTION: Final regulations. certain tables used for the valuation of partial interests in property under and, thus, no hearing was held. This SUMMARY: This document contains final section 7520 to reflect the most recent document adopts, with no substantive regulations relating to the use of mortality experience available. changes, final regulations with respect to this notice of proposed rulemaking by actuarial tables in valuing annuities, DATES: These regulations are effective cross reference to temporary regulations. interests for life or terms of years, and June 12, 2000. remainder or reversionary interests. The following chart summarizes the FOR FURTHER INFORMATION CONTACT: These regulations will effect the applicable interest rates and the William L. Blodgett, (202) 622–3090 valuation of inter vivos and citations to textual materials and tables (not a toll-free number). testamentary transfers of interests for the various periods covered under dependent on one or more measuring SUPPLEMENTARY INFORMATION: the regulations:

CROSS REFERENCE TO REGULATION SECTIONS

Interest Valuation period rate Regulation section Table

Section 642

Valuation, in general ...... 1.642(c)±6 Before 01/01/52 ...... 4% 1.642(c)±6A(a) 01/01/52±12/31/70 ...... 3.5% 1.642(c)±6A(b) 01/01/71±11/30/83 ...... 6% 1.642(c)±6A(c) 12/01/83±04/30/89 ...... 10% 1.642(c)±6A(d) Table G. 05/01/89±04/30/99 ...... § 7520 1.642(c)±6A(e) Table S (05/01/89±4/30/99). After 04/30/99 ...... § 7520 1.642(c)±6(e) Table S (after 04/30/99).

Section 664

Valuation, in general ...... 1.664±4 Before 01/01/52 ...... 4% 1.664±4A(a) 01/01/52±12/31/70 ...... 3.5% 1.664±4A(b) 01/01/71±11/30/83 ...... 6% 1.664±4A(c) 12/01/83±04/30/89 ...... 10% 1.664±4A(d) Table E, Table F(1). 05/01/89±04/30/99 ...... § 7520 1.664±4A(e) Table U(1) (05/01/89±4/30/99). After 04/30/99 ...... § 7520 1.664±4(e)(6) Table D and Tables F(4.2)±F(14.0) 1.664±4(e)(7) Table U(1) (after 04/30/99).

Section 2031

Valuation, in general ...... 20.2031±7 Before 01/01/52 ...... 4% 20.2031±7A(a) 01/01/52±12/31/70 ...... 3.5% 20.2031±7A(b) 01/01/71±11/30/83 ...... 6% 20.2031±7A(c) 12/01/83±04/30/89 ...... 10% 20.2031±7A(d) Table A, Table B, Table LN. 05/01/89±04/30/99 ...... § 7520 20.2031±7A(e) Table S (05/01/89±4/30/99) Life Table 80CNSMT. After 04/30/99 ...... § 7520 20.2031±7(d)(6) Table B, Table J, Table K 20.2031±7(d)(7) Table S (after 04/30/99) and Life Table 90CM.

Section 2512

Valuation, in general ...... 25.2512±5 Before 01/01/52 ...... 4% 25.2512±5A(a) 01/01/52±12/31/70 ...... 3.5% 25.2512±5A(b) 01/01/71±11/30/83 ...... 6% 25.2512±5A(c) 12/01/83±04/30/89 ...... 10% 25.2512±5A(d)

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CROSS REFERENCE TO REGULATION SECTIONSÐContinued

Interest Valuation period rate Regulation section Table

05/01/89±04/30/99 ...... § 7520 25.2512±5A(e) After 04/30/99 ...... § 7520 25.2512±5(d)

Effective Dates List of Subjects rate and life contingencies prescribed in § 20.2031–7 of this chapter (or for 26 CFR Part 1 These regulations are applicable in periods before May 1, 1999, § 20.2031– the case of annuities, interests for life or Income taxes, Reporting and 7A) and on the assumption that the terms of years, and remainder or recordkeeping requirements. property depreciates on a straight-line reversionary interests created after April 26 CFR Part 20 basis over its estimated useful life. For 30, 1999. transfers for which the valuation date is Estate taxes, Reporting and Special Analysis after April 30, 1999, special factors for recordkeeping requirements. determining the present value of a It has been determined that this 26 CFR Part 25 remainder interest following one life Treasury decision is not a significant Gift taxes, Reporting and and an example describing the regulatory action as defined in recordkeeping requirements. computation is contained in Internal Executive Order 12866. Therefore, a Revenue Service Publication 1459, regulatory assessment is not required. It Adoption of Amendments to the ‘‘Actuarial Values, Book Gimel,’’ (7– also has been determined that section Regulations 1999). A copy of this publication is 553(b) of the Administrative Procedure Accordingly, 26 CFR parts 1, 20, and available for purchase from the Act (5 U.S.C. chapter 5) does not apply 25 are amended as follows: Superintendent of Documents, United to these regulations, and because these States Government Printing Office, regulations do not impose a collection PART 1ÐINCOME TAXES Washington, DC 20402. For transfers for which the valuation date is after April of information requirement on small Paragraph 1. The authority citation 30, 1989, and before May 1, 1999, entities, the Regulatory Flexibility Act for part 1 is amended by removing the special factors for determining the (5 U.S.C. chapter 6) does not apply. entries for 1.642(c)–6T, 1.664–4T and present value of a remainder interest Therefore, a Regulatory Flexibility 1.7520–1T to read in part as follows: following one life and an example Analysis is not required. Pursuant to Authority: 26 U.S.C. 7805 * * * describing the computation is contained section 7805(f) of the Internal Revenue in Internal Revenue Service Publication Par. 2. Section 1.170A–12 is amended Code, the notice of proposed rulemaking 1459, ‘‘Actuarial Values, Gamma by revising paragraphs (b)(2) and (b)(3) by cross reference to temporary Volume,’’ (8–89). This publication is no to read as follows: regulations was submitted to the Chief longer available for purchase from the Counsel for Advocacy of the Small § 1.170A±12 Valuation of a remainder Superintendent of Documents. Business Administration for comment interest in real property for contributions However, it may be obtained by on its impact on small business. made after July 31, 1969. requesting a copy from: CC:DOM:CORP:R (IRS Publication Drafting Information * * * * * (b) * * * 1459), room 5226, Internal Revenue The principal author of these (2) Computation of depreciation Service, POB 7604, Ben Franklin regulations is William L. Blodgett, factor. If the valuation of the remainder Station, Washington, DC 20044. See, Office of Assistant Chief Counsel interest in depreciable property is however, § 1.7520–3(b) (relating to (Passthroughs and Special Industries), dependent upon the continuation of one exceptions to the use of prescribed IRS. However, other personnel from the life, a special factor must be used. The tables under certain circumstances). IRS and Treasury Department factor determined under this paragraph Otherwise, in the case of the valuation (b)(2) is carried to the fifth decimal of a remainder interest following one participated in their development. place. The special factor is to be life, the special factor may be obtained computed on the basis of the interest through use of the following formula:

n−1    i  +  l ++  l +   1 t  1 + ∑ v()t 1 111− xt1  −− xt −−         2 t=0  l x lnx  2 n

Where: section 7520 of the Internal (3) Example. The following example Revenue Code, illustrates the provisions of this n=the estimated number of years of paragraph (b): useful life, x=the age of the life tenant, and i=the applicable interest rate under lx=number of persons living at age x as Example. A, who is 62, donates to Y set forth in Table 90CM of University a remainder interest in a personal section 7520 of the Internal § 20.2031–7 (or, for periods before residence, consisting of a house and land, Revenue Code, May 1, 1999, the tables set forth subject to a reserved life estate in A. At the v=1 divided by the sum of 1 plus the under § 20.2031–7A) of this time of the gift, the land has a value of applicable interest rate under chapter. $30,000 and the house has a value of

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$100,000 with an estimated useful life of 45 that is dependent on the termination of (ii) Discount at a rate of interest, years, at the end of which the value of the the life of one individual is computed compounded annually, equal to the house is expected to be $20,000. The portion by the use of Table S in paragraph (e)(6) highest yearly rate of return of the of the property considered to be depreciable of this section. For purposes of the pooled income fund for the 3 taxable is $80,000 (the value of the house ($100,000) less its expected value at the end of 45 years computations under this section, the age years immediately preceding its taxable ($20,000)). The portion of the property of an individual is the age at the year in which the transfer of property to considered to be nondepreciable is $50,000 individual’s nearest birthday. the fund is made. For purposes of this (the value of the land at the time of the gift (2) Transitional rules for valuation of paragraph (e), the yearly rate of return ($30,000) plus the expected value of the transfers to pooled income funds. (i) For of a pooled income fund is determined house at the end of 45 years ($20,000)). At purposes of sections 2055, 2106, or as provided in paragraph (c) of this the time of the gift, the interest rate 2624, if on May 1, 1999, the decedent section unless the highest rate of return prescribed under section 7520 is 8.4 percent. was mentally incompetent so that the is deemed to be the rate described in Based on an interest rate of 8.4 percent, the disposition of the property could not be remainder factor for $1.00 prescribed in paragraph (e)(4) of this section for funds § 20.2031–7(d) of this chapter for a person changed, and the decedent died after in existence less than 3 taxable years. age 62 is 0.27925. The value of the April 30, 1999, without having regained For purposes of this paragraph (e)(3)(ii), nondepreciable remainder interest is competency to dispose of the decedent’s the first taxable year of a pooled income $13,962.50 (0.27925 times $50,000). The property, or the decedent died within 90 fund is considered a taxable year even value of the depreciable remainder interest is days of the date that the decedent first though the taxable year consists of less $16,148.80 (0.20186, computed under the regained competency after April 30, than 12 months. However, appropriate formula described in paragraph (b)(2) of this 1999, the present value of a remainder section, times $80,000). Therefore, the value adjustments must be made to annualize interest is determined as if the valuation the rate of return earned by the fund for of the remainder interest is $30,111.30. date with respect to the decedent’s gross * * * * * that period. Where it appears from the estate is either before May 1, 1999, or facts and circumstances that the highest § 1.170A±12T [Removed] after April 30, 1999, at the option of the yearly rate of return of the fund for the decedent’s executor. Par. 3. Section 1.170A–12T is 3 taxable years immediately preceding (ii) For purposes of sections 170, the taxable year in which the transfer of removed. 2055, 2106, 2522, or 2624, in the case Par. 4–5. Section 1.642(c)–6 is property is made has been purposely of transfers to a pooled income fund for manipulated to be substantially less amended by revising paragraphs (d), (e) which the valuation date is after April and (f) to read as follows: than the rate of return that would 30, 1999, and before July 1, 1999, the otherwise be reasonably anticipated § 1.642(c)±6 Valuation of a remainder present value of the remainder interest with the purpose of obtaining an under this section is determined by use interest in property transferred to a pooled excessive charitable deduction, that rate of the section 7520 interest rate for the income fund. of return may not be used. In that case, month in which the valuation date * * * * * the highest yearly rate of return of the occurs (see §§ 1.7520–1(b) and 1.7520– (d) Valuation. The present value of fund is determined by treating the fund 2(a)(2)) and the appropriate actuarial the remainder interest in property as a pooled income fund that has been tables under either paragraph (e)(6) of transferred to a pooled income fund in existence for less than 3 preceding this section or § 1.642(c)–6A(e)(5), at the after April 30, 1999, is determined taxable years. under paragraph (e) of this section. The option of the donor or the decedent’s (4) Pooled income funds in existence present value of the remainder interest executor, as the case may be. less than 3 taxable years. If a pooled in property transferred to a pooled (iii) For purposes of paragraphs income fund has been in existence less income fund for which the valuation (e)(2)(i) and (ii) of this section, where than 3 taxable years immediately date is before May 1, 1999, is the donor or decedent’s executor is preceding the taxable year in which the determined under the following given the option to use the appropriate transfer is made to the fund and the sections: actuarial tables under either paragraph (e)(6) of this section or § 1.642(c)– transfer to the fund is made after April Valuation Dates 6A(e)(5), the donor or decedent’s 30, 1989, the highest rate of return is Applicable deemed to be the interest rate (rounded regulations executor must use the same actuarial After Before table with respect to each individual to the nearest two-tenths of one percent) transaction and with respect to all that is 1 percent less than the highest 01±01±52 1.642(c)±6A(a) annual average of the monthly section 12±31±51 ..... 01±01±71 1.642(c)±6A(b) transfers occurring on the valuation date 12±31±70 ..... 12±01±83 1.642(c)±6A(c) (for example, gift and income tax 7520 rates for the 3 calendar years 11±30±83 ..... 05±01±89 1.642(c)±6A(d) charitable deductions with respect to immediately preceding the calendar 04±30±89 ..... 05±01±99 1.642(c)±6A(e) the same transfer must be determined year in which the transfer to the pooled based on the same tables, and all assets income fund is made. The deemed rate (e) Present value of the remainder includible in the gross estate and/or of return for transfers to new pooled interest in the case of transfers to pooled estate tax deductions claimed must be income funds is recomputed each income funds for which the valuation valued based on the same tables). calendar year using the monthly section date is after April 30, 1999—(1) In (3) Present value of a remainder 7520 rates for the 3-year period general. In the case of transfers to interest. The present value of a immediately preceding the calendar pooled income funds for which the remainder interest in property year in which each transfer to the fund valuation date is after April 30, 1999, transferred to a pooled income fund is is made until the fund has been in the present value of a remainder interest computed on the basis of— existence for 3 taxable years and can is determined under this section. See, (i) Life contingencies determined from compute its highest rate of return for the however, § 1.7520–3(b) (relating to the values of lx that are set forth in 3 taxable years immediately preceding exceptions to the use of prescribed Table 90CM in § 20.2031–7(d)(7) of this the taxable year in which the transfer of tables under certain circumstances). The chapter (see § 20.2031–7A of this property to the fund is made in present value of a remainder interest chapter for certain prior periods); and accordance with the rules set forth in

VerDate 112000 20:50 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36911 the first sentence of paragraph (e)(3)(ii) Office, Washington, DC 20402. For other Difference ...... 00448 of this section. situations, see paragraph (b) of this Interpolation adjustment: (5) Computation of value of remainder section. If the yearly rate of return is a interest. The factor that is used in percentage that is between the yearly 99.47%− .4% x determining the present value of a rates of return for which factors are = remainder interest that is dependent on provided, a linear interpolation must be 0.. 2% 00448 the termination of the life of one made. The present value of the individual is the factor from Table S in remainder interest is determined by x = .00157 paragraph (e)(6) of this section under multiplying the fair market value of the the appropriate yearly rate of return property on the valuation date by the opposite the number that corresponds to appropriate remainder factor. This Factor at 9.4 percent for age 55 .... .17449 the age of the individual upon whose paragraph (e)(5) may be illustrated by Less: Interpolation adjustment ...... 00157 life the value of the remainder interest the following example: Interpolated factor ...... 17292 is based (see § 1.642(c)–6A for certain Example. A, who is 54 years and 8 months, prior periods). The tables in paragraph transfers $100,000 to a pooled income fund, Present value of remainder interest: (e)(6) of this section include factors for and retains a life income interest in the yearly rates of return from 4.2 to 14 property. The highest yearly rate of return ($100,000 × .17292) ...... $17,292.00 percent. Many actuarial factors not earned by the fund for its 3 preceding taxable contained in the tables in paragraph years is 9.47 percent. In Table S, the (6) Actuarial tables. In the case of (e)(6) of this section are contained in remainder factor opposite 55 years under 9.4 transfers for which the valuation date is Table S in Internal Revenue Service percent is .17449 and under 9.6 percent is after April 30, 1999, the present value .17001. The present value of the remainder of a remainder interest dependent on Publication 1457, ‘‘Actuarial Values, interest is $17,292.00, computed as follows: Book Aleph,’’ (7–1999). A copy of this the termination of one life in the case of publication is available for purchase Factor at 9.4 percent for age 55 .... .17449 a transfer to a pooled income fund is from the Superintendent of Documents, Factor at 9.6 percent for age 55 .... .17001 determined by use of the following United States Government Printing Table S:

TABLE S.ÐBASED ON LIFE TABLE 90CM SINGLE LIFE REMAINDER FACTORS APPLICABLE AFTER APRIL 30, 1999 [Interest rate]

Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% 5.8% 6.0%

0 ...... 06752 .06130 .05586 .05109 .04691 .04322 .03998 .03711 .03458 .03233 1 ...... 06137 .05495 .04932 .04438 .04003 .03620 .03283 .02985 .02721 .02487 2 ...... 06325 .05667 .05088 .04580 .04132 .03737 .03388 .03079 .02806 .02563 3 ...... 06545 .05869 .05275 .04752 .04291 .03883 .03523 .03203 .02920 .02668 4 ...... 06784 .06092 .05482 .04944 .04469 .04048 .03676 .03346 .03052 .02791 5 ...... 07040 .06331 .05705 .05152 .04662 .04229 .03845 .03503 .03199 .02928 6 ...... 07310 .06583 .05941 .05372 .04869 .04422 .04025 .03672 .03357 .03076 7 ...... 07594 .06849 .06191 .05607 .05089 .04628 .04219 .03854 .03528 .03236 8 ...... 07891 .07129 .06453 .05853 .05321 .04846 .04424 .04046 .03709 .03407 9 ...... 08203 .07423 .06731 .06115 .05567 .05079 .04643 .04253 .03904 .03592 10 ...... 08532 .07734 .07024 .06392 .05829 .05326 .04877 .04474 .04114 .03790 11 ...... 08875 .08059 .07331 .06683 .06104 .05587 .05124 .04709 .04336 .04002 12 ...... 09233 .08398 .07653 .06989 .06394 .05862 .05385 .04957 .04572 .04226 13 ...... 09601 .08748 .07985 .07304 .06693 .06146 .05655 .05214 .04816 .04458 14 ...... 09974 .09102 .08322 .07624 .06997 .06435 .05929 .05474 .05064 .04694 15 ...... 10350 .09460 .08661 .07946 .07303 .06725 .06204 .05735 .05312 .04930 16 ...... 10728 .09818 .09001 .08268 .07608 .07014 .06479 .05996 .05559 .05164 17 ...... 11108 .10179 .09344 .08592 .07916 .07306 .06755 .06257 .05807 .05399 18 ...... 11494 .10545 .09691 .08921 .08227 .07601 .07034 .06521 .06057 .05636 19 ...... 11889 .10921 .10047 .09259 .08548 .07904 .07322 .06794 .06315 .05880 20 ...... 12298 .11310 .10417 .09610 .08881 .08220 .07622 .07078 .06584 .06135 21 ...... 12722 .11713 .10801 .09976 .09228 .08550 .07935 .07375 .06866 .06403 22 ...... 13159 .12130 .11199 .10354 .09588 .08893 .08260 .07685 .07160 .06682 23 ...... 13613 .12563 .11612 .10748 .09964 .09250 .08601 .08009 .07468 .06975 24 ...... 14084 .13014 .12043 .11160 .10357 .09625 .08958 .08349 .07793 .07284 25 ...... 14574 .13484 .12493 .11591 .10768 .10018 .09334 .08708 .08135 .07611 26 ...... 15084 .13974 .12963 .12041 .11199 .10431 .09728 .09085 .08496 .07956 27 ...... 15615 .14485 .13454 .12513 .11652 .10865 .10144 .09484 .08878 .08322 28 ...... 16166 .15016 .13965 .13004 .12124 .11319 .10580 .09901 .09279 .08706 29 ...... 16737 .15567 .14497 .13516 .12617 .11792 .11035 .10339 .09699 .09109 30 ...... 17328 .16138 .15048 .14047 .13129 .12286 .11510 .10796 .10138 .09532 31 ...... 17938 .16728 .15618 .14599 .13661 .12799 .12004 .11272 .10597 .09974 32 ...... 18568 .17339 .16210 .15171 .14214 .13333 .12520 .11769 .11076 .10435 33 ...... 19220 .17972 .16824 .15766 .14790 .13889 .13058 .12289 .11578 .10920 34 ...... 19894 .18627 .17460 .16383 .15388 .14468 .13618 .12831 .12102 .11426 35 ...... 20592 .19307 .18121 .17025 .16011 .15073 .14204 .13399 .12652 .11958 36 ...... 21312 .20010 .18805 .17691 .16658 .15701 .14814 .13990 .13225 .12514 37 ...... 22057 .20737 .19514 .18382 .17331 .16356 .15450 .14608 .13825 .13096 38 ...... 22827 .21490 .20251 .19100 .18031 .17038 .16113 .15253 .14452 .13705 39 ...... 23623 .22270 .21013 .19845 .18759 .17747 .16805 .15927 .15108 .14344 40 ...... 24446 .23078 .21805 .20620 .19516 .18487 .17527 .16631 .15795 .15013

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Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% 5.8% 6.0%

41 ...... 25298 .23915 .22626 .21425 .20305 .19259 .18282 .17368 .16514 .15715 42 ...... 26178 .24782 .23478 .22262 .21125 .20062 .19069 .18138 .17267 .16450 43 ...... 27087 .25678 .24360 .23129 .21977 .20898 .19888 .18941 .18053 .17220 44 ...... 28025 .26603 .25273 .24027 .22860 .21766 .20740 .19777 .18873 .18023 45 ...... 28987 .27555 .26212 .24953 .23772 .22664 .21622 .20644 .19724 .18858 46 ...... 29976 .28533 .27179 .25908 .24714 .23591 .22536 .21542 .20606 .19725 47 ...... 30987 .29535 .28171 .26889 .25682 .24546 .23476 .22468 .21518 .20621 48 ...... 32023 .30563 .29190 .27897 .26678 .25530 .24447 .23425 .22460 .21549 49 ...... 33082 .31615 .30234 .28931 .27702 .26543 .25447 .24412 .23434 .22509 50 ...... 34166 .32694 .31306 .29995 .28756 .27586 .26479 .25432 .24441 .23502 51 ...... 35274 .33798 .32404 .31085 .29838 .28658 .27541 .26482 .25479 .24528 52 ...... 36402 .34924 .33525 .32200 .30946 .29757 .28630 .27561 .26547 .25584 53 ...... 37550 .36070 .34668 .33339 .32078 .30882 .29746 .28667 .27643 .26669 54 ...... 38717 .37237 .35833 .34500 .33234 .32031 .30888 .29801 .28766 .27782 55 ...... 39903 .38424 .37019 .35683 .34413 .33205 .32056 .30961 .29918 .28925 56 ...... 41108 .39631 .38227 .36890 .35617 .34405 .33250 .32149 .31099 .30097 57 ...... 42330 .40857 .39455 .38118 .36844 .35629 .34469 .33363 .32306 .31297 58 ...... 43566 .42098 .40699 .39364 .38089 .36873 .35710 .34600 .33538 .32522 59 ...... 44811 .43351 .41956 .40623 .39350 .38133 .36968 .35855 .34789 .33768 60 ...... 46066 .44613 .43224 .41896 .40624 .39408 .38243 .37127 .36058 .35033 61 ...... 47330 .45887 .44505 .43182 .41914 .40699 .39535 .38418 .37347 .36318 62 ...... 48608 .47175 .45802 .44485 .43223 .42011 .40848 .39732 .38660 .37629 63 ...... 49898 .48478 .47115 .45807 .44550 .43343 .42184 .41069 .39997 .38966 64 ...... 51200 .49793 .48442 .47143 .45895 .44694 .43539 .42427 .41357 .40326 65 ...... 52512 .51121 .49782 .48495 .47255 .46062 .44912 .43805 .42738 .41709 66 ...... 53835 .52461 .51137 .49862 .48634 .47449 .46307 .45206 .44143 .43118 67 ...... 55174 .53818 .52511 .51250 .50034 .48860 .47727 .46633 .45576 .44556 68 ...... 56524 .55188 .53899 .52654 .51452 .50291 .49168 .48083 .47034 .46020 69 ...... 57882 .56568 .55299 .54071 .52885 .51737 .50627 .49552 .48513 .47506 70 ...... 59242 .57951 .56703 .55495 .54325 .53193 .52096 .51034 .50004 .49007 71 ...... 60598 .59332 .58106 .56918 .55767 .54651 .53569 .52520 .51503 .50516 72 ...... 61948 .60707 .59504 .58338 .57206 .56108 .55043 .54009 .53004 .52029 73 ...... 63287 .62073 .60895 .59751 .58640 .57561 .56513 .55495 .54505 .53543 74 ...... 64621 .63435 .62282 .61162 .60073 .59015 .57985 .56984 .56009 .55061 75 ...... 65953 .64796 .63671 .62575 .61510 .60473 .59463 .58480 .57523 .56591 76 ...... 67287 .66160 .65063 .63995 .62954 .61940 .60952 .59989 .59050 .58135 77 ...... 68622 .67526 .66459 .65419 .64404 .63415 .62450 .61509 .60590 .59694 78 ...... 69954 .68892 .67856 .66845 .65858 .64895 .63955 .63036 .62140 .61264 79 ...... 71278 .70250 .69246 .68265 .67308 .66372 .65457 .64563 .63690 .62836 80 ...... 72581 .71588 .70618 .69668 .68740 .67833 .66945 .66077 .65227 .64396 81 ...... 73857 .72899 .71962 .71045 .70147 .69268 .68408 .67566 .66741 .65933 82 ...... 75101 .74178 .73274 .72389 .71522 .70672 .69840 .69024 .68225 .67441 83 ...... 76311 .75423 .74553 .73700 .72864 .72044 .71240 .70451 .69678 .68919 84 ...... 77497 .76645 .75809 .74988 .74183 .73393 .72618 .71857 .71110 .70377 85 ...... 78665 .77848 .77047 .76260 .75487 .74728 .73982 .73250 .72530 .71823 86 ...... 79805 .79025 .78258 .77504 .76764 .76036 .75320 .74617 .73925 .73245 87 ...... 80904 .80159 .79427 .78706 .77998 .77301 .76615 .75940 .75277 .74624 88 ...... 81962 .81251 .80552 .79865 .79188 .78521 .77865 .77220 .76584 .75958 89 ...... 82978 .82302 .81636 .80980 .80335 .79699 .79072 .78455 .77847 .77248 90 ...... 83952 .83309 .82676 .82052 .81437 .80831 .80234 .79645 .79064 .78492 91 ...... 84870 .84260 .83658 .83064 .82479 .81902 .81332 .80771 .80217 .79671 92 ...... 85716 .85136 .84563 .83998 .83441 .82891 .82348 .81812 .81283 .80761 93 ...... 86494 .85942 .85396 .84858 .84326 .83801 .83283 .82771 .82266 .81767 94 ...... 87216 .86690 .86170 .85657 .85149 .84648 .84153 .83664 .83181 .82704 95 ...... 87898 .87397 .86902 .86412 .85928 .85450 .84977 .84510 .84049 .83592 96 ...... 88537 .88060 .87587 .87121 .86659 .86203 .85751 .85305 .84864 .84427 97 ...... 89127 .88672 .88221 .87775 .87335 .86898 .86467 .86040 .85618 .85200 98 ...... 89680 .89245 .88815 .88389 .87968 .87551 .87138 .86730 .86326 .85926 99 ...... 90217 .89803 .89393 .88987 .88585 .88187 .87793 .87402 .87016 .86633 100 ...... 90738 .90344 .89953 .89567 .89183 .88804 .88428 .88056 .87687 .87322 101 ...... 91250 .90876 .90504 .90137 .89772 .89412 .89054 .88699 .88348 .88000 102 ...... 91751 .91396 .91045 .90696 .90350 .90007 .89668 .89331 .88997 .88666 103 ...... 92247 .91912 .91579 .91249 .90922 .90598 .90276 .89957 .89640 .89326 104 ...... 92775 .92460 .92148 .91839 .91532 .91227 .90924 .90624 .90326 .90031 105 ...... 93290 .92996 .92704 .92415 .92127 .91841 .91558 .91276 .90997 .90719 106 ...... 93948 .93680 .93415 .93151 .92889 .92628 .92370 .92113 .91857 .91604 107 ...... 94739 .94504 .94271 .94039 .93808 .93579 .93351 .93124 .92899 .92675 108 ...... 95950 .95767 .95585 .95404 .95224 .95045 .94867 .94689 .94512 .94336 109 ...... 97985 .97893 .97801 .97710 .97619 .97529 .97438 .97348 .97259 .97170

Age 6.2% 6.4% 6.6% 6.8% 7.0% 7.2% 7.4% 7.6% 7.8% 8.0%

0 ...... 03034 .02857 .02700 .02559 .02433 .02321 .02220 .02129 .02047 .01973 1 ...... 02279 .02094 .01929 .01782 .01650 .01533 .01427 .01331 .01246 .01168

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Age 6.2% 6.4% 6.6% 6.8% 7.0% 7.2% 7.4% 7.6% 7.8% 8.0%

2 ...... 02347 .02155 .01983 .01829 .01692 .01569 .01458 .01358 .01268 .01187 3 ...... 02444 .02243 .02065 .01905 .01761 .01632 .01516 .01412 .01317 .01232 4 ...... 02558 .02349 .02163 .01996 .01846 .01712 .01590 .01481 .01382 .01292 5 ...... 02686 .02469 .02275 .02101 .01945 .01804 .01677 .01562 .01458 .01364 6 ...... 02825 .02600 .02398 .02217 .02053 .01906 .01773 .01653 .01544 .01445 7 ...... 02976 .02742 .02532 .02343 .02172 .02019 .01880 .01754 .01640 .01536 8 ...... 03137 .02894 .02675 .02479 .02301 .02140 .01995 .01864 .01744 .01635 9 ...... 03311 .03059 .02832 .02627 .02442 .02274 .02122 .01985 .01859 .01745 10 ...... 03499 .03237 .03001 .02788 .02595 .02420 .02262 .02118 .01987 .01867 11 ...... 03700 .03428 .03183 .02961 .02760 .02578 .02413 .02262 .02125 .02000 12 ...... 03913 .03632 .03377 .03146 .02937 .02748 .02575 .02418 .02275 .02144 13 ...... 04135 .03843 .03579 .03339 .03122 .02924 .02744 .02580 .02431 .02294 14 ...... 04359 .04057 .03783 .03534 .03308 .03102 .02915 .02744 .02587 .02444 15 ...... 04584 .04270 .03986 .03728 .03493 .03279 .03083 .02905 .02742 .02593 16 ...... 04806 .04482 .04187 .03919 .03674 .03452 .03248 .03063 .02892 .02736 17 ...... 05029 .04692 .04387 .04108 .03855 .03623 .03411 .03218 .03040 .02877 18 ...... 05253 .04905 .04588 .04299 .04036 .03795 .03574 .03373 .03187 .03017 19 ...... 05484 .05124 .04796 .04496 .04222 .03972 .03742 .03532 .03339 .03161 20 ...... 05726 .05354 .05013 .04702 .04418 .04158 .03919 .03700 .03498 .03313 21 ...... 05980 .05595 .05242 .04920 .04625 .04354 .04105 .03877 .03667 .03473 22 ...... 06246 .05847 .05482 .05147 .04841 .04559 .04301 .04063 .03844 .03642 23 ...... 06524 .06112 .05734 .05387 .05069 .04777 .04508 .04260 .04032 .03821 24 ...... 06819 .06392 .06001 .05642 .05312 .05008 .04728 .04470 .04232 .04012 25 ...... 07131 .06690 .06285 .05913 .05570 .05255 .04964 .04695 .04447 .04218 26 ...... 07460 .07005 .06586 .06200 .05845 .05518 .05215 .04936 .04677 .04438 27 ...... 07810 .07340 .06907 .06508 .06140 .05800 .05485 .05195 .04925 .04676 28 ...... 08179 .07693 .07246 .06833 .06451 .06098 .05772 .05469 .05189 .04929 29 ...... 08566 .08065 .07603 .07176 .06780 .06414 .06075 .05761 .05469 .05198 30 ...... 08973 .08456 .07978 .07536 .07127 .06748 .06396 .06069 .05766 .05483 31 ...... 09398 .08865 .08372 .07915 .07491 .07098 .06733 .06394 .06078 .05785 32 ...... 09843 .09294 .08785 .08313 .07875 .07468 .07089 .06737 .06409 .06103 33 ...... 10310 .09745 .09220 .08732 .08279 .07858 .07466 .07100 .06759 .06441 34 ...... 10799 .10217 .09676 .09173 .08705 .08269 .07862 .07483 .07129 .06798 35 ...... 11314 .10715 .10157 .09638 .09155 .08704 .08283 .07890 .07522 .07179 36 ...... 11852 .11236 .10662 .10127 .09628 .09162 .08726 .08319 .07938 .07581 37 ...... 12416 .11783 .11193 .10641 .10126 .09645 .09194 .08772 .08377 .08006 38 ...... 13009 .12359 .11751 .11183 .10652 .10155 .09689 .09253 .08843 .08459 39 ...... 13629 .12962 .12338 .11753 .11206 .10693 .10212 .09761 .09337 .08938 40 ...... 14281 .13597 .12955 .12355 .11791 .11262 .10766 .10299 .09860 .09447 41 ...... 14966 .14264 .13606 .12989 .12409 .11864 .11352 .10870 .10417 .09989 42 ...... 15685 .14966 .14291 .13657 .13061 .12500 .11972 .11475 .11006 .10564 43 ...... 16437 .15702 .15010 .14360 .13747 .13171 .12627 .12115 .11631 .11174 44 ...... 17224 .16472 .15764 .15098 .14469 .13876 .13317 .12789 .12290 .11819 45 ...... 18042 .17274 .16550 .15867 .15223 .14615 .14040 .13496 .12982 .12496 46 ...... 18893 .18110 .17370 .16671 .16011 .15387 .14796 .14238 .13708 .13207 47 ...... 19775 .18975 .18220 .17505 .16830 .16190 .15584 .15010 .14466 .13950 48 ...... 20688 .19873 .19102 .18373 .17682 .17027 .16406 .15817 .15258 .14727 49 ...... 21633 .20804 .20018 .19274 .18568 .17898 .17262 .16658 .16084 .15539 50 ...... 22612 .21769 .20969 .20210 .19490 .18805 .18155 .17536 .16948 .16388 51 ...... 23625 .22769 .21955 .21182 .20448 .19749 .19084 .18452 .17849 .17275 52 ...... 24669 .23799 .22973 .22186 .21438 .20726 .20047 .19400 .18784 .18196 53 ...... 25742 .24861 .24022 .23222 .22461 .21735 .21043 .20383 .19753 .19151 54 ...... 26845 .25952 .25101 .24290 .23516 .22777 .22072 .21399 .20756 .20140 55 ...... 27978 .27074 .26212 .25389 .24604 .23853 .23136 .22450 .21793 .21166 56 ...... 29140 .28227 .27355 .26522 .25725 .24963 .24233 .23535 .22867 .22227 57 ...... 30333 .29411 .28529 .27686 .26879 .26106 .25365 .24656 .23976 .23324 58 ...... 31551 .30621 .29731 .28878 .28061 .27278 .26528 .25807 .25116 .24453 59 ...... 32790 .31854 .30956 .30095 .29269 .28477 .27716 .26986 .26284 .25610 60 ...... 34050 .33107 .32202 .31334 .30500 .29699 .28929 .28190 .27478 .26794 61 ...... 35331 .34384 .33473 .32598 .31757 .30948 .30170 .29422 .28701 .28007 62 ...... 36639 .35688 .34772 .33892 .33044 .32229 .31443 .30687 .29958 .29255 63 ...... 37974 .37020 .36101 .35216 .34363 .33542 .32750 .31986 .31250 .30539 64 ...... 39334 .38378 .37456 .36568 .35711 .34884 .34087 .33317 .32574 .31857 65 ...... 40718 .39761 .38838 .37947 .37087 .36257 .35455 .34681 .33932 .33208 66 ...... 42128 .41172 .40249 .39357 .38496 .37663 .36858 .36079 .35326 .34597 67 ...... 43569 .42616 .41694 .40803 .39941 .39107 .38299 .37518 .36761 .36028 68 ...... 45038 .44089 .43170 .42281 .41419 .40585 .39777 .38994 .38235 .37499 69 ...... 46531 .45587 .44672 .43786 .42927 .42094 .41286 .40503 .39743 .39006 70 ...... 48040 .47103 .46194 .45312 .44456 .43626 .42820 .42038 .41278 .40540 71 ...... 49558 .48629 .47727 .46851 .46000 .45174 .44371 .43591 .42832 .42095 72 ...... 51082 .50162 .49268 .48399 .47554 .46733 .45934 .45157 .44401 .43666 73 ...... 52607 .51697 .50813 .49952 .49114 .48299 .47506 .46733 .45981 .45249 74 ...... 54139 .53241 .52367 .51515 .50686 .49879 .49092 .48325 .47578 .46849 75 ...... 55683 .54798 .53936 .53095 .52276 .51477 .50698 .49938 .49197 .48474

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Age 6.2% 6.4% 6.6% 6.8% 7.0% 7.2% 7.4% 7.6% 7.8% 8.0%

76 ...... 57243 .56373 .55524 .54696 .53888 .53100 .52330 .51579 .50846 .50130 77 ...... 58819 .57965 .57132 .56318 .55523 .54747 .53988 .53247 .52523 .51815 78 ...... 60408 .59572 .58755 .57957 .57177 .56414 .55668 .54939 .54225 .53527 79 ...... 62001 .61184 .60385 .59604 .58840 .58092 .57360 .56644 .55943 .55256 80 ...... 63582 .62786 .62007 .61244 .60497 .59765 .59048 .58347 .57659 .56985 81 ...... 65142 .64367 .63608 .62864 .62135 .61421 .60721 .60034 .59361 .58701 82 ...... 66673 .65920 .65182 .64458 .63748 .63052 .62368 .61698 .61041 .60395 83 ...... 68175 .67444 .66728 .66024 .65334 .64656 .63991 .63338 .62696 .62066 84 ...... 69657 .68950 .68256 .67574 .66904 .66246 .65599 .64964 .64340 .63727 85 ...... 71128 .70446 .69775 .69116 .68467 .67830 .67204 .66587 .65982 .65386 86 ...... 72576 .71919 .71272 .70636 .70010 .69394 .68789 .68193 .67606 .67029 87 ...... 73981 .73349 .72726 .72114 .71511 .70917 .70333 .69757 .69190 .68632 88 ...... 75342 .74735 .74137 .73548 .72968 .72396 .71833 .71279 .70732 .70194 89 ...... 76658 .76076 .75503 .74938 .74381 .73832 .73290 .72757 .72231 .71712 90 ...... 77928 .77371 .76823 .76281 .75748 .75221 .74702 .74190 .73684 .73186 91 ...... 79131 .78600 .78075 .77557 .77046 .76542 .76044 .75553 .75068 .74589 92 ...... 80246 .79737 .79235 .78740 .78250 .77767 .77290 .76818 .76353 .75893 93 ...... 81274 .80788 .80307 .79832 .79363 .78899 .78441 .77989 .77542 .77100 94 ...... 82232 .81766 .81306 .80850 .80401 .79956 .79517 .79082 .78653 .78228 95 ...... 83141 .82695 .82254 .81818 .81387 .80961 .80539 .80122 .79710 .79302 96 ...... 83996 .83569 .83147 .82729 .82316 .81907 .81503 .81103 .80707 .80315 97 ...... 84787 .84378 .83973 .83573 .83176 .82784 .82396 .82012 .81632 .81255 98 ...... 85530 .85138 .84750 .84366 .83985 .83609 .83236 .82867 .82502 .82140 99 ...... 86255 .85880 .85508 .85140 .84776 .84415 .84057 .83703 .83353 .83005 100 ...... 86960 .86601 .86246 .85894 .85546 .85200 .84858 .84519 .84183 .83849 101 ...... 87655 .87313 .86974 .86638 .86305 .85975 .85648 .85324 .85003 .84684 102 ...... 88338 .88012 .87689 .87369 .87052 .86738 .86426 .86116 .85809 .85505 103 ...... 89015 .88706 .88399 .88095 .87793 .87494 .87197 .86903 .86611 .86321 104 ...... 89737 .89446 .89157 .88871 .88586 .88304 .88024 .87745 .87469 .87195 105 ...... 90443 .90170 .89898 .89628 .89360 .89094 .88830 .88568 .88307 .88049 106 ...... 91351 .91101 .90852 .90605 .90359 .90115 .89873 .89632 .89392 .89154 107 ...... 92452 .92230 .92010 .91791 .91573 .91356 .91141 .90927 .90714 .90502 108 ...... 94161 .93987 .93814 .93641 .93469 .93298 .93128 .92958 .92790 .92622 109 ...... 97081 .96992 .96904 .96816 .96729 .96642 .96555 .96468 .96382 .96296

Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

0 ...... 01906 .01845 .01790 .01740 .01694 .01652 .01613 .01578 .01546 .01516 1 ...... 01098 .01034 .00977 .00924 .00876 .00833 .00793 .00756 .00722 .00691 2 ...... 01113 .01046 .00986 .00930 .00880 .00834 .00791 .00753 .00717 .00684 3 ...... 01155 .01084 .01020 .00962 .00909 .00860 .00816 .00775 .00737 .00702 4 ...... 01211 .01137 .01069 .01008 .00952 .00900 .00853 .00810 .00770 .00733 5 ...... 01279 .01201 .01130 .01065 .01006 .00952 .00902 .00856 .00814 .00775 6 ...... 01356 .01274 .01199 .01131 .01068 .01011 .00959 .00910 .00865 .00824 7 ...... 01442 .01356 .01277 .01205 .01140 .01079 .01023 .00972 .00925 .00881 8 ...... 01536 .01446 .01363 .01287 .01218 .01154 .01096 .01041 .00991 .00945 9 ...... 01641 .01546 .01460 .01380 .01307 .01240 .01178 .01120 .01068 .01019 10 ...... 01758 .01659 .01567 .01484 .01407 .01336 .01270 .01210 .01154 .01103 11 ...... 01886 .01781 .01686 .01598 .01517 .01442 .01373 .01310 .01251 .01196 12 ...... 02024 .01915 .01814 .01721 .01636 .01558 .01485 .01419 .01357 .01299 13 ...... 02168 .02054 .01948 .01851 .01762 .01679 .01603 .01533 .01467 .01407 14 ...... 02313 .02193 .02083 .01981 .01887 .01801 .01721 .01646 .01578 .01514 15 ...... 02456 .02330 .02214 .02107 .02009 .01918 .01834 .01756 .01684 .01617 16 ...... 02593 .02462 .02340 .02229 .02126 .02030 .01942 .01860 .01785 .01714 17 ...... 02728 .02590 .02463 .02346 .02238 .02138 .02046 .01960 .01880 .01806 18 ...... 02861 .02717 .02584 .02462 .02348 .02243 .02146 .02056 .01972 .01894 19 ...... 02998 .02847 .02708 .02580 .02461 .02351 .02249 .02154 .02066 .01984 20 ...... 03142 .02984 .02839 .02704 .02580 .02465 .02357 .02258 .02165 .02079 21 ...... 03295 .03130 .02978 .02837 .02706 .02585 .02473 .02368 .02271 .02180 22 ...... 03455 .03283 .03124 .02976 .02839 .02712 .02594 .02484 .02382 .02286 23 ...... 03626 .03446 .03279 .03124 .02981 .02847 .02723 .02608 .02500 .02400 24 ...... 03809 .03620 .03446 .03283 .03133 .02993 .02863 .02741 .02628 .02522 25 ...... 04005 .03808 .03625 .03456 .03298 .03151 .03014 .02887 .02768 .02656 26 ...... 04216 .04010 .03819 .03641 .03476 .03322 .03178 .03044 .02919 .02802 27 ...... 04444 .04229 .04029 .03843 .03670 .03508 .03357 .03217 .03085 .02962 28 ...... 04687 .04463 .04254 .04059 .03877 .03708 .03550 .03402 .03263 .03133 29 ...... 04946 .04712 .04493 .04289 .04099 .03922 .03756 .03600 .03455 .03318 30 ...... 05221 .04976 .04748 .04534 .04335 .04149 .03975 .03812 .03659 .03515 31 ...... 05511 .05255 .05017 .04794 .04585 .04390 .04208 .04037 .03876 .03725 32 ...... 05818 .05551 .05302 .05069 .04851 .04647 .04455 .04276 .04107 .03948 33 ...... 06144 .05866 .05606 .05363 .05135 .04921 .04720 .04532 .04355 .04188 34 ...... 06489 .06200 .05928 .05674 .05436 .05212 .05002 .04805 .04619 .04444 35 ...... 06857 .06555 .06273 .06007 .05758 .05524 .05304 .05097 .04902 .04718 36 ...... 07246 .06932 .06638 .06361 .06101 .05856 .05626 .05409 .05205 .05012

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Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

37 ...... 07659 .07332 .07025 .06737 .06466 .06210 .05969 .05742 .05528 .05325 38 ...... 08098 .07758 .07439 .07138 .06855 .06588 .06336 .06099 .05874 .05662 39 ...... 08563 .08210 .07878 .07565 .07270 .06992 .06729 .06480 .06245 .06023 40 ...... 09059 .08692 .08347 .08021 .07714 .07423 .07149 .06889 .06643 .06411 41 ...... 09586 .09206 .08848 .08509 .08189 .07886 .07600 .07329 .07072 .06828 42 ...... 10147 .09753 .09381 .09029 .08696 .08381 .08083 .07800 .07531 .07277 43 ...... 10742 .10334 .09948 .09583 .09237 .08909 .08598 .08304 .08024 .07758 44 ...... 11373 .10950 .10551 .10172 .09813 .09472 .09148 .08841 .08549 .08272 45 ...... 12035 .11599 .11185 .10792 .10420 .10066 .09730 .09410 .09106 .08817 46 ...... 12732 .12281 .11853 .11447 .11061 .10694 .10345 .10013 .09696 .09395 47 ...... 13460 .12995 .12553 .12133 .11733 .11353 .10991 .10646 .10317 .10004 48 ...... 14223 .13743 .13287 .12853 .12439 .12046 .11671 .11313 .10972 .10646 49 ...... 15020 .14526 .14056 .13608 .13181 .12774 .12385 .12015 .11661 .11322 50 ...... 15855 .15347 .14862 .14401 .13960 .13540 .13138 .12754 .12388 .12037 51 ...... 16727 .16205 .15707 .15232 .14777 .14344 .13929 .13532 .13153 .12789 52 ...... 17634 .17098 .16587 .16097 .15630 .15183 .14755 .14345 .13953 .13577 53 ...... 18576 .18027 .17501 .16999 .16518 .16057 .15616 .15194 .14789 .14400 54 ...... 19552 .18990 .18451 .17935 .17441 .16968 .16514 .16078 .15661 .15260 55 ...... 20564 .19989 .19437 .18908 .18402 .17915 .17449 .17001 .16571 .16157 56 ...... 21613 .21025 .20461 .19919 .19400 .18901 .18422 .17962 .17519 .17093 57 ...... 22698 .22098 .21522 .20968 .20436 .19925 .19434 .18961 .18507 .18069 58 ...... 23816 .23204 .22616 .22051 .21507 .20984 .20481 .19996 .19530 .19080 59 ...... 24962 .24339 .23740 .23163 .22608 .22073 .21558 .21062 .20584 .20123 60 ...... 26136 .25502 .24892 .24304 .23738 .23192 .22666 .22158 .21669 .21196 61 ...... 27339 .26695 .26075 .25477 .24900 .24343 .23806 .23288 .22787 .22304 62 ...... 28578 .27925 .27295 .26687 .26100 .25533 .24985 .24456 .23945 .23451 63 ...... 29854 .29192 .28553 .27935 .27339 .26762 .26205 .25666 .25145 .24641 64 ...... 31164 .30494 .29846 .29221 .28615 .28030 .27463 .26915 .26384 .25870 65 ...... 32508 .31831 .31177 .30543 .29930 .29336 .28761 .28203 .27663 .27140 66 ...... 33891 .33208 .32547 .31906 .31285 .30684 .30101 .29536 .28987 .28456 67 ...... 35318 .34630 .33963 .33316 .32689 .32081 .31491 .30918 .30363 .29823 68 ...... 36785 .36093 .35422 .34770 .34138 .33524 .32928 .32349 .31787 .31240 69 ...... 38290 .37595 .36920 .36265 .35628 .35009 .34408 .33824 .33256 .32703 70 ...... 39823 .39127 .38450 .37791 .37151 .36529 .35924 .35335 .34762 .34204 71 ...... 41378 .40681 .40003 .39343 .38701 .38076 .37467 .36875 .36298 .35736 72 ...... 42950 .42253 .41575 .40914 .40271 .39644 .39034 .38438 .37858 .37293 73 ...... 44535 .43840 .43162 .42502 .41858 .41231 .40619 .40022 .39440 .38872 74 ...... 46139 .45446 .44771 .44112 .43469 .42842 .42230 .41632 .41049 .40479 75 ...... 47769 .47080 .46408 .45752 .45111 .44485 .43874 .43277 .42693 .42123 76 ...... 49430 .48747 .48079 .47427 .46790 .46167 .45558 .44963 .44380 .43811 77 ...... 51123 .50447 .49786 .49139 .48506 .47888 .47282 .46690 .46111 .45543 78 ...... 52845 .52177 .51523 .50884 .50257 .49645 .49044 .48457 .47881 .47317 79 ...... 54584 .53926 .53282 .52650 .52032 .51426 .50833 .50251 .49681 .49122 80 ...... 56325 .55678 .55044 .54423 .53813 .53216 .52630 .52056 .51492 .50939 81 ...... 58054 .57419 .56797 .56186 .55587 .54999 .54422 .53856 .53300 .52754 82 ...... 59762 .59140 .58530 .57931 .57343 .56766 .56198 .55641 .55094 .54557 83 ...... 61448 .60840 .60243 .59657 .59081 .58515 .57958 .57411 .56874 .56346 84 ...... 63124 .62531 .61949 .61376 .60813 .60259 .59715 .59179 .58652 .58134 85 ...... 64800 .64224 .63657 .63099 .62550 .62010 .61478 .60955 .60441 .59934 86 ...... 66461 .65902 .65351 .64810 .64276 .63751 .63233 .62724 .62222 .61728 87 ...... 68083 .67541 .67008 .66483 .65965 .65455 .64953 .64458 .63970 .63489 88 ...... 69663 .69140 .68624 .68116 .67615 .67121 .66634 .66154 .65680 .65213 89 ...... 71201 .70696 .70199 .69708 .69224 .68747 .68276 .67811 .67353 .66900 90 ...... 72694 .72209 .71730 .71257 .70791 .70330 .69876 .69427 .68984 .68547 91 ...... 74117 .73650 .73190 .72735 .72286 .71842 .71404 .70972 .70545 .70123 92 ...... 75439 .74991 .74548 .74110 .73678 .73251 .72829 .72412 .72000 .71593 93 ...... 76664 .76233 .75806 .75385 .74969 .74557 .74150 .73748 .73350 .72957 94 ...... 77809 .77394 .76983 .76578 .76177 .75780 .75388 .75000 .74616 .74237 95 ...... 78899 .78500 .78106 .77715 .77329 .76947 .76569 .76195 .75826 .75460 96 ...... 79928 .79544 .79165 .78790 .78418 .78050 .77686 .77326 .76970 .76617 97 ...... 80883 .80514 .80149 .79787 .79430 .79075 .78725 .78377 .78033 .77693 98 ...... 81781 .81427 .81075 .80727 .80382 .80041 .79703 .79368 .79036 .78708 99 ...... 82661 .82320 .81982 .81648 .81316 .80988 .80662 .80340 .80020 .79704 100 ...... 83519 .83192 .82868 .82547 .82228 .81913 .81600 .81290 .80982 .80678 101 ...... 84368 .84055 .83744 .83437 .83131 .82829 .82529 .82231 .81936 .81643 102 ...... 85203 .84904 .84607 .84313 .84021 .83731 .83444 .83159 .82876 .82596 103 ...... 86034 .85748 .85465 .85184 .84906 .84629 .84355 .84082 .83812 .83544 104 ...... 86923 .86653 .86385 .86119 .85855 .85593 .85333 .85074 .84818 .84563 105 ...... 87792 .87537 .87283 .87032 .86782 .86534 .86287 .86042 .85799 .85557 106 ...... 88918 .88683 .88450 .88218 .87987 .87758 .87530 .87304 .87079 .86855 107 ...... 90291 .90082 .89873 .89666 .89460 .89255 .89051 .88849 .88647 .88447 108 ...... 92455 .92288 .92123 .91958 .91794 .91630 .91468 .91306 .91145 .90984 109 ...... 96211 .96125 .96041 .95956 .95872 .95788 .95704 .95620 .95537 .95455

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Age 10.2% 10.4% 10.6% 10.8% 11.0% 11.2% 11.4% 11.6% 11.8% 12.0%

0 ...... 01488 .01463 .01439 .01417 .01396 .01377 .01359 .01343 .01327 .01312 1 ...... 00662 .00636 .00612 .00589 .00568 .00548 .00530 .00513 .00497 .00482 2 ...... 00654 .00626 .00600 .00576 .00554 .00533 .00514 .00496 .00479 .00463 3 ...... 00670 .00641 .00613 .00588 .00564 .00542 .00522 .00502 .00484 .00468 4 ...... 00699 .00668 .00639 .00612 .00587 .00563 .00542 .00521 .00502 .00484 5 ...... 00739 .00706 .00675 .00646 .00620 .00595 .00571 .00550 .00529 .00510 6 ...... 00786 .00751 .00718 .00687 .00659 .00633 .00608 .00585 .00563 .00543 7 ...... 00841 .00803 .00769 .00736 .00706 .00678 .00652 .00627 .00604 .00582 8 ...... 00902 .00863 .00826 .00791 .00759 .00730 .00702 .00675 .00651 .00628 9 ...... 00973 .00931 .00892 .00856 .00822 .00790 .00760 .00733 .00706 .00682 10 ...... 01055 .01010 .00969 .00930 .00894 .00861 .00829 .00799 .00772 .00746 11 ...... 01146 .01099 .01055 .01014 .00976 .00940 .00907 .00875 .00846 .00818 12 ...... 01246 .01196 .01150 .01106 .01066 .01028 .00993 .00960 .00928 .00899 13 ...... 01351 .01298 .01249 .01204 .01161 .01121 .01084 .01049 .01016 .00985 14 ...... 01455 .01400 .01348 .01300 .01255 .01213 .01173 .01136 .01102 .01069 15 ...... 01555 .01497 .01443 .01392 .01345 .01300 .01259 .01220 .01183 .01148 16 ...... 01648 .01587 .01530 .01477 .01427 .01380 .01336 .01295 .01257 .01220 17 ...... 01737 .01673 .01612 .01556 .01504 .01455 .01408 .01365 .01324 .01286 18 ...... 01822 .01754 .01691 .01632 .01576 .01525 .01476 .01430 .01387 .01347 19 ...... 01908 .01837 .01770 .01708 .01650 .01595 .01544 .01495 .01450 .01407 20 ...... 01999 .01924 .01854 .01788 .01726 .01669 .01615 .01564 .01516 .01471 21 ...... 02096 .02017 .01943 .01874 .01809 .01748 .01691 .01637 .01586 .01539 22 ...... 02197 .02114 .02036 .01963 .01895 .01830 .01770 .01713 .01660 .01610 23 ...... 02306 .02218 .02136 .02059 .01987 .01919 .01855 .01795 .01739 .01686 24 ...... 02424 .02331 .02245 .02163 .02087 .02016 .01948 .01885 .01825 .01769 25 ...... 02552 .02455 .02364 .02278 .02197 .02122 .02051 .01984 .01920 .01861 26 ...... 02692 .02589 .02493 .02403 .02318 .02238 .02162 .02091 .02025 .01961 27 ...... 02846 .02738 .02636 .02541 .02451 .02367 .02287 .02212 .02141 .02074 28 ...... 03012 .02898 .02791 .02690 .02595 .02506 .02422 .02342 .02267 .02196 29 ...... 03190 .03070 .02957 .02851 .02751 .02656 .02567 .02483 .02404 .02329 30 ...... 03381 .03254 .03135 .03023 .02917 .02817 .02723 .02634 .02551 .02471 31 ...... 03583 .03450 .03324 .03206 .03094 .02989 .02890 .02796 .02707 .02623 32 ...... 03799 .03659 .03527 .03402 .03284 .03173 .03068 .02968 .02874 .02785 33 ...... 04031 .03883 .03744 .03612 .03488 .03371 .03260 .03155 .03055 .02961 34 ...... 04279 .04123 .03976 .03838 .03707 .03583 .03465 .03354 .03249 .03149 35 ...... 04545 .04382 .04227 .04081 .03943 .03812 .03688 .03571 .03459 .03354 36 ...... 04830 .04658 .04495 .04341 .04196 .04058 .03927 .03803 .03685 .03573 37 ...... 05134 .04953 .04782 .04620 .04467 .04321 .04183 .04052 .03928 .03809 38 ...... 05462 .05272 .05092 .04921 .04760 .04606 .04461 .04322 .04191 .04066 39 ...... 05812 .05613 .05424 .05245 .05075 .04913 .04760 .04614 .04475 .04343 40 ...... 06190 .05981 .05782 .05594 .05415 .05245 .05083 .04929 .04783 .04643 41 ...... 06597 .06378 .06170 .05972 .05784 .05605 .05435 .05272 .05118 .04970 42 ...... 07035 .06806 .06587 .06380 .06182 .05994 .05815 .05644 .05481 .05326 43 ...... 07505 .07265 .07036 .06818 .06611 .06414 .06225 .06045 .05874 .05710 44 ...... 08008 .07757 .07518 .07290 .07072 .06865 .06667 .06478 .06298 .06125 45 ...... 08542 .08279 .08029 .07791 .07563 .07346 .07138 .06940 .06750 .06569 46 ...... 09108 .08834 .08573 .08324 .08085 .07858 .07640 .07432 .07233 .07043 47 ...... 09705 .09419 .09147 .08886 .08637 .08399 .08172 .07954 .07745 .07545 48 ...... 10335 .10038 .09754 .09482 .09222 .08973 .08735 .08507 .08288 .08078 49 ...... 10999 .10690 .10394 .10111 .09840 .09581 .09332 .09093 .08864 .08644 50 ...... 11701 .11380 .11073 .10778 .10496 .10225 .09965 .09716 .09477 .09247 51 ...... 12441 .12108 .11789 .11482 .11189 .10907 .10636 .10376 .10126 .09886 52 ...... 13217 .12871 .12540 .12222 .11916 .11623 .11341 .11071 .10810 .10560 53 ...... 14028 .13670 .13327 .12997 .12680 .12375 .12082 .11801 .11529 .11268 54 ...... 14875 .14505 .14150 .13808 .13480 .13163 .12859 .12566 .12284 .12012 55 ...... 15760 .15378 .15011 .14657 .14317 .13989 .13674 .13370 .13077 .12794 56 ...... 16684 .16290 .15911 .15546 .15194 .14855 .14528 .14213 .13909 .13615 57 ...... 17648 .17242 .16851 .16474 .16111 .15760 .15422 .15096 .14781 .14477 58 ...... 18647 .18229 .17827 .17438 .17064 .16702 .16353 .16015 .15689 .15374 59 ...... 19678 .19249 .18835 .18435 .18049 .17676 .17316 .16968 .16631 .16305 60 ...... 20740 .20300 .19875 .19464 .19066 .18682 .18311 .17952 .17604 .17268 61 ...... 21837 .21385 .20949 .20527 .20119 .19724 .19341 .18971 .18613 .18266 62 ...... 22973 .22511 .22064 .21631 .21212 .20807 .20414 .20033 .19664 .19306 63 ...... 24152 .23680 .23222 .22779 .22350 .21934 .21530 .21139 .20760 .20392 64 ...... 25372 .24890 .24422 .23969 .23529 .23103 .22690 .22289 .21899 .21521 65 ...... 26633 .26141 .25664 .25201 .24752 .24316 .23893 .23482 .23083 .22695 66 ...... 27940 .27439 .26953 .26481 .26023 .25577 .25145 .24724 .24316 .23918 67 ...... 29299 .28790 .28296 .27815 .27348 .26894 .26453 .26024 .25606 .25200 68 ...... 30709 .30193 .29691 .29202 .28728 .28265 .27816 .27378 .26952 .26537 69 ...... 32166 .31643 .31134 .30639 .30157 .29687 .29230 .28785 .28351 .27928 70 ...... 33661 .33133 .32618 .32116 .31628 .31152 .30688 .30235 .29794 .29364 71 ...... 35188 .34654 .34134 .33627 .33133 .32651 .32181 .31722 .31275 .30838 72 ...... 36742 .36204 .35679 .35168 .34668 .34181 .33706 .33241 .32788 .32345 73 ...... 38317 .37776 .37248 .36733 .36229 .35738 .35257 .34788 .34330 .33882

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Age 10.2% 10.4% 10.6% 10.8% 11.0% 11.2% 11.4% 11.6% 11.8% 12.0%

74 ...... 39923 .39380 .38849 .38330 .37823 .37328 .36844 .36370 .35908 .35455 75 ...... 41566 .41021 .40489 .39968 .39459 .38961 .38474 .37997 .37531 .37074 76 ...... 43254 .42709 .42176 .41655 .41144 .40645 .40156 .39677 .39208 .38749 77 ...... 44988 .44444 .43912 .43391 .42880 .42380 .41891 .41411 .40940 .40479 78 ...... 46765 .46224 .45694 .45174 .44665 .44166 .43677 .43197 .42726 .42265 79 ...... 48574 .48037 .47510 .46993 .46487 .45990 .45502 .45024 .44554 .44094 80 ...... 50397 .49865 .49343 .48830 .48327 .47834 .47349 .46873 .46406 .45947 81 ...... 52219 .51693 .51176 .50669 .50171 .49682 .49201 .48729 .48265 .47809 82 ...... 54029 .53510 .53000 .52499 .52007 .51523 .51047 .50580 .50120 .49667 83 ...... 55826 .55315 .54813 .54319 .53834 .53356 .52886 .52424 .51969 .51522 84 ...... 57624 .57123 .56629 .56144 .55666 .55195 .54732 .54277 .53828 .53386 85 ...... 59435 .58944 .58460 .57984 .57516 .57054 .56599 .56151 .55710 .55275 86 ...... 61241 .60762 .60289 .59824 .59365 .58913 .58468 .58029 .57596 .57170 87 ...... 63015 .62548 .62087 .61633 .61185 .60744 .60309 .59880 .59456 .59039 88 ...... 64753 .64299 .63851 .63409 .62973 .62543 .62118 .61700 .61287 .60879 89 ...... 66454 .66013 .65579 .65150 .64726 .64308 .63895 .63488 .63086 .62689 90 ...... 68115 .67689 .67268 .66853 .66442 .66037 .65637 .65241 .64851 .64465 91 ...... 69706 .69294 .68887 .68486 .68089 .67696 .67309 .66925 .66547 .66173 92 ...... 71190 .70792 .70399 .70011 .69627 .69247 .68872 .68501 .68134 .67771 93 ...... 72569 .72184 .71804 .71429 .71057 .70689 .70326 .69967 .69611 .69259 94 ...... 73861 .73490 .73123 .72759 .72400 .72044 .71692 .71344 .71000 .70659 95 ...... 75097 .74739 .74384 .74033 .73686 .73342 .73002 .72665 .72331 .72001 96 ...... 76267 .75922 .75579 .75240 .74905 .74572 .74243 .73917 .73595 .73275 97 ...... 77356 .77022 .76691 .76363 .76039 .75718 .75399 .75084 .74772 .74463 98 ...... 78382 .78059 .77740 .77423 .77110 .76799 .76491 .76186 .75884 .75584 99 ...... 79390 .79079 .78771 .78465 .78162 .77862 .77565 .77270 .76978 .76688 100 ...... 80376 .80076 .79779 .79485 .79193 .78904 .78617 .78333 .78051 .77771 101 ...... 81353 .81066 .80780 .80497 .80217 .79938 .79662 .79388 .79117 .78847 102 ...... 82318 .82042 .81768 .81496 .81227 .80960 .80694 .80431 .80170 .79911 103 ...... 83278 .83014 .82752 .82491 .82233 .81977 .81723 .81470 .81220 .80971 104 ...... 84310 .84059 .83810 .83563 .83317 .83073 .82831 .82591 .82352 .82115 105 ...... 85318 .85079 .84843 .84607 .84374 .84142 .83911 .83682 .83455 .83229 106 ...... 86633 .86413 .86193 .85975 .85758 .85543 .85329 .85116 .84904 .84694 107 ...... 88247 .88049 .87852 .87656 .87460 .87266 .87073 .86881 .86690 .86500 108 ...... 90825 .90666 .90507 .90350 .90193 .90037 .89881 .89727 .89572 .89419 109 ...... 95372 .95290 .95208 .95126 .95045 .94964 .94883 .94803 .94723 .94643

Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

0 ...... 01298 .01285 .01273 .01261 .01250 .01240 .01230 .01221 .01212 .01203 1 ...... 00468 .00455 .00443 .00431 .00420 .00410 .00400 .00391 .00382 .00374 2 ...... 00448 .00435 .00421 .00409 .00398 .00387 .00376 .00366 .00357 .00348 3 ...... 00452 .00437 .00423 .00410 .00398 .00386 .00375 .00365 .00355 .00345 4 ...... 00468 .00452 .00437 .00423 .00410 .00397 .00386 .00375 .00364 .00354 5 ...... 00493 .00476 .00460 .00445 .00431 .00418 .00405 .00393 .00382 .00371 6 ...... 00524 .00506 .00489 .00473 .00458 .00444 .00430 .00418 .00406 .00394 7 ...... 00562 .00543 .00525 .00508 .00492 .00477 .00462 .00449 .00436 .00423 8 ...... 00606 .00586 .00566 .00548 .00531 .00515 .00499 .00485 .00471 .00458 9 ...... 00659 .00637 .00616 .00597 .00579 .00561 .00545 .00529 .00514 .00500 10 ...... 00721 .00698 .00676 .00655 .00636 .00617 .00600 .00583 .00567 .00552 11 ...... 00792 .00767 .00744 .00722 .00701 .00682 .00663 .00645 .00628 .00612 12 ...... 00871 .00845 .00821 .00797 .00775 .00754 .00735 .00716 .00698 .00681 13 ...... 00955 .00928 .00902 .00877 .00854 .00831 .00810 .00790 .00771 .00753 14 ...... 01038 .01009 .00981 .00955 .00930 .00907 .00885 .00864 .00843 .00824 15 ...... 01116 .01085 .01056 .01028 .01002 .00977 .00954 .00932 .00910 .00890 16 ...... 01186 .01153 .01123 .01094 .01066 .01040 .01015 .00992 .00969 .00948 17 ...... 01250 .01215 .01183 .01152 .01124 .01096 .01070 .01045 .01022 .00999 18 ...... 01308 .01272 .01238 .01206 .01175 .01147 .01119 .01093 .01068 .01044 19 ...... 01367 .01329 .01293 .01259 .01227 .01196 .01167 .01140 .01113 .01088 20 ...... 01428 .01388 .01350 .01314 .01280 .01248 .01217 .01188 .01161 .01134 21 ...... 01494 .01451 .01411 .01373 .01337 .01303 .01271 .01240 .01211 .01183 22 ...... 01562 .01517 .01475 .01435 .01397 .01361 .01326 .01294 .01263 .01233 23 ...... 01635 .01588 .01543 .01501 .01460 .01422 .01386 .01351 .01319 .01287 24 ...... 01716 .01665 .01618 .01573 .01530 .01489 .01451 .01415 .01380 .01347 25 ...... 01804 .01751 .01701 .01653 .01608 .01565 .01524 .01485 .01448 .01413 26 ...... 01902 .01845 .01792 .01741 .01693 .01648 .01604 .01563 .01524 .01487 27 ...... 02011 .01951 .01895 .01841 .01790 .01742 .01696 .01652 .01610 .01571 28 ...... 02129 .02066 .02006 .01949 .01895 .01844 .01795 .01748 .01704 .01662 29 ...... 02258 .02191 .02127 .02067 .02009 .01955 .01903 .01853 .01806 .01762 30 ...... 02396 .02325 .02257 .02193 .02132 .02074 .02019 .01966 .01916 .01869 31 ...... 02543 .02467 .02396 .02328 .02263 .02201 .02143 .02087 .02034 .01983 32 ...... 02701 .02621 .02545 .02472 .02404 .02338 .02276 .02217 .02160 .02106 33 ...... 02871 .02786 .02706 .02629 .02556 .02487 .02420 .02357 .02297 .02240 34 ...... 03054 .02964 .02879 .02797 .02720 .02646 .02576 .02509 .02445 .02383

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Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

35 ...... 03253 .03158 .03067 .02981 .02898 .02820 .02745 .02674 .02606 .02541 36 ...... 03467 .03366 .03269 .03178 .03090 .03007 .02928 .02852 .02779 .02710 37 ...... 03697 .03590 .03488 .03391 .03298 .03209 .03125 .03044 .02967 .02893 38 ...... 03947 .03833 .03725 .03622 .03524 .03430 .03340 .03254 .03172 .03094 39 ...... 04217 .04096 .03982 .03873 .03768 .03669 .03573 .03482 .03395 .03312 40 ...... 04510 .04383 .04262 .04146 .04035 .03930 .03828 .03732 .03639 .03550 41 ...... 04830 .04695 .04567 .04445 .04327 .04215 .04108 .04005 .03907 .03812 42 ...... 05177 .05035 .04900 .04770 .04646 .04527 .04413 .04304 .04200 .04100 43 ...... 05553 .05404 .05261 .05123 .04992 .04866 .04746 .04630 .04520 .04413 44 ...... 05960 .05802 .05651 .05506 .05368 .05235 .05107 .04985 .04867 .04754 45 ...... 06395 .06229 .06069 .05917 .05770 .05630 .05495 .05365 .05241 .05121 46 ...... 06860 .06685 .06517 .06356 .06202 .06053 .05911 .05774 .05643 .05516 47 ...... 07353 .07169 .06992 .06823 .06660 .06504 .06353 .06209 .06070 .05936 48 ...... 07877 .07684 .07498 .07320 .07149 .06984 .06826 .06673 .06527 .06385 49 ...... 08433 .08231 .08036 .07849 .07669 .07495 .07329 .07168 .07013 .06864 50 ...... 09026 .08814 .08609 .08413 .08224 .08042 .07867 .07698 .07535 .07378 51 ...... 09655 .09433 .09219 .09013 .08815 .08624 .08440 .08262 .08091 .07926 52 ...... 10318 .10086 .09863 .09647 .09439 .09239 .09046 .08860 .08680 .08506 53 ...... 11017 .10774 .10541 .10315 .10098 .09888 .09686 .09491 .09302 .09120 54 ...... 11750 .11498 .11254 .11019 .10792 .10572 .10361 .10156 .09958 .09767 55 ...... 12522 .12258 .12005 .11759 .11522 .11294 .11072 .10859 .10652 .10451 56 ...... 13332 .13059 .12794 .12539 .12292 .12054 .11823 .11599 .11383 .11174 57 ...... 14183 .13899 .13624 .13359 .13102 .12853 .12613 .12380 .12154 .11936 58 ...... 15070 .14775 .14490 .14215 .13948 .13689 .13439 .13197 .12962 .12734 59 ...... 15990 .15685 .15389 .15103 .14826 .14558 .14298 .14046 .13801 .13564 60 ...... 16942 .16626 .16321 .16024 .15737 .15459 .15189 .14927 .14673 .14426 61 ...... 17929 .17603 .17287 .16981 .16684 .16395 .16115 .15844 .15580 .15324 62 ...... 18960 .18623 .18297 .17980 .17673 .17375 .17085 .16803 .16530 .16264 63 ...... 20035 .19688 .19352 .19025 .18708 .18400 .18100 .17809 .17525 .17250 64 ...... 21154 .20797 .20451 .20114 .19787 .19469 .19159 .18859 .18566 .18281 65 ...... 22318 .21951 .21595 .21249 .20912 .20584 .20265 .19955 .19652 .19358 66 ...... 23532 .23156 .22790 .22434 .22088 .21751 .21422 .21102 .20791 .20487 67 ...... 24804 .24419 .24044 .23679 .23324 .22977 .22640 .22311 .21990 .21678 68 ...... 26133 .25740 .25356 .24983 .24618 .24263 .23917 .23579 .23250 .22929 69 ...... 27516 .27114 .26723 .26341 .25969 .25605 .25251 .24905 .24567 .24237 70 ...... 28945 .28536 .28137 .27747 .27367 .26996 .26633 .26279 .25934 .25596 71 ...... 30412 .29996 .29590 .29193 .28806 .28427 .28057 .27696 .27343 .26998 72 ...... 31913 .31491 .31078 .30675 .30281 .29895 .29519 .29150 .28790 .28438 73 ...... 33444 .33016 .32597 .32188 .31788 .31396 .31013 .30638 .30271 .29913 74 ...... 35012 .34579 .34155 .33741 .33335 .32938 .32549 .32168 .31795 .31430 75 ...... 36628 .36190 .35762 .35343 .34932 .34530 .34136 .33750 .33372 .33001 76 ...... 38299 .37858 .37427 .37004 .36589 .36183 .35784 .35394 .35011 .34636 77 ...... 40028 .39585 .39151 .38725 .38307 .37898 .37496 .37103 .36716 .36337 78 ...... 41812 .41368 .40933 .40506 .40086 .39675 .39271 .38874 .38485 .38103 79 ...... 43641 .43198 .42762 .42334 .41914 .41502 .41096 .40698 .40308 .39924 80 ...... 45496 .45054 .44619 .44192 .43772 .43360 .42954 .42556 .42164 .41779 81 ...... 47360 .46920 .46487 .46061 .45643 .45231 .44827 .44429 .44038 .43653 82 ...... 49223 .48785 .48355 .47932 .47516 .47106 .46703 .46307 .45916 .45532 83 ...... 51081 .50648 .50221 .49802 .49388 .48982 .48581 .48187 .47799 .47416 84 ...... 52951 .52523 .52101 .51686 .51277 .50874 .50477 .50086 .49701 .49321 85 ...... 54847 .54425 .54009 .53600 .53196 .52798 .52406 .52019 .51638 .51262 86 ...... 56749 .56335 .55926 .55523 .55126 .54734 .54348 .53966 .53591 .53220 87 ...... 58627 .58221 .57820 .57425 .57035 .56650 .56270 .55895 .55526 .55161 88 ...... 60477 .60079 .59688 .59301 .58919 .58542 .58170 .57802 .57439 .57081 89 ...... 62297 .61909 .61527 .61149 .60776 .60408 .60044 .59685 .59330 .58979 90 ...... 64084 .63707 .63335 .62968 .62604 .62246 .61891 .61540 .61194 .60851 91 ...... 65803 .65437 .65076 .64719 .64366 .64017 .63672 .63330 .62993 .62659 92 ...... 67412 .67058 .66707 .66360 .66017 .65678 .65342 .65010 .64682 .64357 93 ...... 68911 .68567 .68227 .67890 .67557 .67227 .66901 .66578 .66258 .65942 94 ...... 70321 .69988 .69657 .69330 .69006 .68686 .68369 .68055 .67744 .67437 95 ...... 71674 .71351 .71031 .70713 .70399 .70088 .69781 .69476 .69174 .68875 96 ...... 72959 .72646 .72335 .72028 .71724 .71422 .71123 .70828 .70534 .70244 97 ...... 74156 .73853 .73552 .73254 .72959 .72666 .72376 .72089 .71804 .71522 98 ...... 75287 .74993 .74702 .74413 .74126 .73842 .73561 .73282 .73006 .72732 99 ...... 76401 .76117 .75834 .75555 .75277 .75002 .74730 .74459 .74191 .73926 100 ...... 77494 .77219 .76946 .76676 .76408 .76142 .75878 .75616 .75357 .75099 101 ...... 78580 .78315 .78052 .77791 .77532 .77275 .77021 .76768 .76517 .76268 102 ...... 79654 .79399 .79146 .78894 .78645 .78397 .78152 .77908 .77666 .77426 103 ...... 80724 .80479 .80236 .79994 .79755 .79517 .79280 .79046 .78813 .78582 104 ...... 81879 .81646 .81413 .81183 .80954 .80726 .80501 .80276 .80054 .79832 105 ...... 83005 .82782 .82560 .82340 .82121 .81904 .81688 .81474 .81260 .81049 106 ...... 84485 .84277 .84071 .83866 .83662 .83459 .83257 .83057 .82857 .82659 107 ...... 86311 .86124 .85937 .85751 .85566 .85382 .85199 .85017 .84835 .84655 108 ...... 89266 .89114 .88963 .88812 .88662 .88513 .88364 .88216 .88068 .87922

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Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

109 ...... 94563 .94484 .94405 .94326 .94248 .94170 .94092 .94014 .93937 .93860

(f) Effective dates. This section (1) In general. Except as otherwise income tax charitable deductions with applies after April 30, 1999. provided in paragraph (e)(2) of this respect to the same transfer must be section, in the case of transfers for determined based on the same tables, § 1.642(c)±6T [Removed] which the valuation date is after April and all assets includible in the gross Par. 6. Section 1.642(c)-6T is 30, 1999, the present value of a estate and/or estate tax deductions removed. remainder interest is determined under claimed must be valued based on the Par. 7. Section 1.664–4 is amended paragraphs (e)(3) through (e)(7) of this same tables). by: section, provided that the amount of the (3) Adjusted payout rate. For transfers 1. Revising paragraph (a)(1). payout as of any payout date during any for which the valuation date is after 2. Removing existing paragraphs (d) taxable year of the trust is not larger April 30, 1989, the adjusted payout rate through (e)(5). than the amount that the trust could is determined by using the appropriate 3. Adding paragraphs (d), (e) heading distribute on such date under § 1.664- Table F in paragraph (e)(6) of this and (e)(1) through (e)(5). 3(a)(1)(v) if the taxable year of the trust section, for the section 7520 interest rate 4. Adding paragraph (e)(7). were to end on such date. See, however, applicable to the transfer. If the interest 5. Revising paragraph (f). § 1.7520–3(b) (relating to exceptions to rate is between 4.2 and 14 percent, see The revisions and additions read as the use of the prescribed tables under paragraph (e)(6) of this section. If the follows: certain circumstances). interest rate is below 4.2 percent or § 1.664±4 Calculation of the fair market (2) Transitional rules for valuation of greater than 14 percent, see paragraph value of the remainder interest in a charitable remainder unitrusts. (i) For (b) of this section. The adjusted payout charitable remainder unitrust. purposes of sections 2055, 2106, or rate is determined by multiplying the (a) * * * 2624, if on May 1, 1999, the decedent fixed percentage described in § 1.664– (1) Life contingencies determined as was mentally incompetent so that the 3(a)(1)(i)(a) by the factor describing the to each life involved, from the values of disposition of the property could not be payout sequence of the trust and the lx set forth in Table 90CM contained in changed, and the decedent died after number of months by which the § 20.2031–7(d)(7) of this chapter in the April 30, 1999, without having regained valuation date for the first full taxable case of transfers for which the valuation competency to dispose of the decedent’s year of the trust precedes the first date is after April 30, 1999; or from property, or the decedent died within 90 payout date for such taxable year. If the Table 80CNSMT contained § 20.2031– days of the date that the decedent first governing instrument does not prescribe 7A(e)(4) of this chapter in the case of regained competency after April 30, when the distribution or distributions transfer for which the valuation date is 1999, the present value of a remainder shall be made during the taxable year of after April 30, 1989, and before May 1, interest under this section is determined the trust, see paragraph (a) of this 1999. See § 20.2031–7A(a) through (d) of as if the valuation date with respect to section. In the case of a trust having a this chapter, whichever is applicable, the decedent’s gross estate is either payout sequence for which no figures for transfers for which the valuation before May 1, 1999, or after April 30, have been provided by the appropriate date is before May 1, 1989; 1999, at the option of the decedent’s table, and in the case of a trust that * * * * * executor. determines the fair market value of the (d) Valuation. The fair market value of (ii) For purposes of sections 170, trust assets by taking the average of a remainder interest in a charitable 2055, 2106, 2522, or 2624, in the case valuations on more than one date during remainder unitrust (as described in of transfers to a charitable remainder the taxable year, see paragraph (b) of § 1.664–3) for transfers for which the unitrust for which the valuation date is this section. valuation date is after April 30, 1999, is after April 30, 1999, and before July 1, (4) Period is a term of years. If the its present value determined under 1999, the present value of a remainder period described in § 1.664–3(a)(5) is a paragraph (e) of this section. The fair interest based on one or more measuring term of years, the factor that is used in market value of a remainder interest in lives is determined under this section determining the present value of the a charitable remainder unitrust (as by use of the section 7520 interest rate remainder interest for transfers for described in § 1.664–3) for transfers for for the month in which the valuation which the valuation date is after which the valuation date is before May date occurs (see §§ 1.7520–1(b) and November 30, 1983, is the factor under 1, 1999, is its present value determined 1.7520–2(a)(2)) and the appropriate the appropriate adjusted payout rate in under the following sections: actuarial tables under either paragraph Table D of paragraph (e)(6) of this (e)(7) of this section or § 1.664–4A(e)(6), section corresponding to the number of at the option of the donor or the years in the term. If the adjusted payout Valuation dates Applicable Regulations decedent’s executor, as the case may be. rate is an amount that is between After Before (iii) For purposes of paragraphs adjusted payout rates for which factors (e)(2)(i) and (ii) of this section, where are provided in Table D, a linear 01±01±52 1.664±4A(a) 12±31±51 ...... 01±01±71 1.664±4A(b) the donor or decedent’s executor is interpolation must be made. The present 12±31±70 ...... 12±01±83 1.664±4A(c) given the option to use the appropriate value of the remainder interest is 11±30±83 ...... 05±01±89 1.664±4A(d) actuarial tables under either paragraph determined by multiplying the net fair 04±30±89 ...... 05±01±99 1.664±4A(e) (e)(7) of this section or § 1.664–4A(e)(6), market value (as of the appropriate the donor or decedent’s executor must valuation date) of the property placed in (e) Valuation of charitable remainder use the same actuarial table with respect trust by the factor determined under this unitrusts having certain payout to each individual transaction and with paragraph. For purposes of this section, sequences for transfers for which the respect to all transfers occurring on the the valuation date is, in the case of an valuation date is after April 30, 1999— valuation date (for example, gift and inter vivos transfer, the date on which

VerDate 112000 20:50 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36920 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations the property is transferred to the trust by 7. 557%− 7 .4% x section 7520 rate for January is 9.6 percent. = Under Table F(9.6) in paragraph (e)(6) of this the donor. However, if an election is 0.. 2% 010181 made under section 7520 and § 1.7520– section, the appropriate adjustment factor is 2(b) to compute the present value of the .933805 for semiannual payments payable at charitable interest by use of the interest = the end of the semiannual period. The x .007992 adjusted payout rate is 8.404 (9% X .933805). rate component for either of the 2 Based on the remainder factors in Table U(1) months preceding the month in which Factor at 7.4 percent for 12 years .397495 Less: Interpolation adjustment ... .007992 in paragraph (e)(7) of this section, the present the date of transfer falls, the month so value of the remainder interest is $10,109.00, elected is the valuation date for Interpolated factor ...... 389503 computed as follows: purposes of determining the interest rate Factor at 8.4 percent at age 45 .... .10117 Present value of remainder interest: and mortality tables. In the case of a Factor at 8.6 percent at age 45 .... .09715 testamentary transfer under section ($100,000× .389503)...... $38,950.30 2055, 2106, or 2624, the valuation date (5) Period is the life of one individual. Difference ...... 00402 is the date of death, unless the alternate If the period described in § 1.664–3(a)(5) valuation date is elected under section Interpolation adjustment: is the life of one individual, the factor 2032, in which event, and within the that is used in determining the present 88.404%− .4% x limitations set forth in section 2032 and = value of the remainder interest for the regulations thereunder, the 0.. 2% 00402 transfers for which the valuation date is valuation date is the alternate valuation after April 30, 1999, is the factor in date. If the decedent’s estate elects the Table U(1) in paragraph (e)(7) of this = alternate valuation date under section x .00008 section under the appropriate adjusted 2032 and also elects, under section 7520 payout. For purposes of the Factor at 8.4 percent at age 45 .... .10117 and § 1.7520–2(b), to use the interest computations described in this Less: Interpolation adjustment ... .00008 rate component for one of the 2 months paragraph, the age of an individual is preceding the alternate valuation date, Interpolated Factor ...... 10109 the age of that individual at the the month so elected is the valuation individual’s nearest birthday. If the Present value of remainder interest: date for purposes of determining the adjusted payout rate is an amount that × interest rate and mortality tables. The ($100,000 .10109)...... $10,109.00 is between adjusted payout rates for application of this paragraph (e)(4) may * * * * * which factors are provided in the be illustrated by the following example: appropriate table, a linear interpolation (7) Actuarial Table U(1) for transfers Example. D transfers $100,000 to a must be made. The present value of the for which the valuation date is after charitable remainder unitrust on January 1. remainder interest is determined by April 30, 1999. For transfers for which The trust instrument requires that the trust multiplying the net fair market value (as the valuation date is after April 30, pay 8 percent of the fair market value of the of the valuation date as determined in 1999, the present value of a charitable trust assets as of January 1st for a term of 12 paragraph (e)(4) of this section) of the remainder unitrust interest that is years to D in quarterly payments (March 31, dependent on the termination of a life June 30, September 30, and December 31). property placed in trust by the factor determined under this paragraph (e)(5). interest is determined by using the The section 7520 rate for January (the month section 7520 rate, Table U(1) in this that the transfer occurred) is 9.6 percent. If the adjusted payout rate is between Under Table F(9.6) in paragraph(e)(6) of this 4.2 and 14 percent, see paragraph (e)(7) paragraph (e)(7), and Table F(4.2) section, the appropriate adjustment factor is of this section. If the adjusted payout through (14.0) in paragraph (e)(6) of this .944628 for quarterly payments payable at the rate is below 4.2 percent or greater than section. See, however, § 1.7520–3(b) end of each quarter. The adjusted payout rate 14 percent, see paragraph (b) of this (relating to exceptions to the use of is 7.557 (8%× .944628). Based on the section. The application of this prescribed tables under certain remainder factors in Table D in paragraph (e)(5) may be illustrated by circumstances). Many actuarial factors paragraph(e)(6) of this section, the present the following example: not contained in the following tables are value of the remainder interest is $38,950.30, contained in Internal Revenue Service computed as follows: Example. A, who is 44 years and 11 Publication 1458, ‘‘Actuarial Values, months old, transfers $100,000 to a charitable Factor at 7.4 percent for 12 years .397495 Book Beth,’’ (7–1999). A copy of this Factor at 7.6 percent for 12 years .387314 remainder unitrust on January 1st. The trust instrument requires that the trust pay to A publication is available for purchase from the Superintendent of Documents, Difference ...... 010181 semiannually (on June 30 and December 31) 9 percent of the fair market value of the trust United States Government Printing Interpolation adjustment: assets as of January 1st during A’s life. The Office, Washington, DC 20402.

TABLE U(1).ÐBASED ON LIFE TABLE 90CM UNITRUST SINGLE LIFE REMAINDER FACTORS APPLICABLE FOR TRANSFERS AFTER APRIL 30, 1999 [Adjusted payout rate]

Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% .8% 6.0%

0 ...... 06177 .05580 .05061 .04609 .04215 .03871 .03570 .03307 .03075 .02872 1 ...... 05543 .04925 .04388 .03919 .03509 .03151 .02838 .02563 .02321 .02109 2 ...... 05716 .05081 .04528 .04045 .03622 .03252 .02927 .02642 .02391 .02170 3 ...... 05920 .05268 .04699 .04201 .03765 .03382 .03046 .02750 .02490 .02260 4 ...... 06143 .05475 .04889 .04376 .03926 .03530 .03182 .02876 .02605 .02366 5 ...... 06384 .05697 .05095 .04567 .04103 .03694 .03334 .03016 .02735 .02487 6 ...... 06637 .05933 .05315 .04771 .04292 .03870 .03497 .03168 .02876 .02618 7 ...... 06905 .06183 .05547 .04987 .04494 .04058 .03673 .03332 .03029 .02761 8 ...... 07186 .06445 .05792 .05216 .04708 .04258 .03859 .03506 .03192 .02914 9 ...... 07482 .06722 .06052 .05460 .04936 .04471 .04060 .03694 .03369 .03079

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Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% .8% 6.0%

10 ...... 07793 .07015 .06327 .05718 .05179 .04700 .04274 .03896 .03559 .03259 11 ...... 08120 .07323 .06617 .05991 .05435 .04942 .04502 .04111 .03762 .03450 12 ...... 08461 .07645 .06920 .06277 .05706 .05197 .04744 .04339 .03978 .03655 13 ...... 08812 .07976 .07234 .06574 .05985 .05461 .04993 .04576 .04202 .03867 14 ...... 09168 .08313 .07552 .06874 .06269 .05729 .05247 .04815 .04428 .04081 15 ...... 09527 .08652 .07872 .07176 .06554 .05999 .05501 .05055 .04655 .04296 16 ...... 09886 .08991 .08192 .07478 .06839 .06267 .05754 .05294 .04880 .04508 17 ...... 10249 .09334 .08515 .07782 .07126 .06537 .06008 .05533 .05105 .04720 18 ...... 10616 .09680 .08842 .08090 .07415 .06809 .06264 .05774 .05332 .04933 19 ...... 10994 .10037 .09178 .08407 .07714 .07091 .06529 .06023 .05566 .05153 20 ...... 11384 .10406 .09527 .08737 .08025 .07383 .06805 .06283 .05811 .05384 21 ...... 11790 .10790 .09891 .09080 .08349 .07690 .07094 .06555 .06068 .05626 22 ...... 12208 .11188 .10267 .09436 .08686 .08008 .07395 .06839 .06336 .05879 23 ...... 12643 .11601 .10659 .09808 .09038 .08342 .07710 .07138 .06618 .06146 24 ...... 13095 .12031 .11069 .10197 .09408 .08692 .08042 .07452 .06915 .06427 25 ...... 13567 .12481 .11497 .10605 .09795 .09060 .08392 .07784 .07230 .06726 26 ...... 14058 .12950 .11945 .11032 .10202 .09447 .08760 .08134 .07563 .07042 27 ...... 14571 .13442 .12415 .11481 .10631 .09856 .09149 .08505 .07916 .07379 28 ...... 15104 .13953 .12904 .11949 .11078 .10284 .09558 .08895 .08288 .07733 29 ...... 15656 .14484 .13414 .12438 .11546 .10731 .09986 .09304 .08679 .08106 30 ...... 16229 .15034 .13943 .12946 .12034 .11198 .10433 .09732 .09089 .08498 31 ...... 16821 .15605 .14493 .13474 .12541 .11685 .10900 .10179 .09517 .08909 32 ...... 17433 .16196 .15063 .14023 .13069 .12193 .11387 .10647 .09966 .09339 33 ...... 18068 .16810 .15655 .14595 .13620 .12723 .11897 .11137 .10437 .09791 34 ...... 18724 .17446 .16270 .15189 .14193 .13275 .12430 .11650 .10930 .10265 35 ...... 19405 .18107 .16910 .15808 .14791 .13853 .12987 .12187 .11448 .10764 36 ...... 20109 .18791 .17574 .16451 .15414 .14456 .13569 .12749 .11990 .11287 37 ...... 20838 .19500 .18263 .17120 .16062 .15083 .14177 .13337 .12558 .11835 38 ...... 21593 .20236 .18979 .17816 .16739 .15739 .14813 .13953 .13154 .12412 39 ...... 22374 .20998 .19723 .18540 .17443 .16423 .15477 .14597 .13779 .13017 40 ...... 23183 .21789 .20496 .19294 .18177 .17138 .16172 .15272 .14434 .13653 41 ...... 24021 .22611 .21299 .20079 .18943 .17885 .16899 .15980 .15123 .14322 42 ...... 24889 .23463 .22134 .20896 .19741 .18665 .17660 .16721 .15845 .15025 43 ...... 25786 .24344 .23000 .21744 .20572 .19477 .18453 .17496 .16601 .15762 44 ...... 26712 .25257 .23896 .22625 .21435 .20322 .19281 .18305 .17391 .16534 45 ...... 27665 .26196 .24821 .23534 .22328 .21198 .20139 .19145 .18213 .17338 46 ...... 28644 .27163 .25774 .24472 .23251 .22105 .21028 .20018 .19068 .18174 47 ...... 29647 .28155 .26754 .25438 .24201 .23040 .21947 .20919 .19952 .19041 48 ...... 30676 .29173 .27760 .26431 .25181 .24004 .22896 .21852 .20868 .19941 49 ...... 31729 .30217 .28794 .27453 .26190 .24999 .23876 .22817 .21817 .20873 50 ...... 32808 .31289 .29856 .28505 .27229 .26026 .24889 .23814 .22799 .21839 51 ...... 33912 .32387 .30946 .29585 .28299 .27083 .25933 .24845 .23815 .22840 52 ...... 35038 .33507 .32060 .30691 .29395 .28168 .27005 .25904 .24861 .23872 53 ...... 36185 .34651 .33198 .31821 .30517 .29280 .28106 .26993 .25937 .24934 54 ...... 37352 .35815 .34358 .32976 .31664 .30418 .29234 .28110 .27042 .26026 55 ...... 38539 .37002 .35542 .34155 .32836 .31583 .30390 .29256 .28177 .27149 56 ...... 39746 .38209 .36748 .35358 .34034 .32774 .31574 .30431 .29342 .28303 57 ...... 40971 .39437 .37976 .36584 .35257 .33992 .32785 .31634 .30536 .29488 58 ...... 42212 .40682 .39222 .37829 .36500 .35231 .34019 .32862 .31756 .30699 59 ...... 43464 .41939 .40482 .39090 .37759 .36488 .35272 .34109 .32996 .31932 60 ...... 44726 .43207 .41754 .40364 .39034 .37761 .36542 .35375 .34257 .33186 61 ...... 45999 .44488 .43041 .41655 .40326 .39053 .37833 .36662 .35540 .34463 62 ...... 47286 .45785 .44345 .42964 .41639 .40367 .39146 .37974 .36848 .35767 63 ...... 48589 .47098 .45667 .44293 .42972 .41703 .40484 .39311 .38184 .37100 64 ...... 49903 .48426 .47005 .45638 .44324 .43060 .41843 .40671 .39544 .38458 65 ...... 51229 .49766 .48357 .47001 .45694 .44435 .43223 .42054 .40927 .39841 66 ...... 52568 .51121 .49726 .48381 .47084 .45833 .44626 .43461 .42337 .41252 67 ...... 53924 .52495 .51115 .49784 .48498 .47256 .46056 .44898 .43778 .42696 68 ...... 55293 .53883 .52521 .51205 .49932 .48701 .47511 .46360 .45246 .44169 69 ...... 56671 .55283 .53940 .52640 .51382 .50165 .48985 .47844 .46738 .45666 70 ...... 58052 .56687 .55365 .54084 .52843 .51639 .50473 .49342 .48245 .47181 71 ...... 59431 .58091 .56791 .55529 .54306 .53118 .51966 .50847 .49761 .48707 72 ...... 60804 .59490 .58213 .56973 .55768 .54598 .53461 .52357 .51283 .50239 73 ...... 62168 .60881 .59629 .58411 .57227 .56076 .54955 .53866 .52806 .51774 74 ...... 63528 .62268 .61042 .59848 .58686 .57555 .56453 .55380 .54335 .53316 75 ...... 64887 .63657 .62458 .61290 .60151 .59041 .57959 .56904 .55875 .54872 76 ...... 66249 .65049 .63880 .62739 .61625 .60538 .59478 .58443 .57432 .56446 77 ...... 67612 .66446 .65307 .64194 .63108 .62046 .61009 .59995 .59005 .58037 78 ...... 68975 .67843 .66736 .65654 .64596 .63561 .62548 .61558 .60590 .59643 79 ...... 70330 .69233 .68160 .67109 .66081 .65074 .64088 .63123 .62178 .61253 80 ...... 71666 .70605 .69566 .68548 .67550 .66573 .65615 .64676 .63755 .62853 81 ...... 72975 .71950 .70946 .69961 .68995 .68047 .67117 .66205 .65310 .64433 82 ...... 74250 .73263 .72293 .71342 .70407 .69490 .68589 .67705 .66837 .65984 83 ...... 75493 .74542 .73608 .72690 .71788 .70902 .70031 .69175 .68333 .67506

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Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% .8% 6.0%

84 ...... 76712 .75798 .74900 .74016 .73147 .72292 .71451 .70624 .69810 .69010 85 ...... 77913 .77037 .76175 .75326 .74491 .73668 .72859 .72061 .71276 .70503 86 ...... 79086 .78248 .77423 .76610 .75808 .75019 .74241 .73474 .72719 .71974 87 ...... 80218 .79418 .78628 .77850 .77083 .76326 .75580 .74844 .74118 .73402 88 ...... 81307 .80544 .79790 .79047 .78313 .77589 .76874 .76169 .75473 .74786 89 ...... 82355 .81628 .80909 .80200 .79500 .78808 .78125 .77450 .76783 .76125 90 ...... 83360 .82668 .81985 .81309 .80642 .79982 .79330 .78685 .78048 .77418 91 ...... 84308 .83650 .83000 .82357 .81721 .81092 .80470 .79855 .79246 .78645 92 ...... 85182 .84556 .83937 .83325 .82718 .82119 .81525 .80937 .80356 .79780 93 ...... 85985 .85390 .84800 .84215 .83637 .83064 .82497 .81936 .81379 .80829 94 ...... 86732 .86164 .85601 .85044 .84491 .83944 .83402 .82865 .82333 .81806 95 ...... 87437 .86895 .86359 .85827 .85300 .84778 .84260 .83746 .83237 .82733 96 ...... 88097 .87582 .87070 .86563 .86060 .85561 .85066 .84575 .84088 .83605 97 ...... 88708 .88216 .87727 .87243 .86762 .86285 .85811 .85341 .84875 .84413 98 ...... 89280 .88810 .88343 .87880 .87420 .86964 .86511 .86061 .85614 .85171 99 ...... 89836 .89388 .88943 .88501 .88062 .87626 .87193 .86763 .86336 .85911 100 ...... 90375 .89948 .89525 .89103 .88685 .88269 .87856 .87445 .87037 .86632 101 ...... 90905 .90500 .90097 .89696 .89298 .88902 .88509 .88118 .87729 .87342 102 ...... 91424 .91040 .90658 .90278 .89900 .89524 .89150 .88778 .88408 .88040 103 ...... 91939 .91575 .91214 .90854 .90496 .90139 .89785 .89432 .89081 .88732 104 ...... 92485 .92144 .91805 .91467 .91131 .90796 .90463 .90131 .89800 .89471 105 ...... 93020 .92701 .92383 .92067 .91751 .91437 .91125 .90813 .90502 .90193 106 ...... 93701 .93411 .93122 .92834 .92546 .92260 .91974 .91689 .91405 .91122 107 ...... 94522 .94268 .94013 .93760 .93507 .93254 .93002 .92750 .92499 .92249 108 ...... 95782 .95583 .95385 .95187 .94989 .94791 .94593 .94396 .94199 .94002 109 ...... 97900 .97800 .97700 .97600 .97500 .97400 .97300 .97200 .97100 .97000

Age 6.2% 6.4% 6.6% 6.8% 7.0% 7.2% 7.4% 7.6% 7.8% 8.0%

0 ...... 02693 .02534 .02395 .02271 .02161 .02063 .01976 .01898 .01828 .01765 1 ...... 01922 .01756 .01610 .01480 .01365 .01263 .01171 .01090 .01017 .00951 2 ...... 01975 .01802 .01650 .01514 .01393 .01286 .01190 .01104 .01028 .00959 3 ...... 02056 .01876 .01717 .01575 .01449 .01336 .01235 .01145 .01064 .00992 4 ...... 02155 .01967 .01800 .01652 .01520 .01401 .01296 .01201 .01116 .01039 5 ...... 02266 .02071 .01896 .01741 .01603 .01479 .01368 .01269 .01179 .01098 6 ...... 02389 .02184 .02003 .01841 .01696 .01566 .01450 .01345 .01251 .01166 7 ...... 02522 .02309 .02120 .01950 .01799 .01663 .01540 .01431 .01332 .01242 8 ...... 02665 .02444 .02246 .02069 .01910 .01768 .01640 .01524 .01420 .01326 9 ...... 02821 .02590 .02384 .02199 .02033 .01884 .01750 .01629 .01520 .01421 10 ...... 02990 .02750 .02535 .02342 .02169 .02013 .01872 .01745 .01631 .01526 11 ...... 03172 .02922 .02698 .02497 .02316 .02153 .02006 .01872 .01752 .01643 12 ...... 03365 .03106 .02872 .02663 .02474 .02303 .02149 .02010 .01884 .01769 13 ...... 03566 .03297 .03054 .02835 .02638 .02460 .02299 .02154 .02021 .01901 14 ...... 03770 .03490 .03237 .03010 .02804 .02619 .02450 .02298 .02159 .02033 15 ...... 03973 .03682 .03419 .03182 .02968 .02775 .02599 .02439 .02294 .02162 16 ...... 04173 .03871 .03598 .03352 .03129 .02926 .02743 .02576 .02424 .02286 17 ...... 04372 .04059 .03775 .03519 .03287 .03076 .02884 .02710 .02551 .02406 18 ...... 04573 .04248 .03953 .03686 .03444 .03224 .03024 .02842 .02676 .02524 19 ...... 04780 .04443 .04137 .03859 .03607 .03378 .03169 .02978 .02804 .02646 20 ...... 04997 .04647 .04329 .04040 .03778 .03539 .03321 .03122 .02940 .02773 21 ...... 05226 .04862 .04532 .04232 .03958 .03709 .03481 .03274 .03083 .02909 22 ...... 05465 .05088 .04745 .04432 .04148 .03888 .03650 .03433 .03234 .03052 23 ...... 05716 .05325 .04969 .04645 .04348 .04077 .03830 .03603 .03394 .03203 24 ...... 05983 .05578 .05208 .04871 .04562 .04280 .04021 .03784 .03566 .03367 25 ...... 06266 .05846 .05463 .05112 .04791 .04497 .04227 .03980 .03752 .03543 26 ...... 06566 .06131 .05734 .05369 .05035 .04729 .04448 .04189 .03951 .03732 27 ...... 06887 .06436 .06024 .05646 .05298 .04979 .04686 .04416 .04168 .03939 28 ...... 07225 .06758 .06331 .05938 .05577 .05245 .04940 .04658 .04398 .04159 29 ...... 07581 .07099 .06656 .06248 .05873 .05528 .05210 .04916 .04645 .04394 30 ...... 07956 .07457 .06998 .06575 .06186 .05827 .05495 .05189 .04906 .04644 31 ...... 08348 .07833 .07358 .06920 .06515 .06142 .05797 .05478 .05182 .04908 32 ...... 08761 .08228 .07736 .07282 .06863 .06475 .06116 .05783 .05475 .05189 33 ...... 09195 .08645 .08136 .07666 .07231 .06828 .06454 .06108 .05786 .05488 34 ...... 09651 .09082 .08557 .08070 .07619 .07200 .06812 .06452 .06117 .05805 35 ...... 10131 .09545 .09002 .08498 .08030 .07596 .07193 .06818 .06469 .06144 36 ...... 10635 .10031 .09470 .08949 .08465 .08015 .07596 .07206 .06842 .06503 37 ...... 11165 .10542 .09963 .09424 .08923 .08457 .08022 .07617 .07238 .06885 38 ...... 11722 .11081 .10484 .09927 .09409 .08926 .08475 .08054 .07661 .07293 39 ...... 12308 .11648 .11032 .10458 .09922 .09422 .08955 .08518 .08109 .07726 40 ...... 12925 .12246 .11612 .11020 .10466 .09949 .09465 .09011 .08587 .08189 41 ...... 13575 .12877 .12225 .11614 .11043 .10508 .10007 .09537 .09097 .08683 42 ...... 14259 .13542 .12871 .12243 .11654 .11101 .10583 .10097 .09640 .09210 43 ...... 14977 .14242 .13552 .12905 .12298 .11729 .11193 .10690 .10217 .09771 44 ...... 15731 .14976 .14269 .13604 .12979 .12391 .11838 .11318 .10828 .10367

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Age 6.2% 6.4% 6.6% 6.8% 7.0% 7.2% 7.4% 7.6% 7.8% 8.0%

45 ...... 16516 .15743 .15017 .14334 .13691 .13086 .12516 .11979 .11472 .10994 46 ...... 17334 .16544 .15800 .15099 .14438 .13816 .13228 .12674 .12150 .11656 47 ...... 18184 .17375 .16613 .15895 .15217 .14576 .13972 .13400 .12860 .12349 48 ...... 19066 .18240 .17461 .16724 .16029 .15371 .14749 .14161 .13604 .13077 49 ...... 19981 .19138 .18342 .17588 .16875 .16201 .15562 .14956 .14383 .13839 50 ...... 20931 .20072 .19259 .18489 .17759 .17067 .16412 .15790 .15199 .14639 51 ...... 21917 .21042 .20212 .19426 .18679 .17971 .17299 .16660 .16054 .15477 52 ...... 22933 .22043 .21198 .20395 .19633 .18909 .18220 .17566 .16943 .16350 53 ...... 23981 .23076 .22216 .21399 .20621 .19881 .19176 .18506 .17867 .17258 54 ...... 25060 .24141 .23267 .22434 .21642 .20886 .20166 .19480 .18826 .18201 55 ...... 26171 .25239 .24351 .23504 .22697 .21927 .21192 .20491 .19821 .19182 56 ...... 27313 .26369 .25468 .24608 .23787 .23003 .22254 .21538 .20854 .20199 57 ...... 28487 .27531 .26618 .25746 .24912 .24114 .23351 .22621 .21923 .21254 58 ...... 29688 .28722 .27798 .26914 .26067 .25257 .24481 .23738 .23025 .22343 59 ...... 30913 .29937 .29002 .28107 .27249 .26427 .25639 .24882 .24157 .23461 60 ...... 32159 .31175 .30231 .29325 .28457 .27623 .26823 .26055 .25317 .24608 61 ...... 33429 .32437 .31485 .30571 .29692 .28848 .28037 .27257 .26507 .25786 62 ...... 34728 .33730 .32770 .31847 .30960 .30106 .29285 .28495 .27734 .27001 63 ...... 36057 .35053 .34087 .33157 .32262 .31400 .30569 .29769 .28998 .28255 64 ...... 37412 .36404 .35433 .34498 .33596 .32726 .31887 .31078 .30298 .29545 65 ...... 38794 .37783 .36809 .35868 .34961 .34085 .33239 .32422 .31633 .30871 66 ...... 40205 .39193 .38216 .37272 .36361 .35479 .34628 .33804 .33008 .32238 67 ...... 41650 .40639 .39661 .38715 .37800 .36915 .36059 .35230 .34428 .33651 68 ...... 43126 .42117 .41139 .40193 .39277 .38390 .37530 .36697 .35890 .35108 69 ...... 44628 .43622 .42648 .41703 .40787 .39898 .39037 .38201 .37391 .36604 70 ...... 46150 .45149 .44178 .43236 .42321 .41433 .40571 .39735 .38922 .38132 71 ...... 47683 .46689 .45723 .44785 .43873 .42987 .42126 .41290 .40476 .39685 72 ...... 49225 .48238 .47279 .46346 .45439 .44556 .43697 .42862 .42048 .41257 73 ...... 50770 .49793 .48841 .47915 .47013 .46135 .45280 .44447 .43635 .42844 74 ...... 52324 .51358 .50416 .49498 .48603 .47731 .46880 .46051 .45242 .44454 75 ...... 53894 .52939 .52008 .51100 .50214 .49349 .48505 .47681 .46877 .46092 76 ...... 55483 .54543 .53624 .52728 .51852 .50996 .50160 .49344 .48546 .47766 77 ...... 57091 .56167 .55263 .54380 .53516 .52671 .51845 .51038 .50247 .49475 78 ...... 58716 .57809 .56922 .56053 .55203 .54372 .53557 .52760 .51980 .51216 79 ...... 60346 .59459 .58590 .57738 .56904 .56086 .55286 .54501 .53732 .52978 80 ...... 61969 .61102 .60252 .59419 .58601 .57800 .57014 .56243 .55487 .54745 81 ...... 63571 .62726 .61897 .61082 .60283 .59499 .58729 .57974 .57232 .56503 82 ...... 65146 .64324 .63515 .62722 .61942 .61176 .60423 .59683 .58957 .58242 83 ...... 66693 .65893 .65108 .64335 .63575 .62828 .62093 .61371 .60660 .59962 84 ...... 68222 .67447 .66684 .65934 .65195 .64468 .63753 .63049 .62356 .61674 85 ...... 69742 .68993 .68255 .67528 .66812 .66106 .65411 .64727 .64053 .63389 86 ...... 71241 .70517 .69805 .69102 .68410 .67727 .67054 .66390 .65736 .65091 87 ...... 72696 .72000 .71313 .70635 .69967 .69307 .68656 .68014 .67381 .66756 88 ...... 74108 .73438 .72777 .72125 .71480 .70845 .70217 .69597 .68985 .68380 89 ...... 75475 .74832 .74198 .73571 .72951 .72339 .71734 .71137 .70547 .69963 90 ...... 76796 .76180 .75572 .74971 .74376 .73788 .73207 .72633 .72065 .71503 91 ...... 78049 .77460 .76878 .76302 .75732 .75168 .74610 .74058 .73512 .72972 92 ...... 79211 .78647 .78089 .77537 .76990 .76449 .75913 .75383 .74858 .74338 93 ...... 80283 .79743 .79208 .78679 .78154 .77634 .77119 .76610 .76105 .75604 94 ...... 81283 .80765 .80253 .79744 .79240 .78741 .78247 .77756 .77270 .76789 95 ...... 82233 .81737 .81245 .80757 .80274 .79795 .79320 .78849 .78382 .77918 96 ...... 83126 .82651 .82180 .81712 .81248 .80788 .80332 .79880 .79431 .78985 97 ...... 83953 .83498 .83046 .82597 .82152 .81710 .81271 .80836 .80404 .79976 98 ...... 84731 .84294 .83860 .83429 .83002 .82577 .82155 .81737 .81321 .80908 99 ...... 85490 .85071 .84656 .84243 .83832 .83425 .83020 .82618 .82219 .81822 100 ...... 86229 .85828 .85431 .85035 .84642 .84252 .83864 .83478 .83095 .82714 101 ...... 86958 .86575 .86195 .85818 .85442 .85069 .84698 .84329 .83962 .83597 102 ...... 87674 .87310 .86947 .86587 .86229 .85873 .85518 .85166 .84815 .84466 103 ...... 88384 .88038 .87694 .87351 .87010 .86671 .86334 .85998 .85663 .85331 104 ...... 89143 .88817 .88492 .88169 .87847 .87526 .87207 .86889 .86573 .86258 105 ...... 89885 .89578 .89272 .88967 .88664 .88361 .88060 .87760 .87461 .87163 106 ...... 90840 .90559 .90278 .89999 .89720 .89442 .89165 .88888 .88613 .88338 107 ...... 91999 .91750 .91501 .91253 .91005 .90758 .90511 .90265 .90019 .89774 108 ...... 93805 .93609 .93412 .93216 .93020 .92824 .92629 .92434 .92239 .92044 109 ...... 96900 .96800 .96700 .96600 .96500 .96400 .96300 .96200 .96100 .96000

Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

0 ...... 01709 .01658 .01612 .01570 .01532 .01497 .01466 .01437 .01410 .01386 1 ...... 00892 .00839 .00791 .00747 .00708 .00672 .00639 .00609 .00582 .00557 2 ...... 00896 .00840 .00790 .00744 .00702 .00664 .00629 .00598 .00569 .00542 3 ...... 00926 .00867 .00814 .00765 .00721 .00681 .00644 .00611 .00580 .00552 4 ...... 00970 .00908 .00851 .00800 .00753 .00711 .00672 .00636 .00604 .00574 5 ...... 01026 .00960 .00900 .00846 .00796 .00751 .00710 .00672 .00637 .00606

VerDate 112000 20:50 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00017 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36924 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations

Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

6 ...... 01089 .01019 .00956 .00899 .00846 .00799 .00755 .00715 .00678 .00644 7 ...... 01161 .01088 .01021 .00960 .00905 .00854 .00808 .00765 .00726 .00690 8 ...... 01241 .01163 .01093 .01029 .00970 .00917 .00867 .00822 .00781 .00743 9 ...... 01331 .01249 .01175 .01107 .01045 .00988 .00936 .00889 .00845 .00804 10 ...... 01432 .01346 .01268 .01196 .01131 .01071 .01016 .00965 .00918 .00875 11 ...... 01543 .01453 .01370 .01295 .01226 .01162 .01104 .01051 .01001 .00956 12 ...... 01664 .01569 .01482 .01403 .01330 .01263 .01202 .01145 .01093 .01045 13 ...... 01791 .01691 .01600 .01516 .01440 .01369 .01304 .01245 .01190 .01139 14 ...... 01918 .01813 .01717 .01629 .01548 .01474 .01406 .01343 .01285 .01231 15 ...... 02041 .01931 .01831 .01738 .01653 .01576 .01504 .01437 .01376 .01320 16 ...... 02160 .02044 .01938 .01841 .01752 .01670 .01595 .01525 .01460 .01401 17 ...... 02274 .02152 .02041 .01940 .01846 .01760 .01680 .01607 .01539 .01476 18 ...... 02386 .02258 .02142 .02035 .01936 .01846 .01762 .01685 .01613 .01547 19 ...... 02500 .02367 .02245 .02132 .02029 .01933 .01845 .01764 .01689 .01619 20 ...... 02621 .02481 .02353 .02235 .02126 .02025 .01933 .01847 .01768 .01694 21 ...... 02749 .02603 .02468 .02344 .02229 .02124 .02026 .01936 .01852 .01774 22 ...... 02884 .02730 .02589 .02458 .02338 .02227 .02124 .02029 .01940 .01859 23 ...... 03028 .02867 .02718 .02581 .02454 .02337 .02229 .02128 .02035 .01949 24 ...... 03183 .03013 .02857 .02713 .02580 .02456 .02342 .02236 .02138 .02047 25 ...... 03350 .03172 .03008 .02857 .02717 .02587 .02467 .02355 .02251 .02155 26 ...... 03530 .03344 .03172 .03013 .02865 .02729 .02602 .02484 .02375 .02273 27 ...... 03727 .03532 .03351 .03183 .03028 .02885 .02751 .02627 .02511 .02404 28 ...... 03937 .03732 .03543 .03367 .03204 .03052 .02911 .02780 .02658 .02545 29 ...... 04162 .03947 .03748 .03564 .03392 .03233 .03084 .02946 .02818 .02698 30 ...... 04401 .04176 .03967 .03773 .03593 .03425 .03269 .03124 .02988 .02861 31 ...... 04654 .04419 .04200 .03996 .03807 .03630 .03466 .03312 .03169 .03035 32 ...... 04923 .04676 .04447 .04233 .04034 .03849 .03676 .03514 .03363 .03221 33 ...... 05210 .04952 .04711 .04487 .04278 .04083 .03901 .03731 .03571 .03422 34 ...... 05515 .05245 .04993 .04758 .04538 .04333 .04142 .03962 .03794 .03637 35 ...... 05841 .05558 .05295 .05048 .04818 .04603 .04401 .04212 .04035 .03869 36 ...... 06187 .05892 .05616 .05358 .05116 .04890 .04678 .04480 .04293 .04118 37 ...... 06555 .06247 .05958 .05688 .05435 .05198 .04975 .04766 .04570 .04385 38 ...... 06949 .06627 .06325 .06043 .05777 .05528 .05295 .05075 .04868 .04674 39 ...... 07368 .07032 .06717 .06421 .06143 .05882 .05637 .05406 .05189 .04984 40 ...... 07816 .07465 .07137 .06827 .06537 .06263 .06006 .05764 .05535 .05320 41 ...... 08295 .07930 .07587 .07264 .06960 .06674 .06405 .06150 .05910 .05683 42 ...... 08807 .08427 .08069 .07733 .07415 .07116 .06833 .06567 .06315 .06077 43 ...... 09352 .08957 .08585 .08233 .07902 .07589 .07294 .07014 .06750 .06500 44 ...... 09932 .09521 .09134 .08768 .08423 .08096 .07787 .07495 .07218 .06956 45 ...... 10543 .10117 .09715 .09334 .08974 .08634 .08311 .08005 .07716 .07441 46 ...... 11189 .10747 .10329 .09933 .09559 .09204 .08867 .08548 .08245 .07958 47 ...... 11866 .11408 .10974 .10564 .10174 .09805 .09454 .09121 .08805 .08504 48 ...... 12577 .12103 .11654 .11228 .10823 .10439 .10074 .09727 .09397 .09083 49 ...... 13323 .12833 .12368 .11926 .11506 .11107 .10728 .10366 .10022 .09695 50 ...... 14107 .13601 .13120 .12663 .12228 .11813 .11419 .11043 .10685 .10344 51 ...... 14928 .14407 .13910 .13437 .12987 .12558 .12149 .11758 .11386 .11031 52 ...... 15785 .15248 .14735 .14247 .13781 .13337 .12913 .12508 .12122 .11752 53 ...... 16678 .16124 .15597 .15093 .14612 .14153 .13714 .13294 .12893 .12509 54 ...... 17606 .17037 .16493 .15974 .15478 .15004 .14550 .14116 .13700 .13302 55 ...... 18570 .17986 .17428 .16893 .16382 .15893 .15424 .14976 .14546 .14134 56 ...... 19573 .18974 .18400 .17851 .17325 .16821 .16338 .15875 .15430 .15004 57 ...... 20613 .20000 .19412 .18848 .18307 .17789 .17291 .16814 .16355 .15914 58 ...... 21688 .21060 .20458 .19880 .19325 .18792 .18280 .17788 .17316 .16861 59 ...... 22793 .22151 .21535 .20943 .20374 .19827 .19301 .18795 .18309 .17840 60 ...... 23927 .23272 .22642 .22036 .21454 .20893 .20354 .19834 .19334 .18851 61 ...... 25092 .24425 .23782 .23163 .22567 .21993 .21440 .20907 .20393 .19898 62 ...... 26295 .25616 .24961 .24329 .23721 .23134 .22568 .22021 .21494 .20985 63 ...... 27538 .26847 .26180 .25537 .24916 .24316 .23738 .23179 .22639 .22117 64 ...... 28817 .28116 .27438 .26783 .26150 .25539 .24949 .24377 .23825 .23291 65 ...... 30134 .29423 .28735 .28069 .27426 .26803 .26201 .25618 .25054 .24508 66 ...... 31493 .30772 .30075 .29399 .28746 .28113 .27500 .26906 .26331 .25774 67 ...... 32899 .32170 .31464 .30780 .30118 .29475 .28852 .28248 .27663 .27095 68 ...... 34349 .33614 .32901 .32209 .31538 .30887 .30256 .29643 .29047 .28469 69 ...... 35841 .35100 .34381 .33683 .33005 .32346 .31707 .31085 .30481 .29894 70 ...... 37366 .36620 .35896 .35193 .34509 .33844 .33197 .32568 .31957 .31362 71 ...... 38916 .38167 .37440 .36732 .36043 .35372 .34720 .34084 .33466 .32864 72 ...... 40486 .39736 .39006 .38295 .37602 .36927 .36270 .35629 .35005 .34396 73 ...... 42074 .41323 .40591 .39878 .39182 .38504 .37843 .37198 .36568 .35955 74 ...... 43685 .42934 .42202 .41488 .40791 .40110 .39446 .38798 .38165 .37547 75 ...... 45326 .44577 .43846 .43132 .42435 .41754 .41088 .40438 .39802 .39181 76 ...... 47004 .46259 .45530 .44818 .44122 .43442 .42776 .42125 .41488 .40865 77 ...... 48718 .47979 .47255 .46547 .45853 .45175 .44511 .43861 .43225 .42601 78 ...... 50467 .49735 .49017 .48314 .47626 .46951 .46290 .45643 .45008 .44386 79 ...... 52239 .51515 .50806 .50110 .49427 .48758 .48102 .47459 .46828 .46209

VerDate 112000 22:44 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00018 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm13 PsN: 12JNR2 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36925

Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

80 ...... 54018 .53304 .52603 .51916 .51242 .50580 .49930 .49292 .48666 .48052 81 ...... 55788 .55085 .54396 .53718 .53053 .52399 .51757 .51126 .50507 .49898 82 ...... 57540 .56851 .56173 .55506 .54851 .54207 .53574 .52951 .52339 .51737 83 ...... 59274 .58598 .57933 .57279 .56635 .56001 .55378 .54765 .54161 .53567 84 ...... 61002 .60341 .59690 .59049 .58418 .57796 .57184 .56582 .55988 .55403 85 ...... 62734 .62090 .61454 .60828 .60211 .59603 .59004 .58414 .57832 .57258 86 ...... 64455 .63828 .63210 .62600 .61999 .61406 .60821 .60244 .59675 .59113 87 ...... 66139 .65531 .64930 .64337 .63752 .63175 .62605 .62043 .61488 .60939 88 ...... 67783 .67194 .66612 .66037 .65469 .64908 .64354 .63807 .63267 .62733 89 ...... 69387 .68817 .68254 .67698 .67148 .66605 .66068 .65537 .65012 .64493 90 ...... 70947 .70398 .69855 .69318 .68786 .68261 .67742 .67228 .66719 .66217 91 ...... 72437 .71908 .71385 .70867 .70354 .69847 .69345 .68848 .68357 .67870 92 ...... 73823 .73314 .72810 .72310 .71816 .71326 .70841 .70361 .69886 .69415 93 ...... 75109 .74618 .74132 .73650 .73173 .72700 .72232 .71768 .71308 .70852 94 ...... 76312 .75839 .75370 .74905 .74445 .73988 .73536 .73087 .72643 .72202 95 ...... 77459 .77004 .76552 .76104 .75660 .75220 .74783 .74350 .73920 .73494 96 ...... 78543 .78105 .77670 .77238 .76810 .76386 .75964 .75546 .75131 .74720 97 ...... 79550 .79128 .78709 .78293 .77880 .77470 .77063 .76659 .76258 .75860 98 ...... 80498 .80091 .79687 .79286 .78888 .78492 .78099 .77709 .77322 .76937 99 ...... 81428 .81036 .80647 .80261 .79877 .79496 .79117 .78741 .78367 .77995 100 ...... 82336 .81959 .81586 .81214 .80845 .80478 .80113 .79751 .79390 .79032 101 ...... 83234 .82873 .82515 .82158 .81804 .81451 .81101 .80753 .80406 .80062 102 ...... 84119 .83774 .83431 .83089 .82750 .82412 .82076 .81742 .81409 .81078 103 ...... 84999 .84670 .84342 .84016 .83691 .83368 .83046 .82726 .82408 .82091 104 ...... 85944 .85632 .85321 .85011 .84703 .84396 .84090 .83786 .83483 .83182 105 ...... 86866 .86570 .86276 .85982 .85690 .85399 .85109 .84820 .84532 .84245 106 ...... 88065 .87792 .87520 .87248 .86978 .86708 .86440 .86172 .85905 .85638 107 ...... 89530 .89286 .89042 .88799 .88557 .88315 .88073 .87833 .87592 .87352 108 ...... 91849 .91654 .91460 .91266 .91072 .90879 .90685 .90492 .90299 .90106 109 ...... 95900 .95800 .95700 .95600 .95500 .95400 .95300 .95200 .95100 .95000

Age 10.2% 10.4% 10.6% 10.8% 11.0% 11.2% 11.4% 11.6% 11.8% 12.0%

0 ...... 01363 .01342 .01323 .01305 .01288 .01272 .01258 .01244 .01231 .01219 1 ...... 00534 .00512 .00493 .00474 .00458 .00442 .00427 .00414 .00401 .00389 2 ...... 00518 .00495 .00474 .00455 .00437 .00421 .00405 .00391 .00377 .00365 3 ...... 00526 .00502 .00480 .00459 .00440 .00422 .00406 .00391 .00376 .00363 4 ...... 00546 .00521 .00497 .00475 .00455 .00436 .00419 .00402 .00387 .00373 5 ...... 00576 .00549 .00524 .00501 .00479 .00459 .00440 .00423 .00406 .00391 6 ...... 00613 .00584 .00557 .00532 .00509 .00488 .00468 .00449 .00432 .00415 7 ...... 00657 .00626 .00598 .00571 .00547 .00524 .00502 .00482 .00464 .00446 8 ...... 00707 .00675 .00644 .00616 .00590 .00565 .00542 .00521 .00501 .00482 9 ...... 00766 .00732 .00699 .00669 .00641 .00615 .00591 .00568 .00547 .00527 10 ...... 00835 .00798 .00764 .00732 .00702 .00675 .00649 .00624 .00602 .00580 11 ...... 00913 .00874 .00838 .00804 .00772 .00743 .00715 .00689 .00665 .00642 12 ...... 01000 .00959 .00920 .00884 .00851 .00819 .00790 .00762 .00737 .00712 13 ...... 01091 .01048 .01007 .00969 .00933 .00900 .00869 .00840 .00813 .00787 14 ...... 01181 .01135 .01092 .01052 .01014 .00979 .00947 .00916 .00887 .00860 15 ...... 01267 .01218 .01173 .01130 .01091 .01054 .01019 .00987 .00956 .00928 16 ...... 01345 .01294 .01246 .01201 .01160 .01121 .01084 .01050 .01018 .00988 17 ...... 01418 .01364 .01313 .01266 .01222 .01181 .01143 .01107 .01073 .01041 18 ...... 01486 .01429 .01375 .01326 .01279 .01236 .01196 .01158 .01122 .01088 19 ...... 01554 .01494 .01438 .01385 .01336 .01291 .01248 .01208 .01170 .01135 20 ...... 01626 .01562 .01503 .01448 .01396 .01348 .01303 .01260 .01220 .01183 21 ...... 01702 .01635 .01573 .01514 .01460 .01409 .01361 .01316 .01274 .01235 22 ...... 01782 .01711 .01645 .01584 .01526 .01472 .01422 .01374 .01330 .01288 23 ...... 01868 .01793 .01724 .01658 .01597 .01540 .01487 .01437 .01390 .01345 24 ...... 01962 .01883 .01809 .01740 .01675 .01615 .01558 .01505 .01455 .01408 25 ...... 02065 .01981 .01903 .01830 .01762 .01698 .01638 .01581 .01528 .01478 26 ...... 02178 .02089 .02006 .01929 .01856 .01789 .01725 .01665 .01609 .01556 27 ...... 02303 .02209 .02122 .02040 .01963 .01891 .01824 .01760 .01700 .01644 28 ...... 02439 .02339 .02247 .02160 .02079 .02002 .01931 .01863 .01800 .01740 29 ...... 02585 .02480 .02382 .02290 .02204 .02123 .02047 .01976 .01908 .01845 30 ...... 02742 .02631 .02527 .02430 .02339 .02253 .02172 .02096 .02025 .01957 31 ...... 02910 .02793 .02683 .02579 .02482 .02391 .02306 .02225 .02149 .02077 32 ...... 03089 .02965 .02849 .02739 .02636 .02540 .02449 .02363 .02282 .02206 33 ...... 03282 .03151 .03028 .02912 .02803 .02701 .02604 .02513 .02427 .02346 34 ...... 03489 .03350 .03220 .03097 .02982 .02873 .02771 .02674 .02583 .02497 35 ...... 03713 .03567 .03429 .03299 .03177 .03061 .02953 .02850 .02753 .02661 36 ...... 03953 .03798 .03653 .03515 .03386 .03263 .03148 .03039 .02936 .02838 37 ...... 04211 .04048 .03894 .03748 .03611 .03481 .03359 .03243 .03134 .03030 38 ...... 04490 .04318 .04155 .04001 .03856 .03719 .03589 .03466 .03350 .03239 39 ...... 04791 .04609 .04437 .04274 .04120 .03975 .03837 .03707 .03583 .03466 40 ...... 05116 .04924 .04742 .04571 .04408 .04254 .04108 .03970 .03839 .03714

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00019 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36926 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations

Age 10.2% 10.4% 10.6% 10.8% 11.0% 11.2% 11.4% 11.6% 11.8% 12.0%

41 ...... 05469 .05267 .05075 .04894 .04722 .04559 .04405 .04258 .04119 .03987 42 ...... 05851 .05638 .05436 .05245 .05063 .04891 .04728 .04573 .04425 .04285 43 ...... 06263 .06039 .05827 .05625 .05433 .05252 .05079 .04915 .04759 .04610 44 ...... 06707 .06472 .06248 .06035 .05834 .05642 .05459 .05286 .05121 .04963 45 ...... 07180 .06933 .06698 .06474 .06262 .06059 .05867 .05684 .05509 .05342 46 ...... 07685 .07425 .07178 .06943 .06720 .06507 .06304 .06110 .05926 .05750 47 ...... 08218 .07946 .07687 .07440 .07205 .06981 .06768 .06564 .06369 .06183 48 ...... 08784 .08499 .08228 .07969 .07722 .07487 .07262 .07047 .06842 .06646 49 ...... 09382 .09085 .08801 .08530 .08271 .08024 .07788 .07562 .07346 .07140 50 ...... 10018 .09707 .09410 .09127 .08856 .08597 .08349 .08112 .07885 .07667 51 ...... 10691 .10367 .10057 .09761 .09477 .09206 .08946 .08697 .08459 .08231 52 ...... 11399 .11061 .10738 .10429 .10132 .09849 .09577 .09316 .09066 .08826 53 ...... 12142 .11791 .11454 .11132 .10823 .10526 .10242 .09969 .09707 .09456 54 ...... 12921 .12556 .12206 .11870 .11548 .11239 .10942 .10657 .10383 .10120 55 ...... 13738 .13359 .12995 .12646 .12311 .11989 .11679 .11382 .11096 .10820 56 ...... 14595 .14202 .13824 .13462 .13113 .12778 .12456 .12146 .11847 .11560 57 ...... 15491 .15084 .14693 .14317 .13955 .13607 .13272 .12949 .12638 .12338 58 ...... 16424 .16004 .15599 .15209 .14834 .14473 .14125 .13789 .13465 .13153 59 ...... 17390 .16955 .16537 .16134 .15746 .15371 .15010 .14662 .14325 .14001 60 ...... 18387 .17939 .17507 .17091 .16689 .16302 .15927 .15566 .15217 .14880 61 ...... 19420 .18958 .18513 .18084 .17669 .17268 .16881 .16506 .16145 .15795 62 ...... 20494 .20020 .19561 .19119 .18691 .18277 .17877 .17490 .17115 .16753 63 ...... 21613 .21126 .20654 .20199 .19758 .19331 .18918 .18518 .18131 .17757 64 ...... 22774 .22274 .21791 .21322 .20869 .20429 .20004 .19592 .19192 .18805 65 ...... 23979 .23467 .22971 .22490 .22025 .21573 .21135 .20710 .20299 .19899 66 ...... 25233 .24709 .24202 .23709 .23231 .22767 .22318 .21881 .21457 .21045 67 ...... 26543 .26009 .25489 .24985 .24496 .24021 .23560 .23111 .22676 .22252 68 ...... 27908 .27363 .26833 .26319 .25819 .25332 .24860 .24400 .23954 .23519 69 ...... 29324 .28769 .28230 .27705 .27195 .26699 .26216 .25746 .25288 .24843 70 ...... 30783 .30219 .29671 .29137 .28618 .28112 .27619 .27139 .26672 .26216 71 ...... 32277 .31706 .31150 .30608 .30079 .29564 .29063 .28573 .28096 .27631 72 ...... 33803 .33225 .32661 .32112 .31575 .31052 .30542 .30044 .29559 .29084 73 ...... 35356 .34772 .34201 .33645 .33101 .32571 .32053 .31547 .31053 .30571 74 ...... 36943 .36354 .35778 .35215 .34666 .34129 .33604 .33091 .32590 .32100 75 ...... 38574 .37980 .37400 .36833 .36278 .35735 .35205 .34686 .34178 .33681 76 ...... 40256 .39660 .39076 .38505 .37947 .37400 .36864 .36340 .35827 .35324 77 ...... 41991 .41394 .40808 .40235 .39674 .39124 .38585 .38056 .37539 .37032 78 ...... 43777 .43180 .42594 .42020 .41457 .40906 .40365 .39834 .39314 .38803 79 ...... 45602 .45007 .44422 .43849 .43287 .42735 .42193 .41661 .41139 .40627 80 ...... 47449 .46856 .46275 .45704 .45143 .44592 .44051 .43519 .42997 .42484 81 ...... 49300 .48712 .48134 .47566 .47008 .46460 .45921 .45391 .44870 .44357 82 ...... 51145 .50563 .49990 .49427 .48873 .48328 .47792 .47265 .46746 .46235 83 ...... 52983 .52407 .51841 .51284 .50735 .50195 .49663 .49139 .48624 .48116 84 ...... 54828 .54261 .53702 .53151 .52609 .52075 .51549 .51030 .50519 .50015 85 ...... 56693 .56135 .55586 .55044 .54510 .53983 .53464 .52952 .52447 .51949 86 ...... 58560 .58013 .57474 .56943 .56418 .55901 .55390 .54886 .54389 .53898 87 ...... 60398 .59864 .59337 .58817 .58303 .57795 .57294 .56799 .56310 .55828 88 ...... 62206 .61685 .61170 .60662 .60159 .59663 .59173 .58688 .58209 .57736 89 ...... 63980 .63474 .62972 .62477 .61987 .61503 .61024 .60551 .60083 .59620 90 ...... 65719 .65227 .64741 .64259 .63783 .63312 .62846 .62385 .61928 .61477 91 ...... 67388 .66912 .66440 .65973 .65511 .65053 .64600 .64152 .63708 .63269 92 ...... 68949 .68487 .68030 .67577 .67129 .66685 .66245 .65809 .65378 .64950 93 ...... 70401 .69954 .69511 .69072 .68637 .68205 .67778 .67355 .66935 .66519 94 ...... 71765 .71332 .70902 .70477 .70055 .69636 .69222 .68810 .68403 .67998 95 ...... 73072 .72653 .72237 .71825 .71416 .71010 .70608 .70209 .69813 .69421 96 ...... 74311 .73906 .73504 .73105 .72709 .72316 .71926 .71539 .71155 .70774 97 ...... 75465 .75073 .74684 .74297 .73914 .73533 .73155 .72780 .72407 .72037 98 ...... 76555 .76175 .75798 .75424 .75052 .74683 .74317 .73953 .73591 .73232 99 ...... 77626 .77260 .76895 .76534 .76174 .75817 .75462 .75109 .74759 .74411 100 ...... 78676 .78323 .77971 .77622 .77274 .76929 .76586 .76245 .75906 .75569 101 ...... 79719 .79379 .79040 .78703 .78368 .78035 .77704 .77375 .77048 .76722 102 ...... 80749 .80422 .80096 .79772 .79450 .79130 .78811 .78494 .78178 .77864 103 ...... 81775 .81461 .81149 .80838 .80529 .80221 .79914 .79609 .79306 .79003 104 ...... 82881 .82582 .82284 .81988 .81693 .81399 .81106 .80815 .80525 .80236 105 ...... 83959 .83674 .83391 .83108 .82826 .82546 .82267 .81988 .81711 .81435 106 ...... 85373 .85108 .84844 .84581 .84319 .84058 .83797 .83537 .83278 .83020 107 ...... 87113 .86875 .86636 .86399 .86161 .85925 .85689 .85453 .85218 .84984 108 ...... 89913 .89721 .89529 .89337 .89145 .88953 .88762 .88571 .88380 .88189 109 ...... 94900 .94800 .94700 .94600 .94500 .94400 .94300 .94200 .94100 .94000

Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

0 ...... 01208 .01197 .01187 .01177 .01168 .01159 .01151 .01143 .01135 .01128 1 ...... 00378 .00367 .00358 .00348 .00340 .00331 .00323 .00316 .00309 .00302

VerDate 112000 19:26 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00020 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm02 PsN: 12JNR2 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36927

Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

2 ...... 00353 .00342 .00331 .00322 .00312 .00304 .00295 .00288 .00280 .00273 3 ...... 00350 .00339 .00327 .00317 .00307 .00298 .00289 .00281 .00273 .00265 4 ...... 00359 .00347 .00335 .00324 .00313 .00303 .00294 .00285 .00276 .00268 5 ...... 00377 .00363 .00351 .00339 .00327 .00317 .00306 .00297 .00288 .00279 6 ...... 00400 .00386 .00372 .00359 .00347 .00335 .00325 .00314 .00305 .00295 7 ...... 00430 .00414 .00400 .00386 .00373 .00360 .00349 .00338 .00327 .00317 8 ...... 00465 .00448 .00432 .00417 .00403 .00390 .00378 .00366 .00354 .00344 9 ...... 00508 .00490 .00473 .00457 .00442 .00428 .00414 .00402 .00389 .00378 10 ...... 00560 .00541 .00523 .00506 .00490 .00475 .00460 .00446 .00433 .00421 11 ...... 00620 .00600 .00581 .00563 .00546 .00529 .00514 .00499 .00485 .00472 12 ...... 00689 .00668 .00647 .00628 .00610 .00593 .00576 .00560 .00545 .00531 13 ...... 00763 .00740 .00718 .00698 .00678 .00660 .00642 .00626 .00610 .00595 14 ...... 00834 .00810 .00787 .00766 .00745 .00726 .00707 .00689 .00673 .00657 15 ...... 00901 .00875 .00851 .00828 .00807 .00786 .00767 .00748 .00730 .00714 16 ...... 00959 .00932 .00907 .00883 .00860 .00839 .00818 .00799 .00780 .00762 17 ...... 01011 .00983 .00956 .00930 .00907 .00884 .00862 .00842 .00822 .00804 18 ...... 01057 .01027 .00999 .00972 .00947 .00923 .00900 .00879 .00858 .00839 19 ...... 01101 .01070 .01040 .01012 .00985 .00960 .00936 .00914 .00892 .00871 20 ...... 01148 .01115 .01083 .01054 .01026 .00999 .00974 .00950 .00927 .00905 21 ...... 01197 .01162 .01129 .01098 .01068 .01040 .01014 .00988 .00964 .00941 22 ...... 01249 .01211 .01176 .01143 .01112 .01082 .01054 .01027 .01002 .00978 23 ...... 01304 .01264 .01227 .01192 .01159 .01127 .01098 .01069 .01042 .01017 24 ...... 01364 .01322 .01283 .01246 .01210 .01177 .01145 .01115 .01087 .01060 25 ...... 01431 .01387 .01345 .01306 .01268 .01233 .01199 .01168 .01137 .01109 26 ...... 01506 .01459 .01415 .01373 .01333 .01295 .01260 .01226 .01194 .01163 27 ...... 01591 .01541 .01494 .01449 .01407 .01367 .01329 .01293 .01259 .01226 28 ...... 01684 .01631 .01580 .01533 .01488 .01445 .01405 .01367 .01330 .01296 29 ...... 01785 .01728 .01675 .01624 .01577 .01531 .01488 .01447 .01408 .01372 30 ...... 01893 .01833 .01776 .01723 .01672 .01623 .01578 .01534 .01493 .01453 31 ...... 02010 .01946 .01885 .01828 .01773 .01722 .01673 .01627 .01582 .01540 32 ...... 02134 .02066 .02002 .01940 .01883 .01828 .01776 .01726 .01679 .01634 33 ...... 02270 .02197 .02128 .02063 .02002 .01943 .01887 .01835 .01784 .01736 34 ...... 02415 .02338 .02265 .02195 .02130 .02067 .02008 .01951 .01897 .01846 35 ...... 02574 .02492 .02414 .02340 .02270 .02203 .02140 .02080 .02022 .01967 36 ...... 02746 .02658 .02575 .02496 .02422 .02350 .02283 .02218 .02157 .02098 37 ...... 02932 .02838 .02750 .02666 .02586 .02510 .02438 .02369 .02303 .02241 38 ...... 03135 .03035 .02941 .02851 .02766 .02685 .02608 .02534 .02464 .02397 39 ...... 03355 .03249 .03149 .03053 .02962 .02876 .02793 .02715 .02640 .02568 40 ...... 03596 .03484 .03377 .03275 .03178 .03086 .02998 .02914 .02833 .02757 41 ...... 03861 .03742 .03628 .03520 .03416 .03318 .03224 .03134 .03048 .02966 42 ...... 04152 .04025 .03903 .03788 .03678 .03573 .03473 .03377 .03285 .03198 43 ...... 04468 .04333 .04205 .04082 .03965 .03853 .03746 .03644 .03546 .03453 44 ...... 04813 .04670 .04533 .04403 .04278 .04159 .04045 .03936 .03832 .03732 45 ...... 05183 .05032 .04887 .04748 .04616 .04489 .04368 .04252 .04141 .04034 46 ...... 05582 .05421 .05267 .05121 .04980 .04846 .04717 .04593 .04475 .04362 47 ...... 06006 .05836 .05673 .05518 .05369 .05226 .05089 .04958 .04832 .04711 48 ...... 06459 .06279 .06107 .05943 .05785 .05634 .05488 .05349 .05216 .05087 49 ...... 06942 .06752 .06571 .06397 .06230 .06070 .05916 .05768 .05626 .05490 50 ...... 07459 .07259 .07068 .06884 .06708 .06538 .06376 .06219 .06069 .05924 51 ...... 08012 .07801 .07599 .07406 .07220 .07041 .06869 .06703 .06544 .06391 52 ...... 08596 .08375 .08163 .07959 .07763 .07574 .07392 .07218 .07049 .06887 53 ...... 09214 .08982 .08759 .08544 .08338 .08139 .07948 .07763 .07586 .07415 54 ...... 09867 .09623 .09389 .09164 .08946 .08737 .08536 .08342 .08154 .07974 55 ...... 10556 .10301 .10055 .09819 .09591 .09371 .09159 .08955 .08757 .08567 56 ...... 11283 .11016 .10759 .10511 .10272 .10042 .09819 .09605 .09397 .09197 57 ...... 12050 .11771 .11502 .11243 .10993 .10751 .10518 .10293 .10075 .09864 58 ...... 12852 .12562 .12281 .12011 .11749 .11496 .11252 .11016 .10787 .10567 59 ...... 13687 .13385 .13092 .12810 .12537 .12273 .12017 .11770 .11531 .11299 60 ...... 14554 .14240 .13935 .13641 .13356 .13080 .12813 .12555 .12305 .12063 61 ...... 15457 .15130 .14813 .14507 .14210 .13923 .13644 .13375 .13113 .12860 62 ...... 16402 .16063 .15734 .15415 .15107 .14808 .14518 .14237 .13964 .13699 63 ...... 17393 .17042 .16700 .16370 .16049 .15738 .15437 .15144 .14860 .14584 64 ...... 18429 .18065 .17712 .17369 .17036 .16714 .16400 .16096 .15800 .15513 65 ...... 19511 .19135 .18769 .18415 .18070 .17735 .17410 .17094 .16787 .16488 66 ...... 20645 .20257 .19880 .19513 .19157 .18810 .18473 .18146 .17827 .17517 67 ...... 21841 .21441 .21052 .20673 .20305 .19947 .19599 .19259 .18929 .18608 68 ...... 23096 .22685 .22284 .21895 .21515 .21146 .20786 .20436 .20094 .19762 69 ...... 24409 .23987 .23575 .23175 .22784 .22404 .22033 .21672 .21320 .20976 70 ...... 25772 .25339 .24918 .24507 .24106 .23715 .23333 .22961 .22598 .22244 71 ...... 27178 .26735 .26304 .25882 .25471 .25070 .24679 .24296 .23923 .23559 72 ...... 28622 .28170 .27729 .27298 .26877 .26467 .26065 .25673 .25290 .24915 73 ...... 30100 .29639 .29189 .28749 .28320 .27899 .27489 .27087 .26694 .26310 74 ...... 31621 .31152 .30694 .30246 .29807 .29378 .28959 .28548 .28146 .27753 75 ...... 33195 .32719 .32253 .31797 .31351 .30914 .30486 .30067 .29657 .29255

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36928 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations

Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

76 ...... 34832 .34350 .33877 .33415 .32961 .32517 .32082 .31656 .31238 .30828 77 ...... 36535 .36047 .35570 .35101 .34642 .34192 .33750 .33317 .32892 .32475 78 ...... 38302 .37811 .37329 .36856 .36392 .35937 .35490 .35051 .34621 .34198 79 ...... 40124 .39630 .39145 .38669 .38201 .37742 .37291 .36848 .36413 .35985 80 ...... 41980 .41485 .40998 .40520 .40050 .39588 .39134 .38688 .38249 .37818 81 ...... 43854 .43358 .42871 .42392 .41921 .41457 .41001 .40553 .40112 .39678 82 ...... 45733 .45238 .44752 .44273 .43802 .43338 .42881 .42431 .41989 .41553 83 ...... 47616 .47123 .46638 .46161 .45690 .45227 .44770 .44320 .43877 .43441 84 ...... 49519 .49030 .48548 .48073 .47604 .47143 .46688 .46239 .45797 .45361 85 ...... 51458 .50974 .50496 .50025 .49560 .49102 .48650 .48204 .47763 .47329 86 ...... 53413 .52935 .52463 .51998 .51538 .51084 .50636 .50194 .49758 .49327 87 ...... 55351 .54881 .54416 .53957 .53503 .53055 .52613 .52176 .51744 .51317 88 ...... 57268 .56806 .56349 .55898 .55451 .55010 .54574 .54144 .53718 .53296 89 ...... 59162 .58710 .58262 .57819 .57382 .56949 .56520 .56097 .55678 .55263 90 ...... 61030 .60588 .60151 .59718 .59290 .58866 .58447 .58032 .57621 .57214 91 ...... 62834 .62403 .61977 .61554 .61136 .60722 .60312 .59907 .59505 .59107 92 ...... 64527 .64107 .63692 .63280 .62872 .62468 .62068 .61672 .61279 .60890 93 ...... 66107 .65699 .65294 .64893 .64495 .64101 .63711 .63323 .62940 .62559 94 ...... 67597 .67200 .66806 .66415 .66027 .65643 .65262 .64884 .64509 .64138 95 ...... 69031 .68645 .68262 .67881 .67504 .67130 .66759 .66390 .66025 .65662 96 ...... 70396 .70021 .69648 .69279 .68912 .68548 .68186 .67828 .67471 .67118 97 ...... 71670 .71305 .70943 .70584 .70227 .69872 .69520 .69171 .68824 .68480 98 ...... 72875 .72521 .72169 .71819 .71472 .71127 .70784 .70444 .70106 .69770 99 ...... 74065 .73721 .73379 .73040 .72703 .72368 .72035 .71704 .71375 .71048 100 ...... 75234 .74901 .74570 .74241 .73914 .73589 .73265 .72944 .72625 .72307 101 ...... 76399 .76077 .75757 .75438 .75122 .74807 .74494 .74183 .73873 .73565 102 ...... 77552 .77241 .76932 .76625 .76319 .76015 .75712 .75411 .75111 .74813 103 ...... 78703 .78404 .78106 .77809 .77514 .77221 .76929 .76638 .76348 .76060 104 ...... 79948 .79662 .79377 .79093 .78810 .78528 .78248 .77969 .77691 .77414 105 ...... 81159 .80885 .80612 .80340 .80069 .79799 .79530 .79262 .78995 .78729 106 ...... 82763 .82506 .82250 .81995 .81741 .81488 .81235 .80983 .80732 .80482 107 ...... 84749 .84516 .84283 .84051 .83819 .83587 .83356 .83126 .82896 .82666 108 ...... 87999 .87808 .87618 .87428 .87238 .87049 .86859 .86670 .86481 .86293 109 ...... 93900 .93800 .93700 .93600 .93500 .93400 .93300 .93200 .93100 .93000

(f) Effective dates. This section applicable to transactions for which the annuity beginning-of-interval applies after April 30, 1999. valuation date falls before May 1, 1999. adjustment factors). Section 20.2031– 7(d)(7) of this chapter contains Table S § 1.664±4T [Removed] (c) * * * (1) Regulation sections containing (single life remainder factors), and Table Par. 8. Section 1.664–4T is removed. tables with interest rates between 4.2 90CM (mortality components). These Par. 9. Section 1.7520–1 is amended and 14 percent for valuation dates after tables are used in determining the by: April 30, 1999. Section 1.642(c)–6(e)(6) present value of annuities, life estates, 1. Revising paragraph (b)(2). contains Table S used for determining remainders, and reversions. See 2. Revising paragraphs (c)(1) and the present value of a single life § 20.2031–7A of this chapter for single (c)(2). remainder interest in a pooled income life remainder factors and mortality 3. Revising paragraph (d). fund as defined in § 1.642(c)–5. See components applicable to valuation The revisions read as follows: § 1.642(c)–6A for actuarial factors for dates before May 1, 1999. § 1.7520±1 Valuation of annuities, unitrust one life applicable to valuation dates (2) Internal Revenue Service interests, interests for life or terms of years, before May 1, 1999. Section 1.664– publications containing tables with and remainder or reversionary interests. 4(e)(6) contains Table F (payout factors) interest rates between 2.2 and 22 * * * * * and Table D (actuarial factors used in percent for valuation dates after April (b) * * * determining the present value of a 30, 1999. The following documents are (2) Mortality component. The remainder interest postponed for a term available for purchase from the mortality component reflects the of years). Section 1.664–4(e)(7) contains Superintendent of Documents, United mortality data most recently available Table U(1) (unitrust single life States Government Printing Office, from the United States census. As new remainder factors). These tables are Washington, DC 20402: mortality data becomes available after used in determining the present value of (i) Internal Revenue Service each decennial census, the mortality a remainder interest in a charitable Publication 1457, ‘‘Actuarial Values, component described in this section remainder unitrust as defined in Book Aleph,’’ (7–1999). This will be revised periodically and the § 1.664–3. See § 1.664–4A for unitrust publication includes tables of valuation revised mortality component tables will single life remainder factors applicable factors, as well as examples that show be published in the regulations at that to valuation dates before May 1, 1999. how to compute other valuation factors, time. For transactions with valuation Section 20.2031–7(d)(6) of this chapter for determining the present value of dates after April 30, 1999, the mortality contains Table B (actuarial factors used annuities, life estates, terms of years, component table (Table 90CM) is in determining the present value of an remainders, and reversions, measured contained in § 20.2031–7(d)(7) of this interest for a term of years), Table K by one or two lives. These factors may chapter. See § 20.2031–7A of this (annuity end-of-interval adjustment also be used in the valuation of interests chapter for mortality component tables factors), and Table J (term certain in a charitable remainder annuity trust

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00022 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36929 as defined in § 1.664–2 and a pooled reversions for estates of decedents for corresponds to the applicable section income fund as defined in § 1.642(c)–5. which the valuation date of the gross 7520 interest rate and remainder interest See § 20.2031–7A of this chapter for estate is before May 1, 1999, is period) in Table B (for a term certain) or publications containing tables for determined under the following the appropriate Table S (for one valuation dates before May 1, 1999. sections: measuring life), as the case may be. (ii) Internal Revenue Service Table B is contained in paragraph (d)(6) Publication 1458, ‘‘Actuarial Values, Valuation date Applicable of this section and Table S (for one measuring life when the valuation date Book Beth,’’ (7–1999). This publication After Before regulations includes term certain tables and tables is after April 30, 1999) is contained in of one and two life valuation factors for 01±01±52 20.2031±7A(a) paragraph (d)(7) of this section and in determining the present value of 12±31±51 ...... 01±01±71 20.2031±7A(b) Internal Revenue Service Publication remainder interests in a charitable 12±31±70 ...... 12±01±83 20.2031±7A(c) 1457. For information about obtaining remainder unitrust as defined in 11±30±83 ...... 05±01±89 20.2031±7A(d) actuarial factors for other types of § 1.664–3. See § 1.664–4A for 04±30±89 ...... 05±01±99 20.2031±7A(e) remainder interests, see paragraph (d)(4) publications containing tables for of this section. valuation dates before May 1, 1999. (d) Actuarial valuations after April (iii) Ordinary term-of-years and life (iii) Internal Revenue Service 30, 1999—(1) In general. Except as interests. If the interest to be valued is Publication 1459, ‘‘Actuarial Values, otherwise provided in paragraph (b) of the right of a person to receive the Book Gimel,’’ (7–1999). This publication this section and § 20.7520–3(b) income of certain property, or to use includes tables for computing (pertaining to certain limitations on the certain nonincome-producing property, depreciation adjustment factors. See use of prescribed tables), if the valuation for a term of years or for the life of one date for the gross estate of the decedent § 1.170A–12. individual, the present value of the (d) Effective date. This section applies is after April 30, 1999, the fair market interest is computed by multiplying the value of annuities, life estates, terms of after April 30, 1989. value of the property by the appropriate years, remainders, and reversionary term-of-years or life interest actuarial § 1.7520±1T [Removed] interests is the present value determined factor (that corresponds to the Par. 10. Section 1.7520–1T is by use of standard or special section applicable section 7520 interest rate and removed. 7520 actuarial factors. These factors are term-of-years or life interest period). derived by using the appropriate section Internal Revenue Service Publication PART 20ÐESTATE TAX; ESTATES OF 7520 interest rate and, if applicable, the 1457 includes actuarial factors for an DECEDENTS DYING AFTER AUGUST mortality component for the valuation interest for a term of years in Table B 16, 1954 date of the interest that is being valued. and for the life of one individual in For purposes of the computations Table S (for one measuring life when the Par. 11. The authority citation for part described in this section, the age of an valuation date is after April 30, 1999). 20 is amended by removing entries for individual is the age of that individual However, term-of-years and life interest sections 20.2031–7T and 20.7520–1T to at the individual’s nearest birthday. See actuarial factors are not included in read in part as follows: §§ 20.7520–1 through 20.7520–4. Table B in paragraph (d)(6) of this Authority: 26 U.S.C. 7805 * * * (2) Specific interests—(i) Charitable section or Table S in paragraph (d)(7) of remainder trusts. The fair market value this section. If Internal Revenue Service § 20.2031±0 [Amended] of a remainder interest in a pooled Publication 1457 (or any other reliable Par. 12. Section 20.2031–0 is income fund, as defined in § 1.642(c)–5 source of term-of-years and life interest amended by removing the entry for of this chapter, is its value determined actuarial factors) is not conveniently § 20.2031–7T from the contents listing. under § 1.642(c)–6(e) of this chapter. available, an actuarial factor for the The fair market value of a remainder Par. 13. Section 20.2031–7 is interest may be derived mathematically. interest in a charitable remainder amended by: This actuarial factor may be derived by annuity trust, as defined in § 1.664–2(a) 1. Removing existing paragraphs (c) subtracting the correlative remainder of this chapter, is the present value through (d)(5). factor (that corresponds to the determined under § 1.664–2(c) of this 2. Adding paragraphs (c), (d) heading, applicable section 7520 interest rate and chapter. The fair market value of a and (d)(1) through (d)(5). the term of years or the life) in Table B 3. Revising the introductory text of remainder interest in a charitable (for a term of years) in paragraph (d)(6) paragraph (d)(6). remainder unitrust, as defined in of this section or in Table S (for the life 4. Adding paragraph (d)(7). § 1.664–3 of this chapter, is its present of one individual) in paragraph (d)(7) of 5. Revising paragraph (e). value determined under § 1.664–4(e) of this section, as the case may be, from The revisions and additions read as this chapter. The fair market value of a 1.000000. For information about follows: life interest or term of years in a obtaining actuarial factors for other charitable remainder unitrust is the fair types of term-of-years and life interests, § 20.2031±7 Valuation of annuities, market value of the property as of the see paragraph (d)(4) of this section. interests for life or term of years, and date of valuation less the fair market (iv) Annuities. (A) If the interest to be remainder or reversionary interests. value of the remainder interest on that valued is the right of a person to receive * * * * * date determined under § 1.664–4(e)(4) an annuity that is payable at the end of (c) Actuarial valuations. The present and (5) of this chapter. each year for a term of years or for the value of annuities, life estates, terms of (ii) Ordinary remainder and life of one individual, the present value years, remainders, and reversions for reversionary interests. If the interest to of the interest is computed by estates of decedents for which the be valued is to take effect after a definite multiplying the aggregate amount valuation date of the gross estate is after number of years or after the death of one payable annually by the appropriate April 30, 1999, is determined under individual, the present value of the annuity actuarial factor (that paragraph (d) of this section. The interest is computed by multiplying the corresponds to the applicable section present value of annuities, life estates, value of the property by the appropriate 7520 interest rate and annuity period). terms of years, remainders, and remainder interest actuarial factor (that Internal Revenue Publication 1457

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00023 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36930 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations includes actuarial factors in Table B (for aggregate amount payable annually by actuarial table with respect to each an annuity payable for a term of years) the annuity factor described in individual transaction and with respect and in Table S (for an annuity payable paragraph (d)(2)(iv)(A) of this section; to all transfers occurring on the for the life of one individual when the and the product so obtained is then valuation date (for example, gift and valuation date is after April 30, 1999). multiplied by the adjustment factor in income tax charitable deductions with However, annuity actuarial factors are Table J in paragraph (d)(6) of this respect to the same transfer must be not included in Table B in paragraph section at the appropriate interest rate determined based on the same tables, (d)(6) of this section or Table S in component for payments made at the and all assets includible in the gross paragraph (d)(7) of this section. If beginning of specified periods. If an estate and/or estate tax deductions Internal Revenue Service Publication annuity is payable at the beginning of claimed must be valued based on the 1457 (or any other reliable source of annual, semiannual, quarterly, monthly, same tables). annuity actuarial factors) is not or weekly periods for one or more lives, (4) Publications and actuarial conveniently available, a required the value of the annuity is the sum of computations by the Internal Revenue annuity factor for a term of years or for the first payment plus the present value Service. Many standard actuarial factors one life may be mathematically derived. of a similar annuity, the first payment not included in paragraphs (d)(6) or This annuity factor may be derived by of which is not to be made until the end (d)(7) of this section are included in subtracting the applicable remainder of the payment period, determined as Internal Revenue Service Publication factor (that corresponds to the provided in this paragraph (d)(2)(iv). 1457, ‘‘Actuarial Values, Book Aleph,’’ applicable section 7520 interest rate and (v) Annuity and unitrust interests for (7–1999). Publication 1457 also includes annuity period) in Table B (in the case a term of years or until the prior death examples that illustrate how to compute of a term-of-years annuity) in paragraph of an individual. See § 25.2512– many special factors for more unusual (d)(6) of this section or in Table S (in the 5(d)(2)(v) of this chapter for examples situations. A copy of this publication is case of a one-life annuity when the explaining how to compute the present available for purchase from the valuation date is after April 30, 1999) in value of an annuity or unitrust interest Superintendent of Documents, United paragraph (d)(7) of this section, as the that is payable until the earlier of the States Government Printing Office, case may be, from 1.000000 and then lapse of a specific number of years or Washington, DC 20402. See § 20.2031– dividing the result by the applicable the death of an individual. 7A for publications containing actuarial section 7520 interest rate expressed as a (3) Transitional rule. (i) If a decedent factors for valuing interests for which decimal number. dies after April 30, 1999, and if on May the valuation date is before May 1, 1999. (B) If the annuity is payable at the end 1, 1999, the decedent was mentally If a special factor is required in the case of semiannual, quarterly, monthly, or incompetent so that the disposition of of an actual decedent, the Internal weekly periods, the product obtained by the decedent’s property could not be Revenue Service may furnish the factor multiplying the annuity factor by the changed, and the decedent dies without to the executor upon a request for a aggregate amount payable annually is having regained competency to dispose ruling. The request for a ruling must be then multiplied by the applicable of the decedent’s property or dies accompanied by a recitation of the facts adjustment factor as contained in Table within 90 days of the date on which the including a statement of the date of K in paragraph (d)(6) of this section for decedent first regains competency, the birth for each measuring life, the date of payments made at the end of the fair market value of annuities, life the decedent’s death, any other specified periods. The provisions of this estates, terms for years, remainders, and applicable dates, and a copy of the will, paragraph (d)(2)(iv)(B) are illustrated by reversions included in the gross estate trust, or other relevant documents. A of the decedent is their present value the following example: request for a ruling must comply with determined either under this section or the instructions for requesting a ruling Example. At the time of the decedent’s under the corresponding section published periodically in the Internal death, the survivor/annuitant, age 72, is applicable at the time the decedent Revenue Bulletin (see §§ 601.201 and entitled to receive an annuity of $15,000 a became mentally incompetent, at the year for life payable in equal monthly 601.601(d)(2)(ii)(b) of this chapter) and option of the decedent’s executor. For installments at the end of each period. The include payment of the required user section 7520 rate for the month in which the example, see § 20.2031–7A(e)(2). (ii) If a decedent dies after April 30, fee. decedent died is 9.6 percent. Under Table S (5) Examples. The provisions of this 1999, and before July 1, 1999, the fair in paragraph (d)(7) of this section, the section are illustrated by the following market value of annuities, life estates, remainder factor at 9.6 percent for an examples: individual aged 72 is .38438. By converting remainders, and reversions based on the remainder factor to an annuity factor, as one or more measuring lives included in Example 1. Remainder payable at an described above, the annuity factor at 9.6 the gross estate of the decedent is their individual’s death. The decedent, or the percent for an individual aged 72 is 6.4127 present value determined under this decedent’s estate, was entitled to receive certain property worth $50,000 upon the (1.00000 minus .38438, divided by .096). section by use of the section 7520 Under Table K in paragraph (d)(6) of this death of A, to whom the income was section, the adjustment factor under the interest rate for the month in which the bequeathed for life. At the time of the column for payments made at the end of each valuation date occurs (see §§ 20.7520– decedent’s death, A was 47 years 5 months monthly period at the rate of 9.6 percent is 1(b) and 20.7520–2(a)(2)) and the old. In the month in which the decedent 1.0433. The aggregate annual amount, appropriate actuarial tables under either died, the section 7520 rate was 9.8 percent. $15,000, is multiplied by the factor 6.4127 paragraph (d)(7) of this section or Under Table S in paragraph (d)(7) of this and the product multiplied by 1.0433. The § 20.2031–7A(e)(4), at the option of the section, the remainder factor at 9.8 percent present value of the annuity at the date of the decedent’s executor. for determining the present value of the decedent’s death is, therefore, $100,355.55 (iii) For purposes of paragraphs remainder interest due at the death of a × × ($15,000 6.4127 1.0433). (d)(3)(i) and (ii) of this section, where person aged 47, the number of years nearest A’s actual age at the decedent’s death, is (C) If an annuity is payable at the the decedent’s executor is given the .10317. The present value of the remainder beginning of annual, semiannual, option to use the appropriate actuarial interest at the date of the decedent’s death is, quarterly, monthly, or weekly periods tables under either paragraph (d)(7) of therefore, $5,158.50 ($50,000 × .10317). for a term of years, the value of the this section or § 20.2031–7A(e)(4), the Example 2. Income payable for an annuity is computed by multiplying the decedent’s executor must use the same individual’s life. A’s parent bequeathed an

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00024 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36931 income interest in property to A for life, with present value of an annuity payable until the April 30, 1989. Except as provided in the remainder interest passing to B at A’s death of a person age 46 is 9.3736 (1.00000 § 20.7520–3(b) (pertaining to certain death. At the time of the parent’s death, the minus .10013, divided by .096). The limitations on prescribed tables), for value of the property was $50,000 and A was adjustment factor from Table K in paragraph determination of the present value of an 30 years 10 months old. The section 7520 (d)(6) of this section at an interest rate of 9.6 rate at the time of the parent’s death was 10.2 percent for semiannual annuity payments interest that is dependent on a term of percent. Under Table S in paragraph (d)(7) of made at the end of the period is 1.0235. The years, the tables in this paragraph (d)(6) this section, the remainder factor at 10.2 present value of the annuity at the date of A’s must be used in the application of the percent for determining the present value of death is, therefore, $95,938.80 ($10,000 × provisions of this section when the the remainder interest due at the death of a 9.3736 × 1.0235). section 7520 interest rate component is person aged 31, the number of years closest Example 4. Annuity payable for a term of between 4.2 and 14 percent. to A’s age at the decedent’s death, is .03583. years. The decedent, or the decedent’s estate, Converting this remainder factor to an was entitled to receive an annuity of $10,000 * * * * * income factor, as described in paragraph a year payable in equal quarterly installments (7) Actuarial Table S and Table 90CM (d)(2)(iii) of this section, the factor for at the end of each quarter throughout a term where the valuation date is after April determining the present value of an income certain. At the time of the decedent’s death, 30, 1999. Except as provided in interest for the life of a person aged 31 is the section 7520 rate was 9.8 percent. A .96417. The present value of A’s interest at quarterly payment had just been made prior § 20.7520–2(b) (pertaining to certain the time of the parent’s death is, therefore, to the decedent’s death and payments were limitations on the use of prescribed × $48,208.50 ($50,000 .96417). to continue for 5 more years. Under Table B tables), for determination of the present Example 3. Annuity payable for an in paragraph (d)(6) of this section for the value of an interest that is dependent on individual’s life. A purchased an annuity for interest rate of 9.8 percent, the factor for the the termination of a life interest, Table the benefit of both A and B. Under the terms present value of a remainder interest due 90CM and Table S, single life remainder of the annuity contract, at A’s death, a after a term of 5 years is .626597. Converting factors applicable where the valuation survivor annuity of $10,000 a year payable in the factor to an annuity factor, as described equal semiannual installments made at the date is after April 30, 1999, contained in in paragraph (d)(2)(iv)(A) of this section, the this paragraph (d)(7) (or Table S and end of each interval is payable to B for life. factor for the present value of an annuity for At A’s death, B was 45 years 7 months old. a term of 5 years is 3.8102. The adjustment Table 80CNSMT contained in Also, at A’s death, the section 7520 rate was factor from Table K in paragraph (d)(6) of this § 20.2031–7A(e)(4) for valuation dates 9.6 percent. Under Table S in paragraph section at an interest rate of 9.8 percent for after April 30, 1989, and before May 1, (d)(7) of this section, the factor at 9.6 percent quarterly annuity payments made at the end 1999) and Table J and Table K contained for determining the present value of the of the period is 1.0360. The present value of in paragraph (d)(6) of this section, must remainder interest at the death of a person the annuity is, therefore, $39,473.67 ($10,000 be used in the application of the age 46 (the number of years nearest B’s actual × 3.8102 × 1.0360). age) is .10013. By converting the factor to an provisions of this section when the annuity factor, as described in paragraph (6) Actuarial Table B, Table J, and section 7520 interest rate component is (d)(2)(iv)(A) of this section, the factor for the Table K where the valuation date is after between 4.2 and 14 percent.

TABLE S.ÐBASED ON LIFE TABLE 90CM SINGLE LIFE REMAINDER FACTORS APPLICABLE AFTER APRIL 30, 1999 [Interest rate]

Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% 5.8% 6.0%

0 ...... 06752 .06130 .05586 .05109 .04691 .04322 .03998 .03711 .03458 .03233 1 ...... 06137 .05495 .04932 .04438 .04003 .03620 .03283 .02985 .02721 .02487 2 ...... 06325 .05667 .05088 .04580 .04132 .03737 .03388 .03079 .02806 .02563 3 ...... 06545 .05869 .05275 .04752 .04291 .03883 .03523 .03203 .02920 .02668 4 ...... 06784 .06092 .05482 .04944 .04469 .04048 .03676 .03346 .03052 .02791 5 ...... 07040 .06331 .05705 .05152 .04662 .04229 .03845 .03503 .03199 .02928 6 ...... 07310 .06583 .05941 .05372 .04869 .04422 .04025 .03672 .03357 .03076 7 ...... 07594 .06849 .06191 .05607 .05089 .04628 .04219 .03854 .03528 .03236 8 ...... 07891 .07129 .06453 .05853 .05321 .04846 .04424 .04046 .03709 .03407 9 ...... 08203 .07423 .06731 .06115 .05567 .05079 .04643 .04253 .03904 .03592 10 ...... 08532 .07734 .07024 .06392 .05829 .05326 .04877 .04474 .04114 .03790 11 ...... 08875 .08059 .07331 .06683 .06104 .05587 .05124 .04709 .04336 .04002 12 ...... 09233 .08398 .07653 .06989 .06394 .05862 .05385 .04957 .04572 .04226 13 ...... 09601 .08748 .07985 .07304 .06693 .06146 .05655 .05214 .04816 .04458 14 ...... 09974 .09102 .08322 .07624 .06997 .06435 .05929 .05474 .05064 .04694 15 ...... 10350 .09460 .08661 .07946 .07303 .06725 .06204 .05735 .05312 .04930 16 ...... 10728 .09818 .09001 .08268 .07608 .07014 .06479 .05996 .05559 .05164 17 ...... 11108 .10179 .09344 .08592 .07916 .07306 .06755 .06257 .05807 .05399 18 ...... 11494 .10545 .09691 .08921 .08227 .07601 .07034 .06521 .06057 .05636 19 ...... 11889 .10921 .10047 .09259 .08548 .07904 .07322 .06794 .06315 .05880 20 ...... 12298 .11310 .10417 .09610 .08881 .08220 .07622 .07078 .06584 .06135 21 ...... 12722 .11713 .10801 .09976 .09228 .08550 .07935 .07375 .06866 .06403 22 ...... 13159 .12130 .11199 .10354 .09588 .08893 .08260 .07685 .07160 .06682 23 ...... 13613 .12563 .11612 .10748 .09964 .09250 .08601 .08009 .07468 .06975 24 ...... 14084 .13014 .12043 .11160 .10357 .09625 .08958 .08349 .07793 .07284 25 ...... 14574 .13484 .12493 .11591 .10768 .10018 .09334 .08708 .08135 .07611 26 ...... 15084 .13974 .12963 .12041 .11199 .10431 .09728 .09085 .08496 .07956 27 ...... 15615 .14485 .13454 .12513 .11652 .10865 .10144 .09484 .08878 .08322 28 ...... 16166 .15016 .13965 .13004 .12124 .11319 .10580 .09901 .09279 .08706 29 ...... 16737 .15567 .14497 .13516 .12617 .11792 .11035 .10339 .09699 .09109 30 ...... 17328 .16138 .15048 .14047 .13129 .12286 .11510 .10796 .10138 .09532 31 ...... 17938 .16728 .15618 .14599 .13661 .12799 .12004 .11272 .10597 .09974 32 ...... 18568 .17339 .16210 .15171 .14214 .13333 .12520 .11769 .11076 .10435

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Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% 5.8% 6.0%

33 ...... 19220 .17972 .16824 .15766 .14790 .13889 .13058 .12289 .11578 .10920 34 ...... 19894 .18627 .17460 .16383 .15388 .14468 .13618 .12831 .12102 .11426 35 ...... 20592 .19307 .18121 .17025 .16011 .15073 .14204 .13399 .12652 .11958 36 ...... 21312 .20010 .18805 .17691 .16658 .15701 .14814 .13990 .13225 .12514 37 ...... 22057 .20737 .19514 .18382 .17331 .16356 .15450 .14608 .13825 .13096 38 ...... 22827 .21490 .20251 .19100 .18031 .17038 .16113 .15253 .14452 .13705 39 ...... 23623 .22270 .21013 .19845 .18759 .17747 .16805 .15927 .15108 .14344 40 ...... 24446 .23078 .21805 .20620 .19516 .18487 .17527 .16631 .15795 .15013 41 ...... 25298 .23915 .22626 .21425 .20305 .19259 .18282 .17368 .16514 .15715 42 ...... 26178 .24782 .23478 .22262 .21125 .20062 .19069 .18138 .17267 .16450 43 ...... 27087 .25678 .24360 .23129 .21977 .20898 .19888 .18941 .18053 .17220 44 ...... 28025 .26603 .25273 .24027 .22860 .21766 .20740 .19777 .18873 .18023 45 ...... 28987 .27555 .26212 .24953 .23772 .22664 .21622 .20644 .19724 .18858 46 ...... 29976 .28533 .27179 .25908 .24714 .23591 .22536 .21542 .20606 .19725 47 ...... 30987 .29535 .28171 .26889 .25682 .24546 .23476 .22468 .21518 .20621 48 ...... 32023 .30563 .29190 .27897 .26678 .25530 .24447 .23425 .22460 .21549 49 ...... 33082 .31615 .30234 .28931 .27702 .26543 .25447 .24412 .23434 .22509 50 ...... 34166 .32694 .31306 .29995 .28756 .27586 .26479 .25432 .24441 .23502 51 ...... 35274 .33798 .32404 .31085 .29838 .28658 .27541 .26482 .25479 .24528 52 ...... 36402 .34924 .33525 .32200 .30946 .29757 .28630 .27561 .26547 .25584 53 ...... 37550 .36070 .34668 .33339 .32078 .30882 .29746 .28667 .27643 .26669 54 ...... 38717 .37237 .35833 .34500 .33234 .32031 .30888 .29801 .28766 .27782 55 ...... 39903 .38424 .37019 .35683 .34413 .33205 .32056 .30961 .29918 .28925 56 ...... 41108 .39631 .38227 .36890 .35617 .34405 .33250 .32149 .31099 .30097 57 ...... 42330 .40857 .39455 .38118 .36844 .35629 .34469 .33363 .32306 .31297 58 ...... 43566 .42098 .40699 .39364 .38089 .36873 .35710 .34600 .33538 .32522 59 ...... 44811 .43351 .41956 .40623 .39350 .38133 .36968 .35855 .34789 .33768 60 ...... 46066 .44613 .43224 .41896 .40624 .39408 .38243 .37127 .36058 .35033 61 ...... 47330 .45887 .44505 .43182 .41914 .40699 .39535 .38418 .37347 .36318 62 ...... 48608 .47175 .45802 .44485 .43223 .42011 .40848 .39732 .38660 .37629 63 ...... 49898 .48478 .47115 .45807 .44550 .43343 .42184 .41069 .39997 .38966 64 ...... 51200 .49793 .48442 .47143 .45895 .44694 .43539 .42427 .41357 .40326 65 ...... 52512 .51121 .49782 .48495 .47255 .46062 .44912 .43805 .42738 .41709 66 ...... 53835 .52461 .51137 .49862 .48634 .47449 .46307 .45206 .44143 .43118 67 ...... 55174 .53818 .52511 .51250 .50034 .48860 .47727 .46633 .45576 .44556 68 ...... 56524 .55188 .53899 .52654 .51452 .50291 .49168 .48083 .47034 .46020 69 ...... 57882 .56568 .55299 .54071 .52885 .51737 .50627 .49552 .48513 .47506 70 ...... 59242 .57951 .56703 .55495 .54325 .53193 .52096 .51034 .50004 .49007 71 ...... 60598 .59332 .58106 .56918 .55767 .54651 .53569 .52520 .51503 .50516 72 ...... 61948 .60707 .59504 .58338 .57206 .56108 .55043 .54009 .53004 .52029 73 ...... 63287 .62073 .60895 .59751 .58640 .57561 .56513 .55495 .54505 .53543 74 ...... 64621 .63435 .62282 .61162 .60073 .59015 .57985 .56984 .56009 .55061 75 ...... 65953 .64796 .63671 .62575 .61510 .60473 .59463 .58480 .57523 .56591 76 ...... 67287 .66160 .65063 .63995 .62954 .61940 .60952 .59989 .59050 .58135 77 ...... 68622 .67526 .66459 .65419 .64404 .63415 .62450 .61509 .60590 .59694 78 ...... 69954 .68892 .67856 .66845 .65858 .64895 .63955 .63036 .62140 .61264 79 ...... 71278 .70250 .69246 .68265 .67308 .66372 .65457 .64563 .63690 .62836 80 ...... 72581 .71588 .70618 .69668 .68740 .67833 .66945 .66077 .65227 .64396 81 ...... 73857 .72899 .71962 .71045 .70147 .69268 .68408 .67566 .66741 .65933 82 ...... 75101 .74178 .73274 .72389 .71522 .70672 .69840 .69024 .68225 .67441 83 ...... 76311 .75423 .74553 .73700 .72864 .72044 .71240 .70451 .69678 .68919 84 ...... 77497 .76645 .75809 .74988 .74183 .73393 .72618 .71857 .71110 .70377 85 ...... 78665 .77848 .77047 .76260 .75487 .74728 .73982 .73250 .72530 .71823 86 ...... 79805 .79025 .78258 .77504 .76764 .76036 .75320 .74617 .73925 .73245 87 ...... 80904 .80159 .79427 .78706 .77998 .77301 .76615 .75940 .75277 .74624 88 ...... 81962 .81251 .80552 .79865 .79188 .78521 .77865 .77220 .76584 .75958 89 ...... 82978 .82302 .81636 .80980 .80335 .79699 .79072 .78455 .77847 .77248 90 ...... 83952 .83309 .82676 .82052 .81437 .80831 .80234 .79645 .79064 .78492 91 ...... 84870 .84260 .83658 .83064 .82479 .81902 .81332 .80771 .80217 .79671 92 ...... 85716 .85136 .84563 .83998 .83441 .82891 .82348 .81812 .81283 .80761 93 ...... 86494 .85942 .85396 .84858 .84326 .83801 .83283 .82771 .82266 .81767 94 ...... 87216 .86690 .86170 .85657 .85149 .84648 .84153 .83664 .83181 .82704 95 ...... 87898 .87397 .86902 .86412 .85928 .85450 .84977 .84510 .84049 .83592 96 ...... 88537 .88060 .87587 .87121 .86659 .86203 .85751 .85305 .84864 .84427 97 ...... 89127 .88672 .88221 .87775 .87335 .86898 .86467 .86040 .85618 .85200 98 ...... 89680 .89245 .88815 .88389 .87968 .87551 .87138 .86730 .86326 .85926 99 ...... 90217 .89803 .89393 .88987 .88585 .88187 .87793 .87402 .87016 .86633 100 ...... 90738 .90344 .89953 .89567 .89183 .88804 .88428 .88056 .87687 .87322 101 ...... 91250 .90876 .90504 .90137 .89772 .89412 .89054 .88699 .88348 .88000 102 ...... 91751 .91396 .91045 .90696 .90350 .90007 .89668 .89331 .88997 .88666 103 ...... 92247 .91912 .91579 .91249 .90922 .90598 .90276 .89957 .89640 .89326 104 ...... 92775 .92460 .92148 .91839 .91532 .91227 .90924 .90624 .90326 .90031 105 ...... 93290 .92996 .92704 .92415 .92127 .91841 .91558 .91276 .90997 .90719 106 ...... 93948 .93680 .93415 .93151 .92889 .92628 .92370 .92113 .91857 .91604

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Age 4.2% 4.4% 4.6% 4.8% 5.0% 5.2% 5.4% 5.6% 5.8% 6.0%

107 ...... 94739 .94504 .94271 .94039 .93808 .93579 .93351 .93124 .92899 .92675 108 ...... 95950 .95767 .95585 .95404 .95224 .95045 .94867 .94689 .94512 .94336 109 ...... 97985 .97893 .97801 .97710 .97619 .97529 .97438 .97348 .97259 .97170

Age 6.2% 6.4% 6.6% 6.8% 7.0% 7.2% 7.4% 7.6% 7.8% 8.0%

0 ...... 03034 .02857 .02700 .02559 .02433 .02321 .02220 .02129 .02047 .01973 1 ...... 02279 .02094 .01929 .01782 .01650 .01533 .01427 .01331 .01246 .01168 2 ...... 02347 .02155 .01983 .01829 .01692 .01569 .01458 .01358 .01268 .01187 3 ...... 02444 .02243 .02065 .01905 .01761 .01632 .01516 .01412 .01317 .01232 4 ...... 02558 .02349 .02163 .01996 .01846 .01712 .01590 .01481 .01382 .01292 5 ...... 02686 .02469 .02275 .02101 .01945 .01804 .01677 .01562 .01458 .01364 6 ...... 02825 .02600 .02398 .02217 .02053 .01906 .01773 .01653 .01544 .01445 7 ...... 02976 .02742 .02532 .02343 .02172 .02019 .01880 .01754 .01640 .01536 8 ...... 03137 .02894 .02675 .02479 .02301 .02140 .01995 .01864 .01744 .01635 9 ...... 03311 .03059 .02832 .02627 .02442 .02274 .02122 .01985 .01859 .01745 10 ...... 03499 .03237 .03001 .02788 .02595 .02420 .02262 .02118 .01987 .01867 11 ...... 03700 .03428 .03183 .02961 .02760 .02578 .02413 .02262 .02125 .02000 12 ...... 03913 .03632 .03377 .03146 .02937 .02748 .02575 .02418 .02275 .02144 13 ...... 04135 .03843 .03579 .03339 .03122 .02924 .02744 .02580 .02431 .02294 14 ...... 04359 .04057 .03783 .03534 .03308 .03102 .02915 .02744 .02587 .02444 15 ...... 04584 .04270 .03986 .03728 .03493 .03279 .03083 .02905 .02742 .02593 16 ...... 04806 .04482 .04187 .03919 .03674 .03452 .03248 .03063 .02892 .02736 17 ...... 05029 .04692 .04387 .04108 .03855 .03623 .03411 .03218 .03040 .02877 18 ...... 05253 .04905 .04588 .04299 .04036 .03795 .03574 .03373 .03187 .03017 19 ...... 05484 .05124 .04796 .04496 .04222 .03972 .03742 .03532 .03339 .03161 20 ...... 05726 .05354 .05013 .04702 .04418 .04158 .03919 .03700 .03498 .03313 21 ...... 05980 .05595 .05242 .04920 .04625 .04354 .04105 .03877 .03667 .03473 22 ...... 06246 .05847 .05482 .05147 .04841 .04559 .04301 .04063 .03844 .03642 23 ...... 06524 .06112 .05734 .05387 .05069 .04777 .04508 .04260 .04032 .03821 24 ...... 06819 .06392 .06001 .05642 .05312 .05008 .04728 .04470 .04232 .04012 25 ...... 07131 .06690 .06285 .05913 .05570 .05255 .04964 .04695 .04447 .04218 26 ...... 07460 .07005 .06586 .06200 .05845 .05518 .05215 .04936 .04677 .04438 27 ...... 07810 .07340 .06907 .06508 .06140 .05800 .05485 .05195 .04925 .04676 28 ...... 08179 .07693 .07246 .06833 .06451 .06098 .05772 .05469 .05189 .04929 29 ...... 08566 .08065 .07603 .07176 .06780 .06414 .06075 .05761 .05469 .05198 30 ...... 08973 .08456 .07978 .07536 .07127 .06748 .06396 .06069 .05766 .05483 31 ...... 09398 .08865 .08372 .07915 .07491 .07098 .06733 .06394 .06078 .05785 32 ...... 09843 .09294 .08785 .08313 .07875 .07468 .07089 .06737 .06409 .06103 33 ...... 10310 .09745 .09220 .08732 .08279 .07858 .07466 .07100 .06759 .06441 34 ...... 10799 .10217 .09676 .09173 .08705 .08269 .07862 .07483 .07129 .06798 35 ...... 11314 .10715 .10157 .09638 .09155 .08704 .08283 .07890 .07522 .07179 36 ...... 11852 .11236 .10662 .10127 .09628 .09162 .08726 .08319 .07938 .07581 37 ...... 12416 .11783 .11193 .10641 .10126 .09645 .09194 .08772 .08377 .08006 38 ...... 13009 .12359 .11751 .11183 .10652 .10155 .09689 .09253 .08843 .08459 39 ...... 13629 .12962 .12338 .11753 .11206 .10693 .10212 .09761 .09337 .08938 40 ...... 14281 .13597 .12955 .12355 .11791 .11262 .10766 .10299 .09860 .09447 41 ...... 14966 .14264 .13606 .12989 .12409 .11864 .11352 .10870 .10417 .09989 42 ...... 15685 .14966 .14291 .13657 .13061 .12500 .11972 .11475 .11006 .10564 43 ...... 16437 .15702 .15010 .14360 .13747 .13171 .12627 .12115 .11631 .11174 44 ...... 17224 .16472 .15764 .15098 .14469 .13876 .13317 .12789 .12290 .11819 45 ...... 18042 .17274 .16550 .15867 .15223 .14615 .14040 .13496 .12982 .12496 46 ...... 18893 .18110 .17370 .16671 .16011 .15387 .14796 .14238 .13708 .13207 47 ...... 19775 .18975 .18220 .17505 .16830 .16190 .15584 .15010 .14466 .13950 48 ...... 20688 .19873 .19102 .18373 .17682 .17027 .16406 .15817 .15258 .14727 49 ...... 21633 .20804 .20018 .19274 .18568 .17898 .17262 .16658 .16084 .15539 50 ...... 22612 .21769 .20969 .20210 .19490 .18805 .18155 .17536 .16948 .16388 51 ...... 23625 .22769 .21955 .21182 .20448 .19749 .19084 .18452 .17849 .17275 52 ...... 24669 .23799 .22973 .22186 .21438 .20726 .20047 .19400 .18784 .18196 53 ...... 25742 .24861 .24022 .23222 .22461 .21735 .21043 .20383 .19753 .19151 54 ...... 26845 .25952 .25101 .24290 .23516 .22777 .22072 .21399 .20756 .20140 55 ...... 27978 .27074 .26212 .25389 .24604 .23853 .23136 .22450 .21793 .21166 56 ...... 29140 .28227 .27355 .26522 .25725 .24963 .24233 .23535 .22867 .22227 57 ...... 30333 .29411 .28529 .27686 .26879 .26106 .25365 .24656 .23976 .23324 58 ...... 31551 .30621 .29731 .28878 .28061 .27278 .26528 .25807 .25116 .24453 59 ...... 32790 .31854 .30956 .30095 .29269 .28477 .27716 .26986 .26284 .25610 60 ...... 34050 .33107 .32202 .31334 .30500 .29699 .28929 .28190 .27478 .26794 61 ...... 35331 .34384 .33473 .32598 .31757 .30948 .30170 .29422 .28701 .28007 62 ...... 36639 .35688 .34772 .33892 .33044 .32229 .31443 .30687 .29958 .29255 63 ...... 37974 .37020 .36101 .35216 .34363 .33542 .32750 .31986 .31250 .30539 64 ...... 39334 .38378 .37456 .36568 .35711 .34884 .34087 .33317 .32574 .31857 65 ...... 40718 .39761 .38838 .37947 .37087 .36257 .35455 .34681 .33932 .33208 66 ...... 42128 .41172 .40249 .39357 .38496 .37663 .36858 .36079 .35326 .34597 67 ...... 43569 .42616 .41694 .40803 .39941 .39107 .38299 .37518 .36761 .36028

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Age 6.2% 6.4% 6.6% 6.8% 7.0% 7.2% 7.4% 7.6% 7.8% 8.0%

68 ...... 45038 .44089 .43170 .42281 .41419 .40585 .39777 .38994 .38235 .37499 69 ...... 46531 .45587 .44672 .43786 .42927 .42094 .41286 .40503 .39743 .39006 70 ...... 48040 .47103 .46194 .45312 .44456 .43626 .42820 .42038 .41278 .40540 71 ...... 49558 .48629 .47727 .46851 .46000 .45174 .44371 .43591 .42832 .42095 72 ...... 51082 .50162 .49268 .48399 .47554 .46733 .45934 .45157 .44401 .43666 73 ...... 52607 .51697 .50813 .49952 .49114 .48299 .47506 .46733 .45981 .45249 74 ...... 54139 .53241 .52367 .51515 .50686 .49879 .49092 .48325 .47578 .46849 75 ...... 55683 .54798 .53936 .53095 .52276 .51477 .50698 .49938 .49197 .48474 76 ...... 57243 .56373 .55524 .54696 .53888 .53100 .52330 .51579 .50846 .50130 77 ...... 58819 .57965 .57132 .56318 .55523 .54747 .53988 .53247 .52523 .51815 78 ...... 60408 .59572 .58755 .57957 .57177 .56414 .55668 .54939 .54225 .53527 79 ...... 62001 .61184 .60385 .59604 .58840 .58092 .57360 .56644 .55943 .55256 80 ...... 63582 .62786 .62007 .61244 .60497 .59765 .59048 .58347 .57659 .56985 81 ...... 65142 .64367 .63608 .62864 .62135 .61421 .60721 .60034 .59361 .58701 82 ...... 66673 .65920 .65182 .64458 .63748 .63052 .62368 .61698 .61041 .60395 83 ...... 68175 .67444 .66728 .66024 .65334 .64656 .63991 .63338 .62696 .62066 84 ...... 69657 .68950 .68256 .67574 .66904 .66246 .65599 .64964 .64340 .63727 85 ...... 71128 .70446 .69775 .69116 .68467 .67830 .67204 .66587 .65982 .65386 86 ...... 72576 .71919 .71272 .70636 .70010 .69394 .68789 .68193 .67606 .67029 87 ...... 73981 .73349 .72726 .72114 .71511 .70917 .70333 .69757 .69190 .68632 88 ...... 75342 .74735 .74137 .73548 .72968 .72396 .71833 .71279 .70732 .70194 89 ...... 76658 .76076 .75503 .74938 .74381 .73832 .73290 .72757 .72231 .71712 90 ...... 77928 .77371 .76823 .76281 .75748 .75221 .74702 .74190 .73684 .73186 91 ...... 79131 .78600 .78075 .77557 .77046 .76542 .76044 .75553 .75068 .74589 92 ...... 80246 .79737 .79235 .78740 .78250 .77767 .77290 .76818 .76353 .75893 93 ...... 81274 .80788 .80307 .79832 .79363 .78899 .78441 .77989 .77542 .77100 94 ...... 82232 .81766 .81306 .80850 .80401 .79956 .79517 .79082 .78653 .78228 95 ...... 83141 .82695 .82254 .81818 .81387 .80961 .80539 .80122 .79710 .79302 96 ...... 83996 .83569 .83147 .82729 .82316 .81907 .81503 .81103 .80707 .80315 97 ...... 84787 .84378 .83973 .83573 .83176 .82784 .82396 .82012 .81632 .81255 98 ...... 85530 .85138 .84750 .84366 .83985 .83609 .83236 .82867 .82502 .82140 99 ...... 86255 .85880 .85508 .85140 .84776 .84415 .84057 .83703 .83353 .83005 100 ...... 86960 .86601 .86246 .85894 .85546 .85200 .84858 .84519 .84183 .83849 101 ...... 87655 .87313 .86974 .86638 .86305 .85975 .85648 .85324 .85003 .84684 102 ...... 88338 .88012 .87689 .87369 .87052 .86738 .86426 .86116 .85809 .85505 103 ...... 89015 .88706 .88399 .88095 .87793 .87494 .87197 .86903 .86611 .86321 104 ...... 89737 .89446 .89157 .88871 .88586 .88304 .88024 .87745 .87469 .87195 105 ...... 90443 .90170 .89898 .89628 .89360 .89094 .88830 .88568 .88307 .88049 106 ...... 91351 .91101 .90852 .90605 .90359 .90115 .89873 .89632 .89392 .89154 107 ...... 92452 .92230 .92010 .91791 .91573 .91356 .91141 .90927 .90714 .90502 108 ...... 94161 .93987 .93814 .93641 .93469 .93298 .93128 .92958 .92790 .92622 109 ...... 97081 .96992 .96904 .96816 .96729 .96642 .96555 .96468 .96382 .96296

Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

0 ...... 01906 .01845 .01790 .01740 .01694 .01652 .01613 .01578 .01546 .01516 1 ...... 01098 .01034 .00977 .00924 .00876 .00833 .00793 .00756 .00722 .00691 2 ...... 01113 .01046 .00986 .00930 .00880 .00834 .00791 .00753 .00717 .00684 3 ...... 01155 .01084 .01020 .00962 .00909 .00860 .00816 .00775 .00737 .00702 4 ...... 01211 .01137 .01069 .01008 .00952 .00900 .00853 .00810 .00770 .00733 5 ...... 01279 .01201 .01130 .01065 .01006 .00952 .00902 .00856 .00814 .00775 6 ...... 01356 .01274 .01199 .01131 .01068 .01011 .00959 .00910 .00865 .00824 7 ...... 01442 .01356 .01277 .01205 .01140 .01079 .01023 .00972 .00925 .00881 8 ...... 01536 .01446 .01363 .01287 .01218 .01154 .01096 .01041 .00991 .00945 9 ...... 01641 .01546 .01460 .01380 .01307 .01240 .01178 .01120 .01068 .01019 10 ...... 01758 .01659 .01567 .01484 .01407 .01336 .01270 .01210 .01154 .01103 11 ...... 01886 .01781 .01686 .01598 .01517 .01442 .01373 .01310 .01251 .01196 12 ...... 02024 .01915 .01814 .01721 .01636 .01558 .01485 .01419 .01357 .01299 13 ...... 02168 .02054 .01948 .01851 .01762 .01679 .01603 .01533 .01467 .01407 14 ...... 02313 .02193 .02083 .01981 .01887 .01801 .01721 .01646 .01578 .01514 15 ...... 02456 .02330 .02214 .02107 .02009 .01918 .01834 .01756 .01684 .01617 16 ...... 02593 .02462 .02340 .02229 .02126 .02030 .01942 .01860 .01785 .01714 17 ...... 02728 .02590 .02463 .02346 .02238 .02138 .02046 .01960 .01880 .01806 18 ...... 02861 .02717 .02584 .02462 .02348 .02243 .02146 .02056 .01972 .01894 19 ...... 02998 .02847 .02708 .02580 .02461 .02351 .02249 .02154 .02066 .01984 20 ...... 03142 .02984 .02839 .02704 .02580 .02465 .02357 .02258 .02165 .02079 21 ...... 03295 .03130 .02978 .02837 .02706 .02585 .02473 .02368 .02271 .02180 22 ...... 03455 .03283 .03124 .02976 .02839 .02712 .02594 .02484 .02382 .02286 23 ...... 03626 .03446 .03279 .03124 .02981 .02847 .02723 .02608 .02500 .02400 24 ...... 03809 .03620 .03446 .03283 .03133 .02993 .02863 .02741 .02628 .02522 25 ...... 04005 .03808 .03625 .03456 .03298 .03151 .03014 .02887 .02768 .02656 26 ...... 04216 .04010 .03819 .03641 .03476 .03322 .03178 .03044 .02919 .02802 27 ...... 04444 .04229 .04029 .03843 .03670 .03508 .03357 .03217 .03085 .02962 28 ...... 04687 .04463 .04254 .04059 .03877 .03708 .03550 .03402 .03263 .03133

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00028 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36935

Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

29 ...... 04946 .04712 .04493 .04289 .04099 .03922 .03756 .03600 .03455 .03318 30 ...... 05221 .04976 .04748 .04534 .04335 .04149 .03975 .03812 .03659 .03515 31 ...... 05511 .05255 .05017 .04794 .04585 .04390 .04208 .04037 .03876 .03725 32 ...... 05818 .05551 .05302 .05069 .04851 .04647 .04455 .04276 .04107 .03948 33 ...... 06144 .05866 .05606 .05363 .05135 .04921 .04720 .04532 .04355 .04188 34 ...... 06489 .06200 .05928 .05674 .05436 .05212 .05002 .04805 .04619 .04444 35 ...... 06857 .06555 .06273 .06007 .05758 .05524 .05304 .05097 .04902 .04718 36 ...... 07246 .06932 .06638 .06361 .06101 .05856 .05626 .05409 .05205 .05012 37 ...... 07659 .07332 .07025 .06737 .06466 .06210 .05969 .05742 .05528 .05325 38 ...... 08098 .07758 .07439 .07138 .06855 .06588 .06336 .06099 .05874 .05662 39 ...... 08563 .08210 .07878 .07565 .07270 .06992 .06729 .06480 .06245 .06023 40 ...... 09059 .08692 .08347 .08021 .07714 .07423 .07149 .06889 .06643 .06411 41 ...... 09586 .09206 .08848 .08509 .08189 .07886 .07600 .07329 .07072 .06828 42 ...... 10147 .09753 .09381 .09029 .08696 .08381 .08083 .07800 .07531 .07277 43 ...... 10742 .10334 .09948 .09583 .09237 .08909 .08598 .08304 .08024 .07758 44 ...... 11373 .10950 .10551 .10172 .09813 .09472 .09148 .08841 .08549 .08272 45 ...... 12035 .11599 .11185 .10792 .10420 .10066 .09730 .09410 .09106 .08817 46 ...... 12732 .12281 .11853 .11447 .11061 .10694 .10345 .10013 .09696 .09395 47 ...... 13460 .12995 .12553 .12133 .11733 .11353 .10991 .10646 .10317 .10004 48 ...... 14223 .13743 .13287 .12853 .12439 .12046 .11671 .11313 .10972 .10646 49 ...... 15020 .14526 .14056 .13608 .13181 .12774 .12385 .12015 .11661 .11322 50 ...... 15855 .15347 .14862 .14401 .13960 .13540 .13138 .12754 .12388 .12037 51 ...... 16727 .16205 .15707 .15232 .14777 .14344 .13929 .13532 .13153 .12789 52 ...... 17634 .17098 .16587 .16097 .15630 .15183 .14755 .14345 .13953 .13577 53 ...... 18576 .18027 .17501 .16999 .16518 .16057 .15616 .15194 .14789 .14400 54 ...... 19552 .18990 .18451 .17935 .17441 .16968 .16514 .16078 .15661 .15260 55 ...... 20564 .19989 .19437 .18908 .18402 .17915 .17449 .17001 .16571 .16157 56 ...... 21613 .21025 .20461 .19919 .19400 .18901 .18422 .17962 .17519 .17093 57 ...... 22698 .22098 .21522 .20968 .20436 .19925 .19434 .18961 .18507 .18069 58 ...... 23816 .23204 .22616 .22051 .21507 .20984 .20481 .19996 .19530 .19080 59 ...... 24962 .24339 .23740 .23163 .22608 .22073 .21558 .21062 .20584 .20123 60 ...... 26136 .25502 .24892 .24304 .23738 .23192 .22666 .22158 .21669 .21196 61 ...... 27339 .26695 .26075 .25477 .24900 .24343 .23806 .23288 .22787 .22304 62 ...... 28578 .27925 .27295 .26687 .26100 .25533 .24985 .24456 .23945 .23451 63 ...... 29854 .29192 .28553 .27935 .27339 .26762 .26205 .25666 .25145 .24641 64 ...... 31164 .30494 .29846 .29221 .28615 .28030 .27463 .26915 .26384 .25870 65 ...... 32508 .31831 .31177 .30543 .29930 .29336 .28761 .28203 .27663 .27140 66 ...... 33891 .33208 .32547 .31906 .31285 .30684 .30101 .29536 .28987 .28456 67 ...... 35318 .34630 .33963 .33316 .32689 .32081 .31491 .30918 .30363 .29823 68 ...... 36785 .36093 .35422 .34770 .34138 .33524 .32928 .32349 .31787 .31240 69 ...... 38290 .37595 .36920 .36265 .35628 .35009 .34408 .33824 .33256 .32703 70 ...... 39823 .39127 .38450 .37791 .37151 .36529 .35924 .35335 .34762 .34204 71 ...... 41378 .40681 .40003 .39343 .38701 .38076 .37467 .36875 .36298 .35736 72 ...... 42950 .42253 .41575 .40914 .40271 .39644 .39034 .38438 .37858 .37293 73 ...... 44535 .43840 .43162 .42502 .41858 .41231 .40619 .40022 .39440 .38872 74 ...... 46139 .45446 .44771 .44112 .43469 .42842 .42230 .41632 .41049 .40479 75 ...... 47769 .47080 .46408 .45752 .45111 .44485 .43874 .43277 .42693 .42123 76 ...... 49430 .48747 .48079 .47427 .46790 .46167 .45558 .44963 .44380 .43811 77 ...... 51123 .50447 .49786 .49139 .48506 .47888 .47282 .46690 .46111 .45543 78 ...... 52845 .52177 .51523 .50884 .50257 .49645 .49044 .48457 .47881 .47317 79 ...... 54584 .53926 .53282 .52650 .52032 .51426 .50833 .50251 .49681 .49122 80 ...... 56325 .55678 .55044 .54423 .53813 .53216 .52630 .52056 .51492 .50939 81 ...... 58054 .57419 .56797 .56186 .55587 .54999 .54422 .53856 .53300 .52754 82 ...... 59762 .59140 .58530 .57931 .57343 .56766 .56198 .55641 .55094 .54557 83 ...... 61448 .60840 .60243 .59657 .59081 .58515 .57958 .57411 .56874 .56346 84 ...... 63124 .62531 .61949 .61376 .60813 .60259 .59715 .59179 .58652 .58134 85 ...... 64800 .64224 .63657 .63099 .62550 .62010 .61478 .60955 .60441 .59934 86 ...... 66461 .65902 .65351 .64810 .64276 .63751 .63233 .62724 .62222 .61728 87 ...... 68083 .67541 .67008 .66483 .65965 .65455 .64953 .64458 .63970 .63489 88 ...... 69663 .69140 .68624 .68116 .67615 .67121 .66634 .66154 .65680 .65213 89 ...... 71201 .70696 .70199 .69708 .69224 .68747 .68276 .67811 .67353 .66900 90 ...... 72694 .72209 .71730 .71257 .70791 .70330 .69876 .69427 .68984 .68547 91 ...... 74117 .73650 .73190 .72735 .72286 .71842 .71404 .70972 .70545 .70123 92 ...... 75439 .74991 .74548 .74110 .73678 .73251 .72829 .72412 .72000 .71593 93 ...... 76664 .76233 .75806 .75385 .74969 .74557 .74150 .73748 .73350 .72957 94 ...... 77809 .77394 .76983 .76578 .76177 .75780 .75388 .75000 .74616 .74237 95 ...... 78899 .78500 .78106 .77715 .77329 .76947 .76569 .76195 .75826 .75460 96 ...... 79928 .79544 .79165 .78790 .78418 .78050 .77686 .77326 .76970 .76617 97 ...... 80883 .80514 .80149 .79787 .79430 .79075 .78725 .78377 .78033 .77693 98 ...... 81781 .81427 .81075 .80727 .80382 .80041 .79703 .79368 .79036 .78708 99 ...... 82661 .82320 .81982 .81648 .81316 .80988 .80662 .80340 .80020 .79704 100 ...... 83519 .83192 .82868 .82547 .82228 .81913 .81600 .81290 .80982 .80678 101 ...... 84368 .84055 .83744 .83437 .83131 .82829 .82529 .82231 .81936 .81643 102 ...... 85203 .84904 .84607 .84313 .84021 .83731 .83444 .83159 .82876 .82596

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00029 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36936 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations

Age 8.2% 8.4% 8.6% 8.8% 9.0% 9.2% 9.4% 9.6% 9.8% 10.0%

103 ...... 86034 .85748 .85465 .85184 .84906 .84629 .84355 .84082 .83812 .83544 104 ...... 86923 .86653 .86385 .86119 .85855 .85593 .85333 .85074 .84818 .84563 105 ...... 87792 .87537 .87283 .87032 .86782 .86534 .86287 .86042 .85799 .85557 106 ...... 88918 .88683 .88450 .88218 .87987 .87758 .87530 .87304 .87079 .86855 107 ...... 90291 .90082 .89873 .89666 .89460 .89255 .89051 .88849 .88647 .88447 108 ...... 92455 .92288 .92123 .91958 .91794 .91630 .91468 .91306 .91145 .90984 109 ...... 96211 .96125 .96041 .95956 .95872 .95788 .95704 .95620 .95537 .95455

Age 10.2% 10.4% 10.6% 10.8% 11.0% 11.2% 11.4% 11.6% 11.8% 12.0%

0 ...... 01488 .01463 .01439 .01417 .01396 .01377 .01359 .01343 .01327 .01312 1 ...... 00662 .00636 .00612 .00589 .00568 .00548 .00530 .00513 .00497 .00482 2 ...... 00654 .00626 .00600 .00576 .00554 .00533 .00514 .00496 .00479 .00463 3 ...... 00670 .00641 .00613 .00588 .00564 .00542 .00522 .00502 .00484 .00468 4 ...... 00699 .00668 .00639 .00612 .00587 .00563 .00542 .00521 .00502 .00484 5 ...... 00739 .00706 .00675 .00646 .00620 .00595 .00571 .00550 .00529 .00510 6 ...... 00786 .00751 .00718 .00687 .00659 .00633 .00608 .00585 .00563 .00543 7 ...... 00841 .00803 .00769 .00736 .00706 .00678 .00652 .00627 .00604 .00582 8 ...... 00902 .00863 .00826 .00791 .00759 .00730 .00702 .00675 .00651 .00628 9 ...... 00973 .00931 .00892 .00856 .00822 .00790 .00760 .00733 .00706 .00682 10 ...... 01055 .01010 .00969 .00930 .00894 .00861 .00829 .00799 .00772 .00746 11 ...... 01146 .01099 .01055 .01014 .00976 .00940 .00907 .00875 .00846 .00818 12 ...... 01246 .01196 .01150 .01106 .01066 .01028 .00993 .00960 .00928 .00899 13 ...... 01351 .01298 .01249 .01204 .01161 .01121 .01084 .01049 .01016 .00985 14 ...... 01455 .01400 .01348 .01300 .01255 .01213 .01173 .01136 .01102 .01069 15 ...... 01555 .01497 .01443 .01392 .01345 .01300 .01259 .01220 .01183 .01148 16 ...... 01648 .01587 .01530 .01477 .01427 .01380 .01336 .01295 .01257 .01220 17 ...... 01737 .01673 .01612 .01556 .01504 .01455 .01408 .01365 .01324 .01286 18 ...... 01822 .01754 .01691 .01632 .01576 .01525 .01476 .01430 .01387 .01347 19 ...... 01908 .01837 .01770 .01708 .01650 .01595 .01544 .01495 .01450 .01407 20 ...... 01999 .01924 .01854 .01788 .01726 .01669 .01615 .01564 .01516 .01471 21 ...... 02096 .02017 .01943 .01874 .01809 .01748 .01691 .01637 .01586 .01539 22 ...... 02197 .02114 .02036 .01963 .01895 .01830 .01770 .01713 .01660 .01610 23 ...... 02306 .02218 .02136 .02059 .01987 .01919 .01855 .01795 .01739 .01686 24 ...... 02424 .02331 .02245 .02163 .02087 .02016 .01948 .01885 .01825 .01769 25 ...... 02552 .02455 .02364 .02278 .02197 .02122 .02051 .01984 .01920 .01861 26 ...... 02692 .02589 .02493 .02403 .02318 .02238 .02162 .02091 .02025 .01961 27 ...... 02846 .02738 .02636 .02541 .02451 .02367 .02287 .02212 .02141 .02074 28 ...... 03012 .02898 .02791 .02690 .02595 .02506 .02422 .02342 .02267 .02196 29 ...... 03190 .03070 .02957 .02851 .02751 .02656 .02567 .02483 .02404 .02329 30 ...... 03381 .03254 .03135 .03023 .02917 .02817 .02723 .02634 .02551 .02471 31 ...... 03583 .03450 .03324 .03206 .03094 .02989 .02890 .02796 .02707 .02623 32 ...... 03799 .03659 .03527 .03402 .03284 .03173 .03068 .02968 .02874 .02785 33 ...... 04031 .03883 .03744 .03612 .03488 .03371 .03260 .03155 .03055 .02961 34 ...... 04279 .04123 .03976 .03838 .03707 .03583 .03465 .03354 .03249 .03149 35 ...... 04545 .04382 .04227 .04081 .03943 .03812 .03688 .03571 .03459 .03354 36 ...... 04830 .04658 .04495 .04341 .04196 .04058 .03927 .03803 .03685 .03573 37 ...... 05134 .04953 .04782 .04620 .04467 .04321 .04183 .04052 .03928 .03809 38 ...... 05462 .05272 .05092 .04921 .04760 .04606 .04461 .04322 .04191 .04066 39 ...... 05812 .05613 .05424 .05245 .05075 .04913 .04760 .04614 .04475 .04343 40 ...... 06190 .05981 .05782 .05594 .05415 .05245 .05083 .04929 .04783 .04643 41 ...... 06597 .06378 .06170 .05972 .05784 .05605 .05435 .05272 .05118 .04970 42 ...... 07035 .06806 .06587 .06380 .06182 .05994 .05815 .05644 .05481 .05326 43 ...... 07505 .07265 .07036 .06818 .06611 .06414 .06225 .06045 .05874 .05710 44 ...... 08008 .07757 .07518 .07290 .07072 .06865 .06667 .06478 .06298 .06125 45 ...... 08542 .08279 .08029 .07791 .07563 .07346 .07138 .06940 .06750 .06569 46 ...... 09108 .08834 .08573 .08324 .08085 .07858 .07640 .07432 .07233 .07043 47 ...... 09705 .09419 .09147 .08886 .08637 .08399 .08172 .07954 .07745 .07545 48 ...... 10335 .10038 .09754 .09482 .09222 .08973 .08735 .08507 .08288 .08078 49 ...... 10999 .10690 .10394 .10111 .09840 .09581 .09332 .09093 .08864 .08644 50 ...... 11701 .11380 .11073 .10778 .10496 .10225 .09965 .09716 .09477 .09247 51 ...... 12441 .12108 .11789 .11482 .11189 .10907 .10636 .10376 .10126 .09886 52 ...... 13217 .12871 .12540 .12222 .11916 .11623 .11341 .11071 .10810 .10560 53 ...... 14028 .13670 .13327 .12997 .12680 .12375 .12082 .11801 .11529 .11268 54 ...... 14875 .14505 .14150 .13808 .13480 .13163 .12859 .12566 .12284 .12012 55 ...... 15760 .15378 .15011 .14657 .14317 .13989 .13674 .13370 .13077 .12794 56 ...... 16684 .16290 .15911 .15546 .15194 .14855 .14528 .14213 .13909 .13615 57 ...... 17648 .17242 .16851 .16474 .16111 .15760 .15422 .15096 .14781 .14477 58 ...... 18647 .18229 .17827 .17438 .17064 .16702 .16353 .16015 .15689 .15374 59 ...... 19678 .19249 .18835 .18435 .18049 .17676 .17316 .16968 .16631 .16305 60 ...... 20740 .20300 .19875 .19464 .19066 .18682 .18311 .17952 .17604 .17268 61 ...... 21837 .21385 .20949 .20527 .20119 .19724 .19341 .18971 .18613 .18266 62 ...... 22973 .22511 .22064 .21631 .21212 .20807 .20414 .20033 .19664 .19306 63 ...... 24152 .23680 .23222 .22779 .22350 .21934 .21530 .21139 .20760 .20392

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00030 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36937

Age 10.2% 10.4% 10.6% 10.8% 11.0% 11.2% 11.4% 11.6% 11.8% 12.0%

64 ...... 25372 .24890 .24422 .23969 .23529 .23103 .22690 .22289 .21899 .21521 65 ...... 26633 .26141 .25664 .25201 .24752 .24316 .23893 .23482 .23083 .22695 66 ...... 27940 .27439 .26953 .26481 .26023 .25577 .25145 .24724 .24316 .23918 67 ...... 29299 .28790 .28296 .27815 .27348 .26894 .26453 .26024 .25606 .25200 68 ...... 30709 .30193 .29691 .29202 .28728 .28265 .27816 .27378 .26952 .26537 69 ...... 32166 .31643 .31134 .30639 .30157 .29687 .29230 .28785 .28351 .27928 70 ...... 33661 .33133 .32618 .32116 .31628 .31152 .30688 .30235 .29794 .29364 71 ...... 35188 .34654 .34134 .33627 .33133 .32651 .32181 .31722 .31275 .30838 72 ...... 36742 .36204 .35679 .35168 .34668 .34181 .33706 .33241 .32788 .32345 73 ...... 38317 .37776 .37248 .36733 .36229 .35738 .35257 .34788 .34330 .33882 74 ...... 39923 .39380 .38849 .38330 .37823 .37328 .36844 .36370 .35908 .35455 75 ...... 41566 .41021 .40489 .39968 .39459 .38961 .38474 .37997 .37531 .37074 76 ...... 43254 .42709 .42176 .41655 .41144 .40645 .40156 .39677 .39208 .38749 77 ...... 44988 .44444 .43912 .43391 .42880 .42380 .41891 .41411 .40940 .40479 78 ...... 46765 .46224 .45694 .45174 .44665 .44166 .43677 .43197 .42726 .42265 79 ...... 48574 .48037 .47510 .46993 .46487 .45990 .45502 .45024 .44554 .44094 80 ...... 50397 .49865 .49343 .48830 .48327 .47834 .47349 .46873 .46406 .45947 81 ...... 52219 .51693 .51176 .50669 .50171 .49682 .49201 .48729 .48265 .47809 82 ...... 54029 .53510 .53000 .52499 .52007 .51523 .51047 .50580 .50120 .49667 83 ...... 55826 .55315 .54813 .54319 .53834 .53356 .52886 .52424 .51969 .51522 84 ...... 57624 .57123 .56629 .56144 .55666 .55195 .54732 .54277 .53828 .53386 85 ...... 59435 .58944 .58460 .57984 .57516 .57054 .56599 .56151 .55710 .55275 86 ...... 61241 .60762 .60289 .59824 .59365 .58913 .58468 .58029 .57596 .57170 87 ...... 63015 .62548 .62087 .61633 .61185 .60744 .60309 .59880 .59456 .59039 88 ...... 64753 .64299 .63851 .63409 .62973 .62543 .62118 .61700 .61287 .60879 89 ...... 66454 .66013 .65579 .65150 .64726 .64308 .63895 .63488 .63086 .62689 90 ...... 68115 .67689 .67268 .66853 .66442 .66037 .65637 .65241 .64851 .64465 91 ...... 69706 .69294 .68887 .68486 .68089 .67696 .67309 .66925 .66547 .66173 92 ...... 71190 .70792 .70399 .70011 .69627 .69247 .68872 .68501 .68134 .67771 93 ...... 72569 .72184 .71804 .71429 .71057 .70689 .70326 .69967 .69611 .69259 94 ...... 73861 .73490 .73123 .72759 .72400 .72044 .71692 .71344 .71000 .70659 95 ...... 75097 .74739 .74384 .74033 .73686 .73342 .73002 .72665 .72331 .72001 96 ...... 76267 .75922 .75579 .75240 .74905 .74572 .74243 .73917 .73595 .73275 97 ...... 77356 .77022 .76691 .76363 .76039 .75718 .75399 .75084 .74772 .74463 98 ...... 78382 .78059 .77740 .77423 .77110 .76799 .76491 .76186 .75884 .75584 99 ...... 79390 .79079 .78771 .78465 .78162 .77862 .77565 .77270 .76978 .76688 100 ...... 80376 .80076 .79779 .79485 .79193 .78904 .78617 .78333 .78051 .77771 101 ...... 81353 .81066 .80780 .80497 .80217 .79938 .79662 .79388 .79117 .78847 102 ...... 82318 .82042 .81768 .81496 .81227 .80960 .80694 .80431 .80170 .79911 103 ...... 83278 .83014 .82752 .82491 .82233 .81977 .81723 .81470 .81220 .80971 104 ...... 84310 .84059 .83810 .83563 .83317 .83073 .82831 .82591 .82352 .82115 105 ...... 85318 .85079 .84843 .84607 .84374 .84142 .83911 .83682 .83455 .83229 106 ...... 86633 .86413 .86193 .85975 .85758 .85543 .85329 .85116 .84904 .84694 107 ...... 88247 .88049 .87852 .87656 .87460 .87266 .87073 .86881 .86690 .86500 108 ...... 90825 .90666 .90507 .90350 .90193 .90037 .89881 .89727 .89572 .89419 109 ...... 95372 .95290 .95208 .95126 .95045 .94964 .94883 .94803 .94723 .94643

Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

0 ...... 01298 .01285 .01273 .01261 .01250 .01240 .01230 .01221 .01212 .01203 1 ...... 00468 .00455 .00443 .00431 .00420 .00410 .00400 .00391 .00382 .00374 2 ...... 00448 .00435 .00421 .00409 .00398 .00387 .00376 .00366 .00357 .00348 3 ...... 00452 .00437 .00423 .00410 .00398 .00386 .00375 .00365 .00355 .00345 4 ...... 00468 .00452 .00437 .00423 .00410 .00397 .00386 .00375 .00364 .00354 5 ...... 00493 .00476 .00460 .00445 .00431 .00418 .00405 .00393 .00382 .00371 6 ...... 00524 .00506 .00489 .00473 .00458 .00444 .00430 .00418 .00406 .00394 7 ...... 00562 .00543 .00525 .00508 .00492 .00477 .00462 .00449 .00436 .00423 8 ...... 00606 .00586 .00566 .00548 .00531 .00515 .00499 .00485 .00471 .00458 9 ...... 00659 .00637 .00616 .00597 .00579 .00561 .00545 .00529 .00514 .00500 10 ...... 00721 .00698 .00676 .00655 .00636 .00617 .00600 .00583 .00567 .00552 11 ...... 00792 .00767 .00744 .00722 .00701 .00682 .00663 .00645 .00628 .00612 12 ...... 00871 .00845 .00821 .00797 .00775 .00754 .00735 .00716 .00698 .00681 13 ...... 00955 .00928 .00902 .00877 .00854 .00831 .00810 .00790 .00771 .00753 14 ...... 01038 .01009 .00981 .00955 .00930 .00907 .00885 .00864 .00843 .00824 15 ...... 01116 .01085 .01056 .01028 .01002 .00977 .00954 .00932 .00910 .00890 16 ...... 01186 .01153 .01123 .01094 .01066 .01040 .01015 .00992 .00969 .00948 17 ...... 01250 .01215 .01183 .01152 .01124 .01096 .01070 .01045 .01022 .00999 18 ...... 01308 .01272 .01238 .01206 .01175 .01147 .01119 .01093 .01068 .01044 19 ...... 01367 .01329 .01293 .01259 .01227 .01196 .01167 .01140 .01113 .01088 20 ...... 01428 .01388 .01350 .01314 .01280 .01248 .01217 .01188 .01161 .01134 21 ...... 01494 .01451 .01411 .01373 .01337 .01303 .01271 .01240 .01211 .01183 22 ...... 01562 .01517 .01475 .01435 .01397 .01361 .01326 .01294 .01263 .01233 23 ...... 01635 .01588 .01543 .01501 .01460 .01422 .01386 .01351 .01319 .01287 24 ...... 01716 .01665 .01618 .01573 .01530 .01489 .01451 .01415 .01380 .01347

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00031 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36938 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations

Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

25 ...... 01804 .01751 .01701 .01653 .01608 .01565 .01524 .01485 .01448 .01413 26 ...... 01902 .01845 .01792 .01741 .01693 .01648 .01604 .01563 .01524 .01487 27 ...... 02011 .01951 .01895 .01841 .01790 .01742 .01696 .01652 .01610 .01571 28 ...... 02129 .02066 .02006 .01949 .01895 .01844 .01795 .01748 .01704 .01662 29 ...... 02258 .02191 .02127 .02067 .02009 .01955 .01903 .01853 .01806 .01762 30 ...... 02396 .02325 .02257 .02193 .02132 .02074 .02019 .01966 .01916 .01869 31 ...... 02543 .02467 .02396 .02328 .02263 .02201 .02143 .02087 .02034 .01983 32 ...... 02701 .02621 .02545 .02472 .02404 .02338 .02276 .02217 .02160 .02106 33 ...... 02871 .02786 .02706 .02629 .02556 .02487 .02420 .02357 .02297 .02240 34 ...... 03054 .02964 .02879 .02797 .02720 .02646 .02576 .02509 .02445 .02383 35 ...... 03253 .03158 .03067 .02981 .02898 .02820 .02745 .02674 .02606 .02541 36 ...... 03467 .03366 .03269 .03178 .03090 .03007 .02928 .02852 .02779 .02710 37 ...... 03697 .03590 .03488 .03391 .03298 .03209 .03125 .03044 .02967 .02893 38 ...... 03947 .03833 .03725 .03622 .03524 .03430 .03340 .03254 .03172 .03094 39 ...... 04217 .04096 .03982 .03873 .03768 .03669 .03573 .03482 .03395 .03312 40 ...... 04510 .04383 .04262 .04146 .04035 .03930 .03828 .03732 .03639 .03550 41 ...... 04830 .04695 .04567 .04445 .04327 .04215 .04108 .04005 .03907 .03812 42 ...... 05177 .05035 .04900 .04770 .04646 .04527 .04413 .04304 .04200 .04100 43 ...... 05553 .05404 .05261 .05123 .04992 .04866 .04746 .04630 .04520 .04413 44 ...... 05960 .05802 .05651 .05506 .05368 .05235 .05107 .04985 .04867 .04754 45 ...... 06395 .06229 .06069 .05917 .05770 .05630 .05495 .05365 .05241 .05121 46 ...... 06860 .06685 .06517 .06356 .06202 .06053 .05911 .05774 .05643 .05516 47 ...... 07353 .07169 .06992 .06823 .06660 .06504 .06353 .06209 .06070 .05936 48 ...... 07877 .07684 .07498 .07320 .07149 .06984 .06826 .06673 .06527 .06385 49 ...... 08433 .08231 .08036 .07849 .07669 .07495 .07329 .07168 .07013 .06864 50 ...... 09026 .08814 .08609 .08413 .08224 .08042 .07867 .07698 .07535 .07378 51 ...... 09655 .09433 .09219 .09013 .08815 .08624 .08440 .08262 .08091 .07926 52 ...... 10318 .10086 .09863 .09647 .09439 .09239 .09046 .08860 .08680 .08506 53 ...... 11017 .10774 .10541 .10315 .10098 .09888 .09686 .09491 .09302 .09120 54 ...... 11750 .11498 .11254 .11019 .10792 .10572 .10361 .10156 .09958 .09767 55 ...... 12522 .12258 .12005 .11759 .11522 .11294 .11072 .10859 .10652 .10451 56 ...... 13332 .13059 .12794 .12539 .12292 .12054 .11823 .11599 .11383 .11174 57 ...... 14183 .13899 .13624 .13359 .13102 .12853 .12613 .12380 .12154 .11936 58 ...... 15070 .14775 .14490 .14215 .13948 .13689 .13439 .13197 .12962 .12734 59 ...... 15990 .15685 .15389 .15103 .14826 .14558 .14298 .14046 .13801 .13564 60 ...... 16942 .16626 .16321 .16024 .15737 .15459 .15189 .14927 .14673 .14426 61 ...... 17929 .17603 .17287 .16981 .16684 .16395 .16115 .15844 .15580 .15324 62 ...... 18960 .18623 .18297 .17980 .17673 .17375 .17085 .16803 .16530 .16264 63 ...... 20035 .19688 .19352 .19025 .18708 .18400 .18100 .17809 .17525 .17250 64 ...... 21154 .20797 .20451 .20114 .19787 .19469 .19159 .18859 .18566 .18281 65 ...... 22318 .21951 .21595 .21249 .20912 .20584 .20265 .19955 .19652 .19358 66 ...... 23532 .23156 .22790 .22434 .22088 .21751 .21422 .21102 .20791 .20487 67 ...... 24804 .24419 .24044 .23679 .23324 .22977 .22640 .22311 .21990 .21678 68 ...... 26133 .25740 .25356 .24983 .24618 .24263 .23917 .23579 .23250 .22929 69 ...... 27516 .27114 .26723 .26341 .25969 .25605 .25251 .24905 .24567 .24237 70 ...... 28945 .28536 .28137 .27747 .27367 .26996 .26633 .26279 .25934 .25596 71 ...... 30412 .29996 .29590 .29193 .28806 .28427 .28057 .27696 .27343 .26998 72 ...... 31913 .31491 .31078 .30675 .30281 .29895 .29519 .29150 .28790 .28438 73 ...... 33444 .33016 .32597 .32188 .31788 .31396 .31013 .30638 .30271 .29913 74 ...... 35012 .34579 .34155 .33741 .33335 .32938 .32549 .32168 .31795 .31430 75 ...... 36628 .36190 .35762 .35343 .34932 .34530 .34136 .33750 .33372 .33001 76 ...... 38299 .37858 .37427 .37004 .36589 .36183 .35784 .35394 .35011 .34636 77 ...... 40028 .39585 .39151 .38725 .38307 .37898 .37496 .37103 .36716 .36337 78 ...... 41812 .41368 .40933 .40506 .40086 .39675 .39271 .38874 .38485 .38103 79 ...... 43641 .43198 .42762 .42334 .41914 .41502 .41096 .40698 .40308 .39924 80 ...... 45496 .45054 .44619 .44192 .43772 .43360 .42954 .42556 .42164 .41779 81 ...... 47360 .46920 .46487 .46061 .45643 .45231 .44827 .44429 .44038 .43653 82 ...... 49223 .48785 .48355 .47932 .47516 .47106 .46703 .46307 .45916 .45532 83 ...... 51081 .50648 .50221 .49802 .49388 .48982 .48581 .48187 .47799 .47416 84 ...... 52951 .52523 .52101 .51686 .51277 .50874 .50477 .50086 .49701 .49321 85 ...... 54847 .54425 .54009 .53600 .53196 .52798 .52406 .52019 .51638 .51262 86 ...... 56749 .56335 .55926 .55523 .55126 .54734 .54348 .53966 .53591 .53220 87 ...... 58627 .58221 .57820 .57425 .57035 .56650 .56270 .55895 .55526 .55161 88 ...... 60477 .60079 .59688 .59301 .58919 .58542 .58170 .57802 .57439 .57081 89 ...... 62297 .61909 .61527 .61149 .60776 .60408 .60044 .59685 .59330 .58979 90 ...... 64084 .63707 .63335 .62968 .62604 .62246 .61891 .61540 .61194 .60851 91 ...... 65803 .65437 .65076 .64719 .64366 .64017 .63672 .63330 .62993 .62659 92 ...... 67412 .67058 .66707 .66360 .66017 .65678 .65342 .65010 .64682 .64357 93 ...... 68911 .68567 .68227 .67890 .67557 .67227 .66901 .66578 .66258 .65942 94 ...... 70321 .69988 .69657 .69330 .69006 .68686 .68369 .68055 .67744 .67437 95 ...... 71674 .71351 .71031 .70713 .70399 .70088 .69781 .69476 .69174 .68875 96 ...... 72959 .72646 .72335 .72028 .71724 .71422 .71123 .70828 .70534 .70244 97 ...... 74156 .73853 .73552 .73254 .72959 .72666 .72376 .72089 .71804 .71522 98 ...... 75287 .74993 .74702 .74413 .74126 .73842 .73561 .73282 .73006 .72732

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Age 12.2% 12.4% 12.6% 12.8% 13.0% 13.2% 13.4% 13.6% 13.8% 14.0%

99 ...... 76401 .76117 .75834 .75555 .75277 .75002 .74730 .74459 .74191 .73926 100 ...... 77494 .77219 .76946 .76676 .76408 .76142 .75878 .75616 .75357 .75099 101 ...... 78580 .78315 .78052 .77791 .77532 .77275 .77021 .76768 .76517 .76268 102 ...... 79654 .79399 .79146 .78894 .78645 .78397 .78152 .77908 .77666 .77426 103 ...... 80724 .80479 .80236 .79994 .79755 .79517 .79280 .79046 .78813 .78582 104 ...... 81879 .81646 .81413 .81183 .80954 .80726 .80501 .80276 .80054 .79832 105 ...... 83005 .82782 .82560 .82340 .82121 .81904 .81688 .81474 .81260 .81049 106 ...... 84485 .84277 .84071 .83866 .83662 .83459 .83257 .83057 .82857 .82659 107 ...... 86311 .86124 .85937 .85751 .85566 .85382 .85199 .85017 .84835 .84655 108 ...... 89266 .89114 .88963 .88812 .88662 .88513 .88364 .88216 .88068 .87922 109 ...... 94563 .94484 .94405 .94326 .94248 .94170 .94092 .94014 .93937 .93860

TABLE 90CM.ÐLIFE TABLE APPLICABLE AFTER APRIL 30, 1999

Age x l(x) Age x l(x) Age x l(x)

(1) (2) (1) (2) (1) (2)

0 ...... 100000 37 ...... 95969 74 ...... 62852 1 ...... 99064 38 ...... 95780 75 ...... 60449 2 ...... 98992 39 ...... 95581 76 ...... 57955 3 ...... 98944 40 ...... 95373 77 ...... 55373 4 ...... 98907 41 ...... 95156 78 ...... 52704 5 ...... 98877 42 ...... 94928 79 ...... 49943 6 ...... 98850 43 ...... 94687 80 ...... 47084 7 ...... 98826 44 ...... 94431 81 ...... 44129 8 ...... 98803 45 ...... 94154 82 ...... 41091 9 ...... 98783 46 ...... 93855 83 ...... 37994 10 ...... 98766 47 ...... 93528 84 ...... 34876 11 ...... 98750 48 ...... 93173 85 ...... 31770 12 ...... 98734 49 ...... 92787 86 ...... 28687 13 ...... 98713 50 ...... 92370 87 ...... 25638 14 ...... 98681 51 ...... 91918 88 ...... 22658 15 ...... 98635 52 ...... 91424 89 ...... 19783 16 ...... 98573 53 ...... 90885 90 ...... 17046 17 ...... 98497 54 ...... 90297 91 ...... 14466 18 ...... 98409 55 ...... 89658 92 ...... 12066 19 ...... 98314 56 ...... 88965 93 ...... 9884 20 ...... 98215 57 ...... 88214 94 ...... 7951 21 ...... 98113 58 ...... 87397 95 ...... 6282 22 ...... 98006 59 ...... 86506 96 ...... 4868 23 ...... 97896 60 ...... 85537 97 ...... 3694 24 ...... 97784 61 ...... 84490 98 ...... 2745 25 ...... 97671 62 ...... 83368 99 ...... 1999 26 ...... 97556 63 ...... 82169 100 ...... 1424 27 ...... 97441 64 ...... 80887 101 ...... 991 28 ...... 97322 65 ...... 79519 102 ...... 672 29 ...... 97199 66 ...... 78066 103 ...... 443 30 ...... 97070 67 ...... 76531 104 ...... 284 31 ...... 96934 68 ...... 74907 105 ...... 175 32 ...... 96791 69 ...... 73186 106 ...... 105 33 ...... 96642 70 ...... 71357 107 ...... 60 34 ...... 96485 71 ...... 69411 108 ...... 33 35 ...... 96322 72 ...... 67344 109 ...... 17 36 ...... 96150 73 ...... 65154 110 ...... 0

(e) Effective dates. This section § 20.7520±1 Valuation of annuities, (2) Mortality component. The applies after April 30, 1999. unitrust interests, interests for life or term mortality component reflects the of years, and remainder or reversionary mortality data most recently available interests. § 20.2031±7T [Removed] from the United States Census. As new (a) * * * mortality data becomes available after Par. 13a. Section 20.2031–7T is (2) In the case of a transfer to a pooled removed. income fund with a valuation date after each decennial census, the mortality component described in this section Par. 14. Section 20.7520–1 is April 30, 1999, see § 1.642(c)–6(e) (or, for certain prior periods, § 1.642(c)–6A will be revised periodically and the amended by revising paragraphs (a)(2), mortality component tables will be (b)(2), (c)(1), (c)(2) and (d) to read as of this chapter) of this chapter with respect to the valuation of the remainder published in the regulations at that follows: interest. time. For decedents’ estates with * * * * * valuation dates after April 30, 1999, the (b) * * * mortality component table (Table 90CM)

VerDate 112000 16:05 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00033 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR2.SGM pfrm11 PsN: 12JNR2 36940 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations is included in § 20.2031–7(d)(7). See and a pooled income fund as defined in Transfers Applicable § 20.2031–7A for mortality component § 1.642(c)–5 of this chapter. See regulations tables applicable to decedent’s estates § 20.2031–7A for publications After Before with valuation dates before May 1, 1999. containing tables for valuation dates 12±31±70 ...... 12±01±83 25.2512±5A(c) (c) * * * before May 1, 1999. (1) Regulation sections containing 11±30±83 ...... 05±01±89 25.2512±5A(d) (ii) Internal Revenue Service 04±30±89 ...... 05±01±99 25.2512±5A(e) tables with interest rates between 4.2 Publication 1458, ‘‘Actuarial Values, and 14 percent for valuation dates after Book Beth,’’ (7–1999). This publication (d) Actuarial valuations after April April 30, 1999. Section 1.642(c)–6(e)(6) includes term certain tables and tables 30, 1999—(1) In general. Except as of this chapter contains Table S used for of one and two life valuation factors for otherwise provided in paragraph (b) of determining the present value of a determining the present value of this section and § 25.7520–3(b) (relating single life remainder interest in a pooled remainder interests in a charitable to exceptions to the use of prescribed income fund as defined in § 1.642(c)–5 remainder unitrust as defined in tables under certain circumstances), if of this chapter. See § 1.642(c)–6A of this § 1.664–3 of this chapter. See § 1.664– the valuation date for the gift is after chapter for single life remainder factors 4A of this chapter for publications April 30, 1999, the fair market value of applicable to valuation dates before May containing tables for valuation dates annuities, life estates, terms of years, 1, 1999. Section 1.664–4(e)(6) of this before May 1, 1999. remainders, and reversions transferred chapter contains Table F (payout (iii) Internal Revenue Service factors) and Table D (actuarial factors after April 30, 1999, is the present value Publication 1459, ‘‘Actuarial Values, of such interests determined under used in determining the present value of Book Gimel,’’ (7–1999). This publication a remainder interest postponed for a paragraph (d)(2) of this section and by includes tables for computing use of standard or special section 7520 term of years). Section 1.664–4(e)(7) of depreciation adjustment factors. See this chapter contains Table U(1) actuarial factors. These factors are § 1.170A–12 of this chapter. derived by using the appropriate section (unitrust single life remainder factors). (d) Effective date. This section applies 7520 interest rate and, if applicable, the These tables are used in determining the after April 30, 1989. present value of a remainder interest in mortality component for the valuation a charitable remainder unitrust as § 20.7520±1T [Removed] date of the interest that is being valued. See §§ 25.7520–1 through 25.7520–4. defined in § 1.664–3 of this chapter. See Par. 15. Section 20.7520–1T is The fair market value of a qualified § 1.664–4A of this chapter for unitrust removed. single life remainder factors applicable annuity interest described in section to valuation dates before May 1, 1999. PART 25ÐGIFT TAX; GIFTS MADE 2702(b)(1) and a qualified unitrust Section 20.2031–(d)(6) contains Table B AFTER DECEMBER 31, 1954 interest described in section 2702(b)(2) (actuarial factors used in determining is the present value of such interests the present value of an interest for a Par. 16. The authority citation for part determined under § 25.7520–1(c). term of years), Table K (annuity end-of- 25 is amended by removing the entries (2) Specific interests. When the donor interval adjustment factors), and Table J for Sections 25–2512–5T and 25.7520– transfers property in trust or otherwise (term certain annuity beginning-of- 1T to read in part as follows: and retains an interest therein, interval adjustment factors). Section Authority: 26 U.S.C. 7805 * * * generally, the value of the gift is the 20.2031–7(d)(7) contains Table S (single value of the property transferred less the life remainder factors) and Table 90CM § 25.2512±0 [Amended] value of the donor’s retained interest. (mortality components). These tables are Par. 17. Section 25.2512–0 is However, if the donor transfers property used in determining the present value of amended by removing the entry for after October 8, 1990, to or for the annuities, life estates, remainders, and § 25.2512–5T from the contents listing. benefit of a member of the donor’s reversions. See § 20.2031–7A for single Par. 18. Section 25.2512–5 is family, the value of the gift is the value life remainder factors and mortality amended by revising paragraphs (c), (d) of the property transferred less the value components applicable to valuation and (e) to read as follows: of the donor’s retained interest as dates before May 1, 1999. determined under section 2702. If the (2) Internal Revenue Service § 25.2512±5 Valuation of annuities, donor assigns or relinquishes an publications containing tables with unitrust interests, interests for life or term annuity, life estate, remainder, or interest rates between 2.2 and 22 of years, and remainder or reversionary reversion that the donor holds by virtue percent for valuation dates after April interests. of a transfer previously made by the 30, 1999. The following documents are * * * * * donor or another, the value of the gift available for purchase from the (c) Actuarial valuations. The present is the value of the interest transferred. Superintendent of Documents, United value of annuities, unitrust interests, life However, see section 2519 for a special States Government Printing Office, estates, terms of years, remainders, and rule in the case of the assignment of an Washington, DC 20402: reversions transferred by gift after April income interest by a person who (i) Internal Revenue Service 30, 1999, is determined under paragraph received the interest from a spouse. Publication 1457, ‘‘Actuarial Values, (d) of this section. The present value of (i) Charitable remainder trusts. The Book Aleph,’’ (7–1999). This annuities, unitrust interests, life estates, fair market value of a remainder interest publication includes tables of valuation terms of years, remainders, and in a pooled income fund, as defined in factors, as well as examples that show reversions transferred by gift before May § 1.642(c)–5 of this chapter, is its value how to compute other valuation factors, 1, 1999, is determined under the determined under § 1.642(c)–6(e) of this for determining the present value of following sections: chapter (see § 1.642(c)–6A for certain annuities, life estates, terms of years, prior periods). The fair market value of remainders, and reversions, measured Transfers Applicable a remainder interest in a charitable by one or two lives. These factors may After Before regulations remainder annuity trust, as described in also be used in the valuation of interests § 1.664–2(a) of this chapter, is its in a charitable remainder annuity trust 01±01±52 25.2512±5A(a) present value determined under as defined in § 1.664–2 of this chapter 12±31±51 ...... 01±01±71 25.2512±5A(b) § 1.664–2(c) of this chapter. The fair

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On the years in a charitable remainder unitrust individual) in § 20.2031–7(d)(7) of this date of the agreement, the annuitant is 68 is the fair market value of the property chapter, as the case may be, from years and 5 months old. The donee as of the date of transfer less the fair 1.000000. For information about annuitant’s age is treated as 68 for purposes market value of the remainder interest, obtaining actuarial factors for other of computing the present value of the determined under § 1.664–4(e)(4) and types of term-of-years and life interests, annuity. The section 7520 rate on the date of (5) of this chapter. see paragraph (d)(4) of this section. the agreement is 10.6 percent. Under Table (ii) Ordinary remainder and (iv) Annuities. (A) If the interest to be S in § 20.2031–7(d)(7) of this chapter, the reversionary interests. If the interest to valued is the right of a person to receive factor at 10.6 percent for determining the be valued is to take effect after a definite an annuity that is payable at the end of present value of a remainder interest payable at the death of an individual aged 68 is number of years or after the death of one each year for a term of years or for the .29691. Converting the remainder factor to an individual, the present value of the life of one individual, the present value annuity factor, as described above, the interest is computed by multiplying the of the interest is computed by annuity factor for determining the present value of the property by the appropriate multiplying the aggregate amount value of an annuity transferred to an remainder interest actuarial factor (that payable annually by the appropriate individual age 68 is 6.6329 (1.00000 minus corresponds to the applicable section annuity actuarial factor (that .29691 divided by .106). The adjustment 7520 interest rate and remainder interest corresponds to the applicable section factor from Table K in § 20.2031–7(d)(6) of period) in Table B (for a term certain) or 7520 interest rate and annuity period). this chapter in the column for payments the appropriate Table S (for one Internal Revenue Service Publication made at the end of each semiannual period measuring life), as the case may be. 1457 includes actuarial factors in Table at the rate of 10.6 percent is 1.0258. The aggregate annual amount of the annuity, Table B is contained in § 20.2031– B (for an annuity payable for a term of $10,000, is multiplied by the factor 6.6329 7(d)(6) of this chapter and Table S (for years) and in Table S (for an annuity and the product multiplied by 1.0258. The one measuring life when the valuation payable for the life of one individual present value of the donee’s annuity is, date is after April 30, 1999) is included when the valuation date is after April therefore, $68,040.29 ($10,000 × 6.6329 × in § 20.2031–7(d)(7) of this chapter and 30, 1999). However, annuity actuarial 1.0258). Internal Revenue Service Publication factors are not included in Table B in (C) If an annuity is payable at the 1457. See § 20.2031–7A(e)(4) of this § 20.2031–7(d)(6) of this chapter or beginning of annual, semiannual, chapter containing Table S and Life Table S in § 20.2031–7(d)(7) (or in quarterly, monthly, or weekly periods Table 80CNSMT for valuation of § 20.2031–7A(e)(4)) of this chapter. If for a term of years, the value of the interests after April 30, 1989, and before Internal Revenue Service Publication annuity is computed by multiplying the May 1, 1999. For information about 1457 (or any other reliable source of aggregate amount payable annually by obtaining actuarial factors for other annuity actuarial factors) is not the annuity factor described in types of remainder interests, see conveniently available, an annuity paragraph (d)(2)(iv)(A) of this section; paragraph (d)(4) of this section. factor for a term of years or for one life (iii) Ordinary term-of-years and life may be derived mathematically. This and the product so obtained is then interests. If the interest to be valued is annuity factor may be derived by multiplied by the adjustment factor in the right of a person to receive the subtracting the applicable remainder Table J in § 20.2031–7(d)(6) of this income of certain property, or to use factor (that corresponds to the chapter at the appropriate interest rate certain nonincome-producing property, applicable section 7520 interest rate and component for payments made at the for a term of years or for the life of one annuity period) in Table B (in the case beginning of specified periods. If an individual, the present value of the of a term-of-years annuity) in § 20.2031– annuity is payable at the beginning of interest is computed by multiplying the 7(d)(6) of this chapter or in Table S (in annual, semiannual, quarterly, monthly, value of the property by the appropriate the case of a one-life annuity) in or weekly periods for one or more lives, term-of-years or life interest actuarial § 20.2031–7(d)(7) of this chapter, as the the value of the annuity is the sum of factor (that corresponds to the case may be, from 1.000000 and then the first payment plus the present value applicable section 7520 interest rate and dividing the result by the applicable of a similar annuity, the first payment term-of-years or life interest period). section 7520 interest rate expressed as a of which is not to be made until the end Internal Revenue Service Publication decimal number. See § 20.2031– of the payment period, determined as 1457 includes actuarial factors for an 7(d)(2)(iv) of this chapter for an example provided in paragraph (d)(2)(iv)(B) of interest for a term of years in Table B that illustrates the computation of the this section. and for the life of one individual in present value of an annuity. (v) Annuity and unitrust interests for Table S (for one measuring life when the (B) If the annuity is payable at the end a term of years or until the prior death valuation date is after April 30, 1999). of semiannual, quarterly, monthly, or of an individual—(A) Annuity interests. However, term-of-years and life interest weekly periods, the product obtained by The present value of an annuity interest actuarial factors are not included in multiplying the annuity factor by the that is payable until the earlier to occur Table B in § 20.2031–7(d)(6) or Table S aggregate amount payable annually is of the lapse of a specific number of in § 20.2031–7(d)(7) (or in § 20.2031– then multiplied by the applicable years or the death of an individual may 7A(e)(4)) of this chapter. If Internal adjustment factor set forth in Table K in be computed with values from the tables Revenue Service Publication 1457 (or § 20.2031–7(d)(6) of this chapter at the in § 20.2031–7(d)(6) and (d)(7) of this any other reliable source of term-of- appropriate interest rate component for chapter as described in the following years and life interest actuarial factors) payments made at the end of the example: is not conveniently available, an specified periods. The provisions of this Example. The donor transfers $100,000 actuarial factor for the interest may be paragraph (d)(2)(iv)(B) are illustrated by into a trust and retains the right to receive derived mathematically. This actuarial the following example: an annuity from the trust in the amount of

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$6,000 per year, payable in equal semiannual the retained annuity. The section 7520 rate TABLE 90CM value at age 70 ...... 71357 installments at the end of each period. The for the month in which the transfer occurred TABLE 90CM value at age 60 ...... 85537 semiannual installments are to be made on is 9.8 percent. The present value of the TABLE B value at 9.8 percent, each June 30th and December 31st. The donor’s retained interest is $35,709.13, 10 years ...... 392624 determined as follows: annuity is payable for 10 years or until the TABLE K value at 9.8 percent .... 1.0239 donor’s prior death. At the time of the TABLE S value at 9.8 percent, transfer, the donor is 59 years and 6 months age 60 ...... 21669 Factor for donor’s retained interest at 9.8 old. The donor’s age is taken as 60 for TABLE S value at 9.8 percent, percent: purposes of computing the present value of age 70 ...... 34762

(1 . 00000−− . 21669 ) (. 392624 × ( 71357 / 85537 ) × ( 1 . 00000 − . 34762 )) = 5. 8126Fc .098

Present value of donor’s retained interest: trust assets, valued as of January 1st each Factor for donor’s retained interest at 5.6 ($6,000 × 5.8126 × 1.0239)...$35,709.13 year, for 10 years or until the prior death of percent: the donor. The section 7520 rate for the (B) Unitrust interests. The present January in which the transfer occurred is 9.8 (1.000000 ¥ .35375) ¥ (.561979 × value of a unitrust interest that is percent. Under Table F(9.8) in § 1.664–4(e)(6) (71357/85537) × (1.000000 ¥ payable until the earlier to occur of the of this chapter, the appropriate adjustment .49342)) = .40876 lapse of a specific number of years or factor is .932539 for semiannual payments the death of an individual may be payable at the end of the semiannual period. TABLE U(1) value at 5.4 percent, computed with values from the tables in The adjusted payout rate is 5.595 percent age 60 ...... 36542 (6% × .932539). The present value of the TABLE U(1) value at 5.4 percent, §§ 1.664–4(e)(6) and (e)(7) and donor’s retained interest is $40,848.00 § 20.2031–7(d)(7) of this chapter as age 70 ...... 50473 determined as follows: TABLE 90CM value at age 70 ..... 71357 described in the following example: TABLE U(1) value at 5.6 percent, TABLE 90CM value at age 60 ..... 85537 Example. The donor who, as of the nearest age 60 ...... 35375 TABLE D value at 5.4 percent, birthday, is 60 years old, transfers $100,000 TABLE U(1) value at 5.6 percent, 10 years ...... 573999 to a unitrust on January 1st. The trust age 70 ...... 49342 instrument requires that each year the trust TABLE 90CM value at age 70 ..... 71357 Factor for donor’s retained interest at 5.4 pay to the donor, in equal semiannual TABLE 90CM value at age 60 ..... 85537 percent: installments on June 30th and December TABLE D value at 5.6 percent, 31st, 6 percent of the fair market value of the 10 years ...... 561979

(1 . 000000−− . 36542 ) (. 573999 × ( 71357 / 85537 ) × ( 1 . 000000 − . 50473 )) =.39742 Difference . .. 0. 1134

Interpolation adjustment: date, the donor must use the same request for a ruling. The request for a actuarial tables (for example, gift and ruling must be accompanied by a − 5. 595% 5 .4% = x income tax charitable deductions with recitation of the facts including a 0.. 2% 01134 respect to the same transfer must be statement of the date of birth for each determined based on the same tables, measuring life, the date of the gift, any and all transfers made on the same date other applicable dates, and a copy of the x = .01106 must be valued based on the same will, trust, or other relevant documents. tables). A request for a ruling must comply with Factor at 5.4 percent, age 60 ...... 39742 (4) Publications and actuarial the instructions for requesting a ruling Plus: Interpolation adjustment ... .01106 computations by the Internal Revenue published periodically in the Internal Service. Many standard actuarial factors Revenue Bulletin (see §§ 601.201 and Interpolated Factor ...... 40848 not included in §§ 20.2031–7(d)(6) or 601.601(d)(2)(ii)(b) of this chapter) and Present value of donor’s retained interest: (d)(7) of this chapter are included in include payment of the required user Internal Revenue Service Publication fee. ($100,000 × .40848)...... $40,848.00 1457, ‘‘Actuarial Values, Book Aleph,’’ (e) Effective dates. This section (3) Transitional rule. If the valuation (7–1999). Internal Revenue Service applies after April 30, 1999. date of a transfer of property by gift is Publication 1457 also includes after April 30, 1999, and before July 1, examples that illustrate how to compute § 25.2512±5T [Removed] 1999, the fair market value of the many special factors for more unusual Par. 19. Section 25.2512–5T is interest transferred is determined by use situations. A copy of this publication is removed. of the section 7520 interest rate for the available for purchase from the Par. 20. Section 25.7520–1 is month in which the valuation date Superintendent of Documents, United amended by revising paragraphs (b)(2), occurs (see §§ 25.7520–1(b) and States Government Printing Office, (c)(1), (c)(2) and (d) to read as follows: 25.7520–2(a)(2)) and the appropriate Washington, DC 20402. See § 25.2512– actuarial tables under either paragraph 5A for publications containing actuarial § 25.7520±1 Valuation of annuities, (d)(2) of this section or § 25.2512–5A(e), factors for valuing interests for which unitrust interests, interests for life or term at the option of the donor. However, the valuation date is before May 1, 1999. of years, and remainder or reversionary with respect to each individual If a special factor is required in the case interests. transaction and with respect to all of a completed gift, the Service may * * * * * transfers occurring on the valuation furnish the factor to the donor upon a (b) * * *

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(2) Mortality component. The defined in § 1.664–3 of this chapter. See in a charitable remainder annuity trust mortality component reflects the § 1.664–4A for unitrust single life as defined in § 1.664–2 of this chapter mortality data most recently available remainder factors applicable to and a pooled income fund as defined in from the United States Census. As new valuation dates before May 1, 1999. § 1.642(c)–5 of this chapter. See § 25– mortality data becomes available after Section 20.2031–7(d)(6) of this chapter 2512–5A for publications containing each decennial census, the mortality contains Table B (actuarial factors used tables for valuation dates before May 1, component described in this section in determining the present value of an 1999. will be revised periodically and the interest for a term of years), Table K (ii) Internal Revenue Service mortality component tables will be (annuity end-of-interval adjustment Publication 1458, ‘‘Actuarial Values, published in the regulations at that factors), Table J (term certain annuity Book Beth,’’ (7–1999). This publication time. For gifts with valuation dates after beginning-of-interval adjustment includes term certain tables and tables April 30, 1999, the mortality component factors). Section 20.2031–7(d)(7) of this of one and two life valuation factors for table (Table 90CM) is included in chapter contains Table S (single life § 20.2031–7(d)(7) of this chapter. See remainder factors) and Table 90CM determining the present value of § 20.2031–7A of this chapter for (mortality components). These tables are remainder interests in a charitable mortality component tables applicable used in determining the present value of remainder unitrust as defined in to decedent’s estates with valuation annuities, life estates, remainders, and § 1.664–3 of this chapter. See § 1.664– dates before May 1, 1999. reversions. See § 20.2031–7A of this 4A of this chapter for publications (c) * * * chapter for single life remainder factors containing tables for valuation dates (1) Regulation sections containing and mortality components applicable to before May 1, 1999. tables with interest rates between 4.2 valuation dates before May 1, 1999. (iii) Internal Revenue Service and 14 percent for valuation dates after (2) Internal Revenue Service Publication 1459, ‘‘Actuarial Values, April 30, 1999. Section 1.642(c)–6(e)(6) publications containing tables with Book Gimel,’’ (7–1999). This publication of this chapter contains Table S used for interest rates between 2.2 and 22 includes tables for computing determining the present value of a percent for valuation dates after April depreciation adjustment factors. See single life remainder interest in a pooled 30, 1999. The following documents are § 1.170A–12 of this chapter. income fund as defined in § 1.642(c)–5 available for purchase from the (d) Effective date. This section applies of this chapter. See § 1.642(c)–6A for Superintendent of Documents, United after April 30, 1989. single life remainder factors applicable States Government Printing Office, to valuation dates before May 1, 1999. Washington, DC 20402: § 25.7520±1T [Removed] Section 1.664–4(e)(6) of this chapter (i) Internal Revenue Service contains Table F (payout factors) and Publication 1457, ‘‘Actuarial Values, Par. 21. Section 25.7520–1T is Table D (actuarial factors used in Book Aleph,’’ (7–1999). This removed. determining the present value of a publication includes tables of valuation remainder interest postponed for a term factors, as well as examples that show PARTS 1, 20 AND 25Ð[AMENDED] of years). Section 1.664–4(e)(7) of this how to compute other valuation factors, chapter contains Table U(1) (unitrust for determining the present value of Par. 22. In the list below, for each single life remainder factors). These annuities, life estates, terms of years, section indicated in the left column, tables are used in determining the remainders, and reversions, measured remove the language in the middle present value of a remainder interest in by one or two lives. These factors may column and add the language in the a charitable remainder unitrust as also be used in the valuation of interests right column:

Section Remove Add

1.170A±12(e)(2), following the formula ...... § 20.2031±7T ...... § 20.2031±7. 1.642(c)±6A(e)(2)(ii), last sentence ...... § 1.642(c)±6T(e)(3)(ii) ...... § 1.642(c)±6(e)(3)(ii). 1.642(c)±6A(e)(3) ...... § 1.642(c)±6T(e)(4) ...... § 1.642(c)±6(e)(4). 1.642(c)±6A(e)(4), last sentence ...... § 1.642(c)±6T(e)(5) ...... § 1.642(c)±6(e)(5). 1.664±1(a)(6), introductory text ...... §§ 1.664±4T(e), 1.664±4T(e) and 1.664±4A(d) and (e) .... §§ 1.664±4(e) and 1.664±4A(d) and (e). 1.664±4(e)(6), second sentence ...... § 1.664±4T(e)(7) ...... paragraph (e)(5) of this section. 1.664±4A(e)(4), fifth sentence ...... § 1.664±4T(e)(4) ...... § 1.664±4(e)(4). 1.664±4A(e)(4), last sentence ...... § 1.664±4T(e)(4) ...... § 1.664±4(e)(4). 1.664±4A(e)(5), fourth sentence ...... § 1.664±4T(e)(5) ...... § 1.664±4(e)(5). 1.664±4A(e)(5), last sentence ...... § 1.664±4T(e)(5) ...... § 1.664±4(e)(5). 1.7520±1(a)(2) ...... § 1.642(c)±6T(e) ...... § 1.642(c)±6(e). 20.2031±7A(e)(1), first sentence ...... § 20.2031±7T(d) ...... § 20.2031±7(d). 20.2055±2(f)(4) ...... § 20.2031±7T(d) ...... § 20.2031±7(d). 25.2512±5A(e)(1), first sentence ...... § 25.2512±5T(d) ...... § 25.2512±5(d). 25.7520±1(a)(2) ...... § 1.642(c)±6T(e) ...... § 1.642(c)±6(e). 25.7520±3(b)(2)(v), Example 5 (iii) ...... § 20.2031±7T(d)(7) ...... § 20.2031±7(d)(7).

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Robert E. Wenzel, Deputy Commissioner of Internal Revenue.

Approved: May 17, 2000. Jonathan Talisman, Deputy Assistant Secretary of the Treasury (Tax Policy). [FR Doc. 00–12986 Filed 6–9–00; 8:45 am] BILLING CODE 4830±01±P

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Part III

Nuclear Regulatory Commission 10 CFR Parts 170 and 171 Revision of Fee Schedule; 100% Fee Recovery, FY 2000; Final Rule

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NUCLEAR REGULATORY II. Responses to Comments. Business Administration’s (SBA) Small COMMISSION III. Final Action. Disadvantaged Business Program, IV. Voluntary Consensus Standards. commonly known as the 8(a) Program. 10 CFR Parts 170 and 171 V. Environmental Impact: Categorical Exclusion. The Commission agreed to give further RIN 3150±AG50 VI. Paperwork Reduction Act Statement. consideration to the issue raised by this VII. Regulatory Analysis. commenter. Revision of Fee Schedules; 100% Fee VIII. Regulatory Flexibility Analysis. The Commission has declined to Recovery, FY 2000 IX. Backfit Analysis. adopt the suggested approach, for the X. Small Business Regulatory Enforcement following reasons. On April 11, 1995 (60 AGENCY: Nuclear Regulatory Fairness Act. FR 18344), the NRC promulgated a final Commission. I. Background rule, after notice and comment ACTION: Final rule. rulemaking, that revised its size OBRA–90, as amended, requires that standards. The final rule established the SUMMARY: The Nuclear Regulatory the NRC recover approximately 100 small entity classification applicable to Commission (NRC) is amending the percent of its budget authority, less the small businesses as follows. Those licensing, inspection, and annual fees amount appropriated from the companies providing services having no charged to its applicants and licensees. Department of Energy (DOE) more than $5 million in average annual The amendments are necessary to administered Nuclear Waste Fund gross receipts over its last three implement the Omnibus Budget (NWF). Certain NRC costs related to completed fiscal years, or, for Reconciliation Act of 1990 (OBRA–90), reviews and other assistance provided manufacturing concerns, having an as amended, which mandates that the to the Department of Energy (DOE) and average of 500 or fewer employees NRC recover approximately 100 percent other Federal agencies are excluded during the preceding 12-month period of its budget authority in Fiscal Year from the fee recovery requirement for qualify as small entities (10 CFR 2.810). (FY) 2000, less amounts appropriated FY 2000 by the FY 2000 Energy and The NRC promulgated this rule from the Nuclear Waste Fund (NWF). Water Development Appropriations Act. pursuant to Section 3(a)(2) of the Small The amount to be recovered for FY 2000 The NRC assesses two types of fees to Business Act, which permits Federal is approximately $447.0 million. recover its budget authority. First, license and inspection fees, established agencies to establish size standards via EFFECTIVE DATE: August 11, 2000. notice and comment rulemaking, subject ADDRESSES: Copies of comments at 10 CFR Part 170 under the authority of the Independent Offices to the approval of the SBA received and the agency work papers Administrator. Unlike the NRC, the that support these final changes to 10 Appropriation Act of 1952 (IOAA), 31 U.S.C. 9701, recover the NRC’s costs of SBA’s Standard Industrial Classification CFR Parts 170 and 171 may be (SIC) System establishes size standards examined at the NRC Public Document providing special benefits to identifiable applicants and licensees. Examples of based on types of economic activity or Room, 2120 L Street, NW, Washington, industry. The NRC rule, which the SBA DC 20555. Comments received may also the services provided by the NRC for which these fees are assessed are the approved, established generic size be viewed via the NRC’s interactive standards for small businesses because rulemaking website http.// review of applications for the issuance of new licenses, approvals or renewals, NRC’s regulatory scheme is not well ruleforum.llnl.gov). This site provides suited to setting standards for each the ability to upload comments as files and amendments to licenses or approvals. Second, annual fees, component of the regulated nuclear (any format), if your web browser industry. supports that function. For information established in 10 CFR Part 171 under about the interactive rulemaking site, the authority of OBRA–90, recover II. Responses to Comments generic and other regulatory costs not contact Ms. Carol Gallagher, 301–415– The NRC published a proposed rule 5905; e-mail [email protected]. recovered through 10 CFR Part 170 fees. This final rule is based on the current that presented the amendments With the exception of restricted necessary to revise the licensing, information, documents created or 100 percent fee recovery requirement under OBRA–90. To address fairness inspection, and annual fees charged to received at the NRC after November 1, its licensees and applicants for FY 2000 1999, are also available electronically at and equity concerns related to NRC licensees paying for agency expenses on March 27, 2000 (65 FR 16250). A the NRC’s Public Electronic Reading total of 13 comments were received on Room on the Internet at http:// which do not provide a direct benefit to them, the NRC has submitted legislation the proposed rule. Many of the www.nrc.gov/NRC/ADAMS/index.html. comments were similar in nature. These From this site, the public can gain entry to the Congress which would reduce the fee recovery amount, beginning in FY comments have been grouped, as into the NRC’s Agencywide Document appropriate, and addressed as single Access and Management System 2001. The Senate has passed legislation that would reduce the fee recovery issues in this final rule. (ADAMS), which provides text and The comments are as follows: image files of NRC’s public documents. amount to 98 percent for FY 2001, and For more information, contact the NRC further reduce the fee recovery amount A. Legal Issues by an additional two percent per year in Public Document Room (PDR) Reference 1. NRC’s Interpretations of OBRA–90 FYs 2002 through 2004, and by 4 staff at 1–800–397–4209, 202–634–3273 and IOAA or by email to [email protected]. percent in FY 2005, for a final fee recovery requirement of 88 percent in Comment. Several commenters again FOR FURTHER INFORMATION CONTACT: FY 2005. raised questions about the NRC’s legal Glenda Jackson, Office of the Chief Also, in the FY 1999 final fee rule interpretations of OBRA–90 and the Financial Officer, U.S. Nuclear published June 10, 1999 (64 FR 31450), IOAA. For example, some commenters Regulatory Commission, Washington, the NRC responded to a comment argued that OBRA–90 prohibits DC 20555–0001, Telephone 301–415– requesting that NRC designate as small exemptions from Part 170 fees, and that 6057. entities, for reduced fee purposes, all accordingly the NRC must charge SUPPLEMENTARY INFORMATION: those companies with small business federal agencies, state agencies, and I. Background. certification under the U.S. Small state licensees fees under Part 170 for

VerDate 112000 16:21 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR3.SGM pfrm01 PsN: 12JNR3 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36947 specific services rendered. The same regulation and other generic costs. The actually decreased by approximately commenters claim that the current fee commenter believes this would provide $2.6 million from the FY 1999 level. structure denies reactor licensees due for more effective feedback and The slight increase in annual fees is process and equal protection under the comment and would promote increased therefore primarily a result of the U.S. Constitution. Commission efficiency because the costs absence of a carryover from prior years, Response. These arguments are not of services and other agency expenses, a decrease in estimated payments for new, all having been raised by the same such as overhead, would be more visible prior year invoices, and a reduction in commenters when the fee schedules to stakeholders. The commenter also the number of licensees. Although were revised for FY 1999. In the FY requested that NRC provide a more inflation ran 2.4 percent over FY 1999, 1999 final fee rule, the NRC carefully set detailed account of major research the annual fees are increasing only 1.4 forth both these comments and the contracts, their purpose, and their costs. percent. NRC’s responses to them. The NRC’s Response. The NRC believes there is The NRC emphasizes that, response explained how the current fee nothing obscure about the 1.4 percent considering inflation, the NRC’s budget, structure fully complies with all increase in annual fees or its relation to in real terms, is down once again—to an statutory and constitutional reactor regulation. The FY 2000 all-time low. It represents a 25 percent requirements. Because last year’s proposed rule clearly describes the decrease in the last 7 years alone and discussion was sufficiently detailed, calculation that leads to the 1.4 percent staffing levels are their lowest in 20 and because there have been no new increase (65 FR 16251, 16253–4; March years. This has all been achieved while legal developments over the past year 27, 2000). This calculation is also the NRC has expended large resources that would call for a different resolution repeated in this final rule. In addition, in extraordinary reform efforts, of the issues, interested parties are the proposed rule announced the particularly in enforcement and power referred to the FY 1999 final fee rule availability of the agency’s work papers reactor oversight. responses to comments (64 FR 31448– that support these calculations. 50; June 10, 1999). Furthermore, the NRC has made B. Specific Part 170 Issues However, there is one update to the available in the Public Document Room 1. Project Manager Billings Issues discussion in the June 10, 1999, final NUREG–1100, Volume-15, ‘‘Budget rule that outlines actions NRC has taken Estimates and Performance Plan, Fiscal Comment. Uranium recovery industry over the past six years to reduce any Year 2000 (February 1999).’’ This commenters strongly opposed the NRC’s residual inequity and unfairness in the document discusses the NRC’s budget current billing method for Project current fee structure (64 FR 31450; June for FY 2000 in detail, including the Managers (PMs). Many of these 10, 1999). Among those actions has been activities to be performed in each comments were directed towards the consistent support for legislation that strategic arena. Reactor-related research unfairness of certain types of PM would address the remaining fairness activities are described under the activities being charged to licensees that and equity issues by decreasing the Nuclear Reactor Safety arena. These had little or no apparent connection to amount of NRC’s budget to be recovered explanations satisfy all legal the sites the PMs were managing, such through fees. The Senate has passed requirements and afford commenters as Combined Federal Campaign legislation that would reduce the fee ample information upon which to base activities or support to other offices. recovery amount by 2 percent per year their comments. One commenter stated that indirect PM in FYs 2001 through 2004, and by 4 The fact that the NRC decided to charges should be captured under Part percent in FY 2005, resulting in a final derive the FY 2000 annual fees by 171 annual fees versus Part 170 fees due fee recovery requirement of 88 percent means of a percentage increase in no to the inequities of the NRC’s current in FY 2005 (S. 1627). way indicates that the fee was derived billing system, thereby allowing indirect without regard to the costs of reactor PM charges to be evenly distributed to 2. Information Provided by NRC in regulation. To the contrary, the very all uranium recovery licensees paying Support of Proposed Rule decision to proceed by percentage annual fees. Another concern was the Comment. One commenter increase is based on a consideration of, unequal distribution of PMs to licensee complained that, in deriving the FY among other things, whether there has sites, thereby subjecting certain 2000 annual fees by simply escalating been a substantial change in the licensees to a disproportionate share of last year’s fee by 1.4 percent, the NRC magnitude of the budget allocated to a indirect (e.g., administrative) PM costs. has not given ‘‘any consideration’’ to specific class of licensees. The percent Response. In FYs 1998 and 1999, the whether underlying costs have any change method exists not so the agency NRC shifted cost recovery for certain rational connection to reactor regulation can avoid the effort of making the best activities from Part 171 annual fees to or any consideration of whether the possible match between fees and Part 170 fees. As part of this effort, in total assessment is as fair and equitable services, but rather to give licensees FY 1999, the NRC made a conscious as is feasible. The commenter also some cost stability. Last year the NRC decision to recover the full costs for claims that the proposed rule fails to solicited comment on whether it should PMs, with the exception of PM activities provide ‘‘any explanation and retain the percent change method or that are generic in nature (e.g., accounting of the expenses that are rebaseline annual fees every year (63 FR rulemaking and preparation of generic covered by this charge,’’ and thus 15884; April 1, 1999). The majority of guidance documents, etc.) and leave ‘‘denies the companies a meaningful commenters favored continued use of time, through Part 170 fees. This opportunity to comment.’’ the percent change method because they decision is consistent with Title V of the Another commenter indicated that, desired some stability in fees. The IOAA, interpretations of that legislation under the provisions of the Commission has retained this method, by the Federal courts, and previous Administrative Procedure Act, the NRC with the additional provision that fees Commission guidance. In summary, has not provided sufficient information will be rebaselined at least every three these guidelines provide that Part 170 to enable licensees to evaluate costs. For years. fees may be assessed to persons who are instance, the NRC should provide The total budgeted amount to be identifiable recipients of ‘‘special detailed cost information associated recovered in FY 2000 through fees benefits’’ conferred by specifically with each component of reactor charged to NRC applicants and licensees identified activities of the NRC. These

VerDate 112000 16:21 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR3.SGM pfrm01 PsN: 12JNR3 36948 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations special benefits include services approved leave, excused absences, and service are also traced and billed rendered at the request of a recipient absences in a duty status. After further directly to the recipient. Because the and all services necessary to the review, the NRC has determined that hourly rate is not intended to be used issuance of a required permit, license, Combined Federal Campaign activities only for work that is billable under Part certificate, approval, amendment, or are most appropriately identified as an 170, the NRC believes it is more other services necessary to assist a excused absence for fee billing appropriate to use budget data than to recipient in complying with statutory purposes, and thereby excluded from base the hourly rate calculations on obligations under the Commission’s Part 170 fee assessments. Accordingly, historical Part 170 type billing data. regulations. NRC is adjusting those Part 170 invoices The NRC is revising the professional With the exception of generic that included these charges. hourly rates to $143 for the nuclear activities and leave time, PM activities The NRC understands some materials and nuclear waste program are services which the NRC provides to commenters’ concerns about the and $144 for the reactor program. As specific, identifiable beneficiaries (i.e., unequal distribution of licensee sites required by OBRA–90, the NRC must the site or sites to which the PM is among PMs in the NRC’s uranium recover approximately 100 percent of its assigned). Thus, as the NRC stated in recovery program. In the case of PMs budget authority, less the appropriation the FY 1999 final rule, it is more assigned to more than one license or from the Nuclear Waste Fund, through appropriate that the costs of these site, the PM time that is not directly either fees for direct services (Part 170) activities be recovered through Part 170 related to a specific site or to generic or annual fees (Part 171). The fees assessed to the recipient of the activities is prorated to each of the professional hourly rates, which are service than through annual fees assigned licenses or sites. A site having based on budgeted costs, must be assessed to all of the licensees in a a fully dedicated PM should bear more established at these levels to meet the particular class (64 FR 31448; June 10, of the PM’s general and administrative fee recovery requirement. 1999). This results in licensees who costs, and therefore the distribution of The revised professional hourly rates have ceased operations being charged these costs between the licensees in the of $143 and $144 mark a $3 per hour for the full costs of PMs assigned to fee class reflects the proportion of time increase over FY 1999. This is primarily their sites. If indirect PM costs were devoted to one or more sites. As attributable to the Government-wide pay included in the Part 171 annual fee, previously noted, this time is a small increase which went into effect January then only operating licensees, licensees percentage of the total PM’s time. 2000. This equates to approximately a 2 in standby, and power reactor licensees percent increase over the previous year 2. Hourly Rates who are in decommissioning or for professional hourly rates, while at possession only status and having fuel Comment. Several uranium recovery the same time inflation, as measured by on-site would pay these PM costs. commenters stated the hourly rate of the Consumer Price Index, was As indicated in the final FY 1999 fee $143 for PMs/professional staff was approximately 2.4 percent. rule, the NRC readily acknowledges that excessive considering that senior-level With regard to the OIG’s findings and certain PM activities are not directly private consultants in the industry recommendations, the Commission related to a specific licensing action or charge far less for comparable services. continues to assert that its fee schedules inspection, or even to a specific site. A reactor licensee called the $3 per hour are in full compliance with the However, these activities are part of the increase unacceptable, and suggested requirements of OBRA–90, IOAA, and costs to the agency of providing the PM that NRC help the regulated community OMB Circular A–25. The NRC’s services, and these costs are most by controlling and reducing annual fees, methodology for calculating the IOAA appropriately recovered from the not increasing them to ‘‘pay higher fees was upheld by the Court in licensee benefitting from those services. wages.’’ Another commenter requested Mississippi Power & Light v. NRC [601 Day-to-day PM activities to be recovered that before issuing the FY 2000 final fee F. 2d 223 (5th Cir. 1979) cert. denied through Part 170 fees include the rule, the NRC address the NRC’s Office 444 U.S. 1102 (1980)]. Further, a general management and oversight of of the Inspector General (OIG) comprehensive response was published the particular site or sites to which they recommendation to evaluate the hourly with the OIG report concerning the NRC are assigned, and general activities such rate methodology. This commenter fee development process, which may be as training, travel, general believes no substantive justification has accessed via the NRC’s homepage (http:/ correspondence, staff meetings, been given for formulating hourly rates /www.nrc.gov). Interested individuals coordination with and support to other by using budget data rather than actual may review the response in detail by offices, and processing documents into data from previous year’s billings. selecting ‘‘Reference Library,’’ then ‘‘IG the NRC’s Agencywide Document Response. The NRC’s hourly rates are Audit Rpts,’’ then ‘‘99A–01’’. Access and Management System established to recover the cost of (ADAMS). A review of the PM time maintaining a professional employee, 3. Invoice Information reported in the first two quarters of FY such as salaries and benefits and Comment. Several commenters 2000 indicates that approximately 10– overhead, and to recover general and expressed concern over the lack of 15 percent of a PM’s time is spent on administrative costs, such as heat, appropriate invoice detail regarding general or non-site specific lighting, and supplies. These budgeted quarterly billings for NRC staff services administrative duties. The NRC believes costs are incurred whether a provided to licensees. it is appropriate to recover the costs for professional employee is performing Response. The NRC believes that this small percentage of the PM’s time work that is billable under Part 170 or sufficient information is currently from the assigned site or sites as a work that is recovered through annual provided to licensees or applicants on necessary function in support of the fees. The time spent by a professional which to base payment of invoices. The NRC’s overall mission. employee in performing work that is NRC has addressed this issue previously The NRC stated in the FY 1999 final subject to Part 170 fees is traced to the in a similar response to the American rule that leave time would be excluded billable activities and charged at the Mining Congress (now the National from PM time billed under Part 170. For professional hourly rate to the recipient Mining Association) (60 FR 20918; April purposes of Part 170 fees for PMs and of the service. Any direct contract 28, 1995). The NRC’s invoices for full- resident inspectors, leave time includes support costs incurred in providing the cost licensing actions and inspections

VerDate 112000 16:21 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR3.SGM pfrm01 PsN: 12JNR3 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36949 currently contain information detailing rebaseline fees every several years, or expense for licensees to provide this the type of service for which the costs return to a policy of rebaselining annual information because they already are being billed, the date or date range fees every year. The majority of the maintain a gauge inventory. A third the service was performed, the number comments received on this issue commenter requested that small entity of professional staff-hours expended in supported continuing the use of the size standards be established for reactor providing the service, the hourly rate, percent change method, and licensees based on the utility’s total and the contractual costs incurred. rebaselining every several years as capacity, number of employees, A licensee or applicant who does not warranted. These commenters were customers in the rate base, or a understand the charges, or who feels it concerned about fee stability and combination of these factors. needs more information to interpret a predictability. Therefore they did not Some commenters requested that the bill, may request additional information favor annual rebaselining. NRC establish more tiers or levels of from the NRC regarding the specific bill Before FY 1999, Commission policy fees, indicating that the spread between in question. The NRC will provide all required that annual fees be rebaselined the current tiers is too great. One available data used to support the bill in every five years, or earlier if there was commenter said one company should response to this type of request. a substantial change in the total NRC not be burdened with the same fee as a Additionally, if requested, the NRC budget or in the magnitude of the company with fourteen times the gross program staff will provide a best budget allocated to a class of licensees. receipts. Another commenter said the estimate of the hours required to In FY 1999, based on experience gained current lower tier of $350,000 in annual complete a specific licensing action, as a result of applying the criteria for gross receipts should be increased to $1 with the caveat that the actual hours rebaselining over the previous four million to reflect FY 2000 equivalent expended may differ from that estimate years, the Commission implemented a dollars. based on certain circumstances (e.g., revised policy requiring that future Response. The NRC is increasing the timeliness of submittals, quality of annual fees be rebaselined every three small entity annual fee and the lower products being submitted for review, years, or earlier if warranted. The tier small entity fee by 25 percent in this etc.). However, OMB Circular A–25, Commission’s decision on the final rule. This is the first change to the which establishes guidelines for Federal appropriate method for establishing small entity fee amounts since their agencies to assess fees for Government annual fees (i.e., rebaselining or introduction in FYs 1991 and 1992. services, provides that new cost percentage change) is made each year While NRC recognizes the effect this accounting systems need not be created after considering the criteria for increase may have on some small solely for the purpose of determining or rebaselining and all relevant facts. entities, the NRC believes this action strikes a balance between the estimating full cost. Therefore, the NRC 2. Small Entity Fee Increase does not currently plan to develop requirement of OBRA–90 to collect Comment. Several comments were additional systems solely to provide approximately 100 percent of the NRC’s received on the proposed 25 percent further details to support the fee budget authority through fees, and the increase in the small entity annual fees. invoices. Regulatory Flexibility Act (RFA) Some commenters indicated that a 25 requirement to consider the impact of C. Specific Part 171 Issues percent increase would have negative agency actions on small entities. economic impacts on their businesses. The NRC has determined that 1. Percentage Change Methodology These commenters said it would be assessing costs to the materials class of Comment. One commenter stated that, difficult for them to recover the licensees which are attributable to that although it agrees that fee stability is ‘‘a increase, and it could force some small class, as indicated in the Conference reasonable goal,’’ and rebaselining companies to give up their licenses. One report accompanying OBRA–90, results might require more resources, the commenter attributed the reason for the in a significant impact on a substantial ‘‘industry’’ believes annual fees should proposed small entity fee increase to the number of small entities. However, the be rebaselined each year. The decrease in the number of licensees. NRC is not required to reduce or commenter believes that annual This commenter said that businesses eliminate the impact on small rebaselining would serve to promote faced with reduced sales would not be businesses, but to evaluate the impact agency efficiency by focusing on the able to increase prices, but rather would and explain its decisions. The NRC has value of the programs and other changes be forced to reduce their budgets, and developed the Regulatory Flexibility that have an impact on resource that this would be an obvious solution Analysis for this final rule (see requirements. The commenter for the NRC to follow. Two commenters Appendix A to this document). Given referenced a recent audit by the OIG noted that while the annual fee assessed the conflicting goals of OBRA–90 and which concluded that extended use of to small entities would increase by 25 the RFA, the Commission determined the percentage change method may percent, the annual fee for certain other that the impact on small entities should result in a deviation from associating licensees, such as gauge users, would be reduced by establishing a maximum fees with the costs of services provided. not increase. annual fee for licensees who qualify as Response. After evaluating all Several commenters suggested small entities. pertinent factors, the Commission has alternatives to the current basis for the In order to recover approximately 100 determined that the use of the small entity annual fee. One commenter percent of the budget as required by percentage change method for suggested that the fee be based on net law, other licensees must pay for costs determining FY 2000 annual fees does receipts or receipts from regulated not recovered from small entities. With not result in a loss of the required activities instead of gross receipts. the 25 percent increase to the small ‘‘reasonable relationship’’ between fees Another recommended that the small entity annual fees, the FY 2000 small and the costs of providing services. In entity fee be based on the number of entity subsidy to be recovered from the FY 1999 proposed fee rule (64 FR gauges owned or leased. This other licensees is approximately $5.6 15884; April 1, 1999), the Commission commenter indicated that there are million; without the increase the specifically solicited public comment increased licensing and inspection costs subsidy would be approximately $6.0 on whether the NRC should continue to associated with larger numbers of million. The 25 percent increase means use the percent change method and gauges and there would be no additional that small entities will pay more of the

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For include revenues from sales of products Commission policy included in the FY most fee categories, the $2,300 annual or services, interest, rent, fees, 1999 final fee rule, such as billing full fee per license category for small commissions and/or whatever sources cost under Part 170 for PMs, entities is approximately 26 percent less derived. performance assessments, incident than the $3,400 in average total fees The NRC has considered comments investigations, and reviews of reports paid by small entities in FY 1991. that the fees for small businesses be and other documents that do not require In order to put this increase in based on such factors as the number of formal or legal approval. However, this perspective, it must be recognized that gauges used, the volume of patients increase is offset by other factors, as the small entity fee policy represents a administered to, or receipts from the use described in the proposed fee rule (65 subsidy program, for which small of regulated activities in each fiscal year FR 16253, 16254; March 27, 2000). To entities are paying only a small fee rulemaking, beginning in FY 1991 reiterate, as the NRC explained in the percentage of the costs attributable to (56 FR 31472; July 10, 1991, at pp. FY 1999 proposed and final fee rules (64 them. The small entity annual fee levels 31511–31512, et al.). The NRC has FR 15876; April 1, 1999; and 64 FR have remained constant since they were consistently rejected these alternatives 31458; June 10, 1999), a $4.1 million established in FY 1991 and FY 1992, because they would not necessarily carryover from additional FY 1998 despite the fact that some types of NRC meet the goal of the RFA to minimize collections was applied to FY 1999 activities previously billed separately the impact of agency actions on small collections, thereby reducing the total under Part 170 have been absorbed into entities. For example, if the NRC based fee recovery amount for FY 1999. the annual fee. Therefore, small entities the reduced annual fee on the number However, this carryover does not exist have benefitted from the additional of gauges owned, a large firm with only for FY 2000. The $1.7 million decrease activities covered by the annual fees, one gauge would get a reduced fee, in estimated total collections for FY but without the associated expense. while a small business with more than 2000 is the difference between the $4.1 The 25 percent increase in the small one gauge would pay a larger fee. million carryover from additional 1998 entity annual fee is not due to a Similarly, a large medical establishment collections and the estimated $2.4 decrease in the number of licensees as would pay a reduced fee if only a small million increase in Part 170 collections one commenter believes. A decrease in part of its business involved nuclear for FY 2000 as compared to FY 1999. In the number of licensees is a contributing procedures, whereas a small medical addition, the FY 2000 net annual fee factor in the overall 1.4 percent increase facility whose entire business involves billing adjustment, which is for invoices in FY 2000 annual fees. However, the 25 nuclear procedures would pay a larger that will not be paid in FY 2000, the percent increase in the small entity fee. Basing the fees on the small entity small entity subsidy, and payments annual fee results from changes that size standards ensures that benefits of received in FY 2000 for FY 1999 have occurred in the types of costs the reduced fees apply only to small invoices, is approximately $5.7 million, recovered through annual fees and entities. compared to the FY 1999 adjustment of increases to costs since the $1,800 small In FY 1999, approximately 43 percent $3.2 million. As a result of these entity fee was established. When the of the licensees qualifying as small changes, which are summarized in $1,800 maximum small entity annual entities for purposes of reduced annual Table II of this final rule, the total Part fee was established in FY 1991, small fees qualified for the lower-tier small 171 billing amount increased from entities also paid fees for inspections, entity fee. Therefore, because the $345.1 million in FY 1999 to $346.7 amendments, and license renewals, current lower tier fee significantly million in FY 2000. In addition, there resulting in an average of $3,400 in fees reduces the impact of the annual fee for are approximately 530 fewer licensees paid by small entities per year. licensees with relatively low gross available to pay the annual fees in FY However, since 1991 the inspection, annual receipts or supporting 2000, primarily because Ohio became an amendment, and renewal fees have been populations, the NRC does not believe Agreement State in August, 1999. eliminated from Part 170 charges and any additional tiers are appropriate. have been incorporated in the annual 4. Impacts of the Revised Annual Fees fees assessed to the materials class of 3. Effects of Shifting Cost Recovery on Licensees licensees. As a result of these and other From Part 171 to Part 170 Comment. Several commenters stated changes, the average total fees paid per Comment. Some commenters that the NRC’s FY 1999 rebaselining year by other materials licensees indicated that the NRC’s attempt to shift placed a significant financial burden on increased by approximately 25 percent, cost recovery from Part 171 to Part 170 the uranium recovery industry due to from $6,700 in FY 1991 to $8,400 in FY is illusory at best and represents no real increased fees and that uranium 1999. For the same period, the average savings to the licensee. They further recovery licensees bore a total fees paid per year by small entities expounded that shifting these costs to disproportionate share of the cost decreased approximately 47 percent, Part 170 fees has not resulted in an burden from this process. Many from $3,400 in FY 1991 to $1,800 in FY offsetting decrease in Part 171 fees, uranium recovery commenters asserted 1999. thereby exacerbating an already unfair the uranium market is depressed and at The NRC’s size standards, which are and inequitable situation. a historical low. These commenters codified in 10 CFR 2.810, are outside Response. It is incorrect to assume claimed that the NRC’s current fee the scope of this rulemaking. Therefore, that Part 170 have increased with no structure is excessive and unfair to the commenters’ suggestions that the size corresponding drop in Part 171 fees. As uranium recovery industry class of standards be revised are not being required by OBRA–90, the Part 171 licensee. Furthermore, they indicated addressed in this final rule. The NRC’s annual fee recovery amounts are offset that licensees do not have the capability receipts-based size standard for small by the estimated Part 170 fee of passing through these additional businesses not engaged in collections. The estimated collections costs to the consumer, thereby adversely manufacturing is based on the most for FY 2000 include a $2.4 million affecting the viability of some commonly used Small Business increase in estimated Part 170 fees, from companies. A reactor licensee who Administration (SBA) size standard of $103.5 million in FY 1999 to $105.9 referred to the challenge of the $5.0 million in annual gross receipts for million for FY 2000. This increase is competitive, unregulated marketplace

VerDate 112000 16:21 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR3.SGM pfrm01 PsN: 12JNR3 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36951 for utilities, commented that the cost of the maximum extent practicable, have a of 2.3 fewer reactor licensees were regulating the industry is passed on to reasonable relationship to the cost of available to pay the annual fees the consumer. This commenter providing regulatory services. compared to FY 1997. This represented indicated that businesses do not locate a reduction of approximately 2 percent 5. Effects of Decreasing Numbers of in the company’s area, or end up leaving of the total operating reactors. In FY Licensees the area, because the electric rates there 2000, there are approximately 530 fewer are among the highest in the State. Comment. Several commenters materials licensees compared to FY Response. The NRC acknowledges the broached the issue of annual fee 1999, a reduction of approximately 10 commenters’ concern about the increases that result from a decreasing percent. depressed state of the uranium industry number of licensees available to pay the Under the percent change method, and that any increase in fees to uranium fees. Some commenters questioned why which has been endorsed by most of recovery licensees may pose a NRC’s budget did not decrease those commenting on the methodology significant financial hardship. However, commensurate with the decrease in since it was introduced in FY 1995, the without legislative relief, the NRC is licensees. One commenter, representing number of licensees is only one factor mandated by OBRA–90 to collect commercial nuclear reactor licensees, in the determination of the percentage approximately 100 percent of its budget stated that a decrease in the number of change to the annual fees needed to authority. As stated in response to materials licensees was the only reason assure 100 percent fee recovery. This similar comments on this issue in the given for the 1.4 percent increase in does not mean that the percentage FY 1993 fee rule (58 FR 38667; July 20, power reactor licensee’s annual fees change to the previous year’s annual 1993), the Commission lacks the which, in the commenter’s view, fees is related to a change in the costs expertise or information needed to suggests that the increase is solely of regulating the class of licensees that determine whether, in a market attributable to the costs of regulating experienced the decrease in licensees. economy, particular licensees can or materials licensees. Therefore, these Rather, the percentage change is based cannot recapture the costs of annual fees costs have no relation to nuclear power on the factors shown in Table II (e.g., from their customers. The Commission reactors. The uranium recovery industry changes to the total fee recovery is not a financial regulatory agency and expressed apprehension about the amount, the estimated collections from does not have the resources necessary to decreasing number of licensees in the Part 170 fees and other receipts, and continuously evaluate purely business uranium recovery industry, thereby billing adjustments necessary to meet factors. The annual fees must have, to raising concern over the last remaining the 100 percent fee recovery the maximum extent practicable, a licensee in the class supporting the requirement), and the number of reasonable relationship to the cost of NRC’s entire Uranium Recovery Branch licensees paying annual fees compared providing regulatory services in order to singlehandedly. to FY 1999. meet the requirements of OBRA–90. Response. The NRC acknowledges the The NRC supports legislative relief Therefore, the Commission is not commenters’ concern regarding the with respect to the NRC activities that changing its previous decisions against effects a declining licensee base has on have no direct relation to the licensees basing fees on licensees’ economic the Part 171 fees assessed to the who are assessed the costs as part of status or market conditions, and has remaining licensees. Given the their annual fee (e.g., Agreement State only considered the fee impacts it is requirements of OBRA–90, the NRC has program oversight, international obligated by law to consider. In the FY no option but to assess annual fees to programs, etc.). As noted previously, the 1993 final fee rule, after full NRC licensees to recover the budgeted Senate has passed such legislation. That consideration of the question, the NRC costs not recovered through Part 170 same legislation would provide the determined not to establish fees or base fees and other receipts. Commission with the authority to any fee exemptions on the alleged The NRC’s fee-based budget for FY charge Part 170 fees to all Federal inability of a licensee to pass through 2000 did, in fact, decrease by $2.6 agencies. the costs to its customers (58 FR 38667, million from FY 1999, as shown in 6. Fee Stability 38668; July 20, 1993). Table II of the proposed rule and this The Commission established its final rule. However, the need for generic Comment. Several commenters policy regarding rebaselining frequency efforts and other activities of the agency expressed concern over the instability of in the FY 1999 final fee rule (64 FR may not necessarily decrease at the fees from year to year. As a result, it 31448; June 10, 1999). The Commission same rate as the decrease in the number becomes increasingly difficult for determined that future annual fees of licensees. For example, the NRC’s licensees to accurately budget for NRC’s should be rebaselined every three years cost to establish a risk-informed, annual costs. or earlier, if warranted. This decision performance-based regulatory Response. To address licensee was based on the experience gained as framework is not affected by a decrease concerns about fee stability and a result of applying the criteria from in the number of licensees. Similarly, predictability, the Commission adopted rebaselining over the previous four the costs to maintain the Emergency the policy of adjusting the annual fees years. The Commission’s decision on Response Center are not affected by the by the percentage change in the total the appropriate method for establishing number of licensees. The NRC NRC budget, with adjustments for annual fees (e.g., rebaselining vs continually evaluates options to reduce numbers of licensees in particular fee percentage change) is made each year costs without sacrificing its health and classes and other necessary adjustments after considering all relevant factors. safety mission, including costs in those to meet the requirement of recovering Rebaselining on a periodic basis or areas where the licensee base is approximately 100 percent of the budget when there has been a substantial diminishing. through fees. This percentage change change in the total NRC budget or the In the years that annual fees have method is used only if there has not magnitude of the budget allocated to a been based on the percent change been a substantial change in the total class of licensees is necessary to meet method (FYs 1996, 1997, 1998, and NRC budget or the magnitude of the the statutory criteria that the annual fees 2000), there have been decreases in both budget allocated to a specific class of be fairly and equitably allocated among materials licenses and reactor licenses. licensees, in which case the annual fees licensees or classes of licensees, and, to For example, in FY 1998, the equivalent will be rebaselined. As of FY 1999, the

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One commenter indicated decommissioning plans pending NRC groundwater clean-up, tailings that it is inappropriate for the NRC to review. Thus, the commenter’s remark impoundments, facility charge uranium recovery licensees in about the NRC assessing annual fees to decommissioning, yellowcake ‘‘standby’’ mode the same annual fees as uranium recovery sites in processing and handling, etc. When licensees who are actively operating a decommissioning is incorrect. developing its annual budget, the NRC’s facility, especially in light of the fact Uranium Recovery Branch looks at the that regulatory review and inspection 8. Relationship Between Benefits and Fees level of regulatory effort needed to efforts by the NRC are minimal for these fulfill its mission and bases its dormant sites. Similarly, another Comment. Several uranium recovery inspections and review efforts commenter remarked that the NRC commenters found a lack of relationship accordingly. This budget is closely should lessen or discontinue its between NRC’s regulatory program and scrutinized by the NRC’s Office for assessment of annual licensing fees on the benefits derived by industry, such as Nuclear Material Safety and Safeguards, decommissioned facilities that are a disparity in Part 171 fees versus Part the Commission, the Office of simply awaiting NRC approval of 170 fees and excessive levels of Management and Budget, and the U.S. reclamation plans. oversight/inspections for operating Congress before it is approved to ensure Response. In the FY 1991 fee rule, the licensees for what amounts to a that proper resources are allocated to Commission made a determination to relatively benign industry from a health sufficiently protect public health and assess annual fees to uranium recovery and safety standpoint. safety and the environment, at the most licensees in operation or in standby in Response. In FYs 1998 and 1999, the efficient staffing level. order to recover the generic costs and NRC considered ways to recover more of Additionally, the NRC has examined other costs not recovered through Part its costs through Part 170 fees. The ways to reduce or eliminate inspections 170 fees attributable to the uranium Commission decided in FY 1999, for associated with uranium recovery recovery class. The Commission stated example, to expand the scope of Part facilities. In establishing inspection that this method was practical, 170 fees to include incident frequencies, the NRC considers the risk equitable, and a fair way to recover NRC investigations, certain performance to public health and safety, and the costs given the limited number of assessments and evaluations, reviews of environment. Sites under reclamation operating mills and is consistent with reports and other submittals such as are to be inspected once every three the approach taken for other classes of responses to Confirmatory Action years, unless a specific request is licensees. The Commission further Letters, and full cost recovery for time received from a licensee for the NRC elaborated on this issue in response to expended by PMs (except time spent on staff to review elements of construction a similar comment from the American generic activities such as rulemaking, earlier. Generally, sites on standby Mining Congress (now the National and leave). The NRC believes that the status are to be inspected every two to Mining Association) in 1995 (60 FR costs for the activities not recovered three years. Facilities that are currently 20918; April 28, 1995). There the through Part 170 fees are appropriately in operational status are to be inspected Commission asserted it would continue included in the Part 171 annual fees. twice a year, with the option for a to assess annual fees based on whether These activities include generic efforts, reduction to once a year made by the a licensee holds a valid license with the activities exempted from Part 170 fee NRC based on the site’s previous NRC that authorizes possession and use recovery based on NRC policy or legal inspection record. Thus, if an operating of radioactive material, regardless of constraints, and certain activities that uranium recovery licensee has a good whether the facility is actively operating raise fairness and equity concerns inspection record and the NRC or in a standby status. The basic premise because they do not benefit the determines that a reduced number of for this policy is that the benefit the licensees who pay the costs. In the FY inspections is warranted, it will NRC provides a licensee is the authority 1999 final fee rule, the NRC outlined the eliminate one biannual inspection. to use licensed material. The choice of actions it has taken to address the Furthermore, the NRC has instituted whether or not to exercise that authority fairness and equity concerns (64 FR performance-based licensing for is a business decision of the licensee. 31448–50; June 10, 1999). The response uranium recovery licensees to help Because of the mandate that the NRC to comments on the FY 2000 proposed streamline licensing and oversight recover approximately 100 percent of its fee rule concerning legal issues (A.1. of activities, and when implemented budget through fees, to refrain from this Section) provides an update to the properly by the licensee, should result charging annual fees to licensees in a FY 1999 discussion. in reduced review efforts by the NRC standby mode would increase the The NRC takes issue with the staff. annual fees for other licensees in the commenters’ remark about the uranium These programmatic efficiencies are class because the number of licensees recovery industry being subjected to intended to reduce the amount of assessed annual fees would decrease. excessive regulatory oversight by the resources expended on licensing and Such an approach would raise fairness NRC for a relatively low risk operation. inspection activities. However, there are and equity concerns. Licensees in The NRC is charged with the other activities that have required standby status receive benefit from responsibility of regulating the nation’s increased resources. For example, three NRC’s generic guidance and rules civilian radioactive source material uranium recovery licensees were applicable to their class of licensee. supply in a manner that is safe to public involved in Atomic Safety Licensing Additionally, any reduction in required health and the environment. Uranium Board administrative hearings over the licensing reviews and inspections for recovery is one of the activities that the last several years. These contested

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Commenters reflects the resources necessary for the appropriation shall be excluded from have opposed cost recovery under Part NRC to carry out its health and safety license fee revenues. Therefore, the NRC 170 for contested hearings. mission. is required to collect approximately Comment. Many commenters voiced While there are decreases in resource $447.0 million in FY 2000 through 10 their displeasure with the inequities of needs as the commenter noted, there are CFR Part 170 licensing and inspection OBRA–90 and encouraged the NRC to also major increases. These increases are fees and 10 CFR Part 171 annual fees. continue its efforts in pursuing needed for efforts such as timely license The total amount to be recovered in fees legislative action to obtain fee relief for renewal, license transfers, and risk- for FY 2000 is $2.6 million less than the the uranium recovery industry. informing NRC regulations, all of which total amount estimated for recovery in Response. The FY 1999 fee rule have been supported by the industry. the NRC’s FY 1999 fee rule. outlines the actions the NRC has taken 2. NRC’s Jurisdiction for In-Situ Leach to address the inequities of the annual The NRC estimates that fees. As noted previously, the NRC has Comment. Uranium recovery approximately $106.0 million will be submitted proposed legislation that commenters urged the NRC to recovered in FY 2000 from Part 170 fees would reduce the NRC’s fee recovery relinquish its jurisdiction of in-situ and other offsetting receipts. The amount in order to address fairness and leach (ISL) uranium mining wellfield remaining $341.0 million would be equity concerns. The Senate has passed regulation as outlined in the National recovered through Part 171 annual fees. such legislation. Mining Association’s (NMA’s) 1998 The NRC also estimates a net White Paper to the Commission. adjustment for FY 2000 of D. Other Issues Response. The NRC recognizes the approximately $5.7 million for the small 1. NRC’s Budget commenters’ concern regarding NRC’s entity subsidy, for FY 2000 invoices that role in ISL wellfield regulation as would not be paid in FY 2000, and for Comment. One commenter, referring discussed in the FY 1999 fee rule. In to the NRC’s FY 2001–2005 Five Year payments received in FY 2000 for FY summary, the NRC began examining its 1999 invoices. These adjustments are Plan, indicated that NRC’s overall role in the regulation of ISL wellfields budget does not reflect the agency’s approximately $2.5 million more than and the associated groundwater in 1997. in FY 1999. In addition, there are stated objectives to become more The NMA provided its White Paper effective and efficient. The commenter approximately 530 fewer licenses outlining four major concerns, including subject to annual fees in FY 2000 than believes that changes in NRC’s one related to in-situ facility regulation. regulatory approach, the industry’s good in FY 1999, due primarily to Ohio The matter is now before the becoming an Agreement State in performance, and decreases in licensing Commission. actions, generic communications, August, 1999. inspection requirements, and time spent III. Final Action As a result of these changes, the FY on allegations, should lead to a The NRC is amending its licensing, 2000 annual fees increased slightly, by reduction in FTE, not an increase as inspection, and annual fees to recover approximately 1.4 percent, compared to projected in the budget plan. approximately 100 percent of its FY the FY 1999 actual (prior to rounding) Response. The NRC’s budgets, current 2000 budget authority, including the annual fees. As a result of rounding, the or future, are not within the scope of budget authority for its Office of the FY 2000 annual fees for several fee this rulemaking. The purpose of this Inspector General, less the categories are the same as the final rulemaking is to establish the fees appropriations received from the NWF (rounded) FY 1999 annual fees. The necessary to recover approximately 100 and the General Fund. For FY 2000, the change to the annual fees is described percent of the agency’s FY 2000 budget NRC’s budget authority is $470.0 in more detail in Section B. The authority as required by OBRA–90. The million, of which $19.15 million has following examples illustrate the NRC’s budget requests undergo been appropriated from the NWF. In changes in annual fees: FY 1999 FY extensive internal examination before addition, $3.85 million has been 2000

FY 1999 FY 2000 Class of licensees annual fee annual fee

Power Reactors (Including Spent Fuel Storage/Reactor Decommissioning fee) ...... $2,776,000 $2,815,000 Spent Fuel Storage/Reactor Decommissioning ...... 206,000 209,000 Nonpower Reactors ...... 85,900 87,100 High Enriched Uranium Fuel Facility ...... 3,281,0000 3,327,000 Low Enriched Uranium Fuel Facility ...... 1,100,000 1,116,000 UF6 Conversion Facility ...... 472,000 478,000 Uranium Mills ...... 131,000 132,000 Typical Materials Licenses: Radiographers ...... 14,700 14,900 Well Loggers ...... 9,900 10,100 Gauge Users ...... 2,600 2,600 Broad Scope Medical ...... 27,800 28,100

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The final FY 2000 fee rule is a addition to publication in the Federal full cost under § 170.21 of the fee ‘‘major’’ final action as defined by the Register, the final rule will be available regulations. The hourly rate for the Small Business Regulatory Enforcement on the internet at http:// nuclear materials and nuclear waste Fairness Act of 1996. Therefore, the ruleforum.llnl.gov. program is $143 per hour ($253,478 per NRC’s fees for FY 2000 will become The NRC is also making other changes direct FTE). This rate is applicable to all effective 60 days after publication of the to 10 CFR Parts 170 and 171 as activities for which fees are based on final rule in the Federal Register. The discussed in Sections A and B below: full cost under § 170.31 of the fee NRC will send an invoice for the A. Amendments to 10 CFR Part 170: regulations. In the FY 1999 final fee amount of the annual fee to reactors and Fees for Facilities, Materials, Import and rule, these rates were $141 and $140, major fuel cycle facilities upon Export Licenses, and Other Regulatory respectively. The approximately 2 publication of the FY 2000 final rule. Services Under the Atomic Energy Act percent increase is primarily due to the For these licensees, payment will be due of 1954, as Amended Government-wide pay increase in FY on the effective date of the FY 2000 rule. 2000. Those materials licensees whose license The NRC is revising the hourly rates The method used to determine the used to calculate fees and is adjusting anniversary date during FY 2000 falls two professional hourly rates is as the 10 CFR Part 170 fees based on the before the effective date of the final FY follows: 2000 rule will be billed during the revised hourly rates. An administrative amendment has also been made to a. Direct program FTE levels are anniversary month of the license and identified for the reactor program and continue to pay annual fees at the FY § 170.12(c) to clarify that the site to which a resident inspector is assigned the nuclear material and waste program. 1999 rate in FY 2000. Those materials b. Direct contract support, which is licensees whose license anniversary will not be assessed Part 170 fees for time spent by the resident inspector in the use of contract or other services in date falls on or after the effective date support of activities at another site. The support of the line organization’s direct of the final FY 2000 rule will be billed amendments to 10 CFR Part 170 are as program, is excluded from the at the FY 2000 revised rates during the follows: calculation of the hourly rates because anniversary month of the license and the costs for direct contract support are payment will be due on the date of the 1. Hourly Rates charged directly through the various invoice. However, interest will be The NRC is revising the two categories of fees. waived if payment is received within 30 professional hourly rates for NRC staff c. All other direct program costs (i.e., days from the invoice date. time established in § 170.20. These rates Salaries and Benefits, Travel) represent As announced in FY 1998 rule, as a are based on the number of FY 2000 ‘‘in-house’’ costs and are allocated by cost-saving measure, the NRC will no direct program full time equivalents dividing them uniformly by the total longer mail the final rule to all (FTEs) and the FY 2000 NRC budget, number of direct FTEs for the program. licensees. However, the NRC will send excluding direct program support costs In addition, salaries and benefits plus the final rule to any licensee or other and NRC’s appropriations from the contracts for non-program direct person upon request. To request a copy, NWF and the General Fund. These rates management and support, and the contact the License Fee and Accounts are used to determine the Part 170 fees. Office of the Inspector General are Receivable Branch, Division of The hourly rate for the reactor program allocated to each program based on that Accounting and Finance, Office of the is $144 per hour ($255,848 per direct program’s direct costs. This method Chief Financial Officer, at 301–415– FTE). This rate is applicable to all results in the following costs which are 7554, or e-mail us at [email protected]. In activities for which fees are based on included in the hourly rates.

TABLE I.ÐFY 2000 BUDGET AUTHORITY TO BE INCLUDED IN HOURLY RATES [Dollars in millions]

Reactor Materials program program

Direct Program Salaries & Benefits ...... $103.3M $29.0M Overhead Salaries & Benefits, Program Travel and Other Support ...... $ 53.2M $15.3M Allocated Agency Management and Support ...... $ 98.8 $27.9

Subtotal ...... $255.3 $72.2

Less offsetting receipts ...... ¥1 ......

Total Budget Included in Hourly Rate ...... $255.2 $72.2 Program Direct FTEs ...... 997.5 284.9 Rate per Direct FTE ...... $255,848 $253,478 Professional Hourly Rate (Rate per direct FTE divided by 1,776 hours) ...... $144 $143

As shown in Table I, dividing the $144 per hour (rounded to the nearest (rounded) budgeted amount included in $255.2 million (rounded) budgeted whole dollar). This rate is calculated by the hourly rate for the nuclear materials amount included in the hourly rate for dividing the cost per direct FTE and nuclear waste program by the the reactor program by the reactor ($255,848) by the number of productive program direct FTEs (284.9) results in a program direct FTEs (997.5) results in a hours in one year (1,776 hours) as set rate of $253,478 per FTE for FY 2000. rate for the reactor program of $255,848 forth in the revised OMB Circular A–76, The Direct FTE Hourly Rate for the per FTE for FY 2000. The Direct FTE ‘‘Performance of Commercial materials program is $143 per hour Hourly Rate for the reactor program is Activities.’’ Dividing the $72.2 million (rounded to the nearest whole dollar).

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This rate is calculated by dividing the Three of the four commenters who 170 and funds appropriated from the cost per direct FTE ($253,478) by the addressed this issue in FY 1999 did not NWF and the General Fund. In the FY number of productive hours in one year support recovering the costs for these 1995 final rule, the NRC stated that it (1,776 hours). activities under Part 170. These would stabilize annual fees as follows. commenters were concerned that Beginning in FY 1996, the NRC would 2. Fee Adjustments assessing these costs to the specific adjust the annual fees only by the The NRC is adjusting the current Part licensees under Part 170 could be percentage change (plus or minus) in 170 fees in §§ 170.21 and 170.31 to viewed as penalizing the licensee when NRC’s total budget authority, unless reflect the changes in the revised hourly the licensee identifies and corrects there was a substantial change in the rates. The full cost fees assessed under violations. One commenter supported total NRC budget authority or the §§ 170.21 and 170.31 are based on the Part 170 fee assessment for escalated magnitude of the budget allocated to a professional hourly rates and any direct enforcement actions, indicating that it is specific class of licensees. If either case program support (contractual services) inappropriate for one licensee to should occur, the annual fee base would costs expended by the NRC. Any subsidize oversight for another licensee. be recalculated (60 FR 32225; June 20, professional hours expended on or after This commenter also stated that the 1995). The NRC also indicated that the the effective date of the final rule would perception that these actions serve as an percentage change would be adjusted be assessed at the FY 2000 hourly rates. industry-wide deterrent is not borne based on changes in 10 CFR Part 170 The fees in §§170.21 and 170.31 that out. fees and other adjustments as well as on are based on the average time to review In addition to concerns raised by the the number of licensees paying the fees. an application (‘‘flat’’ fees) have been commenters, there are other problems In addition, beginning in FY 1997, the adjusted to reflect the increase in the with assessing Part 170 fees for these NRC made an adjustment to recognize professional hourly rates from FY 1999. activities. These problems include the that all fees billed in a fiscal year are not The amounts of the materials licensing handling of escalated enforcement costs collected in that year. ‘‘flat’’ fees were rounded as follows. if the enforcement action is reduced to In the FY 1999 proposed fee rule (63 Fees under $1,000 are rounded to the a non-escalated enforcement action or is FR 15884; April 1, 1999), public nearest $10. Fees that are greater than dropped altogether. Based on the public comment was solicited on whether the $1,000 but less than $100,000 are comments received in FY 1999 and legal NRC should, in future years, continue to rounded to the nearest $100. Fees that and policy concerns (e.g., whether use the percent change method and are greater than $100,000 are rounded to adoption of such a policy would deter rebaseline annual fees every several the nearest $1,000. licensees from requesting hearings on years, as established in FY 1995, or The licensing ‘‘flat’’ fees are proposed enforcement actions), the NRC return to a policy of rebaselining annual applicable to fee categories K.1 through will continue to recover costs for orders fees every year. The majority of those K.5 of § 170.21, and fee categories 1.C, and escalated enforcement actions commenting on the frequency for 1.D, 2.B, 2.C, 3.A through 3.P, 4.B through Part 171 annual fees. rebaselining annual fees supported through 9.D, 10.B, 15.A through 15.E, In summary, the NRC is amending 10 rebaselining every several years, as and 16 of § 170.31. Applications filed on CFR Part 170 to: warranted. Based on the comments or after the effective date of the final 1. Revise the two hourly rates; received, licensees have continuing rule will be subject to the revised fees 2. Revise the licensing fees to be concerns about fee stability. Therefore, in this final rule. assessed to reflect the revised hourly in the final FY 1999 fee rule (64 FR 31448; June 10, 1999), the NRC stated 3. Administrative Amendment rates; and 3. Make an administrative amendment that it is continuing the policy of The NRC is amending § 170.12 (c)(1) to § 170.12(c) to clarify that the site to adjusting the annual fees only by the to clarify that the fees assessed for a which a resident inspector is assigned percent change in the NRC’s total resident inspector’s time exclude time will not be assessed Part 170 fees for budget, with additional adjustments for spent by the resident inspector in time spent by the resident inspector in the numbers of licensees paying fees, support of activities at another site. This support of activities at another site. changes in Part 170 fees, and other provision was inadvertently omitted adjustments that may be required, from the revision of 10 CFR 170 in the B. Amendments to 10 CFR Part 171: unless there is a substantial change in FY 1999 fee rule. Annual Fees for Reactor Licenses, and the total NRC budget or the magnitude Fuel Cycle Licenses and Materials 4. Other of the budget allocated to a specific Licenses, Including Holders of class of licensees, in which case the The NRC solicited public comment in Certificates of Compliance, annual fee base would be reestablished. the FY 1999 proposed fee rulemaking Registrations, and Quality Assurance However, based on experience gained (64 FR 15878; April 1, 1999) on whether Program Approvals, and Government from applying the criteria from FY 1996 to include the development of orders, Agencies Licensed by the NRC to FY 1999, the Commission determined evaluation of responses to orders, The NRC is revising the annual fees that, in the future, annual fees should be development of Notices of Violations for FY 2000, increasing the maximum rebaselined at least every three years, or (NOVs) accompanying escalated annual fees assessed to those licensees earlier, if warranted. enforcement actions, and evaluation of who qualify as small entities, and After evaluating NRC’s budget data for responses to NOVs in the fees collected making several administrative FY 2000 and concluding that there has for identifiable services under Part 170 amendments. The amendments are as not been a substantial change in the in the FY 2000 proposed fee rule. Those follows: NRC budget or in the magnitude of a commenting on this issue presented specific budget allocation to a class of arguments both for and against assessing 1. Annual Fees licensees, the NRC is continuing to Part 170 fees for these activities. The The NRC is amending §§ 171.15 and stabilize annual fees by adjusting the FY NRC stated in the final fee rule (64 FR 171.16 to establish the annual fees for 1999 annual fees by the percent change 31452; June 10, 1999), that it would FY 2000 to recover approximately 100 in the NRC’s total budget, with further evaluate this issue before percent of the FY 2000 budget authority, adjustments for the number of licensees promulgation of the FY 2000 fee rule. less fees collected under 10 CFR Part paying fees, changes in estimated Part

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170 collections and other offsetting 1998 collections and an estimated $2.4 a net annual fee billing adjustment of receipts, and other changes required to million increase in Part 170 collections approximately $5.7 million for FY 2000 assure that the amounts billed result in for FY 2000 compared to FY 1999. The resulting from: (1) bills that will not be the required collections. increase in estimated Part 170 paid in FY 2000; (2) the small entity The $447.0 million to be recovered collections, from $103.5 in FY 1999 to subsidy; and (3) payments received in through Part 170 and Part 171 fees for $105.9 for FY 2000, is largely FY 2000 for FY 1999 invoices. The FY 2000 is $2.6 million less than the attributable to changes in Commission billing adjustment, which is necessary total amount estimated for recovery in policy included in the FY 1999 final fee to assure that the ‘‘billed’’ amount the NRC’s FY 1999 fee rule. The NRC rule, such as billing full cost under Part results in the required collections, is estimates that approximately $106.0 170 for project managers, performance approximately $2.5 million more than million will be recovered in FY 2000 assessments, incident investigations, in FY 1999. from Part 170 fees and other offsetting and reviews of reports and other In addition to these changes, there are receipts, compared to $107.7 million in documents that do not require formal or approximately 530 fewer licenses FY 1999, a $1.7 million decrease. As the legal approval. subject to annual fees in FY 2000 than NRC explained in the FY 1999 proposed The remaining $341.0 million ($447.0 in FY 1999, due primarily to Ohio and final fee rules (64 FR 15876; April million total FY 2000 fee recovery becoming an Agreement State in August 1, 1999, and 64 FR 31458; June 10, amount less $106.0 million for 1999. As a result of these changes, the 1999), the amount for FY 1999 included estimated Part 170 collections and other FY 2000 annual fees increased slightly, a $4.1 million carryover from additional receipts) is to be recovered through the by approximately 1.4 percent, compared FY 1998 collections which reduced the Part 171 annual fees. The $341.0 million to the FY 1999 actual (prior to rounding) total fee recovery amount for FY 1999. annual fee recovery amount for FY 2000 annual fees. As a result of rounding, the This circumstance does not exist for FY is approximately $1.0 million less than FY 2000 annual fees for several fee 2000. The $1.7 million decrease in in FY 1999. categories are the same as the final estimated collections for FY 2000 is the In addition to the slight reduction in (rounded) FY 1999 annual fees. The difference between the $4.1 million the total amount to be recovered effects of these changes on the annual reduction available in FY 1999 from FY through annual fees, the NRC estimates fees are shown in Table II.

TABLE II.ÐCALCULATION OF THE PERCENTAGE CHANGE TO THE FY 1999 ANNUAL FEES [Dollars in millions]

FY 1999 FY 2000

Total Budget ...... $469.80 $470.00 Less NWF ...... ¥17.00 ¥19.15 Less General Fund (Regulatory reviews, and other assistance to other Federal agencies) ...... ¥3.20 ¥3.85

Total Fee Base ...... $449.60 $447.00

Less Part 170 Fees ...... ¥103.50 ¥105.90 Less other receipts ...... ¥4.20 ¥0.10

Part 171 Fee Collections Required ...... $341.90 $341.00

Part 171 Billing Adjustment: 1 Small Entity Allowance ...... 5.30 5.60 Estimated Unpaid Current FY Part 171 Invoices ...... 3.40 3.30 Estimated Payments from Prior Year Invoices ...... ¥5.50 ¥3.20

Subtotal ...... 3.20 5.70

Total Part 171 Billing ...... $345.10 $346.70 1These adjustments are necessary to ensure that the ``billed'' amount results in the required collections. Positive amounts indicate amounts billed that will not be collected in FY 2000.

2. Small Entity Annual Fees increase is less than the increase in the changed during the period between average fees paid by small entity 1991 and 1999. In the past, costs for The current maximum small entity licensees in Agreement States during materials license inspections, renewals, annual fee and the lower tier small this time. and amendments were recovered entity annual fee are increased by 25 through Part 170 fees for services. The percent. The maximum small entity Between 1991 and 1999, changes in costs of these activities are now annual fee increased from $1,800 to both the external and internal included in the Part 171 annual fees $2,300, and the lower tier small entity environment have affected NRC’s costs fee increased from $400 to $500. The and those of its licensees. Increases in assessed to materials licensees. current maximum small entity annual the NRC materials license fees, While the annual fees increased for fee was established in FY 1991; the Agreement States’ materials license fees, most materials licensees as a result of current lower tier small entity annual and the Consumer Price Index all these changes, the NRC’s annual fees fee was established in FY 1992. The 25 indicate that the NRC small entity fee assessed to small entities have not been percent increase is consistent with the established in 1991 should be revised. adjusted to include the additional costs. increase in NRC fees for other NRC In addition, the structure of the fees that As a result, small entities are currently materials licensees since FY 1991. The NRC charges to its materials licensees paying a smaller percentage of the total

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NRC regulatory costs related to them annual fee base would be reestablished. MATERIALS LICENSES, ANNUAL FEE than they did in FY 1991 and FY 1992 The activities comprising the FY 1999 RANGES when the small entity fees were base annual fees and the additional established. charge (surcharge) are listed in Category of license Annual fees Based on the changes that have § 171.15(b)(2), (c)(2) and (d)(1) for occurred since FY 1991, the NRC has convenience purposes. Part 70ÐHigh en- $3,327,000 reanalyzed its maximum small entity The FY 2000 annual fee for each riched fuel facility. annual fee. As part of the reanalysis, the Part 70ÐLow en- 1,116,000 operating reactor is $2,815,000, which riched fuel facility. NRC considered the 1999 fees assessed includes the annual fee of $209,000 for Part 40ÐUF6 conver- 478,000 by Agreement States, the NRC’s FY 1999 spent fuel storage/reactor sion facility. fee structure, and the increase in the decommissioning. Each power reactor Part 40ÐUranium re- $30,800 to $132,000 Consumer Price Index between FY 1991 holding a Part 50 license that is in covery facilities. and FY 1999. The reanalysis and decommissioning or possession only Part 30ÐByproduct $620 to $28,100 2 alternatives considered by the NRC for status and has spent fuel on-site and Material Licenses. revising the small entity annual fees are each independent spent fuel storage Part Part 71ÐTranspor- $2,300 to $67,600 described in the Regulatory Flexibility tation of Radio- 72 licensee who does not hold a Part 50 active Material. Analysis, which is Appendix A to this license is subject to the spent fuel final rule. storage/reactor decommissioning annual 2 Excludes the annual fee for a few military In the future, the NRC plans to re- fee of $209,000 in FY 2000. ``master'' materials licenses of broad-scope examine the small entity fees each year issued to Government agencies, which is (2) Paragraph (e) of § 171.15 is revised $363,000 that annual fees are rebaselined. to establish the FY 2000 annual fee for (3) Footnote 1 of § 171.16(d) is 3. Administrative Amendments non-power (test and research) reactors. The fee has been established by amended to provide a waiver of the a. The NRC is revising § 171.5, annual fees for materials licensees, and Definitions, to include Certificates of increasing the FY 1999 actual (prior to rounding) annual fee by approximately holders of certificates, registrations, and Compliance (Certificates) issued under approvals, who either filed for 1.4 percent. The FY 2000 annual fee for Part 76. The NRC issued two Certificates termination of their licenses or each non-power reactor is $87,100. The of Compliance under Part 76 to the approvals or filed for possession only/ NRC will continue to grant exemptions United States Enrichment Corporation storage only licenses before October 1, from the annual fee to Federally-owned (USEC) for the operation of the gaseous 1999, and permanently ceased licensed and State-owned research and test diffusion uranium enrichment plants activities entirely by September 30, reactors that meet the exemption criteria located at Paducah, Kentucky, and 1999. All other licensees and approval specified in § 171.11(a)(2). Piketon, Ohio. The definition of holders who held a license or approval Materials License in § 171.5 has been c. Section 171.16 is amended as on October 1, 1999, are subject to the FY amended to include Part 76 Certificates. follows: 2000 annual fees. This change is an administrative change (1) Section 171.16(c) covers the fees Holders of new licenses issued during to codify agency practice in the assessed for those licensees that can FY 2000 are subject to a prorated annual definitions for 10 CFR Part 171. Section qualify as small entities under NRC size fee in accordance with the current 171.16(a)(1) already provides that standards. A materials licensee may pay proration provision of § 171.17. For annual fees covered by the section apply a reduced annual fee if the licensee example, those new materials licenses to person(s) authorized to conduct qualifies as a small entity under the issued during the period October 1, activities under 10 CFR Part 76 for NRC’s size standards and certifies that 1999, through March 31, 2000, are uranium enrichment. USEC has been it is a small entity using NRC Form 526. assessed one-half the annual fee in subject to annual fees since FY 1997. This section is revised to reflect the 25 effect on the anniversary date of the b. Section 171.15 is revised as percent increase in the small entity fees. license. New materials licenses issued follows: The NRC is maintaining a two-tier fee on or after April 1, 2000, are not subject (1) Paragraphs (b) and (c) of § 171.15 structure for licensees that qualify as to an annual fee for FY 2000. Thereafter, are revised in their entirety to establish small entities under the NRC’s size the full annual fee will be due and the FY 2000 annual fees for operating standards. In general, licensees who payable each subsequent fiscal year on power reactors, power reactors in qualify as small entities will pay a the anniversary date of the license. decommissioning or possession only maximum annual fee of $2,300. A Materials licensees whose annual fees status, and Part 72 licensees who do not second or lower-tier small entity fee of are less than $100,000 are subject to the hold Part 50 licenses. The fees have $500 is in place for those licensees who annual fee in effect on the anniversary been established by increasing the FY are considered to be very small entities date of the license. The anniversary date 1999 actual (prior to rounding) annual for the purposes of this regulation. of the materials license for annual fee fees by approximately 1.4 percent. In (2) Section 171.16(d) is revised to purposes is the first day of the month in the FY 1999 fee rule, the NRC stated it establish the FY 2000 annual fees for which the original license was issued. would continue to stabilize annual fees materials licensees, including d. Section 171.19 Payment, is by adjusting the annual fees only by the Government agencies, licensed by the amended as follows: percentage change (plus or minus) in NRC. The FY 2000 annual fees were (1) Section 171.19(b) is revised to NRC’s total budget authority, adjusted determined by increasing the FY 1999 update the fiscal year references, and to for changes in estimated collections for actual (prior to rounding) annual fees by give credit for partial payments made by 10 CFR Part 170 fees, the number of approximately 1.4 percent. After certain licensees in FY 2000 toward licensees paying annual fees, and other rounding, the FY 2000 annual fees for their FY 2000 annual fees. The NRC adjustments that may be required, several categories of materials licenses anticipates that the first, second, and unless there is a substantial change in are the same as in FY 1999. The amount third quarterly payments for FY 2000 the total NRC budget or the magnitude or range of the FY 2000 annual fees for will have been made by operating power of the budget allocated to a specific materials licenses is summarized as reactor licensees and some large class of licensees, in which case the follows: materials licensees before the final rule

VerDate 112000 16:21 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR3.SGM pfrm01 PsN: 12JNR3 36958 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations becomes effective. Therefore, the NRC In summary, the NRC is revising 10 guidelines. When developing these will credit payments received for those CFR Part 171 as follows: guidelines the Commission took into quarterly annual fee assessments toward 1. The percent change method has account guidance provided by the U.S. the total annual fee to be assessed. The been used to determine the annual fees Supreme Court on March 4, 1974, in NRC will adjust the fourth quarterly for FY 2000. The FY 2000 annual fee for National Cable Television Association, invoice to recover the full amount of the each license fee category have been Inc. v. United States, 415 U.S. 36 (1974) revised annual fee or to make refunds, established by increasing the FY 1999 and Federal Power Commission v. New as necessary. Payment of the annual fee actual annual fee by approximately 1.4 England Power Company, 415 U.S. 345 is due on the date of the invoice and percent; (1974). In these decisions, the Court interest accrues from the invoice date. 2. The maximum small entity annual held that the IOAA authorizes an agency However, interest will be waived if fee for each fee category is increased to charge fees for special benefits payment is received within 30 days from $1,800 to $2,300, and the lower rendered to identifiable persons from the invoice date. tier small entity fee is increased from measured by the ‘‘value to the (2) The remainder of this section, $400 to $500; and recipient’’ of the agency service. The although unchanged, is presented for 3. Certificates of Compliance issued meaning of the IOAA was further the convenience of the user. As in FY under Part 76 have been added to the clarified on December 16, 1976, by four 1999, the NRC will continue to bill definition of Materials License in decisions of the U.S. Court of Appeals annual fees for most materials licenses § 171.5. for the District of Columbia: National Cable Television Association v. Federal on the anniversary date of the license IV. Voluntary Consensus Standards (licensees whose annual fees are Communications Commission, 554 F.2d $100,000 or more would continue to be The National Technology Transfer 1094 (D.C. Cir. 1976); National assessed quarterly). The annual fee and Advancement Act of 1995, Pub. L. Association of Broadcasters v. Federal assessed will be the fee in effect on the 104–113, requires that Federal agencies Communications Commission, 554 F.2d license anniversary date, unless the use technical standards that are 1118 (D.C. Cir. 1976); Electronic annual fee for the prior year was less developed or adopted by voluntary Industries Association v. Federal than $100,000 and the revised annual consensus standards bodies unless Communications Commission, 554 F.2d fee for the current fiscal year is $100,000 using such a standard is inconsistent 1109 (D.C. Cir. 1976) and Capital Cities or more. In this case, the revised amount with applicable law or otherwise Communication, Inc. v. Federal will be billed to the licensees upon impractical. In this final rule, the NRC Communications Commission, 554 F.2d publication of the final rule in the is amending the licensing, inspection, 1135 (D.C. Cir. 1976). The Commission’s Federal Register, adjusted for any and annual fees charged to its licensees fee guidelines were developed based on annual fee payments already made for and applicants as necessary to recover these legal decisions. that fiscal year based on the anniversary approximately 100 percent of its budget The Commission’s fee guidelines were month billing process. For FY 2000, the authority in FY 2000 as is required by upheld on August 24, 1979, by the U.S. anniversary date billing process applies the Omnibus Budget Reconciliation Act Court of Appeals for the Fifth Circuit in to those materials licenses in the of 1990, as amended. This action does Mississippi Power and Light Co. v. U.S. following fee categories: 1C, 1D, 2A(2) not constitute the establishment of a Nuclear Regulatory Commission, 601 Other, 2A(3), 2A(4), 2B, 2C, 3A through standard that contains generally F.2d 223 (5th Cir. 1979), cert. denied, 3P, 4A through 9D, 10A, and 10B. For applicable requirements. 444 U.S. 1102 (1980). This court held annual fee purposes, the anniversary V. Environmental Impact: Categorical that— (1) The NRC had the authority to date of the materials license is Exclusion recover the full cost of providing considered to be the first day of the The NRC has determined that this month in which the original materials services to identifiable beneficiaries; final rule is the type of action described (2) The NRC could properly assess a license was issued. For example, if the in categorical exclusion 10 CFR fee for the costs of providing routine original materials license was issued on 51.22(c)(1). Therefore, neither an inspections necessary to ensure a June 17 then, for annual fee purposes, environmental impact statement nor an licensee’s compliance with the Atomic the anniversary date of the materials environmental impact assessment has Energy Act and with applicable license is June 1 and the licensee will been prepared for the final regulation. regulations; continue to be billed in June of each By its very nature, this regulatory action (3) The NRC could charge for costs year for the annual fee in effect on June does not affect the environment, and incurred in conducting environmental 1. Materials licensees with anniversary therefore, no environmental justice reviews required by NEPA; dates in FY 2000 before the effective issues are raised. (4) The NRC properly included the date of the FY 2000 final rule will be costs of uncontested hearings and of billed during the anniversary month of VI. Paperwork Reduction Act administrative and technical support the license and continue to pay annual Statement services in the fee schedule; fees at the FY 1999 rate in FY 2000. This final rule contains no (5) The NRC could assess a fee for Those materials licensees with license information collection requirements renewing a license to operate a low- anniversary dates falling on or after the and, therefore, is not subject to the level radioactive waste burial site; and effective date of the FY 2000 final rule requirements of the Paperwork (6) The NRC’s fees were not arbitrary will be billed at the FY 2000 revised Reduction Act of 1995 (44 U.S.C. 3501 or capricious. rates during the anniversary month of et seq.). With respect to 10 CFR Part 171, on their license. November 5, 1990, the Congress passed The NRC reemphasizes that the VII. Regulatory Analysis Pub. L. 101–508, the Omnibus Budget annual fee will be assessed based on With respect to 10 CFR Part 170, this Reconciliation Act of 1990 (OBRA–90), whether a licensee holds a valid NRC final rule was developed pursuant to which required that, for FYs 1991 license or certificate that authorizes Title V of the Independent Offices through 1995, approximately 100 possession and use of radioactive Appropriation Act of 1952 (IOAA) (31 percent of the NRC budget authority be material. U.S.C. 9701) and the Commission’s fee recovered through the assessment of

VerDate 112000 16:21 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR3.SGM pfrm01 PsN: 12JNR3 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations 36959 fees. OBRA–90 was amended in 1999 to to licensees and holders of certificates, and 5 U.S.C. 552 and 553, the NRC is extend the 100 percent fee recovery registrations, and approvals, including adopting the following amendments to requirement for the NRC through FY those that qualify as a small entity 10 CFR Parts 170 and 171. 2000. To comply with this statutory under NRC’s size standards in 10 CFR requirement, and in accordance with 2.810. The Regulatory Flexibility PART 170ÐFEES FOR FACILITIES, § 171.13, the NRC is publishing the final Analysis, prepared in accordance with 5 MATERIALS, IMPORT AND EXPORT amount of the FY 2000 annual fees for U.S.C. 604, is included as Appendix A LICENSES, AND OTHER reactor licensees, fuel cycle licensees, to this final rule. REGULATORY SERVICES UNDER THE materials licensees, and holders of The Small Business Regulatory ATOMIC ENERGY ACT OF 1954, AS Certificates of Compliance, registrations Enforcement Fairness Act of 1996, Pub. AMENDED of sealed source and devices and QA L. 104–121, (SBREFA) was signed into program approvals, and Government law on March 29, 1996. The SBREFA 1. The authority citation for Part 170 agencies. OBRA–90, consistent with the requires all Federal agencies to prepare continues to read as follows: accompanying Conference Committee a written compliance guide for each rule Authority: 31 U.S.C. 9701, 96 Stat. 1051; Report, and the amendments to OBRA– for which the agency is required by 5 sec. 301, Pub. L. 92–314, 86 Stat. 222 (42 90, provide that— U.S.C. 604 to prepare a regulatory U.S.C. 2201w); sec. 201, Pub. L. 93–4381, 88 (1) The annual fees be based on the flexibility analysis. Therefore, in Stat. 1242, as amended (42 U.S.C. 5841); sec. Commission’s FY 2000 budget of $470.0 compliance with the law, Attachment 1 205, Pub. L. 101–576, 104 Stat. 2842, (31 U.S.C. 901). million less the amounts collected from to the Regulatory Flexibility Analysis is Part 170 fees and the funds directly the small entity compliance guide for 2. In § 170.12, paragraph (c)(1) is appropriated from the NWF to cover the FY 2000. NRC’s high level waste program; revised to read as follows: IX. Backfit Analysis (2) The annual fees shall, to the § 170.12 Payment of fees. maximum extent practicable, have a The NRC has determined that the * * * * * reasonable relationship to the cost of backfit rule, 10 CFR 50.109, does not regulatory services provided by the apply to this final rule and that a backfit (c) Inspection fees. (1) Inspection fees Commission; and analysis is not required for this final will be assessed to recover full cost for (3) The annual fees be assessed to rule. The backfit analysis is not required each resident inspector (including the those licensees the Commission, in its because these final amendments do not senior resident inspector), assigned to a discretion, determines can fairly, require the modification of or additions specific plant or facility. The fees equitably, and practicably contribute to to systems, structures, components, or assessed will be based on the number of their payment. the design of a facility or the design hours that each inspector assigned to In addition, the NRC’s FY 2000 approval or manufacturing license for a the plant or facility is in an official duty appropriations language provides that facility or the procedures or status (i.e., all time in a non-leave $3.85 million appropriated from the organization required to design, status), excluding time spent by a General Fund for activities related to construct or operate a facility. resident inspector in support of regulatory reviews and other assistance activities at another site. The hours will provided to the Department of Energy X. Small Business Regulatory be billed at the appropriate hourly rate and other Federal agencies be excluded Enforcement Fairness Act established in 10 CFR 170.20. Resident from fee recovery. In accordance with the Small inspectors’ time related to a specific 10 CFR Part 171, which established Business Regulatory Enforcement inspection will be included in the fee annual fees for operating power reactors Fairness Act of 1996, Pub. L. 104–121, assessed for the specific inspection in effective October 20, 1986 (51 FR 33224; the NRC has determined that this action accordance with paragraph (c)(2) of this September 18, 1986), was challenged is a major rule and has verified this section. and upheld in its entirety in Florida determination with the Office of * * * * * Power and Light Company v. United Information and Regulatory Affairs of States, 846 F.2d 765 (D.C. Cir. 1988), the Office of Management and Budget. 3. Section 170.20 is revised to read as cert. denied, 490 U.S. 1045 (1989). follows: Further, the NRC’s FY 1991 annual fee List of Subjects § 170.20 Average cost per professional rule methodology was upheld by the 10 CFR Part 170 D.C. Circuit Court of Appeals in Allied staff-hour. Signal v. NRC, 988 F.2d 146 (D.C. Cir. Byproduct material, Import and Fees for permits, licenses, 1993). export licenses, Intergovernmental amendments, renewals, special projects, relations, Non-payment penalties, VIII. Regulatory Flexibility Analysis 10 CFR Part 55 requalification and Nuclear materials, Nuclear power plants replacement examinations and tests, The NRC is required by the Omnibus and reactors, Source material, Special other required reviews, approvals, and Budget Reconciliation Act of 1990 to nuclear material. inspections under §§ 170.21 and 170.31 recover approximately 100 percent of its 10 CFR Part 171 will be calculated using the following budget authority through the assessment applicable professional staff-hour rates: of user fees. OBRA–90 further requires Annual charges, Byproduct material, that the NRC establish a schedule of Holders of certificates, registrations, Reactor Program (§ 170.21 Activities)— charges that fairly and equitably approvals, Intergovernmental relations, $144 per hour allocates the aggregate amount of these Non-payment penalties, Nuclear Nuclear Materials and Nuclear Waste charges among licensees. materials, Nuclear power plants and Program (§ 170.31 Activities)—$143 This final rule establishes the reactors, Source material, Special per hour schedules of fees that are necessary to nuclear material. implement the Congressional mandate For the reasons set out in the 4. In § 170.21, the introductory text, for FY 2000. The final rule will result preamble and under the authority of the Category K, and footnotes 1 and 2 to the in increases in the annual fees charged Atomic Energy Act of 1954, as amended, table are revised to read as follows:

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§ 170.21 Schedule of fees for production licenses, import and export licenses, other approvals shall pay fees for the and utilization facilities, review of standard approvals of facility standard reference following categories of services. referenced design approvals, special designs, requalification and replacement projects, inspections and import and export licenses. examinations for reactor operators, and special projects and holders of Applicants for construction permits, construction permits, licenses, and manufacturing licenses, operating

SCHEDULE OF FACILITY FEES [See footnotes at end of table]

Facility categories and type of fees Fees12

******* K. Import and export licenses: Licenses for the import and export only of production and utilization facilities or the export only of components for produc- tion and utilization facilities issued under 10 CFR Part 110: 1. Application for import or export of reactors and other facilities and exports of components which must be reviewed by the Commissioners and the Executive Branch, for example, actions under 10 CFR 110.40(b). ApplicationÐnew license ...... $9,300 Amendment ...... 9,300 2. Application for export of reactor and other components requiring Executive Branch review only, for example, those actions under 10 CFR 110.41(a)(1)±(8). ApplicationÐnew license ...... 5,700 Amendment ...... 5,700 3. Application for export of components requiring foreign government assurances only. ApplicationÐnew license ...... 1,700 Amendment ...... 1,700 4. Application for export of facility components and equipment not requiring Commissioner review, Executive Branch review, or foreign government assurances. ApplicationÐnew license ...... 1,100 Amendment ...... 1,100 5. Minor amendment of any export or import license to extend the expiration date, change domestic information, or make other revisions which do not require in-depth analysis or review. Amendment ...... 210 1 Fees will not be charged for orders issued by the Commission under § 2.202 of this chapter or for amendments resulting specifically from the requirements of these types of Commission orders. Fees will be charged for approvals issued under a specific exemption provision of the Com- mission's regulations under Title 10 of the Code of Federal Regulations (e.g., §§ 50.12, 73.5) and any other sections in effect now or in the fu- ture, regardless of whether the approval is in the form of a license amendment, letter of approval, safety evaluation report, or other form. Fees for licenses in this schedule that are initially issued for less than full power are based on review through the issuance of a full power license (generally full power is considered 100 percent of the facility's full rated power). Thus, if a licensee received a low power license or a temporary license for less than full power and subsequently receives full power authority (by way of license amendment or otherwise), the total costs for the license will be determined through that period when authority is granted for full power operation. If a situation arises in which the Commission de- termines that full operating power for a particular facility should be less than 100 percent of full rated power, the total costs for the license will be at that determined lower operating power level and not at the 100 percent capacity. 2 Full cost fees will be determined based on the professional staff time and appropriate contractual support services expended. For applications currently on file and for which fees are determined based on the full cost expended for the review, the professional staff hours expended for the review of the application up to the effective date of the final rule will be determined at the professional rates in effect at the time the service was provided. For those applications currently on file for which review costs have reached an applicable fee ceiling established by the June 20, 1984, and July 2, 1990, rules but are still pending completion of the review, the cost incurred after any applicable ceiling was reached through January 29, 1989, will not be billed to the applicant. Any professional staff-hours expended above those ceilings on or after January 30, 1989, will be as- sessed at the applicable rates established by § 170.20, as appropriate, except for topical reports whose costs exceed $50,000. Costs which ex- ceed $50,000 for any topical report, amendment, revision or supplement to a topical report completed or under review from January 30, 1989, through August 8, 1991, will not be billed to the applicant. Any professional hours expended on or after August 9, 1991, will be assessed at the applicable rate established in § 170.20.

* * * * * § 170.31 Schedule of fees for materials regulatory services and holders of licenses and other regulatory services, materials licenses, or import and export 5. Section 170.31 is revised to read as including inspections, and import and licenses shall pay fees for the following follows: export licenses. categories of services. This schedule Applicants for materials licenses, includes fees for health and safety and import and export licenses, and other safeguards inspections where applicable.

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SCHEDULE OF MATERIALS FEES [See footnotes at end of table]

Category of materials licenses and type of fees 1 Fee 23

1. Special nuclear material: A. Licenses for possession and use of 200 grams or more of plutonium in unsealed form or 350 grams or more of contained U±235 in unsealed form or 200 grams or more of U±233 in unsealed form. This includes applications to terminate licenses as well as licenses authorizing possession only: Licensing and Inspection ...... Full Cost. B. Licenses for receipt and storage of spent fuel at an independent spent fuel storage installation (ISFSI): Licensing and inspection ...... Full Cost. C. Licenses for possession and use of special nuclear material in sealed sources contained in devices used in industrial measuring systems, including x-ray fluorescence analyzers: 4 Application ...... $660. D. All other special nuclear material licenses, except licenses authorizing special nuclear material in unsealed form in com- bination that would constitute a critical quantity, as defined in § 150.11 of this chapter, for which the licensee shall pay the same fees as those for Category 1A: 4 Application ...... $1,300. E. Licenses or certificates for construction and operation of a uranium enrichment facility. Licensing and inspection ...... Full Cost. 2. Source material: A.(1) Licenses for possession and use of source material in recovery operations such as milling, in-situ leaching, heap-leach- ing, refining uranium mill concentrates to uranium hexafluoride, ore buying stations, ion exchange facilities and in proc- essing of ores containing source material for extraction of metals other than uranium or thorium, including licenses author- izing the possession of byproduct waste material (tailings) from source material recovery operations, as well as licenses authorizing the possession and maintenance of a facility in a standby mode: Licensing and inspection ...... Full Cost. (2) Licenses that authorize the receipt of byproduct material, as defined in Section 11e(2) of the Atomic Energy Act, from other persons for possession and disposal except those licenses subject to fees in Category 2.A.(1). Licensing and inspection ...... Full Cost. (3) Licenses that authorize the receipt of byproduct material, as defined in Section 11e(2) of the Atomic Energy Act, from other persons for possession and disposal incidental to the disposal of the uranium waste tailings generated by the licens- ee's milling operations, except those licenses subject to the fees in Category 2.A.(1). Licensing and inspection ...... Full Cost. B. Licenses which authorize the possession, use, and/or installation of source material for shielding: Application ...... $160. C. All other source material licenses: Application ...... $5,600. 3. Byproduct material: A. Licenses of broad scope for the possession and use of byproduct material issued under Parts 30 and 33 of this chapter for processing or manufacturing of items containing byproduct material for commercial distribution: Application ...... $6,700. B. Other licenses for possession and use of byproduct material issued under Part 30 of this chapter for processing or manu- facturing of items containing byproduct material for commercial distribution: Application ...... $2,500. C. Licenses issued under §§ 32.72, 32.73, and/or 32.74 of this chapter that authorize the processing or manufacturing and distribution or redistribution of radiopharmaceuticals, generators, reagent kits, and/or sources and devices containing by- product material. This category does not apply to licenses issued to nonprofit educational institutions whose processing or manufacturing is exempt under 10 CFR 170.11(a)(4). These licenses are covered by fee Category 3D. Application ...... $10,300. D. Licenses and approvals issued under §§ 32.72, 32.73, and/or 32.74 of this chapter authorizing distribution or redistribution of radiopharmaceuticals, generators, reagent kits, and/or sources or devices not involving processing of byproduct mate- rial. This category includes licenses issued under §§ 32.72, 32.73, and/or 32.74 of this chapter to nonprofit educational in- stitutions whose processing or manufacturing is exempt under 10 CFR 170.11(a)(4). Application ...... $2,400. E. Licenses for possession and use of byproduct material in sealed sources for irradiation of materials in which the source is not removed from its shield (self-shielded units): Application ...... $1,700. F. Licenses for possession and use of less than 10,000 curies of byproduct material in sealed sources for irradiation of ma- terials in which the source is exposed for irradiation purposes. This category also includes underwater irradiators for irra- diation of materials where the source is not exposed for irradiation purposes. Application ...... $3,300. G. Licenses for possession and use of 10,000 curies or more of byproduct material in sealed sources for irradiation of mate- rials in which the source is exposed for irradiation purposes. This category also includes underwater irradiators for irradia- tion of materials where the source is not exposed for irradiation purposes. Application ...... $3,500. H. Licenses issued under Subpart A of Part 32 of this chapter to distribute items containing byproduct material that require device review to persons exempt from the licensing requirements of Part 30 of this chapter. The category does not include specific licenses authorizing redistribution of items that have been authorized for distribution to persons exempt from the li- censing requirements of Part 30 of this chapter: Application ...... $2,100.

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SCHEDULE OF MATERIALS FEESÐContinued [See footnotes at end of table]

Category of materials licenses and type of fees 1 Fee 23

I. Licenses issued under Subpart A of Part 32 of this chapter to distribute items containing byproduct material or quantities of byproduct material that do not require device evaluation to persons exempt from the licensing requirements of Part 30 of this chapter. This category does not include specific licenses authorizing redistribution of items that have been authorized for distribution to persons exempt from the licensing requirements of Part 30 of this chapter: Application ...... $3,200. J. Licenses issued under Subpart B of Part 32 of this chapter to distribute items containing byproduct material that require sealed source and/or device review to persons generally licensed under Part 31 of this chapter. This category does not in- clude specific licenses authorizing redistribution of items that have been authorized for distribution to persons generally li- censed under Part 31 of this chapter: Application ...... $1,000. K. Licenses issued under Subpart B of Part 32 of this chapter to distribute items containing byproduct material or quantities of byproduct material that do not require sealed source and/or device review to persons generally licensed under Part 31 of this chapter. This category does not include specific licenses authorizing redistribution of items that have been author- ized for distribution to persons generally licensed under Part 31 of this chapter: Application ...... $590. L. Licenses of broad scope for possession and use of byproduct material issued under Parts 30 and 33 of this chapter for research and development that do not authorize commercial distribution: Application ...... $5,600. M. Other licenses for possession and use of byproduct material issued under Part 30 of this chapter for research and devel- opment that do not authorize commercial distribution: Application ...... $2,300. N. Licenses that authorize services for other licensees, except: (1) Licenses that authorize only calibration and/or leak testing services are subject to the fees specified in fee Category 3P; and (2) Licenses that authorize waste disposal services are subject to the fees specified in fee Categories 4A, 4B, and 4C: Application ...... $2,400. O. Licenses for possession and use of byproduct material issued under Part 34 of this chapter for industrial radiography op- erations: Application ...... $5,900. P. All other specific byproduct material licenses, except those in Categories 4A through 9D: Application ...... $1,300. 4. Waste disposal and processing: A. Licenses specifically authorizing the receipt of waste byproduct material, source material, or special nuclear material from other persons for the purpose of contingency storage or commercial land disposal by the licensee; or licenses authorizing contingency storage of low-level radioactive waste at the site of nuclear power reactors; or licenses for receipt of waste from other persons for incineration or other treatment, packaging of resulting waste and residues, and transfer of packages to another person authorized to receive or dispose of waste material: Licensing and inspection ...... Full Cost. B. Licenses specifically authorizing the receipt of waste byproduct material, source material, or special nuclear material from other persons for the purpose of packaging or repackaging the material. The licensee will dispose of the material by trans- fer to another person authorized to receive or dispose of the material: Application ...... $1,700. C. Licenses specifically authorizing the receipt of prepackaged waste byproduct material, source material, or special nuclear material from other persons. The licensee will dispose of the material by transfer to another person authorized to receive or dispose of the material: Application ...... $2,600. 5. Well logging: A. Licenses for possession and use of byproduct material, source material, and/or special nuclear material for well logging, well surveys, and tracer studies other than field flooding tracer studies: Application ...... $6,100. B. Licenses for possession and use of byproduct material for field flooding tracer studies: Licensing ...... Full Cost. 6. Nuclear laundries: A. Licenses for commercial collection and laundry of items contaminated with byproduct material, source material, or special nuclear material: Application ...... $11,400. 7. Medical licenses: A. Licenses issued under Parts 30, 35, 40, and 70 of this chapter for human use of byproduct material, source material, or special nuclear material in sealed sources contained in teletherapy devices: Application ...... $6,200. B. Licenses of broad scope issued to medical institutions or two or more physicians under Parts 30, 33, 35, 40, and 70 of this chapter authorizing research and development, including human use of byproduct material, except licenses for byprod- uct material, source material, or special nuclear material in sealed sources contained in teletherapy devices: Application ...... $4,500. C. Other licenses issued under Parts 30, 35, 40, and 70 of this chapter for human use of byproduct material, source mate- rial, and/or special nuclear material, except licenses for byproduct material, source material, or special nuclear material in sealed sources contained teletherapy devices: Application ...... $2,400. 8. Civil defense:

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SCHEDULE OF MATERIALS FEESÐContinued [See footnotes at end of table]

Category of materials licenses and type of fees 1 Fee 23

A. Licenses for possession and use of byproduct material, source material, or special nuclear material for civil defense activi- ties: Application ...... $330. 9. Device, product, or sealed source safety evaluation: A. Safety evaluation of devices or products containing byproduct material, source material, or special nuclear material, ex- cept reactor fuel devices, for commercial distribution: ApplicationÐeach device ...... $5,300. B. Safety evaluation of devices or products containing byproduct material, source material, or special nuclear material manu- factured in accordance with the unique specifications of, and for use by, a single applicant, except reactor fuel devices: ApplicationÐeach device ...... $3,800. C. Safety evaluation of sealed sources containing byproduct material, source material, or special nuclear material, except re- actor fuel, for commercial distribution: ApplicationÐeach source ...... $1,600. D. Safety evaluation of sealed sources containing byproduct material, source material, or special nuclear material, manufac- tured in accordance with the unique specifications of, and for use by, a single applicant, except reactor fuel: ApplicationÐeach source ...... $540. 10. Transportation of radioactive material: A. Evaluation of casks, packages, and shipping containers: Licensing and inspections ...... Full Cost. B. Evaluation of 10 CFR Part 71 quality assurance programs: Application ...... $400. Inspections ...... Full Cost. 11. Review of standardized spent fuel facilities: Licensing and inspection ...... Full Cost. 12. Special projects: 5 Approvals and preapplication/Licensing activities ...... Full Cost. Inspections ...... Full Cost. 13. A. Spent fuel storage cask Certificate of Compliance: Licensing ...... Full Cost. B. Inspections related to spent fuel storage cask Certificate of Compliance ...... Full Cost. C. Inspections related to storage of spent fuel under § 72.210 of this chapter ...... Full Cost. 14. Byproduct, source, or special nuclear material licenses and other approvals authorizing decommissioning, decontamination, reclamation, or site restoration activities under Parts 30, 40, 70, 72, and 76 of this chapter: Licensing and inspection ...... Full Cost. 15. Import and Export licenses: Licenses issued under Part 110 of this chapter for the import and export only of special nuclear material, source material, tritium and other byproduct material, heavy water, or nuclear grade graphite. A. Application for export or import of high enriched uranium and other materials, including radioactive waste, which must be reviewed by the Commissioners and the Executive Branch, for example, those actions under 10 CFR 110.40(b). This category includes application for export or import of radioactive wastes in multiple forms from multiple generators or brokers in the exporting country and/or going to multiple treatment, storage or disposal facilities in one or more re- ceiving countries. ApplicationÐnew license ...... $9,300. Amendment ...... $9,300. B. Application for export or import of special nuclear material, source material, tritium and other byproduct material, heavy water, or nuclear grade graphite, including radioactive waste, requiring Executive Branch review but not Com- missioner review. This category includes application for the export or import of radioactive waste involving a single form of waste from a single class of generator in the exporting country to a single treatment, storage and/or disposal facility in the receiving country. ApplicationÐnew license ...... $5,700. Amendment ...... $5,700. C. Application for export of routine reloads of low enriched uranium reactor fuel and exports of source material requiring only foreign government assurances under the Atomic Energy Act. ApplicationÐnew license ...... $1,700. Amendment ...... $1,700. D. Application for export or import of other materials, including radioactive waste, not requiring Commissioner review, Executive Branch review, or foreign government assurances under the Atomic Energy Act. This category includes ap- plication for export or import of radioactive waste where the NRC has previously authorized the export or import of the same form of waste to or from the same or similar parties, requiring only confirmation from the receiving facility and li- censing authorities that the shipments may proceed according to previously agreed understandings and procedures. ApplicationÐnew license ...... $1,100. Amendment ...... $1,100. E. Minor amendment of any export or import license to extend the expiration date, change domestic information, or make other revisions which do not require in-depth analysis, review, or consultations with other agencies or foreign governments. Amendment ...... $210. 16. Reciprocity: Agreement State licensees who conduct activities under the reciprocity provisions of 10 CFR 150.20. Application (initial filing of Form 241) ...... $1,200.

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SCHEDULE OF MATERIALS FEESÐContinued [See footnotes at end of table]

Category of materials licenses and type of fees 1 Fee 23

Revisions ...... $200. 1 Types of feesÐSeparate charges, as shown in the schedule, will be assessed for preapplication consultations and reviews and applications for new licenses and approvals, issuance of new licenses and approvals, certain amendments and renewals to existing licenses and approvals, safety evaluations of sealed sources and devices, and certain inspections. The following guidelines apply to these charges: (a) Application fees. Applications for new materials licenses and export and import licenses; applications to reinstate expired, terminated, or in- active licenses except those subject to fees assessed at full costs; applications filed by Agreement State licensees to register under the general license provisions of 10 CFR 150.20; and applications for amendments to materials licenses that would place the license in a higher fee category or add a new fee category must be accompanied by the prescribed application fee for each category. (1) Applications for licenses covering more than one fee category of special nuclear material or source material must be accompanied by the prescribed application fee for the highest fee category. (2) Applications for new licenses that cover both byproduct material and special nuclear material in sealed sources for use in gauging devices will pay the appropriate application fee for fee Category 1C only. (b) Licensing fees. Fees for reviews of applications for new licenses and for renewals and amendments to existing licenses, for preapplication consultations and for reviews of other documents submitted to NRC for review, and for project manager time for fee categories subject to full cost fees (fee Categories 1A, 1B, 1E, 2A, 4A, 5B, 10A, 11, 12, 13A, and 14) are due upon notification by the Commission in accordance with § 170.12(b). (c) Amendment/revision fees. Applications for amendments to export and import licenses and revisions to reciprocity initial applications must be accompanied by the pre- scribed amendment/revision fee for each license/revision affected. An application for an amendment to a license or approval classified in more than one fee category must be accompanied by the prescribed amendment fee for the category affected by the amendment unless the amend- ment is applicable to two or more fee categories in which case the amendment fee for the highest fee category would apply. (d) Inspection fees. Inspections resulting from investigations conducted by the Office of Investigations and nonroutine inspections that result from third-party allegations are not subject to fees. Inspection fees are due upon notification by the Commission in accordance with § 170.12(c). 2 Fees will not be charged for orders issued by the Commission under 10 CFR 2.202 or for amendments resulting specifically from the require- ments of these types of Commission orders. However, fees will be charged for approvals issued under a specific exemption provision of the Commission's regulations under Title 10 of the Code of Federal Regulations (e.g., 10 CFR 30.11, 40.14, 70.14, 73.5, and any other sections in effect now in the future) regardless of whether the approval is in the form of a license amendment, letter of approval, safety evaluation report, or other form. In addition to the fee shown, an applicant may be assessed an additional fee for sealed source and device evaluations as shown in Categories 9A through 9D. 3 Full cost fees will be determined based on the professional staff time multiplied by the appropriate professional hourly rate established in § 170.20 in effect at the time the service is provided, and the appropriate contractual support services expended. For applications currently on file for which review costs have reached an applicable fee ceiling established by the June 20, 1984, and July 2, 1990, rules, but are still pending completion of the review, the cost incurred after any applicable ceiling was reached through January 29, 1989, will not be billed to the applicant. Any professional staff-hours expended above those ceilings on or after January 30, 1989, will be assessed at the applicable rates established by § 170.20, as appropriate, except for topical reports whose costs exceed $50,000. Costs which exceed $50,000 for each topical report, amend- ment, revision, or supplement to a topical report completed or under review from January 30, 1989, through August 8, 1991, will not be billed to the applicant. Any professional hours expended on or after August 9, 1991, will be assessed at the applicable rate established in § 170.20. 4 Licensees paying fees under Categories 1A, 1B, and 1E are not subject to fees under Categories 1C and 1D for sealed sources authorized in the same license except for an application that deals only with the sealed sources authorized by the license. 5 Fees will not be assessed for requests/reports submitted to the NRC: (a) In response to a Generic Letter or NRC Bulletin that does not result in an amendment to the license, does not result in the review of an al- ternate method or reanalysis to meet the requirements of the Generic Letter, or does not involve an unreviewed safety issue; (b) In response to an NRC request (at the Associate Office Director level or above) to resolve an identified safety, safeguards, or environ- mental issue, or to assist NRC in developing a rule, regulatory guide, policy statement, generic letter, or bulletin; or (c) As a means of exchanging information between industry organizations and the NRC for the purpose of supporting generic regulatory im- provements or efforts.

PART 171ÐANNUAL FEES FOR 7. In § 171.5, the definition of the term $2,815,000. This fee has been REACTOR LICENSES AND FUEL Materials License is revised to read as determined by adjusting the FY 1999 CYCLE LICENSES AND MATERIAL follows: actual (prior to rounding) annual fee upward by approximately 1.4 percent. LICENSES, INCLUDING HOLDERS OF § 171.5 Definitions. CERTIFICATES OF COMPLIANCE, (2) The FY 1999 annual fee was * * * * * REGISTRATIONS, AND QUALITY comprised of a base operating power Materials License means a license, ASSURANCE PROGRAM APPROVALS reactor annual fee, a base spent fuel certificate, approval, registration or AND GOVERNMENT AGENCIES storage/reactor decommissioning annual other form of permission issued by the LICENSED BY THE NRC. fee, and associated additional charges NRC under the regulations in 10 CFR (surcharges). The activities comprising parts 30, 32 through 36, 39, 40, 61, 70, the FY 1999 spent storage/reactor 6. The authority citation for Part 171 71, 72, and 76. decommissioning base annual fee are continues to read as follows: * * * * * shown in paragraph (c)(2)(i) and (ii) of Authority: Sec. 7601, Pub. L. 99–272, 100 8. In § 171.15, paragraphs (b), (c), this section. The activities comprising Stat. 146, as amended by sec. 5601, Pub. L. (d)(1), and (e) are revised to read as the FY 1999 surcharge are shown in 100–203, 101 Stat. 1330, as amended by Sec. follows: paragraph (d)(1) of this section. The 3201, Pub. L. 101–239, 103 Stat. 2106 as activities comprising the FY 1999 base amended by sec. 6101, Pub. L. 101–508, 104 § 171.15 Annual Fees: Reactor licenses annual fee for operating power reactors Stat. 1388, (42 U.S.C. 2213); sec. 301, Pub. L. and spent fuel storage/reactor are as follows: 92–314, 86 Stat. 222 (42 U.S.C. 2201(w)); sec. decommissioning. (i) Power reactor safety and safeguards 201, 88 Stat. 1242, as amended (42 U.S.C. * * * * * regulation except licensing and 5841); sec. 2903, Pub. L. 102–486, 106 Stat. (b)(1) The FY 2000 annual fee for each inspection activities recovered under 3125, (42 U.S.C. 2214 note). operating power reactor which must be Part 170 of this chapter and generic collected by September 30, 2000, is reactor decommissioning activities.

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(ii) Research activities directly related (i) Generic and other research nonpower (test and research) reactor to the regulation of power reactors activities directly related to reactor licensed under Part 50 of this chapter except those activities specifically decommissioning and spent fuel have been determined by revising the related to reactor decommissioning. storage; and FY 1999 actual (prior to rounding) (iii) Generic activities required largely (ii) Other safety, environmental, and annual fee upward by approximately 1.4 for NRC to regulate power reactors, e.g., safeguards activities related to reactor percent. The FY 2000 annual fee for updating Part 50 of this chapter, or decommissioning and spent fuel each nonpower reactor, unless the operating the Incident Response Center. storage, except costs for licensing and reactor is exempted from fees under The base annual fee for operating power inspection activities that are recovered § 171.11(a), is as follows: under part 170 of this chapter. reactors does not include generic Research reactor—$87,100 activities specifically related to reactor (d)(1) The activities comprising the decommissioning. FY 1999 surcharge are as follows: Test reactor—$87,100 (i) Low level waste disposal generic (c)(1) The FY 2000 annual fee for each activities; 9. In § 171.16, paragraphs (c), (d), and power reactor holding a Part 50 license (ii) Activities not attributable to an (e) are revised to read as follows: that is in a decommissioning or existing NRC licensee or class of possession only status and has spent licensees (e.g., international cooperative § 171.16 Annual Fees: Materials fuel on-site and each independent spent safety program and international Licensees, Holders of Certificates of fuel storage Part 72 licensee who does safeguards activities, support for the Compliance, Holders of Sealed Source and not hold a Part 50 license is $209,000. Device Registrations, Holders of Quality Agreement State program, and site Assurance Program Approvals and This fee has been determined by decommissioning management plan increasing the FY 1999 actual (prior to Government Agencies Licensed by the (SDMP) activities); and NRC. rounding) annual fee by approximately (iii) Activities not currently subject to 1.4 percent. 10 CFR Part 170 licensing and * * * * * (2) The FY 1999 annual fee was inspection fees based on existing law or (c) A licensee who is required to pay comprised of a base spent fuel storage/ Commission policy, e.g., reviews and an annual fee under this section may reactor decommissioning annual fee inspections conducted of nonprofit qualify as a small entity. If a licensee (which is also included in the operating educational institutions, licensing qualifies as a small entity and provides power reactor annual fee shown in actions for Federal agencies, and costs the Commission with the proper paragraph (b) of this section), and an that would not be collected from small certification with the annual fee additional charge (surcharge). The entities based on Commission policy in payment, the licensee may pay reduced activities comprising the FY 1999 accordance with the Regulatory annual fees as shown below. Failure to surcharge are shown in paragraph (d)(1) Flexibility Act. file a small entity certification in a of this section. The activities comprising * * * * * timely manner could result in the denial the FY 1999 spent fuel storage/reactor (e) The FY 2000 annual fees for of any refund that might otherwise be decommissioning base annual fee are: licensees authorized to operate a due.

Maximum annual fee per licensed category

Small businesses not engaged in manufacturing and small not-for-profit organizations (gross annual receipts): $350,000 to $5 million ...... $2,300 Less than $350,000 ...... 500 Manufacturing entities that have an average of 500 employees or less: 35 to 500 employees ...... 2,300 Less than 35 employees ...... 500 Small Governmental Jurisdictions (Including publicly supported educational institutions) (Population): 20,000 to 50,000 ...... 2,300 Less than 20,000 ...... 500 Educational Institutions that are not State or Publicly Supported, and have 500 Employees or Less: 35 to 500 employees ...... 2,300 Less than 35 employees ...... 500

(1) A licensee qualifies as a small licensee who seeks to qualify as a small subject to fees under this section are entity if it meets the size standards entity must submit the completed NRC shown below. The FY 2000 annual fees, established by the NRC (See 10 CFR Form 526 with the reduced annual fee which must be collected by September 2.810). payment. 30, 2000, have been determined by (2) A licensee who seeks to establish (3) For purposes of this section, the adjusting the FY 1999 actual (prior to status as a small entity for the purpose licensee must submit a new certification rounding) annual fees upward by of paying the annual fees required under with its annual fee payment each year. approximately 1.4 percent. As a result of this section must file a certification (4) The maximum annual fee a small rounding, the FY 2000 annual fee for statement with the NRC. The licensee entity is required to pay is 2,300 for several fee categories is the same as the must file the required certification on each category applicable to the FY 1999 annual fee. In the FY 1999 final NRC Form 526 for each license under license(s). rule, the NRC stated it would stabilize which it is billed. The NRC will include (d) The FY 2000 annual fees for annual fees by adjusting the annual fees a copy of NRC Form 526 with each materials licensees and holders of only by the percentage change (plus or annual fee invoice sent to a licensee. A certificates, registrations or approvals minus) in NRC’s total budget authority

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SCHEDULE OF MATERIALS ANNUAL FEES AND FEES FOR GOVERNMENT AGENCIES LICENSED BY NRC [See footnotes at end of table]

Category of materials licenses Annual fees 123

1. Special nuclear material: A.(1) Licenses for possession and use of U±235 or plutonium for fuel fabrication activities. (a) Strategic Special Nuclear Material: Babcock & Wilcox SNM±42 ...... $3,327,000 Nuclear Fuel Services SNM±124 ...... 3,327,000 (b) Low Enriched Uranium in Dispersible Form Used for Fabrication of Power Reactor Fuel: Combustion Engineering (Hematite) SNM±33 ...... 1,116,000 General Electric Company SNM±1097 ...... 1,116,000 Siemens Nuclear Power SNM±1227 ...... 1,116,000 Westinghouse Electric Company SNM±1107 ...... 1,116,000 (2) All other special nuclear materials licenses not included in Category 1.A.(1) which are licensed for fuel cycle activities. (a) Facilities with limited operations: Framatome Cogema SNM±1168 ...... 438,000 (b) All Others: General Electric SNM±960 ...... 319,000 B. Licenses for receipt and storage of spent fuel at an independent spent fuel storage installation (ISFSI) ...... (11) C. Licenses for possession and use of special nuclear material in sealed sources contained in devices used in industrial measuring systems, including x-ray fluorescence analyzers ...... 1,200 D. All other special nuclear material licenses, except licenses authorizing special nuclear material in unsealed form in com- bination that would constitute a critical quantity, as defined in § 150.11 of this chapter, for which the licensee shall pay the same fees as those for Category 1.A.(2) ...... 3,400 E. Licenses or certificates for the operation of a uranium enrichment facility ...... 2,072,000 2. Source material: A.(1) Licenses for possession and use of source material for refining uranium mill concentrates to uranium hexafluoride ..... 478,000 (2) Licenses for possession and use of source material in recovery operations such as milling, in-situ leaching, heap-leach- ing, ore buying stations, ion exchange facilities and in processing of ores containing source material for extraction of met- als other than uranium or thorium, including licenses authorizing the possession of byproduct waste material (tailings) from source material recovery operations, as well as licenses authorizing the possession and maintenance of a facility in a standby mode. Class I facilities 4 ...... 132,000 Class II facilities 4 ...... 111,000 Other facilities 4 ...... 30,800 (3) Licenses that authorize the receipt of byproduct material, as defined in Section 11e.(2) of the Atomic Energy Act, from other persons for possession and disposal, except those licenses subject to the fees in Category 2.A.(2) or Category 2.A.(4) ...... 81,700 (4) Licenses that authorize the receipt of byproduct material, as defined in Section 11e.(2) of the Atomic Energy Act, from other persons for possession and disposal incidental to the disposal of the uranium waste tailings generated by the li- censee's milling operations, except those licenses subject to the fees in Category 2.A.(2) ...... 12,900 B. Licenses that authorize only the possession, use and/or installation of source material for shielding ...... 630 C. All other source material licenses ...... 11,800 3. Byproduct material: A. Licenses of broad scope for possession and use of byproduct material issued under Parts 30 and 33 of this chapter for processing or manufacturing of items containing byproduct material for commercial distribution ...... 26,300 B. Other licenses for possession and use of byproduct material issued under Part 30 of this chapter for processing or man- ufacturing of items containing byproduct material for commercial distribution ...... 6,400 C. Licenses issued under §§ 32.72, 32.73, and/or 32.74 of this chapter authorizing the processing or manufacturing and distribution or redistribution of radiopharmaceuticals, generators, reagent kits and/or sources and devices containing by- product material. This category also includes the possession and use of source material for shielding authorized under Part 40 of this chapter when included on the same license. This category does not apply to licenses issued to nonprofit educational institutions whose processing or manufacturing is exempt under 10 CFR 171.11(a)(1). These licenses are covered by fee Category 3D ...... 15,600 D. Licenses and approvals issued under §§ 32.72, 32.73, and/or 32.74 of this chapter authorizing distribution or redistribu- tion of radiopharmaceuticals, generators, reagent kits and/or sources or devices not involving processing of byproduct material. This category includes licenses issued under §§ 32.72, 32.73 and 32.74 of this chapter to nonprofit educational institutions whose processing or manufacturing is exempt under 10 CFR 171.11(a)(1). This category also includes the possession and use of source material for shielding authorized under Part 40 of this chapter when included on the same license ...... 3,800 E. Licenses for possession and use of byproduct material in sealed sources for irradiation of materials in which the source is not removed from its shield (self-shielded units) ...... 3,500 F. Licenses for possession and use of less than 10,000 curies of byproduct material in sealed sources for irradiation of ma- terials in which the source is exposed for irradiation purposes. This category also includes underwater irradiators for irra- diation of materials in which the source is not exposed for irradiation purposes ...... 5,800

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SCHEDULE OF MATERIALS ANNUAL FEES AND FEES FOR GOVERNMENT AGENCIES LICENSED BY NRCÐContinued [See footnotes at end of table]

Category of materials licenses Annual fees 123

G. Licenses for possession and use of 10,000 curies or more of byproduct material in sealed sources for irradiation of ma- terials in which the source is exposed for irradiation purposes. This category also includes underwater irradiators for irra- diation of materials in which the source is not exposed for irradiation purposes ...... 15,000 H. Licenses issued under Subpart A of Part 32 of this chapter to distribute items containing byproduct material that require device review to persons exempt from the licensing requirements of Part 30 of this chapter, except specific licenses au- thorizing redistribution of items that have been authorized for distribution to persons exempt from the licensing require- ments of Part 30 of this chapter ...... 3,300 I. Licenses issued under Subpart A of Part 32 of this chapter to distribute items containing byproduct material or quantities of byproduct material that do not require device evaluation to persons exempt from the licensing requirements of Part 30 of this chapter, except for specific licenses authorizing redistribution of items that have been authorized for distribution to persons exempt from the licensing requirements of Part 30 of this chapter ...... 4,700 J. Licenses issued under Subpart B of Part 32 of this chapter to distribute items containing byproduct material that require sealed source and/or device review to persons generally licensed under Part 31 of this chapter, except specific licenses authorizing redistribution of items that have been authorized for distribution to persons generally licensed under Part 31 of this chapter ...... 2,100 K. Licenses issued under Subpart B of Part 31 of this chapter to distribute items containing byproduct material or quantities of byproduct material that do not require sealed source and/or device review to persons generally licensed under Part 31 of this chapter, except specific licenses authorizing redistribution of items that have been authorized for distribution to persons generally licensed under Part 31 of this chapter ...... 1,800 L. Licenses of broad scope for possession and use of byproduct material issued under Parts 30 and 33 of this chapter for research and development that do not authorize commercial distribution ...... 11,300 M. Other licenses for possession and use of byproduct material issued under Part 30 of this chapter for research and de- velopment that do not authorize commercial distribution ...... 5,000 N. Licenses that authorize services for other licensees, except: (1) Licenses that authorize only calibration and/or leak testing services are subject to the fees specified in fee Cat- egory 3P; and (2) Licenses that authorize waste disposal services are subject to the fees specified in fee Categories 4A, 4B, and 4C 5,300 O. Licenses for possession and use of byproduct material issued under Part 34 of this chapter for industrial radiography operations. This category also includes the possession and use of source material for shielding authorized under Part 40 of this chapter when authorized on the same license ...... 14,900 P. All other specific byproduct material licenses, except those in Categories 4A through 9D ...... 2,600 4. Waste disposal and processing: A. Licenses specifically authorizing the receipt of waste byproduct material, source material, or special nuclear material from other persons for the purpose of contingency storage or commercial land disposal by the licensee; or licenses au- thorizing contingency storage of low-level radioactive waste at the site of nuclear power reactors; or licenses for receipt of waste from other persons for incineration or other treatment, packaging of resulting waste and residues, and transfer of packages to another person authorized to receive or dispose of waste material ...... 5 N/A B. Licenses specifically authorizing the receipt of waste byproduct material, source material, or special nuclear material from other persons for the purpose of packaging or repackaging the material. The licensee will dispose of the material by transfer to another person authorized to receive or dispose of the material ...... 11,500 C. Licenses specifically authorizing the receipt of prepackaged waste byproduct material, source material, or special nu- clear material from other persons. The licensee will dispose of the material by transfer to another person authorized to receive or dispose of the material ...... 8,500 5. Well logging: A. Licenses for possession and use of byproduct material, source material, and/or special nuclear material for well logging, well surveys, and tracer studies other than field flooding tracer studies ...... 10,100 B. Licenses for possession and use of byproduct material for field flooding tracer studies ...... 5 N/A 6. Nuclear laundries: A. Licenses for commercial collection and laundry of items contaminated with byproduct material, source material, or spe- cial nuclear material ...... 19,200 7. Medical licenses: A. Licenses issued under Parts 30, 35, 40, and 70 of this chapter for human use of byproduct material, source material, or special nuclear material in sealed sources contained in teletherapy devices. This category also includes the possession and use of source material for shielding when authorized on the same license ...... 15,500 B. Licenses of broad scope issued to medical institutions or two or more physicians under Parts 30, 33, 35, 40, and 70 of this chapter authorizing research and development, including human use of byproduct material except licenses for by- product material, source material, or special nuclear material in sealed sources contained in teletherapy devices. This category also includes the possession and use of source material for shielding when authorized on the same license 9 .... 28,100 C. Other licenses issued under Parts 30, 35, 40, and 70 of this chapter for human use of byproduct material, source mate- rial, and/or special nuclear material except licenses for byproduct material, source material, or special nuclear material in sealed sources contained in teletherapy devices. This category also includes the possession and use of source material for shielding when authorized on the same license 9 ...... 5,900 8. Civil defense: A. Licenses for possession and use of byproduct material, source material, or special nuclear material for civil defense ac- tivities ...... 1,200 9. Device, product, or sealed source safety evaluation: A. Registrations issued for the safety evaluation of devices or products containing byproduct material, source material, or special nuclear material, except reactor fuel devices, for commercial distribution ...... 6,100

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SCHEDULE OF MATERIALS ANNUAL FEES AND FEES FOR GOVERNMENT AGENCIES LICENSED BY NRCÐContinued [See footnotes at end of table]

Category of materials licenses Annual fees 123

B. Registrations issued for the safety evaluation of devices or products containing byproduct material, source material, or special nuclear material manufactured in accordance with the unique specifications of, and for use by, a single applicant, except reactor fuel devices ...... 4,400 C. Registrations issued for the safety evaluation of sealed sources containing byproduct material, source material, or spe- cial nuclear material, except reactor fuel, for commercial distribution ...... 1,900 D. Registrations issued for the safety evaluation of sealed sources containing byproduct material, source material, or spe- cial nuclear material, manufactured in accordance with the unique specifications of, and for use by, a single applicant, except reactor fuel ...... 620 10. Transportation of radioactive material: A. Certificates of Compliance or other package approvals issued for design of casks, packages, and shipping containers. Spent Fuel, High-Level Waste, and plutonium air packages ...... 6 N/A Other Casks ...... 6 N/A B. Quality assurance program approvals issued under 10 CFR Part 71. Users and Fabricators ...... 67,600 Users ...... 2,300 11. Standardized spent fuel facilities ...... 6 N/A 12. Special Projects ...... 6 N/A 13. A. Spent fuel storage cask Certificate of Compliance ...... 6 N/A B. General licenses for storage of spent fuel under 10 CFR 72.210 ...... 12 N/A 14. Byproduct, source, or special nuclear material licenses and other approvals authorizing decommissioning, decontamination, reclamation, or site restoration activities under 10 CFR Parts 30, 40, 70, 72, and 76 of this chapter ...... 7 N/A 15. Import and Export licenses ...... 8 N/A 16. Reciprocity ...... 8 N/A 17. Master materials licenses of broad scope issued to Government agencies ...... 363,000 18. Department of Energy: A. Certificates of Compliance ...... 10 884,000 B. Uranium Mill Tailing Radiation Control Act (UMTRCA) activities ...... 881,000 1 Annual fees will be assessed based on whether a licensee held a valid license with the NRC authorizing possession and use of radioactive material during the fiscal year. However, the annual fee is waived for those materials licenses and holders of certificates, registrations, and ap- provals who either filed for termination of their licenses or approvals or filed for possession only/storage licenses prior to October 1, 1999, and permanently ceased licensed activities entirely by September 30, 1999. Annual fees for licensees who filed for termination of a license, down- grade of a license, or for a possession only license during the fiscal year and for new licenses issued during the fiscal year will be prorated in ac- cordance with the provisions of § 171.17. If a person holds more than one license, certificate, registration, or approval, the annual fee(s) will be assessed for each license, certificate, registration, or approval held by that person. For licenses that authorize more than one activity on a single license (e.g., human use and irradiator activities), annual fees will be assessed for each category applicable to the license. Licensees paying an- nual fees under Category 1A(1) are not subject to the annual fees for Category 1C and 1D for sealed sources authorized in the license. 2 Payment of the prescribed annual fee does not automatically renew the license, certificate, registration, or approval for which the fee is paid. Renewal applications must be filed in accordance with the requirements of Parts 30, 40, 70, 71, 72, or 76 of this chapter. 3 Each fiscal year, fees for these materials licenses will be calculated and assessed in accordance with § 171.13 and will be published in the FEDERAL REGISTER for notice and comment. 4 A Class I license includes mill licenses issued for the extraction of uranium from uranium ore. A Class II license includes solution mining li- censes (in-situ and heap leach) issued for the extraction of uranium from uranium ores including research and development licenses. An ``other'' license includes licenses for extraction of metals, heavy metals, and rare earths. 5 There are no existing NRC licenses in these fee categories. Once NRC issues a license for these categories, the Commission will consider establishing an annual fee for that type of license. 6 Standardized spent fuel facilities, 10 CFR Parts 71 and 72 Certificates of Compliance, and special reviews, such as topical reports, are not assessed an annual fee because the generic costs of regulating these activities are primarily attributable to the users of the designs, certificates, and topical reports. 7 Licensees in this category are not assessed an annual fee because they are charged an annual fee in other categories while they are li- censed to operate. 8 No annual fee is charged because it is not practical to administer due to the relatively short life or temporary nature of the license. 9 Separate annual fees will not be assessed for pacemaker licenses issued to medical institutions who also hold nuclear medicine licenses under Categories 7B or 7C. 10 This includes Certificates of Compliance issued to DOE for activities whose costs are not covered by the Nuclear Waste Fund. 11 See 10 CFR 171.15(c). 12 See 10 CFR 171.15(c).

(e) The activities comprising the (3) Activities not currently assessed 10. Section 171.19 is revised to read surcharge are as follows: licensing and inspection fees under 10 as follows: (1) LLW disposal generic activities; CFR Part 170 based on existing law or Commission policy, e.g., reviews and § 171.19 Payment. (2) Activities not directly attributable inspections conducted of nonprofit (a) Method of payment. Annual fee to an existing NRC licensee or classes of educational institutions and reviews for payments, made payable to the U.S. licensees; e.g., international cooperative Federal agencies; activities related to Nuclear Regulatory Commission, are to safety program and international decommissioning and reclamation; and be made in U.S. funds by electronic safeguards activities; support for the costs that would not be collected from funds transfer such as ACH (Automated Agreement State program; site small entities based on Commission Clearing House) using EDI (Electronic decommissioning management plan policy in accordance with the Data Interchange), check, draft, money (SDMP) activities; and Regulatory Flexibility Act. order, or credit card. Federal agencies

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The or minus) in NRC’s total budget authority, payment should be made accordingly, materials licensees that are billed on the adjusted for changes in estimated collections e.g. invoices of $5,000 or more should anniversary date of the license are those for 10 CFR Part 170 fees, the number of be paid via ACH through NRC’s covered by fee categories 1C, 1.D, licensees paying annual fees, and as Lockbox Bank at the address indicated 2(A)(2) other, 2A(3), 2A(4), 2B, 2C, 3A otherwise needed to assure the billed on the invoice. Credit card payments through 3P, 4B through 9D, 10A, and amounts resulted in the required collections. should be made up to the limit 10B. The NRC indicated that if there was a established by the credit card bank, in (e) Payment is due on the invoice date substantial change in the total NRC budget accordance with specific instructions and interest accrues from the date of the authority or the magnitude of the budget provided with the invoices, to the allocated to a specific class of licensees, the invoice. However, interest will be annual fee base would be recalculated. Lockbox Bank designated for credit card waived if payment is received within 30 In FY 1999, the NRC concluded that there payments. In accordance with days from the invoice date. had been significant changes in the allocation Department of the Treasury Dated at Rockville, Maryland, this 25th day of agency resources among the various requirements, refunds will only be made of May, 2000. classes of licensees and established upon receipt of information on the For the Nuclear Regulatory Commission. rebaselined annual fees for FY 1999. The payee’s financial institution and bank NRC stated in the final FY 1999 rule that to Jesse L. Funches, accounts. stabilize fees it would continue the policy (b) Annual fees in the amount of Chief Financial Officer. established in FY 1995 to adjust the annual $100,000 or more and described in the Note: This appendix will not appear in the fees by the percent change method, unless Federal Register document issued code of federal regulations. there was a substantial change in the total NRC budget or the magnitude of the budget under § 171.13 must be paid in quarterly Appendix A to This Final Rule— allocated to a specific class of licensees, in installments of 25 percent as billed by Regulatory Flexibility Analysis for the which case the annual fee base would be the NRC. The quarters begin on October Amendments to 10 CFR Part 170 reestablished. 1, January 1, April 1, and July 1 of each (License Fees) and 10 CFR Part 171 After evaluating budget data for FY 2000, fiscal year. The NRC will adjust the (Annual Fees) the NRC has concluded that there has not fourth quarterly invoice to recover the been a substantial change in the total NRC full amount of the revised annual fee. If I. Background budget authority or the magnitude of the the amounts collected in the first three The Regulatory Flexibility Act (RFA), as budget allocated to a specific class of quarters exceed the amount of the amended, (5 U.S.C. 601 et seq.) requires that licensees since FY 1999. Therefore, the revised annual fee, the overpayment agencies consider the impact of their NRC’s FY 2000 annual fees have been determined by the percent change method will be refunded. Licensees whose rulemakings on small entities and, consistent with applicable statutes, consider based on FY 1999 annual fees. As a result, annual fee for FY 1999 was less than the FY 2000 annual fees for all licenses will $100,000 (billed on the anniversary date alternatives to minimize these impacts on the businesses, organizations, and government increase by about 1.4 percent. of the license), and whose revised jurisdictions to which they apply. The Small Business Regulatory annual fee for FY 2000 would be The NRC has established standards for Enforcement Fairness Act of 1996 (SBREFA) $100,000 (subject to quarterly billing), determining which NRC licensees qualify as is intended to reduce regulatory burdens would be issued a bill upon publication small entities (10 CFR 2.801). These size imposed by Federal agencies on small of the final rule for the full amount of standards reflect the Small Business businesses, nonprofit organizations, and the FY 2000 annual fee, less any Administration’s most common receipts- governmental jurisdictions. SBREFA also payments received for FY 2000 based on based size standards and include a size provides Congress with the opportunity to review agency rules before they go into effect. the anniversary date billing process. standard for business concerns that are manufacturing entities. The NRC uses the Under this legislation, the NRC annual fee (c) Annual fees that are less than rule is considered a ‘‘major’’ rule and must $100,000 are billed on the anniversary size standards to reduce the impact of annual fees on small entities by establishing a be reviewed by Congress and the Comptroller date of the license. For annual fee licensee’s eligibility to qualify for a General before the rule becomes effective. purposes, the anniversary date of the maximum small entity fee. The small entity SBREFA also requires that an agency prepare license is considered to be the first day fee categories in § 171.16(c) of this final rule a guide to assist small entities in complying of the month in which the original are based on the NRC’s size standards. with each rule for which final regulatory license was issued by the NRC. The Omnibus Budget Reconciliation Act flexibility analysis is prepared. This Licensees that are billed on the license (OBRA–90), as amended, requires that the Regulatory Flexibility Analysis and the small anniversary date will be assessed the NRC recover approximately 100 percent of its entity compliance guide (Attachment 1) have annual fee in effect on the anniversary budget authority, less appropriations from been prepared for the FY 2000 fee rule as required by law. date of the license. Materials licenses the Nuclear Waste Fund, by assessing license and annual fees. OBRA–90 requires that the II. Impact on Small Entities subject to the annual fee that are schedule of charges established by rule terminated during the fiscal year but should fairly and equitably allocate the total The fee rule results in substantial fees before the anniversary month of the amount to recovered from NRC’s licensees being charged to those individuals, license will be billed upon termination and be assessed under the principle that organizations, and companies that are for the fee in effect at the time of the licensees who require the greatest licensed by the NRC, including those billing. New materials licenses subject expenditure of agency resources pay the licensed under the NRC materials program. to the annual fee will be billed in the greatest annual charges. The amount to be The comments received on previous month the license is issued or in the collected for FY 2000 is approximately proposed fee rules and the small entity $447.0 million. certifications received in response to next available monthly billing for the Since 1991, the NRC has complied with previous final fee rules indicate that NRC fee in effect on the anniversary date of OBRA–90 by issuing a final rule that amends licensees qualifying as small entities under the license. Thereafter, annual fees for its fee regulations. These final rules have the NRC’s size standards are primarily new licenses will be assessed in the established the methodology used by NRC in materials licensees. Therefore, this analysis anniversary month of the license. identifying and determining the fees to be will focus on the economic impact of the

VerDate 112000 16:21 Jun 09, 2000 Jkt 190000 PO 00000 Frm 00025 Fmt 4701 Sfmt 4700 E:\FR\FM\12JNR3.SGM pfrm01 PsN: 12JNR3 36970 Federal Register / Vol. 65, No. 113 / Monday, June 12, 2000 / Rules and Regulations annual fees on materials licensees. About 20 of these impacts, would occur as a result of to concerns that the $1,800 fee, when added percent of these licensees (approximately the proposed rule, especially in relation to to the license and inspection fees, still 1,200 licensees for FY 1999) have requested the NRC’s proposed 25 percent increase in imposed a significant impact on small small entity certification in the past. small entity fees. Commenters also suggested entities with relatively low gross annual The commenters on previous fee the same alternatives, or variants of these receipts. For purposes of the annual fee, each rulemakings consistently indicated that the alternatives, to basing fees on the NRC size small entity size standard was divided into following results would occur if the proposed standards for small entities that have been an upper and lower tier. Small entity annual fees were not modified. previously suggested and considered by the licensees in the upper tier continued to pay 1. Large firms would gain an unfair NRC. For a complete discussion of the an annual fee of $1,800 while those in the competitive advantage over small entities. impacts and alternatives suggested by lower tier paid an annual fee of $400. Commenters noted that small and very small commenters in response to the FY 2000 Between 1991 and 1999, changes in both companies (‘‘Mom and Pop’’ operations) proposed fee rule, please see Section III, C, the external and internal environment have would find it more difficult to absorb the 2 of the Supplementary Information section impacted NRC costs and those of its annual fee than a large corporation or a high- of this final rule. licensees. The upper and lower tier volume type of operation. In competitive The NRC has again reexamined its maximum small entity annual fees did not markets, such as soils testing, annual fees previous evaluations of these alternatives, change in those years. Increases in the NRC would put small licensees at an extreme particularly in light of the 25 percent materials license fees, Agreement States’ competitive disadvantage with their much increase in the maximum small entity fees. materials license fees, and the Consumer larger competitors because the proposed fees The NRC continues to believe that Price Index all indicate that the NRC small would be the same for a two-person licensee establishment of a maximum fee for small entity fee established in 1991 should be as for a large firm with thousands of entities based on its size standards is the revised. In addition to these increases, the employees. most appropriate and effective option for structure of the fees that NRC charges to its 2. Some firms would be forced to cancel reducing the impact of its fees on small materials licensees changed during the their licenses. A licensee with receipts of less entities. period between 1991 and 1999. Costs for than $500,000 per year stated that the materials license inspections, renewals, and proposed rule would, in effect, force it to III. Maximum Fee amendments, which were previously relinquish its soil density gauge and license, The RFA and its implementing guidance recovered through Part 170 fees for services, thereby reducing its ability to do its work do not provide specific guidelines on what are now included in the Part 171 annual fees effectively. Other licensees, especially well- constitutes a significant economic impact on assessed to materials licensees. loggers, noted that the increased fees would a small entity. Therefore, the NRC has no While the annual fees increased for most force small businesses to get rid of the benchmark to assist it in determining the materials licensees as a result of these materials license altogether. Commenters amount or the percent of gross receipts that changes, the NRC’s annual fees assessed to stated that the proposed rule would result in should be charged to a small entity. In small entities have not been adjusted to about 10 percent of the well-logging licensees developing the maximum small entity annual include the additional costs. As a result, terminating their licenses immediately and fee in FY 1991, the NRC examined its 10 CFR small entities are currently paying a smaller approximately 25 percent terminating their Part 170 licensing and inspection fees and percentage of the total NRC regulatory costs licenses before the next annual assessment. Agreement State fees for those fee categories related to them than they did in FY 1991 and 3. Some companies would go out of which were expected to have a substantial FY 1992 when the small entity fees were business. number of small entities. Six Agreement established. The amount of the small entity 4. Some companies would have budget States; Washington, Texas, Illinois, Nebraska, subsidy paid by other licensees for these problems. Many medical licensees noted New York, and Utah were used as regulatory costs was $4.3 million in FY 1991. that, along with reduced reimbursements, the benchmarks in the establishment of the With the addition of the lower tier small proposed increase of the existing fees and the maximum small entity annual fee in 1991. entity fee in FY 1992, the small entity introduction of additional fees would Because small entities in those Agreement subsidy increased to $5.4 million, or about significantly affect their budgets. Others States were paying the fees, the NRC $2,700 for each of the 2000 small entities in noted that, in view of the cuts by Medicare concluded that these fees did not have a FY 1992. Although the number of small and other third party carriers, the fees would significant impact on a substantial number of entities had declined to approximately 1,200 produce a hardship and some facilities small entities. Therefore, those fees were by 1999, the FY 1999 small entity subsidy would experience a great deal of difficulty in considered a useful benchmark in was $5.3 million, or about $4,400 for each meeting this additional burden. establishing the NRC maximum small entity small entity. Since annual fees for materials licenses annual fee. Based on the changes that have occurred were first established, approximately 3,000 The NRC maximum small entity fee was since FY 1991, the NRC has reanalyzed its license, approval, and registration established as an annual fee only. In addition maximum small entity annual fee. As part of terminations have been requested. Although to the annual fee, NRC small entity licensees the reanalysis, the NRC considered the 1999 some of these terminations were requested were required to pay amendment, renewal, fees assessed by Agreement States, the NRC’s because the license was no longer needed or and inspection fees. In setting the small FY 1999 fee structure, and the increase in the licenses or registrations could be combined, entity annual fee, NRC ensured that the total Consumer Price Index between FY 1991 and indications are that other termination amount small entities paid annually would FY 1999. The reanalysis and alternatives requests were due to the economic impact of not exceed the maximum paid in the six considered by the NRC for revising the small the fees. benchmark Agreement States. entity annual fees are described below. To alleviate the significant impact of the Of the six benchmark states, the maximum annual fees on a substantial number of small Agreement State fee of $3,800 in Washington A. Analysis of Maximum Small Entity entities, the NRC considered the following was used as the ceiling for the total fees. Annual Fee alternatives, in accordance with the RFA, in Thus, the NRC’s small entity fee was The analysis included a review of the fee developing each of its fee rules since 1991. developed to ensure that the total fees paid structures in Agreement States to determine 1. Base fees on some measure of the by NRC small entities would not exceed what fees they currently assess small entities. amount of radioactivity possessed by the $3,800. Given the NRC’s 1991 fee structure To maintain consistency and to facilitate licensee (e.g., number of sources). for inspections, amendments, and renewals, direct comparisons between 1991 and 1999, 2. Base fees on the frequency of use of the a small entity annual fee established at the analysis focused on the fee categories licensed radioactive material (e.g., volume of $1,800 allowed the total fee (small entity used in 1991 and included fees imposed by patients). annual fee plus yearly average for the six benchmark Agreement States used in 3. Base fees on the NRC size standards for inspections, amendments, and renewal fees) 1991 and five other Agreement States with small entities. for all categories to fall under the $3,800 the highest number of licenses. Commenters on the FY 2000 proposed fee ceiling. The eleven states selected were: California, rule (65 FR 16250; March 27, 2000), In 1992, the NRC introduced a second, Texas, New York, Florida, Illinois, indicated that the same impacts, or variants lower tier to the small entity fee in response Tennessee, Maryland, Georgia, Washington,

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Utah, and Nebraska. Seven NRC fee particular note are the increases in the States Utah had the lowest maximum fee of the categories were selected for review based on of Washington, Georgia, and Utah. six benchmark states in 1991 . By 1999, the number of small entities present in the Washington and Utah are two of the original Utah’s maximum fee had increased by 218 category and inclusion of the category in the states benchmarked in 1991. Georgia and percent, from $440 to $1,400. As in 1991 review. The fee categories selected Washington are the two Agreement States Washington, the maximum fee is charged for were: 3M—Research and Development, 3N— reviewed that have a separate annual fee for an Industrial Radiography license. Services, 3O—Industrial Radiography, 3P— small entities. Table 1 shows the increases in the Gauges and Other Industrial Uses, 5A—Well The structure of the total fees per year in maximum total fees paid by small entities in Logging, 7A—Teletherapy, and 7C—Nuclear Georgia is similar to that used to determine the selected Agreement States from 1991 to Medicine. Together these categories comprise the total fees paid by NRC small entity 1999. Data is not presented in the Table for 80 percent of NRC’s small entity licensees for licensees in 1991. In Georgia, this fee the State of California because California FY 1999. increased by 64 percent from 1991 to 1999. does not use fee categories that are directly Among the eleven Agreement States The increase in Georgia is directly mapped to NRC fee categories. California reviewed, the fee structures varied both in terms of the fee amounts and the services comparable to the NRC context since Georgia charges a base fee plus a fee based on the included in the fees. Of the eleven states, uses the same two-tier structure for its small number of millicuries handled. In addition, only Georgia and Washington provide a entity annual fees. because the FY 1991 fees for the State of separate small entity fee for qualified Washington’s maximum fee assessed to Maryland were not available, only the licensees. The remaining nine states do not small entities increased by 25 percent, from maximum fee for FY 1999 is shown in the identify small entities in their fee structure approximately $3,800 in 1991 to Table. The change in the maximum fee paid and therefore assess the same fee to all approximately $4,700 in 1999. The $4,700 fee by NRC small entity licensees over the same licensees regardless of their size. is charged for an Industrial Radiography period is included for purposes of Increases in the materials license fees since license. Washington had the highest comparison. This fee decreased by 47 percent 1991 for the eleven Agreement States maximum fee in 1991 and it was this fee that while fees in the Agreement States were selected ranged from 10 percent in New York provided the basis for the maximum fees increasing. The reason for this decrease is to 218 percent in Utah (see Table 1). Of assessed to NRC small entity licensees. discussed in B. below.

TABLE 1

Percentage change in the maximum total fee assessed to small entities annually Maximum fee Maximum fee State 1991 1999 Percent change

Utah ...... $440 $1,400 218 Nebraska ...... 1,456 2,925 101 Texas ...... 2,100 4,230 101 Tennessee ...... 2,000 4,000 100 Georgia ...... 1,650 2,700 64 Florida ...... 1,925 2,657 38 Illinois ...... 2,000 2,733 37 Washington ...... 3,760 4,699 25 New York ...... 1,000 1,100 10 Maryland ...... (1) 1,350 (1) NRC Small Entity ...... 3,400 1,800 (¥47) 1 Not available.

The increases in the fees assessed to small increased fees, it can be inferred that the fees component of the total annual costs that entities in Agreement States between 1991 do not have a significant impact on them. would be assessed to small entities. Table 2 and 1999 suggest that the cost to support B. Analysis of Changes in the NRC Small presents the composition of the 1991 total radioactive materials licensees has increased Entity Fee Structure annual cost for small entities. over time. Because small entities in When NRC established its small entity Agreement States are currently paying the annual fee in 1991, the fee was viewed as one

TABLE 2

Total fees assessed to NRC small entities in 1991 Selected fee categories Research & Fees Teletherapy Nuclear develop- Services Industrial ra- Gauges Well logging 7A medicine ment 3N diography 3P 5A 7C 3M 3O

Annualized Inspection Fee 1 ...... $920 $420 $200 $140 $920 $180 $210 Amendment Fee 2 ...... 340 340 630 320 390 300 430 Annualized Renewal Fee 3 ...... 130 170 40 Subtotal ...... 1,390 930 870 590 1,590 560 960

Annual Fee for Small Entity ...... 1,800 1,800 1,800 1,800 1,800 41,500 1,800

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TABLE 2ÐContinued

Total fees assessed to NRC small entities in 1991 Selected fee categories Research & Fees Teletherapy Nuclear develop- Services Industrial ra- Gauges Well logging 7A medicine ment 3N diography 3P 5A 7C 3M 3O

Total Fees (Rounded) ...... 3,200 2,700 2,700 2,400 3,400 2,100 2,800

1 NRC charged a separate fee for inspections under Part 170. The inspection frequency, defined as years between inspections, varies with each category of license. To annualize the inspection fee, the fee charged per inspection was divided by the inspection frequency. 2 NRC charged a fee for each amendment to a license. In determining the total annual cost, one amendment per year was assumed. 3 In 1991 NRC issued materials licenses for a five-year period. At the end of this period each licensee paid a fee under Part 170 to renew the license. Because the licensee paid this fee once every five years, in calculating the total annual cost, the renewal fee was annualized by dividing by five. 4 The FY 1991 annual fee of $1,500 for category 3P was less than the $1,800 small entity annual fee. Therefore, small entities in this category paid the $1,500 annual fee, not $1,800.

Since 1991, NRC’s Part 170 inspection, average total non-small entity annual fee for percent. Of particular note are the increases renewal, and amendment fees for materials other NRC materials licenses increased by 25 in categories 7C—Nuclear Medicine, 3O— licenses have been eliminated and the costs percent and the average maximum annual fee Industrial Radiography, and 3P—Gauges. of those services included in the annual fee. for small entity licensees in Agreement States These categories contain 67 percent of the Although the annual fee now covers the costs increased by 54 percent. small entity licenses invoiced for FY1999. for inspections, renewals, and amendments, Table 3 compares the total fees (annual, the small entity fee itself remained inspection, renewal, and amendment) The average fee increase for these three unchanged. As a result, the maximum NRC assessed to NRC materials licensees in 1991 categories is 31 percent, compared to the 25 fees paid by small entities has declined by 47 with the total fees (annual) assessed to these percent average for the seven categories percent, from $3,400 in 1991 to $1,800 in licensees in 1999. In five of the seven reviewed. 1999. This decrease occurred while the categories the fee increases were over 20

TABLE 3

Comparison between total NRC annual fees for selected categories for 1991 and 1999 Research & Industrial Teletherapy Nuclear Develop- Services Radiog- Gauges Well NRC fees 7A Medicine ment 3N raphy 3P Logging Average 7C 3M 3O 5A

1991 Annual Fee ...... $9,700 $3,500 $4,000 $4,400 $9,300 $1,500 $7,000 $5,600 1991 Other Fees: Annualized Inspection Fee 920 420 200 140 920 180 200 ...... Amendment Fee ...... 340 340 630 320 390 300 430 ...... Annualized Renewal Fee 130 170 40 130 280 80 320 ......

Total Other Fees ...... 1,390 930 870 590 1,590 560 950 ...... Total Fee in 1991 (Round- ed) ...... 11,100 4,400 4,900 5,000 10,900 2,100 8,000 6,700 Total (Annual) Fee In 1999 ...... 15,300 5,800 5,000 5,200 14,700 2,600 9,900 8,400 Fee Increase from 1991 to 1999 ...... 38% 32% 2% 4% 35% 24% 24% 25%

Table 4 compares the 1991 fees for amendments is on average 60 percent higher these costs are recovered only from annual amendments and inspections with the cost to than the amendment fee assessed in 1991; fees assessed to non-small entities. Because provide these services in 1999. The cost was inspection costs are 260 percent higher. the small entity annual fee has remained determined by multiplying the average hours These services are provided to all licensees, static, it does not reflect any increases in to complete amendments and inspections by both small entities and non-small entities. NRC’s costs since 1991. the hourly rate. The 1999 cost for However, under the current fee structure

TABLE 4

Comparison of NRC inspection and amendment costs in 1991 and 1999 Amendments Inspections Increase Increase 1991 1999 (percent) 1991 1999 (percent)

7AÐTeletherapy ...... $340 $450 32 $920 $3,200 248 7CÐNuclear Medicine ...... 340 520 53 830 3,100 273

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TABLE 4ÐContinued

Comparison of NRC inspection and amendment costs in 1991 and 1999 Amendments Inspections Increase Increase 1991 1999 (percent) 1991 1999 (percent)

3MÐResearch & Development ...... 630 710 13 800 2,300 188 3NÐServices ...... 320 690 116 550 2,700 391 3OÐIndustrial Radiography ...... 390 780 100 920 3,300 259 3PÐGauges ...... 300 390 30 920 2,200 139 5AÐWell Logging ...... 430 950 121 640 2,700 322 Average ...... 400 640 60 800 2,900 263

Given NRC’s 100 percent cost recovery 2. Increase the Small Entity Fee Using the Method 3B—Highest Number of Small requirement, the portion of annual fees not Average Increase in NRC Materials License Entities Present recovered from small entities is passed to Fees From 1991 to 1999 Method 3B uses the fee category with the other NRC licensees. The increasing disparity From 1991 to 1999 total NRC fees for highest number of small entities. In FY 1999, between the small entity fee and the cost of materials licenses increased, on average, by Category 3P, Gauges and Other Industrial NRC services included in the annual fee calls 25 percent. This percentage could be applied Uses, had 30 percent of all NRC small entity for a more equitable distribution of the NRC to the existing small entity fee to give a new licensees. This was the highest number of costs to these licensees. An increase in the small entity fee of $2,300. small entities present in a single category. In small entity fee would mitigate the cost This method is a simple and obvious 1991, the total fees for Category 3P was differences and would permit small entities means of applying the rates of increase in $2,100. A 25 percent increase in this fee to assume a greater portion of NRC costs NRC fees since FY 1991 to the small entity would set the small entity fee at $2,600. attributable to them. If everything else fees. This method does not consider the Method 3C—Highest Number of Upper Tier remains the same, an increase in the small changes to the total fees paid by small Small Entities Present entity fee would result in a decrease in the entities since FY 1991 and does not Method 3C uses Category 7C, Nuclear small entity subsidy paid by other licensees. incorporate changes in the composition of Medicine as the base. This category has the the total fees assessed to small entities per C. Analysis of Increases in the Consumer highest number of upper tier small entities year by Agreement States. However, it does Price Index and is considered a viable base because the rely on the increases to the total fees paid by small entity annual fee originally established On a national level the cost of goods and other NRC materials licensees since FY 1991. in FY 1991 was the upper tier fee. In 1991, services increased between 1991 and 1999. This method could also provide a sustainable Category 7C had a total fee of $2,700; this According to the U.S. Department of Labor, and simple means of determining whether base would give a new small entity fee of Bureau of Labor Statistics, the Consumer NRC’s small entity fees should be revised in $3,400. Price Index (CPI) increased 28.8 points, from the future. Method 3A yields a 45 percent recovery of 136.2 in 1991 to 165.0 for the first half of the invoiced amounts from small entities, the 3. Add the 1991 Amendment, Renewal, and highest recovery rate under Method 3. 1999, an increase of 21 percent. This index Inspection Costs to the Existing Small Entity is an accepted economic indicator of price Fee and Increase the Sum by the Average However, the Industrial Radiography changes in the US economy. The 21 percent Increase in NRC Materials License Fees From category contains only 7 percent of all NRC increase in the CPI is evidence that costs in 1991 to 1999 small entity licensees in 1999 and arguably NRC’s external environment have increased. does not affect a significant number of the The small entity fee could be increased by Obviously, NRC’s cost of providing services small entities. Method 3B addresses this loading the existing small entity annual fee to its licensees will be impacted by these issue and uses Category 3P, the category with of $1,800 with the amendment, renewal, and increases. the highest number of small entities. inspection costs used in 1991 and increasing However, the 3P Category also has the lowest D. Alternatives for Revising the Maximum the total by 25 percent. This method not only 1991 total cost and results in a recovery rate Annual Fee incorporates the average increase in NRC fees of 34 percent from small entities, the lowest 1. Increase Small Entity Fees Using the 1991 but it bases the increase on the total annual under Method 3. Method 3C uses Category Methodology costs that were assessed to small entities in 7C, Nuclear Medicine, and is preferable to 1991. both Methods 3A and 3B in that it yields a Following the reasoning used in the 1991 To revise the small entity fee using this 37 percent recovery rate from small entities process, the maximum annual fee for small method, a category must be selected as the and contains 30 percent of the small entity entities could be revised to reflect the current 1991 base. The total annual cost for this licensees. maximum fees charged by Agreement States category, as presented in Table 3, will then Methods 3A, 3B and 3C are all based on and the changes in the NRC fee structure be increased by the NRC average of 25 the selection of a single fee category as the since 1991. The maximum Agreement State percent. Five possible approaches to 1991 base. Using the fee from a specific fee category as the base fee can implicitly make fee assessed to small entities in 1999 is selecting the 1991 base were explored. $4,700. Therefore, the maximum value for the category a benchmark. This increases the NRC’s small entity fee could be set at $4,700. Method 3A—Maximum Fee Category in the risk of challenges to the fee if significant This method would allow the NRC to Benchmark States changes occur in the benchmark category. recover from small entities 48 percent of the Method 3A uses the Industrial Method 3D—Weighted Average of the Total total amount of the small entity annual fee Radiography category as the base. This Fees in the Seven Categories invoices. Although this method is defensible, category had the maximum fee in the Method 3D uses the number of upper tier because it is based on sound reasoning used Agreement States benchmarked in 1991. The small entities in each category to weight the in the original establishment of the small total NRC fee assessed to the Industrial total fee assessed to each category in 1991. entity fees that have been in place since Radiography category in 1991 was $3,400. The weighted-average of $2,700 is then used 1991, it is based on an external fee that is Increasing this fee by 25 percent gives a new as the base. This gives a new small entity fee outside NRC’s direct control. small entity fee of $4,300. of $3,400.

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Method 3E—Average of the Total Fees for the percentage increase in fees paid by other Licensees may use this guide to determine Seven Categories NRC materials licensees since the last whether they qualify as a small entity under Method 3E uses the average total fee for the rebaselining to determine if the maximum NRC regulations and are eligible to pay categories reviewed as the base fee. The small entity annual fees should be revised. reduced FY 2000 annual fees assessed under average total fee of $2,800 is then increased Please see Section III, C, 2 of the 10 CFR Part 171. The NRC has established by 25 percent to give a new small entity fee Supplementary Information section of this two tiers of separate annual fees for those of $3,500. final rule for a discussion of the comments materials licensees who qualify as small Both Methods 3D and 3E use averages to received on the increase in small entity fees, entities under NRC’s size standards. determine the base fee and this reduces the including the suggestion that the NRC Licensees who meet NRC’s size standards risks associated with Methods 3A, 3B and 3C. establish addition tiers or levels of fees. for a small entity must complete NRC Form Both methods yield the same recovery rate of The NRC continues to believe that the 10 526 to qualify for the reduced annual fee. 37 percent and can be considered equally CFR Part 170 application fees, or any This form accompanies each annual fee acceptable from a monetary perspective. adjustments to these licensing fees during the invoice mailed to materials licensees. The Because Method 3D uses a weighted past year, do not have a significant impact on completed form, the appropriate small entity average, the number of small entities in each small entities. fee, and the payment copy of the invoice, of the seven categories are factored into the V. Summary should be mailed to the U.S. Nuclear selection process while smoothing the impact Regulatory Commission, License Fee and of the highest and lowest fee categories. The NRC has determined that the 10 CFR Accounts Receivable Branch, to the address While Methods 3D and 3E would consider Part 171 annual fees significantly impact a indicated on the invoice. Failure to file a the total fees paid by small entities in FY substantial number of small entities. A small entity certification in a timely manner 1991 and would increase the amounts maximum fee for small entities strikes a may result in the denial of any refund that recovered from small entities thereby balance between the requirement to collect might otherwise be due. reducing the small entity subsidy paid by 100 percent of the NRC budget and the other licensees, the percentage increase requirement to consider means of reducing NRC Definition of Small Entity under either of these methods would be the impact of the fee on small entities. On the The NRC has defined a small entity for larger than the average percentage increase in basis of its regulatory flexibility analyses, the purposes of compliance with its regulations the total fees assessed to other NRC materials NRC concludes that a maximum annual fee (10 CFR 2.810) as follows: licensees since FY 1991. of $2,300 for small entities and a lower-tier 1. Small business—a for-profit concern that small entity annual fee of $500 for small IV. Conclusion provides a service or a concern not engaged businesses and not-for-profit organizations in manufacturing with average gross receipts Based on the results of the reanalysis, the with gross annual receipts of less than of $5 million or less over its last 3 completed NRC is increasing the maximum small entity $350,000, small governmental jurisdictions fiscal years; annual fee by 25 percent, based on the with a population of less than 20,000, small 2. Manufacturing industry—a percentage increase since FY 1991 in the manufacturing entities that have less than 35 manufacturing concern with an average average total fees paid per year by other NRC employees and educational institutions that number of 500 or fewer employees based materials licensees. As a result, the are not State or publicly supported and have upon employment during each pay period for maximum small entity annual fee increases less than 35 employees reduces the impact the preceding 12 calendar months; from $1,800 to $2,300. By increasing the on small entities. At the same time, these 3. Small organization—a not-for-profit maximum annual fee for small entities from reduced annual fees are consistent with the organization which is independently owned $1,800 to $2,300, the annual fee for many objectives of OBRA–90. Thus, the fees for and operated and has annual gross receipts small entities is reduced while at the same small entities maintain a balance between the of $5 million or less; time materials licensees, including small objectives of OBRA–90 and the RFA. 4. Small governmental jurisdiction—a entities, would pay for most of the costs government of a city, county, town, attributable to them. The costs not recovered Attachment 1 to Appendix A from small entities are allocated to other township, village, school district or special U.S. Nuclear Regulatory Commission, Small district with a population of less than 50,000; materials licensees and to power reactors. Entity Compliance Guide, Fiscal Year 2000 While reducing the impact on many small 5. Small educational institution—an entities, the maximum annual fee of $2,300 Contents educational institution supported by a for small entities may continue to have a Introduction qualifying small governmental jurisdiction, significant impact on materials licensees NRC Definition of Small Entity or one that is not state or publicly supported 1 with annual gross receipts in the thousands NRC Small Entity Fees and has 500 or fewer employees. of dollars. Therefore, the NRC is continuing Instructions for Completing NRC Form 526 NRC Small Entity Fees to provide a lower-tier small entity annual In 10 CFR 171.16 (c), the NRC has fee for small entities with relatively low gross Introduction established two tiers of small entity fees for annual receipts. The lower-tier small entity The Small Business Regulatory licensees that qualify under the NRC’s size fee also applies to manufacturing concerns, Enforcement Fairness Act of 1996 (SBREFA) standards. The NRC is increasing these fees and educational institutions not State or requires all Federal agencies to prepare a publicly supported, with less than 35 written guide for each ‘‘major’’ final rule as by 25 percent. The FY 2000 small entity fees employees. The NRC is increasing the lower defined by the Act. The NRC’s fee rule, are as follows: tier small entity fee by the same percentage published annually to comply with the increase to the maximum small entity annual Omnibus Budget Reconciliation Act of 1990 1 An educational institution referred to in the size fee. This 25 percent increase results in the (OBRA–90), requires the NRC to collect standards is an entity whose primary function is lower tier small entity fee increasing from approximately 100 percent of its budget education, whose programs are accredited by a nationally recognized accrediting agency or $400 to $500. authority each year through fees. This rule is association, who is legally authorized to provide a In the future, the NRC plans to re-examine considered a ‘‘major’’ rule under this law. program of organized instruction or study, who the small entity fees each year that annual This compliance guide has been prepared to provides an educational program for which it fees are rebaselined. As part of the re- assist NRC material licensees comply with awards academic degrees, and whose educational examination, the NRC will consider the the FY 2000 fee rule. programs are available to the public.

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Maximum annual fee per licensed category

Small business not engaged in manufacturing and small not-for profit organizations (gross annual receipts): $350,000 to $5 million ...... $2,300 Less than $350,000 ...... 500 Manufacturing entities that have an average of 500 employees or less: 35 to 500 employees ...... 2,300 Less than 35 employees ...... 500 Small governmental jurisdictions (including publicly supported educational institutions) (population): 20,000 to 50,000 ...... 2,300 Less than 20,000 ...... 500 Educational Institutions that are not State or publicly supported, and have 500 employees or less: 35 to 500 employees ...... 2,300 Less than 35 employees ...... 500

To pay a reduced annual fee, a licensee licensed activities. There are limited maximum annual fee shown on NRC Form must use NRC Form 526, enclosed with the exceptions as set forth at 13 CFR 121.104. 526 for the size standard under which the fee invoice, to certify that it meets NRC’s size These are: the term receipts excludes net licensee qualifies, resulting in a fee of either standards for a small entity. Failure to file capital gains or losses, taxes collected for and $1150 or $250 for each fee category billed NRC Form 526 in a timely manner may result remitted to a taxing authority if included in instead of the full small entity annual fee of in the denial of any refund that might gross or total income, proceeds from the $2,300 or $500. otherwise be due. transactions between a concern and its A new small entity form (NRC Form 526) domestic or foreign affiliates (if also excluded Instructions for Completing NRC Form 526 must be filed with the NRC each fiscal year from gross or total income on a consolidated to qualify for reduced fees for that fiscal year. 1. File a separate NRC Form 526 for each return filed with the IRS), and amounts Because a licensee’s ‘‘size,’’ or the size annual fee invoice received. collected for another by a travel agent, real standards, may change from year to year, the 2. Complete all items on NRC Form 526 as estate agent, advertising agent, or conference invoice reflects the full fee and a new Form follows: management service provider. must be completed and returned for the fee a. The license number and invoice number (3) A licensee who is a subsidiary of a large to be reduced to the small entity fee. must be entered exactly as they appear on the entity does not qualify as a small entity. LICENSEES WILL NOT BE ISSUED A NEW annual fee invoice. (4) The owner of the entity, or an official INVOICE FOR THE REDUCED AMOUNT. b. The Standard Industrial Classification empowered to act on behalf of the entity, The completed NRC Form 526, the payment (SIC) Code should be entered if it is known. must sign and date the small entity of the appropriate small entity fee, and the c. The licensee’s name and address must be certification. ‘‘Payment Copy ‘‘ of the invoice should be entered as they appear on the invoice. Name The NRC sends invoices to its licensees for mailed to the U.S. Nuclear Regulatory and/or address changes for billing purposes the full annual fee, even though some entities Commission, License Fee and Accounts must be annotated on the invoice. Correcting qualify for reduced fees as a small entity. Receivable Branch at the address indicated the name and/or address on NRC Form 526 Licensees who qualify as a small entity and on the invoice. or on the invoice does not constitute a file NRC Form 526, which certifies eligibility If you have questions about the NRC’s request to amend the license. Any request to for small entity fees, may pay the reduced annual fees, please call the license fee staff amend a license is to be submitted to the fee, which for a full year is either $2,300 or at 301–415–7554, e-mail the fee staff at respective licensing staffs in the NRC $500 depending on the size of the entity, for [email protected], or write to the U.S. Nuclear Regional or Headquarters Offices. each fee category shown on the invoice. Regulatory Commission, Washington, DC d. Check the appropriate size standard Licensees granted a license during the first 20555, Attention: Office of the Chief under which the licensee qualifies as a small six months of the fiscal year and licensees Financial Officer. entity. Check one box only. Note the who file for termination or for a possession False certification of small entity status following: only license and permanently cease licensed could result in civil sanctions being imposed (1) The size standards apply to the activities during the first six months of the by the NRC under the Program Fraud Civil licensee, not the individual authorized users fiscal year pay only 50 percent of the annual Remedies Act, 31 U.S.C. 3801 et seq. NRC’s listed in the license. fee for that year. Such an invoice states the implementing regulations are found at 10 (2) Gross annual receipts as used in the ‘‘Amount Billed Represents 50% Proration.’’ CFR Part 13. size standards includes all revenue in This means the amount due from a small whatever form received or accrued from entity is not the prorated amount shown on [FR Doc. 00–14496 Filed 6–9–00; 8:45 am] whatever sources, not solely receipts from the invoice but rather one-half of the BILLING CODE 7590±01±P

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Part IV

Department of Transportation Federal Aviation Administration

14 CFR Part 25 Fire Protection Requirements for Powerplant Installations on Transport Category Airplanes; Proposed Rule

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DEPARTMENT OF TRANSPORTATION Mechanical Systems Branch, ANM–112, Independence Avenue, SW., Transport Airplane Directorate, Aircraft Washington, DC 20591; or by calling Federal Aviation Administration Certification Service, FAA, Northwest 202–267–9680. Communications must Mountain Region, 1601 Lind Avenue identify the docket number of this 14 CFR Part 25 S.W., Renton, Washington 98055–4056; NPRM. [Docket No. FAA±2000±7471; Notice No. 00± telephone (425) 227–2133; facsimile Any person interested in being placed 04] (425) 227–1320; e-mail: on the mailing list for future rulemaking [email protected]. documents should request from the RIN 2120±AG94 SUPPLEMENTARY INFORMATION: above office a copy of Advisory Circular Fire Protection Requirements for 11–2A, ‘‘Notice of Proposed Rulemaking How Do I Submit Comments to this Powerplant Installations on Transport Distribution System,’’ which describes NPRM? Category Airplanes the application procedure. Interested persons are invited to Background AGENCY: Federal Aviation participate in the making of the Administration (FAA), DOT. proposed action by submitting such What Are the Relevant Airworthiness ACTION: Notice of proposed rulemaking. written data, views, or arguments, as Standards in the United States? they may desire. Comments relating to In the United States, the airworthiness SUMMARY: The Federal Aviation the environmental, energy, federalism, standards for type certification of Administration proposes to amend the or economic impact that might result transport category airplanes are airworthiness standards for transport from adopting the proposals in this contained in Title 14 Code of Federal category airplanes to establish a new document are also invited. Substantive Regulations (CFR) part 25. requirement for fire protection of comments should be accompanied by Manufacturers of transport category powerplant installations. This proposal cost estimates. Comments must identify airplanes must show that each airplane would require that components within a the regulatory docket number and be they produce of a different type design designated fire zone must be fireproof if, submitted in duplicate to the DOT Rules complies with the appropriate part 25 when exposed to or damaged by fire, Docket address specified above. standards. These standards apply to: they could pose a hazard to the airplane. All comments received, as well as a • Airplanes manufactured within the Adopting this proposal would eliminate report summarizing each substantive U.S. for use by U.S.-registered operators, regulatory differences between the public contact with FAA personnel and airworthiness standards of the U.S. and concerning this proposed rulemaking, • Airplanes manufactured in other the Joint Aviation Requirements of will be filed in the docket. The docket countries and imported to the U.S. Europe, without affecting current is available for public inspection before under a bilateral airworthiness industry design practices. and after the comment closing date. agreement. DATES: Send your comments on or We will consider all comments before August 11, 2000. received on or before the closing date What Are the Relevant Airworthiness ADDRESSES: Address your comments to before taking action on this proposed Standards in Europe? Dockets Management System, U.S. rulemaking. Comments filed late will be In Europe, the airworthiness Department of Transportation Dockets, considered as far as possible without standards for type certification of Room Plaza 401, 400 Seventh Street incurring expense or delay. The transport category airplanes are SW., Washington, DC 20590–0001. You proposals in this document may be contained in Joint Aviation must identify the docket number FAA– changed in light of the comments Requirements (JAR)–25, which are 2000–7471 at the beginning of your received. based on part 25. These were developed comments, and you should submit two by the Joint Aviation Authorities (JAA) How Can I Obtain a Copy of This copies of your comments. If you wish to of Europe to provide a common set of NPRM? receive confirmation that the FAA has airworthiness standards within the received your comments, please include You may download an electronic European aviation community. Twenty- a self-addressed, stamped postcard on copy of this document using a modem three European countries accept which the following statement is made: and suitable communications software airplanes type certificated to the JAR–25 ‘‘Comments to Docket No. FAA–2000– from the FAA regulations section of the standards, including airplanes 7471.’’ We will date-stamp the postcard Fedworld electronic bulletin board manufactured in the U.S. that are type and mail it back to you. service (telephone: 703–321–3339); the certificated to JAR–25 standards for You also may submit comments Government Printing Office (GPO)’s export to Europe. electronically to the following Internet electronic bulletin board service address: http://dms.dot.gov. (telephone: 202–512–1661); or, if What Is ‘‘Harmonization’’ and How Did You may review the public docket applicable, the FAA’s Aviation It Start? containing comments to this proposed Rulemaking Advisory Committee Although part 25 and JAR–25 are very regulation at the Department of bulletin board service (telephone: 800– similar, they are not identical in every Transportation (DOT) Dockets Office, 322–2722 or 202–267–5948). respect. When airplanes are type located on the plaza level of the Nassif Internet users may access recently certificated to both sets of standards, the Building at the above address. You may published rulemaking documents at the differences between part 25 and JAR–25 review the public docket in person at FAA’s web page at http://www.faa.gov/ can result in substantial additional costs this address between 9 a.m. and 5 p.m., avr/arm/nprm/nprm.htm or the GPO’s to manufacturers and operators. These Monday through Friday, except Federal web page at http://www.access.gpo.gov/ additional costs, however, frequently do holidays. In addition, you may review nara. not bring about an increase in safety. In the public dockets on the Internet at You may obtain a copy of this many cases, part 25 and JAR–25 may http://dms.dot.gov. document by submitting a request to the contain different requirements to FOR FURTHER INFORMATION CONTACT: Federal Aviation Administration, Office accomplish the same safety intent. Michael K. McRae, Propulsion/ of Rulemaking, ARM–1, 800 Consequently, manufacturers are

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Working its current standard to incorporate more Recognizing that a common set of groups report directly to the ARAC, and stringent provisions of the other.) standards would not only benefit the the ARAC must accept a working group Category 2: Completed or near aviation industry economically, but also proposal before ARAC presents the complete—For these standards, ARAC maintain the necessary high level of proposal to the FAA as an advisory has reached, or has nearly reached, safety, the FAA and the JAA began an committee recommendation. technical agreement or consensus on the effort in 1988 to ‘‘harmonize’’ their The activities of the ARAC will not, new wording of the proposed respective aviation standards. The goal however, circumvent the public harmonized standards. of the harmonization effort is to ensure rulemaking procedures; nor is the FAA Category 3: Harmonize—For these that: limited to the rule language standards, ARAC is not near technical • Where possible, standards do not ‘‘recommended’’ by ARAC. If the FAA agreement on harmonization, and the require domestic and foreign parties to accepts an ARAC recommendation, the parallel part 25 and JAR–25 standards manufacture or operate to different agency proceeds with the normal public cannot be ‘‘enveloped’’ (as described standards for each country involved; rulemaking procedures. Any ARAC under Category 1) for reasons of safety and participation in a rulemaking package is • or unacceptability. A standard The standards adopted are mutually fully disclosed in the public docket. developed under Category 3 would be acceptable to the FAA and the foreign What Is the Status of the Harmonization mutually acceptable to the FAA and aviation authorities. Effort Today? JAA, with a consistent means of Both the FAA and the JAA consider compliance. ‘‘harmonization’’ of the two sets of Despite the work that ARAC has standards a high priority. undertaken to address harmonization, What Is the ‘‘Fast Track Harmonization there remain a large number of Program’’? What Is ARAC and What Role Does It regulatory differences between part 25 In light of the general agreement Play in Harmonization? and JAR–25. The current harmonization among the affected industries and After initiating the first steps towards process is extremely costly and time- authorities to expedite the harmonization, the FAA and JAA soon consuming for industry, the FAA, and harmonization program, and a realized that following the traditional the JAA. Industry has expressed a strong willingness to consider ‘‘enveloping’’ of methods of rulemaking and desire to conclude the harmonization parallel standards, the FAA and JAA in accommodating different administrative program as quickly as possible to March 1999 agreed upon a method to procedures was neither sufficient nor alleviate the drain on their resources achieve these goals. This method, which adequate to make appreciable progress and to finally establish one acceptable the FAA has titled ‘‘The Fast Track towards fulfilling the goal of set of standards. Harmonization Program,’’ is aimed at harmonization. The FAA then identified Recently, representatives of the expediting the rulemaking process for the Aviation Rulemaking Advisory aviation industry [including Aerospace harmonizing not only the 42 standards Committee (ARAC) as an ideal vehicle Industries Association of America, Inc. that are currently tasked to ARAC for for assisting in resolving harmonization (AIA), General Aviation Manufacturers harmonization, but approximately 80 issues, and, in 1992, the FAA tasked Association (GAMA), and European additional standards for part 25 ARAC to undertake the entire Association of Aerospace Industries airplanes. harmonization effort. (AECMA)] proposed an accelerated The FAA had formally established process to reach harmonization. These The FAA initiated the Fast Track ARAC in 1991 (56 FR 2190, January 22, representatives recommended that the program on November 26, 1999 (64 FR 1991), to provide advice and FAA and JAA harmonize differences 66522), by re-tasking ARAC to recommendations concerning the full between parallel part 25 and JAR–25 accomplish the following: • range of the FAA’s safety-related standards by accepting the more Review a list of part 25/JAR–25 rulemaking activity. The FAA sought ‘‘stringent’’ of the two standards. standards (approximately 120 parallel this advice to develop better rules in ‘‘Stringent,’’ in this case, indicates the pairs) identified by industry, FAA, and less overall time and using fewer FAA relative higher level of safety, or greater JAA as having differences that should be resources than previously needed. The applicability to modern technology, harmonized in order to establish one committee provides the FAA firsthand between a part 25 standard and the single set of standards that represent the information and insight from interested parallel JAR–25 standard. highest level of safety. • parties regarding potential new rules or Aviation industry groups further Identify changes necessary to the revisions of existing rules. refined their proposed process by standards to harmonize part 25 and There are 64 member organizations on suggesting that the 42 part 25 standards JAR–25. the committee, representing a wide that already have been tasked to ARAC • Submit to the FAA a technical range of interests within the aviation for harmonization be divided into three report on each standard and recommend community. Meetings of the committee categories: what the requirements of the are open to the public, except as Category 1: Envelope—For these harmonized standard should be. authorized by section 10(d) of the standards, parallel part 25 and JAR–25 The FAA then considers the Federal Advisory Committee Act. standards would be compared, and recommendations submitted by ARAC The ARAC establishes working groups harmonization would be reached by and initiates rulemaking action, as to develop recommendations for accepting the more stringent of the two appropriate, based on those resolving specific airworthiness issues. standards. Thus, the more stringent recommendations. Tasks assigned to working groups are requirement of one standard would be As implemented, the Fast Track published in the Federal Register. ‘‘enveloped’’ into the other standard. In program achieves its aims by: Although working group meetings are some cases, it may be necessary to • Considering the fundamentals of not generally open to the public, the incorporate parts of both the part 25 and the industry proposals,

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• Defining a process for expeditiously What Is the Proposed Action? means. Additionally, it requires that adopting the harmonized requirements, The FAA proposes to add a new each firewall be fireproof, ‘‘leakproof’’ • Maintaining an emphasis on using § 25.1183(c), which would require that (so that no hazardous quantity of air, ARAC in making a group decision on all components (including ducts) within fluid, or flame can pass from the the harmonization proposal, and compartment), sealed (so that all • Incorporating an improved ARAC a designated fire zone be fireproof if, when exposed to or damaged by fire, openings are sealed with close fitting rulemaking process that does not fireproof fasteners), and protected they could: overburden the FAA and industry due against corrosion. • Result in fire spreading to other to additional workload. 3. Section 25.901(c) (‘‘Powerplant, regions of the airplane, or General—Installation’’): This section Discussion of the Proposal • Cause unintentional operation of, or requires that each powerplant and APU How Does This Proposed Regulation inability to operate, essential services or installation be designed so that no Relate to ‘‘Fast Track’’? equipment. single failure, malfunction, or The FAA considers that the addition combination of failures will jeopardize This proposed regulation results from of this paragraph to part 25 is necessary the recommendations of ARAC the safe operation of the airplane. (It in order to harmonize the actual also specifies that the failure of submitted under the FAA’s Fast Track wording of part 25 with the JAR on this Harmonization Program. (It was structural elements need not be particular issue, and to clarify the intent considered if the probability of such submitted as a Category 2 item.) In this of the part 25 regulation. The addition notice, the FAA proposes to amend 14 failure is determined to be extremely of § 25.1183(c) in part 25 will align the remote.) CFR § 25.1183 (‘‘Flammable fluid- U.S. regulations with their European carrying components’’) to establish a While these regulations may seem counterparts, and the wording of both redundant in effect to the proposed new new requirement for fire protection of airworthiness standards would be powerplant installations. paragraph 25.1183(c), the FAA exactly parallel in this aspect. considers it beneficial to clarify the What Are the Current 14 CFR and JAR Furthermore, the addition of objective of these rules by the addition Standards? § 25.1183(c) will provide some of the new paragraph. additional assurance that all The current text of 14 CFR 25.1183(a) Further, the only difference between ‘‘components’’ that need to be fireproof is: these current sections and the proposed ‘‘(a) Except as provided in paragraph will be identified and qualified during new § 25.1183(c) is that the new (b) of this section, each line, fitting, and certification. Adoption of this proposal paragraph would address fire protection other component carrying flammable is intended to benefit the public interest specifically at the ‘‘component level,’’ fluid in any area subject to engine fire by standardizing the requirements, whereas the other requirements, listed conditions, and each component which concepts, and procedures contained in above, address fire protection at the conveys or contains flammable fluid in the U.S. and European airworthiness ‘‘zone level’’ or the ‘‘installation level.’’ a designated fire zone must be fire standards without reducing the current In order to actually meet the ‘‘zone resistant, except that flammable fluid level of safety. level’’ or ‘‘installation level’’ objectives currently within part 25, the tanks and supports in a designated fire What Is the Effect of the Proposed components of the installation must be zone must be fireproof or be enclosed by Standard Relative to the Current sufficiently fireproof to comply with the a fireproof shield unless damage by fire Regulations? to any non-fireproof part will not cause proposed § 25.1183(c). Hence, the FAA The FAA acknowledges that this leakage or spillage of flammable fluid. considers that the proposed proposed requirement might be Components must be shielded or ‘‘component level’’ requirement is met considered redundant to other existing located to safeguard against the ignition inherently by meeting the current, more part 25 sections, including the of leaking flammable fluid. An integral general ‘‘zone level’’ requirements of following: oil sump of less than 25-quart capacity § 25.1181 and § 25.1191, and the 1. Section 25.1181 (‘‘Designated fire on a reciprocating engine need not be ‘‘installation level’’ requirements of zones; regions included’’): This section fireproof nor be enclosed by a fireproof § 25.901(c). For example, to comply identifies which areas of the powerplant shield. with either the proposed § 25.1183(c) or installation are considered ‘‘fire zones,’’ (b) Paragraph (a) of this section does the existing § 25.901(c), even when a including the engine power section, the not apply to— duct is completely contained within a (1) Lines, fittings, and components engine accessory section, the auxiliary fire zone, if the duct is not fireproof, any which are already approved as part of a power unit (APU) compartment, etc. It airflow that would result from type certificated engine; and also requires that each of these fire burnthrough of that duct must be (2) Vent and drain lines, and their zones meet the fire protection considered when establishing the fittings, whose failure will not result in, requirements of: ‘‘critical airflow conditions’’ for • or add to, a fire hazard.’’ Section 25.867 (pertaining to compliance with § 25.1195(b). The fire The current text of JAR–25.1183 is components of the nacelles); and detection, flammable fluid shutoff, and • identical to § 25.1183, but contains an Section 25.1185 through § 25.1203 fire extinguishing means for the affected additional paragraph 25.1183(c) that (pertaining to flammable fluids, fire zone are some of the ‘‘essential states: drainage/ventilation of fire zones, services or equipment’’ of particular ‘‘(c) All components, including ducts, means of fuel shutoff, fire extinguishing interest when showing compliance with within a designated fire zone must be systems and agents, fire detection the proposed § 25.1183(c).’’ fireproof if, when exposed to or systems, etc.). What Is the Effect of the Proposed damaged by fire, they could— 2. Section 25.1191 (‘‘Firewalls’’): This (1) Result in fire spreading to other section requires that each engine, APU, Standard Relative to Current Industry regions of the airplane; or fuel-burning heater, and other Practice? (2) Cause unintentional operation of, components and areas of the (turbine) The proposed amendment would or inability to operate, essential services engine be isolated from the rest of the neither add any new or different or equipment.’’ airplane by firewalls or other equivalent objective to the current regulations, nor

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Specifying the fire protection the rules can be expected, and the policies and procedures for requirement at all three levels—zone, relations between regulatory authorities simplification, analysis, and review of installation, and component—in the may be improved. regulations. If it is determined that the regulations will help to ensure that, by expected impact is so minimal that the looking at the same problem in Is Existing FAA Advisory Material proposed rule does not warrant a full numerous ways, an applicant will not Adequate? evaluation, a statement to that effect and overlook anything during design There currently is no formal advisory the basis for it is included in the development and certification. material specifically concerning proposed regulation. Accordingly, the § 25.1183. FAA Advisory Circular 20– FAA has determined that the expected What Other Options Have Been 135, ‘‘Powerplant Installation and impact of this proposed rule is so Considered and Why Were They Not Propulsion System Component Fire minimal that the proposed rule does not Selected? Protection Test Methods, Standards, and warrant a full evaluation. The FAA The only alternative to this proposed Criteria,’’ does reference § 25.1183 in provides the basis for this minimal action that the ARAC (Working Group) some of its guidance. At this time, impact determination below. considered was to delete JAR however, the FAA does not consider Currently, airplane manufacturers 25.1183(c). However, ARAC did not that further guidance material is needed. must satisfy both the 14 CFR and the recommend this for the following European JAR standards to certificate reasons: What Regulatory Analyses and transport category aircraft in both the First, as noted above, the current Assessments Has the FAA Conducted? United States and Europe. Meeting two § 25.1181 and § 25.1191 concern Regulatory Evaluation Summary sets of certification requirements raises requirements for protecting zones in the the cost of developing a new transport airplane against fire, while the current Proposed changes to Federal category airplane often with no increase § 25.901(c) concerns requirements for regulations must undergo several in safety. In the interest of fostering protecting the installation of each economic analyses. First, Executive international trade, lowering the cost of powerplant and auxiliary power unit Order 12866 directs that each Federal aircraft development, and making the against fire. On the other hand, the agency shall propose or adopt a certification process more efficient, the proposed § 25.1183(c) specifies regulation only upon a reasoned FAA, JAA, and aircraft manufacturers requirements for protecting components determination that the benefits of the have been working to create, to the on the airplane against fire. ARAC intended regulation justify its costs. maximum possible extent, a single set of recognized that compliance with the Second, the Regulatory Flexibility Act certification requirements accepted in proposed ‘‘component-level’’ of 1980 requires agencies to analyze the both the United States and Europe. requirement is met, in effect, by economic impact of regulatory changes These efforts are referred to as complying with the ‘‘zone-level’’ on small entities. Third, the Trade harmonization. This proposed rule requirements of § 25.1181 and § 25.1191 Agreements Act (19 U.S.C. section results from the FAA’s acceptance of an and the ‘‘installation-level’’ 2531–2533) prohibits agencies from ARAC harmonization working group’s requirements of § 25.901(c). However, setting standards that create recommendation. Members of the ARAC ARAC considered (and the FAA agrees) unnecessary obstacles to the foreign working group agreed that this proposed that specifying in 14 CFR the fire commerce of the United States. In rule would impose no additional cost to protection requirement at all three developing U.S. standards, this Trade U.S. manufacturers of part 25 aircraft. levels—component, zone, and Act also requires the consideration of Specifically, this proposal would add installation—will help to clarify (and international standards and, where JAR–25.1183 (c) to 14 CFR § 25.1183. As codify) the intent of the current appropriate, that they be the basis of discussed in the preamble, the FAA has regulations, and ensure that nothing gets U.S. standards. And fourth, the concluded that the only difference overlooked during design development. Unfunded Mandates Reform Act of 1995 between the current sections and the Second, adopting § 25.1183(c) would requires agencies to prepare a written proposed § 25.1183(c) is that the new have no significant additional impact on assessment of the costs, benefits and paragraph would address fire protection the cost of type certification, since it is other effects of proposed or final rules specifically at the ‘‘component level,’’ consistent with standard design that include a Federal mandate likely to whereas the existing requirements practices currently used to meet other result in the expenditure by State, local, address fire protection at the ‘‘zone part 25 regulations relevant to or tribal governments, in the aggregate, level’’ or the ‘‘installation level.’’ The powerplant installation fire protection. or by the private sector, of $100 million FAA believes that adopting this In other words, the requirements of or more annually (adjusted for proposal would neither reduce nor proposed § 25.1183(c) essentially are inflation). increase the requirements beyond those met already when an applicant properly In conducting these analyses, the FAA that exist in the current FAA published demonstrates compliance with has determined that this proposed rule regulations. § 25.1181, § 25.1191, § 25.901(c), and has benefits, but no costs, and that the As this proposal neither increases nor other part 25 [subpart E (‘‘Powerplant’’)] rule is not a ‘‘significant regulatory decreases certification requirements regulations. Adopting the proposal action’’ as defined in the Executive beyond those already in existence, the would neither reduce nor increase the Order nor ‘‘significant’’ as defined in FAA believes there would be no cost requirements beyond those that exist in DOT’s Regulatory Policies and associated with this proposal to part 25 the currently published regulations. Procedures. Further, this proposed rule manufacturers. The FAA has not Finally, adopting the proposal would would not have a significant economic attempted to quantify the benefits of this eliminate an identified Significant impact on a substantial number of small proposal beyond identifying the Regulatory Difference (SRD) between entities, would reduce barriers to expected harmonization benefit. The

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The part 25 airplane manufacturers include: What Other Assessments Has the FAA elimination of the SRD may provide for Boeing, Cessna Aircraft, Gulfstream Conducted? a more consistent interpretation of the Aerospace, Learjet (owned by rules and, thus, is an element of the Bombardier), Lockheed Martin, Executive Order 13132, Federalism potentially large cost savings of McDonnell Douglas (a wholly-owned The FAA has analyzed this proposed harmonization. subsidiary of The Boeing Company), rule under the principles and criteria of The FAA requests that current or Raytheon Aircraft, and Sabreliner Executive Order 13132, Federalism. The potential part 25 manufacturers who Corporation. FAA has determined that this action believe that the rule would result in a Given that this proposed rule is only would not have a substantial direct cost increase to provide the basis of minimally cost-relieving and that there effect on the States, on the relationship such information to the docket. are no small entity manufacturers of between the national Government and Initial Regulatory Flexibility part 25 airplanes, the FAA certifies that the States, or on the distribution of Determination this proposed rule will not have a power and responsibilities among the significant economic impact on a The Regulatory Flexibility Act of 1980 various levels of government. Therefore, substantial number of small entities. (RFA) of 1980, as amended, establishes the FAA has determined that this notice as a principle of regulatory issuance that International Trade Impact of proposed rulemaking would not have agencies shall endeavor, consistent with federalism implications. The Trade Agreement Act of 1979 the objective of the rule and of prohibits Federal agencies from Paperwork Reduction Act applicable statutes, to fit regulatory and engaging in any standards or related In accordance with the Paperwork informational requirements to the sale activities that create unnecessary Reduction Act of 1995 [44 U.S.C. of the business, organizations, and obstacles to the foreign commerce of the 3507(d)], the FAA has determined there governmental jurisdictions subject to United States. Legitimate domestic are no requirements for information regulation. To achieve that principle, objectives, such as safety, are not collection associated with this proposed the RFA requires agencies to solicit and considered unnecessary obstacles. The rule. consider flexible regulatory proposals statute also requires consideration of and to explain the rationale for their International Compatibility international standards and where actions. In keeping with U.S. obligations Agencies must perform a review to appropriate, that they be the basis for U.S. standards. In addition, consistent under the Convention on International determine whether a proposed or final Civil Aviation, it is FAA policy to rule will have a significant economic with the Administration’s belief in the general superiority and desirability of comply with International Civil impact on a substantial number of small Aviation Organization (ICAO) Standards entities. If the determination is that the free trade, it is the policy of the Administration to remove or diminish and Recommended Practices to the rule will, the agency must prepare a maximum extent practicable. The FAA regulatory flexibility analysis as to the extent feasible, barriers to international trade, including both determined that there are no ICAO described in the RFA. Standards and Recommended Practices However, if an agency determines that barriers affecting the export of American goods and services to foreign countries that correspond to these proposed a proposed or final rule is not expected regulations. to have a significant economic impact and barriers affecting the import of on a substantial number of small foreign goods and services into the Environmental Analysis United States. entities, section 605(b) of the RFA FAA Order 1050.1D defines FAA provides that the head of the agency In accordance with the above statute actions that may be categorically may so certify and a regulatory and policy, the FAA has assessed the excluded from preparation of a National flexibility analysis is not required. The potential effect of the proposed rule and Environmental Policy Act (NEPA) certification must include a statement has determined that it supports the environmental impact statement. In providing the factual basis for this Administration’s free trade policy accordance with FAA Order 1050.1D, determination, and the reasoning should because this rule would use European appendix 4, paragraph 4(j), this be clear. international standards as the basis for proposed rulemaking action qualifies for The FAA believes that this proposed U.S. standards. a categorical exclusion. rule would not have a significant Unfunded Mandates Reform Act economic impact on a substantial Energy Impact number of small entities for two Title II of the Unfunded Mandates The energy impact of the proposal has reasons: Reform Act of 1995 (the Act) (2 U.S.C. been assessed in accordance with the First, the net effect of the proposed 1532–1538), enacted as Public Law 104– Energy Policy and Conservation Act rule is minimum regulatory cost relief. 4 on March 22, 1995, requires each (EPCA) Public Law 94–163, as amended The proposed rule requires that new Federal agency, to the extent permitted (43 U.S.C. 6362), and FAA Order transport category aircraft by law, to prepare a written assessment 1053.1. It has been determined that the manufacturers meet just the ‘‘more of the effects of any Federal mandate in proposal is not a major regulatory action stringent’’ European certification a proposed or final agency rule that may under the provisions of the EPCA. requirement, rather than both the result in the expenditure by State, local, United States and European standards. and tribal governments, in the aggregate, Regulations Affecting Intrastate Airplane manufacturers already meet or or by the private sector, of $100 million Aviation in Alaska expect to meet this standard as well as or more (adjusted annually for inflation) Section 1205 of the FAA the existing FAR requirement. in any one year. This proposed rule Reauthorization Act of 1996 (110 Stat. Second, all United States transport- does not contain a Federal 3213) requires the Administrator, when aircraft category manufacturers exceed intergovernmental or private sector modifying regulations in Title 14 of the the Small Business Administration mandate that exceeds $100 million in CFR in a manner affecting intrastate

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Part V

Department of Energy Office of Energy Efficiency and Renewable Energy

10 CFR Part 474 Electric and Hybrid Vehicle Research, Development, and Demonstration Program; Petroleum-Equivalent Fuel Economy Calculation; Final Rule

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DEPARTMENT OF ENERGY Washington, DC 20585, (202) 586– supporting rationale. DOE solicited 8042. public comments on the proposed rule Office of Energy Efficiency and Legal Information: Mr. Eugene Margolis, and received comments from five Renewable Energy U.S. Department of Energy, Office of organizations representing a cross General Counsel, GC–72, Rm 6B–256, section of stakeholders. DOE considered 10 CFR Part 474 1000 Independence Avenue SW, these comments carefully before Washington, DC 20585, (202) 586– preparing today’s final rule. A summary [Docket No. EE±RM±99±PEF] 9526. of the comments and DOE’s responses RIN 1904±AA40 SUPPLEMENTARY INFORMATION: are provided in section III of this I. Background document. DOE believes that the final Electric and Hybrid Vehicle Research, II. Discussion rule presented today is responsive to Development, and Demonstration A. Requirements of the Motor Vehicle Congressional intent, addresses Program; Petroleum-Equivalent Fuel Information and Cost Savings Act, as stakeholder comments and concerns Economy Calculation amended with the proposed rule, is consistent B. PEF Development Process with the regulatory treatment of other AGENCY: Department of Energy. C. PEF Calculation Procedures types of alternative fuel vehicles, and is ACTION: Final rule. 1. General Form of the PEF Equation 2. Gasoline-Equivalent Energy Content of straightforward to understand and implement. SUMMARY: The Department of Energy Electricity Factor (DOE) is revising its regulations on 3. ‘‘Fuel Content’’ Factor Administrative responsibilities for the 4. Petroleum-Powered Accessory Factor corporate average fuel economy program electric vehicles to provide a petroleum- 5. Driving Pattern Factor equivalency factor (PEF) and procedures are assigned to the Department of 6. Use of the PEF Transportation and the Environmental for calculating the petroleum-equivalent 7. Sample Calculations fuel economy of electric vehicles. The III. Public Comments Received on the Notice Protection Agency under the Motor petroleum-equivalent fuel economy of Proposed Rulemaking and DOE’s Vehicle Information and Cost Savings values of an automobile manufacturer’s Responses Act (49 U.S.C., Subtitle VI, Part C). The electric vehicles may be included in the IV. Procedural Requirements Secretary of Transportation is responsible for prescribing the corporate calculation of that manufacturer’s I. Background corporate average fuel economy (CAFE), average fuel economy standard and according to regulations prescribed by In 1975, Congress mandated fuel enforcing the penalties for failure to the Environmental Protection Agency economy standards for automobiles meet these standards. The and the Department of Transportation. produced in or imported into the United Administrator of the Environmental States in an effort to conserve energy Protection Agency is responsible for EFFECTIVE DATE: This final rule is through improvements in the efficiency effective July 12, 2000. establishing test procedures, for testing of motor vehicles. The new law required the efficiency of vehicles subject to ADDRESSES: Written comments received that every manufacturer or importer of corporate average fuel economy in response to the notice of proposed automobiles in the United States meet a standards, and for calculating a rulemaking, a transcript of oral corporate average fuel economy manufacturer’s corporate average fuel comments presented at the public standard for the fleet of vehicles economy value. DOE is responsible for hearing on August 17, 1999, and produced or imported in any model developing and promulgating the supporting technical information year. Although certain classes of electric petroleum-equivalency factor, the key described in the notice of proposed vehicles qualify as ‘‘automobiles’’ under component in the calculation of rulemaking are filed at the DOE the law, they do not consume ‘‘fuel’’ as petroleum-equivalent fuel economy Freedom of Information Reading Room defined in the law. Therefore, inclusion values for electric vehicles. under docket number EE–RM–99–PEF. of electric vehicles in a manufacturer’s You may read and copy any of this corporate average fuel economy is II. Discussion docket material at: DOE Freedom of impossible without a method for A. Requirements of the Motor Vehicle Information Reading Room, Room 1E– expressing the electrical energy Information and Cost Savings Act, as 190, U.S. Department of Energy, 1000 consumption rate as an equivalent Amended Independence Avenue, SW, consumption rate of gasoline. Congress Washington, DC 20585, (202) 586–3142. directed the Secretary of Energy to Section 503(a)(3) of the Motor Vehicle Hours: 9 a.m.–4 p.m., Monday through establish a method for determining the Information and Cost Savings Act (49 Friday except Federal holidays. petroleum-equivalent fuel economy of U.S.C. 32904(a)(2)) requires DOE to Additional background materials are electric vehicles. determine the petroleum-equivalent fuel also available at the DOE Freedom of Congress anticipated that allowing economy values for electric vehicles, Information Reading Room. Copies of manufacturers to include the expected taking into account the following the hearing transcript and written high equivalent ‘‘fuel economy’’ of parameters: comments received regarding the electric vehicles in corporate average (i) The approximate electric energy withdrawn February 4, 1994, proposed fuel economy calculations would rule are filed under Docket No. EE–RM– efficiency of the vehicles considering provide an incentive for vehicle the vehicle type, mission, and weight; 94–101. Earlier materials related to the manufacturers to produce and sell calculation of the PEF are contained in electric vehicles. Congress anticipated (ii) The national average electricity Docket No. EE–RM–93–301. that the existence of such an incentive generation and transmission FOR FURTHER INFORMATION CONTACT: would help to accelerate the efficiencies; Technical Information: Mr. Rogelio commercialization of electric vehicles. (iii) The need of the Nation to Sullivan, U.S. Department of Energy, DOE published a notice of proposed conserve all forms of energy, and the Office of Transportation rulemaking (NOPR) on July 14, 1999 (64 relative scarcity and value to the Nation Technologies, EE–32, Rm 5G–046, FR 37905), describing a revised of all fuel used to generate electricity; 1000 Independence Avenue SW, petroleum-equivalency factor (PEF) and and

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(iv) The specific driving patterns of powerplants) off-board the vehicle. In Petroleum-powered acces- Accessory fac- electric vehicles as compared with those both cases, the burning of fuels to sories installed? tor (AF) value of petroleum-fueled vehicles. produce work is the least efficient step Section 503(a)(3) also provides for of the respective energy cycles. No ...... 1.00 Yes ...... 0.90 revision of such values if necessary. Therefore, the PEF includes a term for B. PEF Development Process expressing the relative energy efficiency DOE recognizes that there are many of the full energy cycles of gasoline and variables affecting the actual energy The development process of the PEF electricity. This term, the gasoline- and the rationale were presented in efficiency penalty of petroleum- equivalent energy content of electricity powered accessories, but believes that detail in the notice of proposed factor, abbreviated as Eg, is defined as: rulemaking, and are not repeated in full the ten percent penalty is a reasonable E = gasoline-equivalent energy content here. Section C provides a brief g representative value. DOE has prepared of electricity = (Tg * Tt * C) Tp a supporting technical analysis of the description of each of the terms in the magnitude of the actual energy PEF equation. Section III also provides where: efficiency penalty of petroleum- an abbreviated discussion of several of Tg = U.S. average fossil-fuel electricity powered accessories, and placed this the key issues underlying DOE’s generation efficiency = 0.328 analysis in the docket. Because this rationale. Tt = U.S. average electricity transmission efficiency = 0.924 approach penalizes electric vehicles C. PEF Calculation Procedures Tp = Petroleum refining and distribution equipped with petroleum-powered The PEF is based on the existing efficiency = 0.830 accessories, it provides an incentive for regulatory approach at 49 U.S.C. 32905 C = Watt-hours of energy per gallon of manufacturers to develop vehicles with for determining the petroleum- gasoline conversion factor = 33,705 electrically-powered accessories. equivalent fuel economy of alternative Wh/gal 5. Driving Pattern Factor fueled vehicles. The calculation Eg = (0.328 * 0.924 * 33705)/0.830 = Congress required that DOE consider procedure converts the measured 12,307 Wh/gal the potential that electric vehicles may electrical energy consumption of an The derivation of these values is be used differently than gasoline electric vehicle into a raw gasoline- straightforward but lengthy and is vehicles, primarily due to its shorter equivalent fuel economy value, and therefore not discussed in this notice. range and longer ‘‘refueling’’ times. then divides this value by 0.15 to arrive Details on the assumptions, However, to meet the definition of an at a final petroleum-equivalent fuel calculations, and data sources used to ‘‘automobile’’ at 40 CFR part 600 and be economy value which may then be derive these values are described in eligible for inclusion in the calculation included in the calculation of the materials contained in Docket No. EE– of a manufacturer’s corporate average manufacturer’s corporate average fuel RM–99–PEF, which may be reviewed at fuel economy, a vehicle must be economy. Two additional factors are the DOE Freedom of Information ‘‘manufactured primarily for use on present in the equation, but these will Reading Room, at the address and times public streets, roads, or highways.’’ usually have a value of unity and thus stated above. Thus, DOE believes that electric will not influence the value of the PEF. vehicles eligible for inclusion in CAFE The terms comprising the PEF and the 3. ‘‘Fuel Content’’ Factor will offer capabilities (perhaps procedure for applying the PEF are The fuel content factor has a value of excepting driving range) similar to those described in greater detail below. 1/0.15 and is included in the PEF for the of conventional vehicles. For these 1. General Form of the PEF Equation reasons described in the notice of reasons, DOE is setting the value of the proposed rulemaking and the responses The general form of the PEF equation Driving Pattern Factor (DPF) at unity to comments section of this notice. (1.00). is: Briefly, these reasons are: PEF = Eg * 1/0.15 * AF * DPF (i) Consistency with existing 6. Use of the PEF where: regulatory and statutory procedures; The value of the PEF is equal to the Eg = Gasoline-equivalent energy content (ii) Provision of similar treatment to product of the values of the gasoline- of electricity factor manufacturers of all types of alternative equivalent energy content of electricity 1/0.15 = ‘‘Fuel content’’ factor fuel vehicles; and (Eg), the fuel content factor of 1/0.15, the AF = Petroleum-fueled accessory factor (iii) Simplicity and ease of use. petroleum-fueled accessory factor (AF), DPF = Driving pattern factor The fuel content factor value of 1/0.15 and the driving pattern factor (DPF): The development of these factors is is equivalent to a multiple of 6.67. PEF = Eg * 1/0.15 * AF * DPF described below. substituting values, 4. Petroleum-Powered Accessory Factor PEF = (12,307 Wh/gal)*(1/0.15)*(1.00 or 2. Gasoline-Equivalent Energy Content A minority of electric vehicles, 0.90)*(1.00) of Electricity Factor primarily those that may be operated in or, When comparing gasoline vehicles colder climates, may be equipped with PEF = 82,049 Wh/gal (if no petroleum- with electric vehicles, it is essential to auxiliary petroleum-powered powered accessories are installed) consider the efficiency of the respective accessories, such as cabin heater/ PEF = 73,844 Wh/gal (if any petroleum- ‘‘upstream’’ processes in the two fuel defroster systems. DOE addresses the powered accessories are installed) cycles. A full description of the possible use of such petroleum-powered Dividing the PEF by the combined differences in the processes is beyond accessories in the PEF calculations by (city and highway) energy consumption the scope of this rulemaking, but the incorporating an Accessory Factor (AF). of an electric vehicle yields the critical difference is that a gasoline This factor reduces the PEF by ten petroleum-equivalent fuel economy of vehicle burns its fuel on-board the percent when an electric vehicle is that electric vehicle in miles per gallon: vehicle, and an electric vehicle burns its equipped with any petroleum-powered mpg = PEF (Wh/gal) ÷ combined fuel (the majority of electricity in the accessories. This results in two possible [electrical] energy consumption U.S. is generated at fossil fuel burning accessory factor values: (Wh/mile)

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7. Sample Calculations Response: DOE acknowledges the (in fact, ‘‘proved reserves’’ of all of these Sample calculations of the petroleum- general support for the revised approach energy resources tend to increase over equivalent fuel economy of hypothetical and consistent treatment of Alternative time as new resources are discovered electric vehicles are presented in the Fuel Vehicles. DOE values the opinions and better recovery techniques are Appendix of the rule. of these informed stakeholders. The developed). Since all of these fuels are suggested modifications are discussed abundant, the concept of ‘‘relative III. Public Comments Received on the below. scarcity’’ is difficult to quantify Notice of Proposed Rulemaking and Comment 2: Publishing a final rule objectively, and in DOE’s judgement, DOE’s Responses should be the top priority—don’t delay should not be an appropriate guiding The Department encouraged public publication of the final rule. factor in the rulemaking at this time. • The Alliance supports the proposal The commentors’ claim that participation in this rulemaking. DOE, as is and urges that it be finalized at the electricity is the only vehicle fuel that in the NOPR, urged individual vehicle earliest possible time. (AAM) can be produced from nuclear or manufacturers, fuel producers and • DOE should make the simple renewable sources is incorrect. For providers, trade associations, vehicle corrections suggested before publication example, both hydrogen and ethanol owners and operators, States or other of the final rule. (EVAA, Georgia Power, can be produced totally from nuclear governmental entities, and other Virginia Power) and/or renewable sources. affected or interested parties to submit • DOE should attempt to address the The 1/0.15 factor used in the equation written comments on the proposal and/ larger issues (such as explicitly is not intended to be a scarcity factor or to testify at a hearing held on August quantifying the relative scarcity of per se, but it does result in a very 17, 1999, in Washington, DC. fuels), but only if it will not delay the substantial adjustment to the raw You may review the written publication of a final rule. (EVAA, calculated energy efficiency of electric comments and the hearing transcript, as Georgia Power, Virginia Power) vehicles. It is included to reward well as other docket material in the DOE Response: DOE agrees that under electric vehicles’ benefits to the Nation Freedom of Information Reading Room present conditions, timely publication relative to petroleum-fueled vehicles, in at the address shown at the beginning of of a final rule is a higher priority than a manner consistent with the regulatory this rulemaking. The materials are filed technical hair splitting. DOE will still treatment of other types of alternative under docket number EE–RM–99–PEF. make several adjustments to the final fueled vehicles and the authorizing DOE received written comments on rule, as described below. legislation. the proposed rule from five Comment 3: Publish the final rule Comment 5: Georgia Power and organizations: rapidly; fine-tune it later. DOE should Virginia Power support the use of the 1/ 1. Alliance of Automobile establish a schedule in the final rule for 0.15 factor in simplifying the Manufacturers (AAM—representing addressing items that could not be calculation, but DOE should provide a BMW, DaimlerChrysler, Fiat, Ford, quickly resolved at this time. (Georgia technical basis for its application to General Motors, Isuzu, Mazda, Nissan, Power, Virginia Power) EVs, or else modify the factor Toyota, Volkswagen, and Volvo); Response: The NOPR explicitly states accordingly. (Georgia Power, Virginia 2. California Air Resources Board (§ 474.5) that DOE will perform a review Power) (CARB); five years after publication of the final Response: DOE agrees that the 3. Electric Vehicle Association of the rule to determine whether any updates replacement of the previously proposed Americas (EVAA); and/or revisions are necessary. DOE ‘‘scarcity factor’’ with the 1/0.15 factor 4. Georgia Power; and anticipates that better data on many does make the calculation considerably 5. Virginia Power aspects of EV use will be available by simpler, but this was not the only EVAA also testified at the public that time. reason DOE replaced the scarcity factor hearing. The common thread through Comment 4: Incorporate a scarcity with the 1/0.15 factor approach. most of the comments was the strong factor in the equation as required by In the NOPR, DOE describes its desire to have the final rule in place as law. DOE’s own analysis shows scarcity assessment of the technical basis for the soon as possible. Commentors also and energy security advantages for application of a factor of 1/0.15 to the suggested that DOE only consider electricity and that fuels used to measured fuel economy of liquid- changes to the proposed rule if such produce electricity are abundant, and alternative fueled vehicles (e.g., M85 changes would not delay issuance of the that reserves of nuclear and renewables fueled vehicles) under existing law (64 final rule. are essentially unlimited. By not F.R. 37907). The NOPR also observes Following are summaries of the including a scarcity factor, DOE is not that the law applies the same 1/0.15 comments received and DOE’s being responsive to this requirement of factor to gaseous-alternative fueled responses. In most cases, similar the Act and is failing to credit electricity vehicles, even though there is not an comments have been grouped together for use of these abundant resources. obvious technical basis for doing so. and given a single response. Additional (EVAA, Georgia Power, Virginia Power) DOE determined that the most supporting analyses may be found in the Response: The final rule is based on equitable and viable approach would be docket. the relevant factors in Section 503 (a)(3) to apply the same 1/0.15 factor to Comment 1: EVAA, Georgia Power, of the Motor Vehicle Information and electric vehicles in order to maintain and Virginia Power generally support Cost Saving Act, including the relevant consistency with the existing regulatory DOE’s revised approach. The PEF value scarcity of fuel used to generate treatment of other types of alternative of 81,407 Wh/gal [in the proposed rule] electricity. As described in the NOPR, fueled vehicles. is acceptable, with the modifications DOE performed a careful and thorough All alternative fuels offer the intrinsic described in the provided comments. analysis of the present and projected benefit of being substitutes for EVAA specifically believes that the availability of energy resources. This petroleum, on which nearly 100 percent proposed PEF aligns EVs with other analysis showed that fuels (raw of the Nation’s transportation depends. alternative fuel vehicles for fuel resources) used to produce electricity In other words, any alternative fuel economy purposes. (EVAA, Georgia are abundant, as are the raw resources helps the Nation avoid having all of its Power, Virginia Power) used to produce gasoline and diesel fuel transportation ‘‘eggs’’ in the petroleum

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‘‘basket.’’ Each mile driven in an abundance. There are two reasons why the larger amount of relatively less- alternative fuel vehicle offsets DOE chose to use conversion efficient nuclear power generation. approximately one mile driven in a efficiencies for electricity that reflect the Thus, the two trends tend to cancel each petroleum-fueled vehicle. typical efficiencies of fossil fuel-fired other and the efficiency of fossil Comment 6: Assigning one fuel powerplants. First, existing nuclear and generation would continue to dominate. content factor (1/0.15) to all alternative hydroelectric plants are now operated at Therefore, DOE has continued to use fuel vehicles is inappropriate since ‘‘the essentially full capacity. Since no the value of Eg = 0.328 in light of: (1) fuel efficiency benefits of electric significant additions to U.S. nuclear or the commentors’ clear desire to place a vehicles far exceed those of other hydro-electric capacity are planned, any higher priority on timely publication of alternative fuel vehicles.’’ DOE should increase in electricity demand that a final rule, than on performing use a fuel content factor that more results from expanded production and additional technical analyses; and (2) accurately represents electric vehicle use of electric vehicles is very likely to since the fossil generation component benefits in comparison to other be met by fossil fuel-fired powerplants. will dominate the marginal electrical alternative fuels. (CARB) Second, although the fuel supply for generation efficiency for many years. Response: The efficiency of EVs varies nuclear, hydro, and renewable Comment 8: The U.S. Average widely as a function of motor and generated electricity is plentiful, the Electricity Transmission and drivetrain efficiency, driving cycle, and process for converting the raw fuel or Distribution Efficiency factor Tt places a the round-trip efficiency of the battery. physical energy to electricity is, in most unique and unfair additional penalty on The energy source which offers the cases, less efficient than fossil fuel electric vehicles since fuel distribution greatest benefits depends on many plants. Further, no energy conversion efficiency is not included in the mileage factors, and the energy source that offers process is 100 percent efficient. calculations for any other vehicle energy the greatest benefit to one set of users Since several comments were source. DOE should assign a value of may not be the most beneficial for a provided on this issue, DOE took a unity to the Tt factor. (Georgia Power, different set of users or the general closer look at the relative efficiency of Virginia Power) public. These benefits may vary by nuclear vs. fossil fuel generation. Response: As the commentors note, geography, fuel and generating method. Nuclear power plants generate steam at the Tt factor is required by the As noted in the NOPR, DOE invested lower temperatures than fossil power authorizing legislation. DOE is aware of considerable time and effort in plants, reducing their relative the potential for such a factor to unfairly attempting to develop a method that thermodynamic efficiency. Typically, penalize EVs; this is the reason why could rigorously account for the nuclear plants generate steam at a DOE added the U.S. Petroleum Refining advantages to the Nation offered by maximum cycle temperature of about and Distribution factor Tp (= 0.830) in electric vehicles compared to 575 Kelvin (∼575 °F), while fossil plants the denominator of the Eg factor conventional vehicles, but was unable generate steam at temperatures of about equation to offset the Tt (= 0.924) factor to identify a method that was 825 Kelvin (∼1025 °F). Thus, assuming in the numerator. sufficiently objective, robust, and both cycles reject heat to the Note that Tp includes refining as well consistent with established policy surroundings at 294 Kelvin (70 °F), their as distribution in order to include most directions. respective theoretical limiting Carnot of the corresponding steps in the energy Thus, DOE stands by its proposal to efficiencies (1—(TL/TH)) is 49 percent chain—just as the equation attempts to provide electric vehicles the same for nuclear and 64 percent fossil. The Eg do with the electric energy chain. Note reported-fuel-efficiency incentive (the 1/ factor uses the actual average fossil fuel- that raw resource extraction (mining, 0.15 factor) that other alternative fuel to-electricity conversion efficiency, drilling, etc.) is not counted. Data that vehicles currently enjoy. which is 32.8 percent. Scaling the can be used to measure the ‘‘efficiency’’ Although electric vehicles and other nuclear Carnot efficiency by the same of these processes is difficult to obtain, alternative fuel vehicles will have its ratio suggests that nuclear plants and varies widely depending on the energy-equivalent fuel economy achieve conversion efficiencies on the characteristics of the individual site. adjusted by the same incentive factor, order of 25 percent. While this is a very DOE believes that the relative difference electric vehicles will still enjoy crude analysis, it is likely that a more in ‘‘efficiency’’ of resource extraction favorable regulatory treatment under rigorous analysis would yield (i.e., energy expended in recovery DOE’s proposal. This is because EVs are qualitatively similar results. relative to the energy content of the specifically exempt from caps on the Therefore, including the nuclear resource recovered) between individual amount that alternative fuel vehicles are component in the calculation of the Eg sites of one type (e.g., coal mines) is allowed to contribute to raising a factor would likely cause the factor to probably greater than the difference in manufacturer’s overall CAFE (49 U.S.C. change downward, not upward as the average efficiency of different 32906(a)). suggested by the commentors. extraction processes (e.g., mining vs. Comment 7: The U.S. Average Data on the ‘‘efficiency’’ of pumping). Electricity Generation factor (Tg = 0.328) hydroelectric generation are somewhat Together, the ratio of the factor’s Tt / is based only on fossil fuel generation, difficult to obtain, though hydroelectric Tp (= 1.113) increases the assigned and does not account for the efficiencies generation efficiency may be higher petroleum-equivalent fuel economy of of nuclear or renewable energy than typical fossil fuel-fired EVs. Therefore, the Tt factor is not an generation. Counting the efficiency of powerplants. This is because ‘‘unfair penalty’’ on EVs, but is in fact these sources relative to fossil fuel hydroelectric power generation is based a benefit for EVs. generation as 100 percent, the Eg factor on principles of momentum and/or Comment 9: The energy content of a should be equal to about 0.53. (EVAA pressure transfer and not combustion gasoline factor, C = 33,440 Wh/gal, is says 0.40 to 0.53 depending on and heat transfer. Without suitable data, inconsistent with the ‘‘accepted actual treatment of the nuclear component). and without taking a significant amount value’’ [‘‘physical constant’’ in EVAA’s (EVAA, Georgia Power, Virginia Power) of additional time for detailed analysis, oral comments] used by other DOE Response: DOE reminds the DOE notes that the relatively small programs. DOE should use the value of commentors that the Eg factor represents amount of relatively high-efficiency 33,705 Wh/gal (115,000 Btu/gal ÷ 3.412 relative efficiency, not resource hydroelectric generation tends to offset Btu/Wh) that is reported by the

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Alternative Fuels Data Center. (EVAA, obtainable with the fixed accessory highway weighting factors in the sample Georgia Power, Virginia Power) factor. calculations because these are the Response: DOE disagrees that a single DOE expects that very few electric factors used by EPA for conventional ‘‘actual’’ value for the energy content of vehicles will be equipped with vehicles. The paragraph in the NOPR gasoline exists. Gasoline is a varying petroleum-powered accessories, as such that describes the ‘‘city’’ and ‘‘highway’’ blend of hundreds of components, and accessories contradict many of the test procedures and the 55/45 percent thus the energy content of individual motivations and attractions that lead apportioning of energy consumption batches of gasoline varies by several customers to purchase electric vehicles. values is intended only as an example percentage points from grade-to-grade Comment 11: DOE should encourage of how to apply the PEF to determine and from brand-to-brand. The energy the Environmental Protection Agency the petroleum-equivalent fuel economy content also varies regionally, (EPA) to rely on the test procedures of an electric vehicle. The 55/45 percent seasonally, and over the long-term in established by CARB for the testing and weightings could change if EPA’s CAFE response to changes in available certification of EVs (these procedures calculation procedures are changed in feedstock, regulatory requirements, and are based on SAE J1634). The CARB the future. economic pressures. procedures are consistent with current DOE also notes that the preceding DOE agrees, however, that a industry practice. (AAM, EVAA) arguments provide a compelling consistent ‘‘average’’ value should be Response: As the comments suggest, justification for setting the value of the used across government programs. Since EPA rather than DOE is responsible for Driving Pattern Factor in the PEF to the PEF is attempting to compare the selecting and implementing the EV test unity (1.00). energy efficiency of electric vehicles to procedures. DOE suggests that EVAA Comment 13: Review how changes in the fuel economy of conventional and AAM offer their recommendations EV driving range and infrastructure vehicles as measured by the EPA, the on test procedures directly to EPA. availability might affect driving patterns energy content of gasoline value used in Comment 12: The 55 percent urban of EVs in the future. (CARB) the PEF should match the energy and 45 percent highway weighting Response: As noted in the preceding content of the gasoline used by EPA in factors proposed do not represent the response, electric vehicles eligible for testing the fuel economy of gasoline way that electric vehicles are used, inclusion in a manufacturer’s CAFE vehicles. particularly, those EVs that are designed calculation must be competitive with However, EPA has not provided a for non-highway and/or neighborhood conventional vehicles. This strongly value for the energy content of its use. (CARB) suggests that the Driving Pattern Factor testing gasolines. Therefore, DOE will Response: There are actually two should be equal to unity. use the value of 33,705 Wh/gal, issues raised by this comment. The first DOE intends to monitor developments obtained by dividing the 115,000 Btu/ is that the weightings do not reflect the related to EVs and their use closely. gal value reported by the Alternative usage patterns of at least a portion of Consideration of modifications to the Fuel Data Center, by the (rounded) EVs. The second issue, which is not Driving Pattern Factor and/or the PEF, conversion factor of 3.412 Btu/Wh. stated but is implied, is that DOE should in general, will be made at the 5-year Comment 10: Develop a technical adjust the factors to accommodate review specified in the § 474.5. basis for the accessory factors used limited performance EVs. IV. Procedural Requirements when the vehicle has petroleum-fueled DOE agrees that there are some EVs accessories installed. (CARB, Georgia that perform differently and will be A. Environmental Protection Agency Power, Virginia Power) used differently from conventional Review Response: On the basis of the automobiles. DOE also anticipates that a Pursuant to section 7(a) of the Federal comments received and DOE’s limited number of customers with Energy Administration Act of 1974 (15 additional analysis of the impact of suitable ‘‘mission requirements’’ will U.S.C. 766(a)), DOE submitted a copy of petroleum-fueled accessories, DOE has purchase and operate limited this rulemaking to the Administrator of decided to replace the two accessory performance EVs as replacements for the Environmental Protection Agency factors with a single accessory factor conventional automobiles. However, for the Administrator’s concurrence. that would be applied if an electric DOE notes that to be included in CAFE The Administrator has concurred. vehicle includes any petroleum- calculations, a vehicle must meet the powered accessories. The value of this definition of an automobile at 40 CFR B. National Environmental Policy Act single accessory factor will be 0.9, i.e., part 600, which states that such a Review a 10 percent penalty. vehicle must be ‘‘manufactured This rulemaking has been reviewed in A technical analysis of the magnitude primarily for use on public streets, accordance with the requirements of the of this penalty is now included in the roads, or highways.’’ Limited DOE National Environmental Policy Act docket. DOE notes that many variables performance EVs (such as neighborhood (NEPA) of 1969 (42 U.S.C. 4321 et seq.), affect the actual energy efficiency electric vehicles) that cannot keep up and the DOE regulations in 10 CFR part impact of petroleum-powered with highway traffic clearly do not meet 1021. This rulemaking amends 10 CFR accessories on EVs, including accessory this requirement and are categorically part 474 so that electric vehicles receive sizing (e.g., heater capacity) and the ineligible for inclusion in CAFE unless similar treatment to what Congress has efficiency of both the vehicle and the 40 CFR part 600 is appropriately required for other alternative fuel accessory. To be truly accurate, it would amended. vehicles under 49 U.S.C. 32905. The be necessary to measure the actual DOE believes that Congress intended Department has determined that this consumption of the accessories installed the PEF to be an incentive for rule is covered by Categorical Exclusion in each vehicle and project this manufacturers to produce roadworthy in paragraph A5 to subpart D, 10 CFR consumption over a suitable duty cycle electric vehicles that provide an part 1021 (rulemaking, interpreting or for the vehicle. This process would add alternative to conventional petroleum- amending an existing regulation, no significant complexity, would place a powered automobiles. change in environmental effect). substantial burden on automobile As for the weightings themselves, Accordingly, neither an environmental manufacturers and the EPA, and would EPA defines these weightings. DOE used assessment nor an environmental provide few policy benefits not the 55 percent urban and 45 percent impact statement is required.

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C. Regulatory Review new regulations, section 3(a) of I. Review Under the Treasury and Today’s final rule has been Executive Order 12988, ‘‘Civil Justice General Government Appropriations determined not to be a ‘‘significant Reform,’’ 61 FR 4729 (February 7, 1996), Act, 1999 regulatory action,’’ as defined in section imposes on executive agencies the Section 654 of the Treasury and 3(f) of Executive Order 12866, general duty to adhere to the following General Government Appropriations ‘‘Regulatory Planning and Review.’’ 58 requirements: (1) eliminate drafting Act, 1999 (Pub. L. 105–277) requires FR 51735 (October 4, 1993). errors and ambiguity; (2) write Federal agencies to issue a Family Accordingly, this action was not subject regulations to minimize litigation; and Policymaking Assessment for any to review under the Executive Order by (3) provide a clear legal standard for proposed rule or policy that may affect the Office of Information and Regulatory affected conduct rather than a general family well-being. Today’s final rule Affairs in the Office of Management and standard and promote simplification would not have any impact on the Budget. and burden reduction. With regard to autonomy or integrity of the family as the review required by section 3(a), an institution. Accordingly, DOE has D. Regulatory Flexibility Act section 3(b) of Executive Order 12988 concluded that it is not necessary to The Regulatory Flexibility Act (5 specifically requires that executive prepare a Family Policymaking U.S.C. 601–612) requires that an agency agencies make every reasonable effort to Assessment. prepare an initial regulatory flexibility ensure that the regulation: (1) clearly J. Congressional Notification analysis to be published at the time the specifies the preemptive effect, if any; final rule is published. This requirement (2) clearly specifies any effect on Consistent with the Small Business (which appears in section 603) does not existing Federal law or regulation; (3) Regulatory Enforcement Fairness Act of apply if the agency certifies that the rule provides a clear legal standard for 1996, DOE will submit to Congress a will not, if promulgated, have a report regarding the issuance of today’s affected conduct, while promoting ‘‘significant economic impact on a final rule prior to the effective date set simplification and burden reduction; (4) substantial number of small entities.’’ forth at the outset of this notice. The specifies the retroactive effect, if any; (5) DOE certifies that this action will not report will note the Office of have a significant economic impact on adequately defines key terms; and (6) Management and Budget’s a substantial number of small entities. It addresses other important issues determination that this rule does not is directed at vehicle manufacturers that affecting a clarity and general constitute a ‘‘major rule’’ under that Act will be concerned with a mix of draftsmanship under any guidelines 5 U.S.C. 801, 804. petroleum and electric fueled vehicles issued by the Attorney General. Section in their annual production. None of 3(c) of Executive Order 12988 requires K. Review under the Paperwork Reduction Act these manufacturers is a small entity. executive agencies to review regulations in light of applicable standards in DOE has determined that this rule E. Federalism Review section 3(a) and section 3(b) to does not contain any new or amended Executive Order 13132 (64 FR 43255, determine whether they are met or it is record keeping, reporting, or other type August 4, 1999) requires that regulations unreasonable to meet one or more of of collection of information subject to or rules be reviewed for any substantial them. DOE has completed the required clearance by the Office of Management direct effects on States, on the review and determined that, to the and Budget under the Paperwork relationship between the national extent permitted by law, this final rule Reduction Act (44 U.S.C. 3501 et seq.). government and the States, or on the meets the relevant standards of List of Subjects in 10 CFR Part 474 distribution of power and Executive Order 12988. responsibilities among various levels of Corporate average fuel economy, government. If there are sufficient H. Review Under the Unfunded Electric (motor) vehicle, Electric power, substantial direct effects, then Executive Mandates Reform Act of 1995 Energy conservation, Fuel Economy, Motor vehicles, Research. Order 13132 requires agencies to engage Title II of the Unfunded Mandates in intergovernmental consultation and Reform Act of 1995 (Pub. L. 104–4) Issued in Washington, DC, on May 25, take other steps before promulgating requires each Federal agency to prepare 2000. such a regulation or rule. This action a written assessment of the effects of Dan W. Reicher, and 10 CFR part 474 serve only to any Federal mandate in a proposed or Assistant Secretary, Energy Efficiency and provide a method of interpreting 40 CFR final agency rule that may result in the Renewable Energy. part 600 (Fuel Economy of Motor expenditure by State, local, and tribal For the reasons set forth in the Vehicles) for electric vehicles. The governments, in the aggregate, or by the preamble, DOE revises Part 474 of action does not involve any substantial private sector, of $100 million in any Chapter II of Title 10 of the Code of direct effects on States or other one year. The Act also requires a Federal Regulations as set forth below: considerations stated in Executive Order Federal agency to develop an effective 13132. PART 474ÐELECTRIC AND HYBRID process to permit timely input by VEHICLE RESEARCH, DEVELOPMENT, F. ‘‘Takings’’ Assessment Review elected officers of State, local, and tribal AND DEMONSTRATION PROGRAM; It has been determined that pursuant governments on a proposed ‘‘significant PETROLEUM-EQUIVALENT FUEL to Executive Order 12630 (52 FR 8859, intergovernmental mandate,’’ and ECONOMY CALCULATION March 18, 1988) this final rule would requires an agency plan for giving notice not result in any takings which might and opportunity to timely input to Sec. require compensation under the Fifth potentially affected small governments 474.1 Purpose and scope. 474.2 Definitions. Amendment to the United States before establishing any requirements that might significantly or uniquely 474.3 Petroleum-equivalent fuel economy Constitution. calculation. affect small governments. The final rule G. Review Under Executive Order 12988 474.4 Test procedures. published today does not contain any 474.5 Review and update. With respect to the review of existing Federal mandate, so these requirements Appendix to Part 474—Sample Petroleum- regulations and the promulgation of do not apply. Equivalent Fuel Economy Calculations

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Authority: 49 U.S.C. 32901 et seq. (1) Uses gasoline or diesel fuel as its Urban Dynamometer Driving Schedule primary energy source; and test cycles at 40 CFR parts 86 and 600. § 474.1 Purpose and Scope. (2) Meets the requirements for fuel, (b) The ‘‘Special Test Procedures’’ This part contains procedures for operation, and emissions in 40 CFR part calculating a value for the petroleum- provisions of 40 CFR 86.090–27 may be 88.104–94(g). used to accommodate any special test equivalent fuel economy of electric Urban Dynamometer Driving vehicles, as required by 49 U.S.C. procedures required for testing the Schedule energy consumption value energy consumption of electric vehicles. 32904(a)(2). The petroleum-equivalent means the average number of Watt- fuel economy value is intended to be hours of electrical energy required for § 474.5 Review and Update used by the Environmental Protection an electric vehicle to travel one mile of The Department will review Part 474 Agency in calculating corporate average the Urban Dynamometer Driving fuel economy values pursuant to five years after the date of publication Schedule, as determined by the as a final rule to determine whether any regulations at 40 CFR Part 600—Fuel Environmental Protection Agency. Economy of Motor Vehicles. updates and/or revisions are necessary. § 474.3 Petroleum-equivalent fuel DOE will publish a notice in the Federal § 474.2 Definitions. economy calculation. Register soliciting stakeholder input in this review. The Department will For the purposes of this part, the term: (a) The petroleum-equivalent fuel Combined energy consumption value publish the findings of the review and economy for an electric vehicle is means the weighted average of the any resulting adjustments to Part 474 in calculated as follows: Urban Dynamometer Driving Schedule the Federal Register. (1) Determine the electric vehicle’s and the Highway Fuel Economy Driving Urban Dynamometer Driving Schedule Appendix to Part 474—Sample Schedule energy consumption values energy consumption value and the Petroleum-Equivalent Fuel Economy (weighted 55/45 percent, respectively), Highway Fuel Economy Driving Calculations as determined by the Environmental Schedule energy consumption value in Protection Agency in accordance with Example 1: An electric vehicle is tested in units of Watt-hours per mile; 40 CFR parts 86 and 600. accordance with Environmental Protection Electric vehicle means a vehicle that (2) Determine the combined energy Agency procedures and is found to have an is powered by an electric motor drawing consumption value by averaging the Urban Dynamometer Driving Schedule energy consumption value of 265 Watt-hours current from rechargeable storage Urban Dynamometer Driving Schedule energy consumption value and the per mile and a Highway Fuel Economy batteries or other portable electrical Driving Schedule energy consumption value energy storage devices, provided that: Highway Fuel Economy Driving Schedule energy consumption value of 220 Watt-hours per mile. The vehicle is (1) Recharge energy must be drawn not equipped with any petroleum-powered from a source off the vehicle, such as using a weighting of 55 percent urban/ accessories. The combined electrical energy residential electric service; and 45 percent highway; and consumption value is determined by (2) The vehicle must comply with all (3) Calculate the petroleum-equivalent averaging the Urban Dynamometer Driving provisions of the Zero Emission Vehicle fuel economy by dividing the Schedule energy consumption value and the definition found in 40 CFR 88.104– appropriate petroleum-equivalency Highway Fuel Economy Driving Schedule 94(g). factor (depending on whether any energy consumption value using weighting Highway Fuel Economy Driving petroleum-powered accessories are factors of 55 percent urban, and 45 percent highway: Schedule energy consumption value installed; see paragraph (b) of this means the average number of watt-hours section) by the combined energy combined electrical energy consumption consumption value, and round to the value = (0.55 * urban) + (0.45 * highway) of electrical energy required for an = (0.55 * 265) + (0.45 * 220) = 244.75 electric vehicle to travel one mile of the nearest 0.01 miles per gallon. Wh/mile (b) The petroleum-equivalency factors Highway Fuel Economy Driving Since the vehicle does not have any Schedule, as determined by the for electric vehicles are as follows: petroleum-powered accessories installed, the Environmental Protection Agency. (1) If the electric vehicle does not value of the petroleum equivalency factor is Petroleum equivalency factor means have any petroleum-powered 82,049 Watt-hours per gallon, and the the value specified in § 474.3(b) of this accessories installed, the value of the petroleum-equivalent fuel economy is: part, which incorporates the parameters petroleum equivalency factor is 82,049 (82,049 Wh/gal) (244.75 Wh/mile) = 335.24 listed in 49 U.S.C. 32904(a)(2)(B) and is Watt-hours per gallon. mpg used to calculate petroleum-equivalent (2) If the electric vehicle has any Example 2: The vehicle from Example 1 is fuel economy. petroleum-powered accessories equipped with an optional diesel-fired cabin Petroleum-equivalent fuel economy installed, the value of the petroleum- heater/defroster. For the purposes of this means the value, expressed in miles per equivalency factor is 73,844 Watt-hours example, it is assumed that the electrical gallon, that is calculated for an electric per gallon. efficiency of the vehicle is unaffected. vehicle in accordance with § 474.3(a) of Since the vehicle has a petroleum-powered § 474.4 Test procedures. accessory installed, the value of the this part, and reported to the petroleum equivalency factor is 73,844 Watt- Administrator of the Environmental (a) The electric vehicle energy hours per gallon, and the petroleum- Protection Agency for use in consumption values used in the equivalent fuel economy is: determining the vehicle manufacturer’s calculation of petroleum-equivalent fuel (73,844 Wh/gal) (244.75 Wh/mile) = 301.71 corporate average fuel economy. economy under § 474.3 of this part will mpg Petroleum-powered accessory means a be determined by the Environmental vehicle accessory (e.g., a cabin heater, Protection Agency using the Highway [FR Doc. 00–14446 Filed 6–9–00; 8:45 am] defroster, and/or air conditioner) that: Fuel Economy Driving Schedule and BILLING CODE 6450±01±P

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Part VI

Environmental Protection Agency Federal Agency Hazardous Waste Compliance Docket; Notice

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ENVIRONMENTAL PROTECTION DATES: This list is current as of mechanism to make the information AGENCY December 1, 1999. available to the public. FOR FURTHER INFORMATION CONTACT: The initial list of Federal facilities to [FRL±6713±9] Electronic versions of the docket may be be included on the docket was obtained at http://www.epa.gov/oeca/ published on February 12, 1988 (53 FR Federal Agency Hazardous Waste fedfac/oversight/oversight.html. 4280). Updates of the docket have been Compliance Docket SUPPLEMENTARY INFORMATION: published on November 16, 1988 (54 FR AGENCY: Environmental Protection 46364); December 15, 1989 (54 FR Table of Contents Agency. 51472); August 22, 1990 (55 FR 34492); 1.0 Introduction September 27, 1991 (56 FR 49328); ACTION: Notice of twelfth update of the 2.0 Revisions of the Previous Docket December 12, 1991 (56 FR 64898); July Federal Agency Hazardous Waste 3.0 Process for Compiling the Updated 17, 1992 (57 FR 31758); February 5, Compliance Docket, pursuant to Docket 1993 (58 FR 7298); November 10, 1993 CERCLA section 120(c). 4.0 Facilities Not Included 5.0 Information Contained on Docket (58 FR 59790); April 11, 1995 (60 FR SUMMARY: Section 120(c) of the Listing 18474); June 27, 1997 (62 FR 34779); Comprehensive Environmental and November 23, 1998 (63 FR 64806). Response, Compensation, and Liability 1.0 Introduction This notice constitutes the twelfth Act of 1980 (CERCLA), as amended by Section 120(c) of the Comprehensive update of the docket. the Superfund Amendments and Environmental Response, Today’s notice is divided into three Reauthorization Act of 1986 (SARA), Compensation, and Liability Act of 1980 sections: (1) Additions, (2) deletions, requires the Environmental Protection (CERCLA), 42 United States Code and (3) corrections. The additions Agency (EPA) to establish a Federal (U.S.C.) 9620(c), as amended by the section lists newly identified facilities Agency Hazardous Waste Compliance Superfund Amendments and that have been reported to EPA since the Docket. The docket is to contain certain Reauthorization Act of 1986 (SARA), last update and that now are being information about Federal facilities that required the establishment of the included on the docket. The deletions manage hazardous waste or from which Federal Agency Hazardous Waste section lists facilities that EPA is hazardous substances have been or may Compliance Docket. The docket deleting from the docket. The be released. (As defined by CERCLA contains information on Federal corrections section lists changes in section 101(22), a release is any spilling, facilities that is submitted by Federal information about facilities already leaking, pumping, pouring, emitting, agencies to the U.S. Environmental listed on the docket. emptying, discharging, injecting, Protection Agency (EPA) under sections The information submitted to EPA on escaping, leaching, dumping, or 3005, 3010, and 3016 of the Resource each Federal facility is maintained in disposing into the environment.) Conservation and Recovery Act (RCRA), the docket repository located in the EPA CERCLA requires that the docket be 42 U.S.C. 6925, 6930, and 6937, and Regional office of the Region in which updated every six months, as new under section 103 of CERCLA, 42 U.S.C. the facility is located (see 53 FR 4280 facilities are reported to EPA by Federal 9603. Specifically, RCRA section 3005 (February 12, 1988) for a description of agencies. The following list identifies establishes a permitting system for the information required under those the Federal facilities to be included in certain hazardous waste treatment, provisions). Each repository contains this twelfth update of the docket and storage, and disposal (TSD) facilities; the documents submitted to EPA under includes facilities not previously listed RCRA section 3010 requires waste the reporting provisions and on the docket and reported to EPA since generators and transporters and TSD correspondence relevant to the reporting the last update of the docket, 63 FR facilities to notify EPA of their provisions for each facility. Contact the 64806, November 23, 1998, which was hazardous waste activities; and RCRA following docket coordinators for current as of February 1, 1998. SARA, section 3016 requires Federal agencies information on Regional docket as amended by the Defense to submit biennially to EPA an repositories: Authorization Act of 1997, specifies inventory of hazardous waste sites that Gerado Millan-Ramos (HBS),US EPA that, for each Federal facility that is the Federal agencies own or operate. Region 1,#1 Congress St., Suite included on the docket during an CERCLA section 103(a) requires that the 1100,Boston, MA 02114–2023,(617) update, evaluation shall be completed National Response Center (NRC) be 918–1377 in accordance with a reasonable notified of a release. CERCLA section Helen Shannon (ERRD),US EPA Region schedule. Such site evaluation activities 103(c) requires reporting to EPA the 2,290 Broadway, 18th Floor,New will help determine whether the facility existence of a facility at which York, NY 10007–1866,(212) 637–4260 should be included on the National hazardous substances are or have been Alida Karas (ERRD),US EPA Region Priorities List (NPL) and will provide stored, treated, or disposed of and the 2,290 Broadway,New York, NY EPA and the public with valuable existence of known or suspected 10007–1866,(212) 637–4276 information about the facility. In releases of hazardous substances at such Todd Richardson (3HS50),US EPA addition to the list of additions to the facilities. Region 3,841 Chestnut docket, this notice includes a section The docket serves three major Bg.,Philadelphia, PA 19107,(215) that comprises revisions (that is, purposes: (1) To identify all Federal 814–5264 corrections and deletions) of the facilities that must be evaluated to Ann Cole (4WD–FFB),US EPA Region previous docket list. This update determine whether they pose a risk to 4,61 Forsyth St., SW,Atlanta, GA contains 39 additions and 16 deletions human health and the environment 30303,(404) 562–9638 since the previous update, as well as sufficient to warrant inclusion on the Alan Gebien (SE–5J),US EPA Region numerous other corrections to the National Priorities List (NPL); (2) to 5,77 W. Jackson Blvd.,Chicago, IL docket list. At the time of publication of compile and maintain the information 60604,(312) 886–1304 this notice, the new total number of submitted to EPA on such facilities Philip Ofosu (6SF–RA),US EPA Region Federal facilities listed on the docket is under the provisions listed in section 6,1445 Ross Avenue,Dallas, TX 2,205. 120(c) of CERCLA; and (3) to provide a 75202–2733,(214) 665–3178

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D. Karla Asberry (FFSC),US EPA Region any single month. If a facility has Federal government. That terminology 7,726 Minnesota Avenue,Kansas City, generated more than 1,000 kg of clearly includes facilities that are KS 66101,(913) 551–7595 hazardous waste in any single month operated by the Federal government, Stan Zawistowski (EPR–F),US EPA (that is, if the facility is an episodic even if they are not owned by it. Region 8,999 18th Street, Suite generator), it will be added to the Specifically, CERCLA section 120(e), 500,Denver, CO 80202–2466,(303) docket. In addition, facilities that are which sets forth the duties of the 312–6255 SQGs, but that have reported releases Federal agencies after a facility has been Avonda East (SFD–8–2),US EPA Region under CERCLA section 103 or listed on the NPL, refers to the Federal 9,75 Hawthorne Street,San Francisco, hazardous waste activities pursuant to agency that ‘‘owns or operates’’ the CA 94105,(415) 744–2468 RCRA section 3016 will be listed on the facility. In addition, the primary basis Mark Ader (ECL–115),US EPA Region docket and will undergo site evaluation for assigning responsibility for 10,1200 Sixth Avenue,Seattle, WA activities, such as a PA and, when conducting PAs and SIs, as required 98101,(206) 553–1808 appropriate, an SI. All such facilities when a facility is listed on the docket, Monica Lindeman (ECL, SACU2),US will be listed on the docket, whether or is Executive Order 12580, which assigns EPA Region 10,1200 Sixth not they are SQGs pursuant to RCRA. As that responsibility to the Federal agency Avenue,Seattle, WA 98101,(206) 553– a result, some of the facilities that EPA having ‘‘jurisdiction, custody, or 5113 is adding to the docket today are SQGs control’’ over a facility. An operator may 2.0 Revisions of the Previous Docket that had not been listed on the docket be deemed to have jurisdiction, custody, but that have reported releases or or control over a facility. Following is a discussion of the hazardous waste activities to EPA under 2.2 Deletions revisions of the previous docket, another reporting provision. including additions, deletions, and In the process of compiling the Today, 16 facilities are being deleted corrections. documents for the Regional repositories, from the docket for various reasons, 2.1 Additions EPA identified a number of facilities such as incorrect reporting of hazardous that had previously submitted PA waste activity, change in ownership, Today, 39 facilities are being added to reports, SI reports, Department of and exemption as an SQG under RCRA the docket, primarily because of new Defense (D0D) Installation Restoration (40 Code of Federal Regulations [CFR] information obtained by EPA (for Program (IRP) reports, or reports under Part 262.44). Facilities being deleted no example, recent reporting of a facility another Federal agency environmental longer will be subject to the pursuant to RCRA sections 3005, 3010, restoration program, but do not appear requirements of CERCLA section 120(d). or 3016 or CERCLA section 103). SARA, to have notified EPA under CERCLA 2.3 Corrections as amended by the Defense section 103. Section 120(c)(3) of Authorization Act of 1997, specifies CERCLA requires that EPA include on Changes necessary to correct the that, for each Federal facility that is the docket, among other things, previous docket were identified by both included on the docket during an information submitted under section EPA and Federal agencies. The changes update, evaluation shall be completed 103. In general, section 103 requires needed varied from simple changes in in accordance with a reasonable persons in charge of a facility to provide addresses or spelling to corrections of schedule. notice of certain releases of hazardous the recorded name and ownership of a Of the 39 facilities being added to the substances. The reports under various facility. In addition, some changes in docket, 0 are facilities that have Federal agency environmental the names of facilities were made to reported to the NRC the release of a restoration programs may contain establish consistency in the docket. reportable quantity (RQ) of a hazardous information regarding releases of Many new entries are simply substance. Under section 103(a) of hazardous substances similar to that corrections of typographical errors. For CERCLA, a facility is required to report provided pursuant to section 103. EPA each facility for which a correction has to the NRC the release of a hazardous believes that CERCLA section 120(c) been entered, the original entry substance in a quantity that equals or authorizes the agency to include on the (designated by an ‘‘O’’), as it appeared exceeds the established RQ. Reports of docket a facility that has provided in the February 12, 1988 notice or releases received by the NRC, the U.S. information to EPA through documents subsequent updates, is shown directly Coast Guard (USCG), and EPA are such as a report under a Federal agency below the corrected entry (designated by transmitted electronically to the environmental restoration program, a ‘‘C’’) for easy comparison. Transportation Systems Center at the regardless of the absence of section 103 3.0 Process for Compiling the Updated U.S. Department of Transportation reporting. Therefore, some of the Docket (DOT), where they become part of the facilities that EPA is adding today are Emergency Response Notification being placed on the docket because they In compiling the newly reported System (ERNS) database. ERNS is a have submitted the documents facilities for the update being published national computer database and described above that contain reports of today, EPA extracted the names, retrieval system that stores information releases of hazardous substances. addresses, and identification numbers of on releases of oil and hazardous EPA also includes privately owned, facilities from four EPA databases— substances. Facilities being added to the government-operated (POGO) facilities ERNS, the Biennial Inventory of Federal docket and facilities already listed on on the docket. CERCLA section 120(c) Agency Hazardous Waste Activities, the the docket for which an ERNS report requires that the docket contain Resource Conservation and Recovery has been filed are identified by the information submitted under RCRA Information System (RCRIS), and the notation ‘‘103(a)’’ in the ‘‘Reporting sections 3005, 3010, and 3016 and Comprehensive Environmental Mechanism’’ column. CERCLA section 103, all of which Response, Compensation, and Liability It is EPA’s policy generally not to list impose duties on operators as well as Information System (CERCLIS)—that on the docket facilities that are small- owners of facilities. In addition, other contain information about Federal quantity generators (SQG) and that have subsections of CERCLA section 120 refer facilities submitted under the four never generated more than 1,000 to facilities ‘‘owned or operated’’ by an provisions listed in CERCLA section kilograms (kg) of hazardous waste in agency or other instrumentality of the 120(c).

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Extensive computer checks compared correction. The code key precedes the Categories for Deletion of Facilities the current docket list with the lists. (1) Small-Quantity Generator information obtained from the databases SARA, as amended by the Defense identified above to determine which Authorization Act of 1997, specifies (2) Not Federally Owned facilities were, in fact, newly reported that, for each Federal facility that is (3) Formerly Federally Owned and qualified for inclusion on the included on the docket during an (4) No Hazardous Waste Generated update. In spite of the quality assurance update, evaluation shall be completed efforts EPA has undertaken, state-owned (5) (This correction code is no longer in accordance with a reasonable used.) or privately owned facilities that are not schedule. Therefore, all facilities on the operated by the Federal government additions list to this twelfth docket (6) Redundant Listing/Site on Facility may have been included. Such problems update must submit a PA and, if (7) Combining Sites Into One Facility/ are caused by procedures historically warranted, an SI to EPA. The PA must Entries Combined used to report and track data on Federal include existing information about a site (8) Does Not Fit Facility Definition facilities; EPA is working to resolve and its surrounding environment, them. Representatives of Federal (9) (This correction code is no longer including a thorough examination of used.) agencies are asked to write to EPA’s human, food-chain, and environmental docket coordinator at the following targets, potential waste sources, and (10) (This correction code is no longer address if revisions of this update migration pathways. From information used.) information are necessary: Federal in the PA or other information coming (11) (This correction code is no longer Agency Hazardous Waste Compliance to EPA’s attention, EPA will determine used.) Docket Coordinator, Federal Facilities whether a follow-up SI is required. An (12) (This correction code is no longer Enforcement Office (Mail Code 2261A), SI augments the data collected in a PA. used.) U.S. Environmental Protection Agency An SI may reflect sampling and other 401 M Street, S.W., Washington, D.C. (13) (This correction code is no longer field data that are used to determine used.) 20460. whether further action or investigation (14) (This correction code is no longer 4.0 Facilities Not Included is appropriate. This policy includes any facility for which there is a change in used.) As explained in the preamble to the the identity of the responsible Federal Categories for Addition of Facilities original docket (53 FR 4280), the docket agency. The reports should be submitted does not include the following to the Federal facilities coordinator in (15) Small-Quantity Generator With categories of facilities (note, however, the appropriate EPA Regional office. Either a RCRA 3016 or CERCLA 103 Reporting Mechanism that any of these types of facilities may, The facilities listed in each section are when appropriate, be listed on the NPL): organized by state and then grouped (16) One Entry Being Split Into Two/ • Facilities formerly owned by a alphabetically within each state by the Federal Agency Responsibility Being Federal agency and now privately Federal agency responsible for the Split owned will not be listed on the docket. facility. Under each state heading is (17) New Information Obtained However, facilities that are now owned listed the name and address of the Showing That Facility Should Be by another Federal agency will remain facility, the Federal agency responsible Included on the docket and the responsibility for for the facility, the statutory provision(s) conducting PAs and SIs will rest with (18) Facility Was a Site on a Facility under which the facility was reported to That Was Disbanded; Now a Separate the current owner. EPA, and the correction code(s). • Facility SQGs that have never produced The statutory provisions under which more than 1,000 kg of hazardous waste (19) Sites Were Combined Into One a facility reported are listed in a column Facility in any single month and that have not titled ‘‘Reporting Mechanism.’’ (19A) New Facility reported releases under CERCLA section Applicable mechanisms are listed for 103 or hazardous waste activities under each facility: for example 3010, 3016, Categories for Corrections of RCRA section 3016 will not be listed on and 103(c). Information About Facilities the docket. The complete list of Federal facilities • Facilities that are solely (20) Reporting Provisions Change that now make up the docket and the transporters, as reported under RCRA list of facilities classified as no further (20A) Typo Correction/Name Change/ section 3010, will not be listed on the remedial action planned (NFRAP) are Address Change docket. not being published today. However, the (21) Changing Responsible Federal 5.0 Information Contained on Docket lists are available to interested parties Agency (New Responsible Federal Listing and can be obtained by calling the HQ Agency Has 18 Months to Submit PA) Docket Coordinator at (202) 564–2468. (22) Changing Responsible Federal As discussed above, the update As of today, the total number of Federal information below is divided into three Agency and Facility Name (New facilities that appear on the docket is Responsible Federal Agency Has 18 separate sections. The first section is a 2,205. list of new facilities that are being added Months to Submit PA) to the docket. The second section is a Dated: June 5, 2000. (23) New Reporting Mechanism Added list of facilities that are being deleted Craig E. Hooks, at Update from the docket. The third section Director, Federal Facilities Enforcement (24) Reporting Mechanism Determined comprises corrections of information Office. to Be Not Applicable After Review of included on the docket. Each facility Docket Revisions Regional Files listed for the update has been assigned Note: Further information on definitions of a code(s) that indicates a more specific Categories of Revisions for Docket categories can be obtained by calling the HQ reason(s) for the addition, deletion, or Update by Correction Code Docket Coordinator at (202) 564–2468.

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 ADDITIONS

Zip Reporting mech- Correction Facility name Facility address City State code Agency anism code

FS-TONGASS NF: BO- E SIDE YAKOBY IS- HOONAH ...... AK ...... 99829 AGRICULTURE ...... 103c 19A HEMIA BASIN EXPLO- LAND, N END RATION CAMPS. LISLANSKY STRAIT. BLM-SOURDOUGH LIT- RICHARDSON HWY 35 GLENNALLEN ...... AK ...... 99588 INTERIOR ...... 103c 19A TLE BEAR CAMP. MI N OF GLENNALLEN. FWS-ALASKA MARITIME 30 MI E OF KUTAN AKUTAN ...... AK ...... 99553 INTERIOR ...... 103c 19A NWR: TIGALDA IS- 54°04′48″ N, LAND AWS. 165°03′27″ W. NPS-CAPE 30 MI NW OF KOTZEBUE ...... AK ...... 99752 INTERIOR ...... 103c 19A KRUSENSTERN NM: KOTZEBUE 67°35′00″ MULGRAVE AFS. N, 163°59′00″ W 188 NORTHWEST ARC- TIC. NPS-KATMAI NP: 30 MI W OF CY, KING SALMON ...... AK ...... INTERIOR ...... 19A BROOKS CAMP. NAKNEK LAKE. NPS-NOATAK NP&P: T12S R31 W NORTH NOATAK ...... AK ...... 99761 INTERIOR ...... 103c 19A BURIAL LAKE MILI- BOUNDARY, UMIAT TARY CAMP 7 LAND- MERIDIAN (IN FILL. NORTH SLOPE BOR- OUGH) 68°26′00″ N, 159°10′00″ W 188 NORTHWEST ARC- TIC. NPS-NOATAK NP&P: T34N R1W&R1E ON NOATAK ...... AK ...... 99761 INTERIOR ...... 103c 19A DESPERATION LAKE SEC LINE, KATEEL MILITARY CAMP AND RIVER MERIDIAN LANDFILL. 68°19′40″ N, 158°44′53″ W 188 NORTHWEST ARC- TIC. NPS-NOATAK NP&P: T33N R2E&R3E ON NOATAK ...... AK ...... 99761 INTERIOR ...... 103c 19A FENIAK LAKE MILI- SEC LINE, KATEEL TARY CAMP & LAND- RIVER MERIDIAN (IN FILL. NORTH SLOPE BOR- OUGH) 68°15′07″ N, 158°18′38″ W 188 NORTHWEST ARC- TIC. FDA NATIONAL CEN- 3900 NCTR RD ...... JEFFERSON ...... AR ...... 72079 HEALTH AND HUMAN 3010 19A TER FOR TOXI- SERVICES. COLOGICAL RE- SEARCH. EL DORADO NATIONAL R14±T14N R10E±T13N EL DORADO ...... CA ...... 95623 AGRICULTURE ...... 103c 19A FOREST. R19E±T9N. LOS ANGELES AIR 2400 E EL SEGUNDO EL SEGUNDO ...... CA ...... 90245 AIR FORCE ...... 3010 19A FORCE BASE. BLVD. LOS ANGELES AIR 2400 PACIFIC AVE ...... SAN PEDRO ...... CA ...... 90731 AIR FORCE ...... 3010 19A FORCE BASE. US BORDER PATROL 225 KENNEY ...... EL CAJON ...... CA ...... 92020 JUSTICE ...... 103c 19A STATION. FORT LOGAN NA- SHERIDAN AND HAMP- DENVER ...... CO ...... 80236 VETERANS AFFAIRS .... 103c 19A TIONAL CEMETERY. DEN AVENUE. US COAST GUARD MOHEGAN AVE ...... NEW LONDON ...... CT ...... 06320 TRANSPORTATION ...... 3005, 3010 19A ACADEMY. FS-NATIONAL TREE RIGGINS MILL RD ...... DRY BRANCH ...... GA ...... 31020 AGRICULTURE ...... 3010 19A SEED LAB. VA MEDICAL CENTER .. 1 FREEDOM WAY ...... AUGUSTA ...... GA ...... 30904 VETERANS AFFAIRS .... 3010 19A US COAST GUARD 900 FERRY STREET ..... MARSHFIELD ...... MA ...... 02050 TRANSPORTATION ...... 103c 19A COMMUNICATIONS CENTER. US COAST GUARD 427 COMMERCIAL ST .. BOSTON ...... MA ...... 02109 TRANSPORTATION ...... 3010 19A SUPPORT CENTER. US EPA REGION 3 2001 & 2103 ANNAP- BALTIMORE ...... MD ...... 21230 EPA ...... 3010 19A CHEMICAL METALS OLIS RD. SITE. NIH ANIMAL CENTER .... ELMER SCHOOL ROAD POOLESVILLE ...... MD ...... 20837 HEALTH AND HUMAN 3010 19A SERVICES. FS-BALDWIN ADMIN 650 N MICHIGAN AVE .. BALDWIN ...... MI ...... 49304 AGRICULTURE ...... 3010 19A SITE. DEFENSE REUTILIZA- 74 N WASHINGTON ...... BATTLE CREEK ...... MI ...... 49017 DEFENSE ...... 3010 19A TION & MARKETING SERVICES. 172ND AIRLIFT WING .... 141 MILITARY DRIVE ... JACKSON ...... MS ...... 39208 AIR FORCE ...... 3010 19A BIA BRANCH OF 371 HWY BLK 6 SHOP FARMINGTON ...... NN ...... 87499 INTERIOR ...... 3010 19A ROADS CHEU. 7 MI S. BIA CHINLE BOARDING HWY 191 15 MI N OF MANY FARMS ...... NN ...... 86538 INTERIOR ...... 3010 19A SCHOOL. CHINLE. BIA TUBA CITY INDIAN T C 167 N MAIN ST ...... TUBA CITY ...... NN ...... 86045 INTERIOR ...... 3010 19A MEDICAL CENTER.

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 ADDITIONSÐContinued

Zip Reporting mech- Correction Facility name Facility address City State code Agency anism code

FRANKLIN D ROO- 511 ALBANY POST RD HYDE PARK ...... NY ...... 12538 GENERAL SERVICES 3010 19A SEVELT LIBRARY. ADMINISTRATION. PBS DLA DNSC 5850 DEPOT RD ...... ALTAMONT ...... NY ...... 12009 GENERAL SERVICES 3010 19A VOORHEESVILLE ADMINISTRATION. DEPOT. LTA, MARION ENGR. 1¤2 MILE EAST OF PAT- MARION ...... OH ...... 43302 ARMY ...... 103c, 3010 19A DEPOT EAST. TON PIKE. FORMER LORDSTOWN 5232 TOD SW NO 11 .... WARREN ...... OH ...... 44481 GENERAL SERVICES 3010 19A ORDNANCE DEPOT. ADMINISTRATION. BRADFORD ISLAND T2N R7E S22 S22 CASCADE LOCKS ...... OR ...... 97014 CORPS OF ENGI- 103c 19A LANDFILL. SW1¤4, WILLAMETTE NEERS, CIVIL. MERIDIAN. FORMER BADLANDS 15 MILES NORTH OF KYLE ...... SD ...... 57752 AIR FORCE ...... 103c 19A BOMBING RANGE KYLE. (IMPACT AREA). FORMER BLACK HILLS IGLOO ...... IGLOO ...... SD ...... 57735 AGRICULTURE ...... 103c 19A ARMY DEPOT. US COAST GUARD 700 COAST GUARD RD BUCHANAN ...... TN ...... 38222 TRANSPORTATION ...... 3010 19A SHORE SIDE DE- TACHMENT PAR. DEPARTMENT OF COM- PO BOX 6±F16 ...... ARLINGTON ...... VA ...... 22202 COMMERCE ...... 103c 19A MERCE. GODDARD SPACE ROUTE 803 ...... WALLOPS ISLAND ...... VA ...... 23337 NASA ...... 3010, 103a, 16 FLIGHT CENTER 103c, 3016 WALLOPS FLIGHT FA- CILITY±ISLAND. FLAMINGO BAY ARMY WATER ISLAND ...... ST. THOMAS ...... VI ...... INTERIOR ...... 103c 19A TEST AREAS FORMER FT. SEGARRA. SUNDANCE PM±1 SITE 7 MILES NORTH OF SUNDANCE ...... WY ...... 82729 AIR FORCE ...... 103c 19A SUNDANCE.

FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 CORRECTIONS

Reporting mecha- Correction Facility name Facility address City State Zip code Agency nism code

C DEWLINE SITE LIZ- KASEGALIK LA- POINT LAY ...... AK + 99579 AIR FORCE ...... 3010, 103c, 3016 ..... 20A 2: POINT LAY GOON CHUKCHI LLRS. SEA. O DEWLINE SITE LIZ- KASEGALIK LA- POINT LAY ...... AK 99766 AIR FORCE ...... 3010, 103c, 3016 ..... 2. GOON-CHUKCHI SEA. C FWS-ALASKA MARI- 51° 59′ 05″ N, 176° ADAK ...... AK 98546 INTERIOR ...... 103c ...... 20A TIME 06′ 26″ W, 25 MI NWR:GREAT NE OF ADAK. SITKIN ISLAND. O FWS-ALASKA MARI- 25 MI NE OF ADAK ADAK ...... AK 99500 INTERIOR ...... 103c ...... TIME NWR: GREAT SITKIN IS- LAND. C BLM-RED DEVIL S6 MI DOWN RED DEVIL ...... AK 99656 INTERIOR ...... 3016, 103c ...... 20A MINE WASTE KUSKOKWIM POND. RVR FR SLEETMUTE T19N R44W S6, 61° 45′ 50″ N, 157° 17′ 26″ W. O BLM-RED DEVIL T19N R44W S6 SE, BETHEL ...... AK 99559 INTERIOR ...... 3016, 103c ...... MINE WASTE 61° 10′ 12″ N, PONDS. 149° 56′ 40″ W. C FORMER NAVAL MAIN ST, 4 MI N OF BARROW ...... AK 99723 NAVY ...... 103c, 3010 ...... 20A ARCTIC RE- CY, 71° 19′ 42″ N, SEARCH LAB- 156° 40′ 18″ W. ORATORY BAR- ROW. O BARROW NAVAL MAIN ST, 4 MI N OF BARROW ...... AK 99723 NAVY ...... 103c, 3010 ...... ARCTIC RE- CY. SEARCH LAB- ORATORY. C REDSTONE ARSE- USAMICOM DRSMI- REDSTONE 35898 ARMY 3005, 3010, 3016, 20A. NAL. KL. ARSENALAL. 103c, 103a. O REDSTONE ARSE- CMDR USAMICOM HUNTSVILLE ...... AL 35898 ARMY3005, 3010, . NAL MISSILE DRSMI-K. 3016, 103c, 103a. COMMAND. C OUTLYING LAND- 2 MILES EAST OF FOLEY ...... AL 36535 NAVY ...... 103c ...... 20A ING FIELD BARIN. CITY.

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 CORRECTIONSÐContinued

Reporting mecha- Correction Facility name Facility address City State Zip code Agency nism code

O BARIN OUTLYING ...... FOLEY ...... AL NAVY ...... 103c ...... LANDING FIELD. C USAG FORT ATZS EHB ...... FORT HUACHUCA .. AZ 85613 ARMY ...... 3010, 3016, 103c, 20A HUACHUCA. 103a, 3005. O FORT HUACHUCA .. RCRA UNITS ...... FORT HUACHUCA .. AZ 85613 ARMY ...... 3010, 3016, 103c, 103a, 3005. C STANFORD #2 ...... W/2W/2SW/4 SEC- YUMA ...... AZ 86322 INTERIOR ...... 103c ...... 20A TION 31. O STANFORD #2 ...... YAVAPAI COUNTY YUMA ...... AZ 86322 INTERIOR ...... 103c ...... C AIR FORCE PLANT 20TH ST E & AVES PALMDALE ...... CA 93550 AIR FORCE ...... 3005, 3010, 3016, 20A 42. O & M. 103c. O PLANT #42 (ROCK- 2501 E AVE. P ...... PALMDALE ...... CA 93550±0678 AIR FORCE ...... 3005, 3010, 3016, WELL INTER- 103c. NATIONAL). C BLM-KERN VALLEY T25S, R33E, N1¤2 KERNVILLE ...... CA 93238 INTERIOR ...... 103c, 3016 ...... 20A SANITARY LAND- SW1¤4 SEC 35, FILL. MDM. O BLM-KERN VALLEY T25S, R33E, SEC KERN COUNTY ...... CA INTERIOR ...... 103c, 3016. LANDFILL. 35, N1¤2 SW1¤4 MDM. C NAVAL WEAPONS 700 AMMUNITION FALLBROOK ...... CA 92028 NAVY ...... 103c, 3016, 103a ..... 20A STATION SEAL RD. BEACH DETACH- MENT FALLBROOK. O FALLBROOK AMMUNITION RD ... FALLBROOK ...... CA 92058 NAVY ...... 103c, 3016, 103a. ANNEX, NAVAL WEAPONS STA- TION SEAL BEACH. C NAVAL POST- 1 UNIVERSITY CIR MONTEREY ...... CA 93943 NAVY ...... 3010, 3016, 103a, 20A GRADUATE 103c. SCHOOL. O MONTEREY NAVAL DEL MONTE AVE ... MONTEREY ...... CA 93943 NAVY ...... 3010, 3016, 103a, POSTGRADUATE 103c. SCHOOL. C U.S. CAPITOL COM- U.S. CAPITOL WASHINGTON ...... DC 20515 ARCHITECT OF 3010 ...... 21 PLEX. BUILDING. THE CAPITOL. O U.S. CAPITOL COM- U.S. CAPITOL WASHINGTON ...... DC 20515 INTERIOR ...... 3010. PLEX. BUILDING. C CENTRAL INTEL- ROUTE 123 ...... WASHINGTON ...... DC 20505 CIA ...... 3010 ...... 20, 20A LIGENCE AGEN- CY HQ. O CENTRAL INTEL- ROUTE 123 ...... LANGLEY ...... VA 22043 CIA ...... 3010, 103c. LIGENCE AGEN- CY HEAD- QUARTERS. C DOVER AIR FORCE 436 SPTG/CEVR DOVER ...... DE 19902 AIR FORCE ...... 3005, 3010, 3016, 20A BASE. 600 CHEVRON 103c, 103a. AVENUE. O DOVER AIR FORCE 436 SUG/CC ...... DOVER AFB ...... DE 19902 AIR FORCE ...... 3005, 3010, 3016, BASE. 103c, 103a. C FORMER ORLANDO 2850 SEABEE ORLANDO ...... FL 32803 NAVY ...... 103c ...... 20A NAVAL TRAINING STREET. CENTER-CSO. O ORLANDO NAVAL 8 STREET/NTC ...... ORLANDO ...... FL 30213 NAVY ...... 103C, 3010, 103a. TRAINING CEN- TER. C NAVAL AIR STA- BLDG A827; BOCA KEY WEST ...... FL 33040 NAVY ...... 3005, 3010, 3016, 20A TION KEY WEST. CHICA KEY. 103c, 103a. O KEY WEST NAVAL NAVAL AIR STA- KEY WEST ...... FL 33042 NAVY ...... 3005, 3010, 3016, AIR STATION- TION. 103c, 103a. BOCA CHICA. C DOBBINS AIR RE- 94 SPTG/CEV ...... DOBBINS AIR GA 30069 AIR FORCE ...... 3016, 103c, 3010 ..... 20A SERVE BASE. FORCE BASE. O DOBBINS AIR 94 CSG/DE ...... MARIETTA ...... GA 30069 AIR FORCE ...... 3016, 103c, 3010. FORCE BASE. C USA FORT GOR- HQ U.S. ARMY SIG- FORT GORDON ...... GA 30905 ARMY ...... 3005, 3010, 3016, 20A DON & HQ USA NAL CENTER. 103c, 103a. SIGNAL CENTER. O FORT GORDON ATZHFE EC ...... FORT GORDON ...... GA 30905 ARMY ...... 3005, 3010, 3016, AND NATIONAL 103c, 103a. SIGNAL CENTER. C BLM-BLUE DOME HWY 28, T10N BLUE DOME ...... ID 83464 INTERIOR ...... 103c, 3016 ...... 20A UNAUTHORIZED R30E S30. DUMP. O BLM-BLUE DOME T10NR30ESEC30 .... BLUE DOME ...... ID 83464 INTERIOR ...... 103c, 3016. UNAUTHORIZED DUMP.

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 CORRECTIONSÐContinued

Reporting mecha- Correction Facility name Facility address City State Zip code Agency nism code

C BLM-REEDER FLY- T9S R12E S13 W1¤2 BUHL ...... ID 83316 INTERIOR ...... 103c ...... 20A ING SERVICE SE 1¤4. AIRSTRIP #2. O BLM-REEDER FLY- T9SR12ESEC13 ...... BUHL ...... ID 83316 INTERIOR ...... 103c. ING SERVICE AIRSTRIP#2. C BLM-GRACE ILLE- T10S R39E S24 NE GRACE ...... ID 83241 INTERIOR ...... 103c ...... 20A GAL DUMP. SE NE. O BLM-GRACE ILLE- T10S,R39E,SEC24 .. GRACE ...... ID 83241 INTERIOR ...... 103c. GAL DUMP. C BLM-HAMMETT T5S R9E S28 SE NE HAMMETT ...... ID 83627 INTERIOR ...... 103c ...... 20A DUMP. O BLM-HAMMETT T5S,R9E,SEC28 ...... HAMMETT ...... ID 83627 INTERIOR ...... 103c. DUMP. C BLM-PESTCIDE T2S R3W S31 ...... REYNOLDS ...... ID 83650 INTERIOR ...... 103c ...... 20A DUMP REY- NOLDS. O BLM-PESTICIDE T2SR3W SEC31 ...... REYNOLDS ...... ID 83650 INTERIOR ...... 103c. DUMP SITE, REY- NOLDS. C FERMI NATIONAL KIRK RD & PINE ST BATAVIA ...... IL 60510 ENERGY ...... 3005, 3010, 3016, 20A ACCELERATOR PO BOX 500. 103c. LABORATORY. O FERMI NATIONAL ROUTE 16 & 59 BATAVIA ...... IL 60510 ENERGY ...... 3005, 3010, 3016, ACCELERATOR KANE COUNTY. 103c. LABORATORY. C FORMER NAVAL FORMER NAVAL GLENVIEW ...... IL 60026 NAVY ...... 3005, 3010, 3016, 20A AIR STATION AIR STATION 103c. GLENVIEW. GLENVIEW. O GLENVIEW NAVAL NAVAL AIR STA- GLENVIEW ...... IL 60026 NAVY ...... 3005, 3010, 3016, AIR STATION. TION. 103c. C NAVAL TRAINING 2601 PAUL JONES GREAT LAKES ...... IL 60088 NAVY ...... 3005, 3010, 3016, 20A CENTER GREAT STREET. 103c. LAKES. O GREAT LAKES PUBLIC WORKS GREAT LAKES ...... IL 60008 NAVY ...... 3005, 3010, 3016, NAVAL TRAINING CENTER NTC 103c. CENTER. SCE, BLDG 1A. C GRISSOM AIR RE- 434 SPTG/CEV ...... GRISSOM AFB ...... IN 46971 AIR FORCE ...... 3005, 3010, 3016, 20A SERVE BASE. 103c, 103a. O GRISSOM AIR 305TH CSG/DE ...... GRISSOM AFB ...... IN 46971 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c, 103a. C INDIANA ARMY AM- 11452 HWY 62 ...... CHARLESTOWN ..... IN 47111 ARMY ...... 3005, 3010, 3016, 20A MUNITION PLANT. 103c. O INDIANA ARMY AM- HIGHWAY 62 CHARLESTOWN ..... IN 47111 ARMY ...... 3005, 3010, 3016, MUNITION PLANT. CLARK COUNTY. 103c. C NAVAL SURFACE 300 HWY 361 BLDG CRANE ...... IN 47522 NAVY ...... 3005, 3010, 3016, 20A WARFARE CEN- 3260 CODE 095 103c, 103a TER CRANE DIVI- SION O CRANE NAVAL BLDG 2516 CODE CRANE ...... IN 47522 NAVY ...... 3005, 3010, 3016, WEAPONS SUP- 092V MARTIN 103c, 103a PORT CENTER COUNTY C MCCONNELL AIR 2801 S ROCK RD ... WICHITA ...... KS 67210 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE 103c. O MCCONNELL AIR 384 CSG/DE ...... WICHITA ...... KS 67221 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE 103c. C FORT RILEY 1ST BLDG 330 FORT RILEY ...... KS 66442 ARMY ...... 3005, 3010, 3016, 20A INFANTRY DIV DICKMAN AVE- 103c, 103a (M). NUE O FORT RILEY 1ST BLDG 330 FORT RILEY ...... KS 66442 ARMY ...... 3005, 3010, 3016, INFANTRY DIV 103c, 103a (M) C HQ,101ST AIR- ATTN AFZB±DPW± FORT CAMPBELL ... KY 42223 ARMY ...... 3005, 3010, 3016, 20A BORNE DIV. E±P 103c. (AASLT) FT.CAMPBELL O FORT CAMPBELL ... AFZB±FE±ECE ...... FORT CAMPBELL ... KY 42223 ARMY ...... 3005, 3010, 3016, 103c. C USAARMC & FORT US HWY 32 WEST .. FORT KNOX ...... KY 40121 ARMY ...... 3005, 3010, 3016, 20A KNOX 103a, 103c. O ARMOR SCHOOL HWY 31 W ...... FORT KNOX ...... KY 40121 ARMY ...... 3005, 3010, 3016, AND CENTER AT 103a, 103c FORT KNOX C FORMER NAVAL 118 ROCHESTER LOUISVILLE ...... KY 40214 NAVY ...... 3005, 3010, 3016, 20A ORDNANCE STA- DR. 103c. TION LOUISVILLE O LOUISVILLE NAVAL SOUTHSIDE DR. LOUISVILLE ...... KY 40214 NAVY ...... 3005, 3010, 3016, ORDNANCE STA- MDS 42 103c. TION

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 CORRECTIONSÐContinued

Reporting mecha- Correction Facility name Facility address City State Zip code Agency nism code

C HANSCOM FIELD/ 3245 ABG/CC ENVI- HANSCOM AFB ...... MA 01731 AIR FORCE ...... 3005, 3010, 3016, 20A HANSCOM AIR RONMENTAL 103c, 103a FORCE BASE SITE 66CES4/ CEVR 12TH GRENIER STREET O HANSCOM AIR 3245 ABG/DEEV ..... BEDFORD ...... MA 01731 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c, 103a. C BELTSVILLE AGRI- BUILDING 003 BELTSVILLE ...... MD 20705 AGRICULTURE ...... 3010, 3016, 103c, 20A CULTURAL RE- BARC±WEST 103a. SEARCH CENTER 10300 BALTI- MORE AVENUE O BELTSVILLE AGRI- BLDING 003 BARC± BELTSVILLE ...... MD 20705 AGRICULTURE ...... 3010, 3016, 103c, CULTURAL RE- WEST 103a. SEARCH CENTER C ANDREWS AIR PERIMETER RD ...... ANDREWS AFB ...... MD 20762 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE 103c. O ANDREWS AIR 1776 ABW/CC ...... ANDREWS AFB ...... MD 20331 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE 103c. C ABERDEEN PROV- STEPA±SH±ER ...... ABERDEEN ...... MD 21010 ARMY ...... 3005, 3010, 3016, 20A ING GROUND 103c, 103a (EDGEWOOD AREA) O ABERDEEN PROV- ATTN STEAP±FE±M ABERDEEN ...... MD 21005 ARMY ...... 3005, 3010, 3016, ING GROUND 103c, 103a C NAVAL SECURITY 10 FABBRI GREEN WINTER HARBOR .. ME 04693 NAVY ...... 3010, 103c ...... 20A GROUP ACTIVITY STE 10. WINTER HARBOR. O WINTER HARBOR RT 186 ...... WINTER HARBOR .. ME 04693 NAVY ...... 3010, 103c. NAVAL SECU- RITY GROUP AC- TIVITY. C K.I. SAWYER AIR 410 CES DEEV ...... GWINN ...... MI 49843 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE. 103c. O K.I. SAWYER AIR 410 CSG/DE ...... GWINN ...... MI 49843 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c. C NAVAL AND MA- 10810 LAMBERT BRIDGETON ...... MO 63044 NAVY ...... 3010 ...... 20, 20A RINE CORPS RE- INTERNATIONAL SERVE CENTER BLVD. BRIDGETON. O BRIDGETON MA- 10810 NATURAL BRIDGETON ...... MO 63044 NAVY ...... 3010, 103c. RINE CORPS. BRIDGE RD. C COLUMBUS AIR US HWY 45 NORTH COLUMBUS ...... MS 39701 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE. 103c. O COLUMBUS AIR 14 ABG/DE ...... COLUMBUS AFB .... MS 39701 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103. C KEESLER AIR 508 L STREET, KEELSER AFB ...... MS 39534 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE. 81ST CES/CEVC. 103c. O KEESLER AIR 508 L ST ...... KEESLER AFB ...... MS 39534 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c. C CONSTRUCTION 5200 CBC 2ND GULFPORT ...... MS 39501 NAVY ...... 3010, 103c, 103a ..... 20A BATTALION CEN- STREET. TER GULFPORT. O GULFPORT NAVAL 33RD AVE ...... GULFPORT ...... MS 39501 NAVY ...... 3010, 103c, 103a. CONSTRUCTION BATTALION CEN- TER. C POPE AIR FORCE 43 CES/CEV 560 IN- POPE AIR FORCE NC 28308 AIR FORCE ...... 3005, 3010, 103c, 20A BASE. TERCEPTOR RD. BASE. 3016. O POPE AIR FORCE 560 INTERCEPTOR POPE AFB ...... NC 28308 AIR FORCE ...... 3005, 3010, 103c, BASE. RD. 3016. C FORT BRAGG XVIII BLDG J 1737 KNOX FORT BRAGG ...... NC 28307 ARMY ...... 3010, 3016, 103c, 20A AIRBORNE ST. 103a, 3005. CORPS. O FORT BRAGG ...... AFZA±DE±D ...... FORT BRAGG ...... NC 28307 ARMY ...... 3010, 3016, 103c, 103a, 3005. C MARINE CORPS US HWY 101 & US CHERRY POINT ...... NC 28533 NAVY ...... 3005, 3010, 3016, 20A AIR STATION HWY 70. 103c. CHERRY POINT. O CHERRY POINT NC HWY 101 ...... CHERRY POINT ...... NC 28533 NAVY ...... 3005, 3010, 3016, MARINE CORPS 103c. AIR STATION. C CONCRETE MIS- DET 1 57 AD/DE ..... CONCRETE ...... ND 58221 AIR FORCE ...... 103c, 3010, 3005 ..... 21 SILE EARLY WARNING STA- TION. O CONCRETE MIS- DET 1 57 AD/DE ..... CONCRETE ...... ND 58221 ARMY ...... 103c, 3010, 3005. SILE EARLY WARNING STA- TION.

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 CORRECTIONSÐContinued

Reporting mecha- Correction Facility name Facility address City State Zip code Agency nism code

C OFFUTT AIR 3902 ABW/DEEV ..... OFFUTT AFB ...... NE 68113 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE 103c, 103a. (EX). O OFFUTT AIR 55 C56/DEEV ...... OFFUTT AFB ...... NE 68113±5000 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c, 103a. C CANNON AIR BLDG 1Ð275 CSG/ CANNON AFB ...... NM 88103 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE. DE. 103c. O CANNON AIR 27 CSG/DE ...... CANNON AFB ...... NM 88103 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c. C HOLLOMAN AIR 49 CSC/CC ...... HOLLOMAN AFB ..... NM 88330 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE. 103c, 103a. O HOLLOMAN AIR 833 CSG/DE ...... HOLLOMAN AFB ..... NM 88330 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c, 103a. C SANDIA NATIONAL 1515 EUBANK SE ... ALBUQUERQUE ..... NM 87123 ENERGY ...... 3005, 3010, 3016, 20A LABORATORIES. 103c, 103a. O SANDIA NATIONAL KIRKLAND AFB ALBUQUERQUE ..... NM 87116 ENERGY ...... 3005, 3010, 3016, LABORATORIES. EAST. 103c, 103a. C BLM-CARLSBAD T21S,R27E,S27, W CARLSBAD ...... NM 88220 INTERIOR ...... 103c, 3016 ...... 20A LANDFILL. .5, SE1¤4, SW1¤4. O BLM-CARLSBAD T21SR27ES CARLSBAD ...... NM ...... INTERIOR ...... 103c, 3016. LANDFILL. EC27NMPH. C NELLIS AIR FORCE 4370 N WASH- NELLIS AFB ...... NV 89191 AIR FORCE ...... 3005, 3010, 3016, 20A BASE. INGTON BLVD 103c, 103a. STE 117. O NELLIS AIR FORCE 554 OSW/DE ...... NELLIS AFB ...... NV 89191 AIR FORCE ...... 3005, 3010, 3016, BASE. 103c, 103a. C SENECA ARMY 5786 STATE ROUTE ROMULUS ...... NY 14541 ARMY ...... 3005, 3010, 3016, 20A DEPOT. 96. 103c. O SENECA ARMY RT 96 ...... ROMULUS ...... NY 14541 ARMY ...... 3005, 3010, 3016, DEPOT. 103c. C NIAGARA FALLS 1397 PLETCHER LEWISTON ...... NY 14092 ENERGY ...... 3016, 103c ...... 20A STORAGE SITE. ROAD. O NIAGARA FALLS EAST OF ROUTE LEWISTOWN ...... NY 14092 ENERGY ...... 3016, 103c. STORAGE SITE. 18, NORTH OF PLETCHER. C KNOLLS ATOMIC 2401 RIVER RD ...... NISKAYUNA ...... NY 12309 ENERGY ...... 3005, 3010, 3016, 20A POWER LABORA- 103c. TORY. O KNOLLS ATOMIC RIVER RD ...... NISKAYUNA ...... NY 12301±1072 ENERGY ...... 3005, 3010, 3016, POWER LABORA- 103c. TORY-KNOLLS SITE. C BROOKHAVEN NA- 53 BELL AVE BLDG UPTON ...... NY 11973 ENERGY ...... 3005, 3010, 3016, 20A TIONAL LABORA- 464. 103a, 103c. TORY. O BROOKHAVEN NA- 53 BELL AVE...... UPTON ...... NY 11973 ENERGY ...... 3005, 3010, 3016, TIONAL LABORA- 103a, 103c. TORY. C NAVAL WEAPONS GRUMMAN BLVD ... CALVERTON ...... NY 11933 NAVY ...... 103c, 3016, 3010 ..... 20A, 23 INDUSTRIAL RE- SERVE PLANT CALVERTON. O CALVERTON WADING RIVERÐ CALVERTON ...... NY 11933 NAVY ...... 103c, 3016 ...... NAVAL WEAP- MANOR RD.. ONS INDUSTRIAL RESERVE PLANT. C GLENN RESEARCH 6100 COLUMBUS SANDUSKY ...... OH 44870 NASA ...... 3010, 3016, 103c, 20A CENTER PLUM AVE. 103a, 3005. BROOK STATION. O PLUM BROOK STA- TAYLOR & COLUM- SANDUSKY ...... OH 44870 NASA ...... 3005, 3010, 3016, TION. BUS ROADS, 103c, 103a. ERIE COUNTY. C FIELD ARTILLERY 2930 CURRIE RD FORT SILL ...... OK 73503 ARMY ...... 3005, 3010, 3016, 20A TNG CT. ATTN ATZR±B. 103c. O FORT SILL FIELD BLDG 1950 ...... FORT SILL ...... OK 73503 ARMY ...... 3005, 3010, 3016, ARTILLERY. 103c. C NORTH SMITH- 274 OLD OXFORD NORTH SMITH- RI 02876 AIR FORCE ...... 103c ...... 20A FIELD NIKE CON- ROAD. FIELD. TROL AREA. O NORTH SMITH- OLD OXFORD NORTH SMITH- RI 02876 AIR FORCE ...... 103c ...... FIELD NIKE CON- ROAD. FIELD. TROL AREA. C CHARLESTON AIR 437 CSG/DEEV ...... CHARLESTON ...... SC 29404 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE. 103c. O CHARLESTON AIR 437 ABG/CC ...... CHARLESTON AFB SC 29404 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c. C SHAW AIR FORCE 345 CULLEN ST ...... SHAW AFB ...... SC 29152 AIR FORCE ...... 3005, 3010, 3016, 20A BASE. 103c. O SHAW AIR FORCE 363 CSG/DE ...... SHAW AFB ...... SC 29152 AIR FORCE ...... 3005, 3010, 3016, BASE. 103c.

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12 CORRECTIONSÐContinued

Reporting mecha- Correction Facility name Facility address City State Zip code Agency nism code

C USATC & FORT BLDG 1916 OFF FORT JACKSON ..... SC 29207 ARMY ...... 3005, 3010, 3016, 20A JACKSON. EWELL RD. 103c. O FORT JACKSON JACKSON BLVD. .... FORT JACKSON ..... SC 29207 ARMY ...... 3005, 3010, 3016, AND TRAINING 103c. CENTER. C MARINE CORPS HWY 21 BLDG 601 BEAUFORT ...... SC 29904 NAVY ...... 3005, 3010, 3016, 20A AIR STATION 103c, 103a. BEAUFORT. O BEAUFORT MA- LAFRENE ROAD ..... BEAUFORT ...... SC 29904 NAVY ...... 3005, 3010, 3016, RINE CORPS AIR 103c, 103a. STATION. C ELLSWORTH AIR 44CSC/DE ...... ELLSWORTH AFB .. SD 57706 AIR FORCE ...... 3005, 3010, 3016, 20A FORCE BASE. 103c, 103a. O ELLSWORTH AIR 44 CSG/CC ...... ELLSWORTH AFB. SD 57706 AIR FORCE ...... 3005, 3010, 3016, FORCE BASE. 103c, 103a. C FORT BLISS AIR ENVIRON MGMT FORT BLISS ...... TX 79916 ARMY ...... 3005, 3010, 3016, 20A DEFENSE CEN- OFC BLDG 1105 103c, 103a. TER. W. O FORT BLISS AIR PERSHING DRIVE .. FORT BLISS ...... TX 79916 ARMY ...... 3005, 3010, 3016, DEFENSE CEN- 103c, 103a. TER. C NAVAL AIR STA- 554 MCCAIN KINGSVILLE ...... TX 78363 NAVY ...... 3010, 103c,103a, 20A TION KINGSVILLE. STREET STE 310. 3005. O KINGSVILLE NAVAL MILITARY HIGH- KINGSVILLE ...... TX 78363 NAVY ...... 3010, 103c,103a, AIR STATION. WAY. 3005. C FORT LEE ...... BLDG 6205 SHOP FORT LEE ...... VA 23875 ARMY ...... 3005, 3010,3016, 20A RD. 103c. O FORT LEE ...... FORT LEE ...... FORT LEE ...... VA 23801 ARMY ...... 3005, 3010,3016, 103c. C GODDARD SPACE ROUTE 175 ...... WALLOPS ISLAND VA 23337 NASA ...... 3005, 3010,3016, 20A, 16 FLIGHT CENTER 103a, 103c. WALLOPS FLIGHT FACILITY- MAIN. O WALLOPS FLIGHT ROUTE 175 ...... WALLOPS ISLAND VA 23337 NASA ...... 3005, 3010,3016, FACILITY. 103a, 103c. C FS±OKANOGAN NF: T33N R21E S24 WM TWISP ...... WA 98856 AGRICULTURE ...... 103c ...... 20A ALDER CRK. NE1¤4 SW1¤4. O OKANOGAN NF: T33N R21E S24 QS TWISP ...... WA 98856 AGRICULTURE ...... 103c. ALDER CREEK. SE WM. C NAVAL RADIO STA- 21027 JIM CREEK OSO ...... WA 98223 NAVY ...... 103c, 3010 ...... 20A TION T JIM RD; 4 MI E OF CREEK. HWY 530 AT OSO. O JIM CREEK NAVAL 4 MILES EAST OF OSO ...... WA 98223 NAVY ...... 103c, 3010. RADIO STATION STATE HIGHWAY T. 530 AT OSO.

FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12, DELETIONS

Zip Reporting mech- Correction Facility name Facility address City State code Agency anism code

BLM-CYPRUS SIERRITA T18SR12ESEC1±22 ...... SAHURITA ...... AZ ...... 85640 INTERIOR ...... 103c 2 CORP. CONNECTICUT ARMY SOUTH RD ...... GROTON ...... CT ...... 06340 ARMY ...... 103c 2 NATIONAL GUARD GROTON BASE. AUGUSTA NATIONAL 88 MILLEDGE RD ...... AUGUSTA ...... GA ...... 30904 ARMY ...... 3010 2 GUARD ARMORY. CEDARTOWN NA- HWY 27 S ...... CEDARTOWN ...... GA ...... 30125 ARMY ...... 3010 2 TIONAL GUARD AR- MORY. HOMEWOOD ...... RIEGAL & 187TH HOMEWOOD ...... IL ...... 60430 ARMY ...... 3016 4 STREET. BLM-ROLLA RESEARCH 900 W 14TH ST ...... ROLLA ...... MO ...... 65401 INTERIOR ...... 3010 4 CENTER. BLM-ROLLA RESEARCH 1300 BISHOP AVE ...... ROLLA ...... MO ...... 65401 INTERIOR ...... 3010 4 CENTER. COMPONENT DEVEL- INDUSTRIAL PARK ...... BUTTE ...... MT ...... 59702 ENERGY ...... 3016 3010 103c 2 OPMENT AND INTE- GRATION FACILITY. BLM-ERMONT MILL T6SR11WSEC35 ...... ARGENTA ...... MT ...... 59725 INTERIOR ...... 103c 2 TAILINGS. BLM-HIGH ORE MINE .... T6NR4WSEC36 ...... MT ...... INTERIOR ...... 103c 2 PARKER RAILCAR 300 S FULTON AVE ...... FALLS CITY ...... NE ...... 68355 SMALL BUSINESS AD- 3010 4 SERVICE CO. MINISTRATION. CLIFFSIDE PARK POST 289 GORGE ROAD ...... CLIFFSIDE PARK ...... NJ ...... 07010 POSTAL SERVICE ...... 3010 4 OFFICE.

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FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #12, DELETIONSÐContinued

Zip Reporting mech- Correction Facility name Facility address City State code Agency anism code

PALMER SQUARE STA- 20 PALMER SQUARE E PRINCETON ...... NJ ...... 08542 POSTAL SERVICE ...... 3010 1 TION. BLM-KERR MCGEE LA- LEE COUNTY ...... HOBBS ...... NM ...... 88240 INTERIOR ...... 103c 3016 2 GUNA TOSTON SITE. NANSEMOND ORD- RT 135 ...... SUFFOLK ...... VA ...... 23434 AGRICULTURE ...... 103c 3 NANCE DEPOT. OFFCE OF INSULAR WATER ISLAND ST THOMAS ...... VI ...... 00802 INTERIOR ...... 3010 2 AFFAIRS. CATCHMENT BAY.

[FR Doc. 00–14773 Filed 6–9–00; 8:45 am] BILLING CODE 6560±50±U

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Reader Aids Federal Register Vol. 65, No. 113 Monday, June 12, 2000

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JUNE

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 216...... 35162 332...... 35162 Presidential Documents Proclamations: 573...... 35162 Executive orders and proclamations 523±5227 7316...... 36051 716...... 36782 The United States Government Manual 523±5227 Executive Orders: 745...... 34921 February 26, 1852 900...... 36290 (Revoked in part by Other Services 905...... 36290 PLO 7447)...... 35390 965...... 36290 523±4534 Electronic and on-line services (voice) April 17, 1926 966...... 36290 Privacy Act Compilation 523±3187 (Revoked in part by 969...... 36290 Public Laws Update Service (numbers, dates, etc.) 523±6641 PLO 7452)...... 36160 985...... 36290 TTY for the deaf-and-hard-of-hearing 523±5229 13087 (See 989...... 36290 Proclamation Proposed Rules: 7316) ...... 36051 ELECTRONIC RESEARCH 792...... 36797 Administrative Orders: World Wide Web Presidential Determinations: 13 CFR Full text of the daily Federal Register, CFR and other No. 2000-20 of May 121...... 35810 publications: 31, 2000 ...... 36307 No. 2000-21 of June 2, 14 CFR http://www.access.gpo.gov/nara 2000 ...... 36309 11...... 36244 Federal Register information and research tools, including Public No. 2000-22 of June 2, 21...... 36244 Inspection List, indexes, and links to GPO Access: 2000 ...... 36311 25...... 35813, 36244 No. 2000-23 of June 2, http://www.nara.gov/fedreg 39...... 34926, 2000 ...... 36313 34928, 34932, 34935, 34938, E-mail 5 CFR 34941, 35267, 35270, 35563, PENS (Public Law Electronic Notification Service) is an E-mail 35566, 35814, 35817, 35819, 890...... 35259 service for notification of recently enacted Public Laws. To 36053, 36055, 36059, 36317, subscribe, send E-mail to 7 CFR 36783 71 ...... 35272, 35822, 36060, [email protected] 27...... 36597 36602 with the text message: 28 ...... 35807, 36597, 36598 73...... 35273 29...... 36781 subscribe PUBLAWS-L your name 91...... 35703 210...... 36315 97...... 35274, 35275 Use [email protected] only to subscribe or unsubscribe to 220...... 36315 121...... 36775 PENS. We cannot respond to specific inquiries. 301...... 35261 129...... 35703, 36775 Reference questions. Send questions and comments about the 915...... 35561 135...... 36775 Federal Register system to: 930...... 35265 187...... 36002 1160...... 35808 252...... 36772 [email protected] 1400...... 36550 Proposed Rules: The Federal Register staff cannot interpret specific documents or 1411...... 36550 25...... 36978 regulations. 1427...... 36550 39 ...... 34993, 35590, 35869, 1439...... 36550 36095, 36391, 36799, 36801, FEDERAL REGISTER PAGES AND DATE, JUNE 1464...... 36550 36803 1479...... 36550 71 ...... 35301, 35302, 35303, 34913±35258...... 1 Proposed Rules: 36805 35259±35560...... 2 54...... 35857 35561±35806...... 5 928...... 35590 15 CFR 35807±36052...... 6 1216...... 35298 760...... 34942 36053±36306...... 7 10 CFR Proposed Rules: 36307±36596...... 8 50...... 34913 930...... 34995 36597±36780...... 9 72...... 36647 922...... 35871 36781±37004...... 12 73...... 36649 17 CFR 170...... 36946 171...... 36946 240...... 36602 474...... 36986 249b...... 36602 1703...... 35810 Proposed Rules: 1...... 35304 11 CFR 108...... 36053 18 CFR 154...... 35706 12 CFR 161...... 35706 40...... 35162 250...... 35706

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284...... 35706 33 CFR 51±9...... 35286 22...... 36014 51±10...... 35286 23...... 36016 20 CFR 100...... 36631 117 ...... 35825, 35826, 36338, 102-36...... 34983 25...... 36025, 36027 404...... 34950 30...... 36028 36632 42 CFR 416...... 34950 165 ...... 34971, 35278, 35279, 35...... 36014 403...... 34983 21 CFR 35827, 35832, 35838, 36340, 37...... 36014 36631, 36788 1001...... 35583 38...... 36023 5...... 34959 1003...... 35583 42...... 36014 176...... 36786 Proposed Rules: 1005...... 35583 47...... 36030 310...... 36319 165...... 36393 1006...... 35583 49...... 36030 312...... 34963 34 CFR 352...... 36319 44 CFR 52 ...... 36015, 36016, 36025, 361...... 35792 510...... 36615, 36787 36027, 36028 379...... 36632 62...... 36633 225...... 36034 524...... 36616 65 ...... 35584, 36068, 36069, 556...... 36616 Proposed Rules: 230...... 36034 5...... 36760 36070, 36634 715...... 36642 573...... 35823 67...... 35587, 36072 700...... 36319 742...... 36642 36 CFR Proposed Rules: 880...... 36324 1604...... 36382 1260...... 34973 67...... 35592, 35596 1615...... 36382 24 CFR 1280...... 34977, 35840 45 CFR 1632...... 36382 245...... 36272 Proposed Rules: 1652...... 36382 5b...... 34986 902...... 36042 Ch. II ...... 36395 9903...... 36768 26 CFR 37 CFR 46 CFR 1...... 36908 2...... 36633 Proposed Rules: 49 CFR 20...... 36908 110...... 35600 385...... 35287 38 CFR 25...... 36908 111...... 35600 390...... 35287 40...... 36326 3...... 35280 571...... 35427 17...... 35280 47 CFR Proposed Rules: 27 CFR 21...... 35280 64...... 36637 350...... 36809 Proposed Rules: 73...... 34988, 40 CFR 390...... 36809 9...... 35871 34989, 34990, 34991, 35588, 52 ...... 35577, 35840, 36343, 36374, 36375, 36637, 36638, 394...... 36809 29 CFR 36346, 36349, 36351, 36353, 36639 395...... 36809 1630...... 36327 36788 74...... 36375 398...... 36809 1952...... 36617 62...... 36067 76...... 36382 571...... 36106 2520...... 35568 70...... 36358, 36362 Proposed Rules: 575...... 34998 2584...... 35703 81...... 35577, 36353 20...... 35601 132...... 35283 25...... 35312 50 CFR 30 CFR 148...... 36365 64...... 36651 32...... 36642 250...... 35824, 36328 180...... 36367, 36790 73...... 34996, 901...... 36328 258...... 36792 34997, 34998, 36399, 36652, 223...... 36074 914...... 35568 261...... 36365 36808, 36809 622...... 36643 635...... 35855 Proposed Rules: 268...... 36365 648...... 36646 701...... 36097 Proposed Rules: 48 CFR 724...... 36097 52 ...... 35875, 36396, 36397, Ch. 1...... 36012, 36031 679...... 34991, 34992, 36795 773...... 36097 36398, 36807 1...... 36014, 36015 774...... 36097 69...... 35430 2...... 36016 Proposed Rules: 778...... 36097 70...... 36398 3...... 36030 16...... 35314 842...... 36097 80...... 35430 4...... 36016, 36021 17...... 35025, 843...... 36097 86...... 35430 5...... 36030 35033, 35315, 36512 846...... 36097 180...... 35307 7...... 36016 80...... 36653 906...... 36098 258...... 36807 8...... 36023 622 ...... 35040, 35316, 35877, 931...... 36101, 36104 434...... 34996 9...... 36014 36656 11...... 36016 635...... 35881 32 CFR 41 CFR 13...... 36016 679...... 36810 3...... 35576 51±8...... 35286 15...... 36014

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REMINDERS Imidazolium compounds; Livestock and poultry disease West Coast States and The items in this list were published 6-12-00 control: Western Pacific editorially compiled as an aid HOUSING AND URBAN Pseudorabies in swine; fisheriesÐ to Federal Register users. DEVELOPMENT indemnity payment; Pacific Coast groundfish; Inclusion or exclusion from DEPARTMENT comments due by 6-19- comments due by 6-19- this list has no legal Community facilities: 00; published 4-18-00 00; published 5-19-00 significance. Supportive Housing Noxious weed regulations: Ocean and coastal resource Program; operating cost Update; comments due by management: percentage increase; 6-19-00; published 5-17- Marine sanctuariesÐ RULES GOING INTO published 5-12-00 00 Gulf of Farallones EFFECT JUNE 12, 2000 National Marine Grants and agreements with Plant-related quarantine, Sanctuary, CA; higher education institutions, domestic: COMMERCE DEPARTMENT hospitals, and other non- motorized personal Karnal bunt; comments due watercraft operation; National Oceanic and profit organizations; uniform by 6-19-00; published 4- Atmospheric Administration administrative requirements; comments due by 6-21- 18-00 00; published 5-22-00 Fishery conservation and published 5-11-00 Mexican fruit fly; comments DEFENSE DEPARTMENT management: SECURITIES AND due by 6-19-00; published Caribbean, Gulf, and South EXCHANGE COMMISSION Federal Acquisition Regulation 4-18-00 (FAR): Atlantic fisheriesÐ Investment companies: AGRICULTURE Cost accounting standards Gulf of Mexico and South Investment company assets; DEPARTMENT administration; comments Atlantic coastal custody outside United Federal Crop Insurance due by 6-19-00; published migratory pelagic States; published 5-3-00 Corporation 4-18-00 resources; published 5- TRANSPORTATION Crop insurance regulations: DEFENSE DEPARTMENT 11-00 DEPARTMENT Small grains crop insurance Engineers Corps ENVIRONMENTAL Federal Aviation provisions and wheat crop Danger zones and restricted PROTECTION AGENCY Administration insurance winter coverage areas: Air quality implementation Airworthiness directives: endorsement; comments New River, NC; U.S. Marine plans; approval and Boeing; published 5-26-00 due by 6-19-00; published Corps waterborne promulgation; various Turbomeca; published 4-11- 4-20-00 refueling training operation States: 00 in Morgan Bay sector; California; published 5-11-00 AGRICULTURE TREASURY DEPARTMENT DEPARTMENT comments due by 6-22- Illinois; published 4-13-00 00; published 5-23-00 Internal Revenue Service Rural Utilities Service Indiana; published 4-11-00 Permits for discharges of Income taxes: Electric engineering, Massachusetts; published 4- dredged or fill material into Annuities valuation, interests architectural services and 11-00 U.S. waters: for life or terms of years, design policies and Fill material and discharge Pesticides; tolerances in food, and remainder or procedures: of fill material; definitions; animal feeds, and raw reversionary interests; Building plans and comments due by 6-19- agricultural commodities: actuarial tables use; specifications; agency 00; published 4-20-00 Cyprodinil; published 6-12- published 6-12-00 approval requirement ENVIRONMENTAL 00 eliminated; comments due PROTECTION AGENCY Superfund program: COMMENTS DUE NEXT by 6-23-00; published 4- National oil and hazardous 24-00 Acquisition regulations: WEEK Contract disputes; award substances contingency COMMERCE DEPARTMENT planÐ fee; comments due by 6- AGRICULTURE National Oceanic and 19-00; published 5-18-00 National priorities list DEPARTMENT Atmospheric Administration update; published 5-11- Air programs: Agricultural Marketing Fishery conservation and 00 Pesticide products; State Service management: registrationÐ FEDERAL Cherries (tart) grown inÐ Atlantic highly migratory Large municipal waste COMMUNICATIONS Michigan et al.; comments speciesÐ combustors constructed COMMISSION due by 6-21-00; published Atlantic bluefin tuna; on or before September Radio stations; table of 5-22-00 comments due by 6-19- 20, 1994; Federal plan assignments: Papayas grown inÐ 00; published 5-24-00 requirements; comments New York; published 5-25- Hawaii; comments due by Caribbean, Gulf, and South due by 6-23-00; 00 6-20-00; published 6-5-00 Atlantic fisheriesÐ published 5-24-00 Wyoming and Colorado; Large municipal waste AGRICULTURE South Atlantic snapper- published 5-12-00 combustors constructed DEPARTMENT grouper; comments due HEALTH AND HUMAN on or before September Animal and Plant Health by 6-19-00; published SERVICES DEPARTMENT 20, 1994; Federal plan Inspection Service 5-18-00 Food and Drug requirements; comments Exportation and importation of Carribbean, Gulf, and South Administration due by 6-23-00; animals and animal Atlantic fisheriesÐ published 5-24-00 Animal drugs, feeds, and products: South Atlantic snapper- Air quality implementation related products: Rinderpest and foot-and- grouper; comments due plans; approval and Sponsor name and address mouth disease; disease by 6-19-00; published promulgation; various changesÐ status changeÐ 4-19-00 States: ADM Animal Health & Japan; comments due by Magnuson-Stevens Act California; comments due by Nutrition Division; 6-19-00; published 4-18- provisionsÐ 6-22-00; published 5-23- published 6-12-00 00 Fishing capacity reduction 00 Food additives: Korea; comments due by programs; comments Minnesota; comments due Paper and paperboard 6-19-00; published 4-18- due by 6-19-00; by 6-21-00; published 5- componentsÐ 00 published 5-18-00 22-00

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Air quality planning purposes; direct access users; population segment; revision; comments due by designation of areas: comments due by 6-23- comments due by 6-19- 6-23-00; published 5-9-00 Arizona; comments due by 00; published 6-2-00 00; published 5-19-00 POSTAL SERVICE 6-19-00; published 5-19- Terminal equipment, Vermilion darter; comments Dommestic Mail Manual: 00 connection to telephone due by 6-19-00; published Basic carrier route Hazardous waste program networkÐ 4-18-00 periodicals; line-of-travel authorizations: Customer premises INTERIOR DEPARTMENT sequencing; comments Montana; comments due by equipment; technical Surface Mining Reclamation due by 6-19-00; published 6-23-00; published 5-9-00 criteria and registration and Enforcement Office 5-18-00 Permits for discharges of streamlining; biennial Permanent program and RAILROAD RETIREMENT dredged or fill material into review; comments due abandoned mine land BOARD U.S. waters: by 6-23-00; published reclamation plan Railroad Unemployment Fill material and discharge 5-31-00 submissions: Insurance Act: of fill material; definitions; Wireless telecommunications New Mexico; comments due Unemployment and sickness comments due by 6-19- servicesÐ by 6-22-00; published 6-7- benefits; finality of 00; published 4-20-00 Wireless E911; call back 00 decisions; comments due Superfund program: number issues by 6-19-00; published 4- LABOR DEPARTMENT National oil and hazardous associated with non- 20-00 substances contingency service initialized calls; Occupational Safety and Health Administration SECURITIES AND planÐ comments due by 6-19- EXCHANGE COMMISSION Occupational safety and health National priorities list 00; published 6-5-00 Securities and investment standards: update; comments due Radio stations; table of companies: by 6-19-00; published assignments: Ergonomics programÐ Electronic media use; 5-19-00 California; comments due by State and local guidance; comments due National priorities list 6-19-00; published 5-10- governments, Postal by 6-19-00; published 5-4- update; comments due 00 Service, and railroads; 00 economic impact; by 6-19-00; published Kansas; comments due by TRANSPORTATION comment request; 5-19-00 6-19-00; published 5-10- DEPARTMENT National priorities list 00 comments due by 6-22- 00; published 5-23-00 Coast Guard update; comments due GENERAL SERVICES Drawbridge operations: by 6-21-00; published ADMINISTRATION LIBRARY OF CONGRESS 5-22-00 New York; comments due Federal Acquisition Regulation Copyright Office, Library of by 6-23-00; published 4- Water pollution; effluent (FAR): Congress 24-00 guidelines for point source Copyright claims registration: Ports and waterways safety: categories: Cost accounting standards administration; comments Photographs; group Staten Island, NY; safety Oil and gas extraction; due by 6-19-00; published registration; comments zone; comments due by synthetic-based and other 4-18-00 due by 6-19-00; published 6-23-00; published 4-24- non-aqueous drilling fluids; 5-5-00 00 comments due by 6-20- HOUSING AND URBAN 00; published 4-21-00 DEVELOPMENT Copyright office and Correction; comments due procedures: by 6-23-00; published Water supply: DEPARTMENT Sound recordings, public 5-4-00 National primary drinking Public and Indian housing: performance; service water regulationsÐ Native American housing TRANSPORTATION definition; comments due DEPARTMENT Radionuclides; maximum activitiesÐ by 6-22-00; published 5- Federal Aviation contaminant level goals Construction cost limits; 23-00 Administration and monitoring comments due by 6-19- requirements; comments 00; published 4-20-00 NATIONAL AERONAUTICS Airworthiness directives: AND SPACE Bell Helicopter Textron due by 6-20-00; INTERIOR DEPARTMENT published 4-21-00 ADMINISTRATION Canada; comments due Land Management Bureau FARM CREDIT Acquisition regulations: by 6-19-00; published 4- General management: ADMINISTRATION Research and development 19-00 Boeing; comments due by Farm credit system: Public administrative contracts; final reports proceduresÐ submission; comments 6-19-00; published 5-3-00 Loan policies and due by 6-19-00; published Eurocopter Deutschland operations, etc.Ð Local governments; financial assistance; 4-18-00 GMBH; comments due by Other financial institutions Payments in Lieu of Federal Acquisition Regulation 6-23-00; published 4-24- lending; comments due Taxes for entitlement (FAR): 00 by 6-19-00; published lands; comments due Honeywell; comments due 4-20-00 Cost accounting standards by 6-23-00; published administration; comments by 6-19-00; published 4- FEDERAL 4-24-00 due by 6-19-00; published 18-00 COMMUNICATIONS INTERIOR DEPARTMENT 4-18-00 Israel Aircraft Industries, COMMISSION Ltd.; comments due by 6- Fish and Wildlife Service ARTS AND HUMANITIES, Common carrier services: 21-00; published 5-22-00 NATIONAL FOUNDATION Commercial mobile radio Endangered and threatened Maule Aerospace National Foundation on the servicesÐ species: Technology, Inc.; Arts and the Humanities Digital wireless systems; Critical habitat comments due by 6-23- TTY access for 911 designationsÐ Privacy Act; implementation; 00; published 5-9-00 calls; implementation; Spalding's catchfly; comments due by 6-19-00; McDonnell Douglas; comments due by 6-19- comments due by 6-23- published 5-19-00 comments due by 6-19- 00; published 5-24-00 00; published 4-24-00 NUCLEAR REGULATORY 00; published 4-20-00 Satellite communicationsÐ Mountain yellow-legged frog; COMMISSION Robinson Helicopter Co.; INTELSAT space segment Southern California Performance based-activities; comments due by 6-19- capacity availability to distinct vertebrate high-level guidelines; 00; published 4-19-00

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Short Brothers; comments session of Congress which H.R. 3629/P.L. 106±211 due by 6-19-00; published have become Federal laws. It To amend the Higher 5-19-00 may be used in conjunction Education Act of 1965 to Sikorsky; comments due by with ``P L U S'' (Public Laws improve the program for 6-19-00; published 4-20- Update Service) on 202±523± American Indian Tribal 00 6641. This list is also Colleges and Universities Class E airspace; comments available online at http:// under part A of title III. (May due by 6-22-00; published www.nara.gov/fedreg. 26, 2000; 114 Stat. 330) 5-5-00 The text of laws is not H.R. 3707/P.L. 106±212 Federal airways; comments published in the Federal American Institute in Taiwan due by 6-19-00; published Register but may be ordered Facilities Enhancement Act 5-18-00 in ``slip law'' (individual (May 26, 2000; 114 Stat. 332) TRANSPORTATION pamphlet) form from the DEPARTMENT Superintendent of Documents, S. 1836/P.L. 106±213 Federal Highway U.S. Government Printing To extend the deadline for Administration Office, Washington, DC 20402 commencement of construction Engineering and traffic (phone, 202±512±1808). The of a hydroelectric project in operations: text will also be made the State of Alabama. (May Uniform Traffic Control available on the Internet from 26, 2000; 114 Stat. 334) Devices ManualÐ GPO Access at http:// Last List May 25, 2000 www.access.gpo.gov/nara/ Retroreflective sign and index.html. Some laws may pavement marking not yet be available. materials; color Public Laws Electronic specifications; S.J. Res. 44/P.L. 106±205 Notification Service comments due by 6-21- Supporting the Day of Honor (PENS) 00; published 12-21-99 2000 to honor and recognize TRANSPORTATION the service of minority DEPARTMENT veterans in the United States PENS is a free electronic mail Research and Special Armed Forces during World notification service of newly Programs Administration War II. (May 26, 2000; 114 enacted public laws. To Pipeline safety: Stat. 312) subscribe, go to www.gsa.gov/ Hazardous liquid H.R. 154/P.L. 106±206 archives/publaws-l.html or transportationÐ To allow the Secretary of the send E-mail to Pipeline integrity Interior and the Secretary of [email protected] with management in high Agriculture to establish a fee the following text message: system for commercial filming consequence areas; SUBSCRIBE PUBLAWS-L activities on Federal land, and comments due by 6-20- Your Name. 00; published 4-24-00 for other purposes. (May 26, 2000; 114 Stat. 314) Note: This service is strictly TREASURY DEPARTMENT H.R. 371/P.L. 106±207 for E-mail notification of new Internal Revenue Service Hmong Veterans' laws. The text of laws is not Income taxes: Naturalization Act of 2000 available through this service. Cafeteria plans; tax (May 26, 2000; 114 Stat. 316) PENS cannot respond to treatment; comments due H.R. 834/P.L. 106±208 specific inquiries sent to this by 6-21-00; published 3- address. 23-00 National Historic Preservation Act Amendments of 2000 Lifetime charitable lead (May 26, 2000; 114 Stat. 318) trusts; comments due by 6-23-00; published 4-5-00 H.R. 1377/P.L. 106±209 To designate the facility of the VETERANS AFFAIRS United States Postal Service DEPARTMENT located at 9308 South Outer burial receptacles; Chicago Avenue, Chicago, monetary allowances; Illinois, as the ``John J. comments due by 6-19-00; Buchanan Post Office published 4-18-00 Building''. (May 26, 2000; 114 Stat. 320) LIST OF PUBLIC LAWS H.R. 1832/P.L. 106±210 Muhammad Ali Boxing Reform This is a continuing list of Act (May 26, 2000; 114 Stat. public bills from the current 321)

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CFR CHECKLIST Title Stock Number Price Revision Date 14 Parts: 1–59 ...... (869–042–00037–4) ...... 58.00 Jan. 1, 2000 This checklist, prepared by the Office of the Federal Register, is 60–139 ...... (869–042–00038–2) ...... 46.00 Jan. 1, 2000 published weekly. It is arranged in the order of CFR titles, stock 140–199 ...... (869–038–00039–1) ...... 17.00 4Jan. 1, 2000 numbers, prices, and revision dates. 200–1199 ...... (869–042–00040–4) ...... 29.00 Jan. 1, 2000 An asterisk (*) precedes each entry that has been issued since last 1200–End ...... (869–042–00041–2) ...... 25.00 Jan. 1, 2000 week and which is now available for sale at the Government Printing 15 Parts: Office. 0–299 ...... (869–042–00042–1) ...... 28.00 Jan. 1, 2000 A checklist of current CFR volumes comprising a complete CFR set, 300–799 ...... (869–042–00043–9) ...... 45.00 Jan. 1, 2000 also appears in the latest issue of the LSA (List of CFR Sections 800–End ...... (869–042–00044–7) ...... 26.00 Jan. 1, 2000 Affected), which is revised monthly. 16 Parts: The CFR is available free on-line through the Government Printing 0–999 ...... (869–042–00045–5) ...... 33.00 Jan. 1, 2000 Office's GPO Access Service at http://www.access.gpo.gov/nara/cfr/ 1000–End ...... (869–042–00046–3) ...... 43.00 Jan. 1, 2000 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 ...... (869–042–00048–0) ...... 32.00 Apr. 1, 2000 The annual rate for subscription to all revised paper volumes is 200–239 ...... (869–038–00049–1) ...... 34.00 Apr. 1, 1999 $951.00 domestic, $237.75 additional for foreign mailing. 240–End ...... (869–038–00050–4) ...... 44.00 Apr. 1, 1999 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 ...... (869–038–00051–2) ...... 48.00 Apr. 1, 1999 accompanied by remittance (check, money order, GPO Deposit 400–End ...... (869–038–00052–1) ...... 14.00 Apr. 1, 1999 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 ...... (869–038–00053–9) ...... 37.00 Apr. 1, 1999 charge orders to (202) 512-2250. 141–199 ...... (869–038–00054–7) ...... 36.00 Apr. 1, 1999 200–End ...... (869–038–00055–5) ...... 18.00 Apr. 1, 1999 Title Stock Number Price Revision Date 20 Parts: 1, 2 (2 Reserved) ...... (869–038–00001–3) ...... 6.50 Apr. 1, 2000 1–399 ...... (869–038–00056–3) ...... 30.00 Apr. 1, 1999 3 (1997 Compilation 400–499 ...... (869–038–00057–1) ...... 51.00 Apr. 1, 1999 and Parts 100 and 500–End ...... (869–038–00058–0) ...... 44.00 7 Apr. 1, 1999 1 101) ...... (869–042–00002–1) ...... 22.00 Jan. 1, 2000 21 Parts: 4 ...... (869–042–00003–0) ...... 8.50 Jan. 1, 2000 1–99 ...... (869–038–00059–8) ...... 24.00 Apr. 1, 1999 *100–169 ...... (869–042–00060–9) ...... 30.00 Apr. 1, 2000 5 Parts: 170–199 ...... (869–038–00061–0) ...... 29.00 Apr. 1, 1999 1–699 ...... (869–042–00004–8) ...... 43.00 Jan. 1, 2000 200–299 ...... (869–038–00062–8) ...... 11.00 Apr. 1, 1999 700–1199 ...... (869–042–00005–6) ...... 31.00 Jan. 1, 2000 300–499 ...... (869–038–00063–6) ...... 18.00 Apr. 1, 1999 1200–End, 6 (6 500–599 ...... (869–038–00064–4) ...... 28.00 Apr. 1, 1999 Reserved) ...... (869–042–00006–4) ...... 48.00 Jan. 1, 2000 600–799 ...... (869–038–00065–2) ...... 9.00 Apr. 1, 1999 7 Parts: 800–1299 ...... (869–038–00066–1) ...... 35.00 Apr. 1, 1999 1–26 ...... (869–042–00007–2) ...... 28.00 Jan. 1, 2000 1300–End ...... (869–042–00067–6) ...... 15.00 Apr. 1, 2000 27–52 ...... (869–042–00008–1) ...... 35.00 Jan. 1, 2000 22 Parts: 53–209 ...... (869–042–00009–9) ...... 22.00 Jan. 1, 2000 1–299 ...... (869–038–00068–7) ...... 44.00 Apr. 1, 1999 210–299 ...... (869–042–00010–2) ...... 54.00 Jan. 1, 2000 *300–End ...... (869–042–00069–2) ...... 31.00 Apr. 1, 2000 300–399 ...... (869–042–00011–1) ...... 29.00 Jan. 1, 2000 400–699 ...... (869–042–00012–9) ...... 41.00 Jan. 1, 2000 23 ...... (869–038–00070–9) ...... 27.00 Apr. 1, 1999 700–899 ...... (869–042–00013–7) ...... 37.00 Jan. 1, 2000 24 Parts: 900–999 ...... (869–042–00014–5) ...... 46.00 Jan. 1, 2000 0–199 ...... (869–038–00071–7) ...... 34.00 Apr. 1, 1999 1000–1199 ...... (869–042–00015–3) ...... 18.00 Jan. 1, 2000 200–499 ...... (869–038–00072–5) ...... 32.00 Apr. 1, 1999 1200–1599 ...... (869–042–00016–1) ...... 44.00 Jan. 1, 2000 500–699 ...... (869–038–00073–3) ...... 18.00 Apr. 1, 1999 1600–1899 ...... (869–042–00017–0) ...... 61.00 Jan. 1, 2000 700–1699 ...... (869–038–00074–1) ...... 40.00 Apr. 1, 1999 1900–1939 ...... (869–042–00018–8) ...... 21.00 Jan. 1, 2000 1700–End ...... (869–042–00075–7) ...... 18.00 5Apr. 1, 2000 1940–1949 ...... (869–042–00019–6) ...... 37.00 Jan. 1, 2000 25 ...... (869–042–00076–5) ...... 52.00 Apr. 1, 2000 1950–1999 ...... (869–042–00020–0) ...... 38.00 Jan. 1, 2000 2000–End ...... (869–042–00021–8) ...... 31.00 Jan. 1, 2000 26 Parts: §§ 1.0-1–1.60 ...... (869–038–00077–6) ...... 27.00 Apr. 1, 1999 8 ...... (869–042–00022–6) ...... 41.00 Jan. 1, 2000 *§§ 1.61–1.169 ...... (869–042–00078–1) ...... 56.00 Apr. 1, 2000 9 Parts: §§ 1.170–1.300 ...... (869–038–00079–2) ...... 34.00 Apr. 1, 1999 1–199 ...... (869–042–00023–4) ...... 46.00 Jan. 1, 2000 §§ 1.301–1.400 ...... (869–038–00080–6) ...... 25.00 Apr. 1, 1999 200–End ...... (869–042–00024–2) ...... 44.00 Jan. 1, 2000 §§ 1.401–1.440 ...... (869–038–00081–4) ...... 43.00 Apr. 1, 1999 §§ 1.441-1.500 ...... (869-038-00082-2) ...... 30.00 Apr. 1, 1999 10 Parts: §§ 1.501–1.640 ...... (869–038–00083–1) ...... 27.00 6 Apr. 1, 1999 1–50 ...... (869–042–00025–1) ...... 46.00 Jan. 1, 2000 §§ 1.641–1.850 ...... (869–038–00084–9) ...... 35.00 Apr. 1, 1999 51–199 ...... (869–042–00026–9) ...... 38.00 Jan. 1, 2000 *§§ 1.851–1.907 ...... (869–042–00085–4) ...... 43.00 Apr. 1, 2000 200–499 ...... (869–042–00027–7) ...... 38.00 Jan. 1, 2000 §§ 1.908–1.1000 ...... (869–038–00086–5) ...... 38.00 Apr. 1, 1999 500–End ...... (869–042–00028–5) ...... 48.00 Jan. 1, 2000 §§ 1.1001–1.1400 ...... (869–038–00087–3) ...... 40.00 Apr. 1, 1999 11 ...... (869–042–00029–3) ...... 23.00 Jan. 1, 2000 §§ 1.1401–End ...... (869–038–00088–1) ...... 55.00 Apr. 1, 1999 2–29 ...... (869–038–00089–0) ...... 39.00 Apr. 1, 1999 12 Parts: 30–39 ...... (869–042–00090–1) ...... 31.00 Apr. 1, 2000 1–199 ...... (869–042–00030–7) ...... 18.00 Jan. 1, 2000 40–49 ...... (869–042–00091–9) ...... 18.00 Apr. 1, 2000 200–219 ...... (869–042–00031–5) ...... 22.00 Jan. 1, 2000 50–299 ...... (869–042–00092–7) ...... 23.00 Apr. 1, 2000 220–299 ...... (869–042–00032–3) ...... 45.00 Jan. 1, 2000 300–499 ...... (869–038–00093–8) ...... 37.00 Apr. 1, 1999 300–499 ...... (869–042–00033–1) ...... 29.00 Jan. 1, 2000 500–599 ...... (869–038–00094–6) ...... 11.00 Apr. 1, 1999 500–599 ...... (869–042–00034–0) ...... 26.00 Jan. 1, 2000 600–End ...... (869–038–00095–4) ...... 11.00 Apr. 1, 1999 600–End ...... (869–042–00035–8) ...... 53.00 Jan. 1, 2000 27 Parts: 13 ...... (869–042–00036–6) ...... 35.00 Jan. 1, 2000 1–199 ...... (869–038–00096–2) ...... 53.00 Apr. 1, 1999

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Title Stock Number Price Revision Date Title Stock Number Price Revision Date 200–End ...... (869–038–00097–1) ...... 17.00 Apr. 1, 1999 260–265 ...... (869–038–00151–9) ...... 32.00 July 1, 1999 ...... 28 Parts: ...... 266–299 (869–038–00152–7) 33.00 July 1, 1999 300–399 ...... (869–038–00153–5) ...... 26.00 July 1, 1999 0-42 ...... (869–038–00098–9) ...... 39.00 July 1, 1999 400–424 ...... (869–038–00154–3) ...... 34.00 July 1, 1999 43-end ...... (869-038-00099-7) ...... 32.00 July 1, 1999 425–699 ...... (869–038–00155–1) ...... 44.00 July 1, 1999 29 Parts: 700–789 ...... (869–038–00156–0) ...... 42.00 July 1, 1999 0–99 ...... (869–038–00100–4) ...... 28.00 July 1, 1999 790–End ...... (869–038–00157–8) ...... 23.00 July 1, 1999 100–499 ...... (869–038–00101–2) ...... 13.00 July 1, 1999 41 Chapters: 7 500–899 ...... (869–038–00102–1) ...... 40.00 July 1, 1999 1, 1–1 to 1–10 ...... 13.00 3 July 1, 1984 900–1899 ...... (869–038–00103–9) ...... 21.00 July 1, 1999 1, 1–11 to Appendix, 2 (2 Reserved) ...... 13.00 3 July 1, 1984 1900–1910 (§§ 1900 to 3–6 ...... 14.00 3 July 1, 1984 1910.999) ...... (869–038–00104–7) ...... 46.00 July 1, 1999 7 ...... 6.00 3 July 1, 1984 1910 (§§ 1910.1000 to 8 ...... 4.50 3 July 1, 1984 end) ...... (869–038–00105–5) ...... 28.00 July 1, 1999 9 ...... 13.00 3 July 1, 1984 1911–1925 ...... (869–038–00106–3) ...... 18.00 July 1, 1999 10–17 ...... 9.50 3 July 1, 1984 1926 ...... (869–038–00107–1) ...... 30.00 July 1, 1999 18, Vol. I, Parts 1–5 ...... 13.00 3 July 1, 1984 1927–End ...... (869–038–00108–0) ...... 43.00 July 1, 1999 18, Vol. II, Parts 6–19 ...... 13.00 3 July 1, 1984 30 Parts: 18, Vol. III, Parts 20–52 ...... 13.00 3 July 1, 1984 1–199 ...... (869–038–00109–8) ...... 35.00 July 1, 1999 19–100 ...... 13.00 3 July 1, 1984 200–699 ...... (869–038–00110–1) ...... 30.00 July 1, 1999 1–100 ...... (869–038–00158–6) ...... 14.00 July 1, 1999 700–End ...... (869–038–00111–0) ...... 35.00 July 1, 1999 101 ...... (869–038–00159–4) ...... 39.00 July 1, 1999 102–200 ...... (869–038–00160–8) ...... 16.00 July 1, 1999 31 Parts: 201–End ...... (869–038–00161–6) ...... 15.00 July 1, 1999 0–199 ...... (869–038–00112–8) ...... 21.00 July 1, 1999 200–End ...... (869–038–00113–6) ...... 48.00 July 1, 1999 42 Parts: 1–399 ...... (869–038–00162–4) ...... 36.00 Oct. 1, 1999 32 Parts: 400–429 ...... (869–038–00163–2) ...... 44.00 Oct. 1, 1999 1–39, Vol. I ...... 15.00 2 July 1, 1984 430–End ...... (869–038–00164–1) ...... 54.00 Oct. 1, 1999 1–39, Vol. II ...... 19.00 2 July 1, 1984 1–39, Vol. III ...... 18.00 2 July 1, 1984 43 Parts: 1–190 ...... (869–038–00114–4) ...... 46.00 July 1, 1999 1–999 ...... (869–038–00165–9) ...... 32.00 Oct. 1, 1999 191–399 ...... (869–038–00115–2) ...... 55.00 July 1, 1999 1000–end ...... (869–038–00166–7) ...... 47.00 Oct. 1, 1999 400–629 ...... (869–038–00116–1) ...... 32.00 July 1, 1999 44 ...... (869–038–00167–5) ...... 28.00 Oct. 1, 1999 630–699 ...... (869–038–00117–9) ...... 23.00 July 1, 1999 700–799 ...... (869–038–00118–7) ...... 27.00 July 1, 1999 45 Parts: 800–End ...... (869–038–00119–5) ...... 27.00 July 1, 1999 1–199 ...... (869–038–00168–3) ...... 33.00 Oct. 1, 1999 200–499 ...... (869–038–00169–1) ...... 16.00 Oct. 1, 1999 33 Parts: 500–1199 ...... (869–038–00170–5) ...... 30.00 Oct. 1, 1999 1–124 ...... (869–038–00120–9) ...... 32.00 July 1, 1999 1200–End ...... (869–038–00171–3) ...... 40.00 Oct. 1, 1999 125–199 ...... (869–038–00121–7) ...... 41.00 July 1, 1999 200–End ...... (869–038–00122–5) ...... 33.00 July 1, 1999 46 Parts: 1–40 ...... (869–038–00172–1) ...... 27.00 Oct. 1, 1999 34 Parts: 41–69 ...... (869–038–00173–0) ...... 23.00 Oct. 1, 1999 1–299 ...... (869–038–00123–3) ...... 28.00 July 1, 1999 70–89 ...... (869–038–00174–8) ...... 8.00 Oct. 1, 1999 300–399 ...... (869–038–00124–1) ...... 25.00 July 1, 1999 90–139 ...... (869–038–00175–6) ...... 26.00 Oct. 1, 1999 400–End ...... (869–038–00125–0) ...... 46.00 July 1, 1999 140–155 ...... (869–038–00176–4) ...... 15.00 Oct. 1, 1999 35 ...... (869–038–00126–8) ...... 14.00 7 July 1, 1999 156–165 ...... (869–038–00177–2) ...... 21.00 Oct. 1, 1999 166–199 ...... (869–038–00178–1) ...... 27.00 Oct. 1, 1999 36 Parts 200–499 ...... (869–038–00179–9) ...... 23.00 Oct. 1, 1999 1–199 ...... (869–038–00127–6) ...... 21.00 July 1, 1999 500–End ...... (869–038–00180–2) ...... 15.00 Oct. 1, 1999 200–299 ...... (869–038–00128–4) ...... 23.00 July 1, 1999 300–End ...... (869–038–00129–2) ...... 38.00 July 1, 1999 47 Parts: 0–19 ...... (869–038–00181–1) ...... 39.00 Oct. 1, 1999 37 (869–038–00130–6) ...... 29.00 July 1, 1999 20–39 ...... (869–038–00182–9) ...... 26.00 Oct. 1, 1999 38 Parts: 40–69 ...... (869–038–00183–7) ...... 26.00 Oct. 1, 1999 0–17 ...... (869–038–00131–4) ...... 37.00 July 1, 1999 70–79 ...... (869–038–00184–5) ...... 39.00 Oct. 1, 1999 18–End ...... (869–038–00132–2) ...... 41.00 July 1, 1999 80–End ...... (869–038–00185–3) ...... 40.00 Oct. 1, 1999 39 ...... (869–038–00133–1) ...... 24.00 July 1, 1999 48 Chapters: 1 (Parts 1–51) ...... (869–038–00186–1) ...... 55.00 Oct. 1, 1999 40 Parts: 1 (Parts 52–99) ...... (869–038–00187–0) ...... 30.00 Oct. 1, 1999 1–49 ...... (869–038–00134–9) ...... 33.00 July 1, 1999 2 (Parts 201–299) ...... (869–038–00188–8) ...... 36.00 Oct. 1, 1999 50–51 ...... (869–038–00135–7) ...... 25.00 July 1, 1999 3–6 ...... (869–038–00189–6) ...... 27.00 Oct. 1, 1999 52 (52.01–52.1018) ...... (869–038–00136–5) ...... 33.00 July 1, 1999 7–14 ...... (869–038–00190–0) ...... 35.00 Oct. 1, 1999 52 (52.1019–End) ...... (869–038–00137–3) ...... 37.00 July 1, 1999 15–28 ...... (869–038–00191–8) ...... 36.00 Oct. 1, 1999 53–59 ...... (869–038–00138–1) ...... 19.00 July 1, 1999 29–End ...... (869–038–00192–6) ...... 25.00 Oct. 1, 1999 60 ...... (869–038–00139–0) ...... 59.00 July 1, 1999 61–62 ...... (869–038–00140–3) ...... 19.00 July 1, 1999 49 Parts: 63 (63.1–63.1119) ...... (869–038–00141–1) ...... 58.00 July 1, 1999 1–99 ...... (869–038–00193–4) ...... 34.00 Oct. 1, 1999 63 (63.1200–End) ...... (869–038–00142–0) ...... 36.00 July 1, 1999 100–185 ...... (869–038–00194–2) ...... 53.00 Oct. 1, 1999 64–71 ...... (869–038–00143–8) ...... 11.00 July 1, 1999 186–199 ...... (869–038–00195–1) ...... 13.00 Oct. 1, 1999 72–80 ...... (869–038–00144–6) ...... 41.00 July 1, 1999 200–399 ...... (869–038–00196–9) ...... 53.00 Oct. 1, 1999 81–85 ...... (869–038–00145–4) ...... 33.00 July 1, 1999 400–999 ...... (869–038–00197–7) ...... 57.00 Oct. 1, 1999 86 ...... (869–038–00146–2) ...... 59.00 July 1, 1999 1000–1199 ...... (869–038–00198–5) ...... 17.00 Oct. 1, 1999 87-135 ...... (869–038–00146–1) ...... 53.00 July 1, 1999 1200–End ...... (869–038–00199–3) ...... 14.00 Oct. 1, 1999 136–149 ...... (869–038–00148–9) ...... 40.00 July 1, 1999 50 Parts: 150–189 ...... (869–038–00149–7) ...... 35.00 July 1, 1999 1–199 ...... (869–038–00200–1) ...... 43.00 Oct. 1, 1999 190–259 ...... (869–038–00150–1) ...... 23.00 July 1, 1999 200–599 ...... (869–038–00201–9) ...... 22.00 Oct. 1, 1999

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Title Stock Number Price Revision Date 600–End ...... (869–038–00202–7) ...... 37.00 Oct. 1, 1999 CFR Index and Findings Aids ...... (869–042–00047–1) ...... 53.00 Jan. 1, 2000 Complete 1999 CFR set ...... 951.00 1999 Microfiche CFR Edition: Subscription (mailed as issued) ...... 290.00 1999 Individual copies ...... 1.00 1999 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, 1999, through January 1, 2000. The CFR volume issued as of January 1, 1999 should be retained. 5 No amendments to this volume were promulgated during the period April 1, 1999, through April 1, 2000. The CFR volume issued as of April 1, 1999 should be retained. 6 No amendments to this volume were promulgated during the period April 1, 1998, through April 1, 1999. The CFR volume issued as of April 1, 1998, should be retained. 7 No amendments to this volume were promulgated during the period July 1, 1998, through July 1, 1999. The CFR volume issued as of July 1, 1998, should be retained.

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