10–23–08 Thursday Vol. 73 No. 206 Oct. 23, 2008
Pages 63057–63328
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Contents Federal Register Vol. 73, No. 206
Thursday, October 23, 2008
Agricultural Research Service Education Department NOTICES RULES Intent to Grant Exclusive License, 63132–63133 Federal Perkins Loan Program, Federal Family Education Loan Program, and William D. Ford Federal Direct Agriculture Department Loan Program, 63232–63259 See Agricultural Research Service NOTICES See Animal and Plant Health Inspection Service Agency Information Collection Activities; Proposals, See Energy Policy and New Uses Office, Agriculture Submissions, and Approvals, 63147 Department See National Agricultural Library Employee Benefits Security Administration NOTICES Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 63132 Prohibited Transaction Exemption: Chase Manhattan Bank/JPMorgan Chase Bank, National Association, 63200–63209 Air Force Department NOTICES Privacy Act; Systems of Records, 63143–63145 Employment and Training Administration RULES Animal and Plant Health Inspection Service Federal State Unemployment Compensation Program; RULES Interstate Arrangement for Combining Employment and Special Need Requests Under the Plant Protection Act, Wages, 63068–63072 63060–63066 PROPOSED RULES Handling of Animals; Contingency Plans, 63085–63090 Energy Department See Federal Energy Regulatory Commission Army Department NOTICES Energy Policy and New Uses Office, Agriculture Meetings: Department Army Science Board, 63145 Privacy Act; Systems of Records, 63145–63146 PROPOSED RULES Designation of Biobased Items for Federal Procurement, Children and Families Administration 63298–63328 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 63152–63153 Environmental Protection Agency RULES Final Authorization of State Hazardous Waste Management Commerce Department Program Revision: See Industry and Security Bureau Minnesota, 63074–63076 See International Trade Administration PROPOSED RULES See National Oceanic and Atmospheric Administration Pesticides; Data Requirements for Antimicrobial Pesticides; See Patent and Trademark Office Notice of Public Workshop, 63112–63113 NOTICES Copyright Office, Library of Congress Clean Air Act Operating Permit Program: PROPOSED RULES Petition for Objection to State Operating Permit for Fees; Correction, 63111–63112 Louisville Gas and Electric Co., 63148–63149
Defense Department See Air Force Department Federal Aviation Administration See Army Department PROPOSED RULES See Navy Department Aircraft Noise Certification Documents For International NOTICES Operations, 63098–63105 Defense Information Systems Agency Senior Executive Airworthiness Directives: Service Performance Review Board; Membership, Air Tractor, Inc. Models AT 200, AT 300, AT 400, AT 63138 500, AT 600, and AT 800 Series Airplanes, 63096– Meetings: 63098 Board of Regents of the Uniformed Services University of Bombardier Model CL 600 2C10 (Regional Jet Series 700, the Health Sciences, 63138–63139 701 & 702) Airplanes and Model CL 600 2D24 Threat Reduction Advisory Committee, 63139 (Regional Jet Series 900) Airplanes, 63094–63096 Privacy Act; Systems of Records, 63139–63142 General Electric Company CF6-80A, CF6-80C2, and CF6- Termination of Federal Advisory Committee, 63142–63143 80E1 Series Turbofan Engines, 63090–63094
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Federal Communications Commission Meetings: RULES Sport Fishing and Boating Partnership Council, 63192– Telecommunications Relay Services and Speech-to-Speech 63193 Services for Individuals with Hearing and Speech Disabilities: Food and Drug Administration E911 Requirements for IP-Enabled Service Providers, RULES 63078–63080 Substances Prohibited From Use in Animal Food or Feed; PROPOSED RULES Correction, 63072–63073 Exclusivity Arrangements Between Commercial Wireless NOTICES Carriers and Handset Manufacturers; Petition for Agency Information Collection Activities; Proposals, Rulemaking, 63127–63128 Submissions, and Approvals, 63153–63161 Petition for Rulemaking to Impose a Spectrum Aggregation Limit on All Commercial Terrestrial Wireless Spectrum Health and Human Services Department Below 2.3 GHz, 63128–63129 See Children and Families Administration Radio Broadcasting Services: See Food and Drug Administration Beatty and Goldfield, NV, 63131 See National Institutes of Health Crandon, WI, 63129–63130 NOTICES Crowell, Knox City, Quanah, and Rule, TX, 63130–63131 Biennial Progress Report of the Interagency Coordinating NOTICES Committee on the Validation of Alternative Methods Agency Information Collection Activities; Proposals, (ICCVAM), 63150 Submissions, and Approvals, 63149 Final Guidance on Engagement of Institutions in Human Subjects Research, 63150–63152 Federal Election Commission NOTICES Homeland Security Department Meetings; Sunshine Act, 63149 See Federal Emergency Management Agency See U.S. Customs and Border Protection Federal Emergency Management Agency RULES RULES Privacy Act of 1974; Implementation of Exemptions: Changes in Flood Elevation Determinations, 63076–63078 Immigration and Customs Enforcement (ICE) General PROPOSED RULES Counsel Electronic Management System (GEMS), Proposed Flood Elevation Determinations, 63113–63127 63058–63060 NOTICES Immigration and Customs Enforcement (ICE) Student and Availability of Flood Hazard Maps and Data, 63184 Exchange Visitor Information System (SEVIS) of Major Disaster and Related Determinations: Records, 63057–63058 North Carolina, 63184–63185 PROPOSED RULES Major Disaster Declaration: Privacy Act of 1974; Implementation of Exemptions: Illinois, 63185 Department of Homeland Security General Legal Records, Louisiana, 63185–63186 63084–63085 Texas, 63186–63187 NOTICES Privacy Act; Systems of Records, 63172–63184 Federal Energy Regulatory Commission PROPOSED RULES Housing and Urban Development Department Version Two Facilities Design, Connections and NOTICES Maintenance Reliability Standards, 63105–63110 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 63188 Combined Notice of Filings, 63147–63148 Privacy Act; Computer Matching Program, 63188–63190 Federal Highway Administration Indian Affairs Bureau NOTICES Environmental Impact Statements; Availability, etc.: NOTICES Lake County, IL, 63227 Indian Gaming; Tribal - State Class III Gaming Amendment Final Federal Agency Actions on Proposed Highway in Taking Effect, 63193 Virginia, 63228 Industry and Security Bureau Federal Reserve System NOTICES NOTICES Agency Information Collection Activities; Proposals, Proposals to Engage in Permissible Nonbanking Activities Submissions, and Approvals, 63133–63134 or to Acquire Companies that are Engaged in Permissible Nonbanking Activities, 63149–63150 Interior Department See Fish and Wildlife Service Federal Trade Commission See Indian Affairs Bureau RULES See Land Management Bureau Appliance Labeling Rule; Correction, 63066–63068 See National Park Service See Surface Mining Reclamation and Enforcement Office Fish and Wildlife Service NOTICES Internal Revenue Service Environmental Impact Statements; Availability, etc.: RULES Tetlin National Wildlife Refuge, Tok, AK; Revised Application of Section 409A to Nonqualified Deferred Comprehensive Conservation Plan, 63190–63192 Compensation Plans; Correction, 63073–63074
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NOTICES National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals, 63228–63229 Fisheries of the Exclusive Economic Zone Off Alaska: Atka Mackerel by Vessels in the Amendment 80 Limited International Trade Administration Access Fishery in the Eastern Aleutian District, etc., NOTICES 63081–63082 Carbon and Certain Alloy Steel Wire Rod from Canada: Atka Mackerel in the Bering Sea and Aleutian Islands Extension of Time Limits for Final Result of Management Area, 63083 Antidumping Duty Administrative Review, 63134 Pacific Ocean Perch by Vessels in the Amendment 80 Limited Access Fishery, etc., 63082 International Trade Commission Reallocation of Yellowfin Sole in the Bering Sea and NOTICES Aleutian Islands Management Area, 63080–63081 Investigation: Semiconductor Integration Circuits Using Tungsten National Park Service Metalization and Products Containing Same, 63195 NOTICES Environmental Impact Statements; Availability, etc.: Justice Department Grand Canyon National Park, AZ; Fire Management Plan, NOTICES 63194 Consent Decree: MidAmerican Energy Co. and Iowa-Illinois Manor, LLC, Navy Department 63196 NOTICES Radiation Exposure Compensation Act: Government-Owned Inventions; Availability for Licensing, Allowance for Costs and Expenses; Combination of Work 63146–63147 Histories, 63196–63198 Nuclear Regulatory Commission Labor Department NOTICES See Employee Benefits Security Administration Draft Regulatory Guide; Issuance, Availability, 63212–63213 See Employment and Training Administration See Mine Safety and Health Administration NOTICES Patent and Trademark Office Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 63198–63200 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Land Management Bureau Public Key Infrastructure (PKI) Certificate Action Form, NOTICES 63134–63135 Filing of Plats of Survey: Privacy Act; Systems of Records, 63135–63138 Nevada, 63193–63194 Securities and Exchange Commission Library of Congress NOTICES See Copyright Office, Library of Congress Agency Information Collection Activities; Proposals, Submissions, and Approvals, 63213–63216 Mine Safety and Health Administration Allocation of Regulatory Responsibilities: PROPOSED RULES American Stock Exchange LLC, BATS Exchange, Inc., Alcohol- and Drug-Free Mines: Boston Stock Exchange, Inc., et al., 63216–63218 Policy, Prohibitions, Testing, Training, and Assistance, Applications: 63110–63111 WLD Enterprises, Inc., 63218–63219 NOTICES Self-Regulatory Organizations; Order Approving Minor Rule Agency Information Collection Activities; Proposals, Violation Plan: Submissions, and Approvals, 63209–63211 BATS Exchange, Inc., 63219–63220 Self-Regulatory Organizations; Proposed Rule Changes: National Aeronautics and Space Administration Boston Stock Exchange, Inc., 63221–63222 NOTICES NASDAQ Stock Market LLC, 63222–63224 Agency Information Collection Activities; Proposals, New York Stock Exchange LLC, 63224–63225 Submissions, and Approvals, 63211–63212 Small Business Administration National Agricultural Library NOTICES NOTICES Disaster Declarations: Agency Information Collection Activities; Proposals, Kentucky, 63225–63226 Submissions, and Approvals, 63133 North Carolina, 63226 Oklahoma, 63226 National Institutes of Health NOTICES State Department Government-Owned Inventions; Availability for Licensing, NOTICES 63161–63171 Bureau of Verification, Compliance and Implementation: Meetings: Imposition of Measures Against Foreign Persons, National Institute of Allergy and Infectious Diseases, Including a Ban on U.S. Government Procurement, 63172 63226–63227
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State Justice Institute NOTICES Grant Guideline, 63262–63296 Separate Parts In This Issue Surface Mining Reclamation and Enforcement Office NOTICES Part II Agency Information Collection Activities; Proposals, Education Department, 63232–63259 Submissions, and Approvals, 63194–63195
Transportation Department Part III See Federal Aviation Administration State Justice Institute, 63262–63296 See Federal Highway Administration Treasury Department Part IV See Internal Revenue Service Agriculture Department, Energy Policy and New Uses Office, Agriculture Department, 63298–63328 U.S. Customs and Border Protection NOTICES Commercial Gauger and Laboratory Accreditation and Approval: Reader Aids Certispec Services USA, Inc., 63187 Consult the Reader Aids section at the end of this issue for Commercial Gauger Approval: phone numbers, online resources, finding aids, reminders, Oiltest, Inc., 63187 and notice of recently enacted public laws. Omni Hydrocarbon Measurement, 63187–63188 To subscribe to the Federal Register Table of Contents Veterans Affairs Department LISTSERV electronic mailing list, go to http:// NOTICES listserv.access.gpo.gov and select Online mailing list Agency Information Collection Activities; Proposals, archives, FEDREGTOC-L, Join or leave the list (or change Submissions, and Approvals, 63229–63230 settings); then follow the instructions.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
6 CFR 5 (2 documents) ...... 63057, 63058 Proposed Rules: 5...... 63084 7 CFR 301...... 63060 Proposed Rules: 2902...... 63298 9 CFR Proposed Rules: 2...... 63085 14 CFR Proposed Rules: 39 (3 documents) ...... 63090, 63094, 63096 91...... 63098 16 CFR 305...... 63066 18 CFR Proposed Rules: 40...... 63105 20 CFR 616...... 63068 21 CFR 589...... 63072 26 CFR 1...... 63073 30 CFR Proposed Rules: 56...... 63110 57...... 63110 66...... 63110 34 CFR 674...... 63232 682...... 63232 685...... 63232 37 CFR Proposed Rules: 201...... 63111 40 CFR 271...... 63074 Proposed Rules: 158...... 63112 161...... 63112 44 CFR 65...... 63076 Proposed Rules: 67 (2 documents) ...... 63113, 63116 47 CFR 64...... 63078 Proposed Rules: Ch. I (2 documents)...... 63127, 63128 73 (3 documents) ...... 63129, 63130, 63131 50 CFR 679 (4 documents) ...... 63080, 63081, 63082, 63083
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Rules and Regulations Federal Register Vol. 73, No. 206
Thursday, October 23, 2008
This section of the FEDERAL REGISTER system of records from one or more application, reporting, or other types of contains regulatory documents having general provisions of the Privacy Act because of information collection requirements. applicability and legal effect, most of which criminal, civil, and administrative Regulatory Requirements are keyed to and codified in the Code of enforcement requirements. The system Federal Regulations, which is published under of records is the ICE Student and A. Regulatory Impact Analyses 50 titles pursuant to 44 U.S.C. 1510. Exchange Visitor Information System Changes to Federal regulations must The Code of Federal Regulations is sold by (SEVIS). The SEVIS system of records undergo several analyses. In conducting the Superintendent of Documents. Prices of notice (SORN) was published these analyses, DHS has determined: new books are listed in the first FEDERAL concurrently in the Federal Register, 70 REGISTER issue of each week. FR 14477, Mar. 22, 2005, and comments 1. Executive Order 12866 Assessment were invited on both the proposed rule This rule is not a significant and SORN. No comments were received regulatory action under Executive Order DEPARTMENT OF HOMELAND from the public regarding either the 12866, ‘‘Regulatory Planning and SECURITY SORN or the proposed rule. Therefore, Review’’ (as amended). Accordingly, no changes have been made to the rule this rule has not been reviewed by the Office of the Secretary or the SORN, and DHS is implementing Office of Management and Budget the final rule as published. (OMB). Nevertheless, DHS has reviewed 6 CFR Part 5 DHS is claiming exemption from this rulemaking, and concluded that [Docket No. DHS–2008–0103] certain requirements of the Privacy Act there will not be any significant for SEVIS. Because the purpose of the economic impact. Privacy Act of 1974: Implementation of SEVIS system is to collect and maintain 2. Regulatory Flexibility Act Assessment Exemptions; Immigration and Customs pertinent information on nonimmigrant Enforcement (ICE) Student and students and exchange visitors and the Pursuant to section 605 of the Exchange Visitor Information System schools and exchange visitor program Regulatory Flexibility Act (RFA), 5 (SEVIS) of Records sponsors that host them while in the U.S.C. 605(b), as amended by the Small United States in order to ensure that Business Regulatory Enforcement and AGENCY: Privacy Office, DHS. these individuals comply with the Fairness Act of 1996 (SBREFA), DHS ACTION: Final rule. requirements of their admission, it is certifies that this rule will not have a significant impact on a substantial SUMMARY: The Department of Homeland possible that the information in the record system may pertain to national number of small entities. The rule Security is issuing a final rule to amend would impose no duties or obligations its regulations to exempt portions of a security or law enforcement matters. In such cases, allowing access to such on small entities. Further, the new system of records entitled the exemptions to the Privacy Act apply to ‘‘Immigration and Customs Enforcement information could alert the subject of the information to an investigation of an individuals, and individuals are not Student and Exchange Visitor covered entities under the RFA. Information System’’ (SEVIS) from actual or potential criminal, civil, or certain provisions of the Privacy Act. regulatory violation and reveal 3. International Trade Impact Specifically, the Department exempts investigative interest on the part of DHS Assessment portions of the SEVIS system from one or another agency. Disclosure of the This rulemaking will not constitute a or more provisions of the Privacy Act information would therefore present a barrier to international trade. The because of criminal, civil, and serious impediment to law enforcement exemptions relate to civil or criminal administrative enforcement efforts and/or efforts to preserve investigations and agency requirements. national security. Disclosure of the documentation and, therefore, do not information would also permit the create any new costs or barriers to trade. DATES: Effective Date: This final rule is individual, who is the subject of a effective October 23, 2008. record, to impede the investigation and 4. Unfunded Mandates Assessment FOR FURTHER INFORMATION CONTACT: Lyn avoid detection or apprehension, which Title II of the Unfunded Mandates Rahilly, Privacy Officer, U.S. undermines the entire system. This Reform Act of 1995 (UMRA), (Pub. L. Immigration and Customs Enforcement, exemption is a standard law 104–4, 109 Stat. 48), requires Federal 425 I Street, NW., Washington, DC enforcement and national security agencies to assess the effects of certain 20536, e-mail: [email protected], or exemption utilized by numerous law regulatory actions on State, local, and Hugo Teufel III (703–235–0780), Chief enforcement and intelligence agencies. tribal governments, and the private Privacy Officer, Privacy Office, U.S. Pursuant to the requirements of the sector. This rulemaking will not impose Department of Homeland Security, Regulatory Flexibility Act, 5 U.S.C. 601– an unfunded mandate on State, local, or Washington, DC 20528. 612, DHS certifies that these regulations tribal governments, or on the private SUPPLEMENTARY INFORMATION: will not significantly affect a substantial sector. number of small entities. The final rule Background imposes no duties or obligations on B. Paperwork Reduction Act The Department of Homeland small entities. Further, in accordance The Paperwork Reduction Act of 1995 Security (DHS) published a notice of with the provisions of the Paperwork (PRA) (44 U.S.C. 3501 et seq.) requires proposed rulemaking in the Federal Reduction Act of 1995, 44 U.S.C. 3501, that DHS consider the impact of Register, 70 FR 14427, Mar. 22, 2005, DHS has determined that this final rule paperwork and other information proposing to exempt portions of the would not impose new recordkeeping, collection burdens imposed on the
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public and, under the provisions of PRA portions of this system are exempt from 5 DEPARTMENT OF HOMELAND section 3507(d), obtain approval from U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H) and SECURITY the Office of Management and Budget (I). Exemptions from the particular (OMB) for each collection of subsections are justified, on a case by case Office of the Secretary information it conducts, sponsors, or basis, to be determined at the time a request requires through regulations. DHS has is made, for the following reasons: 6 CFR Part 5 (a) From subsection (c)(3) (Accounting for determined that there are no current or [Docket No. DHS–2008–0104] new information collection Disclosures) because release of the requirements associated with this rule. accounting of disclosures could alert the Privacy Act of 1974: Implementation of subject of an investigation, of an actual or Exemptions; Immigration and Customs C. Executive Order 13132, Federalism potential criminal, civil, or regulatory Enforcement (ICE) General Counsel This action will not have a substantial violation to the existence of the investigation Electronic Management System direct effect on the States, on the and reveal investigative interest on the part (GEMS) relationship between the national of DHS as well as the recipient agency. Government and the States, or on the Disclosure of the accounting would therefore AGENCY: Privacy Office, DHS. distribution of power and present a serious impediment to law ACTION: Final rule. responsibilities among the various enforcement efforts and/or efforts to preserve SUMMARY: The Department of Homeland levels of government, and therefore will national security. Disclosure of the Security is issuing a final rule to amend not have federalism implications. accounting would also permit the individual who is the subject of a record to impede the its regulations to exempt portions of a D. Environmental Analysis investigation and avoid detection or new system of records entitled the DHS has reviewed this action for apprehension, which undermines the entire ‘‘Immigration and Customs Enforcement purposes of the National Environmental system. General Counsel Electronic Management Policy Act of 1969 (NEPA) (42 U.S.C. (b) From subsection (d) (Access to Records) System’’ (GEMS) from certain 4321–4347) and has determined that because access to the records contained in provisions of the Privacy Act. Specifically, the Department exempts this action will not have a significant this system of records could inform the portions of the GEMS system from one effect on the human environment. subject of an investigation, of an actual or potential criminal, civil, or regulatory or more provisions of the Privacy Act E. Energy Impact violation to the existence of the investigation because of criminal, civil, and The energy impact of this action has and reveal investigative interest on the part administrative enforcement been assessed in accordance with the of DHS or another agency. Access to the requirements. Energy Policy and Conservation Act records could permit the individual who is DATES: Effective Date: This final rule is (EPCA) Public Law 94–163, as amended the subject of a record to impede the effective October 23, 2008. (42 U.S.C. 6362). This rulemaking is not investigation and avoid detection or FOR FURTHER INFORMATION CONTACT: Lyn a major regulatory action under the apprehension. Amendment of the records Rahilly, Privacy Officer, U.S. provisions of the EPCA. could interfere with ongoing investigations Immigration and Customs Enforcement, and law enforcement activities and impose List of Subjects in 6 CFR Part 5 425 I Street, NW., Washington, DC an impossible administrative burden by 20536, e-mail: [email protected], or Freedom of information; Privacy. requiring investigations to be continuously Hugo Teufel III (703–235–0780), Chief ■ For the reasons stated in the preamble, reinvestigated. In addition, permitting access Privacy Officer, Privacy Office, U.S. DHS amends Chapter I of Title 6, Code and amendment to such information also Department of Homeland Security, of Federal Regulations, as follows: could disclose security-sensitive information Washington, DC 20528. that could be detrimental to homeland SUPPLEMENTARY INFORMATION: PART 5—DISCLOSURE OF RECORDS security. AND INFORMATION (c) From subsection (e)(1) (Relevancy and Background Necessity of Information) because in the The Department of Homeland ■ 1. The authority citation for part 5 course of investigations into potential continues to read as follows: Security (DHS) published a notice of violations of federal law, the accuracy of proposed rulemaking in the Federal Authority: Pub. L. 107–296, 116 Stat. 2135, information obtained or introduced Register, 71 FR 16519, April 3, 2006, occasionally may be unclear or the 6 U.S.C. 101 et seq.; 5 U.S.C. 301. Subpart A proposing to exempt portions of the information may not be strictly relevant or also issued under 5 U.S.C. 552. system of records from one or more necessary to a specific investigation. In the ■ provisions of the Privacy Act because of 2. At the end of Appendix C to Part interests of effective enforcement of federal criminal, civil, and administrative 5, add the following new paragraph 10 laws, it is appropriate to retain all enforcement requirements. The system to read as follows: information that may aid in establishing of records is the ICE General Counsel patterns of unlawful activity. Appendix C to Part 5—DHS Systems of Electronic Management System (GEMS). (d) From subsections (e)(4)(G), (H) and (I) Records Exempt From the Privacy Act The GEMS system of records notice (Agency Requirements), and (f) (Agency * * * * * Rules), because portions of this system are (SORN) was published in the Federal 10. DHS–ICE–001, The Immigration and exempt from the access provisions of Register, 71 FR 16326, March 31, 2006. Customs Enforcement (ICE) Student and subsection (d). Comments were invited on both the Exchange Visitor Information System (SEVIS) proposed rule and SORN. No comments collects and maintains pertinent information Hugo Teufel III, were received from the public regarding on nonimmigrant students and exchange either the SORN or the proposed rule. visitors and the schools and exchange visitor Chief Privacy Officer, Department of program sponsors that host them while in the Homeland Security. Therefore, no changes have been made United States. The system permits DHS to [FR Doc. E8–25000 Filed 10–22–08; 8:45 am] to the rule or the SORN, and DHS is monitor compliance by these individuals BILLING CODE 4410–10–P implementing the final rule as with the terms of their admission into the published. United States. Pursuant to exemptions (j)(2), DHS is claiming exemption from (k)(1), (k)(2) and (k)(5) of the Privacy Act, certain requirements of the Privacy Act
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for GEMS because the system will 2. Regulatory Flexibility Act Assessment E. Energy Impact consist of information that is created or Pursuant to section 605 of the The energy impact of this action has acquired and used by ICE attorneys Regulatory Flexibility Act (RFA), 5 been assessed in accordance with the working on the preparation and U.S.C. 605(b), as amended by the Small Energy Policy and Conservation Act presentation of cases for a court or Business Regulatory Enforcement and (EPCA) Public Law 94–163, as amended adjudicative body before which ICE or Fairness Act of 1996 (SBREFA), DHS (42 U.S.C. 6362). This rulemaking is not DHS is authorized or required to appear. certifies that this rule will not have a a major regulatory action under the Attorneys for the Department of Justice significant impact on a substantial provisions of the EPCA. will also be able to access the system if number of small entities. The rule they have a need for the information in would impose no duties or obligations List of Subjects in 6 CFR Part 5 the performance of their official duties. on small entities. Further, the Freedom of information; Privacy. ICE attorneys work closely with exemptions to the Privacy Act apply to ■ For the reasons stated in the preamble, investigators throughout the process of individuals, and individuals are not DHS amends Chapter I of Title 6, Code adjudicating immigration cases. ICE covered entities under the RFA. of Federal Regulations, as follows: attorneys must have access to 3. International Trade Impact investigative documents and related PART 5—DISCLOSURE OF RECORDS Assessment materials in order to form their AND INFORMATION decisions about how to handle This rulemaking will not constitute a ■ particular cases. barrier to international trade. The 1. The authority citation for part 5 continues to read as follows: Additionally, ICE attorneys create exemptions relate to investigations of attorney work product associated with violations of civil or criminal laws and, Authority: Pub. L. 107–296, 116 Stat. 2135, immigration proceedings. The GEMS therefore, do not create any new costs or 6 U.S.C. 101 et seq.; 5 U.S.C. 301. Subpart A system will facilitate the collection and barriers to trade. also issued under 5 U.S.C. 552. maintenance of materials used by ICE 4. Unfunded Mandates Assessment ■ 2. At the end of Appendix C to Part attorneys in immigration adjudications. Title II of the Unfunded Mandates 5, add the following new paragraph 11 It will supplement and ultimately Reform Act of 1995 (UMRA), (Pub. L. to read as follows: replace the current attorney work 104–4, 109 Stat. 48), requires Federal product paper files that are primarily Appendix C to Part 5—DHS Systems of agencies to assess the effects of certain stored and managed in the hardcopy Records Exempt From the Privacy Act regulatory actions on State, local, and alien file commonly known as the ‘‘A- tribal governments, and the private * * * * * file.’’ 11. The General Counsel Electronic sector. This rulemaking will not impose In this final rule, DHS is exempting Management System (GEMS) consists of an unfunded mandate on State, local, or records and information created or collected this system, in part, from certain tribal governments, or on the private provisions of the Privacy Act and by attorneys for U.S. Immigration and sector. Customs Enforcement, which will be used in adding that exemption to Appendix C to the preparation and presentation of cases Part 5, DHS Systems of Records. B. Paperwork Reduction Act before a court or other adjudicative body. ICE Pursuant to the requirements of the The Paperwork Reduction Act of 1995 attorneys work closely with ICE law Regulatory Flexibility Act, 5 U.S.C. 601– (PRA) (44 U.S.C. 3501 et seq.) requires enforcement personnel throughout the 612, DHS certifies that these regulations that DHS consider the impact of process of adjudicating immigration cases. will not significantly affect a substantial paperwork and other information GEMS allows ICE attorneys to store all the number of small entities. The final rule collection burdens imposed on the materials pertaining to immigration adjudications, including documents related imposes no duties or obligations on public and, under the provisions of PRA to investigations, case notes and other small entities. Further, in accordance section 3507(d), obtain approval from hearing related information, and briefs and with the provisions of the Paperwork the Office of Management and Budget memoranda of law related to cases. Having Reduction Act of 1995, 44 U.S.C. 3501, (OMB) for each collection of this information in one system should not DHS has determined that this final rule information it conducts, sponsors, or only facilitate the work of the ICE attorneys would not impose new record keeping, requires through regulations. DHS has involved in the particular case, but also will application, reporting, or other types of determined that there are no current or provide a legal resource for other attorneys information collection requirements. new information collection who are adjudicating similar cases. The requirements associated with this rule. system will also provide management Regulatory Requirements capabilities for tracking time and effort C. Executive Order 13132, Federalism expended in the preparation and A. Regulatory Impact Analyses presentation of cases. Pursuant to exemptions This action will not have a substantial 5 U.S.C. 552a(j)(2) of the Privacy Act, Changes to Federal regulations must direct effect on the States, on the undergo several analyses. In conducting portions of this system are exempt from 5 relationship between the national U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), these analyses, DHS has determined: Government and the States, or on the (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); 1. Executive Order 12866 Assessment distribution of power and (f)(2) through (5); and (g). Pursuant to 5 responsibilities among the various U.S.C. 552a (k)(1) and (k)(2), this system is This rule is not a significant levels of government, and therefore will exempt from the following provisions of the regulatory action under Executive Order not have federalism implications. Privacy Act, subject to the limitations set 12866, ‘‘Regulatory Planning and forth in those subsections: 5 U.S.C. 552a Review’’ (as amended). Accordingly, D. Environmental Analysis (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). this rule has not been reviewed by the DHS has reviewed this action for Exemptions from these particular subsections are justified, on a case-by-case basis to be Office of Management and Budget purposes of the National Environmental determined at the time a request is made, for (OMB). Nevertheless, DHS has reviewed Policy Act of 1969 (NEPA) (42 U.S.C. the following reasons: this rulemaking, and concluded that 4321–4347) and has determined that (a) From subsection (c)(3) (Accounting for there will not be any significant this action will not have a significant Disclosures) because release of the economic impact. effect on the human environment. accounting of disclosures could alert the
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subject of an investigation of an actual or (h) From subsection (e)(8) (Notice on commerce of any plant, plant product, potential criminal, civil, or regulatory Individuals) because compliance would biological control organism, noxious violation, to the existence of the interfere with ICE’s ability to obtain, serve, weed, article, or means of conveyance if investigation, which in some cases may be and issue subpoenas, warrants and other law the Secretary determines that the classified, and reveal investigative interest on enforcement mechanisms that may be filed the part of DHS or ICE. Disclosure of the under seal, and could result in disclosure of prohibition or restriction is necessary to accounting would therefore present a serious investigative techniques, procedures, and prevent the introduction of a plant pest impediment to law enforcement efforts and/ evidence. or noxious weed into the United States, or efforts to preserve national security. (i) From subsection (g) to the extent that or the dissemination of a plant pest or Disclosure of the accounting would also the system is exempt from other specific noxious weed within the United States. permit the individual who is the subject of subsections of the Privacy Act. The Secretary has delegated this a record to impede the investigation, tamper Hugo Teufel III, authority to the Administrator of the with witnesses or evidence, and avoid Animal and Plant Health Inspection detection or apprehension, which would Chief Privacy Officer, Department of undermine the entire investigative process. Homeland Security. Service (APHIS). Under section 436 of the PPA (b) From subsection (d) (Access to Records) [FR Doc. E8–24996 Filed 10–22–08; 8:45 am] because access to the records contained in (7 U.S.C. 7756), no State or political BILLING CODE 4410–10–P this system of records could inform the subdivision of a State may regulate the subject of an investigation pertaining to an movement in interstate commerce of immigration matter, which in some cases any article, means of conveyance, plant, may be classified, and prematurely reveal DEPARTMENT OF AGRICULTURE biological control organism, plant pest, investigative interest on the part of DHS or noxious weed, or plant product in order Animal and Plant Health Inspection another agency. Access to the records could (1) to control a plant pest or noxious permit the individual who is the subject of Service a record to impede the investigation, tamper weed; (2) to eradicate a plant pest or noxious weed; or (3) to prevent the with witnesses or evidence, and avoid 7 CFR Part 301 detection or apprehension. Amendment of introduction or dissemination of a the records could interfere with ongoing [Docket No. APHIS–2005–0103] biological control organism, plant pest, investigations and law enforcement activities RIN 0579–AB98 or noxious weed if the Secretary has and would impose an impossible issued a regulation or order to prevent administrative burden by requiring Special Need Requests Under the Plant the dissemination of the biological investigations to be continuously Protection Act control organism, plant pest, or noxious reinvestigated. In addition, permitting access weed within the United States. The only and amendment to such information could AGENCY: Animal and Plant Health exceptions to this prohibition are when disclose security-sensitive information that Inspection Service, USDA. could be detrimental to homeland security. a State or political subdivision of a State (c) From subsection (e)(1) (Relevancy and ACTION: Final rule. imposes regulations which are Necessity of Information) because in the consistent with and do not exceed the course of investigations into potential SUMMARY: We are amending our regulations or orders issued by the violations of federal immigration law, the domestic quarantine regulations to Secretary, or when the State or political accuracy of information obtained or establish a process by which a State or subdivision of a State demonstrates to introduced occasionally may be unclear or political subdivision of a State could the Secretary, and the Secretary finds, the information may not be strictly relevant request approval to impose prohibitions that there is a special need for or necessary to a specific investigation. In the or restrictions on the movement in interests of effective law enforcement and for additional prohibitions or restrictions interstate commerce of specific articles based on sound scientific data or a the protection of national security, it is that are in addition to the prohibitions appropriate to retain all information that may thorough risk assessment. aid in establishing patterns of unlawful and restrictions imposed by the Animal On April 4, 2006, we published in the activity. and Plant Health Inspection Service. Federal Register (71 FR 16711–16716, (d) From subsection (e)(2) (Collection of The Plant Protection Act provides that Docket No. APHIS–2005–0103) a Information from Individuals) because States or political subdivisions of States proposal 1 to amend the regulations by requiring that information be collected from may make such special need requests, adding a new ‘‘Subpart—Special Need the subject of an investigation would alert the but there are currently no procedures in Requests’’ (7 CFR 301.1 through 301.1– subject of the nature or existence of an place for their submission or investigation, which could cause interference 3) in which we set out procedures for consideration. This action establishes a the submission and handling of special with the investigation, a related inquiry or process by which States may make a other law enforcement activities, some of need requests. which may be classified. special need request. We solicited comments concerning (e) From subsection (e)(3) (Notice to DATES: Effective Date: November 24, our proposal for 60 days ending June 5, Subjects) because providing such detailed 2008. 2006. We received 17 comments by that information would impede law enforcement FOR FURTHER INFORMATION CONTACT: Mr. date. They were from representatives of in that it could compromise the existence of State agriculture departments, a confidential investigation or reveal the Osama El-Lissy, Director, Emergency Management, Emergency and Domestic environmental groups, industry identity of witnesses or confidential organizations, and private citizens. informants. Programs, PPQ, APHIS, 4700 River Road (f) From subsections (e)(4)(G) and (H) Unit 134, Riverdale, MD 20737–1237; While the majority of these commenters (Agency Requirements), (f) (Agency Rules), (301) 734–5459. supported the establishment of criteria for the submission of special need and (g) (Civil Remedies) because portions of SUPPLEMENTARY INFORMATION: this system are exempt from the individual requests, all of the commenters access provisions of subsection (d). Background expressed some reservations, which are (g) From subsection (e)(5) (Collection of discussed below by topic. We are Information) because in the collection of The Plant Protection Act (PPA, 7 U.S.C. 7701 et seq.) gives authority to information for law enforcement purposes it 1 To view the proposed rule and the comments is impossible to determine in advance what the Secretary of Agriculture to prohibit we received, go to http://www.regulations.gov/ information is accurate, relevant, timely, and or restrict the importation, entry, fdmspublic/component/ complete. exportation, or movement in interstate main?main=DocketDetail&d=APHIS-2005-0103.
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making only minor changes in response renewal would have to be submitted no These terms are drawn from the text to those comments. sooner than 6 months and no later than of the Plant Protection Act (‘‘* * * a Several commenters were concerned 3 months prior to the end of the 2-year State demonstrates to the Secretary, and that the timeframe for APHIS to review applicability period for the initial the Secretary finds, that there is a and make a decision to grant or deny a exception. Once we have received a special need for additional prohibitions special need request would be too long request for a renewal, we would follow or restrictions based on sound scientific and could potentially hinder rapid the same notice and comment process data or a thorough risk assessment’’), response to the introduction or spread we used for the initial granting of the and we do not consider them to have of a pest. Several of these commenters special need exception. If, by the end of any specialized meaning beyond their proposed their own timelines for each the 2-year applicability period, the State commonly understood meanings. step in the review and decisionmaking or political subdivision of a State does Section 301.1–2 of the regulations process or suggested publishing the not submit a renewal, the State or clearly outlines the type of information receipt of a special need request as an political subdivision of a State’s special required for consideration of a special interim rule. need exception will lapse and the State need request and provides for the We disagree that the special need or political subdivision of a State will submission of risk analyses or other request process would hinder timely have to reapply for the special need scientific data in support of a special response to the introduction or spread exception. need request. of pests. The special need request Several commenters were concerned Another commenter asked whether process is intended as a way for States about the process used in circumstances States may petition USDA to conduct to request authorization to establish where there may be insufficient data risk assessments or whether States additional prohibitions or restrictions regarding the pest potential of a specific would be required to conduct their own for pests that APHIS already currently species or expressed concern regarding assessments. regulates. There are other processes in the burden on States to answer the We believe that States would be in a place for responding to new pests. In criteria for the special need request better position to come up with the information required under § 301.1–2 addition, the review and comprehensively, particularly with decisionmaking process for special need than APHIS, as they would be more respect to the cost of surveys. Several requests would not be a rulemaking aware of the special circumstances that commenters suggested that, similar to process, as we would not be amending led them to apply for additional the process used by the World Trade the regulations to reflect our granting of measures. However, given that special Organization (WTO), a State or political a request. As stated in the proposed need requests only apply to pests that subdivision of a State be allowed to rule, upon receipt of a complete special APHIS is already currently regulating, adopt temporary restrictions until need request, we would publish a notice we welcome, and will accommodate, APHIS has had time to evaluate whether in the Federal Register announcing the requests from States for any information such restrictions are valid. availability for review and comment of we have gathered on such pests. the request along with all materials As stated above, the special need Two commenters expressed concern submitted in support of the request. request process is intended as a way for that the proposed rule promotes Following the comment period, we States to request additional prohibitions economic protectionism by allowing would publish another notice advising or restrictions for pests that APHIS States to restrict interstate movement in the public of the Administrator’s already currently regulates. Therefore, order to protect a specific crop or decision to either grant or deny the we would expect that only in rare commodity. special need request based upon his or instances would there not be sufficient We disagree that the proposed rule her review and evaluation of the data present about a certain pest. We promotes economic protectionism. Our information submitted in support of the will take lack of data into account in process for deciding to either grant or request and of any comments received. such instances. With respect to deny a special need request will be If a special need request is time temporary restrictions, the PPA requires determined exclusively on the basis of sensitive, the State making the request that special need exceptions be based on the best available science and the need should give APHIS an idea of its sound scientific data or a thorough risk to take the least restrictive action. In urgency so that we may prioritize our assessment; therefore we do not believe addition, the decision to grant or deny review and decisionmaking regarding that special need exceptions should be a special need request will be based on that request. granted until a full review of the several specific criteria and each of One commenter stated that a special available data has been conducted. those criteria will need to be satisfied need exception should automatically Several commenters requested through the presentation of compelling, expire after a certain period of time clarification or definitions of terms used science-based evidence. However, we unless a State can successfully within the rule, such as ‘‘special need,’’ have revised our criteria in order to demonstrate that there is a continued ‘‘sound scientific data,’’ and ‘‘risk clarify that we will not grant a special need for the exemption. assessment.’’ Several commenters also need request based solely on economic We agree that a special need asked for specific criteria regarding the factors. exception may no longer be necessary type of data we would accept in Another commenter suggested that, in after a certain period of time. Therefore, consideration of a special need request the event of the withdrawal of a special this final rule provides that a special or whether both ‘‘sound scientific data’’ need exception, the special need need exception, if granted, would be and a ‘‘thorough risk assessment’’ are exception be continued through the applicable for 2 years, after which the needed to make a special need request. comment period and up to and until a State or political subdivision of a State Some commenters suggested that it withdrawal decision by the must submit a request for renewal of the would be helpful to adopt the Administrator. exemption. If a renewal is submitted, it definitions and standards used by As stated in § 301.1–3(d), if the would need to address the same criteria international organizations such as the Administrator determines that there is as the initial request (an updated risk WTO, the International Plant Protection the need for the withdrawal of a special analysis, survey, etc.) and would have to Convention (IPPC), or the Food and need exception before the renewal date show that a special need still exists. The Agriculture Organization. of the exception, APHIS will publish a
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notice in the Federal Register to inform One commenter suggested that States developing their own special need the public of the withdrawal and to that have violated Federal regulations requests. However, we would not make the information supporting the by imposing prohibitions or restrictions require States to provide specific data withdrawal available for review and on interstate movement that are in showing that their special need request public comment for at least 60 days. A addition to current APHIS prohibitions would not negatively impact other withdrawal of a special need exception or restrictions should be excluded from States or political subdivisions. Such will not come into effect until the close making special need requests. considerations will be taken into of the comment period and evaluation We do not believe that the account during review of a special need of all comments received, after which commenter’s suggestion is appropriate. request. States may also collaborate with APHIS will publish another notice Instances of States acting contrary to the other States in submitting multi-State announcing the Administrator’s PPA have been very rare. In addition, special need requests. However, the decision to either withdraw or uphold prohibiting States that have acted special need request must include the special need exception. contrary to Federal regulations from sufficient, detailed information to allow One commenter was concerned that a ever making special need requests may APHIS to evaluate and make a special need request involving a prevent us from granting legitimate determination to either grant or deny potentially weedy plant might be special need requests and thus impair the special need request for each State rejected by APHIS on the grounds that our ability to protect American on an individual basis. In order to the plant is ‘‘present’’ in a State or agriculture. explicitly provide for multi-State special political subdivision of a State, when in One commenter stated that a special need requests, we are adding this fact the plant is present only in nursery need request should only be made when information to the introductory text of or garden settings. a State can demonstrate that there is proposed § 301.1–2(a). Our policies for determining when a something ‘‘truly so unusual within the Several commenters questioned weed is considered to be ‘‘present’’ are State’’ and ‘‘that APHIS is incapable of whether a special need request would regulating for that risk’’. Further, the consistent with IPPC guidelines, be applicable to a pathway rather than commenter stated that a special need specifically International Standards for to just individual pests. request should not be used as a way to Phytosanitary Measures No. 8, As stated in the proposed rule, the appeal regulations that a State does not ‘‘Determination of Pest Status in an PPA gives authority to the Secretary of agree with. Two other commenters Area’’. We do not envision Agriculture to prohibit or restrict, stated that the granting of a special need circumstances under which we would among other things, the importation, request should be rare. cite the mere presence of a plant in a entry, exportation, or movement in We agree with the commenters that interstate commerce of any article or nursery or garden setting as grounds for the special need request process is not denying a special need request. means of conveyance if the Secretary meant as an appeals process for APHIS determines that the prohibition or One commenter expressed concern regulations. Our granting of a special restriction is necessary to prevent the that States may not be aware of what need request will be based upon the introduction of a plant pest or noxious they may regulate and when and soundness of the scientific evidence weed into the United States, or the suggested that we state what States may provided by the State in support of its dissemination of a plant pest or noxious regulate with respect to species that are request; special need requests may be weed within the United States. We and are not subject to a domestic granted frequently or infrequently believe that the special need criteria quarantine. depending on that evidence. allow for flexibility in what a State We believe that the PPA adequately Several commenters asked that we considers to be a factor that makes it describes the powers of States with outline who it is in APHIS that will be ‘‘particularly vulnerable’’ by allowing respect to interstate movement. As reviewing the special need requests. States to provide information regarding noted, States may regulate any plant, Appropriate and knowledgeable ‘‘any other special basis for the request plant product, biological control reviewers will be selected based on the for additional restrictions or organism, noxious weed, article, or nature and scope of the request. We prohibitions.’’ means of conveyance if their regulations employ experts for each pest that we One commenter suggested that are consistent with or do not exceed the regulate in both the field and at our proposed § 301.1–2(a)(4) be changed to regulations or orders issued by APHIS headquarters who are involved on a include contiguous borders with an area or when there are no Federal regulations daily basis in the running of the infested with a pest as a circumstance in place for any such plant, plant regulatory program. We expect that that renders a State ‘‘particularly product, biological control organism, these experts, along with other experts vulnerable.’’ noxious weed, article, or means of as needed, would be reviewing material We do not believe it is necessary to conveyance. submitted in support of special need change proposed § 301.1–2(a)(4) as Several commenters stated that requests. suggested because States will have the special need requests should not be One commenter suggested that States opportunity to include such information limited to States, and that political should demonstrate that the protection in their responses to the criteria in subdivisions of States should be able to requested in their special need request paragraphs (a)(1) and (a)(2) of that make special need requests would not come at the expense of section. independently from States. neighboring States or political Therefore, for the reasons given in the We believe that political subdivisions subdivisions. A second commenter was proposed rule and in this document, we of States might not have the resources concerned by this suggestion, stating are adopting the proposed rule as a final to submit special need requests on their that a State or political subdivision is rule, with the change discussed in this own and we also do not want to usurp inherently unable to provide data or document. the power of the States. In addition, we information on behalf of another State wish to clarify that Tribes may make or political subdivision. Executive Order 12866 and Regulatory special need requests independent from We agree that States or political Flexibility Act States as they are considered to be subdivisions of States should be This rule has been reviewed under sovereign nations. mindful of neighboring States when Executive Order 12866. This rule has
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been determined to be significant for the Expected Costs Final Regulatory Flexibility Analysis purposes of Executive Order 12866 and, Costs would be incurred both in the Need for and objectives of the rule. therefore, has been reviewed by the special need area and in the area placed Section 436(b) of the Plant Protection Office of Management and Budget. under additional restrictions or Act requires that a State demonstrate to This rule amends our domestic prohibitions. In each case, the size of the Secretary that it has a special need quarantine regulations to establish a the impact would depend upon the for additional restrictions or process by which a State or political volume of supply affected by a special prohibitions, that the Secretary agree subdivision of a State could request need request. As just described, prices that there is a special need, and that the approval to impose prohibitions or in a special need area may increase if additional restrictions and prohibitions restrictions on the movement in the available quantity of an article is requested by the State be based on interstate commerce of specific articles reduced because of restrictions or sound scientific data or a thorough risk that are in addition to the prohibitions prohibitions. But gains for suppliers assessment. This rule establishes and restrictions imposed by APHIS. The within the special need area from price specific criteria by which a special need PPA provides that States or political increases would come at the expense of subdivisions of States may make such request from a State will be evaluated. the area’s consumers, and overall there The desirability of specific criteria for special need requests. This action would be a net loss in social welfare. evaluating special need requests has establishes a process by which States Losses may be incurred not only by end- become apparent from requests received may make a special need request. users, but also by intermediary entities. For this rule, we have prepared an by the Agency from several States for Stores selling the restricted articles economic analysis. The economic additional restrictions or prohibitions (nurseries, landscaping companies, analysis provides a cost-benefit analysis on the interstate movement of articles grocery stores) may face declining as required by Executive Order 12866, that would be more restrictive than demand, depending upon the response as well as an analysis of the potential those currently imposed, for example, of consumers to the price increase, and economic affects of this final rule on by the Phytophthora ramorum reduced net revenues. small entities, as required under 5 regulations in 7 CFR 301.92 through For the area placed under additional 301.92–12. U.S.C. 604. The economic analysis is set restrictions or prohibitions because of a forth below. Summary of significant issues raised special need request, sales of affected in public comment in response to the Expected Benefits articles may decline if other initial regulatory flexibility analysis and The principal benefit for entities in a replacement markets are not found. any changes made in the proposed rule special need area would be the pest risk Even if shipments to the special need as a result of such comments. APHIS reduction attributable to the action. The area can be maintained, additional costs did not receive any comments regarding risk of entry and establishment of a pest may be incurred. For example: the initial regulatory flexibility analysis • Growers may be required to have of concern with and without the for the proposed rule. inspections conducted more frequently granting of a special need request would Small entities that may be affected. than APHIS would otherwise require (a need to be estimated before the benefit Agricultural and other entities would cost that may be borne by the State or of the reduced risk could be determined. not be affected by this rule, per se, but political subdivision). rather by the special need requests that However, the risk of a pest of concern • Growers (or the State or political follow. This rule simply establishes a entering and becoming established in an subdivision) may be required to pay for process by which States may make a area may be difficult to estimate. special phytosanitary certificates or special need request and provide the Other possible benefits of a special permits. need request would be easier to • Growers may incur costs related to Agency with a specific set of evaluation calculate. Reduced pest risk due to additional risk mitigations, such as criteria. additional restrictions or prohibitions particular pesticide applications or U.S. agricultural businesses are may mean that certain mitigation treatments, netting, or special predominantly small entities. At all measures in the special need area would greenhouse equipment. stages of economic activity— no longer be considered necessary. • Additional inspections or production, transportation, processing, There may be less need for inspections, restrictions may result in shipping and wholesale and retail sales— special permits, certain pesticide delays. agricultural industries are generally applications, special handling or • Shipping companies may composed of a large number of small packaging, or other safeguards practiced experience reduced business or may firms and a small number of large firms or required prior to the granting of the face additional costs related to container (with the latter usually generating the special need request. Costs forgone once or sealing requirements of the special major share of industry revenue). Given the request has been granted would need request. this prevailing pattern, any impacts that represent benefits of the action. special need requests may have on Agricultural and other entities in a Expected Net Effects agricultural businesses can be expected special need area may also benefit from The overriding benefit for an area generally to affect a large if not the reduced availability of articles granted a special need request would be substantial number of small entities. restricted or prohibited because of the the reduced risk of pest entry and The number of affected small entities special need request. Restricted supplies establishment. Other market-related would vary by request, and would from sources outside the special need benefits are likely to be outweighed by depend on the particular circumstances area could create increased market costs incurred in the special need area in the affected States or political opportunities for suppliers within the and in the area placed under additional subdivisions. area. If quantities normally purchased restrictions or prohibitions. Costs, Reporting, recordkeeping and other could not be provided by suppliers including those associated with compliance requirements. This rule within the special need area (or from additional risk mitigation requirements, contains various recordkeeping and outside sources that do not present a may be borne by agricultural entities, reporting requirements. These pest risk), then suppliers likely would the public sector, or, most likely, a requirements were described in the benefit from an increase in price. combination of the two. proposed rule under the heading
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‘‘Paperwork Reduction Act’’ and have Executive Order 12372 Subpart—Special Need Requests been approved by the Office of This program/activity is listed in the Sec. Management and Budget. (See the Catalog of Federal Domestic Assistance 301.1 Purpose and scope. ‘‘Paperwork Reduction Act’’ section under No. 10.025 and is subject to 301.1–1 Definitions. below.) 301.1–2 Criteria for special need requests. Executive Order 12372, which requires 301.1–3 Action on special need requests. We expect that costs related to intergovernmental consultation with preparing a special need request would State and local officials. (See 7 CFR part Subpart—Special Need Requests be borne by the public sector, but it is 3015, subpart V.) § 301.1 Purpose and scope. possible that agricultural industries (and Executive Order 12988 therefore small entities) could incur (a) Under section 436 of the Plant indirect costs depending on This final rule has been reviewed Protection Act (7 U.S.C. 7756), a State arrangements for generating the required under Executive Order 12988, Civil or political subdivision of a State may information. Also, the Regulatory Justice Reform. This rule: (1) Preempts not impose prohibitions or restrictions Flexibility Act’s definition of small all State and local laws and regulations upon the movement in interstate entities includes small governmental that are inconsistent with this rule; (2) commerce of articles, means of jurisdictions, that is, ‘‘governments of has no retroactive effect; and (3) does conveyance, plants, plant products, cities, counties, towns, townships, not require administrative proceedings biological control organisms, plant villages, school districts, or special before parties may file suit in court pests, or noxious weeds if the Secretary districts, with a population of less than challenging this rule. has issued a regulation or order to fifty thousand.’’ Thus, it is possible that Paperwork Reduction Act prevent the dissemination of the special need areas could correspond to biological control organism, plant pest, In accordance with the Paperwork or include small governmental or noxious weed within the United Reduction Act of 1995 (44 U.S.C. 3501 jurisdictions. et seq.), the information collection or States. The only exceptions to this are: Of greater impact than costs recordkeeping requirements included in (1) If the prohibitions or restrictions associated with the preparation of a this rule have been approved by the issued by the State or political request will be the costs and benefits of Office of Management and Budget subdivision of a State are consistent complying with the additional (OMB) under OMB control number with and do not exceed the regulations restrictions or prohibitions, once a 0579–0291. or orders issued by the Secretary, or special need request is granted by the (2) If the State or political subdivision Agency. Types of benefits and costs that E-Government Act Compliance of a State demonstrates to the Secretary may result from a special need request The Animal and Plant Health and the Secretary finds that there is a are identified at the beginning of this Inspection Service is committed to special need for additional prohibitions document. compliance with the E-Government Act or restrictions based on sound scientific data or a thorough risk assessment. A description of the steps the agency to promote the use of the Internet and other information technologies, to (b) The regulations in this subpart has taken to minimize any significant provide for the submission and economic impact on small entities, and provide increased opportunities for citizen access to Government consideration of special need requests reasons for selecting the alternative when a State or a political subdivision adopted in the final rule. This rule information and services, and for other purposes. For information pertinent to of a State seeks to impose prohibitions establishes a set of criteria for APHIS to or restrictions on the movement in use in evaluating special need requests E-Government Act compliance related to this rule, please contact Mrs. Celeste interstate commerce of articles, means submitted by special need areas. In and of conveyance, plants, plant products, of itself, this rule does not impact Sickles, APHIS’ Information Collection Coordinator, at (301) 851–2908. biological control organisms, plant entities, large or small. Alternatives to pests, or noxious weeds that are in this rule would be to either leave the List of Subjects in 7 CFR Part 301 addition to the prohibitions or regulations unchanged, or to require a Agricultural commodities, Plant restrictions imposed by this part or by different set of criteria than is proposed. diseases and pests, Quarantine, a Federal Order. Leaving the regulations unchanged Reporting and recordkeeping would be unsatisfactory for the public requirements, Transportation. § 301.1–1 Definitions. and for APHIS. The evaluation process Administrator. The Administrator, ■ Accordingly, we are amending 7 CFR for special need requests is currently not Animal and Plant Health Inspection part 301 as follows: as effective as it might be due to the lack Service (APHIS), or any person of an explicit set of criteria that States PART 301—DOMESTIC QUARANTINE authorized to act for the Administrator. and political subdivisions are required NOTICES Animal and Plant Health Inspection to address in applying for a special need Service (APHIS). The Animal and Plant exception. The criteria adopted by this ■ 1. The authority citation for part 301 Health Inspection Service of the United rule will provide, we believe, well- continues to read as follows: States Department of Agriculture. defined, scientifically rigorous basis for Authority: 7 U.S.C. 7701–7772 and 7781– Biological control organism. Any the submission and evaluation of 7786; 7 CFR 2.22, 2.80, and 371.3. enemy, antagonist, or competitor used special need requests pursuant to the Section 301.75–15 issued under Sec. 204, to control a plant pest or noxious weed. requirements of the PPA. Title II, Public Law 106–113, 113 Stat. Interstate commerce. Trade, traffic, or APHIS considers the criteria to be 1501A–293; sections 301.75–15 and 301.75– other commerce fully sufficient for evaluation purposes. 16 issued under Sec. 203, Title II, Public Law (1) From one State into or through any 106–224, 114 Stat. 400 (7 U.S.C. 1421 note). We reiterate that this final rule, in itself, other State or would not affect small entities, but ■ 2. Part 301 is amended by adding a (2) Within the District of Columbia, rather would influence future actions— new ‘‘Subpart—Special Need Requests,’’ Guam, the Virgin Islands of the United granting of special need requests—that §§ 301.1 through 301.1–3, to read as States, or any other territory or may affect small entities. follows: possession of the United States.
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Move (moved, movement). Shipped, or political subdivision and become authorized to impose only the specific offered to a common carrier for established; prohibitions or restrictions identified in shipment, received for transportation or (3) Specific information showing that, the request and approved by APHIS. transported by a common carrier, or if introduced into or allowed to spread APHIS will coordinate with the State, or carried, transported, moved or allowed within the State or political subdivision, with the State on behalf of the political to be moved. the biological control organism, noxious subdivision of the State, to ensure that Noxious weed. Any plant or plant weed, or plant pest would harm or the additional prohibitions or product that can directly or indirectly injure the environment or agricultural restrictions are in accord with the injure or cause damage to crops resources in the State or political special need exception granted by the (including nursery stock or plant subdivision. The request should contain Administrator. products), livestock, poultry, or other detailed information, including (2) If the Administrator denies the interests of agriculture, irrigation, quantitative estimates, if available, special need request, the State or navigation, the natural resources of the about what harm or injury would result political subdivision of a State will be United States, the public health or the from the introduction or dissemination notified in writing of the reason for the environment. of the biological control organism, denial and may submit any additional Plant pest. Any living stage of any noxious weed, or plant pest in the State information the State or political insects, mites, nematodes, slugs, snails, or political subdivision; subdivision of a State may have in order protozoa, or other invertebrate animals, (4) Specific information showing that to request a reconsideration. bacteria, fungi, other parasitic plants or the State or political subdivision has (c) If granted, a special need exception reproductive parts thereof, viruses, or characteristics that make it particularly will be applicable for 2 years, at the end any organisms similar to or allied with vulnerable to the biological control of which the State or political any of the foregoing, or any infectious organism, noxious weed, or plant pest, subdivision of a State must submit a substances which can directly or such as unique plants, diversity of flora, request for renewal of the exception. A indirectly injure or cause disease or historical concerns, or any other special special need renewal request must damage in any plants or parts thereof or basis for the request for additional address the same criteria as the initial any processed, manufactured, or other restrictions or prohibitions; and request submitted under § 301.1–2 and products of plants. (5) Information detailing the proposed must show that a special need still State. The District of Columbia, additional prohibitions or restrictions exists that warrants the continuation of Puerto Rico, the Northern Mariana and scientific data demonstrating that the special need exception. The renewal Islands, or any State, territory, or the proposed additional prohibitions or must be submitted no sooner than 6 possession of the United States. restrictions are necessary and adequate, months and no later than 3 months prior and that there is no less drastic action to the end of the 2-year applicability § 301.1–2 Criteria for special need that is feasible and that would be period for the initial exception. Once a requests. adequate, to prevent the introduction or special need renewal request has been (a) A special need request, as spread of the biological control received, APHIS will follow the same described in § 301.1, may be generated organism, noxious weed, or plant pest notice and comment process outlined in by a State or a political subdivision of in the State or political subdivision. paragraphs (a) and (b) of this section. If, a State. If the request is generated by a (b) All special need requests must be by the end of the 2-year applicability political subdivision of a State, the submitted to the Deputy Administrator period, the State or political subdivision request must be submitted to APHIS for Plant Protection and Quarantine, of a State does not submit a special need through the State. States may also APHIS, USDA, Jamie L. Whitten Federal renewal request, the State’s or political collaborate with other States to submit Building, 14th Street and Independence subdivision’s special need exception multi-State special need requests. Avenue, SW., Room 301–E, Washington, will lapse and the State or political However, if submitted, the multi-State DC 20250. subdivision of a State will have to special need request must include reapply for the special need exception. information in sufficient detail to allow § 301.1–3 Action on special need requests. (d) If the Administrator determines APHIS to analyze the impacts on each (a) Upon receipt of a complete special that there is a need for the withdrawal State on an individual basis. All special need request submitted in accordance of a special need exception before the need requests must be signed by the with § 301.1–2, APHIS will publish a renewal date of the special need executive official or officials or by a notice in the Federal Register to inform exception, the reasons for the plant protection official or officials of the public of the special need request withdrawal would be communicated to the State(s) making the request and must and to make the request and its the State or to the political subdivision contain the following: supporting information available for of the State and APHIS will publish a (1) Data drawn from a scientifically review and comment for at least 60 notice in the Federal Register to inform sound detection survey, showing that days. the public of the withdrawal of the the biological control organism, noxious (b) Following the close of the special need exception and to make the weed, or plant pest of concern does not comment period, APHIS will publish information supporting the withdrawal exist in the State or political subdivision another notice announcing the available for review and comment for at or, if already present in the State or Administrator’s decision to either grant least 60 days. Reasons for withdrawal of political subdivision, the distribution of or deny the special need request. The approval of a special need exception the biological control organism, noxious Administrator’s determination will be may include, but are not limited to, the weed, or plant pest of concern; based upon the evaluation of the availability of new scientific data or (2) If the biological control organism, information submitted by the State or changes in APHIS regulations. noxious weed, or plant pest is not political subdivision of a State in Following the close of the comment present in the State or political support of its request and would take period, APHIS will publish another subdivision, a risk analysis or other into account any comments received. notice announcing the Administrator’s scientific data showing that the (1) If the Administrator grants the decision to either withdraw or uphold biological control organism, noxious special need request, the State or the special need exception. The weed, or plant pest could enter the State political subdivision of a State will be Administrator’s determination will be
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based upon the evaluation of the fixtures (73 FR 39221 (July 9, 2008)). and citations for previously announced information submitted in support of the The effective dates of these three sets of amendments. Thus, the amendments withdrawal and would take into account amendments differ. The label design will not have a ‘‘significant economic any comments received. amendments became effective on impact on a substantial number of small (Approved by the Office of Management and February 29, 2008 while the ceiling fan entities.’’ 5 U.S.C. 605. The Commission Budget under control number 0579–0291) and metal halide amendments will both has concluded, therefore, that a become effective on January 1, 2009. regulatory flexibility analysis is not Done in Washington, DC, this 17th day of necessary, and certifies, under Section October 2008. Because the publication of the ceiling fan amendments preceded the label 605 of the Regulatory Flexibility Act (5 Bruce Knight, design amendments, the amendatory U.S.C. 605(b)), that the amendments Under Secretary for Marketing and Regulatory instructions in the ceiling fan Federal announced today will not have a Programs. Register Notice are not consistent with significant economic impact on a [FR Doc. E8–25291 Filed 10–22–08; 8:45 am] the existing Rule provisions. For substantial number of small entities. BILLING CODE 3410–34–P example, the label design amendments IV. Paperwork Reduction Act created new section numbers and whole provisions that were not extant at the In a June 13, 1988 notice (53 FR FEDERAL TRADE COMMISSION time the ceiling fan amendments were 22106), the Commission stated that the published. Therefore, the citations for Rule contains disclosure and reporting 16 CFR Part 305 the ceiling fan amendments are no requirements that constitute RIN 3084-AA74 longer accurate. To harmonize the ‘‘information collection requirements’’ various amendments, the Commission is as defined by 5 CFR 1320.7, the Appliance Labeling Rule consolidating the ceiling fan and metal regulation that implements the 2 halide amendments in a format Paperwork Reduction Act. The AGENCY: Federal Trade Commission Commission noted that the Rule had (‘‘FTC’’ or ‘‘Commission’’). consistent with the Rule’s current provisions. The corrections included in been reviewed and approved in 1984 by ACTION: Final rule; correction. this Notice contain no substantive the Office of Management and Budget (‘‘OMB’’) and assigned OMB Control No. SUMMARY: The Commission is issuing changes to these previously announced Rule amendments.1 3084-0068. OMB has reviewed the Rule this Notice to make technical and extended its approval for its corrections to the Appliance Labeling II. Administrative Procedure Act recordkeeping and reporting Rule. The corrections are necessary to The amendments published in this requirements until May 31, 2011. The ensure that amendatory language notice involve technical and minor, or amendments now being adopted do not published on December 28, 2006 and conforming changes to the labeling change the substance or frequency of the scheduled to become effective on requirements in the Rule. These recordkeeping, disclosure, or reporting January 1, 2009 is consistent with other technical amendments merely ensure requirements and, therefore, do not Rule amendments that have been that previously announced amendatory require further OMB clearance. codified since 2006 and are already instructions are consistent with current effective. List of Subjects in 16 CFR Part 305 Rule provisions. They contain no Advertising, Energy conservation, DATES: The corrections published in this substantive changes to amendments document will become effective on Household appliances, Labeling, previously announced by the Reporting and recordkeeping January 1, 2009. Commission. Accordingly, the requirements. ADDRESSES: Requests for copies of this Commission finds for good cause that ■ For the reasons stated in the preamble, document are available from: Public public comment for these technical, the Federal Trade Commission amends procedural amendments is impractical Reference Branch, Room 130, Federal 16 CFR Part 305 as amended at 71 FR and unnecessary (5 U.S.C. 553(b)(A)(B) Trade Commission, 600 Pennsylvania 78064, December 28, 2006 and 73 FR and (d)). Avenue, NW, Washington, DC 20580. 39221, July 9, 2008, as follows: The complete record of this proceeding III. Regulatory Flexibility Act is also available at that address. PART 305—[AMENDED] Relevant portions of the proceeding, The provisions of the Regulatory including this document, are available Flexibility Act relating to a Regulatory ■ 1. The authority citation for Part 305 at http://www.ftc.gov. Flexibility Act analysis (5 U.S.C. 603- continues to read as follows: 604) are not applicable to this FOR FURTHER INFORMATION CONTACT: Authority: 42 U.S.C. 6294. proceeding because the amendments do Hampton Newsome, (202) 326-2889, ■ 2. Section 305.2 is amended as not impose any new obligations on Attorney, Division of Enforcement, follows: entities regulated by the Appliance Bureau of Consumer Protection, Federal ■ a. Revise paragraphs (l)(21) and (l)(22) Labeling Rule. These technical Trade Commission, 600 Pennsylvania and add paragraph (l)(23); and amendments merely change the format Avenue, NW, Washington, DC 20580. ■ b. Revise paragraph (p). ■ The addition and revisions read as SUPPLEMENTARY INFORMATION: 1 In addition to these conforming changes follows: I. Background necessary to harmonize the amendments, this Notice contains three non-substantive changes. § 305.2 Definitions. Over the last two years, the First, section 305.20 has been changed to clarify that the catalog disclosure requirements in section * * * * * Commission has issued amendments to 305.20(a) do not apply to ceiling fans (instead, (l) * * * its Appliance Labeling Rule (16 CFR section 305.20(f) contains the catalog requirements (21) Metal halide lamp fixtures. Part 305) in three separate proceedings for ceiling fans). Second, this Notice places the (22) Ceiling fans. related to: (1) ceiling fan labels (71 FR ceiling fan labeling requirements in a new section (23) Any other type of consumer (305.13 Labeling for ceiling fans). Third, in the 78064 (Dec. 28, 2006)), (2) appliance sample ceiling fan label in Appendix L, the airflow product that the Department of Energy label designs (72 FR 49948 (Aug. 29, efficiency number has been corrected to match the 2007)), and (3) metal halide lamp airflow and electricity use numbers on that label. 2 44 USC 3501-3520.
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classifies as a covered product under § 305.7 Determinations of capacity. manufacture (date of manufacture section 322(b) of the Act (42 U.S.C. * * * * * information must be included with only 6292). (l) Ceiling fans. The capacity shall be the first submission for each basic * * * * * the airflow in cubic feet per minute as model); (p) Energy efficiency rating means the determined according to appendix U of (v) Type of ballast (e.g., pulse, probe, following product-specific energy usage 10 CFR part 430, subpart B. or electronic); descriptors: annual fuel utilization ■ 6. In § 305.8, revise paragraph (a)(1), (vi) Nominal input voltage and efficiency (AFUE) for furnaces; energy (a)(5), and (b)(1) to read as follows: frequency; (vii) Ballast efficiency (as determined efficiency ratio (EER) for room air § 305.8 Submission of data. pursuant to 42 U.S.C. 6293(b)(18)); and conditioners; seasonal energy efficiency (a)(1) Each manufacturer of a covered (viii) Lamp type and wattage (or range ratio (SEER) for the cooling function of product (except manufacturers of of wattages) with which the metal central air conditioners and heat pumps; fluorescent lamp ballasts, metal halide halide lamp fixture is designed to be heating seasonal performance factor lamp fixtures, showerheads, faucets, used. (HSPF) for the heating function of heat water closets, urinals, general service pumps; airflow efficiency for ceiling * * * * * fluorescent lamps, medium base (b)(1) All data required by § 305.8(a) fans; and, thermal efficiency (TE) for compact fluorescent lamps, or general except serial numbers shall be pool heaters, as these descriptors are service incandescent lamps including submitted to the Commission annually, determined in accordance with tests incandescent reflector lamps) shall on or before the following dates: prescribed under section 323 of the Act submit annually to the Commission a (42 U.S.C. 6293). These product-specific report listing the estimated annual Deadline for energy usage descriptors shall be used energy consumption (for refrigerators, Product category data sub- in satisfying all the requirements of this refrigerator-freezers, freezers, clothes mission part. washers, dishwashers, and water Refrigerators ...... Aug. 1 * * * * * heaters) or the energy efficiency rating Refrigerators-freezers ...... Aug. 1 ■ 3. In section 305.3, revise paragraphs (for room air conditioners, central air Freezers ...... Aug. 1 (s) and (t) to read as follows: conditioners, heat pumps, furnaces, Central air conditioners ...... July 1 ceiling fans, and pool heaters) for each Heat pumps ...... July 1 § 305.3 Description of covered products. basic model in current production, Dishwashers ...... June 1 * * * * * determined according to § 305.5 and Water heaters ...... May 1 (s) Metal halide lamp fixture means a statistically verified according to Room air conditioners ...... May 1 Furnaces ...... May 1 light fixture for general lighting § 305.6. The report must also list, for Pool heaters ...... May 1 application that is designed to be each basic model in current production: Clothes washers ...... Oct. 1 operated with a metal halide lamp and the brand name; the model numbers for Fluorescent lamp ballasts ...... Mar. 1 a ballast for a metal halide lamp and each basic model; the total energy Showerheads ...... Mar. 1 that is subject to and complies with consumption, determined in accordance Faucets ...... Mar. 1 Department of Energy efficiency with § 305.5, used to calculate the Water closets ...... Mar. 1 standards issued pursuant to 42 U.S.C. estimated annual energy consumption Ceiling fans ...... Mar. 1 6295. or energy efficiency rating; the number Urinals ...... Mar. 1 of tests performed; and, its capacity, Metal halide lamp fixtures ...... Sept. 1 (1) Metal halide ballast means a Fluorescent lamps ...... Mar. 1 ballast used to start and operate metal determined in accordance with § 305.7. [Stayed] halide lamps. For those models that use more than one Medium Base Compact Fluo- Mar. 1 (2) Metal halide lamp means a high energy source or more than one cycle, rescent Lamps. [Stayed] intensity discharge lamp in which the each separate amount of energy Incandescent Lamps, incl. Re- Mar. 1 major portion of the light is produced by consumption, measured in accordance flector Lamps. [Stayed] radiation of metal halides and their with § 305.5, shall be listed in the products of dissociation, possibly in report. Starting serial numbers or other * * * * * combination with metallic vapors. numbers identifying the date of ■ 7. Revise paragraph (a) in § 305.10 to (t) Ceiling fan means a nonportable manufacture of covered products shall read as follows: device that is suspended from a ceiling be submitted whenever a new basic model is introduced on the market. For § 305.10 Ranges of comparability on the for circulating air via the rotation of fan required labels. blades. The requirements of this part are ceiling fans, the report shall contain the (a) Range of Estimated Annual limited to those ceiling fans for which fan diameter in inches and also shall Operating Costs or Energy Efficiency the Department of Energy has adopted contain efficiency ratings, energy Ratings. The range of estimated annual and published test procedures for consumption, and capacity at high operating costs or energy efficiency measuring energy usage. speed. ratings for each covered product (except * * * * * * * * * * (5) Each manufacturer of a metal fluorescent lamp ballasts, metal halide ■ 4. Revise § 305.5(a)(11) to read as halide lamp fixture shall submit lamp fixtures, lamps, showerheads, follows: annually to the Commission a report for faucets, water closets, urinals, or ceiling each basic model of metal halide lamp fans) shall be taken from the appropriate § 305.5 Determinations of estimated appendix to this part in effect at the annual energy consumption, estimated fixture in current production. The report annual operating cost, and energy shall contain the following information: time the labels are affixed to the efficiency rating, and of water use rate. (i) Name and address of manufacturer; product. The Commission shall publish revised ranges every five years (a) * * * (ii) All trade names under which the beginning in 2012 in the Federal (11) Ceiling Fans—§ 430.23. metal halide lamp fixture is marketed; (iii) Model number; Register. When the ranges are revised, * * * * * (iv) Starting serial number, date code all information disseminated after 90 ■ 5. Revise § 305.7(l) to read as follows: or other means of identifying the date of days following the publication of the
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revision shall conform to the revised in this part shall appear on this label, conspicuously, in color-contrasting ink, ranges. Products that have been labeled except a model name, number, or on the plastic sheeting, unless clear prior to the effective date of a similar identifying information. plastic sheeting is used and the modification under this section need (b) [Reserved] encircled capital letter ‘‘E’’ is legible not be relabeled. ■ 9. In § 305.15, revise paragraph (c) to underneath this packaging. * * * * * read as follows: ■ 10. Section 305.20 is amended as ■ 8. Add § 305.13 to read as follows: § 305.15 Labeling for lighting products. follows: ■ a. In paragraph (a) of § 305.20, add the § 305.13 Labeling for ceiling fans. * * * * * phrase ‘‘ceiling fan,’’ after the word (c) Metal halide lamp fixtures and (a) Ceiling Fans. (1) Content. Any ‘‘except.’’ metal halide ballasts—(1) Contents. covered product that is a ceiling fan ■ b. Revise paragraph (e) and add a new Metal halide ballasts contained in a shall be labeled clearly and paragraph (f) to read as follows: metal halide lamp fixture covered by conspicuously on the principal display this Part shall be marked conspicuously, § 305.20 Paper catalogs and websites. panel with the following information in in color-contrasting ink, with a capital order from top to bottom on the label: * * * * * letter ‘‘E’’ printed within a circle. (e) Any manufacturer, distributor, (i) The words ‘‘ENERGY Packaging for metal halide lamp fixtures INFORMATION’’ shall appear at the top retailer, or private labeler who covered by this Part shall also be advertises metal halide lamp fixtures of the label with the words ‘‘at High marked conspicuously with a capital Speed’’ directly underneath; manufactured on or after January 1, letter ‘‘E’’ printed within a circle. For 2009 in a catalog prepared after July 1, (ii) The product’s airflow at high purposes of this section, the encircled speed expressed in cubic feet per 2009, from which they may be capital letter ‘‘E’’ will be deemed purchased by cash, charge account or minute and determined pursuant to ‘‘conspicuous,’’ in terms of size, if it is § 305.5 of this part; credit terms, shall disclose as large as either the manufacturer’s conspicuously in such catalog, in each (iii) The product’s electricity usage at name or another logo, such as the ‘‘UL,’’ high speed expressed in watts and description of such metal halide lamp ‘‘CBM’’ or ‘‘ETL’’ logos, whichever is fixture, a capital letter ‘‘E’’ printed determined pursuant to § 305.5 of this larger, that appears on the metal halide part, including the phrase ‘‘excludes within a circle. ballast, or the packaging for the metal (f) Any manufacturer, distributor, lights’’ as indicated in Ceiling Fan Label halide lamp fixture, whichever is Illustration of Appendix L of this part; retailer, or private labeler who applicable for purposes of labeling. advertises a covered product that is a (iv) The product’s airflow efficiency (2) Product Labeling. The encircled rating at high speed expressed in cubic ceiling fan in a catalog, from which it capital letter ‘‘E’’ on metal halide may be purchased, shall disclose clearly feet per minute per watt and determined ballasts must appear conspicuously, in and conspicuously in such catalog, on pursuant to § 305.5 of this part; color-contrasting ink (i.e., in a color that each page that lists the covered product, (v) The following statement shall contrasts with the background on which all the information concerning the appear on the label for fans fewer than the encircled capital letter ‘‘E’’ is product required by § 305.13(a)(1). 49 inches in diameter: ‘‘Compare: 36″ to placed) on the surface that is normally By direction of the Commission. 48″ ceiling fans have airflow efficiencies labeled. It may be printed on the label ranging from approximately 71 to 86 that normally appears on the metal Donald S. Clark, cubic feet per minute per watt at high halide ballast, printed on a separate Secretary. speed.’’; label, or stamped indelibly on the [FR Doc. E8–25225 Filed 10–22–08: 8:45 am] (vi) The following statement shall surface of the metal halide ballast. [BILLING CODE: 6750–01–S] appear on the label for fans 49 inches or (3) Package Labeling. For purposes of more in diameter: ‘‘Compare: 49″ to 60″ labeling under this section, packaging ceiling fans have airflow efficiencies for metal halide lamp fixtures consists DEPARTMENT OF LABOR ranging from approximately 51 to 176 of the plastic sheeting, or ‘‘shrink- cubic feet per minute per watt at high wrap,’’ covering pallet loads of metal Employment and Training speed.’’; and halide lamp fixtures as well as any Administration (vii) The following statements shall containers in which such metal halide appear at the bottom of the label as lamp fixtures are marketed individually 20 CFR Part 616 indicated in Ceiling Fan Label or in small numbers. The encircled Illustration of Appendix L of this part: capital letter ‘‘E’’ on packages RIN 1205–AB51 ‘‘Money-Saving Tip: Turn off fan when containing metal halide lamp fixtures Federal-State Unemployment leaving room.’’ must appear conspicuously, in color- Compensation (UC) Program; (2) Label Size and Text Font. The contrasting ink, on the surface of the Interstate Arrangement for Combining label shall be four inches wide and three package on which printing or a label Employment and Wages; Final Rule inches high. The text font shall be Arial normally appears. If the package or another equivalent font. The text on contains printing on more than one AGENCY: Employment and Training the label shall be black with a white surface, the label must appear on the Administration, Labor. background. The label’s text size and surface on which the product inside the ACTION: Final rule. content, and the order of the required package is described. The encircled disclosures shall be consistent with capital letter ‘‘E’’ may be printed on the SUMMARY: The U.S. Department of Labor Ceiling Fan Label Illustration of surface of the package, printed on a (Department) is issuing this final rule to Appendix L of this part. label containing other information, amend its regulations governing (3) Placement. The ceiling fan label printed on a separate label, or indelibly combined-wage claims filed under the shall be printed on the principal display stamped on the surface of the package. Federal-State Unemployment panel of the product’s packaging. In the case of pallet loads containing Compensation (UC) program. Most (4) Additional Information: No marks metal halide lamp fixtures, the encircled significantly, this final rule amends the or information other than that specified capital letter ‘‘E’’ must appear definition of ‘‘paying State.’’
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DATES: Effective Date: This final rule is the ‘‘paying State’’ when either the CWC require a State that denies a CWC to effective January 6, 2009. claimant does not qualify for notify the claimant of the option of FOR FURTHER INFORMATION, CONTACT: unemployment benefits under the UC filing in another State, and proposed a Stephanie Garcia, Team Leader, State law of the State in which he or she files conforming amendment to § 616.8(a) and Federal Programs Team, Division of the CWC or when the claimant files a addressing the responsibilities of the UI Operations, Employment and CWC in Canada. ‘‘paying State.’’ The NPRM also Training Administration, U.S. The NPRM proposed amending the proposed removing and reserving Department of Labor, 200 Constitution definition in § 616.6(e) to provide that § 616.5, which makes December 31, Avenue, NW., Room S–4231, any ‘‘single State’’ in which the 1971 the effective date of the Washington, DC 20210; (202) 693–3207 claimant had base period wages and arrangement, because it is no longer (this is not a toll-free number). employment, and in which the claimant necessary. qualifies for unemployment benefits, SUPPLEMENTARY INFORMATION: may be a ‘‘paying State.’’ For example, III. Comments on the Proposed Amendments I. Background if a claimant had wages and employment in the base period(s) of The Department received 19 pieces of On November 2, 2007, the Department State A and the base period(s) of State correspondence commenting on the published a notice of proposed B, the claimant may elect either State A NPRM by the close of the comment rulemaking (NPRM) to amend the or State B (assuming the claimant period. All were from State UC agencies. definition of ‘‘paying State’’ for qualifies in both States), because the The Department considered all purposes of combined-wage claims ‘‘paying State’’ must be a ‘‘single’’ State. comments, although those that were not (CWCs) filed under the Federal-State UC Further, no State other than State A or germane to this rulemaking are not program. (72 FR 62145, Nov. 2, 2007) State B could serve as the ‘‘paying addressed here. The Department invited comments State’’ because the claimant did not Discussion of Comments through January 2, 2008. have wages in the base period(s) of any II. General Discussion of the other State. The amendment’s purpose In General. Eleven commenters Rulemaking was to prevent ‘‘forum shopping,’’ generally supported the proposed under which an individual may file a amendments while four opposed the Section 3304(a)(9)(B) of the Federal claim in a State with a higher weekly proposed amendments. Four other Unemployment Tax Act (FUTA) (26 benefit amount (WBA) than that which commenters limited their comments to U.S.C. 3304(a)(9)(B)) requires each State, exists in any of the States in which the matters related to implementation of the as a condition of participation in the claimant had covered employment. The new definition of ‘‘paying State’’ and Federal-State UC program, to participate amendment limits the ‘‘paying States’’ did not express support or opposition to in any arrangement specified by the to those States in which CWC claimants the proposed amendments. Secretary of Labor (Secretary) for had base period wages and employment. Commenters favoring the proposed payment of UC on the basis of The Department believes that ‘‘forum amendments noted the problem of combining an individual’s employment shopping’’ is undesirable for several ‘‘forum shopping.’’ In describing the and wages in two or more States. A reasons. First, it may unfairly advantage extent of forum shopping, one claim filed under this arrangement is a claimants who worked in multiple commenter related that payments CWC. Rules implementing this States over those who worked in just attributable to CWCs without arrangement are found at 20 CFR part one State by affording CWC claimants employment in that State totaled $41 616. the choice of filing a UC claim in a State million for the 12 months ending June As explained in § 616.1, the purpose with a higher WBA. Second, ‘‘forum 2006. Another commenter stated that of the arrangement is to permit an shopping’’ results in higher costs for the the proposed amendment was an unemployed worker with covered claimant’s employers, because the ‘‘equitable solution’’ to the problems employment or wages in more than one claimant files a CWC in a State paying created by the current rule. Commenters State to combine all such employment higher benefits, which are ultimately favoring the proposed amendment also and wages in one State, in order to funded by those employers. stated that it ‘‘would simplify qualify for benefits or to receive more Moreover, ‘‘forum shopping’’ combined-wage claim filing’’ or that benefits. Section 616.2 explains that, in undermines the insurance principles of ‘‘the revised definition should result in accordance with section 3304(a)(9)(B), the Federal-State UC program. Under an a more expedited and efficient the arrangement was developed in insurance program, benefits are payable processing of CWCs.’’ consultation with the representative of based on a specific plan. In the case of Conversely, commenters opposing the the State UC agencies, currently known UC, benefits are payable under a State’s proposed amendment expressed as the National Association of State plan for compensating unemployment. concerns about an increased Workforce Agencies (NASWA). This plan balances premiums (in the administrative burden and workload The arrangement provides, at form of employer contributions) with shifts between States. Three § 616.7(a), that any unemployed benefit outlays (in the form of payments commenters proposed alternative individual who had employment to individuals), requiring that benefit amendments to the existing rule. These covered under the UC law of two or rights and contribution rates be alternative approaches and concerns more States, whether or not he or she coordinated. CWCs are unique in that about administrative burdens are has earned sufficient wages to qualify insured wages are necessarily combined discussed below. for UC under one or more of them, may under a single State’s plan. Requiring Alternative Approaches. One elect to file a CWC. Under the current that benefit eligibility be determined commenter proposed that the current regulations, § 616.6(e)(1), the ‘‘paying under the law of one State in which the definition of ‘‘paying State,’’ under State’’ is the State in which the claimant claimant had insured base period wages which the paying State is the State in files the CWC, if he or she qualifies for conforms more closely to the insurance which the claimant files the claim (as benefits under the UC law of that State principles of the program. long as the claimant qualifies for on the basis of combined employment The NPRM proposed amending benefits in that State), be retained, but and wages. Section 616.6(e)(2) identifies § 616.7 by adding a new paragraph (f) to require also that the claimant must have
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wages in that State. If the claimant did by Federal employers until after a claim determination listing the States in not have wages in that State, the is filed, and thus States cannot which the claimant has wages and ‘‘paying State’’ would be the State immediately determine Federal employment. That is not correct. The where the claimant was last employed employment and wages at the time of purpose of proposed § 617.7(f) was to in covered employment (among those filing in order to make a determination assure the notification of any claimant States in which the claimant qualifies of the ‘‘last employer.’’ whose CWC was denied under one for UC on the basis of combining In addition, the proposed alternative State’s law that the individual has the employment and wages). fails to treat CWCs consistently with option to file against another State. It This alternative approach thus has ‘‘regular’’ claims, because ‘‘regular’’ did not intend to require that a State two parts: The first part makes the claims are based on base period wages make a formal finding, but merely to ‘‘paying State’’ a State in which the and employment rather than the direct a State to inform the claimant of CWC claimant files the claim as long as claimant’s most recent wages and this option. However, to clarify this the claimant qualifies for benefits in that employment. Moreover, the claimant’s matter and eliminate any confusion, the State. This is similar to the NPRM’s most recent employment in a State final rule deletes the words ‘‘State finds approach, in that it requires the might be only incidental, yet this that.’’ claimant to have wages in, as well as definition would require the filing of a Workload Shifts. One commenter was qualify for benefits in, the ‘‘paying CWC in that State even though the concerned that the proposed rule would State.’’ This first part, therefore, serves claimant had earned considerable base shift CWC workload from one State to the same purpose of the NPRM to period wages in one or more other another, which would shift the amount prevent forum shopping. States. This approach is therefore of funding provided by the Department However, the second part of the inconsistent with the insurance for State UC administration. Another alternative approach would require, in principles of the UC program since it commenter was also concerned about instances where the claimant did not permits the claimant to receive UC workload increases. have wages in the first State in which benefits from a State in which the CWCs are generally not a large part of the CWC was filed, that the ‘‘paying claimant’s employer made incidental the UC claims workload and, as a result, State’’ be the State where the claimant contributions. Thus, the Department workload shifts likely would be was last employed. This approach, declines to adopt this alternative. minimal and have little effect on however, would unnecessarily restrict a Another commenter proposed a administrative funding. For example, in claimant’s choice as to the ‘‘paying residency requirement for CWC calendar year 2007, only about 4 percent State.’’ Under the first part of the claimants. As discussed above, the of initial claims were CWCs. Moreover, alternative approach, a claimant would Department values consistency in the the Department believes that any rule be free to file a claim in, and therefore treatment of CWC and ‘‘regular’’ related to claimant eligibility should be select among, any of the States in which claimants. For a claimant with base based on fair and equitable treatment of he or she qualified for benefits and had period wages and employment in only claimants, and not be influenced by wages. However, the claimant would one State, the claimant’s eligibility is incidental workload shifts. The lose this right if he or she had the determined under that State’s law, proposed rule would achieve this fair misfortune of initially filing in a State regardless of where the claimant resides. and equitable treatment by allowing the which did not meet the definition of Similarly, residency should not be taken claimant to choose to file in any State ‘‘paying State.’’ In that event, the into account in a CWC. Also, in which the claimant qualified for selection of the ‘‘paying State’’ would determining residency is not always a unemployment benefits based upon default to a particular State, that is, the simple matter. For example, establishing insured base period wages and State of last employment, thereby the residency of a claimant who recently employment in that State. Accordingly, eliminating any choice the claimant moved from one State to another could the final rule is adopted as proposed. originally had in selecting the ‘‘paying be complex, unnecessarily delaying the Another commenter noted that State State’’. Thus, the Department declines to payment of UC. Therefore, the Information Technology (IT) systems adopt this alternative. Department declines the suggestion to would require re-programming in order Another commenter suggested that incorporate residency into the to add an advisement to claimants who the ‘‘paying State’’ be either the State in requirements. are denied CWCs of the possibility of which the claimant had the most recent Accordingly, after due consideration filing against another State. Although covered employment or the most recent of the comments, the final rule adopts the amendment may require a relatively base period employment, regardless of the proposed amendment of the ‘‘paying minor change(s) to a State’s IT system where the claim was filed. This State’’ definition without change. this is a one time change that is within approach raises concerns because the Administrative Burden. Commenters the scope of States’ customary updates identification of a claimant’s most addressing the administrative burden of to claim filing systems and does not recent employer may not be readily the proposed amendments were impose additional workload available at the time a claim is filed due concerned about proposed paragraph (f) responsibilities on State agencies. to the fact that wages are often not in § 617.7, providing that if a State Implementation and other reported until several weeks after the denies a CWC, ‘‘it must inform the Administrative Issues. Several end of the last calendar quarter in which claimant of the option to file in another commenters raised questions related to the claimant was employed. Moreover, State in which the State finds that the the implementation and the timing of if a claimant had more than one claimant has wages and employment.’’ implementation. The Department employer during that quarter, those Eleven of the 19 commenters expressed believes that specific procedural reports will not identify which one was concern that State agencies would be guidance for implementation is best the claimant’s last employer during that required to provide detailed information addressed through program letters and quarter, and the claimant may not know on claim filing and research claimant similar guidance. The Department plans the correct name of the last employer. options. to issue this guidance immediately after The delay is even greater for CWCs that The commenters apparently read the publication of the final rule. are based in whole or in part on Federal word ‘‘finds’’ in paragraph (f) to mean The Department recognizes the employment, as wages are not reported that a State must issue a formal significance of the questions related to
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implementation. All States must convert more; or adversely affects the economy, NASWA. The Department consulted to the new definition of ‘‘paying State’’ a sector of the economy, productivity, with the UC Committee and other at the same time; failure to achieve this competition, jobs, the environment, representatives of the States selected by would be confusing and unfair to public health or safety, or State, local, the NASWA, during the 60-day claimants and the employers who bear or tribal governments or communities in comment period for this proposed rule. the benefit costs and would create a material way. The Department has Unfunded Mandates Reform Act additional implementation issues. To determined that this rule is not assure that all States have adequate time economically significant under this This regulatory action has been to address operational issues, including Executive Order because it will not have reviewed in accordance with the training new staff, the final rule will be an economic impact of $100 million or Unfunded Mandates Reform Act of 1995 effective January 6, 2009. more on the State agencies or the (Pub. L. 104–4). Under the Act, a Some commenters also expressed economy. The Department has Federal agency must determine whether concerns over more long-range consulted with the Office of a regulation proposes a Federal mandate implementation issues. Several Management and Budget (OMB) on this that would result in the increased expressed concern that not all wages are final rule. Based on their analysis, OMB expenditures by State, local, or tribal reported by employers in a correct or has deemed that this rule is not a governments, in the aggregate, or by the timely fashion to State UC agencies. significant action under Executive Order private sector, of $100 million or more These commenters emphasized the 12866, therefore the Department is not in any one year. The Department has importance of cooperation and required to submit the final rule to OMB determined that this final rule does not participation among all States to ensure for approval. create any unfunded mandates because that timely information is available. The Paperwork Reduction Act it will not significantly increase Department agrees and will facilitate aggregate costs of the CWC arrangement, Under the Paperwork Reduction Act such efforts through procedural as these changes are considered to be (PRA), the Department of Labor is guidance and ongoing training efforts. within the scope of States’ customary required to submit any information Technical Changes. We did not updates to claim filing systems. The collection requirements to the Office of receive comments addressing the effect of this final rule is to preclude Management and Budget (OMB) for deletion as unnecessary of § 616.5, ‘‘forum shopping’’ and tie UC eligibility review and approval (44 U.S.C. 3501 et which makes December 31, 1971, the more closely to the insurance principle seq.). As it does not impose any new effective date of the arrangement. Nor of the Federal-State UC program, and it requirements or modifications of were there any comments about a does not create additional entitlements. conforming amendment to § 616.8(a), existing requirements on the States that which eliminates language deemed have not already been approved by Assessment of Federal Regulations and irrelevant in light of the new definition OMB for collection, the Department has Policies on Families of ‘‘paying State’’ because it addressed determined that this final rule does not contain new information collection The final rule does not have an a scenario in which a State issues CWC impact on the autonomy or integrity of determinations, even if the claimant had requiring it to submit a paperwork package to OMB. the family as an institution, as it is no covered wages in the ‘‘paying State.’’ described under section 654 of the These amendments are included in the Executive Order 13132: Federalism Treasury and General Government final rule. Executive Order 13132 at section 6 Appropriations Act. We have assessed One commenter noted language in requires Federal agencies to consult that while there may be costs associated § 616.8(a), which mentions ‘‘wages in with State entities when a regulation or with the rule, they are not of a the paying State, if any.’’ The final rule policy may have a substantial direct magnitude to adversely affect family deletes the words ‘‘if any’’ because, effect on the States or the relationship well-being. This provision protects the under the new definition of ‘‘paying between the National Government and stability of family life, including marital State,’’ there must always be wages in the States, or the distribution of power relationships, financial status of the paying State. and responsibilities among the various families, and parental rights. Lastly, the proposed rule solicited levels of government, within the comments on the desirability of Regulatory Flexibility Act/Small meaning of the Executive Order. Section amending any of the provisions of Part Business Regulatory Enforcement Act 3(b) of the Executive Order further 616, because the CWC arrangement has provides that Federal agencies must We have notified the Chief Counsel been in existence for over thirty-five implement regulations that have a for Advocacy, Small Business years without change to its basic substantial direct effect only if statutory Administration, and made the structure. We received no comments. authority permits the regulation and it certification according to the Regulatory Accordingly, we have made no is of national significance. Flexibility Act (RFA) at 5 U.S.C. 605(b), amendments other than those described Further, section 3304(a)(9)(B) of that this rule will not have a significant above. FUTA requires consultation with the economic impact on a substantial IV. Administrative Provisions State agencies in developing the CWC number of small entities. Under the arrangement. Section 616.2 of the CWC RFA, no regulatory flexibility analysis is Executive Order 12866—Regulatory regulations also provides that for required where the rule ‘‘will not * * * Planning and Review purposes of ‘‘such consultation in its have a significant economic impact on The Department has determined that formulation and any future amendment a substantial number of small entities’’ this final rule is not economically the Secretary recognizes, as agents of the (5 U.S.C. 605(b)). A small entity is significant. Under Executive Order State agencies, the duly designated defined as a small business, small not- 12866, a rule is economically significant representatives of the National for-profit organization, or small if it materially alters the budgetary Association of State Workforce Agencies governmental jurisdiction (5 U.S.C. impact of entitlements, grants, user fees, (NASWA).’’ 601(3)–(5)). Therefore, the definition of or loan programs; has an annual effect Consultation has occurred on an the term ‘‘small entity’’ does not include on the economy of $100 million or informal basis with the States through States.
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This rule describes procedures implications for the purposes of that State using combined wages and governing State administration of the Executive Order 13175. employment. CWC arrangement under the Federal- Executive Order 12630—Government * * * * * State UC program, which does not Actions and Interference With extend to small governmental § 616.7 [Amended] Constitutionally Protected Property jurisdictions. Therefore, the Department ■ Rights 4. Add new paragraph (f) to § 616.7 of certifies that this final rule will not have 20 CFR to read as follows: a significant impact on a substantial The final rule does not impose number of small entities and, as a result, limitations on private property use as § 616.7 Election to file a Combined-Wage no regulatory flexibility analysis is described under Executive Order 12630, Claim. required. Governmental Actions and the * * * * * In addition, the Department certifies Interference with Constitutionality (f) If a State denies a Combined-Wage that this rule is not a major rule as Protected Property Rights. It does not Claim, it must inform the claimant of defined by section 804 of the Small propose or implement licensing, the option to file in another State in Business Regulatory Enforcement Act of permitting or other condition which the claimant has wages and 1996 (SBREFA). Under section 804 of requirements on the use thereof, nor employment during that State’s base SBREFA, a major rule is one that is an require dedications or exactions from period(s). ‘‘economically significant regulatory owners of private property. § 616.8 [Amended] action’’ within the meaning of Executive Accordingly, we have determined this ■ 5. In § 616.8(a) remove the words ‘‘, if Order 12866. Because this final rule is rule does not have takings implications. any’’ and the words ‘‘, even if the not an economically significant rule Executive Order 12988—Civil Justice Combined-Wage Claimant has no under Executive Order 12866, the earnings in covered employment in that Department certifies that it also is not a This regulation has been drafted and State’’. major rule under SBREFA. reviewed in accordance with Executive Order 12988, Civil Justice Reform, and * * * * * Executive Order 13045—Protection of will not unduly burden the Federal Signed at Washington, DC, this 16th day of Children From Environmental Health court system. The regulation has been October 2008. Risks and Safety Risks written so as to minimize litigation and Brent R. Orrell, Executive Order 13045 concerns the provide a clear legal standard for Deputy Assistant Secretary for Employment protection of children from affected conduct, and has been reviewed and Training. environmental health risks and safety carefully to eliminate drafting errors and [FR Doc. E8–25097 Filed 10–22–08; 8:45 am] ambiguities. risks. This NPRM addresses UC, a BILLING CODE 4510–FW–P program for unemployed workers, and Plain Language has no impact on safety or health risks to children. The Department drafted this rule in plain language. DEPARTMENT OF HEALTH AND Executive Order 13175—Consultation HUMAN SERVICES and Coordination With Indian Tribal List of Subjects in 20 CFR Part 616 Food and Drug Administration Governments Unemployment compensation. Executive Order 13175 addresses the ■ For the reasons stated in the preamble, 21 CFR Part 589 unique relationship between the Federal the Department amends 20 CFR part 616 as set forth below: [Docket No. FDA–2002–N–0031] (formerly Government and Indian tribal Docket No. 2002N–0273) governments. The order requires Federal PART 616—INTERSTATE agencies to take certain actions when RIN 0910–AF46 ARRANGEMENT FOR COMBINING regulations have ‘‘tribal implications.’’ EMPLOYMENT AND WAGES Required actions include consulting Substances Prohibited From Use in Animal Food or Feed; Correction with tribal governments prior to ■ 1. The authority citation for 20 CFR promulgating a regulation with tribal part 616 is revised to read as follows: AGENCY: Food and Drug Administration, implications and preparing a tribal Authority: 26 U.S.C. 3304(a)(9)(B); HHS. impact statement. The order defines Secretary’s Order No. 3–2007, Apr. 3, 2007 ACTION: Final rule; correction. regulations as having ‘‘tribal (72 FR 15907). implications’’ when they have SUMMARY: The Food and Drug substantial direct effects on one or more § 616.5 [Removed] Administration (FDA) is correcting a Indian tribes, on the relationship ■ 2. Remove § 616.5. final rule that appeared in the Federal between the Federal Government and Register of April 25, 2008 (73 FR Indian tribes, or on the distribution of § 616.6 [Amended] 22720). The document amended the power and responsibilities between the ■ 3. Revise paragraph (e) of § 616.6 to agency’s regulations to prohibit the use Federal Government and Indian tribes. read as follows: of certain cattle origin materials in the The Department has reviewed this food or feed of all animals to further NPRM and concludes that it does not § 616.6 Definitions. strengthen existing safeguards against have tribal implications. This regulation * * * * * bovine spongiform encephalopathy does not affect the relationship between (e) Paying State. A single State against (BSE). The document was inadvertently the Federal Government and the tribes, which the claimant files a Combined- published with incorrect dollar amounts nor does it affect the distribution of Wage Claim, if the claimant has wages in two separate areas: The summary of power and responsibilities between the and employment in that State’s base economic impacts and the paperwork Federal Government and tribal period(s) and the claimant qualifies for burden table. This document corrects governments. Accordingly, we conclude unemployment benefits under the those errors. that this rule does not have tribal unemployment compensation law of DATES: Effective on April 27, 2009.
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FOR FURTHER INFORMATION CONTACT: Burt by other countries; the correct figure is full paragraph, ‘‘Although we are unable Pritchett, Center for Veterinary approximately $105 million. Regarding to quantify the effects of this final rule Medicine (HFV–222), Food and Drug the paperwork burden table (Table 9), on removing restrictions to foreign Administration, 7519 Standish Pl., the estimated total operation and markets, the benefits are potentially Rockville, MD 20855, 240–453–6860, e- maintenance costs for annual large because the economy as a whole mail: [email protected]. recordkeeping was incorrectly cited as loses an annual surplus equal to about $157,080. The estimated cost per SUPPLEMENTARY INFORMATION: In the $58 million from the remaining renderer should be $354.20, so the restrictions.’’ is corrected to read: Federal Register of April 25, 2008, estimated total operation and incorrect dollar amounts were ‘‘Although we are unable to quantify the maintenance costs for annual effects of this final rule on removing published in the document with respect recordkeeping is actually $160,275. to: (1) The summary of economic restrictions to foreign markets, the benefits Therefore, in FR Doc. 08–1180, are potentially large because the economy as impacts and (2) the paperwork burden appearing on page 22720 in the Federal a whole loses an annual surplus equal to table. Regarding the economic impact of Register of Friday, April 25, 2008, the about $105 million from the remaining the rule, a dollar figure of $58 million following corrections are made to the restrictions.’’ was cited as the estimated loss in SUPPLEMENTARY INFORMATION: annual surplus caused by import 1. On page 22737, in the first column, 2. On page 22753, table 9 is corrected restrictions imposed on U.S. products in the last sentence preceding the first to read:
TABLE 9.—ESTIMATED ANNUAL RECORDKEEPING BURDEN
No. of Annual Frequency Total Annual Hours per Operation and 21 CFR Section Total Hours Maintenance Recordkeepers per Recordkeeper Records Recordkeeper Costs
589.2001(c)(2)(vi) and (c)(3)(i) 175 1 175 20 3,500 $61,985
589.2001(c)(2)(ii) 50 1 50 20 1,000 $17,710
589.2001(c)(3)(i)(A) 175 1 175 26 4,550 $80,580
Total 9,050 $160,275
3. On page 22753, in the third DEPARTMENT OF THE TREASURY Background column, following table 9, the second The final regulations that are subject Internal Revenue Service complete sentence ‘‘Therefore, FDA to this document are under section estimates that the cost per renderer for 409A of the Internal Revenue Code. compliance with the new requirement 26 CFR Part 1 for establishing and maintaining written Need for Correction procedures will be $340 per renderer, [TD 9321] As published, the correcting hence the new figure of $17,000 as amendment of September 24, 2008 (73 shown in Table 9 of this document.’’ is RIN 1545–BE79 FR 54945) to final regulations (TD 9321) corrected to read: contains errors that may prove to be ‘‘Therefore, FDA estimates that the cost per Application of Section 409A to misleading and are in need of renderer for compliance with the new Nonqualified Deferred Compensation clarification. Plans; Correction requirement for establishing and maintaining Correction of Publication written procedures will be $354.20 per renderer (adjusted for inflation since the AGENCY: Internal Revenue Service (IRS), Accordingly, the publication of the October 2005 proposed rule), hence the new Treasury. correcting amendment to final figure of $17,710 as shown in Table 9 of this ACTION: Correction. regulations (TD 9321), which were the document.’’ subject of FR Doc. E8–23652, is SUMMARY: This document contains corrected as follows: Dated: October 16, 2008. 1. On page 58438, column 2, in the Jeffrey Shuren, corrections to a correcting amendment to final regulations (TD 9321) that was first sentence of the ‘‘Summary’’ section Associate Commissioner for Policy and published in the Federal Register on of the preamble the language ‘‘This Planning. October 7, 2008 (73 FR 58438). The final document contains corrections to final [FR Doc. E8–25346 Filed 10–22–08; 8:45 am] regulations relate to section 409A and regulations (TD 9321) which were BILLING CODE 4160–01–S nonqualified deferred compensation published in the Federal Register on plans. April 17, 2007 (72 FR 19323), corrected July 31, 2007 (72 FR 41620) and DATES: This correction is effective September 24, 2007 (72 FR 54945).’’, is October 23, 2008. corrected to read ‘‘This document Applicability date: April 17, 2007. contains corrections to final regulations (TD 9321) which were published in the FOR FURTHER INFORMATION CONTACT: Guy Federal Register on April 17, 2007 (72 R. Traynor, (202) 622–3693 (not a toll- FR 19323), corrected July 31, 2007 (72 free number). FR 41620), and September 24, 2008 (73 SUPPLEMENTARY INFORMATION: FR 54945).
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2. On page 58438, column 2, in the disclosure is restricted by statute. HSWA take effect in authorized States ‘‘Need for Correction’’ section of the Certain other material, such as before they are authorized for the preamble the language ‘‘As published, copyrighted material, will be publicly requirements. Thus, EPA will the correcting amendment of September available only in hard copy. Publicly implement those requirements and 24, 2008 (72 FR 54945) to final available docket materials are available prohibitions in Minnesota, including regulations (TD 9321) contains errors either electronically in http:// issuing permits, until the State is that may prove to be misleading and is www.regulations.gov or in hard copy. granted authorization to do so. in need of clarification.’’ is corrected to You may view and copy Minnesota’s C. What Is the Effect of the Proposed read ‘‘As published, the correcting application from 9 a.m. to 4 p.m. at the Authorization Decision? amendment of September 24, 2008 (73 following addresses: U.S. EPA Region 5, FR 54945) to final regulations (TD 9321) LR–8J, 77 West Jackson Boulevard, The effect of this decision is to allow contains errors that may prove to be Chicago, Illinois, contact: Gary Westefer Minnesota to implement the EPA misleading and is in need of (312) 886–7450; or Minnesota Pollution approved JPA with Hennepin County. clarification.’’ Control Agency, 520 Lafayette Road, Hennepin County will be able to North, St. Paul, Minnesota 55155, conduct an agreed number of Guy R. Traynor, contact Tanya Maurice (651) 297–1793. inspections, within Hennepin County, Federal Register Liaison, Legal Processing annually on behalf of the Minnesota FOR FURTHER INFORMATION CONTACT: Gary Division, Associate Chief Counsel (Procedure Pollution Control Agency (MPCA). The Westefer, Minnesota Regulatory and Administration). JPA does not affect MPCA’s enforcement Specialist, U.S. EPA Region 5, LR–8J, 77 [FR Doc. E8–25234 Filed 10–22–08; 8:45 am] responsibility. West Jackson Boulevard, Chicago, BILLING CODE 4830–01–P Minnesota continues to have Illinois 60604, (312) 886–7450, e-mail enforcement responsibilities under its [email protected]. State hazardous waste program for ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: violations of such program, but EPA AGENCY A. Why Are Revisions to State retains its authority under RCRA Programs Necessary? sections 3007, 3008, 3013, and 7003, 40 CFR Part 271 which include, among others, authority States which have received final [FRL–8733–7] to: authorization from EPA under RCRA • Do inspections, require monitoring, Minnesota: Final Authorization of State section 3006(b), 42 U.S.C. 6926(b), must tests, analyses, or reports, and Hazardous Waste Management maintain a hazardous waste program • Enforce RCRA requirements and Program Revision that is equivalent to, consistent with, suspend or revoke permits. and no less stringent than the Federal This action does not impose AGENCY: Environmental Protection program. As the Federal program additional requirements on the Agency (EPA). changes, States must change their regulated community because there are ACTION: Final rule. programs and ask EPA to authorize the no new regulations or inspection changes. Changes to State programs may SUMMARY: requirements created by this action. EPA is granting Minnesota be necessary when Federal or State Final authorization of the changes to its Metro County authorities, including statutory or regulatory authority is Hennepin County, are already hazardous waste program under the modified or when certain other changes Resource Conservation and Recovery performing inspections at RCRA occur. Most commonly, States must facilities. Act (RCRA). The agency published a change their programs because of proposed rule on July 14, 2008 at 73 FR changes to EPA’s regulations in 40 Code D. Proposed Rule 40263 and provided for public of Federal Regulations (CFR) parts 124, On July 14, 2008 (73 FR 40263), EPA comment. The public comment period 260 through 266, 268, 270, 273 and 279. published a proposed rule. In that rule ended on August 13, 2008. We received we proposed granting authorization of B. What Decisions Have We Made in no comments. No further opportunity changes to Minnesota’s hazardous waste This Rule? for comment will be provided. EPA has program and opened our decision to determined that these changes satisfy all We conclude that Minnesota’s public comment. The agency received requirements needed to qualify for Final application to revise its authorized no comments on this proposal. EPA authorization, and is proposing to program meets all of the statutory and found Minnnesota’s RCRA program to authorize the State’s changes through regulatory requirements established by be satisfactory. this proposed final action. RCRA. Therefore, we are granting DATES: Effective Date: The final Minnesota final authorization to operate E. What Has Minnesota Previously Been authorization will be effective on its hazardous waste program with the Authorized for? October 23, 2008. This approval will changes described in the authorization Minnesota initially received final expire automatically if the Joint Powers application. Minnesota has authorization on January 28, 1985, Agreement (JPA) between the State of responsibility for permitting Treatment, effective February 11, 1985 (50 FR 3756) Minnesota and Hennepin County is Storage, and Disposal Facilities (TSDFs) to implement the RCRA hazardous terminated or expires without renewal. within its borders (except in Indian waste management program. We granted ADDRESSES: EPA has established a Country) and for carrying out the authorization for changes to their docket for this action under Docket aspects of the RCRA program described program on July 20, 1987, effective Identification No. EPA–R05–RCRA– in its revised program application, September 18, 1987 (52 FR 27199); on 2008–0468. All documents in the docket subject to the limitations of the April 24, 1989, effective June 23, 1989 are listed in the http:// Hazardous and Solid Waste (54 FR 16361) amended June 28, 1989 www.regulations.gov index. Although Amendments of 1984 (HSWA). New (54 FR 27169); on June 15, 1990, listed in the index, some of the Federal requirements and prohibitions effective August 14, 1990 (55 FR 24232); information is not publicly available, imposed by Federal regulations that on June 24, 1991, effective August 23, e.g., CBI or other information whose EPA promulgates under the authority of 1991 (56 FR 28709); on March 19, 1992,
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effective May 18, 1992 (57 FR 9501); on 22, 2001, effective May 22, 2001 (66 FR accordance with 40 CFR 271.21. We March 17, 1993, effective May 17, 1993 28085). have determined that Minnesota’s (58 FR 14321); on January 20, 1994, F. What Changes Are We Authorizing hazardous waste program revision effective March 21, 1994 (59 FR 2998); With Today’s Action? satisfies all of the requirements and on May 25, 2000, effective August necessary to qualify for final 23, 2000 (65 FR 33774). Minnesota also On February 25, 2008, Minnesota authorization. Therefore, we are submitted a final complete program received authorization for the U.S. Filter granting Minnesota final authorization revision application, seeking Recovery Services Project XL on May for the following program change: authorization of their changes in
Description of state initiated change Federal Register date and page (include checklist #, if relevant) (and/or RCRA statutory authority) State authority
Joint Powers Agreement between the Min- 42 U.S.C. 6926 and 6929, 40 CFR 271.16 Minnesota Statutes sections 13.02, effective nesota Pollution Control Agency and Hen- and 271.17. 1974 as amended; 13.39, effective 1981 as nepin County. amended; 115.071, effective 1973 as amended; 115.072, effective 1973 as amended; 116.07, effective 1967 as amend- ed; 116.075, effective 1971 as amended; 471.59, effective 1943 as amended; 473.151, effective 1976 as amended; 473.811, effective 1975 as amended.
Minnesota entered into the Joint and issue permits for HSWA requirements other than those imposed Powers Agreement under its statutes. requirements for which Minnesota is by State law (see SUPPLEMENTARY Sections 13.02 and 13.39 of the not yet authorized. EPA or Minnesota INFORMATION, Section A. Why are Minnesota Statutes cover data practices. may enforce compliance with those Revisions to State Programs Necessary?). Section 13.02 includes political permits. There are no new permits, or Therefore this rule complies with subdivisions such as counties as well as alterations to existing permits created by applicable executive orders and the State agencies. Section 13.39 the JPA. statutory provisions as follows: provides for public access to all data except that legally classified as I. How Does Today’s Action Affect 1. Executive Order 18266: Regulatory nonpublic. Section 115.071 provides for Indian Country (18 U.S.C. 1151) in Planning Review adequate enforcement tools including Minnesota? The Office of Management and Budget civil and criminal penalties meeting the Minnesota is not authorized to carry has exempted this rule from its review requirements of 40 CFR 271.16. Section out its hazardous waste program in under Executive Order 12866 (58 FR 115.072 allows the State agency to seek Indian country, as defined in 18 U.S.C. 51735, October 4, 1993). recovery of its litigation costs. Section 1151. This includes: 2. Paperwork Reduction Act 116.07 authorizes MPCA to adopt 1. All lands within the exterior hazardous waste rules. Section 116.072 boundaries of Indian Reservations This rule does not impose an authorizes the issuance of within or abutting the State of information collection burden under the Administrative Penalty Orders meeting Minnesota, including: provisions of the Paperwork Reduction the requirements of 40 CFR 271.16. a. Bois Forte Indian Reservation. Act of 1995 (44 U.S.C. 3501 et seq.). b. Fond Du Lac Indian Reservation. Section 116.075 governs treatment of 3. Regulatory Flexibility Act trade secret data as does section c. Grand Portage Indian Reservation. 473.151, which also authorizes sharing d. Leech Lake Indian Reservation. After considering the economic of this information to comply with e. Lower Sioux Indian Reservation. impacts of today’s rule on small entities Federal law as required in 40 CFR f. Mille Lacs Indian Reservation. under the Regulatory Flexibility Act (5 271.17(a). Section 471.59 provides the g. Prairie Island Indian Reservation. U.S.C. 601 et seq.), I certify that this rule legal basis for governmental units such h. Red Lake Indian Reservation. will not have a significant economic as MPCA and Hennepin County to enter i. Shakopee Mdewankanton Indian impact on a substantial number of small into a cooperative agreement. Section Reservation. entities. j. Upper Sioux Indian Reservation. 473.811 provides the seven Metro 4. Unfunded Mandates Reform Act Counties (including Hennepin) k. White Earth Indian Reservation. authority to inspect waste facilities for 2. Any land held in trust by the U.S. Because this rule approves pre- enforcement purposes. for an Indian tribe, and existing requirements under state law 3. Any other land, whether on or off and does not impose any additional G. Where Are the Revised State Rules a reservation that qualifies as Indian enforceable duty beyond that required Different From the Federal Rules? country. by state law, it does not contain any In the changes currently being made Therefore, this action has no effect on unfunded mandate or significantly or to Minnesota’s program, there are no Indian country. EPA will continue to uniquely affect small governments, as revisions of State regulations. implement and administer the RCRA described in the Unfunded Mandates program in these lands. Reform Act of 1995 (Pub. L. 104–4). H. Who Handles Permits After the Authorization Takes Effect? K. Statutory and Executive Order 5. Executive Order 13132: Federalism Minnesota will issue permits for all Reviews Executive Order 13132 (64 FR 43255, the provisions for which it is authorized This proposed rule only authorizes August 10, 1999) does not apply to this and will administer the permits it hazardous waste requirements pursuant rule because it will not have federalism issues. EPA will continue to implement to RCRA 3006 and imposes no implications (i.e., substantial direct
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effects on the States, on the relationship 11. Executive Order 12630: Evaluation DEPARTMENT OF HOMELAND between the national government and of Risk and Avoidance of Unanticipated SECURITY the States, or on the distribution of Takings power and responsibilities among the Federal Emergency Management various levels of government). EPA has complied with Executive Agency Order 12630 (53 FR 8859, March 18, 6. Executive Order 13175: Consultation 1988) by examining the takings 44 CFR Part 65 and Coordination With Indian Tribal implications of the rule in accordance [Docket No. FEMA—B–1011] Governments with the Attorney General’s Supplemental Guidelines for the Executive Order 13175 (65 FR 67249, Changes in Flood Elevation Evaluation of Risk and Avoidance of Determinations November 9, 2000) does not apply to Unanticipated Takings issued under the this rule because it will not have tribal executive order. AGENCY: Federal Emergency implications (i.e., substantial direct Management Agency, DHS. effects on one or more Indian tribes, on 12. Executive Order 12898: Federal ACTION: Interim rule. the relationship between the Federal Actions To Address Environmental Government and Indian tribes, or on the Justice in Minority Populations and Low SUMMARY: This interim rule lists distribution of power and Income Populations communities where modification of the responsibilities between the Federal Base (1% annual-chance) Flood Government and Indian tribes). Because this rule proposes Elevations (BFEs) is appropriate because authorization of pre-existing State rules of new scientific or technical data. New 7. Executive Order 13045: Protection of and imposes no additional requirements flood insurance premium rates will be Children From Environmental Health beyond those imposed by State law and calculated from the modified BFEs for and Safety Risks there are no anticipated significant new buildings and their contents. adverse human health or environmental DATES: These modified BFEs are This rule is not subject to Executive effects, the rule is not subject to currently in effect on the dates listed in Order 13045 (62 FR 19885, April 23, Executive Order 12898 (59 FR 7629, the table below and revise the Flood 1997), because it is not economically February 16, 1994). Insurance Rate Maps (FIRMs) in effect significant as defined in Executive prior to this determination for the listed Order 12866 and because the EPA does 13. Congressional Review Act communities. not have reason to believe the EPA will submit a report containing From the date of the second environmental health or safety risks publication of these changes in a this rule and other information required addressed by this action present a newspaper of local circulation, any by the Congressional Review Act (5 disproportionate risk to children. person has ninety (90) days in which to U.S.C. 801 et seq.) to the U.S. Senate, 8. Executive Order 13211: Actions That request through the community that the the U.S. House of Representatives, and Mitigation Assistant Administrator of Significantly Affect Energy Supply, the Comptroller General of the United FEMA reconsider the changes. The Distribution, or Use States prior to publication in the modified BFEs may be changed during Federal Register. A major rule cannot This rule is not subject to Executive the 90-day period. take effect until 60 days after it is Order 13211 (66 FR 28355, May 22, ADDRESSES: The modified BFEs for each published in the Federal Register. This 2001), because it is not a significant community are available for inspection action is not a ‘‘major rule’’ as defined regulatory action as defined in at the office of the Chief Executive by 5 U.S.C. 804(2). Executive Order 12866. Officer of each community. The List of Subjects in 40 CFR Part 271 respective addresses are listed in the 9. National Technology Transfer table below. Advancement Act Environmental protection, FOR FURTHER INFORMATION CONTACT: EPA approves State programs as long Administrative practice and procedure, William R. Blanton, Jr., Engineering as they meet criteria required by RCRA, Confidential business information, Management Branch, Mitigation so it would be inconsistent with Hazardous waste, Hazardous waste Directorate, Federal Emergency applicable law for EPA, in its review of transportation, Indian lands, Management Agency, 500 C Street, SW., Washington, DC 20472, (202) 646–3151. a State program, to require the use of Intergovernmental relations, Penalties, any particular voluntary consensus Reporting and recordkeeping SUPPLEMENTARY INFORMATION: The standard in place of another standard requirements. modified BFEs are not listed for each that meets requirements of RCRA. Thus, Authority: This action is issued under the community in this interim rule. the requirements of section 12(d) of the authority of Sections 2002(a), 3006 and However, the address of the Chief National Technology Transfer and 7004(b) of the Solid Waste Disposal Act, as Executive Officer of the community Advancement Act of 1995 (15 U.S.C. amended, 42 U.S.C. 6912(a), 6926, 6974(b). where the modified BFE determinations are available for inspection is provided. 272 note) do not apply to this rule. Dated: October 10, 2008. Any request for reconsideration must 10. Executive Order 12988 Bharat Mathur, be based on knowledge of changed Acting Regional Administrator, Region 5. conditions or new scientific or technical As required by section 3 of Executive [FR Doc. E8–25315 Filed 10–22–08; 8:45 am] data. Order 12988 (61 FR 4729, February 7, BILLING CODE 6560–50–P The modifications are made pursuant 1996), in issuing this rule, EPA has to section 201 of the Flood Disaster taken the necessary steps to eliminate Protection Act of 1973, 42 U.S.C. 4105, drafting errors and ambiguity, minimize and are in accordance with the National potential litigation, and provide a clear Flood Insurance Act of 1968, 42 U.S.C. legal standard for affected conduct. 4001 et seq., and with 44 CFR part 65.
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For rating purposes, the currently other Federal, State, or regional entities. Executive Order 12988, Civil Justice effective community number is shown The changes in BFEs are in accordance Reform. This interim rule meets the and must be used for all new policies with 44 CFR 65.4. applicable standards of Executive Order and renewals. National Environmental Policy Act. 12988. This interim rule is categorically The modified BFEs are the basis for List of Subjects in 44 CFR Part 65 the floodplain management measures excluded from the requirements of 44 that the community is required to either CFR part 10, Environmental Flood insurance, Floodplains, adopt or to show evidence of being Consideration. An environmental Reporting and recordkeeping impact assessment has not been already in effect in order to qualify or requirements. prepared. to remain qualified for participation in ■ Accordingly, 44 CFR part 65 is Regulatory Flexibility Act. As flood the National Flood Insurance Program amended to read as follows: elevation determinations are not within (NFIP). the scope of the Regulatory Flexibility PART 65—[AMENDED] These modified BFEs, together with Act, 5 U.S.C. 601–612, a regulatory the floodplain management criteria flexibility analysis is not required. ■ 1. The authority citation for part 65 required by 44 CFR 60.3, are the Regulatory Classification. This continues to read as follows: minimum that are required. They interim rule is not a significant Authority: 42 U.S.C. 4001 et seq.; should not be construed to mean that regulatory action under the criteria of Reorganization Plan No. 3 of 1978, 3 CFR, the community must change any section 3(f) of Executive Order 12866 of 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, existing ordinances that are more September 30, 1993, Regulatory 3 CFR, 1979 Comp., p. 376. stringent in their floodplain Planning and Review, 58 FR 51735. management requirements. The Executive Order 13132, Federalism. § 65.4 [Amended] community may at any time enact This interim rule involves no policies ■ 2. The tables published under the stricter requirements of its own, or that have federalism implications under authority of § 65.4 are amended as pursuant to policies established by the Executive Order 13132, Federalism. follows:
Location and case Date and name of newspaper Effective date of Community State and county No. where notice was published Chief executive officer of community modification No.
Arizona: Maricopa ...... Town of Cave Creek September 17, 2008; Sep- The Honorable Vincent Francia, Mayor, January 22, 2009 ...... 040129 (08–09–0722P). tember 24, 2008; Sonoran Town of Cave Creek, 5140 East New News. River Road, Cave Creek, AZ 85331. Santa Cruz ...... Unincorporated September 5, 2008; September The Honorable Manny Ruiz, Chairman, January 12, 2009 ...... 040090 areas of Santa 12, 2008; Nogales Inter- Santa Cruz County, Board of Super- Cruz County (07– national. visors, 2150 North Congress Drive, 09–1052P). Nogales, AZ 85621. Yavapai ...... Unincorporated September 17, 2008; Sep- The Honorable Chip Davis, Chairman, October 6, 2008 ...... 040093 areas of Yavapai tember 24, 2008; Prescott Yavapai County, Board of Supervisors, County (08–09– Daily Courier. 1015 Fair Street, Prescott, AZ 86305. 1638P). Florida: Sarasota ..... Unincorporated September 12, 2008; Sep- The Honorable Shannon Staub, Chair, January 20, 2009 ...... 125144 areas of Sarasota tember 19, 2008; Sarasota Sarasota County Commission, 1660 County (08–04– Herald-Tribune. Ringling Boulevard, Sarasota, FL 1962P). 34236. Georgia: Athens-Clarke ... Unincorporated September 12, 2008; Sep- The Honorable Heidi Davison, Mayor, August 29, 2008 ...... 130040 areas of Sarasota tember 19, 2008; Athens Athens-Clarke County, 235 Wells Drive, County (08–04– Banner Herald. Athens, GA 30606. 4142P). DeKalb ...... Unincorporated September 18, 2008; Sep- The Honorable Vernon Jones, Chief Ex- August 29, 2008 ...... 130065 areas of DeKalb tember 25, 2008; The Cham- ecutive Officer, DeKalb County, 1300 County (08–04– pion. Commerce Drive, Decatur, GA 30030. 3686P). Idaho: Blaine ...... Unincorporated September 17, 2008; Sep- The Honorable Tom Bowman, Chairman, August 29, 2008 ...... 165167 areas of Blaine tember 24, 2008; Idaho Blaine County Board of Commis- County (08–10– Mountain Express. sioners, 206 First Street South, Suite 0169P). 300, Hailey, ID 83333. Illinois: DuPage ...... Village of Lisle (08– September 16, 2008; Sep- The Honorable Joseph Broda, Mayor, Vil- January 21, 2009 ...... 170211 05–3888P). tember 23, 2008; Daily Her- lage of Lisle, 925 Burlington Avenue, ald. Lisle, IL 60532. New Mexico: Dona City of Las Cruces September 5, 2008; September The Honorable Ken Miyagishima, Mayor, August 25, 2008 ...... 355332 Ana. (08–06–1760P). 12, 2008; Las Cruces Bul- City of Las Cruces, P.O. Box 20000, letin. Las Cruces, NM 88004. North Carolina: Or- Orange County (Un- August 15, 2008; August 22, Mr. Barry Jacobs, Chair, Board of Com- December 22, 2008 ...... 370342 ange. incorporated 2008; Chapel Hill Herald. missioners, Orange County, 2105 Areas) (08–04– Moorefields Road, Hillsborough, North 1666P). Carolina 27278. Ohio: Franklin ...... City of Columbus August 21, 2008; August 28, The Honorable Michael B. Coleman, December 26, 2008 ...... 390170 (07–05–3141P). 2008; The Columbus Dis- Mayor, City of Columbus, 90 West patch. Broad Street, Columbus, OH 43215. Franklin ...... Unincorporated August 21, 2008; August 28, The Honorable Mary Jo Kilroy, President, December 26, 2008 ...... 390167 areas of Franklin 2008; The Columbus Dis- Franklin County Board of Commis- County (07–05– patch. sioners, 373 South High Street, 26th 3141P). Floor, Columbus, OH 43215. Franklin ...... City of Grove City August 21, 2008; August 28, The Honorable Richard L. Stage, Mayor, December 26, 2008 ...... 390173 (07–05–3141P). 2008; The Columbus Dis- City of Grove City, 4035 Broadway patch. Street, Grove City, OH 43123.
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Location and case Date and name of newspaper Effective date of Community State and county No. where notice was published Chief executive officer of community modification No.
Oregon: Multnomah, City of Portland (08– September 16, 2008; Sep- The Honorable Tom Potter, Mayor, City of January 21, 2009 ...... 410183 Clackamas, and 10–0276P). tember 23, 2008; Daily Jour- Portland, 1221 Southwest Fourth Ave- Washington. nal of Commerce. nue, Suite 340, Portland, OR 97204. Texas: Bexar ...... City of San Antonio September 5, 2008; September THe Honorable Phil Hardberger, Mayor, January 12, 2009 ...... 480045 (07–06–2565P). 12, 2008; San Antonio Ex- City of San Antonio, P.O. Box 839966, press News. San Antonio, TX 78283. Collin ...... Town of Prosper September 11, 2008; Sep- The Honorable Charles Niswanger, August 29, 2008 ...... 480141 (08–06–0479P). tember 18, 2008; Dallas Mayor, Town of Prosper, P.O. Box 307, Morning News. Prosper, TX 75078. Tarrant and City of Fort Worth September 5, 2008; September The Honorable Mike J. Moncrief, Mayor, August 19, 2008 ...... 480596 Denton. (08–06–2456P). 12, 2008; Fort Worth Star- City of Fort Worth, 1000 Throckmorton Telegram. Street, Fort Worth, TX 76102. Johnson ...... City of Burleson (08– August 6, 2008; August 13, The Honorable Kenneth Shetter, Mayor, December 11, 2008 ...... 485459 06–0660P). 2008; Burleson Star. City of Burleson, 141 West Renfro Street, Burleson, TX 76028. Tarrant ...... City of Euless (08– April 4, 2008; April 11, 2008; The Honorable Mary Saleh, Mayor, City August 11, 2008 ...... 480593 06–0770P). Colleyville Courier. of Euless, 201 North Ector Drive, Eu- less, TX 76039. Tarrant ...... City of Fort Worth September 5, 2008; September The Honorable Mike J. Moncrief, Mayor, January 12, 2009 ...... 480596 (07–06–0534P). 12, 2008; Fort Worth Star- City of Fort Worth, 1000 Throckmorton Telegram. Street, Fort Worth, TX 76102. Travis ...... City of Austin (08– September 16, 2008; Sep- The Honorable Will Wynn, Mayor, City of January 21, 2009 ...... 480624 06–1041P). tember 23, 2008; Austin Austin, P.O. Box 1088, Austin, TX American-Statesman. 78767. Washington: King .... City of Burien (07– September 8, 2008; September The Honorable Joan McGilton, Mayor, January 13, 2009 ...... 530321 10–0686P). 15, 2008; The Seattle Times. City of Burien, 15811 Ambaum Boule- vard Southwest, Suite C, Burien, WA 98168.
(Catalog of Federal Domestic Assistance No. Plan (NANP) callback number, when Order), published at 73 FR 21252, April 97.022, ‘‘Flood Insurance.’’) known to the provider, rather than the 21, 2008. The full text of document FCC Dated: October 9, 2008. callback number of the Communications 08–210 will be available for public Michael K. Buckley, Assistant (CA). The Commission also inspection and copying during regular Acting Assistant Administrator, Mitigation reiterates its requirement that VRS business hours at the FCC Reference Directorate, Department of Homeland providers implement a system to ensure Information Center, Portals II, 445 12th Security, Federal Emergency Management that all incoming emergency calls Street, SW., Room CY–A257, Agency. (including callbacks from emergency Washington, DC 20554. Document FCC [FR Doc. E8–25265 Filed 10–22–08; 8:45 am] personnel) are answered by the provider 08–210 and copies of subsequently filed BILLING CODE 9110–12–P before non-emergency calls. documents in this matter also may be DATES: Effective September 19, 2008, the purchased from the Commission’s limited waiver shall expire as of duplicating contractor at Portals II, 445 FEDERAL COMMUNICATIONS December 31, 2008. 12th Street, SW., Room CY–B402, COMMISSION FOR FURTHER INFORMATION CONTACT: Washington, DC 20554. Customers may Gregory Hlibok, Consumer and contact the Commission’s duplicating 47 CFR Part 64 Governmental Affairs Bureau, Disability contractor at its Web site, http:// [CG Docket No. 03–123 and WC Docket No. Rights Office at (800) 311–4381 (voice) www.bcpiweb.com, or by calling 1–800– 05–196; FCC 08–210] or e-mail at [email protected]. 378–3160. Document FCC 08–210 also SUPPLEMENTARY INFORMATION: This is a can be downloaded in Word or Portable Telecommunications Relay Services summary of the Commission’s Document Format (PDF) at: http:// and Speech-to-Speech Services for Telecommunications Relay Services and www.fcc.gov/cgb/dro/trs.html. Individuals With Hearing and Speech Speech-to-Speech Services for To request materials in accessible Disabilities; E911 Requirements for IP- Individuals with Hearing and Speech formats for people with disabilities Enabled Service Providers Disabilities; E911 Requirements for IP- (Braille, large print, electronic files, AGENCY: Federal Communications Enabled Service Providers, CG Docket audio format), send an e-mail to Commission. No. 03–123 and WC Docket No. 05–196, [email protected] or call the Consumer and Governmental Affairs Bureau at ACTION: Final rule; petition for waiver. Order, document FCC 08–210, adopted September 15, 2008, and released (202) 418–0530 (voice) or (202) 418– SUMMARY: In this document, the September 19, 2008, granting a petition 0432 (TTY). Commission grants a petition for limited filed by Sorenson for limited waiver of Paperwork Reduction Act of 1995 waiver filed by Sorenson interim 47 CFR 64.605(c), which was Analysis Communications, Inc. (Sorenson). The adopted by the Commission in waiver allows Sorenson, and all other Telecommunications Relay Services and Document FCC 08–210 does not Video Relay Service (VRS) providers, Speech-to-Speech Services for contain new or modified information prior to the implementation of new Individuals with Hearing and Speech collection requirements subject to the emergency call handling rules, to Disabilities; E911 Requirements for IP- Paperwork Reduction Act of 1995, deliver to the appropriate emergency Enabled Service Providers, CG Docket Public Law 104–13. In addition, response authorities, at the outset of the No. 03–123 and WC Docket No. 05–196, therefore, it does not contain any new outbound leg of an emergency VRS call, Report and Order, document FCC 08–78 or modified information collection the caller’s North American Numbering (Interim Emergency Call Handling burden ‘‘for small business concerns
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with fewer than 25 employees,’’ providers implement a system to ensure grant Sorenson’s request for a limited pursuant to the Small Business that all incoming emergency calls waiver of interim 47 CFR 64.605(c), as Paperwork Relief Act of 2002, Public (including callbacks from emergency well as to extend the waiver to similarly Law 107–198, see 44 U.S.C. 3506(c)(4). personnel) are answered by the provider situated VRS providers. First, as before non-emergency calls. Sorenson correctly notes, the Synopsis 3. Background. The measures adopted Commission’s goal in adopting interim 1. In the Interim Emergency Call in the Interim Emergency Call Handling 47 CFR 64.605(c) was to ensure that Handling Order, the Commission Order were designed to ensure that emergency response personnel have a addressed the emergency call handling persons using Internet-based forms of means of re-establishing contact with an obligations of Internet-based TRS can promptly access emergency Internet-based relay user whose Telecommunications Relay Services services, until such time that Internet- emergency call has been disconnected. (TRS) providers. Pending adoption by based TRS providers can immediately Although it was logical for the the Commission of a longer term and automatically place the outbound Commission in its Interim Emergency emergency call handling solution, the leg of an emergency call to an Call Handling Order to require Commission adopted interim appropriate public safety answering providers to deliver the callback number requirements for Internet-based TRS point (PSAP), designated statewide of the CA, rather than of the user (since providers to ensure access to emergency default answering point, or appropriate many VRS and IP Relay users do not yet services for consumers of Internet-based local emergency authority (collectively have unique ten-digit NANP numbers relay services. Among these interim EAs). The Commission required and therefore cannot be reached directly requirements is 47 CFR 64.605(c), which Internet-based TRS providers, at the by dialing a ten-digit number), where a requires Internet-based TRS providers, outset of the outbound leg of an relay user does have a unique ten-digit at the outset of the outbound leg of an emergency call, to deliver to emergency NANP number, such as the toll-free emergency TRS call, to deliver to response authorities, at a minimum, the NANP numbers provided to Sorenson emergency response authorities the name of the relay user and location of users, the Commission finds no reason callback number of the TRS provider’s the emergency, as well as the name of why this number should not be CA, thereby enabling emergency the relay provider, the CA’s callback provided to emergency response response personnel to re-establish number, and the CA’s identification authorities at the outset of the outbound contact with the CA in the event the call number, thereby enabling the leg of an emergency call. Indeed, to the is disconnected. Pursuant to the emergency response authority to re- extent that a callback via a user’s ten- subsequent Telecommunications Relay establish contact with the CA if the call digit NANP number is given priority Services and Speech-to-Speech Services is disconnected. One key provision of call handling and does not necessitate for Individuals with Hearing and Speech the Internet-based TRS Numbering re-establishing contact with the specific Disabilities; E911 Requirements for IP- Order, however, is to have VRS and IP CA who handled the original emergency Enabled Service Providers, CG Docket Relay providers transmit the Automatic call (who himself may be experiencing No. 03–123 and WC Docket No. 05–196, Number Identification (ANI) of the technical or other difficulties), the Report and Order and Further Notice of caller (i.e., the callback number of the Commission agrees that the approach Proposed Rulemaking, document FCC calling party) to the emergency response described by Sorenson represents a 08–151 (Internet-based TRS Numbering personnel rather than having Internet- more efficient method of re-establishing Order), published at 73 FR 41286, July based TRS providers transmit to contact with the emergency caller. 18, 2008, as of December 31, 2008, this emergency response personnel the Therefore, where an emergency caller requirement will no longer apply and callback number of the CA as required can be reached directly via a ten-digit will be superseded by the new under the current interim rules. emergency call handling rules adopted 4. In its waiver petition, Sorenson NANP callback number, the in that order. asserts that providing to emergency Commission finds that it is in the public 2. On July 11, 2008, Sorenson filed a authorities the ten-digit NANP number interest to permit VRS providers to petition for limited waiver of interim 47 of an emergency VRS caller represents provide this number to emergency CFR 64.605(c) seeking authority so that a more efficient method of re- response personnel. Second, as prior to December 31, 2008, when the establishing contact with that caller if Sorenson also notes, where an caller’s NANP callback number is the initial call becomes disconnected, emergency VRS caller can be reached known, Sorenson may deliver it to the by enabling emergency response directly via a unique, ten-digit NANP appropriate emergency response personnel to re-establish relayed number, providing this callback number authorities at the outset of the outbound communications directly with the caller to emergency response personnel more leg of an emergency VRS call, instead of by dialing the user’s toll-free number closely approximates the callback providing the CA’s callback number. rather than going through the approach adopted by the Commission in Because the Commission finds this to be intermediate step of calling back the the recent Internet-based TRS a more efficient method of ensuring that same CA. Sorenson contends this Numbering Order. emergency response personnel can re- procedure would serve the public 9. In sum, the Commission finds that establish contact with an emergency interest by facilitating the more rapid the record supports granting all VRS caller if the call has been disconnected, callback in this situation, and by providers a waiver of interim 47 CFR and because this approach more closely ‘‘effectively implement[ing],’’ ahead of 64.605(c)’s requirement that the CA approximates the callback information the December 31st deadline, the deliver to emergency response that the Commission will require under requirement set forth in the Internet- authorities, at the outset of the call, the its final emergency call handling rules based TRS Numbering Order that VRS CA’s callback number, to the extent that for Internet-based forms of TRS, the and IP Relay providers transmit the the VRS CA can deliver, instead, the Commission grants the limited waiver of caller’s ANI, rather than the CA’s VRS caller’s unique ten-digit NANP interim 47 CFR 64.605(c) that is callback number, at the outset of the callback number. The Commission requested by Sorenson, and applies it to outbound leg of an emergency VRS call. reiterates, however, its requirement that all VRS providers. The Commission also 5. Discussion. The Commission finds VRS providers implement a system to reiterates its requirement that VRS good cause has been demonstrated to ensure that all incoming emergency
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calls (including callbacks from Federal Communications Commission. BSAI according to the Fishery emergency personnel) are answered by Marlene H. Dortch, Management Plan for Groundfish of the the provider before non-emergency Secretary. Bering Sea and Aleutian Islands calls. The Commission also recognizes [FR Doc. E8–25192 Filed 10–22–08; 8:45 am] Management Area (FMP) prepared by that a callback from emergency BILLING CODE 6712–01–P the North Pacific Fishery Management personnel may be handled by a CA Council under authority of the other than the CA who handled the Magnuson–Stevens Fishery initial 911 call from the emergency DEPARTMENT OF COMMERCE Conservation and Management Act. caller. The Commission expects Regulations governing fishing by U.S. providers will have in place a procedure National Oceanic and Atmospheric vessels in accordance with the FMP by which they will obtain from the first Administration appear at subpart H of 50 CFR part 600 CA all information relevant to the and 50 CFR part 679. emergency, including any information 50 CFR Part 679 that he or she obtained during the The 2008 yellowfin sole TAC assigned course of the initial call but that was not [Docket No. 071106673–8011–02] to the Bering Sea and Aleutian Islands trawl limited access sector is 44,512 conveyed, and that the provider will RIN 0648–XL44 transmit this information to the metric tons (mt) and to the Amendment 80 cooperative is 92,982 mt in the BSAI appropriate emergency personnel. Fisheries of the Exclusive Economic as established by the 2008 and 2009 Finally, because the provision of interim Zone Off Alaska; Reallocation of final harvest specifications for 47 CFR 64.605(c) waived herein Yellowfin Sole in the Bering Sea and groundfish in the BSAI (73 FR 10160, terminates as of December 31, 2008, the Aleutian Islands Management Area waiver granted herein to VRS providers February 26, 2008). shall also terminate on that date. AGENCY: National Marine Fisheries The Administrator, Alaska Region, Service (NMFS), National Oceanic and NMFS, has determined that 6,000 mt of Congressional Review Act Atmospheric Administration (NOAA), the yellowfin sole TAC assigned to the The Commission will not send a copy Commerce. BSAI trawl limited access sector will of the Order pursuant to the ACTION: Temporary rule; reallocation. not be harvested. Therefore, in Congressional Review Act, see 5 U.S.C. accordance with § 679.91(f), NMFS 801(a)(1)(A), because the rule subject to SUMMARY: NMFS is reallocating the reallocates 6,000 mt of yellowfin sole the limited waiver was previously projected unused amount of the 2008 from the BSAI trawl limited access adopted and subject to a CRA yellowfin sole total allowable catch sector to the Amendment 80 cooperative submission at that juncture. (TAC) assigned to the Bering Sea and in the BSAI. In accordance with Aleutian Islands trawl limited access Ordering Clauses § 679.91(f), NMFS will reissue sector to the Amendment 80 cooperative cooperative quota permits for the Pursuant to section 225 of the in the Bering Sea and Aleutian Islands reallocated yellowfin sole following the Communications Act of 1934, as management area (BSAI). This action is procedures set forth in § 679.91(f)(3). amended, 47 U.S.C. 225, and 47 CFR necessary to allow the 2008 total 0.141, 0.361, and 1.3, the Order is allowable catch of yellowfin sole to be The harvest specifications for adopted. fully harvested. yellowfin sole included in the harvest The petition for limited waiver of specifications for groundfish in the DATES: Effective October 20, 2008, interim 47 CFR 64.605(c), filed by BSAI (73 FR 10160, February 26, 2008) through 2400 hrs, Alaska local time Sorenson on July 11, 2008, is granted to are revised as follows: 38,512 mt to the (A.l.t.), December 31, 2008. the extent described above and is BSAI trawl limited access sector and extended to all VRS providers. FOR FURTHER INFORMATION CONTACT: 98,982 mt to the Amendment 80 The limited waiver of interim 47 CFR Mary Furuness, 907–586–7228. cooperative in the in the BSAI. Table 7 64.605(c) shall expire as of December SUPPLEMENTARY INFORMATION: NMFS is correctly revised and republished in 31, 2008. manages the groundfish fishery in the its entirety as follows: TABLE 7–2008 AND 2009 COMMUNITY DEVELOPMENT QUOTA (CDQ) RESERVES, INCIDENTAL CATCH AMOUNTS (ICAS), AND AMENDMENT 80 ALLOCATIONS OF THE ALEUTIAN ISLANDS PACIFIC OCEAN PERCH, FLATHEAD SOLE, ROCK SOLE, AND YELLOWFIN SOLE TACS [Amounts are in metric tons]
Pacific ocean perch Flathead Rock sole Yellowfin sole sole Eastern Aleutian Central Aleutian Western Aleutian BSAI BSAI Sector District District District BSAI 2008 and 2008 and 2008 2009 2008 2009 2008 2009 2008 2009 2009 2009
TAC 4,900 4,810 4,990 4,900 7,610 7,490 50,000 75,000 225,000 205,000
CDQ 524 515 534 524 814 801 5,350 8,025 24,075 21,935
ICA 100 100 10 10 10 10 4,500 5,000 2,000 2,000
BSAI trawl lim- 214 420 222 437 136 134 0 0 38,512 37,368 ited access
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TABLE 7–2008 AND 2009 COMMUNITY DEVELOPMENT QUOTA (CDQ) RESERVES, INCIDENTAL CATCH AMOUNTS (ICAS), AND AMENDMENT 80 ALLOCATIONS OF THE ALEUTIAN ISLANDS PACIFIC OCEAN PERCH, FLATHEAD SOLE, ROCK SOLE, AND YELLOWFIN SOLE TACS—Continued [Amounts are in metric tons]
Pacific ocean perch Flathead Rock sole Yellowfin sole sole Eastern Aleutian Central Aleutian Western Aleutian BSAI BSAI Sector District District District BSAI 2008 and 2008 and 2008 2009 2008 2009 2008 2009 2008 2009 2009 2009
Amendment 80 4,062 3,776 4,224 3,929 6,650 6,545 40,150 61,975 160,413 143,697
Amendment 80 2,154 0 2,240 0 3,526 0 4,392 14,972 61,431 0 limited access1
Amendment 80 1,908 0 1,984 0 3,124 0 35,758 47,003 98,982 0 cooperatives1 1The 2009 allocations for Amendment 80 species between Amendment 80 cooperatives and the Amendment 80 limited access sector will not be known until eligible participants apply for participation in the program by November 1, 2008.
Classification Dated: October 20, 2008. DATES: Effective 1200 hrs, Alaska local Emily H. Menashes, time (A.l.t.), October 20, 2008, through This action responds to the best Acting Director, Office of Sustainable 2400 hrs, A.l.t., December 31, 2008. available information recently obtained Fisheries, National Marine Fisheries Service. FOR FURTHER INFORMATION CONTACT: from the fishery. The Assistant [FR Doc. E8–25332 Filed 10–20–08; 4:15 pm] Steve Whitney, 907–586–7269. Administrator for Fisheries, NOAA BILLING CODE 3510–22–S SUPPLEMENTARY INFORMATION: NMFS (AA), finds good cause to waive the manages the groundfish fishery in the requirement to provide prior notice and BSAI exclusive economic zone opportunity for public comment DEPARTMENT OF COMMERCE according to the Fishery Management pursuant to the authority set forth at 5 Plan for Groundfish of the Bering Sea U.S.C. 553(b)(B) as such requirement is National Oceanic and Atmospheric and Aleutian Islands Management Area impracticable and contrary to the public Administration (FMP) prepared by the North Pacific interest. This requirement is Fishery Management Council under impracticable and contrary to the public 50 CFR Part 679 authority of the Magnuson–Stevens interest as it would prevent NMFS from Fishery Conservation and Management responding to the most recent fisheries [Docket No. 071106673–8011–02] Act. Regulations governing fishing by data in a timely fashion and would U.S. vessels in accordance with the FMP delay the reallocation of yellowfin sole RIN 0648–XL43 appear at subpart H of 50 CFR part 600 from the BSAI trawl limited access and 50 CFR part 679. sector to the Amendment 80 cooperative Fisheries of the Exclusive Economic The 2008 Atka mackerel TAC in the BSAI. Since the fishery is Zone Off Alaska; Atka Mackerel by allocated to vessels participating in the currently open, it is important to Vessels in the Amendment 80 Limited Amendment 80 limited access fishery in immediately inform the industry as to Access Fishery in the Eastern Aleutian the Eastern Aleutian District and Bering the revised allocations. Immediate District and Bering Sea Subarea of the Sea Subarea of the BSAI is 8,232 metric notification is necessary to allow for the Bering Sea and Aleutian Islands tons (mt) as established by the 2008 and orderly conduct and efficient operation Management Area 2009 final harvest specifications for of this fishery, to allow the industry to groundfish in the BSAI (73 FR 10160, plan for the fishing season, and to avoid AGENCY: National Marine Fisheries February 26, 2008), reallocation (73 FR potential disruption to the fishing fleet Service (NMFS), National Oceanic and 44173, July 30, 2008), and correction (73 as well as processors. NMFS was unable Atmospheric Administration (NOAA), FR 47559, August 14, 2008). to publish a notice providing time for Commerce. In accordance with § 679.20(d)(1)(i), public comment because the most ACTION: Temporary rule; closure. the Administrator, Alaska Region, recent, relevant data only became NMFS (Regional Administrator), has available as of October 17, 2008. SUMMARY: NMFS is prohibiting directed determined that the 2008 Atka mackerel The AA also finds good cause to fishing for Atka mackerel for vessels TAC allocated to vessels participating in waive the 30-day delay in the effective participating in the Amendment 80 the Amendment 80 limited access date of this action under 5 U.S.C. limited access fishery in the Eastern fishery in the Eastern Aleutian District 553(d)(3). This finding is based upon Aleutian District and Bering Sea and Bering Sea Subarea of the BSAI will the reasons provided above for waiver of Subarea of the Bering Sea and Aleutian soon be reached. Therefore, the Regional prior notice and opportunity for public Islands management area (BSAI). This Administrator is establishing a directed comment. action is necessary to prevent exceeding fishing allowance of 8,222 mt and is the 2008 Atka mackerel allowable catch setting aside the remaining 10 mt as This action is required by § 679.20 (TAC) specified for vessels participating incidental catch to support other and is exempt from review under in the Amendment 80 limited access groundfish fisheries. In accordance with Executive Order 12866. fishery in the Eastern Aleutian District § 679.20(d)(1)(iii), the Regional Authority: 16 U.S.C. 1801 et seq. and Bering Sea Subarea of the BSAI. Administrator finds that this directed
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fishing allowance has been reached. DEPARTMENT OF COMMERCE determined that the 2008 Pacific ocean Consequently, NMFS is prohibiting perch TAC allocated to vessels directed fishing for Atka mackerel by National Oceanic and Atmospheric participating in the Amendment 80 vessels participating in the Amendment Administration limited access fishery in the Eastern 80 limited access fishery in the Eastern Aleutian District of the BSAI will soon Aleutian District and Bering Sea 50 CFR Part 679 be reached. Therefore, the Regional Administrator is establishing a directed Subarea of the BSAI. [Docket No. 071106673–8011–02] fishing allowance of 1,600 mt and is After the effective date of this closure RIN 0648–XL45 setting aside the remaining 554 mt as the maximum retainable amounts at incidental catch to support other § 679.20(e) and (f) apply at any time Fisheries of the Exclusive Economic groundfish fisheries. In accordance with during a trip. Zone Off Alaska; Pacific Ocean Perch § 679.20(d)(1)(iii), the Regional Classification by Vessels in the Amendment 80 Administrator finds that this directed Limited Access Fishery in the Eastern fishing allowance has been reached. This action responds to the best Aleutian District of the Bering Sea and Consequently, NMFS is prohibiting available information recently obtained Aleutian Islands Management Area directed fishing for Pacific ocean perch from the fishery. The Assistant by vessels participating in the AGENCY: National Marine Fisheries Amendment 80 limited access fishery in Administrator for Fisheries, NOAA, Service (NMFS), National Oceanic and the Eastern Aleutian District of the (AA), finds good cause to waive the Atmospheric Administration (NOAA), BSAI. requirement to provide prior notice and Commerce. opportunity for public comment After the effective date of this closure ACTION: Temporary rule; closure. pursuant to the authority set forth at 5 the maximum retainable amounts at U.S.C. 553(b)(B) as such requirement is SUMMARY: NMFS is prohibiting directed § 679.20(e) and (f) apply at any time impracticable and contrary to the public fishing for Pacific ocean perch for during a trip. interest. This requirement is vessels participating in the Amendment Classification impracticable and contrary to the public 80 limited access fishery in the Eastern interest as it would prevent NMFS from Aleutian District of the Bering Sea and This action responds to the best responding to the most recent fisheries Aleutian Islands management area available information recently obtained data in a timely fashion and would (BSAI). This action is necessary to from the fishery. The Assistant Administrator for Fisheries, NOAA, delay the closure of Atka mackerel by prevent exceeding the 2008 Pacific (AA), finds good cause to waive the vessels participating in the Amendment ocean perch allowable catch (TAC) requirement to provide prior notice and 80 limited access fishery in the Eastern specified for vessels participating in the Amendment 80 limited access fishery in opportunity for public comment Aleutian District and Bering Sea pursuant to the authority set forth at 5 Subarea of the BSAI. NMFS was unable the Eastern Aleutian District of the BSAI. U.S.C. 553(b)(B) as such requirement is to publish a notice providing time for impracticable and contrary to the public public comment because the most DATES: Effective 1200 hrs, Alaska local interest. This requirement is recent, relevant data only became time (A.l.t.), October 20, 2008, through impracticable and contrary to the public available as of October 17, 2008. 2400 hrs, A.l.t., December 31, 2008. interest as it would prevent NMFS from The AA also finds good cause to FOR FURTHER INFORMATION CONTACT: responding to the most recent fisheries waive the 30-day delay in the effective Steve Whitney, 907–586–7269. data in a timely fashion and would date of this action under 5 U.S.C. SUPPLEMENTARY INFORMATION: NMFS delay the closure of Pacific ocean perch 553(d)(3). This finding is based upon manages the groundfish fishery in the by vessels participating in the the reasons provided above for waiver of BSAI exclusive economic zone Amendment 80 limited access fishery in prior notice and opportunity for public according to the Fishery Management the Eastern Aleutian District of the comment. Plan for Groundfish of the Bering Sea BSAI. NMFS was unable to publish a and Aleutian Islands Management Area notice providing time for public This action is required by § 679.20 (FMP) prepared by the North Pacific comment because the most recent, and § 679.91 and is exempt from review Fishery Management Council under relevant data only became available as under Executive Order 12866. authority of the Magnuson–Stevens of October 17, 2008. Authority: 16 U.S.C. 1801 et seq. Fishery Conservation and Management The AA also finds good cause to Dated: October 20, 2008. Act. Regulations governing fishing by waive the 30-day delay in the effective U.S. vessels in accordance with the FMP date of this action under 5 U.S.C. James P. Burgess, appear at subpart H of 50 CFR part 600 553(d)(3). This finding is based upon Acting Director, Office of Sustainable and 50 CFR part 679. the reasons provided above for waiver of Fisheries, National Marine Fisheries Service. The 2008 Pacific ocean perch TAC prior notice and opportunity for public [FR Doc. E8–25331 Filed 10–20–08; 4:15 pm] allocated to vessels participating in the comment. BILLING CODE 3510–22–S Amendment 80 limited access fishery in This action is required by § 679.20 the Eastern Aleutian District of the BSAI and § 679.91 and is exempt from review is 2,154 metric tons (mt) as established under Executive Order 12866. by the 2008 and 2009 final harvest Authority: 16 U.S.C. 1801 et seq. specifications for groundfish in the BSAI (73 FR 10160, February 26, 2008). Dated: October 20, 2008. See § 679.20(a)(10)(i), § 679.20(a)(10)(ii), Emily H. Menashes, and § 679.91(c)(4). Acting Director, Office of Sustainable In accordance with § 679.20(d)(1)(i), Fisheries, National Marine Fisheries Service. the Administrator, Alaska Region, [FR Doc. E8–25330 Filed 10–20–08; 4:15 pm] NMFS (Regional Administrator), has BILLING CODE 3510–22–S
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DEPARTMENT OF COMMERCE Information (e.g., name, address) areas specified for vessels participating voluntarily submitted by the commenter in the BSAI trawl limited access fishery National Oceanic and Atmospheric may be publicly accessible. Do not effective 1200 hrs, A.l.t., October 23, Administration submit Confidential Business 2008. Information or otherwise sensitive or 50 CFR Part 679 protected information. Classification NMFS will accept anonymous [Docket No. 071106673–8011–02] This action responds to the best comments (enter N/A in the required available information recently obtained RIN 0648–XL42 fields, if you wish to remain from the fishery. The Assistant anonymous). Attachments to electronic Fisheries of the Exclusive Economic Administrator for Fisheries, NOAA, comments will be accepted in Microsoft (AA) finds good cause to waive the Zone Off Alaska; Atka Mackerel in the Word, Excel, WordPerfect, or Adobe requirement to provide prior notice and Bering Sea and Aleutian Islands portable document file (pdf) formats opportunity for public comment Management Area only. pursuant to the authority set forth at 5 AGENCY: National Marine Fisheries FOR FURTHER INFORMATION CONTACT: U.S.C. 553(b)(B) as such a requirement Service (NMFS), National Oceanic and Steve Whitney, 907–586–7269. is impracticable and contrary to the Atmospheric Administration (NOAA), SUPPLEMENTARY INFORMATION: NMFS public interest. This requirement is Commerce. manages the groundfish fishery in the impracticable and contrary to the public ACTION: Temporary rule; modification of BSAI exclusive economic zone interest as it would prevent NMFS from a closure. according to the Fishery Management responding to the most recent fisheries Plan for Groundfish of the Bering Sea data in a timely fashion and would SUMMARY: NMFS is opening directed and Aleutian Islands Management Area delay the opening of the Atka mackerel fishing for Atka mackerel in the Eastern (FMP) prepared by the North Pacific fishery in the Eastern Aleutian District Aleutian District and the Bering Sea Fishery Management Council under and the Bering Sea subarea for vessels subarea of the Bering Sea and Aleutian authority of the Magnuson–Stevens participating in the BSAI trawl limited Islands management area (BSAI) by Fishery Conservation and Management access fishery. NMFS was unable to vessels participating in the BSAI trawl Act. Regulations governing fishing by publish a notice providing time for limited access fishery. This action is U.S. vessels in accordance with the FMP public comment because the most necessary to fully use the 2008 total appear at subpart H of 50 CFR part 600 recent, relevant data only became allowable catch (TAC) of Atka mackerel and 50 CFR part 679. available as of October 17, 2008. The in these areas specified for vessels NMFS closed the directed fishery for AA also finds good cause to waive the participating in the BSAI trawl limited Atka mackerel by vessels participating 30-day delay in the effective date of this access fishery. in the BSAI trawl limited access fishery action under 5 U.S.C. 553(d)(3). This DATES: Effective 1200 hrs, Alaska local in the Eastern Aleutian District and the finding is based upon the reasons time (A.l.t.), October 20, 2008, through Bering Sea subarea on October 11, 2008 provided above for waiver of prior 1200 hrs, A.l.t., October 23, 2008. (73 FR 61366, October 16, 2008). notice and opportunity for public Comments must be received at the NMFS has determined that comment. following address no later than 4:30 approximately 152 mt of the 2008 Atka Without this inseason adjustment, p.m., A.l.t., November 4, 2008. mackerel TAC specified for vessels NMFS could not allow the fishery for participating in the BSAI trawl limited ADDRESSES: Send comments to Sue Atka mackerel fishery in the Eastern access fishery in the Eastern Aleutian Salveson, Assistant Regional Aleutian District and the Bering Sea District and the Bering Sea subarea Administrator, Sustainable Fisheries subarea by vessels participating in the remain in the directed fishing Division, Alaska Region, NMFS, Attn: BSAI trawl limited access fishery to be allowance. Therefore, in accordance Ellen Sebastian. You may submit harvested in an expedient manner and with § 679.25(a)(1)(i), (a)(2)(i)(C), and comments, identified by ‘‘RIN 0648– in accordance with the regulatory (a)(2)(iii)(D), and to fully utilize the XL42,’’ by any one of the following schedule. Under § 679.25(c)(2), 2008 TAC of Atka mackerel in these methods: interested persons are invited to submit • areas specified for vessels participating Electronic Submissions: Submit all written comments on this action to the in the BSAI trawl limited access fishery, electronic public comments via the above address until November 4, 2008. Federal eRulemaking Portal website at NMFS is terminating the previous http://www.regulations.gov. closure and is opening directed fishing This action is required by § 679.20 • Mail: P. O. Box 21668, Juneau, AK for Atka mackerel by vessels and § 679.25 and is exempt from review 99802. participating in the BSAI trawl limited under Executive Order 12866. • Fax: (907) 586–7557. access fishery in the Eastern Aleutian Authority: 16 U.S.C. 1801 et seq. • Hand delivery to the Federal District and the Bering Sea subarea. In Dated: October 20, 2008. Building: 709 West 9th Street, Room accordance with § 679.20(d)(1)(iii), the 420A, Juneau, AK. Regional Administrator finds that this Emily H. Menashes, All comments received are a part of directed fishing allowance will be Acting Director, Office of Sustainable the public record and will generally be reached after 72 hours. Consequently, Fisheries, National Marine Fisheries Service. posted to http://www.regulations.gov NMFS is prohibiting directed fishing for [FR Doc. E8–25327 Filed 10–20–08; 4:15 pm] without change. All Personal Identifying the 2008 TAC of Atka mackerel in these BILLING CODE 3510–22–S
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Proposed Rules Federal Register Vol. 73, No. 206
Thursday, October 23, 2008
This section of the FEDERAL REGISTER FOR FURTHER INFORMATION CONTACT: For assist individuals in finding such files contains notices to the public of the proposed general questions and privacy issues, within the agency. issuance of rules and regulations. The please contact: Hugo Teufel III (703– The Privacy Act allows Government purpose of these notices is to give interested 235–0780), Chief Privacy Officer, agencies to exempt certain records from persons an opportunity to participate in the Privacy Office, U.S. Department of rule making prior to the adoption of the final the access and amendment provisions. If rules. Homeland Security, Washington, DC an agency claims an exemption, 20528. however, it must issue a Notice of SUPPLEMENTARY INFORMATION: Proposed Rulemaking to make clear to DEPARTMENT OF HOMELAND Background: Pursuant to section 1512 of the public the reasons why a particular SECURITY the savings clause in the Homeland exemption is claimed. Security Act of 2002, Public Law 107– DHS is claiming exemptions from Office of the Secretary 296, Section 1512, 116 Stat. 2310 certain requirements of the Privacy Act (November 25, 2002), the Department of for General Legal Records. Some 6 CFR Part 5 Homeland Security (DHS) and its information in General Legal Records components and offices have relied on relates to official DHS national security, [Docket No. DHS–2008–0094] preexisting Privacy Act systems of law enforcement, immigration, records notices for the collection and Privacy Act of 1974: Implementation of intelligence activities, and protective maintenance of records that concern Exemptions; Department of Homeland services to the President of the United general legal records. Security General Legal Records States or other individuals pursuant to As part of its efforts to streamline and Section 3056 and 3056A of Title 18. AGENCY: Privacy Office, DHS. consolidate its Privacy Act records These exemptions are needed to protect systems, DHS is establishing a new ACTION: Notice of proposed rulemaking. information relating to DHS activities agency-wide system of records under from disclosure to subjects or others SUMMARY: The Department of Homeland the Privacy Act (5 U.S.C. 552a) for DHS related to these activities. Specifically, Security (DHS) is giving concurrent general legal records. This will ensure the exemptions are required to preclude notice of a revised and updated system that all components of DHS follow the subjects of these activities from of records pursuant to the Privacy Act same privacy rules for collecting and frustrating these processes; to avoid of 1974 for the Department of Homeland handling general legal records. disclosure of activity techniques; to Security General Legal Records system In this notice of proposed rulemaking, protect the identities and physical safety of records and this proposed DHS now is proposing to exempt of confidential informants and law rulemaking. In this proposed General Legal Records, in part, from enforcement personnel; to ensure DHS’ rulemaking, the Department proposes to certain provisions of the Privacy Act. ability to obtain information from third exempt portions of the system of records The Privacy Act embodies fair parties and other sources; to protect the from one or more provisions of the information principles in a statutory privacy of third parties; to safeguard Privacy Act because of criminal, civil, framework governing the means by classified information; and to safeguard and administrative enforcement which the United States Government records in connection with providing requirements. collects, maintains, uses, and protective services to the President of disseminates personally identifiable the United States or other individuals DATES: Comments must be received on information. The Privacy Act applies to or before November 24, 2008. pursuant to Section 3056 and 3056A of information that is maintained in a Title 18. Disclosure of information to ADDRESSES: You may submit comments, ‘‘system of records.’’ A ‘‘system of the subject of the inquiry could also identified by docket number DHS– records’’ is a group of any records under permit the subject to avoid detection or 2008–0094, by one of the following the control of an agency from which apprehension. methods: information is retrieved by the name of • Federal e-Rulemaking Portal: the individual or by some identifying The exemptions proposed here are http://www.regulations.gov. Follow the number, symbol, or other identifying standard law enforcement and national instructions for submitting comments. particular assigned to the individual. security exemptions exercised by a large • Fax: 1–866–466–5370. Individuals may request their own number of Federal law enforcement and • Mail: Hugo Teufel III, Chief Privacy records that are maintained in a system intelligence agencies. In appropriate Officer, Department of Homeland of records in the possession or under the circumstances, where compliance Security, Washington, DC 20528. control of DHS by complying with DHS would not appear to interfere with or Instructions: All submissions received Privacy Act regulations, 6 CFR part 5. adversely affect the law enforcement must include the agency name and The Privacy Act requires each agency purposes of this system and the overall docket number for this notice. All to publish in the Federal Register a law enforcement process, the applicable comments received will be posted description of the type and character of exemptions may be waived on a case by without change to http:// each system of records that the agency case basis. www.regulations.gov, including any maintains, and the routine uses that are A notice of system of records for personal information provided. contained in each system in order to General Legal Records is also published Docket: For access to the docket to make agency recordkeeping practices in this issue of the Federal Register. read background documents or transparent, to notify individuals List of Subjects in 6 CFR Part 5 comments received, go to http:// regarding the uses to which personally www.regulations.gov. identifiable information is put, and to Freedom of information, Privacy.
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For the reasons stated in the (b) From subsection (d) (Access to Records) pursuant to which individuals may access preamble, DHS proposes to amend because access to the records contained in and view records pertaining to themselves in Chapter I of Title 6, Code of Federal this system of records could inform the the system would undermine investigative Regulations, as follows: subject of an investigation of an actual or efforts and reveal the identities of witnesses, potential criminal, civil, or regulatory and potential witnesses, and confidential PART 5—DISCLOSURE OF RECORDS violation, to the existence of the informants. investigation, and reveal investigative AND INFORMATION (g) From subsection (e)(5) (Collection of interest on the part of DHS or another agency. Information) because in the collection of 1. The authority citation for part 5 Access to the records could permit the information for law enforcement purposes it continues to read as follows: individual who is the subject of a record to is impossible to determine in advance what impede the investigation, to tamper with information is accurate, relevant, timely, and Authority: Public Law 107–296, 116 Stat. witnesses or evidence, and to avoid detection complete. Compliance with (e)(5) would 2135, 6 U.S.C. 101 et seq.; 5 U.S.C. 301. or apprehension. Amendment of the records preclude DHS agents from using their Subpart A also issued under 5 U.S.C. 552. could interfere with ongoing investigations investigative training and exercise of good Subpart B also issued under 5 U.S.C. 552a. and law enforcement activities and would judgment to both conduct and report on 2. Add at the end of Appendix C to impose an impossible administrative burden investigations. Part 5, Exemption of Record Systems by requiring investigations to be (h) From subsection (e)(8) (Notice on continuously reinvestigated. In addition, Individuals) because compliance would under the Privacy Act, the following permitting access and amendment to such new paragraph ‘‘12’’: interfere with DHS’ ability to obtain, serve, information could disclose security-sensitive and issue subpoenas, warrants, and other law Appendix C to Part 5—DHS Systems of information that could be detrimental to enforcement mechanisms that may be filed Records Exempt From the Privacy Act homeland security. under seal, and could result in disclosure of (c) From subsection (e)(1) (Relevancy and investigative techniques, procedures, and * * * * * Necessity of Information) because in the evidence. 12. The Department of Homeland Security course of investigations into potential (i) From subsection (g) to the extent that General Legal Records system of records violations of Federal law, the accuracy of the system is exempt from other specific consists of electronic and paper records and information obtained or introduced subsections of the Privacy Act relating to will be used by DHS and its components. occasionally may be unclear or the individuals’ rights to access and amend their General Legal Records is a repository of information may not be strictly relevant or records contained in the system. Therefore information held by DHS in connection with necessary to a specific investigation. In the DHS is not required to establish rules or its several and varied missions and functions, interests of effective law enforcement, it is procedures pursuant to which individuals including, but not limited to: The appropriate to retain all information that may may seek a civil remedy for the agency’s: enforcement of civil and criminal laws; aid in establishing patterns of unlawful Refusal to amend a record; refusal to comply investigations, inquiries, and proceedings activity. with a request for access to records; failure thereunder; national security and intelligence (d) From subsection (e)(2) (Collection of to maintain accurate, relevant timely and activities; and protection of the President of Information from Individuals) because complete records; or failure to otherwise the United States or other individuals requiring that information be collected from comply with an individual’s right to access pursuant to Section 3056 and 3056A of Title the subject of an investigation would alert the or amend records. 18. General Legal Records contains subject to the nature or existence of an Dated: October 14, 2008. information that is collected by, on behalf of, investigation, thereby interfering with the in support of, or in cooperation with DHS related investigation and law enforcement Hugo Teufel III, and its components and may contain activities. Chief Privacy Officer, Department of personally identifiable information collected (e) From subsection (e)(3) (Notice to Homeland Security. by other Federal, State, local, tribal, foreign, Subjects) because providing such detailed or international government agencies. [FR Doc. E8–24997 Filed 10–22–08; 8:45 am] information would impede law enforcement Pursuant to exemption 5 U.S.C. 552a(j)(2) of BILLING CODE 4410–10–P in that it could compromise investigations the Privacy Act, portions of this system are by: Revealing the existence of an otherwise exempt from 5 U.S.C. 552a(c)(3) and (4); (d); confidential investigation and thereby (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g). Pursuant provide an opportunity for the subject of an DEPARTMENT OF AGRICULTURE to 5 U.S.C. 552a(k)(1),(2),(3) and (5) this investigation to conceal evidence, alter system is exempt from the following patterns of behavior, or take other actions Animal and Plant Health Inspection provisions of the Privacy Act, subject to the that could thwart investigative efforts; reveal Service limitations set forth in those subsections: 5 the identity of witnesses in investigations, U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), thereby providing an opportunity for the 9 CFR Part 2 (e)(4)(H), (I), and (f). Exemptions from these subjects of the investigations or others to particular subsections are justified, on a case- harass, intimidate, or otherwise interfere [Docket No. APHIS–2006–0159] by-case basis to be determined at the time a with the collection of evidence or other request is made, for the following reasons: information from such witnesses; or reveal RIN 0579–AC69 (a) From subsection (c)(3) and (4) the identity of confidential informants, (Accounting for Disclosures) because release which would negatively affect the Handling of Animals; Contingency of the accounting of disclosures could alert informant’s usefulness in any ongoing or Plans the subject of an investigation of an actual or future investigations and discourage potential criminal, civil, or regulatory members of the public from cooperating as AGENCY: Animal and Plant Health violation to the existence of the investigation, confidential informants in any future Inspection Service, USDA. and reveal investigative interest on the part investigations. ACTION: Proposed rule. of DHS as well as the recipient agency. (f) From subsections (e)(4)(G), (H), and (I) Disclosure of the accounting would therefore (Agency Requirements), and (f) (Agency SUMMARY: We are proposing to amend present a serious impediment to law Rules) because portions of this system are the Animal Welfare Act regulations to enforcement efforts and/or efforts to preserve exempt from the individual access provisions add requirements for contingency national security. Disclosure of the of subsection (d) for the reasons noted above, planning and training of personnel by and therefore DHS is not required to establish accounting would also permit the individual research facilities and by dealers, who is the subject of a record to impede the requirements, rules, or procedures with investigation, to tamper with witnesses or respect to such access. Providing notice to exhibitors, intermediate handlers, and evidence, and to avoid detection or individuals with respect to existence of carriers. We are proposing these apprehension, which would undermine the records pertaining to them in the system of requirements because we believe all entire investigative process. records or otherwise setting up procedures licensees and registrants should develop
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a contingency plan for all animals treatment, and transportation of animals exhibitor, or intermediate handler if the regulated under the Animal Welfare Act covered by the AWA. Part 3 consists of dealer, exhibitor, or intermediate in an effort to better prepare for subparts A through E, which contain handler obtains prior approval of the AC potential disasters. This action would specific standards for dogs and cats, Regional Director. We would also heighten the awareness of licensees and guinea pigs and hamsters, rabbits, amend these provisions to require that registrants regarding their nonhuman primates, and marine any site so designated either be directly responsibilities and help ensure a mammals, respectively, and subpart F, included in the contingency plan of the timely and appropriate response should which sets forth general standards for research facility, dealer, exhibitor, or an emergency or disaster occur. warmblooded animals not otherwise intermediate handler or develop its own DATES: We will consider all comments specified. contingency plan in accordance with that we receive on or before December The only requirement for contingency the regulations for research facilities, 22, 2008. planning by licensees and registrants dealers, exhibitors, or intermediate currently in the regulations is located in ADDRESSES: You may submit comments handlers. § 3.101(b), which covers water and Due to the fact that the individual by either of the following methods: • Federal eRulemaking Portal: Go to power supply requirements at facilities circumstances for facilities may be http://www.regulations.gov/fdmspublic/ housing marine mammals. Specifically, different (e.g., holding exotic animals this section requires facilities to submit versus pet animals, being situated in a component/ written contingency plans to the Deputy State with a cold climate versus a main?main=DocketDetail&d=APHIS- Administrator of Animal Care (AC) temperate climate, etc.), it is difficult to 2006-0159 to submit or view comments regarding emergency sources of water go into specific detail as to what and to view supporting and related and electric power should primary elements must be included in all materials available electronically. • Postal Mail/Commercial Delivery: sources fail. Among other things, the contingency plans. However, we are proposing a set of general criteria to Please send two copies of your comment plans must include evacuation plans in the event of a disaster and a description which contingency plans would have to to Docket No. APHIS–2006–0159, of backup systems and/or arrangements adhere. These criteria would require Regulatory Analysis and Development, for relocating marine mammals licensees and registrants to develop PPD, APHIS, Station 3A–03.8, 4700 requiring artificially cooled or heated contingency plans that: River Road Unit 118, Riverdale, MD water. • Identify situations the facility might 20737–1238. Please state that your Following the events experienced experience that would trigger the need comment refers to Docket No. APHIS– during the 2005 hurricane season, a for a contingency plan, including 2006–0159. Federal document, ‘‘The Federal emergencies such as electrical outages, Reading Room: You may read any Response to Katrina: Lessons Learned,’’ faulty HVAC systems, fires, and animal comments that we receive on this which can be found on the Internet at escapes, as well as natural disasters the docket in our reading room. The reading http://www.whitehouse.gov/reports/ facility is most likely to experience. room is located in room 1141 of the katrina-lessons-learned/, was published Listings of areas most at risk for specific USDA South Building, 14th Street and that highlighted the need for planning to natural disasters can be found on the Independence Avenue, SW., minimize the impact of disasters. AC’s U.S. Geological Survey Web site at Washington, DC. Normal reading room experience indicates that, although http://www.usgs.gov/hazards or on the hours are 8 a.m. to 4:30 p.m., Monday contingency planning would benefit the Weather Channel Web site at http:// through Friday, except holidays. To be health and welfare of animals covered www.weather.com/ready/ sure someone is there to help you, by the AWA, at least some entities ?from=secondarynav. please call (202) 690–2817 before responsible for regulated animals have • Outline specific tasks required to be coming. not undertaken such planning. carried out in response to the identified Other Information: Additional Therefore, we believe all licensees and emergencies including, but not limited information about APHIS and its registrants should be required to to, detailed animal evacuation programs is available on the Internet at develop a contingency plan for all instructions or shelter-in-place http://www.aphis.usda.gov. animals regulated under the AWA in an instructions and provisions for FOR FURTHER INFORMATION CONTACT: Dr. effort to better prepare for potential providing backup sources of food and Jodie Kulpa-Eddy, Staff Veterinarian, disasters. We are proposing to add water as well as sanitation, ventilation, Animal Care, APHIS, 4700 River Road requirements for contingency plans, and bedding, veterinary care, etc. Unit 84, Riverdale, MD 20737; (301) training of personnel regarding their • Identify a chain of command and 734–7833. roles and responsibilities, to a new who (by name or by position title) will SUPPLEMENTARY INFORMATION: § 2.38(l) for research facilities and to a be responsible for fulfilling these tasks. new § 2.134 for dealers, exhibitors, • Address how response and recovery Background intermediate handlers, and carriers. For will be handled in terms of materials, Under the Animal Welfare Act (AWA) marine mammal facilities, these resources, and training needed. (7 U.S.C. 2131 et seq.), the Secretary of proposed requirements would be in We are also considering the Agriculture is authorized to promulgate addition to the requirements of development of a guidance document standards and other requirements § 3.101(b) mentioned above. (or other means) to provide examples of governing the humane handling, care, The regulations in current § 2.38(i) elements that may be included in treatment, and transportation of certain allow a person or premises to be contingency plans. We welcome public animals by dealers, research facilities, designated as a recognized animal site comment on Web sites, articles, or other exhibitors, operators of auction sales, for holding animals in lieu of a research sources that may be used to develop carriers, and intermediate handlers. facility, if the research facility obtains such guidance, in addition to Regulations established under the AWA prior approval of the AC Regional suggestions as to what elements should are contained in the Code of Federal Director. Likewise, the regulations in be included as examples for an adequate Regulations (CFR) in 9 CFR parts 1 and § 2.102 allow a person or premises to be contingency plan. We would retain the 2, and 9 CFR part 3 contains standards designated as a recognized animal site specific requirements in § 3.101(b) that for the humane handling, care, for holding animals in lieu of a dealer, are applicable to marine mammals.
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We are further proposing that the small entities as required by the Supplies Stores (NAICS 453910),1 plans be made available to APHIS upon Regulatory Flexibility Act, and a cost- Schedule Freight Transport (NAICS request and, in the case of research benefit analysis as required by 48112), Research and Development in facilities, to any funding Federal agency Executive Order 12866. The full Physical Engineering and Life Sciences representatives. Contingency plans economic analysis may be viewed on (NAICS 541710), Veterinary Services would have to be in place 180 days after the Regulations.gov Web site or in our (NAICS 541940), Zoos and Botanical any final rule following this proposal reading room (see ADDRESSES above for Gardens (NAICS 712130), Nature Park became effective and would have to be instructions for accessing and Other Similar Institutions (NAICS reviewed by the research facility, dealer, Regulations.gov). The full analysis may 712190), Environment Conservation and exhibitor, intermediate handler, or also be obtained from the person listed Wildlife Organizations (NAICS 813312), carrier on at least an annual basis. under FOR FURTHER INFORMATION and Pet Care Services (NAICS 812910). Training of personnel would have to CONTACT. Data are unavailable on the size of the take place within 60 days following the Lack of disaster preparedness can specific entities, but we may assume adoption of a contingency plan by the leave businesses and organizations and that the majority of the establishments research facility, dealer, exhibitor, the animals in their care vulnerable, as that would be affected by the rule are intermediate handler, or carrier. was the case in the southern United small, based on the industry estimates Employees hired within 30 days or less States in 2005. The devastating impact obtained from the Economic Census and after adoption of the contingency plan of the 2005 hurricane season, in the Census of Agriculture. In terms of economic impacts, we would be included in the training particular the many animals that were anticipate that the proposed changes period taking place within 60 days stranded and died in the aftermath of would only impose minimal costs to following adoption of the contingency Hurricane Katrina, underscores the need plan. For employees hired more than 30 develop and document the contingency for contingency planning for all animals days after adoption of the contingency plans and provide employee training. covered under the Animal Welfare Act. plan, training would have to be This is because the cost of training for Regulated animal populations, in conducted within 30 days of their start facility personnel is expected to vary addition to non-regulated animal date. Training of personnel could be depending on the type and size of populations, suffered as a result of the developed and offered by the research business and many of the larger hurricane. In one particular instance, 90 facility, dealer, exhibitor, intermediate facilities, in particular, already have percent of the animals left in a facility handler, or carrier or provided by an contingency plans in place. In addition, after personnel were evacuated either outside entity. there is a wealth of information died or had to be humanely euthanized. Each research facility, dealer, available from various Federal and State exhibitor, intermediate handler, or In 2004, USDA’s Animal Care agencies and private organizations that carrier would be expected to review its reported 1,101,958 animals, including addresses animal disaster planning. A contingency plan on at least an annual dogs, cats, guinea pigs, nonhuman list of resources that may aid in the basis to ensure their plan adequately primates, hamsters, and rabbits, were development and implementation of addresses the four criteria listed above. used by registered research facilities contingency plans is included in the full _ For licensees and registrants who travel (http://www.aphis.usda.gov/animal economic analysis. with animals or have multiple sites welfare/publications_and_ We do not have any estimates of the where animals are maintained, their reports.shtml). This does not include costs of implementing contingency contingency plans would have to regulated animals in zoos and other plans for facilities that do not already address potential hazards for all areas types of facilities. This high number of have contingency plans in place, such where the animals are maintained for animals used by research facilities as the costs of equipment or materials regulated purposes. Any changes to a illustrates the need for contingency that may be needed. We welcome public contingency plan resulting from the plans to protect animals and mitigate comment on the types of equipment or annual review would have to be impacts of natural and manmade materials that may be needed to communicated to employees through disasters. implement contingency plans and the training, which would have to be Currently, only facilities that house costs of this equipment or materials. conducted within 30 days of making the marine mammals are required under the Significant Alternatives to the Rule changes. The plan would also be regulations to develop contingency reviewed by APHIS personnel as a part plans. The proposed rule would require One alternative to the rule would be of the routine inspection process that all licensees and registrants, of to require that all licensees and (similar to the process for our review of which there are more than 10,000, registrants submit their contingency dog exercise and nonhuman primate develop and document contingency plans to APHIS for review, as is environment enhancement plans). plans for all other animals covered required for the marine mammal facilities. There are more than 10,000 Executive Order 12866 and Regulatory under the Act. In addition, training and licensees and registrants that would be Flexibility Act familiarization with these plans would have to be provided to all facility submitting plans for review under this This rule has been reviewed under employees. alternative, which we expect would take Executive Order 12866. This rule has an enormous amount of resources for The proposed requirements may affect been determined to be significant for the the Agency to process, review, and research facilities, dealers, exhibitors, purposes of Executive Order 12866 and, store. Another alternative would be to intermediate handlers, and carriers that therefore, has been reviewed by the retain the status quo, i.e., not amend the fall into nine categories of the North Office of Management and Budget. regulations to require regulated entities American Industry Classification For this proposed rule, we have other than marine mammal facilities to System (NAICS). For the purposes of prepared an economic analysis, which prepare contingency plans. However, this analysis, the potentially affected is summarized below. The analysis we believe that this alternative would includes an initial regulatory flexibility entities are classified within the analysis that considers the potential following industries: All Other Animal 1 Businesses are included in this category if they economic effects of the proposed rule on Production (NAICS 112990), Pet and Pet deal in exotic pets such as primates.
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not provide adequate protection for the present an irreconcilable conflict with facilities, to any funding Federal agency general public and the animals in these this rule. The Act does not provide representatives. Contingency plans facilities. Thus, the approach we are administrative procedures which must would have to be in place 180 days after proposing in this document, which be exhausted prior to a judicial any final rule following this proposal would ensure that contingency plans are challenge to the provisions of this rule. became effective and would have to be developed and can be reviewed by Paperwork Reduction Act reviewed by the research facility, dealer, APHIS during scheduled inspection exhibitor, intermediate handler, or visits or at other times, is preferred. In accordance with section 3507(d) of carrier on at least an annual basis. the Paperwork Reduction Act of 1995 We are soliciting comments from the Summary (44 U.S.C. 3501 et seq.), the information public (as well as affected agencies) Preparedness for disasters can reduce collection or recordkeeping concerning our proposed information harm caused to animals and loss of life. requirements included in this proposed collection and recordkeeping The devastating impact of the 2005 rule have been submitted for approval to requirements. These comments will hurricane season underscores the need the Office of Management and Budget help us: for contingency planning for all animals (OMB). Please send written comments (1) Evaluate whether the proposed covered under the Animal Welfare Act. to the Office of Information and information collection is necessary for Currently, only facilities that house Regulatory Affairs, OMB, Attention: the proper performance of our agency’s marine mammals are required under 9 Desk Officer for APHIS, Washington, DC functions, including whether the CFR 3.101 to develop contingency 20503. Please state that your comments information will have practical utility; plans. The proposed rule would require refer to Docket No. APHIS–2006–0159. (2) Evaluate the accuracy of our that all licensees and registrants develop Please send a copy of your comments to: estimate of the burden of the proposed and document contingency plans for all (1) Docket No. APHIS–2006–0159, information collection, including the other animals covered under the Act. In Regulatory Analysis and Development, validity of the methodology and addition, training and familiarization PPD, APHIS, Station 3A–03.8, 4700 assumptions used; with these plans would be provided to River Road Unit 118, Riverdale, MD (3) Enhance the quality, utility, and all facility employees. The licensees and 20737–1238, and (2) Clearance Officer, clarity of the information to be registrants fall into various categories of OCIO, USDA, room 404–W, 14th Street collected; and the North American Industry and Independence Avenue, SW., (4) Minimize the burden of the Classification System and while no Washington, DC 20250. A comment to information collection on those who are economic data are available on business OMB is best assured of having its full to respond (such as through the use of size for the specific entities, we may effect if OMB receives it within 30 days appropriate automated, electronic, assume the majority of the of publication of this proposed rule. mechanical, or other technological establishments are small, based on the The proposed rule would amend the collection techniques or other forms of industry estimates obtained from the current regulations and would require information technology; e.g., permitting Economic Census and the Census of all licensees and registrants, which electronic submission of responses). Agriculture. In terms of economic include research facilities, dealers, Estimate of burden: Public reporting impacts, we anticipate that the proposed exhibitors, intermediate handlers, and burden for this collection of information rule would only impose minimal costs carriers, to develop and document is estimated at 4 to 6 hours (average 5 to develop and document the contingency plans for the handling of hours) per response. contingency plans and provide animals during all emergencies or Respondents: Dealers, exhibitors, employee training. The cost of training disasters. research facilities, carriers and for facility personnel is expected to vary These criteria would require licensees intermediate handlers. depending on the type and size of and registrants to develop contingency Estimated annual number of business. Many of the larger facilities, in plans that: respondents: 10,351. particular, already have contingency • Identify situations the facility might Estimated annual number of plans in place. Overall, we do not experience that would trigger the need responses per respondent: 1. anticipate a substantial economic for a contingency plan, including Estimated annual number of impact on the entities affected. emergencies such as electrical outages, responses: 10,351. Nevertheless, APHIS welcomes public faulty HVAC systems, fires, and animal Estimated total annual burden on comment on the proposed rule’s escapes, as well as natural disasters the respondents: 51,755 hours. (Due to possible impacts, including the cost of facility is most likely to experience. averaging, the total annual burden hours implementing contingency plans. • Outline specific tasks required to be may not equal the product of the annual carried out in response to the identified number of responses multiplied by the Executive Order 12372 emergencies or disasters including, but reporting burden per response.) This program/activity is listed in the not limited to, detailed animal Copies of this information collection Catalog of Federal Domestic Assistance evacuation instructions or shelter-in- can be obtained from Mrs. Celeste under No. 10.025 and is subject to place instructions and provisions for Sickles, APHIS’ Information Collection Executive Order 12372, which requires providing backup sources of food and Coordinator, at (301) 851–2908. intergovernmental consultation with water as well as sanitation, ventilation, E-Government Act Compliance State and local officials. (See 7 CFR part bedding, veterinary care, etc. 3015, subpart V.) • Identify a chain of command and The Animal and Plant Health who (by name or by position title) will Inspection Service is committed to Executive Order 12988 be responsible for fulfilling these tasks. compliance with the E-Government Act This proposed rule has been reviewed • Address how response and recovery to promote the use of the Internet and under Executive Order 12988, Civil will be handled in terms of materials, other information technologies, to Justice Reform. It is not intended to resources, and training needed. provide increased opportunities for have retroactive effect. This rule would We are further proposing that the citizen access to Government not preempt any State or local laws, plans be made available to APHIS upon information and services, and for other regulations, or policies, unless they request and, in the case of research purposes. For information pertinent to
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E-Government Act compliance related materials, resources, and training good health and well-being of the to this proposed rule, please contact needed. animals in their possession). Such Mrs. Celeste Sickles, APHIS’ (2) The contingency plan must be in contingency plans must: place by [date 180 days after effective Information Collection Coordinator, at (1) Identify situations the facility date of final rule]. This plan must be (301) 851–2908. might experience that would trigger the made available to APHIS and any need for a contingency plan, including List of Subjects in 9 CFR Part 2 funding Federal agency representatives emergencies such as electrical outages, Animal welfare, Pets, Reporting and upon request. The plan must be recordkeeping requirements, Research. reviewed by the research facility on at faulty HVAC systems, fires, and animal least an annual basis to ensure that it escapes, as well as natural disasters the Accordingly, we propose to amend 9 facility is most likely to experience; CFR part 2 as follows: adequately addresses the criteria listed in paragraph (l)(1) of this section. (2) Outline specific tasks required to PART 2—REGULATIONS Facilities maintaining or otherwise be carried out in response to the handling marine mammals in captivity identified emergencies or disasters 1. The authority citation for part 2 must also comply with the requirements including, but not limited to, detailed continues to read as follows: of § 3.101(b) of this subchapter. animal evacuation instructions or Authority: 7 U.S.C. 2131–2159; 7 CFR 2.22, (3) The facility must provide and shelter-in-place instructions and 2.80, and 371.7. document participation in and provisions for providing backup sources 2. Section 2.38 is amended by adding successful completion of training for its of food and water as well as sanitation, new paragraphs (i)(4) and (l) to read as personnel regarding their roles and ventilation, bedding, veterinary care, follows: responsibilities as outlined in the plan. etc.; Training of facility personnel must be § 2.38 Miscellaneous. completed within 60 days of the (3) Identify a chain of command and who (by name or by position title) will * * * * * adoption date required under paragraph be responsible for fulfilling these tasks; (i) * * * (l)(2) of this section; employees hired 30 and (4) The other person or premises must days or less after that date must also be either be directly included in the trained within that 60-day period. For (4) Address how response and research facility’s contingency plan employees hired more than 30 days after recovery will be handled in terms of required under paragraph (l) of this adoption of the contingency plan, materials, resources, and training section or must develop its own training must be conducted within 30 needed. contingency plan in accordance with days of their start date. Any changes to (b) The contingency plan must be in paragraph (l) of this section. the plan as a result of the annual review place by [date 180 days after effective * * * * * must be communicated to employees date of final rule]. This plan must be (l) Contingency planning. (1) Research through training which must be made available to APHIS upon request. facilities must develop, document, and conducted within 30 days of making the The plan must be reviewed by the follow an appropriate plan to provide changes. dealer, exhibitor, intermediate handler, 3. Section 2.102 is amended by for the humane handling, treatment, or carrier on at least an annual basis to adding new paragraphs (a)(4) and (b)(3) transportation, housing, and care of ensure that it adequately addresses the to read as follows: their animals in the event of an criteria listed in paragraph (a) of this emergency or disaster (one which could § 2.102 Holding facility. section. Dealers, exhibitors, reasonably be anticipated and expected (a) * * * intermediate handlers, and carriers to be detrimental to the good health and (4) The other person or premises must maintaining or otherwise handling well-being of the animals in their either be directly included in the marine mammals in captivity must also possession). Such contingency plans dealer’s or exhibitor’s contingency plan comply with the requirements of must: required under § 2.134 or must develop § 3.101(b) of this subchapter. (i) Identify situations the facility its own contingency plan in accordance (c) Dealers, exhibitors, intermediate might experience that would trigger the with § 2.134. need for a contingency plan, including handlers, and carriers must provide and * * * * * emergencies such as electrical outages, document participation in and (b) * * * successful completion of training for faulty HVAC systems, fires, and animal (3) The other person or premises must escapes, as well as natural disasters the personnel regarding their roles and either be directly included in the responsibilities as outlined in the plan. facility is most likely to experience. intermediate handler’s contingency plan (ii) Outline specific tasks required to Training of dealer, exhibitor, required under § 2.134 or must develop intermediate handler, and carrier be carried out in response to the its own contingency plan in accordance identified emergencies or disasters personnel must be completed within 60 with § 2.134. days of the adoption date required including, but not limited to, detailed 4. A new section § 2.134 is added to under paragraph (b) of this section. animal evacuation instructions or read as follows: shelter-in-place instructions and Employees hired 30 days or less after provisions for providing backup sources § 2.134 Contingency planning. that date must also be trained within of food and water as well as sanitation, (a) Dealers, exhibitors, intermediate that 60-day period. For employees hired ventilation, bedding, veterinary care, handlers, and carriers must develop, more than 30 days after adoption of the etc.; document, and follow an appropriate contingency plan, training must be (iii) Identify a chain of command and plan to provide for the humane conducted within 30 days of their start who (by name or by position title) will handling, treatment, transportation, date. Any changes to the plan as a result be responsible for fulfilling these tasks; housing, and care of their animals in the of the annual review must be and event of an emergency or disaster (one communicated to employees through (iv) Address how response and which could reasonably be anticipated training which must be conducted recovery will be handled in terms of and expected to be detrimental to the within 30 days of making the changes.
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Done in Washington, DC, this 17th day of the instructions for sending your same as the Mail address provided in October 2008. comments electronically. the ADDRESSES section. Comments will Bruce Knight, • Mail: Docket Management Facility, be available in the AD docket shortly Under Secretary for Marketing and Regulatory U.S. Department of Transportation, 1200 after receipt. Programs. New Jersey Avenue, SE., West Building Discussion [FR Doc. E8–25289 Filed 10–22–08; 8:45 am] Ground Floor, Room W12–140, BILLING CODE 3410–34–P Washington, DC 20590–0001. On April 3, 2002, we issued AD 2002– • Hand Delivery: Deliver to Mail 07–12, Amendment 39–12707 (67 FR address above between 9 a.m. and 5 17279, April 10, 2002), to require revisions to the ALS of the DEPARTMENT OF TRANSPORTATION p.m., Monday through Friday, except Federal holidays. manufacturer’s ICA for GE CF6–80A, Federal Aviation Administration • Fax: (202) 493–2251. CF6–80C2, and CF6–80E1 series FOR FURTHER INFORMATION CONTACT: turbofan engines to include required 14 CFR Part 39 Robert Green, Aerospace Engineer, enhanced inspection of selected critical Engine Certification Office, FAA, Engine life-limited parts at each piece-part [Docket No. FAA–2008–0952; Directorate & Propeller Directorate, 12 New England exposure. Identifier 98–ANE–49–AD] Executive Park, Burlington, MA 01803; Additional Inspection Procedures RIN 2120–AA64 e-mail: [email protected]; telephone Since the issuance of that AD, an FAA (781) 238–7754; (781) 238–7199. study of in-service events involving Airworthiness Directives; General SUPPLEMENTARY INFORMATION: Electric Company CF6–80A, CF6–80C2, uncontained failures of critical rotating and CF6–80E1 Series Turbofan Comments Invited engine parts has indicated the need for Engines additional mandatory inspections. The We invite you to send any written mandatory inspections are needed to AGENCY: Federal Aviation relevant data, views, or arguments identify those critical rotating parts with Administration (FAA), Department of regarding this proposal. Send your conditions, which if allowed to Transportation (DOT). comments to an address listed under continue in service, could result in ADDRESSES. Include ‘‘Docket No. FAA– ACTION: uncontained engine failures. This Notice of proposed rulemaking 2008–0952; Directorate Identifier 98– (NPRM). proposal would require revisions to the ANE–49–AD’’ in the subject line of your CF6–80A, CF6–80C2, and CF6–80E1 SUMMARY: The FAA proposes to comments. We specifically invite series engines ALS sections of the supersede an existing airworthiness comments on the overall regulatory, manufacturer’s manuals and an air directive (AD) for General Electric economic, environmental, and energy carrier’s approved continuous Company (GE) CF6–80A, CF6–80C2, aspects of the proposed AD. We will airworthiness maintenance program to and CF6–80E1 series turbofan engines. consider all comments received by the incorporate additional inspection That AD currently requires revisions to closing date and may amend the requirements. the Airworthiness Limitations Section proposed AD in light of those FAA’s Determination and Requirements (ALS) of the manufacturer’s Instructions comments. of the Proposed AD for Continued Airworthiness (ICA) to We will post all comments we include required inspection of selected receive, without change, to http:// Since an unsafe condition has been critical life-limited parts at each piece- www.regulations.gov, including any identified that is likely to exist or part exposure. This proposed AD would personal information you provide. We develop on other products of this same require revisions to the CF6–80A, CF6– will also post a report summarizing each type design, the proposed AD would 80C2, and CF6–80E1 series engines ALS substantive verbal contact with FAA supersede AD 2002–07–12 to add sections of the manufacturer’s manuals personnel concerning this proposed AD. additional inspections for certain high- and an air carrier’s approved continuous Using the search function of the Web pressure turbine (HPT) components, and airworthiness maintenance program to site, anyone can find and read the to update certain Engine Manual incorporate additional inspection comments in any of our dockets, Inspection Task and or Sub Task requirements, and to update certain including, if provided, the name of the Number references. These inspections Engine Manual Inspection Task and Sub individual who sent the comment (or would be required at each piece-part Task Number references. This proposed signed the comment on behalf of an opportunity. For reference, this AD results from the need to require association, business, labor union, etc.). proposed AD carries forward the enhanced inspection of selected critical You may review the DOT’s complete requirements from AD 2002–07–12. life-limited parts of CF6–80A, CF6– Privacy Act Statement in the Federal Also for reference, the parts added to 80C2, and CF6–80E1 series engines. We Register published on April 11, 2000 the table in the compliance section of are proposing this AD to prevent critical (65 FR 19477–78). this AD are identified by an asterisk (*) life-limited rotating engine part failure, Examining the AD Docket that precedes the part nomenclature. which could result in an uncontained Also for reference, parts that have an engine failure and damage to the You may examine the AD docket on Engine Manual Inspection Task and or airplane. the Internet at http:// Sub Task Number reference updated in www.regulations.gov; or in person at the the table in the compliance section of DATES: We must receive any comments Docket Operations office between 9 a.m. this AD, are identified by two asterisks on this proposed AD by December 22, and 5 p.m., Monday through Friday, (**) that precede the part nomenclature. 2008. except Federal holidays. The AD docket ADDRESSES: Use one of the following contains this proposed AD, the Costs of Compliance addresses to comment on this proposed regulatory evaluation, any comments We estimate that this proposed AD AD. received, and other information. The would affect 315 CF6–80A series • Federal eRulemaking Portal: Go to street address for the Docket Operations engines and 926 CF6–80C2 series http://www.regulations.gov and follow office (telephone (800) 647–5527) is the engines installed on airplanes of U.S.
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registry. We also estimate that it would implications under Executive Order General Electric Company: Docket No. FAA– take about 5 work-hours per CF6–80A 13132. This proposed AD would not 2008–0952; Directorate Identifier 98– series engine and about 2 work-hours have a substantial direct effect on the ANE–49–AD. per CF6–80C2 series engine to do the States, on the relationship between the Comments Due Date proposed additional inspections and national Government and the States, or (a) The Federal Aviation Administration that the average labor rate is $80 per on the distribution of power and (FAA) must receive comments on this work-hour. The total cost of the new responsibilities among the various airworthiness directive (AD) action by inspections per CF6–80A series engine levels of government. December 22, 2008. would be about $400. The total cost of For the reasons discussed above, I the new inspections per CF6–80C2 certify that the proposed AD: Affected ADs series engine would be about $160. We 1. Is not a ‘‘significant regulatory (b) This AD supersedes AD 2002–07–12, estimate that there will be about 42 shop action’’ under Executive Order 12866; Amendment 39–12707. visits per year for CF6–80A series 2. Is not a ‘‘significant rule’’ under the Applicability DOT Regulatory Policies and Procedures engines, and about 128 shop visits per (c) This AD applies to General Electric year for CF6–80C2 series engines that (44 FR 11034, February 26, 1979); and Company CF6–80A, CF6–80C2, and CF6– result in piece-part-exposure of the 3. Would not have a significant 80E1 series turbofan engines. These engines added affected components. Therefore, economic impact, positive or negative, are installed on, but not limited to, Airbus we estimate the total annual cost for the on a substantial number of small entities A300, A310, and A330 series, Boeing 747 and additional inspections to be $37,280. under the criteria of the Regulatory 767 series, and McDonnell Douglas MD–11 Flexibility Act. series airplanes. Authority for This Rulemaking We prepared a regulatory evaluation Unsafe Condition Title 49 of the United States Code of the estimated costs to comply with specifies the FAA’s authority to issue this proposed AD. See the ADDRESSES (d) This AD results from the need to require enhanced inspection of selected rules on aviation safety. Subtitle I, section for a location to examine the regulatory evaluation. critical life-limited parts of CF6–80A, CF6– Section 106, describes the authority of 80C2, and CF6–80E1 series engines. We are the FAA Administrator. Subtitle VII, List of Subjects in 14 CFR Part 39 issuing this AD to prevent critical life-limited Aviation Programs, describes in more rotating engine part failure, which could detail the scope of the Agency’s Air transportation, Aircraft, Aviation result in an uncontained engine failure and authority. safety, Safety. damage to the airplane. We are issuing this rulemaking under The Proposed Amendment Compliance the authority described in Subtitle VII, Under the authority delegated to me Part A, Subpart III, Section 44701, (e) You are responsible for having the by the Administrator, the Federal ‘‘General Requirements.’’ Under that actions required by this AD performed within Aviation Administration proposes to the compliance times specified unless the section, Congress charges the FAA with amend 14 CFR part 39 as follows: actions have already been done. promoting safe flight of civil aircraft in Inspections air commerce by prescribing regulations PART 39—AIRWORTHINESS for practices, methods, and procedures DIRECTIVES (f) Within the next 180 days after the the Administrator finds necessary for effective date of this AD, revise the safety in air commerce. This regulation 1. The authority citation for part 39 Airworthiness Limitations Section (ALS) of is within the scope of that authority continues to read as follows: the manufacturer’s Instructions for Continued Airworthiness (ICA), and for air because it addresses an unsafe condition Authority: 49 U.S.C. 106(g), 40113, 44701. that is likely to exist or develop on carrier operations revise the approved § 39.13 [Amended] continuous airworthiness maintenance products identified in this rulemaking program, by adding the following: action. 2. The FAA amends § 39.13 by ‘‘MANDATORY INSPECTIONS removing Amendment 39–12707 (67 FR Regulatory Findings (1) Perform inspections of the following 17279, April 10, 2002) and by adding a parts at each piece-part opportunity in We have determined that this new airworthiness directive to read as accordance with the instructions provided in proposed AD would not have federalism follows: the applicable manual provisions:
Part nomenclature Part No. (P/N) Inspect per engine manual inspection chapter
For CF6–80A Engines
Disk, Fan Rotor, Stage 1 ...... All ...... 72–21–03 Paragraph 3. Fluorescent-Penetrant Inspect, and 72–21– 03 Paragraph 4. Eddy Current Inspect. Fan Forward Shaft ...... All ...... 72–21–05 Paragraph 2. Magnetic Particle Inspect. Fan Mid Shaft ...... All ...... 72–24–01 Paragraph 2. Magnetic Particle Inspect. Disk, HPC Rotor, Stage One ...... All ...... 72–31–04 Paragraph 3. Fluorescent-Penetrant Inspect. ** Disk, HPC Rotor, Stage Two ...... All ...... 72–31–05 Paragraph 4. Fluorescent-Penetrant Inspect. Spool, HPC Rotor, Stage 3–9 ...... All ...... 72–31–06 Paragraph 3. Fluorescent-Penetrant Inspect. Disk, HPC Rotor, Stage 10 ...... All ...... 72–31–07 Paragraph 3. Fluorescent-Penetrant Inspect. Spool, HPC Rotor, Stage 11–14 ..... All ...... 72–31–08 Paragraph 3.A. Fluorescent-Penetrant Inspect. Rotating CDP Seal ...... All ...... 72–31–10 Paragraph 3. Fluorescent-Penetrant Inspect. Disk Shaft, HPT Rotor Stage One .. All ...... 72–53–02 Paragraph 3. Fluorescent-Penetrant Inspect per 70–32–02, and 72–53–02 Paragraph 6.C. Disk Rim Bolt Hole Eddy Current Inspec- tion, and 72–53–02 Paragraph 6.D. Disk Bore Eddy Current Inspection. * Disk Shaft, HPT Rotor Stage One All ...... 72–53–02 Paragraph 6.E. Disk Dovetail Slot Bottom Eddy Current In- spection.
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Part nomenclature Part No. (P/N) Inspect per engine manual inspection chapter
* Disk Shaft, HPT Rotor, Stage One P/Ns 2047M33G01 thru G10, and 72–53–02 Paragraph 7. Disk Dovetail Slot Bottom Aft Corner Cham- P/N 9362M58G11. fers Eddy Current Inspection. Disk, HPT Rotor, Stage Two ...... All ...... 72–53–06 Paragraph 3. Fluorescent-Penetrant Inspection, and 72–53–06 Paragraph 6. Eddy Current Inspection of Rim Bolt Holes for Cracks, and 72–53–06 Paragraph 7. Disk Bore Eddy Current Inspection. Disk, LPT Rotor Stage 1–4 ...... All ...... 72–57–02 Paragraph 3. Fluorescent-Penetrant Inspection. Shaft, LPT Rotor ...... All ...... 72–57–03 Paragraph 3. Fluorescent-Penetrant Inspection, and 72–57–03 Paragraph 6. Eddy Current Inspection.
For All CF6–80C2 Engines
Disk, Fan Rotor, Stage 1 ...... All ...... Task 72–21–03–200–000–004 Fluorescent-Penetrant Inspection, and Task 72–21–03–200–000–008 Eddy Current Inspect Fan Rotor Disk Stage 1 Bore, Forward and Aft Hub Faces, and Bore Radii. Shaft, Fan Forward ...... All ...... Task 72–21–05–200–000–001 Fluorescent Penetrant Inspection, and Task 72–21–05–200–000–005 Vent Hole Eddy Current Inspection. Fan Mid Shaft ...... All ...... Task 72–24–01–200–000–003 Magnetic Particle Inspection. HPCR Stage 1 Disk ...... All ...... Task 72–31–04–200–000–002 Fluorescent Penetrant Inspection. HPCR Stage 2 Disk ...... All ...... Task 72–31–05–200–000–002 Fluorescent Penetrant Inspection. HPCR Stage 3–9 Spool ...... All ...... Task 72–31–06–200–000–001 Fluorescent Penetrant Inspection. HPCR Stage 10 Disk ...... All ...... Task 72–31–07–200–000–001 Fluorescent Penetrant Inspection. HPCR Stage 11–14 Spool/Shaft ..... All ...... Task 72–31–08–200–000–002 Fluorescent Penetrant Inspection. No. 4 Bearing Rotating (CDP) Air All ...... Task 72–31–10–200–000–001 Fluorescent Penetrant Inspection or Seal. Task 72–31–10–200–000–A01 Fluorescent Penetrant Inspection. HPCR Stage 10–14 Spool/Shaft ..... All ...... Task 72–31–22–200–000–002 Fluorescent Penetrant Inspection. ** Disk/Shaft, HPT Rotor, Stage All ...... Task 72–53–02–200–000–001 (Inspection—Configuration 1), or Task One. 72–53–02–230–801 (Inspection—Configuration 2), Fluorescent- Penetrant Inspect, and Task 72–53–02–200–000–005 (Inspection—Configuration 1), or Task 72–53–02–250–802 (Inspection—Configuration 2), Disk Rim Bolt Hole Eddy Current Inspection, and Task 72–53–02–200–000–006 (Inspection—Configuration 1), or Task 72–53–02–250–803 (Inspection—Configuration 2), Disk Bore Area Eddy Current Inspection, and Task 72–53–02–200–000–007 (Inspection—Configuration 1), or Task 72–53–02–250–804 (Inspection—Configuration 2), Disk Dovetail Slot Bottom Eddy Current. * Disk/Shaft, HPT Rotor, Stage One P/N 1531M84G12 and P/Ns Task 72–53–02–250–801 (Inspection—Configuration 1), Disk Dovetail 2047M32G01 thru G07. Slot Bottom Aft Corner Chamfers Eddy Current Inspection. Disk, HPT Rotor, Stage Two ...... All ...... Task 72–53–06–200–000–002 Fluorescent-Penetrant Inspect, and Task 72–53–06–200–000–006 Disk Rim Bolt Hole Eddy Current In- spection, and Task 72–53–06–200–000–007 Disk Bore Eddy Current Inspection. LPTR Stage 1–5 Disks ...... All ...... Task 72–57–02–200–000–001 Fluorescent-Penetrant Inspection. LPTR Shaft ...... All ...... Task 72–57–03–200–000–002 Fluorescent-Penetrant Inspect, and Task 72–57–03–200–000–006 Eddy Current Inspection.
For CF6–80C2 Engines configured with the R88DT Turbine (Models CF6–80C2B2F, 80C2B4F, 80C2B6F, 80C2B7F, 80C2B8F)
Disk/Shaft, HPT Rotor, Stage One All ...... Task 72–53–16–200–000–001 Fluorescent-Penetrant Inspect, and (R88DT, No Rim Bolt Holes). Task 72–53–16–200–000–005 Disk Bore Area Eddy Current Inspec- tion. Disk, HPT Rotor, Stage Two All ...... Task 72–53–18–200–000–002 Fluorescent-Penetrant Inspect, and (R88DT, No Rim Bolt Holes). Task 72–53–18–200–000–005 Disk Bore Area Eddy Current Inspec- tion. Rotating Interstage Seal (R88DT) .. All ...... Task 72–53–17–200–000–001 Fluorescent-Penetrant Inspect, and Task 72–53–17–200–000–005 Seal Bore Area Eddy Current. Forward Outer Seal (R88DT) ...... All ...... Task 72–53–21–200–000–001 Fluorescent-Penetrant Inspect, and Task 72–53–21–200–000–004 Seal Bore Area Eddy Current.
For CF6–80E1 Engines
Disk, Fan Rotor, Stage One ...... All ...... Sub Task 72–21–03–230–051 Fluorescent-Penetrant Inspection, and Sub Task 72–21–03–250–051 or 72–21–03–250–052 Disk Bore Eddy Current Inspection. Shaft, Fan ...... All ...... Sub Task 72–21–05–230–051 Fluorescent Penetrant Inspection, and Sub Task 72–21–05–250–051 Vent Hole Eddy Current Inspection. Compressor Rotor, Stage 1 Disk .... All ...... Sub Task 72–31–04–230–051 Fluorescent Penetrant Inspection. Compressor Rotor, Stage 2 Disk .... All ...... Sub Task 72–31–05–230–051 Fluorescent Penetrant Inspection.
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Part nomenclature Part No. (P/N) Inspect per engine manual inspection chapter
Compressor Rotor, Stage 3–9 All ...... Sub Task 72–31–06–230–051 Fluorescent Penetrant Inspection. Spool. Compressor Rotor, Stage 10 Disk All ...... Sub Task 72–31–07–230–051 Fluorescent Penetrant Inspection. (Pre SB 72–0150). Compressor Rotor Spool/Shaft, All ...... Sub Task 72–31–08–230–051 Fluorescent Penetrant Inspection. Stage 11–14 (Pre SB 72–0150). Compressor Rotor Spool/Shaft, All ...... Sub Task 72–31–23–230–052 Fluorescent Penetrant Inspection. Stage 10–14 (SB 72–0150). Compressor Rotor No. 4 Bearing All ...... Sub Task 72–31–10–230–051 Fluorescent Penetrant Inspection. Rotating Air Seal (CDP Rotating Seal). HPT Disk/Shaft, Stage 1 ...... All ...... Sub Task 72–53–02–230–051 Fluorescent-Penetrant Inspection, and Sub Task 72–53–02–250–051 Eddy Current Inspection, Rim Bolt Holes, and Sub Task 72–53–02–250–054 Eddy Current Inspection, Disk Bore. HPT Disk, Stage 2 ...... All ...... Sub Task 72–53–06–230–051 Fluorescent-Penetrant Inspection, and Sub Task 72–53–06–250–051 Eddy Current Inspection, Rim Bolt Holes, and Sub Task 72–53–06–250–054 Eddy Current Inspection, Disk Bore. LPT Rotor Shaft ...... All ...... Sub Task 72–55–01–240–051 Magnetic Particle Inspect. LPT Disks, Stages 1–5 ...... All ...... Sub Task 72–57–02–230–051 Fluorescent-Penetrant Inspect. LPT Rotor Torque Cone ...... All ...... Sub Task 72–57–03–220–051 Fluorescent-Penetrant Inspect.
For CF6–80E1 Engines configured with the R88DT Turbine
Disk/Shaft, HPT Rotor, Stage 1 All ...... Sub Task 72–53–16–230–052 Fluorescent-Penetrant Inspect, and (R88DT, No Rim Bolt Holes). Sub Task 72–53–16–250–051 Disk Bore Area Eddy Current Inspec- tion. Disk, HPT Rotor, Stage 2 (R88DT, All ...... Sub Task 72–53–18–230–051 Fluorescent-Penetrant Inspect, and No Rim Bolt Holes). Sub Task 72–53–18–250–051 Disk Bore Area Eddy Current Inspec- tion. ** HPT Rotor Rotating Interstage All ...... Sub Task 72–53–17–230–056 Fluorescent-Penetrant Inspect, and Seal (R88DT). Sub Task 72–53–17–250–051 Seal Bore Area Eddy Current. HPT Rotor Forward Outer Seal All ...... Sub Task 72–53–21–230–051 Fluorescent-Penetrant Inspect, and (R88DT). Sub Task 72–53–21–250–051 Seal Bore Area Eddy Current.
(2) For the purposes of these mandatory (j) of this AD. Section 43.16 of the Federal (1) Includes a method for preserving and inspections, piece-part opportunity means: Aviation Regulations (14 CFR 43.16) may not retrieving the records of the inspections (i) The part is considered completely be used to approve alternative methods of resulting from this AD; and disassembled when accomplished in compliance or adjustments to the times in (2) Meets the requirements of section accordance with the disassembly instructions which these inspections must be performed. 121.369(c); and in the manufacturer’s engine manual; and (j) The Manager, Engine Certification (3) Maintains the records either (ii) The part has accumulated more than Office, has the authority to approve indefinitely or until the work is repeated. 100 cycles-in-service since the last piece-part alternative methods of compliance for this opportunity inspection, provided that the (l) These recordkeeping requirements AD if requested using the procedures found apply only to the records used to document part was not damaged or related to the cause in 14 CFR 39.19. for its removal from the engine. the mandatory inspections required as a (g) The parts added to the table of this AD Maintaining Records of the Mandatory result of revising the ALS of the are identified by an asterisk (*) that precedes Inspections manufacturer’s ICA as specified in paragraph the part nomenclature. Also, parts that have (k) You have met the requirements of this (f) of this AD. These recordkeeping an Engine Manual Inspection Task and/or AD when you revise the ALS of the requirements do not alter or amend the Sub Task Number reference updated in the manufacturer’s ICA as specified in paragraph recordkeeping requirements for any other AD table of this AD, are identified by two (f) of this AD. For air carriers operating under or regulatory requirement. asterisks (**) that precede the part part 121 of the Federal Aviation Regulations nomenclature. Related Information (h) Except as provided in paragraph (i) of (14 CFR part 121), you have met the this AD, and notwithstanding contrary requirements of this AD when you modify (m) Contact Robert Green, Aerospace provisions in section 43.16 of the Federal your continuous airworthiness maintenance Engineer, Engine Certification Office, FAA, Aviation Regulations (14 CFR 43.16), these plan to reflect those changes. You do not Engine & Propeller Directorate, 12 New mandatory inspections shall be performed need to record each piece-part inspection as England Executive Park, Burlington, MA only in accordance with the ALS of the compliance to this AD, but you must 01803; e-mail: [email protected]; manufacturer’s ICA. maintain records of those inspections telephone (781) 238–7754; fax (781) 238– according to the regulations governing your 7199, for more information about this AD. Alternative Methods of Compliance (AMOC) operation. For air carriers operating under (i) You must perform these mandatory part 121, you may use either the system inspections using the ALS of the ICA and the established to comply with section 121.369 applicable Engine Manual unless you receive or an alternative accepted by your principal approval to use an AMOC under paragraph maintenance inspector if that alternative:
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Issued in Burlington, Massachusetts, on W12–140, 1200 New Jersey Avenue, SE., CL–600–2D24 aircraft fuel system against the October 16, 2008. Washington, DC 20590. new fuel tank safety standards, introduced in Peter A. White, • Hand Delivery: U.S. Department of Chapter 525 of the Airworthiness Manual through Notice of Proposed Amendment Assistant Manager, Engine and Propeller Transportation, Docket Operations, M– (NPA) 2002–043. The identified non- Directorate, Aircraft Certification Service. 30, West Building Ground Floor, Room compliances were assessed using Transport [FR Doc. E8–25278 Filed 10–22–08; 8:45 am] W12–140, 1200 New Jersey Avenue, SE., Canada Policy Letter No. 525–001 to BILLING CODE 4910–13–P Washington, DC, between 9 a.m. and 5 determine if mandatory corrective action was p.m., Monday through Friday, except required. Federal holidays. The assessment showed that a single DEPARTMENT OF TRANSPORTATION failure due to chafing of fuel system wiring Examining the AD Docket with high power wiring at the centre fuel Federal Aviation Administration You may examine the AD docket on tank front spar could result in overheating of the Internet at http:// the fuel boost pump. The assessment also 14 CFR Part 39 www.regulations.gov; or in person at the showed that chafing of the high power wiring Docket Operations office between 9 a.m. with the centre fuel tank front spar structures [Docket No. FAA–2008–1115; Directorate could result in overheating of the fuel tank Identifier 2008–NM–134–AD] and 5 p.m., Monday through Friday, except Federal holidays. The AD docket wall. Overheating of the fuel tank wall could lead to hot surface ignition resulting in a fuel RIN 2120–AA64 contains this proposed AD, the tank explosion. regulatory evaluation, any comments Airworthiness Directives; Bombardier To correct the unsafe condition, this received, and other information. The directive mandates separation of the high Model CL–600–2C10 (Regional Jet street address for the Docket Operations power wiring from the fuel system wiring at Series 700, 701 & 702) Airplanes and office (telephone (800) 647–5527) is in the centre fuel tank front spar area and the Model CL–600–2D24 (Regional Jet the ADDRESSES section. Comments will installation of additional clamping and Series 900) Airplanes be available in the AD docket shortly support for the high power wiring [i.e., after receipt. modifying the routing and support of AGENCY: Federal Aviation electrical wires in the centre fuel tank front FOR FURTHER INFORMATION CONTACT: Administration (FAA), DOT. spar area]. Rocco Viselli, Aerospace Engineer, ACTION: Notice of proposed rulemaking Required actions also include an (NPRM). Airframe and Propulsion Branch, ANE–171, FAA, New York Aircraft inspection to determine if pins have a SUMMARY: We propose to adopt a new Certification Office, 1600 Stewart minimum of one thread above the nuts, airworthiness directive (AD) for the Avenue, Suite 410, Westbury, New York and a visual inspection for damage of products listed above. This proposed 11590; telephone (516) 228–7331; fax the sealant. Corrective actions include AD results from mandatory continuing (516) 794–5531. replacing pins and nuts and applying airworthiness information (MCAI) SUPPLEMENTARY INFORMATION: sealant. You may obtain further originated by an aviation authority of information by examining the MCAI in Comments Invited another country to identify and correct the AD docket. an unsafe condition on an aviation We invite you to send any written The FAA has examined the product. The MCAI describes the unsafe relevant data, views, or arguments about underlying safety issues involved in fuel condition as: this proposed AD. Send your comments tank explosions on several large to an address listed under the transport airplanes, including the Bombardier Aerospace has completed a ADDRESSES section. Include ‘‘Docket No. adequacy of existing regulations, the system safety review of the CL–600–2C10/ service history of airplanes subject to CL–600–SD24 aircraft fuel system against the FAA–2008–1115; Directorate Identifier new fuel tank safety standards. * * * 2008–NM–134–AD’’ at the beginning of those regulations, and existing The assessment showed that a single your comments. We specifically invite maintenance practices for fuel tank failure due to chafing of fuel system wiring comments on the overall regulatory, systems. As a result of those findings, with high power wiring at the centre fuel economic, environmental, and energy we issued a regulation titled ‘‘Transport tank front spar could result in overheating of aspects of this proposed AD. We will Airplane Fuel Tank System Design the fuel boost pump. The assessment also consider all comments received by the Review, Flammability Reduction and showed that chafing of the high power wiring closing date and may amend this Maintenance and Inspection with the centre fuel tank front spar structures proposed AD based on those comments. Requirements’’ (66 FR 23086, May 7, could result in overheating of the fuel tank We will post all comments we 2001). In addition to new airworthiness wall. Overheating of the fuel tank wall could lead to hot surface ignition resulting in a fuel receive, without change, to http:// standards for transport airplanes and tank explosion. www.regulations.gov, including any new maintenance requirements, this personal information you provide. We rule included Special Federal Aviation The proposed AD would require actions will also post a report summarizing each Regulation No. 88 (‘‘SFAR 88,’’ that are intended to address the unsafe substantive verbal contact we receive Amendment 21–78, and subsequent condition described in the MCAI. about this proposed AD. Amendments 21–82 and 21–83). DATES: We must receive comments on Among other actions, SFAR 88 Discussion this proposed AD by November 24, requires certain type design (i.e., type 2008. Transport Canada Civil Aviation certificate (TC) and supplemental type ADDRESSES: You may send comments by (TCCA), which is the aviation authority certificate (STC)) holders to substantiate any of the following methods: for Canada, has issued Canadian that their fuel tank systems can prevent • Federal eRulemaking Portal: Go to Airworthiness Directive CF–2008–24, ignition sources in the fuel tanks. This http://www.regulations.gov. Follow the dated July 3, 2008 (referred to after this requirement applies to type design instructions for submitting comments. as ‘‘the MCAI’’), to correct an unsafe holders for large turbine-powered • Fax: (202) 493–2251. condition for the specified products. transport airplanes and for subsequent • Mail: U.S. Department of The MCAI states: modifications to those airplanes. It Transportation, Docket Operations, M– Bombardier Aerospace has completed a requires them to perform design reviews 30, West Building Ground Floor, Room system safety review of the CL–600–2C10/ and to develop design changes and
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maintenance procedures if their designs provided in the MCAI and related 1. Is not a ‘‘significant regulatory do not meet the new fuel tank safety service information. action’’ under Executive Order 12866; standards. As explained in the preamble We might also have proposed 2. Is not a ‘‘significant rule’’ under the to the rule, we intended to adopt different actions in this AD from those DOT Regulatory Policies and Procedures airworthiness directives to mandate any in the MCAI in order to follow FAA (44 FR 11034, February 26, 1979); and changes found necessary to address policies. Any such differences are 3. Will not have a significant unsafe conditions identified as a result highlighted in a NOTE within the economic impact, positive or negative, of these reviews. proposed AD. on a substantial number of small entities In evaluating these design reviews, we under the criteria of the Regulatory Costs of Compliance have established four criteria intended Flexibility Act. to define the unsafe conditions Based on the service information, we We prepared a regulatory evaluation associated with fuel tank systems that estimate that this proposed AD would of the estimated costs to comply with require corrective actions. The affect about 159 products of U.S. this proposed AD and placed it in the percentage of operating time during registry. We also estimate that it would AD docket. which fuel tanks are exposed to take about 102 work-hours per product List of Subjects in 14 CFR Part 39 flammable conditions is one of these to comply with the basic requirements criteria. The other three criteria address of this proposed AD. The average labor Air transportation, Aircraft, Aviation the failure types under evaluation: rate is $80 per work-hour. Required safety, Incorporation by reference, Single failures, single failures in parts would cost about $7,646 per Safety. product. Where the service information combination with a latent condition(s), The Proposed Amendment and in-service failure experience. For all lists required parts costs that are four criteria, the evaluations included covered under warranty, we have Accordingly, under the authority consideration of previous actions taken assumed that there will be no charge for delegated to me by the Administrator, that may mitigate the need for further these costs. As we do not control the FAA proposes to amend 14 CFR part action. warranty coverage for affected parties, 39 as follows: We have determined that the actions some parties may incur costs higher PART 39—AIRWORTHINESS identified in this AD are necessary to than estimated here. Based on these DIRECTIVES reduce the potential of ignition sources figures, we estimate the cost of the inside fuel tanks, which, in combination proposed AD on U.S. operators to be 1. The authority citation for part 39 with flammable fuel vapors, could result $2,513,154, or $15,806 per product. continues to read as follows: in fuel tank explosions and consequent Authority for This Rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. loss of the airplane. Title 49 of the United States Code § 39.13 [Amended] Relevant Service Information specifies the FAA’s authority to issue 2. The FAA amends § 39.13 by adding rules on aviation safety. Subtitle I, Bombardier has issued Service the following new AD: Bulletin 670BA–24–012, Revision B, section 106, describes the authority of dated July 25, 2007. The actions the FAA Administrator. ‘‘Subtitle VII: Bombardier Inc. (Formerly Canadair): described in this service information are Aviation Programs,’’ describes in more Docket No. FAA–2008–1115; Directorate Identifier 2008–NM–134–AD. intended to correct the unsafe condition detail the scope of the Agency’s identified in the MCAI. authority. Comments Due Date We are issuing this rulemaking under FAA’s Determination and Requirements (a) We must receive comments by the authority described in ‘‘Subtitle VII, November 24, 2008. of This Proposed AD Part A, Subpart III, Section 44701: This product has been approved by General requirements.’’ Under that Affected ADs the aviation authority of another section, Congress charges the FAA with (b) None. country, and is approved for operation promoting safe flight of civil aircraft in Applicability in the United States. Pursuant to our air commerce by prescribing regulations (c) This AD applies to the airplanes bilateral agreement with the State of for practices, methods, and procedures identified in paragraphs (c)(1) and (c)(2) of Design Authority, we have been notified the Administrator finds necessary for this AD, certificated in any category. of the unsafe condition described in the safety in air commerce. This regulation (1) Bombardier Model CL–600–2C10 MCAI and service information is within the scope of that authority (Regional Jet Series 700, 701, & 702) referenced above. We are proposing this because it addresses an unsafe condition airplanes, serial numbers 10003 through AD because we evaluated all pertinent that is likely to exist or develop on 10169 inclusive. information and determined an unsafe products identified in this rulemaking (2) Bombardier Model CL–600–2D24 condition exists and is likely to exist or action. (Regional Jet Series 900) airplanes, serial numbers 15001 through 15030 inclusive. develop on other products of the same type design. Regulatory Findings Subject We determined that this proposed AD Differences Between This AD and the (d) Air Transport Association (ATA) of would not have federalism implications America Code 24: Electrical Power. MCAI or Service Information under Executive Order 13132. This Reason We have reviewed the MCAI and proposed AD would not have a related service information and, in substantial direct effect on the States, on (e) The mandatory continuing general, agree with their substance. But the relationship between the national airworthiness information (MCAI) states: we might have found it necessary to use Bombardier Aerospace has completed a Government and the States, or on the system safety review of the CL–600–2C10/ different words from those in the MCAI distribution of power and CL–600–2D24 aircraft fuel system against the to ensure the AD is clear for U.S. responsibilities among the various new fuel tank safety standards, introduced in operators and is enforceable. In making levels of government. Chapter 525 of the Airworthiness Manual these changes, we do not intend to differ For the reasons discussed above, I through Notice of Proposed Amendment substantively from the information certify this proposed regulation: (NPA) 2002–043. The identified non-
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compliances were assessed using Transport inspector (PI) in the FAA Flight Standards overturn skid plate installed on Model Canada Policy Letter No. 525–001 to District Office (FSDO), or lacking a PI, your AT–401B airplanes. We are proposing determine if mandatory corrective action was local FSDO. this AD to prevent the front and rear required. (2) Airworthy Product: For any connections of the overturn skid plate to The assessment showed that a single requirement in this AD to obtain corrective failure due to chafing of fuel system wiring actions from a manufacturer or other source, the airplane from breaking, which could with high power wiring at the center fuel use these actions if they are FAA-approved. allow foreign debris to enter the cockpit tank front spar could result in overheating of Corrective actions are considered FAA- during an airplane overturn. This the fuel boost pump. The assessment also approved if they are approved by the State condition, if not corrected, could lead to showed that chafing of the high power wiring of Design Authority (or their delegated pilot injury. with the centre fuel tank front spar structures agent). You are required to assure the product DATES: We must receive comments on could result in overheating of the fuel tank is airworthy before it is returned to service. wall. Overheating of the fuel tank wall could (3) Reporting Requirements: For any this proposed AD by November 24, lead to hot surface ignition resulting in a fuel reporting requirement in this AD, under the 2008. tank explosion. provisions of the Paperwork Reduction Act, ADDRESSES: Use one of the following To correct the unsafe condition, this the Office of Management and Budget (OMB) addresses to comment on this proposed directive mandates separation of the high has approved the information collection AD: power wiring from the fuel system wiring at requirements and has assigned OMB Control • the centre fuel tank front spar area and the Number 2120–0056. Federal eRulemaking Portal: Go to installation of additional clamping and http://www.regulations.gov. Follow the support for the high power wiring [i.e., Related Information instructions for submitting comments. modifying the routing and support of (h) Refer to MCAI Canadian Airworthiness • Fax: (202) 493–2251. electrical wires in the center fuel tank front Directive CF–2008–24, dated July 3, 2008, • Mail: U.S. Department of spar area]. and Bombardier Service Bulletin 670BA–24– Transportation, Docket Operations, M– Required actions also include an inspection 012, Revision B, dated July 25, 2007, for 30, West Building Ground Floor, Room related information. to determine if pins have a minimum of one W12–140, 1200 New Jersey Avenue, SE., thread above the nuts, and a visual Issued in Renton, Washington, on October Washington, DC 20590. inspection for damage of the sealant. 10, 2008. • Corrective actions include replacing pins and Hand Delivery: U.S. Department of Ali Bahrami, nuts and applying sealant. Transportation, Docket Operations, M– Manager, Transport Airplane Directorate, 30, West Building Ground Floor, Room Actions and Compliance Aircraft Certification Service. W12–140, 1200 New Jersey Avenue, SE., (f) Unless already done, do the following [FR Doc. E8–25309 Filed 10–22–08; 8:45 am] Washington, DC 20590, between 9 a.m. actions. BILLING CODE 4910–13–P and 5 p.m., Monday through Friday, (1) Within 4,500 flight hours after the effective date of this AD, modify the routing except Federal holidays. For service information identified in and support of the electrical wires in the DEPARTMENT OF TRANSPORTATION center fuel tank front spar area (including an this proposed AD, contact Air Tractor, inspection to determine if pins have a Inc., P.O. Box 485, Olney, Texas 76374; Federal Aviation Administration minimum of one thread above the nuts, and telephone: (940) 564–5616; fax: (940) a visual inspection for damage of the sealant, 564–5612; e-mail: 14 CFR Part 39 and applicable corrective actions) in [email protected]; Internet: http:// accordance with the Accomplishment [Docket No. FAA–2008–1120; Directorate www.airtractor.com. Instructions of Bombardier Service Bulletin Identifier 2008–CE–064–AD] 670BA–24–012, Revision B, dated July 25, FOR FURTHER INFORMATION CONTACT: 2007. Do all applicable related investigative RIN 2120–AA64 Andy McAnaul, Aerospace Engineer, and corrective actions before further flight. ASW–150, FAA San Antonio MIDO–43, (2) Actions done before the effective date Airworthiness Directives; Air Tractor, 10100 Reunion Pl., Ste. 650, San of this AD in accordance with Bombardier Inc. Models AT–200, AT–300, AT–400, Antonio, Texas 78216; telephone: (210) Service Bulletin 670BA–24–012, dated April AT–500, AT–600, and AT–800 Series 308–3365; fax: (210) 308–3370. 18, 2005, or Revision A, dated October 25, Airplanes 2006, are acceptable for compliance with the SUPPLEMENTARY INFORMATION: corresponding requirements of this AD. AGENCY: Federal Aviation Comments Invited FAA AD Differences Administration (FAA), Department of Transportation (DOT). We invite you to send any written Note 1: This AD differs from the MCAI ACTION: Notice of proposed rulemaking relevant data, views, or arguments and/or service information as follows: No (NPRM). regarding this proposed AD. Send your differences. comments to an address listed under the Other FAA AD Provisions SUMMARY: We propose to supersede ADDRESSES section. Include the docket Airworthiness Directive (AD) 2008–11– number, ‘‘FAA–2008–1120; Directorate (g) The following provisions also apply to this AD: 17, which applies to certain Air Tractor, Identifier 2008–CE–064–AD’’ at the (1) Alternative Methods of Compliance Inc. Models AT–200, AT–300, AT–400, beginning of your comments. We (AMOCs): The Manager, Airframe and AT–500, AT–600, and AT–800 series specifically invite comments on the Propulsion Branch, ANE–171, FAA, has the airplanes. AD 2008–11–17 currently overall regulatory, economic, authority to approve AMOCs for this AD, if requires you to install an overturn skid environmental, and energy aspects of requested using the procedures found in 14 plate kit or a modification to the the proposed AD. We will consider all CFR 39.19. Send information to ATTN: Rocco overturn skid plate already installed. comments received by the closing date Viselli, Aerospace Engineer, Airframe and Since we issued AD 2008–11–17, the and may amend the proposed AD in Propulsion Branch, ANE–171, FAA, New manufacturer has notified us that Model light of those comments. York Aircraft Certification Office, 1600 Stewart Avenue, Suite 410, Westbury, New AT–401B airplanes also require a We will post all comments we York 11590; telephone (516) 228–7331; fax modification to the overturn skid plate. receive, without change, to http:// (516) 794–5531. Before using any approved Consequently, this proposed AD would www.regulations.gov, including any AMOC on any airplane to which the AMOC retain the actions of AD 2008–11–17 personal information you provide. We applies, notify your appropriate principal and add the requirement to modify the will also post a report summarizing each
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substantive verbal contact we receive a modification kit if certain overturn FAA’s Determination and Requirements concerning this proposed AD. skid plates are already installed. of the Proposed AD Since we issued AD 2008–11–17, the Discussion We are proposing this AD because we manufacturer has notified us that Model evaluated all information and Reports of foreign material entering AT–401B airplanes also require a determined the unsafe condition the cabin area during an overturn skid modification to the overturn skid plane. described previously is likely to exist or on Air Tractor, Inc. (Air Tractor) AT– Consequently, this proposed AD would develop on other products of the same 301 and AT–401 series airplanes caused retain the actions of AD 2008–11–17 type design. This proposed AD would us to issue AD 2002–25–09, and add the requirement to modify the supersede AD 2008–11–17 with a new Amendment 39–12985 (67 FR 78156, overturn skid plate installed on Model AD that would retain the actions of AD December 23, 2002). AD 2002–25–09 AT–401B airplanes. 2008–11–17 and add the requirement to required you to install overturn skid We are proposing this AD to prevent modify the overturn skid plate installed plate, part number (P/N) 11411–1–500 the front and rear connections of the on Model AT–401B airplanes. This overturn skid plate to the airplane from or an FAA-approved equivalent P/N. proposed AD would require you to use breaking, which could allow foreign The manufacturer incorporated skid the service information described debris to enter the cockpit during an plates in some production models previously to perform these actions. airplane overturn. This condition, if not including Models AT–401B, AT–402B, corrected, could lead to pilot injury. Costs of Compliance AT–502B, AT–602, and AT–802A airplanes. Relevant Service Information We estimate that this proposed AD would affect 1,309 airplanes in the U.S. Since we issued AD 2002–25–09, we We have reviewed Snow Engineering registry. received a report of the bolts breaking in Company Service Letter #97, Revised In determining the total cost on U.S. an overturn accident where they attach September 19, 2008. operators, we presume all airplanes in the forward end of the original design The service information describes the U.S. fleet have an overturn skid overturn skid plate to the airframe. This procedures for: plate installed (as required by AD 2002– allowed the skid plate to rotate around • Modifying the overturn skid plate 25–09) and the only cost is to the rear attach point and the forward by enlarging the mounting holes and incorporate the modification kit P/N end of the plate to enter the cockpit replacing existing clamps and hardware 11411–1–501. We estimate the following area. This report caused us to issue AD on airplanes with the overturn skid costs to do the proposed modification of 2008–11–17, Amendment 39–15540 (73 plate installed; and installing the overturn skid plate FR 31351, June 2, 2008). AD 2008–11– • Installing the overturn skid plate for modification kit P/N 11411–1–501 to 17 currently retains the actions of AD airplanes that do not have the overturn those planes that currently have the 2002–25–09 and requires you to install skid plate currently installed. overturn skid plate installed:
Total cost per Total cost on Labor cost Parts cost airplane U.S. operators
2 work-hours × $80 per hour = $160 ...... $42 $202 $264,418
Authority for This Rulemaking implications under Executive Order regulatory evaluation, any comments Title 49 of the United States Code 13132. This proposed AD would not received, and other information on the specifies the FAA’s authority to issue have a substantial direct effect on the Internet at http://www.regulations.gov; rules on aviation safety. Subtitle I, States, on the relationship between the or in person at the Docket Management section 106, describes the authority of national Government and the States, or Facility between 9 a.m. and 5 p.m., the FAA Administrator. Subtitle VII, on the distribution of power and Monday through Friday, except Federal Aviation Programs, describes in more responsibilities among the various holidays. The Docket Office (telephone detail the scope of the Agency’s levels of government. (800) 647–5527) is located at the street authority. For the reasons discussed above, I address stated in the ADDRESSES section. We are issuing this rulemaking under certify that the proposed regulation: Comments will be available in the AD the authority described in Subtitle VII, 1. Is not a ‘‘significant regulatory docket shortly after receipt. Part A, Subpart III, section 44701, action’’ under Executive Order 12866; List of Subjects in 14 CFR Part 39 ‘‘General Requirements.’’ Under that 2. Is not a ‘‘significant rule’’ under the Air transportation, Aircraft, Aviation section, Congress charges the FAA with DOT Regulatory Policies and Procedures safety, Incorporation by reference, promoting safe flight of civil aircraft in (44 FR 11034, February 26, 1979); and Safety. air commerce by prescribing regulations 3. Will not have a significant for practices, methods, and procedures economic impact, positive or negative, The Proposed Amendment the Administrator finds necessary for on a substantial number of small entities Accordingly, under the authority safety in air commerce. This regulation under the criteria of the Regulatory delegated to me by the Administrator, is within the scope of that authority Flexibility Act. the FAA proposes to amend 14 CFR part because it addresses an unsafe condition We prepared a regulatory evaluation 39 as follows: that is likely to exist or develop on of the estimated costs to comply with products identified in this rulemaking this proposed AD and placed it in the PART 39—AIRWORTHINESS action. AD docket. DIRECTIVES Regulatory Findings Examining the AD Docket 1. The authority citation for part 39 We have determined that this You may examine the AD docket that continues to read as follows: proposed AD would not have federalism contains the proposed AD, the Authority: 49 U.S.C. 106(g), 40113, 44701.
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§ 39.13 [Amended] Air Tractor, Inc.: Docket No. FAA–2008– Affected ADs 1120; Directorate Identifier 2008–CE– (b) This AD supersedes AD 2008–11–17, 2. The FAA amends § 39.13 by 064–AD. removing Airworthiness Directive (AD) Amendment 39–15540. 2008–11–17, Amendment 39–15540 (73 Comments Due Date Applicability FR 31351, June 2, 2008), and adding the (a) We must receive comments on this (c) This AD applies to the following following new AD: airworthiness directive (AD) action by airplane models and serial numbers that are November 24, 2008. certificated in any category:
Group 1 models Serial Nos.
AT–250, AT–300, AT–301, AT–302, AT–400, AT–400A, AT–401, AT–401A, AT–402, AT–402A, and AT–402B ...... –0001 through –1196. AT–501, AT–502, AT–502A, and AT–502B ...... –0001 through –2620. AT–602 ...... –0337 through –1153. AT–802A ...... –0003 through –0282. Group 2 model Serial Nos.
AT–401B ...... –0952 through –1196.
Unsafe Condition 11–17 and adds the requirement to modify This condition, if not corrected, could lead (d) Since we issued AD 2008–11–17, the the overturn skid plate installed on Model to pilot injury. AT–401B airplanes. We are issuing this AD manufacturer has notified us that Model AT– to prevent the front and rear connections of Compliance 401B airplanes also require a modification to the overturn skid plate to the airplane from (e) To address this problem, you must do the overturn skid plate. Consequently, this breaking, which could allow foreign debris to the following, unless already done: proposed AD retains the actions of AD 2008– enter the cockpit during an airplane overturn.
Actions Compliance Procedures
(1) For Group 1 airplanes: If overturn skid plate Within the next 180 days after July 7, 2008 Follow Snow Engineering Co. Service Letter part number (P/N) 11411–1–500 or an FAA- (the effective date of AD 2008–11–17). #97, revised November 7, 2007; or Snow approved equivalent P/N is already installed Engineering Co. Service Letter #97, revised then install P/N 11411–1–501 modification kit. September 19, 2008. (2) For Group 1 airplanes: If there is no over- Within the next 180 days after July 7, 2008 Follow Snow Engineering Co. Service Letter turn skid plate installed, then install overturn (the effective date of AD 2008–11–17). #97, revised November 7, 2007; or Snow skid plate kit P/N 11411–1–502 or an FAA- Engineering Co. Service Letter #97, revised approved equivalent part number. September 19, 2008. (3) For Group 2 airplanes: Install P/N 11411– Within the next 180 days after the effective Follow Snow Engineering Co. Service Letter 1–501 modification kit. date of this AD. #97, revised September 19, 2008.
Alternative Methods of Compliance Issued in Kansas City, Missouri, on aircraft noise certification information (AMOCs) October 14, 2008. on board the aircraft. This proposed rule (f) The Manager, Fort Worth Airplane John Colomy, is needed to ensure that U.S. operators Certification Office, FAA, has the authority to Acting Manager, Small Airplane Directorate, have consistent noise certification approve AMOCs for this AD, if requested Aircraft Certification Service. information on board when they fly using the procedures found in 14 CFR 39.19. [FR Doc. E8–25286 Filed 10–22–08; 8:45 am] outside the United States. The intended Send information to ATTN: Andy McAnaul, BILLING CODE 4910–13–P effect of this proposal is to ensure Aerospace Engineer, ASW–150, FAA San consistent compliance with the Antonio MIDO–43, 10100 Reunion Pl., Ste. International Civil Aviation 650, San Antonio, Texas 78216; telephone: DEPARTMENT OF TRANSPORTATION Organization, Annex 16, Volume 1, (210) 308–3365; fax: (210) 308–3370. Before Amendment 8 that requires certain using any approved AMOC on any airplane Federal Aviation Administration noise information be carried on board to which the AMOC applies, notify your the aircraft. appropriate principal inspector (PI) in the 14 CFR Part 91 FAA Flight Standards District Office (FSDO), DATES: Send your comments on or or lacking a PI, your local FSDO. [Docket No. FAA–2008–1097; Notice No. 08– before January 21, 2009. 12] Related Information ADDRESSES: You may send comments RIN 2120–AJ31 (g) To get copies of the service information identified by Docket Number FAA– referenced in this AD, contact Air Tractor Aircraft Noise Certification Documents 2008–1097 using any of the following Inc., P.O. Box 485, Olney, Texas 76374; for International Operations methods: telephone: (940) 564–5616; fax: (940) 564– • Federal eRulemaking Portal: Go to AGENCY: Federal Aviation 5612; e-mail: [email protected]; http://www.regulations.gov and follow Administration (FAA), DOT. Internet: http://www.airtractor.com. To view the online instructions for sending your the AD docket, go to U.S. Department of ACTION: Notice of proposed rulemaking comments electronically. Transportation, Docket Operations, M–30, (NPRM). West Building Ground Floor, Room W12– • Mail: Send comments to Docket 140, 1200 New Jersey Avenue, SE., SUMMARY: This action would require Operations, M–30; U.S. Department of Washington, DC 20590, or on the Internet at operators of U.S. registered civil aircraft Transportation, 1200 New Jersey http://www.regulations.gov. flying outside the United States to carry Avenue, SE., Room W12–140, West
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Building Ground Floor, Washington, DC This rulemaking is promulgated show the noise status of the airplane 20590–0001. under the authority described in from on-board documents. • Hand Delivery or Courier: Bring Subtitle VII, Part A, Subpart III, section ICAO Actions comments to Docket Operations in 44715, Controlling aircraft noise and Room W12–140 of the West Building sonic boom. Under that section, the The issue of noise documentation has Ground Floor at 1200 New Jersey FAA is charged with prescribing been addressed by the Certificate Task Avenue, SE., Washington, DC, between regulations to measure and abate aircraft Group (CTG) of the ICAO’s Committee 9 a.m. and 5 p.m., Monday through noise. This proposed regulation is on Aviation Environmental Protection. Friday, except Federal holidays. within the scope of that authority since In 2001, Noise Technical Working • Fax: Fax comments to Docket it would require certain operators to Group 1 of the CTG was tasked with Operations at 202–493–2251. carry on board documentation listing examining the implementation of Annex For more information on the the noise characteristics of the aircraft. 16 noise certification documentation rulemaking process, see the These characteristics are already requirements, and the possible SUPPLEMENTARY INFORMATION section of contained in the aircraft flight manual international standardization of those this document. and approved as part of the aircraft’s documents. The CTG includes the FAA Privacy: We will post all comments airworthiness certification and and several representatives of the U.S. we receive, without change, to http:// compliance with 14 CFR part 36. aviation industry among its members. www.regulations.gov, including any The CTG considered various options Background personal information you provide. for standardization of documents to be Using the search function of our docket Current U.S. regulations require that carried by aircraft operators. The ICAO Web site, anyone can find and read the all U.S. aircraft comply with the noise member States use a variety of electronic form of all comments certification requirements of 14 CFR administrative systems, with differing received into any of our dockets, part 36. Part of that certification requirements for noise documentation at including the name of the individual includes the noise levels that were certification and for designating sending the comment (or signing the obtained during certification testing. documents that must be carried on comment for an association, business, Section 36.1501 requires that these board. The CTG proposed three options labor union, etc.). You may review certification noise levels be included in designed to accommodate these DOT’s complete Privacy Act Statement the Airplane Flight Manual (AFM) or different practices. These three in the Federal Register published on Rotorcraft Flight Manual (RFM). These proposed options were drafted with April 11, 2000 (65 FR 19477–78) or you manuals must be approved by the FAA. reference to existing regulatory systems may visit http://DocketsInfo.dot.gov. Part 36 also contains two sections in the various States and incorporated Docket: To read background (36.1581 and 36.1583) that describe the into a new Attachment G to Annex 16 documents or comments received, go to specific noise certification data to be Amendment 8. The ICAO adopted http://www.regulations.gov at any time included in an FAA-approved AFM/ Amendment 8 of Annex 16, Volume 1 and follow the online instructions for RFM. However, there is no specific on February 23, 2005, and it became accessing the docket. Or, go to Docket requirement for the entire FAA- effective on November 24, 2005. Section Operations in Room W12–140 of the approved AFM to be carried on board an 1.4 of Annex 16 now requires that West Building Ground Floor at 1200 aircraft. ‘‘documents attesting noise certification New Jersey Avenue, SE., Washington, For U.S. air carriers operating under shall be approved by the State of DC, between 9 a.m. and 5 p.m., Monday part 121, a carrier is allowed to create Registry and required by that State to be through Friday, except Federal holidays. an Aircraft Operations Manual (AOM) carried on the aircraft.’’ Attachment G to FOR FURTHER INFORMATION CONTACT: For or a Flight Crew Operating Manual Amendment 8 provides the following technical questions concerning this (FCOM) as an alternative to the AFM to three options for satisfying the proposed rule contact Laurette Fisher, be carried on board the aircraft. That certification documentation Office of Environment and Energy manual typically contains only the requirements of sections 1.4 and 1.5. (AEE–100), Federal Aviation aircraft limitations and performance 1. A stand-alone State-issued noise Administration, 800 Independence information from the FAA-approved certificate in which the mandatory Avenue, SW., Washington, DC 20591; AFM. The air carriers’ flight, information requirements of Annex 16, telephone (202) 267–3561; facsimile maintenance, and ground crews would Volume 1, are contained in a single (202) 267–5594; e-mail normally use these manuals. The AOM document. [email protected]. For legal or FCOM may or may not contain the 2. Two complementary documents, questions concerning this proposed rule noise characteristics pages from the one of which may be the Airplane Flight contact Karen Petronis, Office of Chief FAA-approved AFM, depending on the Manual (AFM) or the Airline Operations Counsel (AGC–200), Federal Aviation operator’s needs and the manual’s Manual (AOM). Administration, 800 Independence organization. 3. Three complementary documents. Avenue, SW., Washington, DC 20591; Several years ago, the FAA became Option 2 was designed to telephone (202) 267–3073; e-mail aware of instances in which U.S. aircraft accommodate the system in effect in the [email protected]. were detained at foreign airports when United States. One of the documents SUPPLEMENTARY INFORMATION: the noise status of the airplane was contemplated under this option was an questioned. In many cases, the aircraft’s airworthiness certificate, since Authority for This Rulemaking flightcrew had not been able to provide it is issued only when an aircraft has The FAA’s authority to issue rules on relevant information either because the demonstrated compliance with part 36. aviation safety is found in Title 49 of the AOM/FCOM did not contain such However, since U.S. airworthiness United States Code. Subtitle I, section information, or because the information certificates do not contain any noise 106 describes the authority of the FAA was not aggregated in one location in information, the second document Administrator. Subtitle VII, Aviation the on-board manual. Some foreign would contain the noise certification Programs, describes in more detail the authorities have asked U.S. flightcrews data that is already required to be in the scope of the agency’s authority. to either produce a noise certificate or AFM/RFM.
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Currently, no specific format exists for applied to all operators who fly outside Noise Certificates Not an Option the noise information required to be in the United States. The Working Group 1 discussions the AFM/RFM. In practice, the We are including in this proposal a included a suggestion to the FAA that information may be scattered over draft aircraft noise documentation form. we issue noise certificates as our means several pages and not easily located. We anticipate that the information of compliance. While it seems a simpler Further, since noise data is not required needed to complete the form will be solution, the FAA does not have the for inclusion in those parts of the transferred by the operator from the legal authority to issue noise certificates manual carried on board, flightcrews approved flight manual for each of an as other ICAO countries do. may not be familiar with or even have operator’s aircraft. The form included in In a related issue, the form originally access to this information. this proposal is nearly identical to the developed by Working Group 1 includes Before Amendment 8 was adopted in one we published in the draft Advisory an approval by a Member State’s 2005, the noise documentation section Circular, and includes all of the certificating authority, such as the FAA of Annex 16 was contained in a note information that was chosen by Working in the United States. The FAA will not and considered advisory material. To Group 1 as necessary to comply with the be approving the recommended form address the difficulties that U.S. carriers ICAO requirement. We have attempted that contains the information. We had experienced, the FAA published a to maintain the same format in an effort interpret that action to be legally draft notice of availability of proposed to make the form readily recognizable to indistinguishable from issuing a noise Advisory Circular, entitled ‘‘Guidance foreign authorities. Unless there is certificate. Instead, as the draft form on Aircraft Noise Certification compelling reason to do so, we do not indicates, the information contained on Documents for International Flights’’ (70 plan on altering the placement of the page comes from an FAA-approved FR 60127, October 14, 2005). That AC information on the form. The FAA will flight manual. The FAA-approved noise included an optional form on which seek approval from the Office of certification data is part of the operators leaving the United States Management and Budget to maintain it procedures for operating aircraft and not could compile the noise certification as an official form that we recommend considered a limitation or restriction. data envisioned by the working group. be carried on board. The FAA has found that transfer of the With the adoption of Amendment 8 We would especially like to hear from FAA-approved noise data satisfies the and the new paragraph 1.4, noise those operators that chose to complete ICAO requirement that the information documentation must now be carried on the form as it was published in the draft on board ‘‘be approved by the State of board all U.S. aircraft operating outside AC, including where they carry the Registry.’’ Each operator carries the the United States in order to comply form, how flightcrews are informed of burden of a one-time correct transfer of with ICAO, Annex 16, Volume I. We its location, and whether it has been the information for each of its aircraft. have determined that a regulatory requested in foreign operations. change to require the carriage of noise The FAA Form certification documents is necessary. Use of this form is optional. An Following is a draft of the form that We have chosen to propose this as an operator may choose to use the we recommend operators use in operating requirement rather than a appropriate flight manual pages that complying with this regulation. We certification requirement, because the contain the required noise data as its anticipate that this form will be information already exists in operators’ means of compliance with the available online from the FAA Web site; manuals and does not affect the documentation requirements of Annex its particular location on the site has not certification basis of an airplane. As an 16. Alternatively, a carrier could been decided, but is open for comment operating rule, it will not affect develop its own documentation that on accessibility. Following the form is a operators who do not leave the United contains the required noise data. We description of the material that goes in States. caution operators that do not use the each section, adapted from the ICAO FAA form to ensure that the materials Overview of the Proposed Rule instructions. they carry comply with the Use of this form, when properly We are proposing to amend part 91 to requirements of Annex 16, Volume I, completed and carried on board, along add a new paragraph in section 91.703 sections 1.4 and 1.5. with an airplane’s airworthiness requiring operators that fly outside the We seek comment on the best place certificate, would demonstrate United States using aircraft subject to for the information, if compiled into the compliance with the proposed ICAO Annex 16 1 to carry aircraft noise recommended form or other single regulation and with ICAO Annex 16, certification information onboard the document, to be located on board the Volume I, Part II Chapter 1, paragraphs aircraft. aircraft. If it is to be carried on board as 1.4 and 1.5. The information on this While the regulatory amendment is part of the AFM/RFM/AOM/FCOM, form is not new, and is in each simple, we are seeking comment on the should it have its own tabbed section, operator’s FAA-approved flight manual proposed format of the documentation be an Appendix, or be incorporated into for each aircraft. and the best place to have it located on another already familiar section? Is The boxes in this form are numbered board the aircraft. there a better place for a document to be to maintain similarity with the ICAO Air carriers and other affected located that would be accessible to the version. The descriptions of the operators who leave the country are flightcrew and common to all operators? information to be entered in boxes 1–2 encouraged to comment on the We will review the comments and and 4–20 are not to be altered. Box 3 is proposed regulation, and suggest include our recommendations in the optional for use by the operator. workable alternatives that could be final rule. BILLING CODE 4910–13–P
1 ICAO Annex 16, Volume I, Part II. Chapter 1, classifications defined for noise certification of this part where such aircraft are engaged in Paragraph 1.1 states that: The provisions of 1.2 to purposes in Chapters 2, 3, 4, 5, 6, 8, 10, 11 and 12 international air navigation. 1.6 shall apply to all aircraft included in the
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BILLING CODE 4910–13–C 2. Title (Aircraft Noise Certification 4. The nationality or common mark The following describes the data to be Information), plus the name of the and registration marks (in the United entered on the form: operator and contact information. States, N-number). 1. United States of America (ICAO- 3. Document number (optional for 5. The aircraft manufacturer and required name of member State). operator’s use). manufacturer’s designation of the aircraft (model and series, as appropriate).
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6. The aircraft serial number. 8. For propeller-driven airplanes, the Annex 5. To avoid confusion, a U.S. 7. The type and model of the subject propeller type and model. operator may choose to record weight/ aircraft’s engine(s) (for identification 9. The maximum takeoff mass and mass in both English and metric units. and verification of the aircraft unit. The primary U.S. unit differs from An example of a conversion change configuration). the international unit: The appropriate from pounds to kilograms is shown conversion factor can be found in ICAO below:
Aircraft weight (pounds) conversion to aircraft mass (kilograms) 2:
To convert aircraft weight from to Multiply by pound (lb) kilogram (kg) 4.53592 E–01
Example: For a Boeing 747–400F that weighs 875,000 lb, 875,000 (lb) × 4.53592 E–01 (kg/lb) = 396,893 (kg)
10. The maximum landing mass and airplanes, certificated under appendix States, using aircraft subject to unit. To avoid confusion, a U.S. F, noise levels are expressed as International Civil Aviation operator may choose to record weight/ maximum A-weighted sound level Organization (ICAO), Annex 16, to carry mass in both English and metric units. (dBA). For rotorcraft, certificated under aircraft noise certification information See conversion example above. appendices H or J, noise levels are on board the aircraft. It would ensure 11. The Part 36 noise stage of the expressed as either EPNdB or A- that U.S. operators have the noise certificated aircraft. The terminology of weighted SEL (dBA SEL), respectively. certification information required to aircraft certification classification in the Note: The terminology describing this comply with CIAO Annex 16, Volume I, United States is ‘‘Stage’’ rather than noise level in 14 CFR part 36 is Amendment 8 when flying outside the ‘‘Chapter’’ as used in Annex 16. The ‘‘flyover’’ rather than ‘‘overflight’’ as United States. U.S. term is recognized by ICAO and is used in Annex 16. Use of: This proposed rule would not considered a difference from Annex 17. The takeoff noise level, as require operators of U.S.-registered civil 16. Note that the term ‘‘Stage’’ is not certificated. Operators of U.S.-registered aircraft flying outside the United States applicable to airplanes certificated aircraft must use the 14 CFR part 36, to carry aircraft noise certification under 14 CFR part 36, Subpart F. appendices G and H certificated noise information on board the aircraft. This 12. Any modifications to the aircraft levels as described in item 16. proposed rule is needed to ensure incorporated for compliance with 18. A statement that the individual compliance with ICAO, Annex 16, applicable noise certification standards. aircraft complies with the applicable Volume 1, Amendment 8 that requires This item should include any noise requirements of the U.S. certain noise information be carried on modifications to the basic aircraft regulations applicable to its type and board aircraft that fly outside their state described in items 7 and 8. size. of registry. The proposed rule would 13. The lateral/full-power noise level, 19. The date on which the noise require that this information be easily as certificated. Operators of U.S.- certification document was created by accessible to the flight crew and registered aircraft must use the 14 CFR the operator. presentable upon request to the part 36 certificated noise levels, 20. The signature of the official of the appropriate foreign officials. expressed as Effective Perceived Noise operator attesting to the accuracy of the Respondents (including number of): Level (EPNdB). NOTE: For 14 CFR part information in the FAA Form. The likely respondents to this proposed 36, appendix B, certifications that Listing multiple aircraft with similar information requirement are operators predate Amendment 36–24 use the term characteristics on the same document of U.S.-registered airplanes that fly ‘‘sideline’’ instead of ‘‘lateral.’’ will not be allowed. Only the data for outside the United States. 14. The approach noise level, as the single aircraft listed in the serial Frequency: This form would be certificated. Operators of U.S.-registered number and registration sections is to be completed one time for each aircraft. aircraft must use the 14 CFR part 36, listed on this form. Failure to carry the Thus, the annual frequency of appendices B or H certificated noise correct information, regardless of form, information requirement is a one-time levels, expressed as EPNdB. would be a violation of the regulation. initial response for each aircraft 15. The flyover noise level, as currently owned by the operator, then certificated. Operators of U.S.-registered Paperwork Reduction Act once per new aircraft acquired or aircraft must use the 14 CFR part 36 This proposal contains the following modified by an operator. certificated noise levels, expressed as new information collection Annual Burden Estimate: This EPNdB. For rotorcraft, certificated under requirements. As required by the proposal would result in an annual appendices H or J, noise levels are Paperwork Reduction Act of 1995 (44 recordkeeping and reporting burden as expressed as either EPNdB or A- U.S.C. 3507(d)), the FAA has submitted follows: weighted Sound Exposure Level (dBA the information requirements associated The cost of the proposed rule per SEL), respectively. (Note: For 14 CFR with this proposal to the Office of affected airplane was derived by part 36, appendix B certifications that Management and Budget for its review. multiplying the technical writer’s wage predate Amendment 36–24 use the term Title: Aircraft Noise Certification rate of $29.95 per hour by 0.25 hours ‘‘takeoff’’ instead of ‘‘flyover.’’) Documents For International required to complete the form, and 16. The overflight noise level, as Operations. adding to that the chief pilot’s wage rate certificated. Operators of U.S.-registered Summary: This proposal would add a of $79.48 per hour multiplied by 0.17 aircraft must include the 14 CFR part 36 new paragraph in § 91.703 requiring hours required to review and sign the certificated noise levels. For small operators that fly outside the United form. Thus, compliance with this
2 In 1959, the directors of the national standards Union of South Africa agreed on common The engineering practice of using lbm for pound laboratories of the United States, Canada, the definitions of the customary length and mass units. mass is obsolete. United Kingdom, Australia, New Zealand, and the They define the pound avoirdupois as 0.453592 kg.
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regulation would result in a per-airplane First, Executive Order 12866 directs that registered to U.S. mainline carriers in its cost of $21. As a result, the initial cost each Federal agency shall propose or cost computations. Based on the FAA of the proposed rule would be $21 per adopt a regulation only upon a reasoned Aerospace Forecast, there are a total of aircraft times 5,066 aircraft, for a total of determination that the benefits of the 5,066 aircraft currently registered to $106,386. intended regulation justify its costs. U.S. mainline air carriers (1,034 cargo The agency is soliciting comments Second, the Regulatory Flexibility Act aircraft 3 and 4,032 passenger jet to— of 1980 (Pub. L. 96–354) requires aircraft 4). (1) Evaluate whether the proposed agencies to analyze the economic For the purposes of this analysis, we information requirement is necessary for impact of regulatory changes on small assume that operators would choose to the proper performance of the functions entities. Third, the Trade Agreements comply with the proposed rule by using of the agency, including whether the Act (Pub. L. 96–39) prohibits agencies the provided recommended form. This information will have practical utility; from setting standards that create form would be completed one time for (2) Evaluate the accuracy of the unnecessary obstacles to the foreign each aircraft. We estimate that agency’s estimate of the burden; commerce of the United States. In completion of the form would require (3) Enhance the quality, utility, and developing U.S. standards, this Trade 15 minutes of a technical writer’s time clarity of the information to be Act requires agencies to consider and 10 minutes of a chief pilot’s or chief collected; and international standards and, where engineer’s time. The average wage rate (4) Minimize the burden of collecting appropriate, that they be the basis of for a technical writer is $29.95 per information on those who are to U.S. standards. Fourth, the Unfunded hour 5 after accounting for fringe respond, including by using appropriate Mandates Reform Act of 1995 (Pub. L. benefits. The average wage rate for a automated, electronic, mechanical, or 104–4) requires agencies to prepare a chief pilot or chief engineer is estimated other technological collection written assessment of the costs, benefits, at $79.48 per hour 6 after accounting for techniques or other forms of information and other effects of proposed or final fringe benefits. technology. rules that include a Federal mandate The cost of the proposed rule per Individuals and organizations may likely to result in the expenditure by send comments on the information affected airplane was derived by State, local, or tribal governments, in the multiplying the technical writer’s wage collection requirement by December 22, aggregate, or by the private sector, of 2008, and should direct them to the rate of $29.95 per hour by 0.25 hours $100 million or more annually (adjusted required to complete the form, and address listed in the ADDRESSES section for inflation with base year of 1995). adding to that the chief pilot’s wage rate at the end of this preamble. Comments However, for regulations with an also should be submitted to the Office of $79.48 per hour multiplied by 0.17 expected minimal impact, the above- hours required to review and sign the of Management and Budget, Office of specified analyses are not required. form. Thus, compliance with this Information and Regulatory Affairs, The Department of Transportation regulation would result in a per-airplane Attention: Desk Officer for FAA, New Order DOT 2100.5 prescribes policies Executive Building, Room 10202, 725 and procedures for simplification, cost of $21. As a result, the initial cost 17th Street, NW., Washington, DC analysis, and review of regulations. If of the proposed rule would be $21 per 20053. the expected cost impact is so minimal aircraft times 5,066 aircraft, for a total of According to the 1995 amendments to that the proposal or final rule does not $106,386. Operators may subsequently the Paperwork Reduction Act (5 CFR warrant a full evaluation, this order decide to purchase or modify aircraft 1320.8(b)(2)(vi)), an agency may not permits that a statement to that effect affected by the proposed rule. If they do collect or sponsor the collection of and the basis for it to be included in the so, operators would incur an extra cost information, nor may it impose an preamble if a full regulatory evaluation of $21 per additional airplane to bring information collection requirement of the cost and benefits is not prepared. it into compliance with ICAO Annex 16, unless it displays a currently valid OMB Such a determination has been made for Volume 1, Amendment 8. control number. The OMB control this proposed rule. The reasoning for This proposed rule would ensure that number for this information collection this determination follows: U.S. aircraft that fly abroad are in will be published in the Federal This proposed rule would require compliance with ICAO Annex 16, Register, after the Office of Management operators of U.S. registered civil aircraft Amendment 8. Operators would benefit and Budget approves it. flying outside the United States subject from the proposed rule by having the to ICAO Annex 16, Volume 1, proper documentation readily available International Compatibility Amendment 8, to carry aircraft noise for foreign authorities, avoiding delays In keeping with U.S. obligations certification data on board the aircraft. and detainment when noise certification under the Convention on International Operators may comply with the status is questioned. The FAA believes Civil Aviation, the FAA policy is to proposed rule by transferring the data that the negligible cost of compliance comply with International Civil from the Airplane Flight Manual to a with this rule is outweighed by the Aviation Organization (ICAO) Standards suggested form included in this benefit of compliance with the and Recommended Practices to the rulemaking. Operators may also choose international standard. maximum extent practicable. The FAA to carry the required information in a has reviewed the corresponding ICAO different format. The proposed rule 3 Table 21, U.S. Mainline Air Carriers, Cargo Jet Standards and Recommended Practices would require that this information be Aircraft, FAA Aerospace Forecast, FY 2008–2025. and is proposing this regulation as a easily accessible to the flight crew and 4 Table 20, U.S. Mainline Air Carriers, Cargo Jet presentable upon request to the Aircraft, FAA Aerospace Forecast, FY 2008–2025. means of compliance with Annex 16 5 FAA, APO–310, N & O Rule Regulatory regarding noise documentation carried appropriate officials. Evaluation. on board aircraft that leave the United The FAA was unable to determine the 6 Hourly wage derived by taking median salary of States. exact number of U.S. registered aircraft $133,916 for a chief pilot, dividing by 2080 hours that would be subject to this proposed per year, and multiplying by the fringe benefit Regulatory Evaluation factor of 1.2345. Salary source: http:// rule. Therefore, the FAA used (as an swz.salary.com/salarywizard/layouthtmls/ Changes to Federal regulations must overestimate) the total number of swzl_compresult_national_TR20000019.html, last undergo several economic analyses. passenger jet and cargo jet aircraft accessed June 30, 2008.
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Regulatory Flexibility Determination obstacles to the foreign commerce of the Distribution, or Use (May 18, 2001). We The Regulatory Flexibility Act of 1980 United States. Legitimate domestic have determined that it is not a (Pub. L. 96–354) (RFA) establishes ‘‘as a objectives, such as safety, are not ‘‘significant energy action’’ under the principle of regulatory issuance that considered unnecessary obstacles. The executive order because it is not a agencies shall endeavor, consistent with statute also requires consideration of ‘‘significant regulatory action’’ under the objectives of the rule and of international standards and, where Executive Order 12866, and it is not applicable statutes, to fit regulatory and appropriate, that they be the basis for likely to have a significant adverse effect informational requirements to the scale U.S. standards. The FAA has assessed on the supply, distribution, or use of of the businesses, organizations, and the potential effect of this proposed rule energy. and has determined that it would affect governmental jurisdictions subject to Additional Information regulation. To achieve this principle, only those U.S. operators that conduct agencies are required to solicit and international operations. The expected Comments Invited consider flexible regulatory proposals outcome of this proposed rule will be a The FAA invites interested persons to and to explain the rationale for their minimal impact on affected operators participate in this rulemaking by actions to assure that such proposals are with the net benefits of ICAO submitting written comments, data, or given serious consideration.’’ The RFA compliance. views. We also invite comments relating covers a wide-range of small entities, Unfunded Mandates Assessment to the economic, environmental, energy, or federalism impacts that might result including small businesses, not-for- Title II of the Unfunded Mandates from adopting the proposals in this profit organizations, and small Reform Act of 1995 (Pub. L. 104–4) document. The most helpful comments governmental jurisdictions. requires each Federal agency to prepare Agencies must perform a review to reference a specific portion of the a written statement assessing the effects determine whether a rule will have a proposal, explain the reason for any of any Federal mandate in a proposed or significant economic impact on a recommended change, and include final agency rule that may result in an substantial number of small entities. If supporting data. To ensure the docket expenditure of $100 million or more the agency determines that it will, the does not contain duplicate comments, (adjusted annually for inflation with the agency must prepare a regulatory please send only one copy of written base year 1995) in any one year by State, flexibility analysis as described in the comments, or if you are filing comments local, and tribal governments, in the RFA. electronically, please submit your aggregate, or by the private sector; such However, if an agency determines that comments only one time. a mandate is deemed to be a ‘‘significant a rule is not expected to have a We will file in the docket all regulatory action.’’ The FAA currently significant economic impact on a comments we receive, as well as a uses an inflation-adjusted value of substantial number of small entities, report summarizing each substantive $136.1 million in lieu of $100 million. section 605(b) of the RFA provides that This proposed rule does not contain public contact with FAA personnel the head of the agency may so certify such a mandate. concerning this proposed rulemaking. and a regulatory flexibility analysis is Before acting on this proposal, we will not required. The certification must Executive Order 13132, Federalism consider all comments we receive on or include a statement providing the The FAA has analyzed this NPRM before the closing date for comments. factual basis for this determination, and under the principles and criteria of We will consider comments filed after the reasoning should be clear. Executive Order 13132, Federalism. We the comment period has closed if it is This proposed rule would ensure that determined that this action will not possible to do so without incurring U.S. operators have consistent noise have a substantial direct effect on the expense or delay. We may change this certification information on board when States, or the relationship between the proposal in light of the comments we they fly outside the United States. This Federal Government and the States, or receive. rule is needed to ensure compliance on the distribution of power and Proprietary or Confidential Business with the ICAO Annex 16 that requires responsibilities among the various Information certain noise information be carried on levels of government, and, therefore, board. Under the proposed rule, each does not have federalism implications. Do not file in the docket information small entity would incur a one-time cost that you consider to be proprietary or of $21 per aircraft currently in its fleet. Environmental Analysis confidential business information. Send Operators may subsequently decide to FAA Order 1050.1E identifies FAA or deliver this information directly to purchase or modify aircraft affected by actions that are categorically excluded the person identified in the FOR FURTHER the proposed rule; if they do so, they from preparation of an environmental INFORMATION CONTACT section of this would incur an extra cost of $21 per assessment or environmental impact document. You must mark the airplane to comply. The FAA does not statement under the National information that you consider consider this a significant cost. Environmental Policy Act in the proprietary or confidential. If you send Therefore, the FAA certifies that this absence of extraordinary circumstances. the information on a disk or CD–ROM, proposed rule would not have a The FAA has determined this mark the outside of the disk or CD–ROM significant impact on a substantial rulemaking action qualifies for the and also identify electronically within number of small entities. The FAA categorical exclusion identified in the disk or CD–ROM the specific solicits comments regarding this paragraph 312f and involves no information that is proprietary or determination. extraordinary circumstances. confidential. Under 14 CFR 11.35(b), when we are International Trade Impact Assessment Regulations That Significantly Affect aware of proprietary information filed The Trade Agreements Act of 1979 Energy, Supply, Distribution, or Use with a comment, we do not place it in (Pub. L. 96–39) prohibits Federal The FAA has analyzed this NPRM the docket. We hold it in a separate file agencies from establishing any under Executive Order 13211, Actions to which the public does not have standards or engaging in related Concerning Regulations that access, and we place a note in the activities that create unnecessary Significantly Affect Energy Supply, docket that we have received it. If we
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receive a request to examine or copy demonstrate compliance with this part able to file electronically must send an this information, we treat it as any other and Part 36 of this chapter. original and 14 copies of their request under the Freedom of * * * * * comments to: Federal Energy Regulatory Information Act (5 U.S.C. 552). We Commission, Secretary of the Issued in Washington, DC on October 17, process such a request under the DOT 2008. Commission, 888 First Street, NE., procedures found in 49 CFR part 7. Washington, DC 20426. Carl Burleson, Availability of Rulemaking Documents Director, Office of Environment and Energy. FOR FURTHER INFORMATION CONTACT: Cory Lankford (Legal Information), Office of You can get an electronic copy of [FR Doc. E8–25271 Filed 10–22–08; 8:45 am] the General Counsel, Federal Energy rulemaking documents using the BILLING CODE 4910–13–P Regulatory Commission, 888 First Internet by— Street, NE., Washington, DC 20426, 1. Searching the Federal eRulemaking (202) 502–6711; Eddy Lim (Technical Portal (http://www.regulations.gov); DEPARTMENT OF ENERGY Information), Office of Electric 2. Visiting the FAA’s Regulations and Reliability, Division of Reliability Policies Web page at http:// Federal Energy Regulatory Standards, Federal Energy Regulatory www.faa.gov/regulations_policies/; or Commission Commission, 888 First Street, NE, 3. Accessing the Government Printing Washington, DC 20426, (202) 502–6713. Office’s Web page at http:// 18 CFR Part 40 www.gpoaccess.gov/fr/index.html. SUPPLEMENTARY INFORMATION: You can also get a copy by sending a [Docket No. RM08–11–000] 1. Pursuant to section 215 of the 1 request to the Federal Aviation Version Two Facilities Design, Federal Power Act, the Commission is Administration, Office of Rulemaking, Connections and Maintenance proposing to approve three revised ARM–1, 800 Independence Avenue, Reliability Standards Reliability Standards concerning SW., Washington, DC 20591, or by Facilities Design, Connections and calling (202) 267–9680. Make sure to Issued October 16, 2008. Maintenance (FAC) that were developed identify the docket number, notice AGENCY: Federal Energy Regulatory by the North American Electric number, or amendment number of this Commission, DOE. Reliability Corporation (NERC), which rulemaking. ACTION: Notice of proposed rulemaking. the Commission has certified as the You may access all documents the Electric Reliability Organization (ERO) FAA considered in developing this SUMMARY: Pursuant to section 215 of the responsible for developing and proposed rule, including economic Federal Power Act, the Commission is enforcing mandatory Reliability analyses and technical reports, from the proposing to approve three revised Standards. The three revised Reliability internet through the Federal Reliability Standards developed by the Standards, designated by NERC as FAC– eRulemaking Portal referenced in North American Electric Reliability 010–2, FAC–011–2 and FAC–014–2, set paragraph (1). Corporation (NERC), which the requirements for the development and communication of system operating List of Subjects in 14 CFR Part 91 Commission has certified as the Electric Reliability Organization responsible for limits of the Bulk-Power System for use Aircraft, Noise control, Reporting and developing and enforcing mandatory in the planning and operation recordkeeping requirements. Reliability Standards. The three revised horizons.2 Reliability Standards, designated by The Proposed Amendment I. Background NERC as FAC–010–2, FAC–011–2 and In consideration of the foregoing, the FAC–014–2, set requirements for the A. Mandatory Reliability Standards Federal Aviation Administration development and communication of 2. Section 215 of the FPA requires a proposes to amend chapter I of title 14, system operating limits of the Bulk- Commission-certified ERO to develop Code of Federal Regulations, as follows: Power System for use in the planning mandatory and enforceable Reliability and operation horizons. PART 91—GENERAL OPERATING AND Standards, which are subject to FLIGHT RULES DATES: Comments are due November 24, Commission review and approval. Once 2008. approved, the Reliability Standards may 1. The authority citation for part 91 ADDRESSES: Comments and reply be enforced by the ERO, subject to continues to read as follows: comments may be filed electronically Commission oversight, or by the Authority: 49 U.S.C. 106(g), 1155, 40103, via the eFiling link on the Commission’s Commission independently.3 40113, 40120, 44101, 44111, 44701, 44709, Web site at http://www.ferc.gov. 44711, 44712, 44715, 44716, 44717, 44722, Documents created electronically using B. NERC’s Proposed Version Two FAC 46306, 46315, 46316, 46504, 46506, 46507, word processing software should be Reliability Standards 47122, 47508, 47528–47531, articles 12 and filed in the native application or print- 29 of the Convention on International Civil 3. On November 15, 2006, NERC filed Aviation (61 stat 1180). to-PDF format and not in a scanned 20 revised Reliability Standards and 2. Section 91.703 is amended by format. This will enhance document three version one FAC Reliability adding paragraph (a)(5) to read as retrieval for both the Commission and Standards for Commission approval. follows: the public. The Commission accepts The Commission addressed the 20 most standard word processing formats revised Reliability Standards in Order § 91.703 Operations of civil aircraft of U.S. and commenters may attach additional registry outside of the United States. files with supporting information in 1 16 U.S.C. 824o (2006). (a) * * * certain other file formats. Attachments 2 The Commission is not proposing any new or (5) For aircraft subject to ICAO Annex that exist only in paper form may be modified text to its regulations. Rather, as set forth 16, carry on board the aircraft scanned. Commenters filing in 18 CFR Part 40, a proposed Reliability Standard will not become effective until approved by the documents that summarize the noise electronically should not make a paper Commission, and the ERO must post on its Web site operating characteristics and filing. Service of rulemaking comments each effective Reliability Standard. certifications of the aircraft that is not required. Commenters that are not 3 16 U.S.C. 824o(e)(3).
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No. 693 4 and established a separate conditions are more adverse than than studied’’ as a contingency.9 As we rulemaking proceeding to address the anticipated in the corresponding stated in Order No. 705, correcting for three version one FAC Reliability studies, e.g., load greater than studied.’’ load forecast error is not accomplished Standards, which require planning NERC asserted that a significant gap by treating the error as a contingency, authorities and reliability coordinators between actual and studied conditions but is addressed under other Reliability to establish methodologies to determine (such as a large error in load forecast) Standards.10 system operating limits (SOLs) for the could be treated as though it were a B. Cascading Outages Bulk-Power System in the planning and contingency under the version 1 of operation horizons. The Commission FAC–011–1 Reliability Standard. 11. With the version one FAC approved the version one FAC 7. In Order No. 705, the Commission Reliability Standards, NERC proposed to Reliability Standards in Order No. 705 disagreed with NERC’s reading of FAC– add the term ‘‘Cascading Outages’’ to its and directed the ERO to address certain 011–1, sub-Requirement R2.3.2 and glossary. In Order No. 705, the issues.5 interpretation of the phrase ‘‘load Commission noted that, although the 4. On June 30, 2008, in response to greater than studied.’’ 8 However, the glossary did not include a definition of the Commission’s directives in Order Commission found that the meaning of Cascading Outages, it included an No. 705, NERC submitted for Requirement R2.3 and sub-Requirement approved definition of Cascading, Commission approval three revised FAC R2.3.2 was not otherwise unclear. The which seemed to describe the same 6 Reliability Standards: FAC–010–2— Commission therefore approved FAC– concept. The Commission remanded System Operating Limits Methodology 011–1, but directed the ERO to revise NERC’s proposed definition of for the Planning Horizon, FAC–011–2— the Reliability Standard through the Cascading Outages because NERC did System Operating Limits Methodology Reliability Standards development not describe either the need for two definitions that seem to address the for the Operations Horizon, and FAC– process. The Commission suggested that same matter or the variations between 014–2—Establish and Communicate NERC could address the Commission’s the two. The Commission also raised System Operating Limits. NERC concern by deleting the phrase, ‘‘e.g., specific concerns with NERC’s proposed requests that FAC–010–2 be made load greater than studied.’’ effective on July 1, 2008, FAC–011–2 on definition of Cascading Outages. October 1, 2008, and FAC–014–2 on NERC Proposal However, the Commission allowed NERC to file a revised definition that January 1, 2009, consistent with the 8. NERC proposes to address the addresses the Commission’s concerns. implementation dates of version one of Commission’s concern with the phrase these Reliability Standards. ‘‘load greater than studied’’ by revising NERC Proposal II. Discussion FAC–011–1 to remove the phrase from 12. NERC states that it is not Requirement R2.3.2. NERC states that 5. As discussed below, NERC’s proposing a revised definition of because the phrase served as an proposed revisions to the FAC Cascading Outage. Instead, NERC example, its removal does not materially Reliability Standards preliminarily proposes to address the Commission’s change the requirement or the appear to be just and reasonable and concern by removing the term from the Reliability Standard. NERC’s proposed consistent with our direction in Order proposed FAC Reliability Standards. FAC–011–2 therefore omits the relevant No. 705. The Commission therefore NERC states that its Board of Trustees phrase. proposes to accept FAC–010–2, FAC– withdrew its approval of the term at its 011–2, and FAC–014–2 effective the Commission Proposal February 12, 2008 meeting. NERC latter of the effective date of the final further states that the drafting team 9. The Commission proposes to rule in this docket or NERC’s proposed reviewed the term Cascading Outage approve NERC’s proposed removal of effective dates.7 relative to the term Cascading, a term in the phrase ‘‘e.g., load greater than the approved NERC Glossary of Terms A. Load Greater Than Studied studied’’ from Requirement R2.3.2 of and indicated there were no intended 6. Requirement R2.3.2 of FAC–011–1 FAC–011–2. NERC’s revision in FAC– material differences in the terms. NERC provided that the system’s response to 011–2 appears reasonable and does not therefore removed the term Cascading a single contingency may include, inter appear to change or conflict with the Outage from the proposed FAC–010–2 alia, ‘‘[i]nterruption of other network stated requirements set forth in the and FAC–011–2 Reliability Standards customers, only if the system has version one Reliability Standards and replaced with it with the term already been adjusted, or is being approved in Order No. 705. NERC’s Cascading. revision therefore appears just, adjusted, following at least one prior Commission Proposal outage, or, if the real-time operating reasonable, not unduly discriminatory or preferential, and in the public 13. The Commission proposes to 4 Mandatory Reliability Standards for the Bulk- interest. approve NERC’s proposed removal of Power System, Order No. 693, 72 FR 16416, FERC 10. While NERC describes the phrase the term Cascading Outage from its FAC Stats. & Regs. ¶ 31,242, reh’g denied, Order No. ‘‘load greater than studied’’ as an Reliability Standards. NERC’s proposed 693–A, 120 FERC ¶ 61,053 (2007). example and states that its removal does revisions to FAC–010–2 and FAC–011– 5 Facilities Design, Connections and Maintenance 2 appear reasonable and do not appear Reliability Standards, Order No. 705, 73 FR 1770 not materially change the requirement, (Jan. 9, 2008), 121 FERC ¶ 61,296 (2007). the Commission notes that Order No. to change or conflict with the stated 6 NERC designates the version number of a 705 found that the operating conditions requirements set forth in the version one Reliability Standard as the last digit of the referred to in sub-Requirement R2.3.2 Reliability Standard number. Therefore, version one are exacerbating circumstances that are 9 Id. P 69. Reliability Standards end with ‘‘–1’’ and version 10 Id. P 68. For instance, we stated that two Reliability Standards end with ‘‘–2.’’ distinct from the actual contingency to ‘‘transmission operators are required to modify their 7 Reliability Standards cannot become effective be addressed that is referred to in plans whenever they receive information or before the effective date of a Commission order Requirement R2.3. We stated that this forecasts that are different from what they used in approving them. See, e.g., Mandatory Reliability did not support treating ‘‘load greater their present plans. Furthermore, variations in Standards for Critical Infrastructure Protection, weather forecasts that result in load forecast errors Order No. 706, 73 FR 7368 at n.190 (Feb. 7, 2008), are more properly addressed through operating 122 FERC ¶ 61,010 (2008). 8 Order No. 705, 121 FERC ¶ 61,296 at P 70. reserve requirements.’’ Id.
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Reliability Standards approved in Order team has already proposed a definition approved in Order No. 693.18 In that No. 705. NERC’s revisions therefore for the term to be presented for approval order, the Commission offered four appear just, reasonable, not unduly for inclusion in NERC’s Glossary of guidelines for evaluating the validity of discriminatory or preferential, and in Terms.14 NERC states that this approach the violation severity levels, and the public interest. will provide the clarity needed. ordered a number of reports and further compliance filing to bring the remainder C. Loss of Consequential Load Commission Proposal of NERC’s violation severity levels into 14. Requirement R2.3 of FAC–010–1 17. The Commission proposes to compliance with the Commission’s provided that the system’s response to allow the ERO to address revisions to guidelines. The four guidelines are: (1) a single contingency may include, inter the term ‘‘loss of consequential load’’ in Violation severity level assignments alia, ‘‘planned or controlled the modification being made to the TPL should not have the unintended interruption of electric supply to radial Reliability Standards. Such revisions consequence of lowering the current customers or some local network should be consistent with the level of compliance; (2) violation customers connected to or supplied by Commission’s prior determinations in severity level assignments should the Faulted Facility or by the affected Order Nos. 693 and 705.15 The ensure uniformity and consistency area.’’ 11 In response to a question raised Commission finds that FAC–010–2 and among all approved Reliability by the Commission, NERC clarified that FAC–011–2 are clearly understood as Standards in the determination of the provision in FAC–010–1, written and clarified in Order No. 705, penalties; (3) violation severity level Requirement R2.3 is limited to loss of including its holding with respect to assignments should be consistent with load that is directly connected to the ‘‘loss of consequential load,’’ 16 and that the corresponding requirement; and (4) facilities removed from service as a NERC’s proposal to deal with ‘‘loss of violation severity level assignments direct result of the contingency, i.e., consequential load’’ in a more-related should be based on a single violation, consequential load loss. project is appropriate. not a cumulative number of 15. In Order No. 705, the Commission D. Violation Severity Levels violations.19 The Commission found reiterated its holding that addressed that these guidelines will provide a similar language on loss of load in Order 18. In the event of a violation of a consistent and objective means for No. 693, regarding Reliability Standard Reliability Standard, NERC will assessing, inter alia, the consistency, TPL–002–0. In Order No. 693, the establish the initial value range for the fairness and potential consequences of Commission noted that ‘‘allowing for corresponding base penalty amount. To violation severity level assignments. the 30 minute system adjustment do so, NERC will assign a violation risk The Commission noted that these period, the system must be capable of factor for each requirement of a guidelines were not intended to replace withstanding an N–1 contingency, with Reliability Standard that relates to the NERC’s own guidance classifications, load shedding available to system expected or potential impact of a but rather, provide an additional level of operators as a measure of last resort to violation of the requirement on the analysis to determine the validity of prevent cascading failures.’’ 12 Order reliability of the Bulk-Power System. In violation severity level assignments. No. 693 directed the ERO to clarify the addition, NERC will define up to four planning Reliability Standard TPL–002– violation severity levels—Lower, NERC Proposal 0 accordingly. The Commission reached Moderate, High and Severe—as 21. NERC states that it developed a the same conclusion in Order No. 705. measurements for the degree to which full suite of violation severity levels for In Order No. 705, the Commission the requirement was violated in a FAC–010–2, FAC–011–2 and FAC–014– approved Reliability Standard FAC– specific circumstance. 2. NERC notes that it developed these 010–1, Requirement R2.3 and directed 19. In Order No. 705, the Commission violation severity levels prior to the the ERO to ensure that the clarification approved 63 of NERC’s 72 proposed issuance of the Violation Severity Level developed in response to Order No. 693 violation risk factors and directed NERC Order.20 NERC requests that the is made to the FAC Reliability to file violation severity level 13 Commission accept its violation severity Standards as well. assignments before the version one FAC levels for the version two FAC NERC’s Proposal Reliability Standards become Reliability Standards even though it has effective.17 Subsequently, NERC 16. NERC suggests that the revisions not yet assessed their validity using the developed violation severity levels for four new guidelines established in the to the term ‘‘loss of consequential load’’ each requirement of Reliability are best addressed in the modifications Violation Severity Level Order. NERC Standard, as measurements for the states that it is committed to assessing being made to the transmission degree to which the requirement was planning (TPL) family of Reliability the violation severity levels for the violated in a specific circumstance. revised FAC Reliability Standards in the Standards in its Project 2006–02 Assess 20. On June 19, 2008, the Commission Transmission Future Needs and six-month compliance filing required by issued an order approving the violation the Violation Severity Level Order.21 Develop Transmission Plans. NERC severity level assignments filed by reiterates its position that the TPL NERC for the 83 Reliability Standards Reliability Standards define acceptable 18 North American Electric Reliability Corp., 123 FERC ¶ 61,284 (2008) (Violation Severity Level system performance response and serve 14 On August 14, 2007, the Reliability Standards Order). NERC had not, at that time, submitted as the foundation for the FAC family of drafting team posted for comment a draft of violation severity levels for the FAC Reliability Reliability Standards. NERC states that Reliability Standard TPL–001–1. NERC, Draft 2 Standards at issue in this proceeding. the term ‘‘loss of consequential load’’ is TPL–001–1, Transmission System Planning 19 Id. P 17. Performance Requirements Posted for 45-day 20 NERC June 30, 2008 Filing, Docket No. RM07– intrinsic to the scope of Project 2006– Comment Period, Project 2006–02, at 2 (2008), 02. According to NERC, the drafting 3–000 at 5. available at: http://www.nerc.com/filez/standards/ 21 Id. (citing Violation Severity Level Order, 123 Assess-Transmission-Future-Needs.html. FERC ¶ 61,284 at P 42 (requiring NERC, within six 11 Identical language appears in FAC–011–1, 15 See Order No. 705, 121 FERC ¶ 61,296 at P 53; months from the issuance of the Violation Severity Requirement R2.3 Order No. 693, FERC Stats. & Regs. ¶ 31,242 at P Level Order, to conduct a review of the approved 12 Order No. 693, FERC Stats. & Regs. ¶ 31,242 at 1788 & n.461. violation severity levels pursuant to the P 1788. 16 See id. P 53. Commission guidelines, and submit a compliance 13 Order No. 705, 121 FERC ¶ 61,296 at P 53. 17 Order No. 705, 121 FERC ¶ 61,296 at P 137. filing)).
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NERC did not submit violation risk levels proposed for FAC–010–2 Reliability Standards. By contrast, factors for these version two FAC Requirement R1. This uniformity will NERC’s proposed violation severity Reliability Standards. assist in the compliance and levels are based on multiple enforcement of these standards because Commission Proposal inconsistent SOLs. The Commission’s it is logical that nearly identical fourth guideline for evaluating violation 22. The Commission proposes to requirements have nearly identical severity levels makes clear that violation approve, with modification, NERC’s violation severity level structures. severity level assignments should be proposed violation severity levels for 25. NERC submitted violation severity based on a single violation, not on a FAC–010–2, FAC–011–2 and FAC–014– levels for Requirement R2 of FAC–010– cumulative number of violations. To 2. While we appreciate that NERC 2 and Requirement R2 of FAC–011–2. In remedy this deficiency, the Commission assigned its proposed violation severity Order No. 705, the Commission found proposes to direct the ERO to modify its levels before the Commission that Requirement R2 of FAC–010–1 and violation severity levels for FAC–014– established the four guidelines for Requirement R2 of FAC–011–1, without 02 Requirements R1 through R4 based evaluating the validity of the violation their sub-requirements, include no on the percentage of deviation from the severity levels, we find that NERC’s required performance or outcome.22 As SOL methodology for each violation. proposed violation severity levels such, no violation severity levels need would not meet our guidelines. We to be assigned to these requirements. 28. Requirement R6 of FAC–014–2 therefore propose the following The Commission therefore proposes to requires the planning authority to modifications to the violation severity delete the proposed violation severity identify the subset of multiple levels to form a complete set of violation levels for Requirement R2. contingencies (if any), from Reliability severity levels in this NOPR. We note 26. As proposed by NERC, Standard TPL–003 that result in that NERC has committed to assessing Requirement R3 of FAC–011–2 is stability limits. However, the proposed the violation severity levels in the assigned a ‘‘Severe’’ violation severity violation severity levels for Requirement compliance filing required by the level if the reliability coordinator’s R6 of FAC–014–2 do not identify a Violation Severity Level Order. Our methodology for determining SOLs is situation where the planning authority proposals here do not preclude NERC missing a description of three or more fails to provide a complete subset of from including an assessment of its FAC of the sub-requirements ranging from contingencies to the reliability violation severity levels in its six-month R3.1 to R3.7. At the same time, NERC coordinator. This omission could result evaluation, and we encourage NERC to assigns a ‘‘High’’ violation severity level in the reliability coordinator not having do so. If, however, NERC does not if the reliability coordinator’s the information it needs for its include an assessment of its FAC methodology for determining SOLs situational awareness of exceeding SOLs violation severity levels in its six-month includes a description for all but three and IROLs that impact the reliable evaluation, the Commission proposes to sub-requirements within the same operation of the Bulk-Power System. direct the ERO to submit an assessment range. Therefore, if a reliability The Commission therefore proposes to of the FAC violation severity levels coordinator’s methodology for direct the ERO to add the following within six months of the effective date determining SOLs is missing a ‘‘Lower’’ violation severity level: ‘‘The of the Final Rule in this docket. description of three sub-requirements, it Planning Authority failed to provide a 23. As drafted, some of NERC’s could be assigned both a ‘‘High’’ and a complete subset of contingencies to the proposed violation severity levels do ‘‘Severe’’ violation severity level. To reliability coordinator in accordance not meet the Commission’s guidelines eliminate this overlap, the Commission with R6.’’ The Commission also established in the Violation Severity proposes to direct the ERO to assign a proposes to direct the ERO to reassign Level Order. Of the violation severity ‘‘Severe’’ violation severity level to NERC’s current ‘‘Lower’’ violation levels submitted by NERC, FAC–010–2 Requirement R3 of FAC–011–2 where severity level as the new ‘‘Moderate’’ Requirements R1, R3, R4 and R5; FAC– the reliability coordinator is missing a violation severity level to emphasize the 011–2 Requirement R4; and FAC–014– description of four or more sub- 2 Requirement R5 are consistent with need to notify the reliability requirements R3.1 to R3.7 from its 23 the Commission violation severity level methodology for determining SOLs. coordinator. The revisions proposed guidelines and only minor edits are 27. Requirements R1 through R4 of here would make the violation severity proposed for clarity. The Commission FAC–014–2 address the development of level assignments for Requirement R6 therefore proposes to approve modified SOLs and IROLs consistent with the consistent with NERC’s own guidelines violation severity levels that are methodologies outlined in FAC–010–2 for the development of violation consistent with our guidelines. and FAC–011–2. NERC proposes to severity levels related to communication 24. The Commission is concerned assign violation severity levels to these or coordination requirements.24 with several of the proposed violation requirements based on a quartile 29. The Commission has directed severity levels and proposes division of the total number of NERC to develop violation severity modifications. For example, as proposed inconsistencies between the assigned levels for each requirement and sub- by NERC, it is difficult to discern which SOLs and the SOLs that would be requirement of each Reliability conditions trigger which violation produced using the methodologies severity level assigned to FAC–010–2 outlined in FAC–010–2 and FAC–011– 23 NERC did not propose a ‘‘Moderate’’ violation Requirement R4. The Commission 2. For example, NERC proposes to severity level for requirement R6. therefore proposes to direct the ERO to assign a ‘‘Lower’’ violation severity level 24 NERC, Violation Severity Level Guidelines make modifications to clarify those where 1 to 25 percent of SOLs are Criteria, Project 2007–23 at 19 (2008), available at: http://www.nerc.com/docs/standards/sar/ conditions without changing the inconsistent with the applicable entity’s VSLDT_Guidelines_Final_Draft_08Jan08.pdf. The substance of the violation severity SOL methodology. The Commission NERC Guidelines indicate that a Moderate violation levels. The Commission also proposes to believes that each time a SOL is severity level should be selected when the direct the ERO to modify the violation inconsistent with the applicable entity’s responsible entity’s coordination/communication is non-compliant with respect to at least one severity levels assigned to FAC–011–2 SOL methodology, it is a violation of the significant element within the requirement. In this Requirement R1 to make them case, the significant element is the failure to notify consistent with the violation severity 22 Order No. 705, 121 FERC ¶ 61,296 at P 159. the Reliability Coordinator.
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Standard.25 NERC did not propose any direct the ERO to apply those same to the Reliability Standards are minor; violation severity level assignments for violation risk factors to the version two therefore, they do not add to or increase sub-requirements. The Commission FAC Reliability Standards approved in entities’ reporting burden. Thus, the therefore proposes to direct the ERO to the Final Rule in this proceeding. modified Reliability Standards do not assign binary violation severity levels materially affect the burden estimates E. Western Interconnection Regional for all of the proposed sub- Differences relating to the earlier version of the requirements.26 In Order No. 705, the Reliability Standards presented in Order Commission found that the binary 32. Although NERC submitted No. 705. approach is appropriate for certain requirements for FAC–010–2 and FAC– Title: Version Two Facilities Design, violation severity level assignments.27 011–2 that address the Western Connections and Maintenance In this instance, the binary approach is Interconnection regional difference, Reliability Standards. appropriate because the violation NERC did not submit violation severity Action: Proposed Collection. severity level of the base requirement is levels or violation risk factors for these OMB Control No.: established by whether a sub- requirements. In Order No. 705, the Respondents: Businesses or other for- requirement is violated or not, not to Commission approved version one of profit institutions; not-for-profit what extent a sub-requirement is the FAC Reliability Standards and institutions. violated. Thus, the proposed binary directed WECC to develop and submit Frequency of Responses: On requirements satisfy guideline three, violation risk factors and violation Occasion. which calls for consistency between the severity levels that are applicable to the Necessity of the Information: This violation severity level assignments and Western Interconnection regional NOPR proposes to approve three their corresponding requirements. For difference.30 The Commission directed modified Reliability Standards that example, FAC–010–2 Requirement R1.1 WECC to file its violation risk factors pertain to facilities design, connections states that the planning authority’s SOL and violation severity levels no later and maintenance. The Reliability methodology shall ‘‘[b]e applicable for than the effective date of the applicable Standards will require planning developing SOLs used in the planning Reliability Standard. FAC–010–1 authorities and reliability coordinators horizon.’’ 28 NERC did not propose any became effective on July 1, 2008 and to establish methodologies to determine violation severity levels for this sub- FAC–011–1 will become effective on system operating limits (SOLs) for the requirement, therefore the Commission October 1, 2008. To remedy this Bulk-Power System in the planning and proposes a binary severe violation deficiency, the Commission offers operation horizons. This NOPR severity level that would be triggered proposed modifications to the violation proposes to find the Reliability when the planning authority SOL severity level assignments assigned to Standards and interpretations just, methodology is not applicable for FAC–010–2 and FAC–011–2 that reasonable, not unduly discriminatory developing SOLs in the planning address the Western Interconnection or preferential, and in the public horizon. This binary approach for sub- regional differences. The Commission’s interest. requirements provides clear criteria to proposed modifications are included in 34. Interested persons may obtain determine a violation of the sub- Attachment A to this order. Consistent information on the reporting requirement. The Commission took a with our decision in Order No. 705, the requirements by contacting: Federal similar approach to the sub- Commission proposes to direct WECC to Energy Regulatory Commission, Attn: requirements applicable to the WECC apply the NERC violation risk factors to Michael Miller, Office of the Executive regional differences. the Western Interconnection regional Director, 888 First Street, NE. 30. The complete set of the difference until after WECC develops its Washington, DC 20426, Tel: (202) 502– Commission’s proposals is included in own and they are approved by the ERO 8415, Fax: (202) 273–0873, e-mail: Attachment A to this order. The and the Commission.31 We note that [email protected], or by Commission proposes to direct the ERO WECC is still obligated to comply with contacting: Office of Information and to file the revised violation severity the Commission’s directives in Order Regulatory Affairs, Attn: Desk Officer levels within 30 days of the Final Rule No. 705 to file violation risk factors and for the Federal Energy Regulatory in this proceeding. violation severity levels addressing the Commission (Re: OMB Control No. 31. Finally, the Commission notes Western Interconnection regional 1902–0244), Washington, DC 20503, that NERC did not submit violation risk difference. Tel: (202) 395–4650, Fax: (202) 395– factors for the version two FAC 7285, e-mail: III. Information Collection Statement Reliability Standards. In Order No. 705, [email protected]. the Commission approved the majority 33. The Office of Management and of NERC’s proposed violation risk Budget (OMB) regulations require that IV. Environmental Analysis factors for the version one FAC OMB approve certain reporting and 35. The Commission is required to Reliability Standards.29 On April 1, recordkeeping (collections of prepare an Environmental Assessment 2008, NERC filed revised violation risk information) imposed by an agency.32 or an Environmental Impact Statement factors for the version one FAC The information contained here is also for any action that may have a Reliability Standards. These were subject to review under section 3507(d) significant adverse effect on the human accepted by delegated authority on May of the Paperwork Reduction Act of environment.34 The Commission has 29, 2008. The Commission proposes to 1995.33 As stated above, the categorically excluded certain actions Commission previously approved, in from this requirement as not having a 25 North American Electric Reliability Corp., 119 Order No. 705, each of the Reliability significant effect on the human FERC ¶ 61,248, order on clarification, 120 FERC Standards that are the subject of the ¶ 61,239 (2007). environment. Included in the exclusion 26 Binary requirements of Reliability Standards current rulemaking. The modifications are rules that are clarifying, corrective, define compliance in terms of ‘‘pass’’ or ‘‘fail.’’ or procedural or that do not 27 Order No. 705, 121 FERC ¶ 61,296 at P 24. 30 Id. P 146. 28 NERC June 30, 2008 Filing, Docket No. RM07– 31 Id. 34 Regulations Implementing the National 3–000 ex. A. 32 5 CFR 1320.11. Environmental Policy Act of 1969, Order No. 486, 29 Order No. 705, 121 FERC ¶ 61,296 at P 137. 33 44 U.S.C. 3507(d). FERC Stats. & Regs. ¶ 30,783 (1987).
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substantially change the effect of the Commission, 888 First Street, NE., additional public hearing on its regulations being amended.35 The Washington, DC 20426. proposed rule to amend the existing actions proposed herein fall within this 40. All Comments will be placed in metal and nonmetal standards for the categorical exclusion in the the Commission’s public files and may possession and use of intoxicating Commission’s regulations. be viewed, printed, or downloaded beverages and narcotics and make the remotely as described in the Document V. Regulatory Flexibility Act new standard applicable to all mines. Availability section below. Commenters The proposed rule would also require 36. The Regulatory Flexibility Act of on this proposal are not required to those who violate the prohibitions to be 1980 (RFA) 36 generally requires a serve copies of their comments on other removed from the performance of safety- description and analysis of final rules commenters. sensitive job duties until they that will have a significant economic VII. Document Availability successfully complete the recommended impact on a substantial number of small treatment and their alcohol- and drug- entities. The RFA mandates 41. In addition to publishing the full free status is confirmed by a return-to- consideration of regulatory alternatives text of this document in the Federal duty test. that accomplish the stated objectives of Register, the Commission provides all DATES: All comments must be received interested persons an opportunity to a proposed rule and that minimize any by midnight Eastern Daylight Savings significant economic impact on a view and/or print the contents of this document via the Internet through Time on November 10, 2008. substantial number of small entities. MSHA will hold a public hearing on FERC’s Home Page (http://www.ferc.gov) The Small Business Administration’s October 28, 2008. The SUPPLEMENTARY and in FERC’s Public Reference Room Office of Size Standards develops the INFORMATION section of this notice during normal business hours (8:30 a.m. numerical definition of a small includes details of the hearing. business. (See 13 CFR 121.201). For to 5 p.m. Eastern time) at 888 First ADDRESSES: Comments must be clearly electric utilities, a firm is small if, Street, NE., Room 2A, Washington, DC identified with ‘‘RIN 1219–AB41’’ and including affiliates, it is primarily 20426. may be sent by any of the following engaged in the transmission, generation 42. From FERC’s Home Page on the methods: and/or distribution of electric energy for Internet, this information is available on (1)Federal e-Rulemaking Portal: sale and its total electric output for the eLibrary. The Full text of this document http://www.regulations.gov. Follow the preceding twelve months did not exceed is available on eLibrary in PDF and Microsoft Word format for viewing, instructions for submitting comments. four million megawatt hours. The RFA (2) Electronic mail: zzMSHA- is not implicated by this Final Rule printing, and/or downloading. To access this document in eLibrary, type the [email protected]. Include ‘‘RIN 1219– because the minor modifications and AB41’’ in the subject line of the interpretations discussed herein will not docket number excluding the last three digits of this document in the docket message. have a significant economic impact on (3) Facsimile: 202–693–9441. Include a substantial number of small entities. number field. 43. User assistance is available for ‘‘RIN 1219–AB41’’ in the subject line of VI. Comment Processing eLibrary and the Commission’s Web site the message. (4) Regular Mail: MSHA, Office of 37. The Commission invites interested during normal business hours. For Standards, Regulations, and Variances, persons to submit comments on the assistance, please contact the 1100 Wilson Boulevard, Room 2350, matters and issues proposed in this Commission’s Online Support at 1–866– 208–3676 (toll free) or (202) 502–6652 Arlington, Virginia 22209–3939. notice to be adopted, including any (5) Hand Delivery or Courier: MSHA, related matters or alternative proposals (e-mail at [email protected]), or the Public Reference Room at (202) Office of Standards, Regulations, and that commenters may wish to discuss. Variances, 1100 Wilson Boulevard, Comments are due November 24, 2008. 502–8371, TTY (202) 502–8659 (e-mail at [email protected]). Room 2350, Arlington, Virginia. Sign in Comments must refer to Docket No. at the receptionist’s desk on the 21st RM08–11–000, and must include the By direction of the Commission. floor. commenters’ name, the organization Nathaniel J. Davis, Sr., Comments can be accessed they represent, if applicable, and their Deputy Secretary. electronically at http://www.msha.gov address in their comments. [FR Doc. E8–25051 Filed 10–22–08; 8:45 am] under the Rules and Regs link. MSHA 38. The Commission encourages BILLING CODE 6717–01–P will post all comments on the Internet comments to be filed electronically via without change, including any personal the eFiling link on the Commission’s information provided. Web site at http:/www.ferc.gov. The DEPARTMENT OF LABOR Comments may also be reviewed at Commission accepts most standard the Office of Standards, Regulations, word processing formats. Documents Mine Safety and Health Administration and Variances, 1100 Wilson Boulevard, created electronically using word Room 2350, Arlington, Virginia. Sign in processing software should be filed in 30 CFR Parts 56, 57, and 66 at the receptionist’s desk on the 21st the native application or print-to-PDF floor. format and not in a scanned format. RIN 1219–AB41 Commenters filing electronically should FOR FURTHER INFORMATION CONTACT: Alcohol- and Drug-Free Mines: Policy, not make a paper filing. Service of Patricia W. Silvey, Prohibitions, Testing, Training, and rulemaking comments is not required. [email protected] (E-mail), 202– Assistance 39. Commenters that are not able to 693–9440 (Voice). file comments electronically must send AGENCY: Mine Safety and Health SUPPLEMENTARY INFORMATION: an original and 14 copies of their Administration (MSHA), Labor. I. Background comments to: Federal Energy Regulatory ACTION: Proposed rule; notice of public Commission, Secretary of the hearing; extension of comment period. On September 8, 2008 (73 FR 52136), MSHA published a proposed rule in the 35 18 CFR 380.4(a)(2)(ii). SUMMARY: The Mine Safety and Health Federal Register that would amend the 36 5 U.S.C. 601–12. Administration (MSHA) will hold an existing metal and nonmetal standards
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concerning the use of intoxicating duties and their supervisors, and Birmingham, AL, Beckley, WV, beverages and narcotics and would referrals for assistance for miners and Madisonville, KY, and Price, UT. In make the new standard applicable to all supervisors who violate the policy. The response to further requests, MSHA is mines. On September 26, 2008 (73 FR proposed rule would also require those holding an additional hearing. 55800), MSHA published a document who violate the prohibitions to be extending the comment period. The removed from the performance of safety- II. Public Hearing proposed rule would designate the sensitive job duties until they MSHA will hold a public hearing on substances that cannot be possessed on successfully complete the recommended the proposed rule. The public hearing mine property or used while performing treatment and their alcohol- and drug- will begin at 9 a.m. Eastern Daylight safety-sensitive job duties, except when free status is confirmed by a return-to- used according to a valid prescription. duty test. Savings Time (EDST). Persons can make Mine operators would be required to MSHA held a public hearing on presentations via audio at three establish an alcohol- and drug-free mine October 14, 2008 and persons made locations. The hearing will end at 5 p.m. program, which includes a written presentations via Webcast in EDST, or after the last speaker speaks. policy, employee education, supervisory Washington, DC, Pittsburgh, PA, and The hearing will be held on the training, alcohol- and drug-testing for Englewood, CO. Additionally, persons following date at the locations and times miners that perform safety-sensitive job made presentations via audio in indicated:
Date Location Contact information
October 28, 2008 ...... Via Audio: 9:00 a.m. Eastern Daylight Savings Time. The National Mine Office of Standards, Regulations and Health and Safety Academy, 1301 Airport Road, Beckley, WV 25813. Variances, 202–693–9440. October 28, 2008 ...... Via Audio: 8:00 a.m. Central Daylight Savings Time. Sheraton Birmingham Office of Standards, Regulations and Hotel, 2101 Richard Arrington Jr. Blvd. N, Medical Forum Auditorium, Variances, 202–693–9440. Birmingham, Alabama 35203. October 28, 2008 ...... Via Audio: 8:00 a.m. Central Daylight Savings Time. United Steelworkers Office of Standards, Regulations and Local Union #1938, 307 First Street North, Virginia, Minnesota 55792. Variances, 202–693–9440.
The MSHA panel will be located at the persons making same-day requests to Daylight Savings Time on November 10, Agency’s Arlington headquarters at speak. Same-day requestors will speak 2008. 1100 Wilson Boulevard, 25th floor in in the order that they sign in at the Dated: October 20, 2008. Arlington, Virginia. Persons will need hearing. At the discretion of the Richard E. Stickler, an ID to enter all locations and may be presiding official, the time allocated to Acting Assistant Secretary for Mine Safety subject to a security check. each speaker for their presentation may and Health. The hearing will begin with an be limited. Speakers and other attendees opening statement from MSHA, [FR Doc. E8–25380 Filed 10–21–08; 11:15 may also present information to the am] followed by an opportunity for members MSHA panel for inclusion in the BILLING CODE 4510–43–P of the public to make oral presentations. rulemaking record. Requests to speak at the hearing should The hearing will be conducted in an be made prior to the hearing date. informal manner. Formal rules of LIBRARY OF CONGRESS Requests to speak may be made by evidence and cross examination will not telephone (202–693–9440), facsimile apply. The hearing panel may ask Copyright Office (202–693–9441), electronic mail questions of speakers. Speakers may ask [email protected] or mail questions of the hearing panel. MSHA 37 CFR Part 201 (MSHA, Office of Standards, will make a transcript of the hearing, Regulations, and Variances, 1100 post it on MSHA’s Web site http:// [Docket No. RM 2008–9] Wilson Boulevard, Room 2350, www.msha.gov, and include it in the Arlington, Virginia 22209–3939). rulemaking record. A link to the Fees Because members of the public will be complete audio recording will be placed Correction able to make oral presentations via on MSHA’s Web site several days after audio at several locations, for the hearing. In proposed rule document E8–24269 scheduling purposes, MSHA strongly MSHA will accept post-hearing beginning on page 60658 in the issue of encourages all parties wishing to speak written comments and data for the Tuesday, October 14, 2008, make the to notify the Agency in advance. record from any interested party, following correction: Any unallocated time at the end of the including those not presenting oral On page 60661, the table is corrected hearing will be made available to statements, by midnight Eastern in part as follows:
Proposed Registration, recordation, and related services Current fees fees
*******
Special Services
(1) Service charge for deposit account overdraft ...... $150 $165 (2) Service charge for dishonored deposit account replenishment check ...... 75 85 (3) Service charge for an uncollectible or non-negotiable check 1 ...... N/A 25 (4) Appeals:
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Proposed Registration, recordation, and related services Current fees fees
(i) First appeal ...... 250 250 Additional claim in related group ...... 25 25 (ii) Second appeal ...... 500 500 Additional claim in related group ...... 25 25 (5) Secure test processing charge (per hour) ...... 150 165 (6) Copying of Copyright Office records by staff: Photocopy (b & w, 81⁄2 x 11) (per page, minimum $12) ...... 0 .50 0.50 Photocopy (b & w, 11 x 17) (per page, minimum $12) ...... N/A 1 Photocopy (color, 81⁄2 x 11) (per page, minimum $12) ...... 1.50 2 Photocopy (color, 11 x 17) (per page, minimum $12) ...... N/A 4 Photograph (Polaroid) ...... 15 15 Photograph (digital) ...... 45 45 Slide ...... 3 3 Audiocassette (first 30 minutes) ...... 75 75 Additional 15 minute increments ...... 20 20 Videocassette (first 30 minutes) ...... 75 75 Additional 15 minute increments ...... 25 25 CD or DVD ...... 50 100 Zip or floppy disk ...... 100 100 (7) Special handling fee for a claim ...... 685 760 Each additional claim using the same deposit ...... 50 50 (8) Special handling fee for recordation of a document ...... 435 480 (9) Handling fee of extra deposit copy for certification ...... 45 45 (10) Full-term retention of a published deposit ...... 425 470 (11) Expedited search and report service (surcharge, per hour) ...... 400 445 (12) Expedited Records Research & Certification services (surcharge, per hour) ...... 240 265 (13) Notice to Libraries and Archives ...... 50 50 Each additional title ...... 20 20 (14) Fed Ex Service ...... 35 40 (15) Delivery of documents via facsimile (per page, 7 page maximum) ...... 1 1
Licensing Division Services
(1) Recordation of a Notice of Intention to Make and Distribute Phonorecords (17 U.S.C. 115) (single title) ...... 12 105 Additional titles (per group of 10 titles) ...... N/A 20 (2) Filing Fee for Recordation of Licensing Agreements under 17 U.S.C. 118 ...... 125 140 (3) Recordation of Certain Contracts by Cable Television Systems Located Outside the Forty-Eight Contiguous States ...... 50 50 (4) Initial Notice of Digital Transmission of Sound Recording (17 U.S.C. 114) ...... 20 25 Amendment of 17 U.S.C. 114 Notice ...... 20 25 (5) Statement of Account Amendment (Cable Television Systems and Satellite Carriers, 17 U.S.C. 111 and 119) .... 95 100 (6) Statement of Account Amendment (Digital Audio Recording Devices or Media, 17 U.S.C. 1003) ...... 95 100 (7) Photocopy made by staff (b & w) (per page, minimum $12) ...... 0 .50 0.50 (8) Search, per hour (minimum 1 hour) ...... 150 165 (9) Certification of Search Report ...... 150 165 1 New item; fee not currently listed in 37 CFR 201.3(d).
[FR Doc. Z8–24269 Filed 10–22–08; 8:45 am] published on October 10, 2008, that DATES: The meeting will be held on BILLING CODE 1505–01–D announced the scheduling of a November 6, 2008, from 8:30 a.m. to 4 November 6, 2008, public workshop to p.m. explain the provisions of its recently To request accommodation of a ENVIRONMENTAL PROTECTION proposed rule to update and revise the disability, please contact the person AGENCY data requirements for registration of listed under FOR FURTHER INFORMATON antimicrobial pesticides. EPA has CONTACT, preferably at least 10 days 40 CFR Parts 158 and 161 arranged for a web conference for those prior to the meeting, to give EPA as [EPA–HQ–OPP–2008–0110; FRL–8388–7] persons who cannot attend in-person much time as possible to process your the public workshop. The workshop is request. Pesticides; Data Requirements for intended to provide an opportunity for ADDRESSES: The meeting will be held at Antimicrobial Pesticides; Notice of members of the public to ask questions the Office of Pesticide Programs (OPP), Public Workshop about the proposed rule and seek any First Floor Conference Center, One AGENCY: Environmental Protection clarification they believe may assist Potomac Yard (South Bldg.), 2777 S. Agency (EPA). them in submitting comments to the Crystal Dr., Arlington, VA 22202. docket for the proposed rule. Any ACTION: Proposed rule; supplemental To facilitate the Agency’s planning, information about public workshop; person wishing to comment on the your intention to participate in the web availability of web conference. proposed rule must submit any conference for the Antimicrobials comments to the docket within the Workshop, may be submitted to the SUMMARY: This notice provides timeframe set forth in the Notice of person listed under FOR FURTHER supplemental information to the notice Proposed Rulemaking. INFORMATION CONTACT.
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FOR FURTHER INFORMATION CONTACT: II. Background starting at 8 a.m. on November 6, 2008. Amaris Johnson, Field and External EPA is convening a public workshop To access the web conference go to Affairs Division, Office of Pesticide to explain the proposed revisions to the http://portal.epa.gov/webconference, Programs, Environmental Protection data requirements for the registration of and complete the Join Conference box Agency, 1200 Pennsylvania Ave., NW., antimicrobial pesticides. Under the on the right of the screen using the Washington, DC 20460–0001; telephone Federal Insecticide, Fungicide, and following information: Conference ID: number: (703) 305–9542; fax number: Rodenticide Act (FIFRA) and the 309742 and Conference Key: 12345. (703) 305–5884; e-mail Federal Food, Drug, and Cosmetic Act Type in your full name and then select: address:[email protected]. (FFDCA), anyone seeking to register a Join Conference. For the audio portion call (866) 299–3188 and then use code pesticide product is required to provide SUPPLEMENTARY INFORMATION: 7033056304#. Additional information information to EPA to demonstrate that on web conferencing can be accessed I. General Information their products can be used without from the regulations.gov website under posing ‘‘unreasonable adverse effects on A. Does this Action Apply to Me? Docket ID number EPA–HQ–OPP–2008– the environment’’ as defined by FIFRA 0110. You may be affected by this action if section 2(bb). you are a producer of pesticide products The public workshop will include List of Subjects (NAICS 32532), antifoulants (NAICS presentations by staff from the 32551), antimicrobial pesticides (NAICS Antimicrobial, and the Field and Environmental protection, 32561) or wood preservatives (NAICS External Affairs Divisions of the Office Administrative practice and procedure, 32519), importers of such products, or of Pesticide Programs. The proposed Agricultural commodities, Pesticides any person or company who seeks to revisions are directed at antimicrobial and pests, Reporting and recordkeeping register an antimicrobial, antifoulant pesticides, not conventional pesticides, requirements. coating, ballast water treatment, or biochemical and microbial pesticides or Dated: October 17, 2008. wood preservative pesticide or to obtain product performance data requirements. Martha Monell, a tolerance for such a pesticide. This Nonetheless, all interested parties are listing is not intended to be exhaustive, welcome and may benefit from the Acting Director, Office of Pesticide Programs. but rather provides a guide for readers discussions since two areas not [FR Doc. E8–25350 Filed 10–22–08; 8:45 am] regarding entities likely to be affected by addressed in the conventional pesticide BILLING CODE 6560–50–S this action. Other types of entities not (72 FR 60934, October 26, 2007) (FRL– listed above could also be affected. The 8106–5), or biochemical and microbial North American Industrial pesticide (72 FR 60988, October 26, DEPARTMENT OF HOMELAND Classification System (NAICS) codes 2007) (FRL–8109–8) data requirements SECURITY have been provided to assist you and final rules are addressed in the Federal Emergency Management others in determining whether this antimicrobial data requirements Agency action might apply to certain entities. If proposed rule. These two areas are: you have any questions regarding the Down-the-drain data requirements and 44 CFR Part 67 applicability of this action to a the Program’s use of structure-activity- particular entity, please contact Norm relationship (SAR). [Docket No. FEMA–B–1013] Cook, Chief of the Risk Assessment and During the workshop, persons in Science Support Branch in the attendance will be able to ask questions Proposed Flood Elevation Antimicrobials Division of the Office of regarding the proposed rule and/or Determinations Pesticide Programs at (703) 308–8253 or material being presented and seek any AGENCY: Federal Emergency via email, [email protected]. clarification they believe may assist Management Agency, DHS. them in submitting comments to the B. How Can I Get Copies of this ACTION: Proposed rule. Document and Other Related docket for the proposed rule. Any Information? person wishing to comment on the SUMMARY: Comments are requested on proposed rule must submit any the proposed Base (1 percent annual- 1. Docket. EPA has established a comments to the docket within the chance) Flood Elevations (BFEs) and docket for this action under docket ID timeframe set forth in the Notice of proposed BFE modifications for the number EPA–HQ–OPP–2008–0110. Proposed Rulemaking. communities listed in the table below. Publicly available docket materials are The proposed revisions were issued The purpose of this notice is to seek available either in the electronic docket in the Federal Register of October 8, general information and comment athttp://www.regulations.gov, or, if only 2008 (73 FR 59382) (FRL–8358–2). A regarding the proposed regulatory flood available in hard copy, at the Office of 90–day comment period will end on elevations for the reach described by the Pesticide Programs (OPP) Regulatory January 6, 2008. The notice of the downstream and upstream locations in Public Docket in Rm. S–4400, One workshop was published on October 10, the table below. The BFEs and modified Potomac Yard (South Bldg.), 2777 S. 2008 (73 FR 60211) (FRL–8383–6). A BFEs are a part of the floodplain Crystal Dr., Arlington, VA 22202. The limited number of copies of the management measures that the hours of operation of this Docket proposed rule will be available at the community is required either to adopt Facility are from 8:30 a.m. to 4 p.m., workshop. Attendees are encouraged to or show evidence of having in effect in Monday through Friday, excluding legal access the electronic version of the order to qualify or remain qualified for holidays. The Docket Facility telephone proposed rule from the regulations.gov participation in the National Flood number is (703) 305–5805. website under Docket ID number EPA– Insurance Program (NFIP). In addition, 2. Electronic access. You may access HQ–OPP–2008–0110. these elevations, once finalized, will be this Federal Register document The Agency has arranged for a web used by insurance agents, and others to electronically through the EPA Internet conference to serve as an alternate calculate appropriate flood insurance under the ‘‘Federal Register’’ listings means of participating in the workshop. premium rates for new buildings and athttp://www.epa.gov/fedrgstr. You can join the web conference the contents in those buildings.
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DATES: Comments are to be submitted that the community must change any Regulatory Flexibility Act. As flood on or before January 21, 2009. existing ordinances that are more elevation determinations are not within ADDRESSES: The corresponding stringent in their floodplain the scope of the Regulatory Flexibility preliminary Flood Insurance Rate Map management requirements. The Act, 5 U.S.C. 601–612, a regulatory (FIRM) for the proposed BFEs for each community may at any time enact flexibility analysis is not required. community are available for inspection stricter requirements of its own, or Executive Order 12866, Regulatory at the community’s map repository. The pursuant to policies established by other Planning and Review. This proposed respective addresses are listed in the Federal, State, or regional entities. rule is not a significant regulatory action table below. These proposed elevations are used to under the criteria of section 3(f) of You may submit comments, identified meet the floodplain management Executive Order 12866, as amended. by Docket No. FEMA–B–1013, to requirements of the NFIP and are also Executive Order 13132, Federalism. William R. Blanton, Jr., Chief, used to calculate the appropriate flood This proposed rule involves no policies insurance premium rates for new Engineering Management Branch, that have federalism implications under buildings built after these elevations are Mitigation Directorate, Federal Executive Order 13132. Emergency Management Agency, 500 C made final, and for the contents in these Street, SW., Washington, DC 20472, buildings. Executive Order 12988, Civil Justice (202) 646–3151, or (e-mail) Comments on any aspect of the Flood Reform. This proposed rule meets the [email protected]. Insurance Study and FIRM, other than applicable standards of Executive Order the proposed BFEs, will be considered. 12988. FOR FURTHER INFORMATION CONTACT: A letter acknowledging receipt of any William R. Blanton, Jr., Chief, List of Subjects in 44 CFR Part 67 comments will not be sent. Engineering Management Branch, Administrative Procedure Act Administrative practice and Mitigation Directorate, Federal Statement. This matter is not a procedure, Flood insurance, Reporting Emergency Management Agency, 500 C rulemaking governed by the and recordkeeping requirements. Street, SW., Washington, DC 20472, Administrative Procedure Act (APA), 5 (202) 646–3151 or (e-mail) Accordingly, 44 CFR part 67 is U.S.C. 553. FEMA publishes flood proposed to be amended as follows: [email protected]. elevation determinations for notice and SUPPLEMENTARY INFORMATION: The comment; however, they are governed PART 67—[AMENDED] Federal Emergency Management Agency by the Flood Disaster Protection Act of (FEMA) proposes to make 1973, 42 U.S.C. 4105, and the National 1. The authority citation for part 67 determinations of BFEs and modified Flood Insurance Act of 1968, 42 U.S.C. continues to read as follows: BFEs for each community listed below, 4001 et seq., and do not fall under the Authority: 42 U.S.C. 4001 et seq.; in accordance with section 110 of the APA. Reorganization Plan No. 3 of 1978, 3 CFR, Flood Disaster Protection Act of 1973, National Environmental Policy Act. 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, 42 U.S.C. 4104, and 44 CFR 67.4(a). This proposed rule is categorically 3 CFR, 1979 Comp., p. 376. These proposed BFEs and modified excluded from the requirements of 44 BFEs, together with the floodplain CFR part 10, Environmental § 67.4 [Amended] management criteria required by 44 CFR Consideration. An environmental 2. The tables published under the 60.3, are the minimum that are required. impact assessment has not been authority of § 67.4 are proposed to be They should not be construed to mean prepared. amended as follows:
*Elevation in feet (NGVD) + Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** # Depth in feet above Communities affected ground Effective Modified
Graves County, Kentucky, and Incorporated Areas
Camp Creek ...... Approximately 2,000 feet upstream KY–348 ...... None +352 Graves County. Approximately 800 feet upstream Railroad ...... None +370 Kess Creek ...... At Paris Road ...... None +456 Graves County, City of Mayfield. Approximately 750 downstream of South 10th Street ...... None +470 Obion Creek...... Approximately 2,100 feet downstream Railroad (West None +378 Graves County. County Boundary). At US–45 ...... None +410
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Mayfield Maps are available for inspection at 211 East Broadway, Mayfield, KY 42066.
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*Elevation in feet (NGVD) + Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** # Depth in feet above Communities affected ground Effective Modified
Graves County Maps are available for inspection at 101 East South Street, Mayfield, KY 42066.
Cocke County, Tennessee, and Incorporated Areas
Clear Creek ...... Approximately 2.2 miles upstream of the confluence of None +1030 Unincorporated Areas of French Broad River. Cocke County. Approximately 927 feet upstream of the confluence of +1029 +1030 French Broad River. French Broad River/Douglas Approximately 4.7 miles downstream of U.S. Highway 25 None +1002 Unincorporated Areas of Lake. E. Cocke County. Approximately 1.5 miles upstream of the confluence of +1016 +1014 Pigeon River. Haney Branch ...... At the confluence of French Broad River ...... None +1010 Unincorporated Areas of Cocke County. Approximately 1,290 feet upstream of Wynn Way ...... None +1010 McCowan Creek ...... At the confluence of French Broad River ...... None +1002 Unincorporated Areas of Cocke County. Approximately 1.1 miles upstream of the confluence of None +1002 French Broad River. Nolichucky River ...... Approximately 1.2 miles upstream of Hale Road ...... None +1022 Unincorporated Areas of Cocke County. Approximately 1.1 miles upstream of Glendale Road ...... None +1044
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Unincorporated Areas of Cocke County Maps are available for inspection at Cocke County Courthouse, 111 Court Avenue, Rm 112, Newport, TN 37821.
Buffalo County, Wisconsin, and Incorporated Areas
Buffalo River ...... Approximately 7,700 feet downstream of the Eau Claire None +777 Unincorporated Areas of Street bridge. Buffalo County. Approximately 7,000 feet downstream of the Eau Claire None +777 Street bridge. Mississippi River ...... Approximately 4.8 miles downstream of State Highway +658 +657 City of Alma, City of Buffalo, 54. City of Fountain City, Un- incorporated Areas of Buf- falo County, Village of Cochrane, Village of Nel- son. Approximately 2.1 miles upstream of State Highway 25 .. +681 +680 Peeso Creek ...... Approximately 3,400 feet upstream of the Washington None +822 Unincorporated Areas of Street Bridge. Buffalo County. Approximately 4,200 feet upstream of the Washington None +825 Street Bridge.
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Alma Maps are available for inspection at City Hall, 314 North Main Street, Alma, WI 54610. City of Buffalo
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*Elevation in feet (NGVD) + Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation** # Depth in feet above Communities affected ground Effective Modified
Maps are available for inspection at Municipal Building, 245 East 10th Street, Buffalo City, WI 54622. City of Fountain City Maps are available for inspection at City Hall, 42 North Main Street, Fountain City, WI 54629. Unincorporated Areas of Buffalo County Maps are available for inspection at Buffalo County Courthouse, 407 South 2nd Street, Alma, WI 54610. Village of Cochrane Maps are available for inspection at Village Hall, 102 East 5th Street, Cochrane, WI 54622. Village of Nelson Maps are available for inspection at Village Hall, 105 South Main Street, Nelson, WI 54756.
(Catalog of Federal Domestic Assistance No. premium rates for new buildings and These proposed elevations are used to 97.022, ‘‘Flood Insurance.’’) the contents in those buildings. meet the floodplain management Dated: October 10, 2008. DATES: Comments are to be submitted requirements of the NFIP and are also Michael K. Buckley, on or before January 21, 2009. used to calculate the appropriate flood Acting Assistant Administrator, Mitigation ADDRESSES: The corresponding insurance premium rates for new Directorate, Department of Homeland preliminary Flood Insurance Rate Map buildings built after these elevations are Security, Federal Emergency Management (FIRM) for the proposed BFEs for each made final, and for the contents in these Agency. community are available for inspection buildings. [FR Doc. E8–25264 Filed 10–22–08; 8:45 am] at the community’s map repository. The Comments on any aspect of the Flood BILLING CODE 9110–12–P respective addresses are listed in the Insurance Study and FIRM, other than table below. the proposed BFEs, will be considered. You may submit comments, identified A letter acknowledging receipt of any DEPARTMENT OF HOMELAND by Docket No. FEMA–B–1012, to comments will not be sent. SECURITY William R. Blanton, Jr., Chief, Administrative Procedure Act Engineering Management Branch, Statement. This matter is not a Federal Emergency Management Mitigation Directorate, Federal rulemaking governed by the Agency Emergency Management Agency, 500 C Administrative Procedure Act (APA), 5 Street, SW., Washington, DC 20472, U.S.C. 553. FEMA publishes flood 44 CFR Part 67 (202) 646–3151, or (e-mail) elevation determinations for notice and [email protected]. comment; however, they are governed by the Flood Disaster Protection Act of [Docket No. FEMA–B–1012] FOR FURTHER INFORMATION CONTACT: 1973, 42 U.S.C. 4105, and the National William R. Blanton, Jr., Chief, Proposed Flood Elevation Flood Insurance Act of 1968, 42 U.S.C. Engineering Management Branch, Determinations 4001 et seq., and do not fall under the Mitigation Directorate, Federal APA. AGENCY: Federal Emergency Emergency Management Agency, 500 C National Environmental Policy Act. Management Agency, DHS. Street, SW., Washington, DC 20472, This proposed rule is categorically ACTION: Proposed rule. (202) 646–3151 or (e-mail) excluded from the requirements of 44 [email protected]. CFR part 10, Environmental SUMMARY: Comments are requested on SUPPLEMENTARY INFORMATION: The Consideration. An environmental the proposed Base (1 percent annual- Federal Emergency Management Agency impact assessment has not been chance) Flood Elevations (BFEs) and (FEMA) proposes to make prepared. proposed BFE modifications for the determinations of BFEs and modified Regulatory Flexibility Act. As flood communities listed in the table below. BFEs for each community listed below, elevation determinations are not within The purpose of this notice is to seek in accordance with section 110 of the the scope of the Regulatory Flexibility general information and comment Flood Disaster Protection Act of 1973, Act, 5 U.S.C. 601–612, a regulatory regarding the proposed regulatory flood 42 U.S.C. 4104, and 44 CFR 67.4(a). flexibility analysis is not required. elevations for the reach described by the These proposed BFEs and modified Executive Order 12866, Regulatory downstream and upstream locations in BFEs, together with the floodplain Planning and Review. This proposed the table below. The BFEs and modified management criteria required by 44 CFR rule is not a significant regulatory action BFEs are a part of the floodplain 60.3, are the minimum that are required. under the criteria of section 3(f) of management measures that the They should not be construed to mean Executive Order 12866, as amended. community is required either to adopt that the community must change any Executive Order 13132, Federalism. or show evidence of having in effect in existing ordinances that are more This proposed rule involves no policies order to qualify or remain qualified for stringent in their floodplain that have federalism implications under participation in the National Flood management requirements. The Executive Order 13132. Insurance Program (NFIP). In addition, community may at any time enact Executive Order 12988, Civil Justice these elevations, once finalized, will be stricter requirements of its own, or Reform. This proposed rule meets the used by insurance agents, and others to pursuant to policies established by other applicable standards of Executive Order calculate appropriate flood insurance Federal, State, or regional entities. 12988.
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List of Subjects in 44 CFR Part 67 PART 67—[AMENDED] 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, 3 CFR, 1979 Comp., p. 376. Administrative practice and procedure, Flood insurance, Reporting 1. The authority citation for part 67 § 67.4 [Amended] continues to read as follows: and recordkeeping requirements. 2. The tables published under the Accordingly, 44 CFR part 67 is Authority: 42 U.S.C. 4001 et seq.; authority of § 67.4 are proposed to be proposed to be amended as follows: Reorganization Plan No. 3 of 1978, 3 CFR, amended as follows:
* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above State City/town/county Source of flooding Location ** ground Existing Modified
City of Campbell, Ohio
Ohio ...... City of Campbell.... Mahoning River...... Approximately 1,400 feet upstream of None +827 Bridge Road. Approximately 7,700 feet upstream of None +831 Bridge Road. Approximately 2,700 feet downstream of None +833 Center Street. Approximately 2,000 feet downstream of None +833 Center Street.
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Campbell Maps are available for inspection at Administration and Finance Office, 351 Tenney Avenue, Campbell, OH 44405.
City of Radford, Virginia
Virginia ...... City of Radford ...... Plum Creek...... Approximately 300 feet downstream of +1738 +1739 U.S. Highway 11. Approximately at the upstream corporate +1768 +1782 limits for the City of Radford.
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Di- rectorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Radford Maps are available for inspection at City of Radford Engineering Department, 619 Second Street, Radford, VA 24141.
* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified
Hancock County, Illinois, and Incorporated Areas
Mississippi River ...... From the Hancock/Adams county boundary at River +495 +494 Unincorporated Areas of Mile 347.4; approximately 4 miles upstream of Lock Hancock County, City of and Dam No. 20. Dallas City, City of Ham- ilton, City of Nauvoo, City of Warsaw, Village of Pontoosuc. To the Hancock/Henderson county boundary at River +528 +529 Mile 390.85, approximately Oak Street in Dallas City.
* National Geodetic Vertical Datum.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) Location of referenced # Depth in feet above Flooding source(s) elevation ** ground Communities affected Effective Modified
+ North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Dallas City Maps are available for inspection at 261 Oak Street, P.O. Box 454, Dallas City, IL 62330. City of Hamilton Maps are available for inspection at Hamilton City Hall, 1010 Broadway Street, Hamilton, IL 62341. City of Nauvoo Maps are available for inspection at 60 North Bluff Street, P.O. Box 85, Nauvoo, IL 62354. City of Warsaw Maps are available for inspection at 210 North Fourth Street, P.O. Box 12, Warsaw, IL 62379. Unincorporated Areas of Hancock County Maps are available for inspection at 500 Main Street, P.O. Box 444, Carthage, IL 62321. Village of Pontoosuc Maps are available for inspection at Pontoosuc Village Hall, 200 Mustard Street, Pontoosuc, IL 62368.
Thurston County, Nebraska, and Incorporated Areas
Logan Creek ...... Approximately 2.20 miles downstream of State High- None +1318 Unincorporated Areas of way 94. Thurston County, Omaha Indian Tribe. Approximately 1.65 miles upstream of State Highway None +1332 94. Middle Creek ...... Approximately 0.81 mile downstream of Avenue B ...... None +1405 Unincorporated Areas of Thurston County, Village of Emerson, Winnebago Indian Tribe. Approximately 0.27 mile upstream of County Road 15 None +1425 Unnamed Tributary to Approximately 0.75 mile upstream of State Highway 9 None +1333 Unincorporated Areas of Logan Creek. Thurston County, Omaha Indian Tribe. Approximately 0.30 mile upstream of State Highway 9 None +1347 Unnamed Tributary to Mid- Approximately 530 feet downstream of Lagan Street ... None +1419 Village of Emerson, Winne- dle Creek. bago Indian Tribe. Approximately 750 feet upstream of 1st Street ...... None +1441
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Omaha Indian Tribe Maps are available for inspection at 100 Main Street, Macy, NE 68039. Unincorporated Areas of Thurston County Maps are available for inspection at 106 South 5th Street, Pender, NE 68047. Village of Emerson Maps are available for inspection at 211 West Front Street, Emerson, NE 68733. Winnebago Indian Tribe Maps are available for inspection at 100 Buff Street, Winnebago, NE 68071.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation ** ∧ Elevation in meters Communities affected (MSL) Effective Modified
Suffolk County, New York, and Incorporated Areas
Atlantic Ocean ...... Approximately 700 feet west of the Oak Beach Road +11 +8 Town of Babylon, dead end. Shinnecock Indian Res- ervation, Town of Brookhaven, Town of East Hampton, Town of Islip, Town of South- ampton, Village of Amity- ville, Village of Babylon, Village of Bellport, Vil- lage of East Hampton, Village of Lindenhurst, Village of Ocean Beach, Village of Quogue, Vil- lage of Sagaponack, Vil- lage of Saltaire, Village of Southampton, Village of West Hampton Dunes, Village of Westhampton Beach. Approximately 160 feet south of Beach Lane extended +13 +23 Barley Field Cove ...... Approximately 1,000 feet east of the intersection of +10 +8 Town of Southold. East End Drive and Brooks Point Road. Shoreline approximately 1,425 feet east of the inter- +14 +16 section of East End Drive and Brooks Point Road. Bellport Bay ...... At the intersection of Thorn Hedge Road and Bayberry None +5 Village of Bellport, Town of Road. Brookhaven, Village of Patchogue. Shoreline at southwestern end of South Howells Point +7 +8 Road. Block Island Sound ...... Approximately 850 feet northwest of the intersection of +8 +5 Town of East Hampton, Montauk County Park Road and East Lake Drive. Town of Southold. Fishers Island—Shoreline approximately 900 feet east +11 +21 of the intersection of Montauk Highway and Old Montauk Highway. Block Island Sound ...... Approximately 1,700 feet southwest of the intersection +8 #2 Town of East Hampton. of Soundview Drive and Captain Kidd’s Path. Bostwick Bay ...... Gardiners Island—Approximately 1.4 miles northwest +8 +7 Town of East Hampton. of the intersection of Gardiner Island Road and 4wd Road. Gardiners Island—Approximately 1.2 miles northwest +10 +12 of the intersection of Gardiner Island Road and 4wd Road. Centerport Harbor ...... Approximately 500 feet south of the intersection of +11 +9 Town of Huntington, Village Prospect Road and Mill Dam Road. of Huntington Bay, Vil- lage of North Haven. Shoreline approximately 1,500 feet northeast of the +13 +14 intersection of Monroe Drive and Garfield Street. Cocomount Cove ...... Approximately 500 feet northwest of the intersection of +9 +8 Town of Southold. East End Drive and Brooks Point Road. Shoreline approximately 735 feet northwest of the +12 +13 intersection of East End Drive and Brooks Point Road. Coecles Inlet ...... Burns Road, approximately 1,200 feet east of the inter- +8 +7 Town of Shelter Island, Vil- section with North Cartwright Avenue. lage of Dering Harbor. Shoreline at eastern end of Burns Road ...... +11 +10 Cold Spring Harbor ...... Approximately 150 feet north of the intersection of +11 +9 Town of Huntington. Shore Road and Spring Street. Approximately 1,325 feet west of the intersection of +11 +33 Dogwood Lane and Fort Hill Drive. Conscience Bay ...... Approximately 175 feet southwest of the intersection of +10 +8 Town of Brookhaven, Vil- Bobs Lane and Chickadee Way. lage of Old Field, Village of Poquott, Village of Port Jefferson. Shoreline approximately 1,340 feet west of the inter- +10 +14 section of Gaul Road North and Gun Path.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation ** ∧ Elevation in meters Communities affected (MSL) Effective Modified
Cutchogue Harbor ...... Shoreline approximately 50 feet west of the intersec- +7 +6 Town of Southold. tion of Skunk Lane and Sterling Road. Shoreline approximately 1,260 feet south of the inter- +7 +16 section of Haywaters Road and West Cove Road. At the intersection of Orchard Street and 1st Street ..... +7 #1 Approximately 65 feet northwest of the southeastern +7 #2 terminus of Old Harbor Road. Dering Harbor...... Approximately 700 feet east of the intersection of +7 +5 Town of Shelter Island, Vil- North Ferry Road and W Neck Road. lage of Dering Harbor, Village of Greenport. Shoreline approximately 540 feet north of the intersec- +9 +17 tion of North Ferry Road and Winthrop Road. Duck Island Harbor ...... Approximately 200 feet east of the end of South Har- None +11 Town of Huntington, Village bor Road. of Asharoken, Village of Huntington Bay, Village of Northport. Approximately 1,200 feet southeast of the intersection +11 +16 of Ponnell Road and South Harbor Road. Fishers Island Sound ...... Approximately 1,400 feet north of the intersection of None +7 Town of Southold. East End Drive and Clay Point Road. Approximately 1,600 feet northwest of the intersection +12 +46 of Fox Avenue and Crescent Avenue. Flanders Bay ...... At the intersection of Meeting House Creek Road and +7 +6 Town of Riverhead, Town Harbor Road. of Southampton. Shoreline approximately 1,850 feet east of the inter- +7 +13 section of Indian Point Road and Circle Drive. Flanders Bay ...... At the intersection of Indian Point Road and Circle None #2 Town of Riverhead. Drive. Approximately 75 feet east of the intersection of Har- +7 #2 bor Road and Meeting House Creek Road. Fort Pond Bay ...... Approximately 425 feet west of the intersection of +9 +5 Town of East Hampton. South Erie Avenue and South Embassy Street. Shoreline approximately 1,500 feet west of the end of +10 +19 Wills Point Road. Shoreline approximately 600 feet north of the end of +8 #2 Wills Point Road. Shoreline approximately 1,600 feet north of the end of +8 #2 Wills Point Road. Shoreline approximately 850 feet south of the end of +8 #2 Wills Point Road. Gardiners Bay ...... Approximately 420 feet southwest of the intersection of +8 +5 Town of East Hampton, Kings Point Road and Hog Creek Lane. Town of Shelter Island, Town of Southold, Vil- lage of Dering Harbor. Along the shoreline, approximately 1,500 feet west of +12 +19 Plum Gut Harbor. Great Peconic Bay ...... At the intersection of West Street and 2nd Street ...... +7 +6 Town of Riverhead, Town of Southampton, Town of Southold. Approximately 750 feet east 1st Street and Bray Ave- +7 +11 nue. West Street approximately 300 feet southeast of the +7 #1 intersection with 2nd Street. Oak Street approximately 175 feet southeast of the +7 #2 intersection with Bayside Avenue. Great South Bay ...... Intersection of Gibson Street and Huma Avenue ...... +5 +4 Town of Babylon, Town of Islip, Village of Amityville, Village of Babylon, Vil- lage of Brightwaters, Vil- lage of Lindenhurst. At southern end of Norman Avenue ...... +8 +10 Greenport Harbor ...... At the intersection of Sterling Avenue and Sterling +7 +6 Town of Southold, Town of Street. Shelter Island, Village of Greenport. Shoreline approximately 170 feet east-southeast of the +9 +10 intersection of Sterling Avenue and Sterling Street.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation ** ∧ Elevation in meters Communities affected (MSL) Effective Modified
Hay Harbor ...... Approximately 300 feet north of the intersection of +10 +11 Town of Southold. Equestrian Avenue and Winthrop Drive. Approximately 0.5 mile north of the intersection of +12 +16 Equestrian Avenue and Winthrop Drive. Huntington Bay ...... Approximately 50 feet south of the intersection of Surf +11 +9 Town of Huntington, Village Lane and Lighthouse Road. of Asharoken, Village of Huntington Bay, Village of Lloyd Harbor. Shoreline approximately 1,000 feet east of the end of +13 +21 Crescent Beach Drive. Huntington Harbor ...... Approximately 400 feet south of the intersection of +11 +9 Town of Huntington, Village Bouton Road and Pine Point Road. of Huntington Bay, Vil- lage of Lloyd Harbor. Shoreline approximately 760 feet southeast of the +11 +12 intersection of Bouton Road and Pine Point Road. Lake Montauk ...... Farragut Road, approximately 1,400 feet northeast of +8 +5 Town of East Hampton. the intersection with West Lake Drive. Approximately 350 feet west of the intersection of +9 +11 Prospect Hill Lane and East Lake Drive. Little Peconic Bay ...... Approximately 350 feet south of the intersection of Ar- +7 +6 Town of Southold. rowhead Lane and Campfire Lane. Approximately 1,700 feet northeast of the intersection +7 +16 of Arrowhead Lane and Campfire Lane. Approximately 400 feet northeast of the intersection of +7 #1 Nassau Point Road and Broadwaters Road. Approximately 400 feet southeast of the intersection of +7 #2 Nassau Point Road and Broadwaters Road. Lloyd Harbor...... Approximately 700 feet west of the intersection of +11 +9 Village of Lloyd Harbor. Lloyd Harbor Road and Fiddlers Green Drive. Shoreline approximately 825 feet east-northeast of the +15 +14 intersection of Lloyd Harbor Road and Fiddlers Green Drive. Long Island Sound ...... Approximately 1,300 feet north of the intersection of +9 +6 Village of Lloyd Harbor, Main Road and Cove Beach Road. Town of Brookhaven, Town of Huntington, Town of Riverhead, Town of Shelter Island, Town of Smithtown, Town of Southold, Vil- lage of Asharoken, Vil- lage of Belle Terre, Vil- lage of Dering Harbor, Village of Greenport, Vil- lage of Head of The Har- bor, Village of Huntington Bay, Village of Nissequogue, Village of Northport, Village of Old Field, Village of Poquott, Village of Port Jefferson, Village of Shoreham. Approximately 500 feet west of East Point on Plum Is- +14 +46 land. Long Island Sound ...... At the intersection of Carole Road and Old Cove Road +9 #2 Town of Southold. Majors Harbor ...... Along the shoreline, approximately 2,200 feet south- +8 +5 Town of Shelter Island, east from the end of Mashomack Preserve Road. Town of Southampton, Village of North Haven. Shoreline at Majors Point ...... +9 +8 Moriches Bay ...... At the intersection of South County Road and Raynor +8 +7 Town of Brookhaven, Drive. Poospatuck Indian Res- ervation, Town of South- ampton, Village of West Hampton Dunes, Village of Westhampton Beach. Shoreline, approximately 400 feet north of the intersec- +9 +12 tion of Dune Road and Dune Lane.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation ** ∧ Elevation in meters Communities affected (MSL) Effective Modified
Napeague Bay ...... Approximately 150 feet south of the intersection of Lit- +7 +5 Town of East Hampton. tle Alberts Road and Alberts Landing. Shoreline approximately 0.6 mile west of the intersec- +10 +14 tion of Bayview Avenue and Lazy Point Road. Approximately 1,400 feet southeast of the intersection None #1 of Waters Edge and Barnes Hole Road. Nicoll Bay ...... At the intersection of Cross Road and West Shore None +5 Town of Islip. Road. Approximately 700 feet south of the intersection of +3 +7 Shore Drive and Edgewood Avenue. Northeast Branch Approximately 425 feet upstream of Branch Drive ...... None +46 Town of Smithtown. Nissuquogue River. Approximately 525 feet upstream of Branch Drive ...... None +46 Northport Bay...... Approximately 45 feet west of the intersection of None +9 Town of Huntington, Village Eatons Neck Road and Steers Avenue. of Asharoken, Village of Huntington Bay, Village of Northport. Shoreline approximately 1,100 feet northeast of the +13 +21 intersection of East Neck Road and Crest Road. Northport Harbor ...... At the intersection of Scudder Avenue and Bayview None +9 Town of Huntington, Village Avenue. of Northport. Approximately 1,400 feet northwest of the intersection +13 +16 of Bluff Point Road and Duffy Road. Northwest Harbor ...... Approximately 500 feet north of the intersection of Ale- +8 +5 Town of East Hampton. wife Brook Road and Terrys Trail. Shoreline approximately 1,900 feet north of the west- +10 +19 ern terminus of Alewife Brook Road. Noyack Bay ...... At the intersection of Bay Avenue and Noyack Avenue +8 +6 Town of Southampton, Vil- lage of North Haven, Vil- lage of Sag Harbor. Shoreline approximately 560 feet west of the intersec- +9 +23 tion of Bay View Court and North Haven Way. Orient Harbor ...... At the intersection of Bay Avenue and Rabbit Lane ..... +8 +6 Town of Southold, Town of Shelter Island, Village of Dering Harbor. Shoreline at the southeastern end of Bay Avenue ...... +10 +9 Approximately 875 feet northeast of the intersection of +8 #1 East Gillette Drive and Cleaves Point Road. Oyster Bay...... Approximately 150 feet north of the intersection of +11 +9 Town of Huntington, Village Shore Road and Spring Street. of Huntington Bay, Vil- lage of Lloyd Harbor. Approximately 750 feet southwest of Turtle Lane and +11 +39 Mallard Drive. Patchogue Bay ...... At the intersection of Harrison Street and South Ocean None +5 Village of Patchogue, Town Avenue. of Brookhaven, Town of Islip. Shoreline at southern end of Durkee Lane ...... +7 +8 Pipes Cove ...... Approximately 190 feet north of the intersection of +7 +6 Town of Southold, Town of Bayshore Road and August Road. Shelter Island, Village of Greenport. Shoreline approximately 220 feet east of the intersec- +7 +13 tion of Bayshore Road and August Road. Port Jefferson Harbor ...... Approximately 750 feet northwest of the intersection of +10 +8 Town of Brookhaven, Vil- Barnum Avenue and Maple Place. lage of Belle Terre, Vil- lage of Old Field, Village of Poquott, Village of Port Jefferson. Shoreline approximately 350 feet northeast of the inter- +13 +24 section of Washington Street and Chestnut Avenue. Reeves Bay ...... Approximately 100 feet south of the intersection of None +7 Town of Southampton, Flanders Road and Wood Road Trail. Town of Riverhead. Approximately 300 feet west of the intersection of Long +9 +10 Neck Boulevard and Fantasy Drive. Sag Harbor Bay...... Approximately 300 feet south of the intersection of +10 +6 Village of Sag Harbor, Woodland Drive and Division Avenue. Town of East Hampton, Village of North Haven.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation ** ∧ Elevation in meters Communities affected (MSL) Effective Modified
Shoreline approximately 190 feet north of the intersec- +11 +13 tion of Meredith Avenue and Terry Drive. Shelter Island Sound ...... Approximately 700 feet southwest of the intersection of +7 +5 Town of Shelter Island, Nostrand Parkway and Bootleggers Alley. Town of Southold, Vil- lage of North Haven. Approximately 550 feet west of the intersection of +9 +23 North Haven Way and On the Bluff. Shelter Island Sound ...... Approximately 140 feet northwest of the intersection of +7 #1 Town of Shelter Island, Peconic Avenue and Brander Parkway. Town of Southold, Vil- lage of Dering Harbor, Village of North Haven. Approximately 800 feet west-southwest of the intersec- +7 #2 tion of Nostrand Parkway and Bootleggers Alley. Shinnecock Bay...... Approximately 100 feet east of the intersection of None +8 Town of Southampton, Vil- Bonita Road and Whiting Road. lage of Quogue. Shoreline approximately 900 feet northeast of the inter- +9 +14 section of Dune Road and Triton Lane. Smith Cove...... Approximately 370 feet north of the intersection of +8 +5 Town of Shelter Island, Vil- Thompson Road and Irene Lane. lage of North Haven. Approximately 700 feet southeast of the intersection of +9 +21 Thompson Road and Irene Lane. Smithtown Bay ...... At the intersection of Riviera Drive and Magnolia Drive +12 +9 Town of Smithtown, Village of Nissequogue. Approximately 1,200 feet north of the intersection of +15 +17 Old Dock Road and Upper Dock Road. Southold Bay...... Approximately 850 feet east of the intersection of +7 +6 Town of Southold, Town of Route 25 and Town Harbor Lane. Shelter Island. Approximately 275 feet north of the intersection of +7 +21 Basin Road and Paradise Point Road. Tobaccolot Bay ...... Approximately 1.1 miles east of the intersection of Gar- +8 +6 Town of East Hampton. diner Island Road and 4WD Road. Approximately 1.4 miles east of the intersection of Gar- +10 +11 diner Island Road and 4WD Road. West Harbor ...... Approximately 0.6 mile east of the intersection of East +9 +7 Town of Southold. End Drive and Peninsula Road. Shoreline, approximately 1,200 feet east of the inter- +12 +19 section of Montauk Avenue and Hedge Street. West Neck Harbor ...... Approximately 1,000 feet west of the intersection of +7 +5 Town of Shelter Island, Vil- Lake Drive and South Midway Road. lage of North Haven. Shoreline approximately 1,500 feet south of the inter- +10 +8 section of Sea Gate Drive and South Midway Road.
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ∧ Mean Sea Level, rounded to the nearest 0.1 meter. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Poospatuck Indian Reservation Maps are available for inspection at Poospatuck Indian Reservation Administrative Offices, 138 Elleanor Avenue, Mastic, NY. Shinnecock Indian Reservation Maps are available for inspection at Shinnecock Indian National Tribal Office, 100 Church Street, Southampton, NY. Town of Babylon Maps are available for inspection at Babylon Town Hall, 200 East Sunrise Highway, Lindenhurst, NY. Town of Brookhaven Maps are available for inspection at Brookhaven Town Hall, One Independence Hill, Farmingville, NY. Town of East Hampton Maps are available for inspection at East Hampton Town Hall, 159 Pantigo Road, East Hampton, NY. Town of Huntington Maps are available for inspection at Huntington Town Hall, 100 Main Street, Huntington, NY. Town of Islip Maps are available for inspection at Islip Town Hall, 655 Main Street, Islip, NY.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation ** ∧ Elevation in meters Communities affected (MSL) Effective Modified
Town of Riverhead Maps are available for inspection at Riverhead Town Hall, 201 Howell Avenue, Riverhead, NY. Town of Shelter Island Maps are available for inspection at Shelter Island Town Hall, 38 North Ferry Road, Shelter Island, NY. Town of Smithtown Maps are available for inspection at Smithtown Town Hall, 99 West Main Street, Smithtown, NY. Town of Southampton Maps are available for inspection at Southampton Town Hall, 116 Hampton Road, Southampton, NY. Town of Southold Maps are available for inspection at Southold Town Hall, 53095 Routh 25, Southold, NY. Village of Amityville Maps are available for inspection at Amityville Village Hall, 21 Greene Avenue, Amityville, NY. Village of Asharoken Maps are available for inspection at Asharoken Village Hall, 1 Asharoken Avenue, Northport, NY. Village of Babylon Maps are available for inspection at Babylon Village Hall, 153 West Main Street, Babylon, NY. Village of Belle Terre Maps are available for inspection at Belle Terre Village Hall, 1 Cliff Road, Belle Terre, NY. Village of Bellport Maps are available for inspection at Bellport Village Hall, 29 Bellport Lane, Bellport, NY. Village of Brightwaters Maps are available for inspection at Brightwaters Village Hall, 40 Seneca Drive, Brightwaters, NY. Village of Dering Harbor Maps are available for inspection at Dering Harbor Village Hall, 23 Locust Point Road, Shelter Island Heights, NY. Village of East Hampton Maps are available for inspection at East Hampton Village Hall, 86 Main Street, East Hampton, NY. Village of Greenport Maps are available for inspection at Greenport Village Hall, 236 Third Street, Greenport, NY. Village of Head of The Harbor Maps are available for inspection at Head of the Harbor Village Hall, 500 North Country Road, Saint James, NY. Village of Huntington Bay Maps are available for inspection at Huntington Bay Village Hall, 244 Vineyard Road, Huntington Bay, NY. Village of Lindenhurst Maps are available for inspection at Lindenhurst Village Hall, 430 South Wellwood Avenue, Lindenhurst, NY. Village of Lloyd Harbor Maps are available for inspection at Lloyd Harbor Village Hall, 32 Middle Hollow Road, Huntington, NY. Village of Nissequogue Maps are available for inspection at Nissequogue Village Hall, 631 Moriches Road, St. James, NY. Village of North Haven Maps are available for inspection at North Haven Village Hall, 335 Ferry Road, Sag Harbor, NY. Village of Northport Maps are available for inspection at Northport Village Hall, 224 Main Street, Northport, NY. Village of Ocean Beach Maps are available for inspection at Ocean Beach Village, 315 Cottage Walk, Ocean Beach, NY. Village of Old Field Maps are available for inspection at Old Field Village Hall, 207 Old Field Road, Setauket, NY. Village of Patchogue Maps are available for inspection at Patchogue Village Hall, 14 Baker Street, Patchogue, NY. Village of Poquott Maps are available for inspection at Poquott Village Hall, 45 Birchwood Avenue, East Setauket, NY. Village of Port Jefferson Maps are available for inspection at Port Jefferson Village Hall, 121 West Broadway, Port Jefferson, NY. Village of Quogue Maps are available for inspection at Quogue Village Hall, 7 Village Lane, Quogue, NY. Village of Sag Harbor Maps are available for inspection at Sag Harbor Village Hall, 22 Main Street, Sag Harbor, NY. Village of Sagaponack Maps are available for inspection at Sagaponack Village Hall, 20 Sagg Main Street, Sagaponack, NY. Village of Saltaire Maps are available for inspection at Saltaire Village Hall, 103 Broadway, Saltaire, NY. Village of Shoreham
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above ground Flooding source(s) Location of referenced elevation ** ∧ Elevation in meters Communities affected (MSL) Effective Modified
Maps are available for inspection at Shoreham Village Hall, 80 Woodville Road, Shoreham, NY. Village of Southampton Maps are available for inspection at Southampton Village Hall, 23 Main Street, Southampton, NY. Village of West Hampton Dunes Maps are available for inspection at West Hampton Dunes Village Hall, 4 Arthur Street, West Hampton Beach, NY. Village of Westhampton Beach Maps are available for inspection at Westhampton Beach Village Hall, 165 Mill Road, Westhampton Beach, NY.
* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above Flooding source(s) Location of referenced elevation ** ground Communities affected Effective Modified
Greene County, Ohio, and Incorporated Areas
Possum Run...... Approximately 900 feet downstream of Wilmington None +931 City of Centerville. Pike. At Wilmington Pike North Branch ...... None +940 Shawnee Park Tributary ..... Approximately 4,200 feet upstream of Monroe Drive .... +929 +924 City of Xenia. Approximately 40 feet downstream of U.S. Route 42 ... +942 +943 Shawnee Park Tributary ..... Approximately 700 feet downstream of U.S. Route 42 +934 +930 Unincorporated Areas of Greene County. Downstream of U.S. Route 42 ...... +942 +943 South Fork Massies Creek Approximately 2,800 feet upstream of Railroad ...... +1042 +1041 Unincorporated Areas of Greene County. Approximately 240 feet downstream of Weimer Road .. +1051 +1050
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Centerville Maps are available for inspection at Municipal Building, 100 West Spring Valley Road, Centerville, OH 45458. City of Xenia Maps are available for inspection at City Hall, 101 North Detroit Street, Xenia, OH 45385. Unincorporated Areas of Greene County Maps are available for inspection at Greene County Building Regulation, 667 Dayton-Xenia Road, OH 45385.
Hamilton County, Ohio, and Incorporated Areas
Little Miami River...... 65 feet upstream of Norfolk and Western railroad None +501 Unincorporated Areas of crossing. Hamilton County, Village of Fairfax, Village of Mariemont. 665 feet downstream of Harvard Street in Village of None +501 Mariemont.
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Unincorporated Areas of Hamilton County Maps are available for inspection at Hamilton County Department of Public Works, 138 East Court Street, Room 800, Cincinnati, OH 45202.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above Flooding source(s) Location of referenced elevation ** ground Communities affected Effective Modified
Village of Fairfax Maps are available for inspection at Fairfax Municipal Building, 5903 Hawthorne Avenue, Fairfax, OH 45227. Village of Mariemont Maps are available for inspection at Mariemont Municipal Building, 6907 Wooster Pike, Mariemont, OH 45227.
Claiborne County, Tennessee, and Incorporated Areas
Clinch River/Norris Lake .... Approximately 2.3 miles downstream of the confluence None +1055 Unincorporated Areas of of Big Barren Creek. Claiborne County. Approximately 3.3 miles upstream of U.S. Highway 25 None +1055
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Unincorporated Areas of Claiborne County Maps are available for inspection at County Courthouse, 1740 Main Street, Tazewell, TN 37879.
Montgomery County, Virginia, and Incorporated Areas
Plum Creek ...... Approximately 900 ft upstream of U.S. Highway 11 ...... +1754 +1755 Unincorporated Areas of Montgomery County. Approximately at the intersection of Gate Road and None +1918 Plum Creek Road.
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Unincorporated Areas of Montgomery County Maps are available for inspection at Planning and GIS Services, 755 Roanoke Street, Christiansburg, VA 24073.
Pepin County, Wisconsin, and Incorporated Areas
Chippewa River ...... Approximately 7,000 feet downstream of the new U.S. None +712 City of Durand, Unincor- Highway 10 Bridge. porated Areas of Pepin County. Approximately 6,000 feet upstream of the confluence None +717 of Bear Creek. Mississippi River ...... Approximately at the intersection of Lakeport Road and +682 +681 Village of Stockholm, Unin- State Highway 35. corporated Areas of Pepin County. At the county boundary with Pierce County...... +682 +681
* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to William R. Blanton, Jr., Chief, Engineering Management Branch, Mitigation Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Durand Maps are available for inspection at City Hall, 104 East Main Street, Durand, WI 54736. Unincorporated Areas of Pepin County Maps are available for inspection at Pepin County Government Center, 740 7th Avenue West, Pepin, WI 54736.
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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above Flooding source(s) Location of referenced elevation ** ground Communities affected Effective Modified
Village of Stockholm Maps are available for inspection at Village Hall, 2041 Spring Street, Stockholm, WI 54769.
(Catalog of Federal Domestic Assistance No. • Mail: Filings can be sent by hand or 1, 4(i), 201(b), 202(a), 303(r), and 307(b) 97.022, ‘‘Flood Insurance.’’) messenger delivery, by commercial of the Communications Act, and Section Dated: October 9, 2008. overnight courier, or by first-class or 1.401 of the Commission’s rules,’’ 2 the Michael K. Buckley, overnight U.S. Postal Service mail Petitioner asks the Commission to Acting Assistant Administrator, Mitigation (although we continue to experience ‘‘initiate a rulemaking to investigate the Directorate, Department of Homeland delays in receiving U.S. Postal Service widespread use and anticompetitive Security, Federal Emergency Management mail). All filings must be addressed to effects of exclusivity arrangements Agency. the Commission’s Secretary, Office of between commercial wireless carriers [FR Doc. E8–25263 Filed 10–22–08; 8:45 am] the Secretary, Federal Communications and handset manufacturers, and, as BILLING CODE 9110–12–P Commission. necessary, adopt rules that prohibit such • People with Disabilities: Contact the arrangements when contrary to the FCC to request reasonable public interest.’’ 3 The Wireless accommodations (accessible format Telecommunications Bureau seeks FEDERAL COMMUNICATIONS documents, sign language interpreters, comment on the Petition. COMMISSION CART, etc.) by e-mail: [email protected] or phone: 202–418–0530 or TTY: 202– Procedural Matters 47 CFR Chapter I 418–0432. Pursuant to §§ 1.415 and 1.419 of the Commission’s rules, 47 CFR 1.415 and [DA 08–2278; RM No. 11497] For detailed instructions for submitting comments and additional information 1.419, interested parties may file Wireless Telecommunications Bureau on the rulemaking process, see the comments and reply comments on or Seeks Comment on Petition for SUPPLEMENTARY INFORMATION section of before the dates indicated on the first page of this document. Comments may Rulemaking Regarding Exclusivity this document. be filed using: (1) The Commission’s Arrangements Between Commercial FOR FURTHER INFORMATION CONTACT: Electronic Comment Filing System Wireless Carriers and Handset Monica DeLong, Wireless (ECFS), (2) the Federal Government’s Manufacturers Telecommunications Bureau at (202) 418–1337 or [email protected]. eRulemaking Portal, or (3) by filing paper copies. See Electronic Filing of AGENCY: Federal Communications SUPPLEMENTARY INFORMATION: This is a Documents in Rulemaking Proceedings, Commission. summary of the Commission’s public ACTION: Proposed rule. 63 FR 24121 (May 1, 1998). notice released on October 10, 2008. • Electronic Filers: Comments may be The full text of the public notice is filed electronically using the Internet by SUMMARY: In this document, comment is available for public inspection and accessing the ECFS: http://www.fcc.gov/ sought on a May 20, 2008 petition for copying during business hours in the cgb/ecfs/ or the Federal eRulemaking rulemaking (Petition) filed by Rural FCC Reference Information Center, Portal: http://www.regulations.gov. Cellular Association (RCA) (Petitioner). Portals II, 445 12th Street, SW., Room Filers should follow the instructions The Petitioner asks the Federal CY–A257, Washington, DC 20554. It provided on the Web site for submitting Communications Commission to initiate also may be purchased from the a rulemaking to investigate the comments. Commission’s duplicating contractor at • widespread use and anticompetitive For ECFS filers, if multiple docket Portals II, 445 12th Street, SW., Room or rulemaking numbers appear in the effects of exclusivity arrangements CY–B402, Washington, DC 20554; the between commercial wireless carriers caption of this proceeding, filers must contractor’s Web site, http:// transmit one electronic copy of the and handset manufacturers, and, as www.bcpiweb.com; or by calling (800) necessary, adopt rules that prohibit such comments for each docket or 378–3160, facsimile (202) 488–5563, or rulemaking number referenced in the arrangements when contrary to the e-mail [email protected]. Copies of public interest. caption. In completing the transmittal the public notice also may be obtained screen, filers should include their full DATES: Interested parties may file via the Commission’s Electronic name, U.S. Postal Service mailing comments on or before December 2, Comment Filing System (ECFS) by address, and the applicable docket or 2008, and reply comments on or before entering the docket number, RM No. rulemaking number. Parties may also December 22, 2008. 11497. Additionally, the complete item submit an electronic comment by ADDRESSES: You may submit comments, is available on the Federal Internet e-mail. To get filing identified by RM No. 11497, by any of Communications Commission’s Web instructions, filers should send an e- the following methods: site at http://www.fcc.gov. mail to [email protected], and include the • On May 20, 2008, RCA filed a petition Federal eRulemaking Portal: http:// following words in the body of the for rulemaking.1 ‘‘Pursuant to Sections www.regulations.gov. Follow the message, ‘‘get form.’’ A sample form and instructions for submitting comments. directions will be sent in response. • Federal Communications 1 In the Matter of Rural Cellular Association Petition for Rulemaking Regarding Exclusivity Commission’s Web Site: http:// Arrangements Between Commercial Wireless 2 Petition at 1, citing 47 U.S.C. 151, 154(i), 201(b), www.fcc.gov/cgb/ecfs/. Follow the Carriers and Handset Manufacturers, filed May, 20, 202(a), 303(r), and 307(b); 47 CFR 1.401. instructions for submitting comments. 2008 (Petition). 3 Id.
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• Paper Filers: Parties who choose to 11497. The comments may also be delays in receiving U.S. Postal Service file by paper must file an original and purchased from Best Copy and Printing, mail). All filings must be addressed to four copies of each filing. If more than Inc., telephone (800) 378–3160, the Commission’s Secretary, Office of one docket or rulemaking number facsimile (202) 488–5563, or e-mail the Secretary, Federal Communications appears in the caption of this [email protected]. Commission. proceeding, filers must submit two Federal Communications Commission. • People with Disabilities: Contact the additional copies for each additional James D. Schlichting, FCC to request reasonable docket or rulemaking number. Acting Chief, Wireless Telecommunications accommodations (accessible format Filings can be sent by hand or Bureau. documents, sign language interpreters, messenger delivery, by commercial [FR Doc. E8–25058 Filed 10–22–08; 8:45 am] CART, etc.) by e-mail: [email protected] overnight courier, or by first-class or BILLING CODE 6712–01–P or phone: 202–418–0530 or TTY: 202– overnight U.S. Postal Service mail 418–0432. (although we continue to experience delays in receiving U.S. Postal Service For detailed instructions for FEDERAL COMMUNICATIONS submitting comments and additional mail). All filings must be addressed to COMMISSION the Commission’s Secretary, Office of information on the rulemaking process, see the SUPPLEMENTARY INFORMATION the Secretary, Federal Communications 47 CFR Chapter I Commission. section of this document. [DA 08–2279; RM No. 11498] • The Commission’s contractor will FOR FURTHER INFORMATION CONTACT: receive hand-delivered or messenger- Wireless Telecommunications Bureau Angela Kronenberg, Spectrum and delivered paper filings for the Seeks Comment on Petition for Competition Policy Division, Wireless Commission’s Secretary at 236 Rulemaking of Rural Telecommunications Bureau at (202) Massachusetts Avenue, NE., Suite 110, Telecommunications Group, Inc. To 418–2963 or Washington, DC 20002. The filing hours Impose a Spectrum Aggregation Limit [email protected]. at this location are 8 a.m. to 7 p.m. All on All Commercial Terrestrial Wireless SUPPLEMENTARY INFORMATION: This is a hand deliveries must be held together Spectrum Below 2.3 GHz with rubber bands or fasteners. Any summary of the Commission’s public envelopes must be disposed of before AGENCY: Federal Communications notice released on October 10, 2008. entering the building. Commission. The full text of the public notice is • Commercial overnight mail (other ACTION: Proposed rule. available for public inspection and than U.S. Postal Service Express Mail copying during business hours in the and Priority Mail) must be sent to 9300 SUMMARY: In this document, comment is FCC Reference Information Center, East Hampton Drive, Capitol Heights, sought on a July 16, 2008 petition for Portals II, 445 12th Street, SW., Room MD 20743. rulemaking (Petition) filed by Rural CY–A257, Washington, DC 20554. It • U.S. Postal Service first-class, Telecommunications Group, Inc. (RTG) also may be purchased from the Express, and Priority mail must be (Petitioner). The Petitioner asks the Commission’s duplicating contractor at addressed to 445 12th Street, SW., Federal Communications Commission Portals II, 445 12th Street, SW., Room Washington DC 20554. to impose a spectrum aggregation limit CY–B402, Washington, DC 20554; the People with Disabilities: To request on all commercial terrestrial wireless contractor’s Web site, http:// materials in accessible formats for spectrum below 2.3 GHz. Specifically, www.bcpiweb.com; or by calling (800) people with disabilities (braille, large RTG asks that the Commission adopt 378–3160, facsimile (202) 488–5563, or print, electronic files, audio format), rules providing that no licensee of e-mail [email protected]. Copies of send an e-mail to [email protected] or call commercial terrestrial wireless the public notice also may be obtained the Consumer & Governmental Affairs spectrum below 2.3 GHz, including all via the Commission’s Electronic Bureau at 202–418–0530 (voice), 202– parties under common control, should Comment Filing System (ECFS) by 418–0432 (tty). be permitted to have an attributable entering the docket number, RM No. Parties shall send one copy of their interest in more than 110 megahertz of 11498. Additionally, the complete item comments and reply comments to Best licensed spectrum with any significant is available on the Federal Copy and Printing, Inc., Portals II, 445 overlap in any county. Communications Commission’s Web 12th Street, SW., Room CY–B402, DATES: Interested parties may file site at http://www.fcc.gov. Washington, DC 20554, (800) 378–3160, comments on or before December 2, On July 16, 2008, RTG filed a petition e-mail [email protected]. Parties 2008, and reply comments on or before requesting that the Federal should also send a copy of their filings December 22, 2008. Communications Commission to Monica DeLong, Wireless ADDRESSES: You may submit comments, (Commission) impose a spectrum Telecommunications Bureau, Federal identified by RM No. 11498, by any of aggregation limit on all commercial Communications Commission, Room the following methods: terrestrial wireless spectrum below 2.3 6530, 445 12th Street, SW., Washington, • Federal eRulemaking Portal: http:// GHz. Specifically, RTG asks that the DC 20554, or by e-mail to www.regulations.gov. Follow the Commission adopt rules providing that [email protected]. Comments instructions for submitting comments. no licensee of commercial terrestrial filed in response to this public notice • Federal Communications wireless spectrum below 2.3 GHz, will be available for public inspection Commission’s Web Site: http:// including all parties under common and copying during business hours in www.fcc.gov/cgb/ecfs/. Follow the control, should be permitted to have an the FCC Reference Information Center, instructions for submitting comments. attributable interest in more than 110 Portals II, 445 12th Street SW., Room • Mail: Filings can be sent by hand or megahertz of licensed spectrum with CY–A257, Washington, DC 20554, and messenger delivery, by commercial any significant overlap in any county. via the Commission’s Electronic overnight courier, or by first-class or The Wireless Telecommunications Comment Filing System (ECFS) by overnight U.S. Postal Service mail Bureau seeks comment on RTG’s entering the docket number, RM No. (although we continue to experience Petition.
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Procedural Matters envelopes must be disposed of before SUMMARY: The Audio Division, on its entering the building. own motion, proposes the substitution Pursuant to §§ 1.415 and 1.419 of the • Commercial overnight mail (other of Channel 276A for Channel 276C3 at Commission’s rules, 47 CFR 1.415 and than U.S. Postal Service Express Mail Crandon, Wisconsin to accommodate 1.419, interested parties may file and Priority Mail) must be sent to 9300 the pending application of Station comments and reply comments on or East Hampton Drive, Capitol Heights, WGLX–FM, Channel 277C1, Wisconsin before the dates indicated on the first MD 20743. Rapids, Wisconsin. See File No. BPH– page of this document. Comments may • U.S. Postal Service first-class, 20050406ACK. The proposed reference be filed using: (1) The Commission’s Express, and Priority mail must be coordinates for Channel 276A at Electronic Comment Filing System addressed to 445 12th Street, SW., Crandon, Wisconsin, are 45–34–18 NL (ECFS), (2) the Federal Government’s Washington DC 20554. and 88–53–54 WL. eRulemaking Portal, or (3) by filing paper copies. See Electronic Filing of People with Disabilities: To request DATES: Comments must be filed on or Documents in Rulemaking Proceedings, materials in accessible formats for before December 1, 2008, and reply 63 FR 24121 (May 1, 1998). people with disabilities (braille, large comments on or before December 16, print, electronic files, audio format), 2008. • Electronic Filers: Comments may be send an e-mail to [email protected] or call filed electronically using the Internet by ADDRESSES: Secretary, Federal the Consumer & Governmental Affairs accessing the ECFS: http://www.fcc.gov/ Communications Commission, 445 Bureau at 202–418–0530 (voice), 202– cgb/ecfs/ or the Federal eRulemaking Twelfth Street, SW., Washington, DC 418–0432 (tty). Portal: http://www.regulations.gov. 20554. Parties shall send one copy of their Filers should follow the instructions comments and reply comments to Best FOR FURTHER INFORMATION CONTACT: provided on the Web site for submitting Copy and Printing, Inc., Portals II, 445 Rolanda F. Smith, Media Bureau, (202) comments. 418–2180. • 12th Street, SW., Room CY–B402, For ECFS filers, if multiple docket Washington, DC 20554, (800) 378–3160, SUPPLEMENTARY INFORMATION: This is a or rulemaking numbers appear in the e-mail [email protected]. Parties synopsis of the Commission’s Notice of caption of this proceeding, filers must should also send a copy of their filings Proposed Rule Making, MB Docket No. transmit one electronic copy of the to Angela Kronenberg, Spectrum and 08–62, adopted October 8, 2008, and comments for each docket or Competition Policy Division, Wireless released October 10, 2008. The full text rulemaking number referenced in the Telecommunications Bureau, Federal of this Commission decision is available caption. In completing the transmittal Communications Commission, Room for inspection and copying during screen, filers should include their full 6530, 445 12th Street, SW., Washington, normal business hours in the FCC’s name, U.S. Postal Service mailing DC 20554, or by e-mail to Reference Information Center at Portals address, and the applicable docket or [email protected]. Comments II, CY–A257, 445 Twelfth Street, SW., rulemaking number. Parties may also filed in response to this public notice Washington, DC 20554. This document submit an electronic comment by will be available for public inspection may also be purchased from the Internet e-mail. To get filing and copying during business hours in Commission’s duplicating contractors, instructions, filers should send an e- the FCC Reference Information Center, Best Copy and Printing, Inc., 445 12th mail to [email protected], and include the Portals II, 445 12th Street, SW., Room Street, SW., Room CY–B402, following words in the body of the CY–A257, Washington, DC 20554, and Washington, DC 20554, telephone message, ‘‘get form.’’ A sample form and via the Commission’s Electronic 1–800–378–3160 or via e-mail http:// directions will be sent in response. Comment Filing System (ECFS) by www.BCPIWEB.com. This document • Paper Filers: Parties who choose to entering the docket number, RM No. does not contain proposed information file by paper must file an original and 11498. The comments may also be collection requirements subject to the four copies of each filing. If more than purchased from Best Copy and Printing, Paperwork Reduction Act of 1995, one docket or rulemaking number Inc., telephone (800) 378–3160, Public Law 104–13. In addition, appears in the caption of this facsimile (202) 488–5563, or e-mail therefore, it does not contain any proceeding, filers must submit two [email protected]. proposed information collection burden additional copies for each additional ‘‘for small business concerns with fewer docket or rulemaking number. Federal Communications Commission. James D. Schlichting, than 25 employees,’’ pursuant to the Filings can be sent by hand or Small Business Paperwork Relief Act of messenger delivery, by commercial Acting Chief, Wireless Telecommunications Bureau. 2002, Public Law 107–198, see 44 U.S.C. overnight courier, or by first-class or 3506(c)(4). [FR Doc. E8–25056 Filed 10–22–08; 8:45 am] overnight U.S. Postal Service mail Provisions of the Regulatory (although we continue to experience BILLING CODE 6712–01–P Flexibility Act of 1980 do not apply to delays in receiving U.S. Postal Service this proceeding. mail). All filings must be addressed to FEDERAL COMMUNICATIONS Members of the public should note the Commission’s Secretary, Office of COMMISSION that from the time a Notice of Proposed the Secretary, Federal Communications Rule Making is issued until the matter Commission. 47 CFR Part 73 is no longer subject to Commission • The Commission’s contractor will consideration or court review, all ex receive hand-delivered or messenger- [DA 08–2274; MB Docket No. 08–62] parte contacts are prohibited in delivered paper filings for the Commission proceedings, such as this Commission’s Secretary at 236 Radio Broadcasting Services; one, which involve channel allotments. Massachusetts Avenue, NE., Suite 110, Crandon, WI See 47 CFR 1.1204(b) for rules Washington, DC 20002. The filing hours AGENCY: Federal Communications governing permissible ex parte contacts. at this location are 8 a.m. to 7 p.m. All Commission. For information regarding proper hand deliveries must be held together filing procedures for comments, see 47 ACTION: Proposed rule. with rubber bands or fasteners. Any CFR 1.415 and 1.420.
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List of Subjects in 47 CFR Part 73 Woodworth, Esq., Wiley Rein LLP, 1776 allotted at Quanah, Texas, in Radio, Radio broadcasting. K Street, NW., Washington, DC 20006. compliance with the Commission’s minimum distance separation For the reasons discussed in the FOR FURTHER INFORMATION CONTACT: requirements with a site restriction of preamble, the Federal Communications Deborah A. Dupont, Media Bureau (202) 11.9 km (7.4 miles) north of Quanah. Commission proposes to amend 47 CFR 418–7072. The proposed coordinates for Channel part 73 as follows: SUPPLEMENTARY INFORMATION: This is a synopsis of the Commission’s Notice of 251C3 at Quanah are 34–24–09 North PART 73—RADIO BROADCAST Proposed Rule Making, MB Docket No. Latitude and 99–46–02 West Longitude. SERVICES 08–97, adopted October 8, 2008, and Channel 288C2 can be allotted at Rule, released October 10, 2008. Petitioner Texas, in compliance with the 1. The authority citation for part 73 has also filed applications requesting Commission’s minimum distance continues to read as follows: the following: (1) A change in channel separation requirements with a site Authority: 47 U.S.C. 154, 303, 334, 336. class and community of license for FM restriction of 6.6 km (4.1 miles) east of Station KJKB from Channel 238A at Rule. The proposed coordinates for § 73.202 [Amended] Jacksboro, Texas, to Channel 238C3 at Channel 288C2 at Rule are 33–10–29 2. Section 73.202(b), the Table of FM Scotland, Texas, as that community’s North Latitude and 99–49–26 West Allotments under Wisconsin, is first local service; (2) A change in Longitude. The proposed channel amended by removing Channel 276C3 channel class and community of license changes, if granted, would be subject to and adding Channel 276A at Crandon. for FM Station KFWR from Channel the final outcome of MM Docket No. 00– Federal Communications Commission. 240C1 at Mineral Wells, Texas, to 148, due to mutual exclusivity between John A. Karousos, Channel 240C0 at Jacksboro, Texas; (3) the proposed substitution at Crowell Assistant Chief, Audio Division, Media A change in channel class and and a proposal in MM Docket No. 00– Bureau. community of license of Station KKAJ– 148 to add Channel 255C3 at Quanah. [FR Doc. E8–25323 Filed 10–22–08; 8:45 am] FM from Channel 239C1 at Ardmore, The full text of this Commission decision is available for inspection and BILLING CODE 6712–01–P Oklahoma, to Channel 239C2 at Frederick, Oklahoma; and (4) A channel copying during normal business hours change and change in class of FM in the FCC Reference Information Center FEDERAL COMMUNICATIONS Station KYBE from Channel 240A to (Room CY–A257), 445 12th Street, SW., COMMISSION Channel 239C3 at Frederick, Oklahoma. Washington, DC 20554. The complete To facilitate the allotment of Channel text of this decision may also be 47 CFR Part 73 240C0 to Jacksboro for Station KFWR purchased from the Commission’s copy and Channel 239C3 to Frederick for contractor, Best Copy and Printing, Inc., [DA 08–2277; MB Docket No. 08–97; RM– 445 12th Street, SW., Room CY–B402, 11428] Station KKAJ–FM, petitioner proposes the substitution of Channel 288C2 for Washington, DC 20554, (800) 378–3160, Radio Broadcasting Services; Crowell, vacant Channel 239C2 at Rule, Texas. or via the company’s Web site, http:// Knox City, Quanah, and Rule, TX Channel 288C2 can be allotted at Rule, www.bcpiweb.com. This document does consistent with Section 73.207 of the not contain proposed information AGENCY: Federal Communications Commission’s rules, provided that the collection requirements subject to the Commission. vacant allotment at Knox City, Texas, is Paperwork Reduction Act of 1995, ACTION: Proposed rule. changed from Channel 291A to Channel Public Law 104–13. In addition, 293A. To accommodate the allotment of therefore, it does not contain any SUMMARY: This document sets forth a Channel 293A at Knox City, petitioner proposed information collection burden proposal to amend the FM Table of proposes the substitution of Channel ‘‘for small business concerns with fewer Allotments, Section 73.202(b) of the 255C3 for vacant Channel 293C3 at than 25 employees,’’ pursuant to the Commission’s rules, 47 CFR Section Crowell, Texas. Finally, in order to allot Small Business Paperwork Relief Act of 73.202(b). The Commission requests Channel 255C3 at Crowell, Texas, 2002, Public Law 107–198, see 44 U.S.C. comment on a petition filed by LKCM petitioner requests that the Commission 3506(c)(4). Radio Licenses, L.P. (‘‘Petitioner’’), change the channel of the vacant The Provisions of the Regulatory proposing the substitution of Channel allotment at Quanah, Texas, from Flexibility Act of 1980 do not apply to 288C2 for vacant Channel 239C2 at Channel 255C3 to Channel 251C3. this proceeding. Members of the public Rule, Texas; substitution of Channel Channel 255C3 can be allotted at should note that from the time a Notice 293A for vacant Channel 291A at Knox Crowell, Texas, in compliance with the of Proposed Rule Making is issued until City, Texas; substitution of Channel Commission’s minimum distance the matter is no longer subject to 255C3 for vacant Channel 293C3 at separation requirements with a site Commission consideration or court Crowell, Texas; and substitution of restriction of 9.2 km (5.7 miles) north of review, all ex parte contacts are Channel 251C3 for vacant Channel Crowell. The proposed coordinates for prohibited in Commission proceedings, 255C3 at Quanah, Texas. See Channel 255C3 at Crowell are 34–03–58 such as this one, which involve channel SUPPLEMENTARY INFORMATION infra. North Latitude and 99–43–52 West allotments. See 47 CFR 1.1204(b) for DATES: Comments must be filed on or Longitude. Channel 293A can be rules governing permissible ex parte before December 1, 2008, and reply allotted at Knox City, Texas, in contacts. comments on or before December 16, compliance with the Commission’s For information regarding proper 2008. minimum distance separation filing procedures for comments, see 47 ADDRESSES: Federal Communications requirements with a site restriction of CFR 1.415 and 1.420. Commission, Washington, DC 20554. In 2.7 km (1.6 miles) northeast of Knox List of Subjects in 47 CFR Part 73 addition to filing comments with the City. The proposed coordinates for FCC, interested parties should serve the Channel 293A at Knox City are 33–25– Radio, Radio broadcasting. designated petitioner’s counsel as 55 North Latitude and 99–47–43 West For the reasons discussed in the follows: Mark N. Lipp, Esq., Scott Longitude. Channel 251C3 can be preamble, the Federal Communications
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Commission proposes to amend 47 CFR 20070727ABV. A staff engineering collection requirements subject to the part 73 as follows: analysis indicates that Channel 259A Paperwork Reduction Act of 1995, can be allotted to Beatty consistent with Public Law 104–13. In addition, PART 73—RADIO BROADCAST the minimum distance separation therefore, it does not contain any SERVICES requirements of the Rules with a site proposed information collection burden 1. The authority citation for part 73 restriction 8.6 kilometers (5.3 miles) ‘‘for small business concerns with fewer continues to read as follows: west located at reference coordinates than 25 employees,’’ pursuant to the 36–56–05 NL and 116–51–00 WL. Small Business Paperwork Relief Act of Authority: 47 U.S.C. 154, 303, 334, 336. Additionally, Channel 262C1 can be 2002, Public Law 107–198, see 44 U.S.C. § 73.202 [Amended] allotted to Goldfield consistent with the 3506(c)(4). 2. Section 73.202(b), the Table of FM minimum distance separation Provisions of the Regulatory Allotments under Texas, is amended by requirements of the Commission’s Rules Flexibility Act of 1980 do not apply to removing Channel 293C3 and by adding (the ‘‘Rules’’) with a site restriction 0.6 this proceeding. kilometers (0.4 miles) northeast of the Channel 255C3 at Crowell; by removing Members of the public should note community located at reference Channel 291A and by adding Channel that from the time a Notice of Proposed 293A at Knox City; by removing coordinates 37–42–41 NL and 117–13– 56 WL. Rule Making is issued until the matter Channel 255C3 and by adding Channel is no longer subject to Commission DATES: 251C3 at Quanah; and by removing Comments must be filed on or consideration or court review, all ex Channel 239C2 and by adding Channel before December 1, 2008, and reply parte contacts are prohibited in comments on or before December 16, 288C2 at Rule. Commission proceedings, such as this 2008. Federal Communications Commission. one, which involve channel allotments. John A. Karousos, ADDRESSES: Secretary, Federal See 47 CFR 1.1204(b) for rules Assistant Chief, Audio Division, Media Communications Commission, 445 governing permissible ex parte contacts. Bureau. Twelfth Street, SW., Washington, DC For information regarding proper [FR Doc. E8–25321 Filed 10–22–08; 8:45 am] 20554. In addition to filing comments filing procedures for comments, see 47 with the FCC, interested parties should BILLING CODE 6712–01–P CFR 1.415 and 1.420. serve the petitioner, as follows: John S. Neely, Esq., Counsel to Keilly Miller, List of Subjects in 47 CFR Part 73 Miller and Neely, P.C., 6900 Wisconsin FEDERAL COMMUNICATIONS Radio, Radio broadcasting. COMMISSION Avenue, Suite 704, Bethesda, MD 20815. For the reasons discussed in the 47 CFR Part 73 FOR FURTHER INFORMATION CONTACT: preamble, the Federal Communications Rolanda F. Smith, Media Bureau, (202) Commission proposes to amend 47 CFR [DA 08–2273; MB Docket No. 08–68; RM– Part 73 as follows: 11421] 418–2180. SUPPLEMENTARY INFORMATION: This is a PART 73—RADIO BROADCAST Radio Broadcasting Services; Beatty synopsis of the Commission’s Notice of SERVICES and Goldfield, NV Proposed Rule Making, MB Docket No. AGENCY: Federal Communications 08–68, adopted October 8, 2008, and 1. The authority citation for part 73 Commission. released October 10, 2008. The full text continues to read as follows: ACTION: Proposed rule. of this Commission decision is available Authority: 47 U.S.C. 154, 303, 334, 336. for inspection and copying during SUMMARY: The Audio Division at the normal business hours in the FCC’s § 73.202 [Amended] request of Keilly Miller proposes the Reference Information Center at Portals 2. Section 73.202(b), the Table of FM allotment of Channel 259A at Beatty, II, CY–A257, 445 Twelfth Street, SW., Allotments under Nevada, is amended Nevada and Channel 262C1 at Washington, DC 20554. This document by adding Beatty, Channel 259A and by Goldfield, Nevada to accommodate a may also be purchased from the adding Goldfield, Channel 262C1. hybrid FM change of community of Commission’s duplicating contractors, license application that proposes the Best Copy and Printing, Inc., 445 12th Federal Communications Commission. substitution of Channel 261C3 for Street, SW., Room CY–B402, John A. Karousos, Channel 261C at Beatty, Nevada, Washington, DC 20554, telephone 1– Assistant Chief, Audio Division, Media reallotment of Channel 261C3 from 800–378–3160 or via e-mail http:// Bureau. Beatty, Nevada to Crystal, Nevada, as its www.BCPIWEB.com. This document [FR Doc. E8–25347 Filed 10–22–08; 8:45 am] first local service. See File No. BMPH– does not contain proposed information BILLING CODE 6712–01–P
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Notices Federal Register Vol. 73, No. 206
Thursday, October 23, 2008
This section of the FEDERAL REGISTER the collection of information unless it Total Burden Hours: 29. contains documents other than rules or displays a currently valid OMB control Charlene Parker, proposed rules that are applicable to the number. public. Notices of hearings and investigations, Departmental Information Collection committee meetings, agency decisions and Forest Service Clearance Officer. rulings, delegations of authority, filing of [FR Doc. E8–25313 Filed 10–22–08; 8:45 am] petitions and applications and agency Title: Qualified Products List for statements of organization and functions are Water Enhancers. BILLING CODE 3410–11–P examples of documents appearing in this section. OMB Control Number: 0596–0182. Summary of Collection: The Forest DEPARTMENT OF AGRICULTURE Service (FS) objective is, ‘‘To have DEPARTMENT OF AGRICULTURE available and utilize adequate types and Agricultural Research Service quantities of qualified fire chemical Submission for OMB Review; Notice of Intent To Grant Exclusive products to accomplish fire Comment Request License management activities safely, October 20, 2008. efficiently, and effectively.’’ To AGENCY: Agricultural Research Service, The Department of Agriculture has accomplish their objective, FS evaluates USDA. submitted the following information chemical products that may be used in collection requirement(s) to OMB for direct wildland fire suppression ACTION: Notice of intent. review and clearance under the operations prior to their use on lands Paperwork Reduction Act of 1995, managed by the FS. Safe products do SUMMARY: Notice is hereby given that Public Law 104–13. Comments not include ingredients that create an the U.S. Department of Agriculture, regarding (a) whether the collection of enhanced risk, in typical use, to either Agricultural Research Service, intends information is necessary for the proper the firefighters involved or the public in to grant to the University of Mississippi performance of the functions of the general. of University, Mississippi, an exclusive agency, including whether the license to U.S. Patent Application Serial Need and Use of the Information: FS information will have practical utility; No. 12/136,341, ‘‘Method to Ameliorate will collect the listing of individual (b) the accuracy of the agency’s estimate Oxidative Stress and Improve Working ingredients and quantity of these of burden including the validity of the Memory via Pterostilbene ingredients in the formulation of a methodology and assumptions used; (c) Administration’’, filed on June 10, 2008. ways to enhance the quality, utility and product being submitted for evaluation clarity of the information to be in order to test the products. The entity DATES: Comments must be received collected; (d) ways to minimize the submitting the information provides the within thirty (30) days of the date of burden of the collection of information FS with the specific ingredients used in publication of this Notice in the Federal on those who are to respond, including its product and identifies the specific Register. through the use of appropriate source of supply for each ingredient. For ADDRESSES: Send comments to: USDA, automated, electronic, mechanical, or Water Enhancer products the FS ARS, Office of Technology Transfer, other technological collection requires that a Technical Data Form be 5601 Sunnyside Avenue, Rm. 4–1174, techniques or other forms of information completed, the information collected Beltsville, Maryland 20705–5131. technology should be addressed to: Desk here is specific mixing requirements Officer for Agriculture, Office of and hydration requirements for water FOR FURTHER INFORMATION CONTACT: June Information and Regulatory Affairs, enhancer products. The information Blalock of the Office of Technology Office of Management and Budget provided will allow the FS to search the Transfer at the Beltsville address given (OMB), above; telephone: 301–504–5989. [email protected] or List of Known and Suspected Carcinogens, as well as the Environment fax (202) 395–5806 and to Departmental SUPPLEMENTARY INFORMATION: The Clearance Office, USDA, OCIO, Mail Protection Agency’s List of Highly Federal Government’s patent rights in Stop 7602, Washington, DC 20250– Hazardous Materials, to determine if this invention are assigned to the United 7602. Comments regarding these any of the ingredients appear on any of States of America, as represented by the these lists. Without the information FS information collections are best assured Secretary of Agriculture. The would not be able to assess the safety of of having their full effect if received prospective exclusive license will be the wildland fire chemicals utilized on within 30 days of this notification. royalty-bearing and will comply with FS managed land, since the specific Copies of the submission(s) may be the terms and conditions of 35 U.S.C. ingredients and the quantity of each obtained by calling (202) 720–8681. 209 and 37 CFR 404.7. The prospective An agency may not conduct or ingredients used in a formulation would exclusive license may be granted unless, sponsor a collection of information not be known. within thirty (30) days from the date of unless the collection of information Description of Respondents: Business this published Notice, the Agricultural displays a currently valid OMB control or other for-profit. number and the agency informs Research Service receives written potential persons who are to respond to Number of Respondents: 2. evidence and argument which the collection of information that such Frequency of Responses: Reporting: establishes that the grant of the license persons are not required to respond to Other (once). would not be consistent with the
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requirements of 35 U.S.C. 209 and 37 Animal Welfare Act. Information SUMMARY: The Department of CFR 404.7. collected includes the following: Commerce, as part of its continuing preference of workshop date, signature, effort to reduce paperwork and Richard J. Brenner, name, title, organization name, mailing respondent burden, invites the general Assistant Administrator. address, phone and fax numbers, and e- public and other Federal agencies to [FR Doc. E8–25256 Filed 10–22–08; 8:45 am] mail address. Five questions are asked take this opportunity to comment on BILLING CODE 3410–03–P regarding database searching proposed and/or continuing information experience, membership on an collections, as required by the Institutional Animal Care and Use Paperwork Reduction Act of 1995. DEPARTMENT OF AGRICULTURE Committee, and goals for attending the DATES: Written comments must be National Agricultural Library workshop. submitted on or before December 22, Estimate of Burden: Public reporting 2008. burden for this collection of information Notice of Intent To Seek Approval To ADDRESSES: Direct all written comments is estimated to average 5 minutes per Collect Information to Diana Hynek, Departmental response. Paperwork Clearance Officer, AGENCY: National Agricultural Library, Respondents: Principal investigators, Department of Commerce, Room 6625, Agricultural Research Service, USDA. members of Institutional Animal Care 14th and Constitution Avenue, NW., ACTION: Notice and Request for and Use Committees, animal care Washington, DC 20230 (or via the Comments. personnel, veterinarians, information Internet at [email protected]). providers, and administrators of animal SUMMARY: In accordance with the use programs. FOR FURTHER INFORMATION CONTACT: Paperwork Reduction Act of 1995 and Estimated Number of Respondents: 34 Requests for additional information or Office of Management and Budget per year. copies of the information collection (OMB) regulations, this notice Estimated Total Annual Burden on instrument and instructions should be announces the National Agricultural Respondents: 3 hours. directed to Larry Hall, BIS ICB Liaison, Library’s intent to request an extension Comments are invited on (a) whether (202)482–4895, [email protected]. of a currently approved information the proposed collection of information SUPPLEMENTARY INFORMATION: collection form related to the Animal is necessary for the proper performance I. Abstract Welfare Information Center’s (AWIC) of the functions of the agency, including workshop, Meeting the Information whether the information will have This collection of information is Requirements of the Animal Welfare practical utility; (b) the accuracy of the required by section 232 of the Trade Act. This workshop registration form agency’s estimate of the burden of the Expansion Act of 1962. The public may requests the following information from proposed collection of information, request that the Department of participants: contact information, including the validity of the Commerce investigate the effect of affiliation, and database searching methodology and the assumptions used; imports of specific items on the national experience. Participants include (c) ways to enhance the quality, utility, security of the United States. The principal investigators, members of and clarity of the information to be request must include information and Institutional Animal Care and Use collected; and (d) ways to minimize the data on the domestic industry, foreign committees, animal care technicians, burden of the collection of information imports and the capability of the United facility managers, veterinarians, and on those who respond, including the Stated to restore domestic administrators of animal use programs. use of appropriate automated, manufacturing capacity in the event of DATES: Comments on this notice much electronic, mechanical, or other a national emergency. be received by December 29, 2008 to be technology. Comments should be sent to The findings, including possible assured of consideration. the address in the preamble. All adjustments to imports through tariffs, ADDRESSES: Address all comments responses to this notice will be will be publicly available and are concerning this notice to Sandra Ball, summarized and included in the request reported to Congress. Information Technology Specialist, for (OMB) approval. All comments will II. Method of Collection USDA, ARS, NAL Animal Welfare become a matter of public record. Submitted in paper form. Information Center, 10301 Baltimore Dated: September 3, 2008. Avenue, Room #410, Beltsville, MD Antoinette Betschart, III. Data 20705–2351. Submit electronic Associate Administrator, ARS. OMB Control Number: 0694–0120. comments to: [email protected]. [FR Doc. E8–25255 Filed 10–22–08; 8:45 am] Form Number(s): None. FOR FURTHER INFORMATION CONTACT: BILLING CODE 3410–03–P Type of Review: Regular submission. Sandra Ball, Information Technology Affected Public: Business or other for- Specialist. Phone: 301–504–6212 or Fax: profit and not-for-profit organizations. 301–504–7125. Estimated Number of Respondents: 1. SUPPLEMENTARY INFORMATION: DEPARTMENT OF COMMERCE Estimated Time Per Response: 3,000 Title: Workshop Registration, Meeting hours. the Information Requirements of the Bureau of Industry and Security Estimated Total Annual Burden Animal Welfare Act. Hours: 3,000. Proposed Information Collection; OMB Number: 0518–033. Estimated Total Annual Cost to Comment Request; Investigations Expiration Date: 02/27/2009. Public: $0. Type of Request: To extend currently Under Section 232 of the Trade approved data collection form. Expansion Act IV. Request for Comments Abstract: This Web-based form AGENCY: Bureau of Industry and Comments are invited on: (a) Whether collects information to register Security, Commerce. the proposed collection of information respondents in the workshop, Meeting is necessary for the proper performance ACTION: Notice. the Information Requirements of the of the functions of the agency, including
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whether the information shall have October 1, 2006, to September 30, 2007. DATES: Written comments must be practical utility; (b) the accuracy of the Ivaco submitted its case brief on August submitted on or before December 22, agency’s estimate of the burden 11, 2008. Petitioners 1 submitted their 2008. (including hours and cost) of the rebuttal brief on August 18, 2008. The ADDRESSES: You may submit comments proposed collection of information; (c) final results are currently due not later by any of the following methods: ways to enhance the quality, utility, and than November 7, 2008. • E-mail: [email protected]. clarity of the information to be Extension of Time Limit for Final Include ‘‘0651–0045 comment’’ in the collected; and (d) ways to minimize the Results subject line of the message. burden of the collection of information • Fax: 571–273–0112, marked to the on respondents, including through the Section 751(a)(3)(A) of the Tariff Act attention of Susan Fawcett. use of automated collection techniques of 1930, as amended (the Act), requires • Mail: Susan K. Fawcett, Records or other forms of information the Department to issue the final results Officer, Office of the Chief Information technology. of an administrative review within 120 Officer, Customer Information Services Comments submitted in response to days after the date on which the Group, Public Information Services this notice will be summarized and/or preliminary results were published. Division, United States Patent and included in the request for OMB However, if it is not practicable to Trademark Office, P.O. Box 1450, approval of this information collection; complete the review within this time Alexandria, VA 22313–1450. they also will become a matter of public period, section 751(a)(3)(A) of the Act • Federal Rulemaking Portal: http:// record. allows the Department to extend the www.regulations.gov. time limit for the final results up to 180 Dated: October 20, 2008. FOR FURTHER INFORMATION CONTACT: days from the date of publication of the Gwellnar Banks, preliminary results. Requests for additional information Management Analyst, Office of the Chief We determine that it is not practicable should be directed to Katherine Queen, Information Officer. to complete the final results of this Information Technology Security [FR Doc. E8–25297 Filed 10–22–08; 8:45 am] review within current statutory limits. Program Office, United States Patent BILLING CODE 3510–33–P The Department requires additional and Trademark Office, P.O. Box 1450, time to evaluate the extensive comments Alexandria, VA 22313–1450; by provided by parties on the level of trade telephone at 571–272–8993; or by e-mail DEPARTMENT OF COMMERCE issue. Therefore, we are extending the at [email protected]. SUPPLEMENTARY INFORMATION: International Trade Administration deadline for the final results of this review by 35 days, until not later than I. Abstract [A–122–840] December 12, 2008, in accordance with section 751(a)(3)(A) of the Act. The United States Patent and Carbon and Certain Alloy Steel Wire We are issuing and publishing this Trademark Office (USPTO) uses Public Rod From Canada: Extension of Time notice in accordance with sections Key Infrastructure (PKI) technology to Limit for Final Results of Antidumping 751(a)(1), 751(a)(3)(A), and 777(i)(1) of support electronic commerce between Duty Administrative Review the Act. the USPTO and its customers. PKI is a set of hardware, software, policies, and AGENCY: Import Administration, Dated: October 17, 2008. procedures that provide important International Trade Administration, Gary Taverman, security services for the electronic Department of Commerce. Acting Deputy Assistant Secretary for Import business activities of the USPTO, EFFECTIVE DATE: October 23, 2008. Administration. including protecting the confidentiality FOR FURTHER INFORMATION CONTACT: [FR Doc. E8–25312 Filed 10–22–08; 8:45 am] of unpublished patent applications in Steve Bezirganian or Robert James, AD/ BILLING CODE 3510–DS–S accordance with 35 U.S.C. 122 and 37 CVD Operations, Office 7, Import CFR 1.14, as well as protecting Administration, International Trade international patent applications in Administration, U.S. Department of DEPARTMENT OF COMMERCE accordance with Article 30 of the Patent Commerce, 14th Street and Constitution Patent and Trademark Office Cooperation Treaty. Avenue NW, Washington, DC 20230; In order to provide the necessary telephone: (202) 482–1131 or (202) 482– Public Key Infrastructure (PKI) security for its electronic commerce 0649, respectively. Certificate Action Form systems, the USPTO uses PKI SUPPLEMENTARY INFORMATION: technology to protect the integrity and ACTION: Proposed collection; comment confidentiality of information submitted Background request. to the USPTO. PKI employs public and On July 10, 2008, the Department private encryption keys to authenticate published the preliminary results of this SUMMARY: The United States Patent and the customer’s identity and support administrative review of the Trademark Office (USPTO), as part of its secure electronic communication antidumping duty order on carbon and continuing effort to reduce paperwork between the customer and the USPTO. certain alloy steel wire rod from Canada. and respondent burden, invites the Customers may submit a request to the See Notice of Preliminary Results of general public and other Federal USPTO for a digital certificate, which Antidumping Duty Administrative agencies to take this opportunity to enables the customer to create the Review: Carbon and Certain Alloy Steel comment on the continuing information encryption keys necessary for electronic Wire Rod From Canada, 73 FR 39646 collection, as required by the Paperwork identity verification and secure (July 10, 2008). This review covers Ivaco Reduction Act of 1995, Public Law 104– transactions with the USPTO. This Rolling Mills 2004 L.P. (formerly Ivaco 13 (44 U.S.C. 3506(c)(2)(A)). digital certificate is required in order to Rolling Mills L.P.) and Sivaco Ontario (a access secure online systems that are 1 ISG Georgetown Inc., Gerdau Ameristeel U.S. division of Sivaco Wire Group 2004 Inc., Nucor Steel Connecticut Inc., Keystone provided by the USPTO for transactions L.P.) (formerly Ivaco, Inc.), (collectively Consolidated Industries, Inc., and Rocky Mountain such as electronic filing of patent referred to as ‘‘Ivaco’’), for the period Steel Mills applications and viewing confidential
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information about unpublished patent online without having to contact Certificate Action Form, and submit the applications. USPTO support staff. completed request. The USPTO estimates that it will take the public This information collection includes II. Method of Collection the Certificate Action Form (PTO–2042), approximately 10 minutes (0.17 hours) The Certificate Action Form must be which is used by the public to request to complete and electronically submit notarized and may be mailed or hand a new digital certificate, the revocation the information required for Certificate delivered to the USPTO. The Certificate Self-Recovery. of a current certificate, or the recovery Self-Recovery Form is submitted online Estimated Total Annual Respondent of a lost or corrupted certificate. through the USPTO Web site. Burden Hours: 1,383 hours per year. Customers may also change the name III. Data Estimated Total Annual Respondent listed on the certificate or associate the Cost Burden: $167,343 per year. The certificate with one or more previously OMB Number: 0651–0045. USPTO expects that 70% of the assigned Customer Numbers. A Form Number(s): PTO–2042. submissions for this collection will be certificate request must include a Type of Review: Extension of a prepared by paraprofessionals, 15% by notarized signature in order to verify the currently approved collection. attorneys, and 15% by independent identity of the applicant. The Certificate Affected Public: Individuals or inventors. Using those proportions and Action Form also has an accompanying households; businesses or other for- the estimated rates of $100 per hour for subscriber agreement to ensure that profits; and not-for-profit institutions. paraprofessionals, $310 per hour for customers understand their obligations Estimated Number of Respondents: associate attorneys in private firms, and regarding the use of the digital 4,126 responses per year. $30 per hour for independent inventors, certificates and cryptographic software. Estimated Time per Response: The the USPTO estimates that the average When generating a new certificate, USPTO estimates that it will take the rate for those respondents will be customers may provide additional public approximately 30 minutes (0.5 approximately $121 per hour. Therefore, information for a set of security hours) to read the instructions and the estimated total respondent cost questions and answers that will enable subscriber agreement, gather the burden for this collection will be customers to recover a lost certificate necessary information, prepare the $167,343 per year.
Estimated time Estimated Estimated Item for response annual annual (minutes) responses burden hours
Certificate Action Form (including Subscriber Agreement) (PTO–2042) ...... 30 2,063 1,032 Certificate Self-Recovery Form ...... 10 2,063 351
Totals ...... 4,126 1,383
Estimated Total Annual (Non-hour) The total (non-hour) respondent cost Dated: October 16, 2008. Respondent Cost Burden: $4,992. There burden for this collection in the form of Susan K. Fawcett, are no capital start-up costs, recordkeeping costs and postage costs is Records Officer, USPTO, Office of the Chief maintenance costs, or filing fees estimated to be $4,992 per year. Information Officer, Customer Information associated with this information Services Group, Public Information Services collection. However, this collection IV. Request for Comments Division. [FR Doc. E8–25280 Filed 10–22–08; 8:45 am] does have annual (non-hour) cost Comments are invited on: (a) Whether burden in the form of recordkeeping BILLING CODE 3510–16–P the proposed collection of information costs and postage costs associated with is necessary for the proper performance the Certificate Action Form. of the functions of the agency, including This collection has recordkeeping DEPARTMENT OF COMMERCE costs due to the notarization whether the information shall have requirement for authenticating the practical utility; (b) the accuracy of the Patent and Trademark Office signatures on the Certificate Action agency’s estimate of the burden (including hours and cost) of the Privacy Act of 1974; System of Form. The USPTO estimates that the Records average fee for having a signature proposed collection of information; (c) notarized is $2 and that 2,063 responses ways to enhance the quality, utility, and AGENCY: United States Patent and for these forms will be submitted clarity of the information to be Trademark Office, Commerce. collected; and (d) ways to minimize the annually, for a total recordkeeping cost ACTION: Notice of amendment of Privacy of $4,126 per year. burden of the collection of information Act system of records. This collection also has postage costs on respondents, e.g., the use of for submitting the Certificate Action automated collection techniques or SUMMARY: In accordance with the Form to the USPTO by mail. The form other forms of information technology. requirements of the Privacy Act of 1974, cannot be faxed or submitted Comments submitted in response to as amended, the United States Patent electronically because it requires an this notice will be summarized or and Trademark Office (USPTO) is original notarized signature for identity included in the request for OMB amending the system of records verification. The USPTO estimates that approval of this information collection; currently listed under ‘‘COMMERCE/ the first-class postage cost for these PAT–TM–18 USPTO Identification and they also will become a matter of public forms will be 42 cents and that it will Security Access Control Systems.’’ This record. receive 2,063 mailed responses action is being taken to revise the annually, for a total postage cost of Privacy Act Notice to include the approximately $866 per year. information necessary for identification
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cards that meet the standards set by Identification Standard for Federal the PIV program include: PIV card serial Homeland Security Presidential Employees and Contractors’’ (August 27, number; digital certificate(s) serial Directive 12 (HSPD–12) ‘‘Policy for a 2004), which mandates a common number; PIV card issuance and Common Identification Standard for identity standard for Federal employees expiration dates; PIV card PIN; Federal Employees and Contractors’’ and contractors on duty for more than Cardholder Unique Identifier (CHUID); (August 27, 2004). The system of six months. and card management keys. records will also be renamed The revised system of records is being Individuals enrolled in the USPTO ‘‘COMMERCE/PAT–TM–18 USPTO renamed ‘‘COMMERCE/PAT–TM–18 PIVSACS will be issued a PIV card. The Personal Identification Verification USPTO Personal Identification PIV card contains the following (PIV) and Security Access Control Verification (PIV) and Security Access mandatory visual personally identifiable Systems.’’ We invite the public to Control Systems’’ and is published in its information: Name, photograph, comment on the amended system noted entirety below. employee affiliation, PIV card issue and in this publication. expiration date, agency card serial COMMERCE/PAT–TM–18 DATES: Written comments must be number, and color-coding for employee affiliation. The card also contains an received no later than November 24, SYSTEM NAME: integrated circuit chip which is encoded 2008. The proposed amendments will USPTO Personal Identification with the following mandatory data become effective on November 24, 2008, Verification (PIV) and Security Access unless the USPTO receives comments elements which comprise the standard Control Systems. data model for PIV logical credentials: that would result in a contrary PIV card PIN, cardholder unique determination. SECURITY CLASSIFICATION: Sensitive but unclassified. identifier (CHUID), PIV authentication ADDRESSES: You may submit written digital certificate, and two fingerprint comments by any of the following SYSTEM LOCATION: biometric templates. The PIV data methods: Office of Corporate Services, Office of model may be optionally extended to • E-mail: [email protected]. Security and Safety, United States include the following logical • Fax: (571) 273–6247, marked to the Patent and Trademark Office, 600 credentials: Digital certificate for digital attention of J.R. Garland. Dulany Street, Alexandria, VA 22314. signature, digital certificate for key • Mail: Calib P. Garland, Jr., Director management, card authentication keys, of Security and Safety, United States CATEGORIES OF INDIVIDUALS COVERED BY THE and card management system keys. All Patent and Trademark Office, 551 John SYSTEM: PIV logical credentials can only be read Carlyle Street 1A21, Alexandria, VA All agency employees, contractors, by machine. 22314. consultants, and volunteers who require AUTHORITY FOR MAINTENANCE OF THE SYSTEM: • Federal Rulemaking Portal: http:// routine, long-term access (180 days or www.regulations.gov. more) to USPTO facilities, information 5 U.S.C. 301; 35 U.S.C. 2; E.O. 9397; Federal Information Security All comments received will be available technology systems, and networks. At its discretion, the USPTO may include Management Act (Pub. L. 107–296, Sec. for public inspection at the Federal 3544); E-Government Act (Pub. L. 107– rulemaking portal located at short-term employees and contractors in the PIV ID program and, therefore, 347, Sec. 203); Government Paperwork www.regulations.gov and on the USPTO Elimination Act (Pub. L. 105–277, 44 Web site at www.uspto.gov. inclusion into the USPTO Personal Identification Verification and Security U.S.C. 3504); Homeland Security FOR FURTHER INFORMATION CONTACT: Access Control System (PIVSACS). The Presidential Directive 12 (HSPD–12) Calib P. Garland, Jr., Director, Office of system does not apply to occasional ‘‘Policy for a Common Identification Security and Safety, United States visitors or short-term guests. The Standard for Federal Employees and Patent and Trademark Office, P.O. Box USPTO will issue temporary Contractors’’ (August 27, 2004). 1450, Alexandria, VA 22313–1450, (571) identification and credentials for those PURPOSE(S): 272–8000. purposes. SUPPLEMENTARY INFORMATION: The The primary purposes of the system United States Patent and Trademark CATEGORIES OF RECORDS IN THE SYSTEM: are to ensure the safety and security of Office (USPTO) proposes to revise an Enrollment records maintained in the USPTO facilities, systems, or existing system of records that is subject PIVSACS and on individuals applying information, and of facility occupants to the Privacy Act of 1974. The system for the PIV program and a PIV credential and users; to provide for interoperability is entitled ‘‘COMMERCE/PAT–TM–18 through the USPTO HSPD–12 system and trust in allowing physical access to USPTO Identification and Security contained within the PIVSACS include individuals entering other Federal Access Control Systems,’’ and was last the following data fields: Full name; facilities; and to allow logical access to published on December 14, 2004 (69 FR Social Security number; employee ID USPTO information systems, networks, 74502). This system maintains number, date of birth; current address; and resources. information to produce photo digital color photograph; fingerprints; ROUTINE USES OF RECORDS MAINTAINED IN THE identification cards for access to USPTO biometric template (two fingerprints); SYSTEM, INCLUDING CATEGORIES OF USERS AND facilities as well as for building security, organization; employee affiliation; work THE PURPOSES OF SUCH USES: for identifying the bearer of the card as e-mail address; work telephone In addition to those disclosures a Federal employee or contractor, for number(s); copies of identity source generally permitted under 5 U.S.C. changing access permissions on cards, documents; employee status; foreign 552a(b) of the Privacy Act, all or a and for tracking stolen or lost cards. The national status; federal emergency portion of the records or information system of records is being revised to response official status; results of contained in this system may be describe the additional types of background check; Government agency disclosed outside the USPTO as a information being collected by the code; and PIV card issuance location. routine use pursuant to 5 U.S.C. USPTO as required by Homeland Records in the PIV ID Management 552a(b)(3) as follows: Security Presidential Directive 12 System (IDMS) needed for credential a. To the Department of Justice when: (HSPD–12) ‘‘Policy for a Common management for enrolled individuals in (1) The agency or any component
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thereof; (2) any employee of the agency f. To agency contractors, grantees, or POLICIES AND PRACTICES FOR STORING, in his or her official capacity; (3) any volunteers who have been engaged to RETRIEVING, ACCESSING, RETAINING, AND employee of the agency in his or her assist the agency in the performance of DISPOSING OF RECORDS IN THE SYSTEM: individual capacity where the agency or a contract service, grant, cooperative STORAGE: the Department of Justice has agreed to agreement, or other activity related to Records are stored in electronic files. represent the employee; or (4) the this system of records and who need to United States Government is a party to have access to the records in order to RETRIEVABILITY: litigation or has an interest in such perform their activity. Recipients shall Records may be retrieved by name of litigation, and by careful review, the be required to comply with the the individual, Cardholder Unique agency determines that the records are requirements of the Privacy Act of 1974, Identification Number, employee ID, both relevant and necessary to the as amended (5 U.S.C. 552a), the Federal and/or by any other unique individual litigation and the use of such records by Information Security Management Act identifier. the Department of Justice is therefore (Pub. L. 107–296), and associated Office SAFEGUARDS: deemed by the agency to be for a of Management and Budget (OMB) Consistent with the requirements of purpose compatible with the purpose policies, standards and guidance from the Federal Information Security for which the agency collected the the National Institute of Standards and Management Act (Pub. L. 107–296) and records. Technology, and the General Services associated OMB policies, standards and b. To a court or adjudicative body in Administration. guidance from the National Institute of a proceeding when: (1) The agency or g. To a Federal, state, local, or Standards and Technology, and the any component thereof; (2) any international agency, or tribal or other General Services Administration, the employee of the agency in his or her public authority, on request, in USPTO Office of Security and Safety official capacity; (3) any employee of the connection with the hiring or retention protects all records from unauthorized agency in his or her individual capacity of an employee, the issuance or access through appropriate where the agency or the Department of retention of a security clearance, the administrative, physical, and technical Justice has agreed to represent the letting of a contract, or the issuance or safeguards. Access is restricted on a employee; or (4) the United States retention of a license, grant, or other ‘‘need to know’’ basis, utilization of PIV Government is a party to litigation or benefit, to the extent that the card access, secure network access, and has an interest in such litigation, and by information is relevant and necessary to card readers on doors and approved careful review, the agency determines the requesting agency’s decision. that the records are both relevant and storage containers. The building has h. To the OMB when necessary to the necessary to the litigation and the use of security guards and secured doors. All review of private relief legislation such records is therefore deemed by the entrances are monitored through pursuant to OMB Circular No. A–19. agency to be for a purpose that is electronic surveillance equipment. The compatible with the purpose for which i. To a Federal, State, or local agency, hosting facility is supported by 24/7 the agency collected the records. or other appropriate entities or onsite hosting and network monitoring c. Except as noted on Forms SF 85, SF individuals, or through established by trained technical staff. Physical 85–P, and SF 86, when a record on its liaison channels to selected foreign security controls include indoor and face, or in conjunction with other governments, in order to enable an outdoor security monitoring and records, indicates a violation or intelligence agency to carry out its surveillance; badge and picture ID potential violation of law, whether civil, responsibilities under the National access screening; and pincode access criminal, or regulatory in nature, and Security Act of 1947, as amended; the screening. Personally identifiable whether arising by general statute or CIA Act of 1949, as amended; Executive information is safeguarded and particular program statute, or by Order 12333 or any successor order; and protected in conformance with all regulation, rule, or order issued applicable national security directives, Federal statutory and OMB guidance pursuant thereto, disclosure may be or classified implementing procedures requirements. All access has role-based made to the appropriate public approved by the Attorney General and restrictions, and individuals with access authority, whether Federal, foreign, promulgated pursuant to such statutes, privileges have undergone vetting and State, local, or tribal, or otherwise, orders, or directives. suitability screening. All data is responsible for enforcing, investigating j. To designated agency personnel for encrypted in transit. The USPTO will or prosecuting such violation or charged controlled access to specific records for maintain an audit trail and perform with enforcing or implementing the the purposes of performing authorized random periodic reviews to identify statute, or rule, regulation, or order audit or authorized oversight and unauthorized access. Persons given issued pursuant thereto, if the administrative functions. All access is roles in the PIV process must be information disclosed is relevant to any controlled systematically through approved by the USPTO and complete enforcement, regulatory, investigative or authentication using PIV credentials training specific to their roles to ensure prosecutorial responsibility of the based on access and authorization rules they are knowledgeable about how to receiving entity. for specific audit and administrative protect personally identifiable d. To a Member of Congress or to a functions. information. Congressional staff member in response k. To the Office of Personnel to an inquiry of the Congressional office Management in accordance with the RETENTION AND DISPOSAL: made at the written request of the agency’s responsibility for evaluation of Records retention and disposal is in constituent about whom the record is Federal personnel management. accordance with the series records maintained. l. To the Federal Bureau of schedules. The records on government e. To the National Archives and Investigation for the National Criminal employees and contractor employees are Records Administration or to the History check. retained for the duration of their General Services Administration for employment at the USPTO. Other records management inspections DISCLOSURE TO CONSUMER REPORTING individuals’ records are kept for the conducted under 44 U.S.C. 2904 and AGENCIES: duration of their affiliation with the 2906. Not applicable. USPTO and then treated as employee
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records. The records on separated DEPARTMENT OF DEFENSE ACTION: Quarterly Meeting Notice. employees are destroyed or sent to the SUMMARY: Federal Records Center in accordance Office of the Secretary Under the provisions of the Federal Advisory Committee Act of with General Records Schedule 18. Membership of the Defense 1972 (5 U.S.C., Appendix, as amended) Information Systems Agency Senior SYSTEM MANAGER(S) AND ADDRESS: and the Sunshine in the Government Executive Service Performance Review Act of 1976 (5 U.S.C. 552b, as Director, Office of Security and Board amended), this notice announces the Safety, United States Patent and following meeting of the Board of AGENCY: Defense Information Systems Trademark Office, P.O. Box 1450, Regents of the Uniformed Services Agency, DoD. Alexandria, VA 22313–1450. University of the Health Sciences ACTION: Notice. (USU). NOTIFICATION PROCEDURE: SUMMARY: This notice announces the DATES: Tuesday, November 18, 2008, Information about the records appointment of members to the Defense from 8:30 a.m. to 1 p.m. contained in this system may be Information Systems Agency (DISA) ADDRESSES: Board of Regents obtained by sending a request in Performance Review Board. The Conference Room (D3001), Uniformed writing, signed, to the system manager Performance Review Board provides a Services University of the Health at the address above. When requesting fair and impartial review of Senior Sciences, 4301 Jones Bridge Road, Executive Service (SES) Performance notification of or access to records Bethesda, Maryland 20814. appraisals and makes recommendations FOR FURTHER INFORMATION CONTACT: covered by this notice, requesters to the Acting Director, Defense Janet S. Taylor, Designated Federal should provide the appropriate Information Systems Agency, regarding Official, 4301 Jones Bridge Road, information in accordance with the final performance ratings and Bethesda, Maryland 20814; telephone inquiry provisions appearing in 37 CFR performance awards for DISA SES 301–295–3066. Ms. Taylor can also part 102, subpart B. members. provide base access procedures. DATES RECORD ACCESS PROCEDURES: : Effective Date: Upon publication SUPPLEMENTARY INFORMATION: of this notice in the Federal Register. Purpose of the Meeting: Meetings of Requests from individuals should be FOR FURTHER INFORMATION CONTACT: Ms. the Board of Regents assure that USU addressed to the system manager at the Patti Wai, SES Program Manager, operates in the best traditions of address above. Individuals must furnish Defense Information Systems Agency, academia. An outside Board is their full names for their records to be P.O. Box 4502, Arlington, Virginia necessary for institutional accreditation. located and identified. See ‘‘Notification 22204–4502, (703) 607–4411. Agenda: The actions that will take procedure’’ above. SUPPLEMENTARY INFORMATION: In place include the approval of minutes accordance with 5 U.S.C. 4214(c)(4), the from the Board of Regents Meeting held CONTESTING RECORD PROCEDURES: following are the names and titles of August 5, 2008; acceptance of The general provisions for access, DISA career executives appointed to administrative reports; approval of contesting contents, and appealing serve as members of the DISA faculty appointments and promotions; Performance Review Board. Appointees initial determinations by the individual and the awarding of masters and will serve one-year terms, effective upon concerned appear in 37 CFR part 102, doctoral degrees in nursing, the publication of this notice. biomedical sciences and public health. subpart B. Requests from individuals Mr. John J. Penkoske, Jr., Director, The President, USU; Dean, USU School should be addressed to the system Manpower, Personnel, and Security, of Medicine; Dean, USU Graduate manager at the address above. DISA, Chairperson. School of Nursing; Director, Armed Individuals must furnish their full Ms. Paige R. Atkins, Director, Defense Forces Radiobiology Research Institute; names for their records to be located Spectrum Organization, DISA, Member. Director, Military Cancer Institute; and and identified. See ‘‘Notification Mr. Anthony S. Montemarano, the President, USU Faculty Senate will procedure’’ above. Component Acquisition Executive, also present reports. These actions are DISA, Member. necessary for the University to pursue RECORD SOURCE CATEGORIES Mr. Jimaye H. Sones, Chief Financial : its mission, which is to provide Executive/Comptroller, DISA, Member. Employees, contractors, and other outstanding health care practitioners applicants, and those authorized by the Dated: October 15, 2008. and scientists to the uniformed services. subject individuals to furnish Patricia L. Toppings, Meeting Accessibility: Pursuant to information. OSD Federal Register Liaison Officer, Federal statute and regulations (5 U.S.C. Department of Defense. 552b, as amended, and 41 CFR 102– EXEMPTIONS CLAIMED FOR THE SYSTEM: [FR Doc. E8–25301 Filed 10–22–08; 8:45 am] 3.140 through 102–3.165) and the BILLING CODE 5001–06–P availability of space, this meeting is None. completely open to the public. Seating Dated: October 16, 2008. is on a first-come basis. DEPARTMENT OF DEFENSE Susan K. Fawcett, Written Statements: Interested persons may submit a written statement Records Officer, USPTO, Office of the Chief Office of the Secretary for consideration by the Board of Information Officer, Customer Information Regents. Individuals submitting a Services Group, Public Information Services Board of Regents of the Uniformed written statement must submit their Division. Services University of the Health statement to the Designated Federal [FR Doc. E8–25279 Filed 10–22–08; 8:45 am] Sciences Official at the address listed above. If BILLING CODE 3510–16–P AGENCY: Department of Defense; such statement is not received at least Uniformed Services University of the 10 calendar days prior to the meeting, Health Sciences. it may not be provided to or considered
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by the Board of Regents until its next of the nuclear weapons stockpile, and DEPARTMENT OF DEFENSE open meeting. The Designated Federal other matters related to the Defense Official will review all timely Threat Reduction Agency’s mission. Office of the Secretary submissions with the Board of Regents Meeting Agenda: The Committee will [Docket ID: DoD–2008–OS–0129] Chairman and ensure such submissions receive summaries of current activities are provided to Board of Regents related to combating WMD as well as Privacy Act of 1974; System of Members before the meeting. After nuclear deterrent transformation Records reviewing the written comments, submitters may be invited to orally activities from the USD AT&L, ATSD AGENCY: Defense Logistics Agency, DoD. present their issues during the (NCB) and Director of DTRA. Panel ACTION: Notice to amend a system of November 2008 meeting or at a future summaries from five ad-hoc working records. meeting. Panels (Chemical-Biological Warfare Defense, Systems and Technology, SUMMARY: The Defense Logistics Agency Dated: October 15, 2008. Combating Weapons of Mass is amending a system of records notice Patricia L. Toppings, Destruction, Nuclear Deterrent in its existing inventory of record OSD Federal Register Liaison Officer, Transformation, and Intelligence) will systems subject to the Privacy Act of Department of Defense. be provided for committee discussion. 1974, (5 U.S.C. 552a), as amended. [FR Doc. E8–25300 Filed 10–22–08; 8:45 am] DATES: This proposed action will be Meeting Accessibility: Pursuant to 5 BILLING CODE 5001–06–P effective without further notice on U.S.C. 552b, as amended, and 41 CFR November 24, 2008 unless comments 102–3.155, the Department of Defense are received which result in a contrary DEPARTMENT OF DEFENSE has determined that the meeting shall be determination. closed to the public. The Under Office of the Secretary ADDRESSES: Send comments to the Secretary of Defense for Acquisition, Privacy Act Officer, Headquarters, Technology and Logistics, in Federal Advisory Committee Meeting Defense Logistics Agency, ATTN: DP, consultation with the Office of the DoD Notice 8725 John J. Kingman Road, Stop 2533, General Counsel, has determined in Fort Belvoir, VA 22060–6221. AGENCY: Defense Threat Reduction writing that the public interest requires FOR FURTHER INFORMATION CONTACT: Ms. Agency, Office of the Under Secretary of that all sessions of this meeting be Jody Sinkler at (703) 767–5045. Defense for Acquisition, Technology closed to the public because they will be SUPPLEMENTARY INFORMATION: The and Logistics; Department of Defense. concerned with matters listed in section Defense Logistics Agency systems of ACTION: Notice of closed meeting. § 552b(c)(1) of title 5, United States records notices subject to the Privacy Code. SUMMARY: Under the provisions of the Act of 1974, (5 U.S.C. 552a), as Federal Advisory Committee Act of Written Statements: Pursuant to 41 amended, have been published in the 1972 (5 U.S.C., Appendix, as amended) CFR 102–3.105(j) and 102–3.140, the Federal Register and are available from and the Sunshine Act of 1976 (5 U.S.C. public or interested organizations may the address above. 552b, as amended) the Department of submit written statements to the The specific changes to the record Defense announces the following membership of the Committee at any system being amended are set forth Federal advisory committee meeting of time or in response to the stated agenda below followed by the notice, as the Threat Reduction Advisory of a planned meeting. Written amended, published in its entirety. The Committee (Hereafter referred to as the statements should be submitted to the proposed amendments are not within Committee). Committee’s Designated Federal Officer; the purview of subsection (r) of the Privacy Act of 1974, (5 U.S.C. 552a), as DATES: Thursday, December 18, 2008, (8 the Designated Federal Officer’s contact a.m. to 4 p.m.) and Friday, December 19, information can be obtained from the amended, which requires the 2008, (10 a.m. to 11:30 a.m.). GSA’s FACA Database—https:// submission of a new or altered system report. ADDRESSES: Defense Threat Reduction www.fido.gov/facadatabase/public.asp. Agency, Defense Threat Reduction Written statements that do not pertain Dated: October 15, 2008. Center Building, Conference Room G, to a scheduled meeting of the Patricia L. Toppings, Room 1252, 8725 John J. Kingman Road, Committee may be submitted at any OSD Federal Register Liaison Officer, Department of Defense. Fort Belvoir, Virginia 22060–6201, and time. However, if individual comments the USD (AT&L) Conference Room pertain to a specific topic being S100.60 GC (3A912A), the Pentagon, Washington, discussed at a planned meeting then SYSTEM NAME: DC. these statements must be submitted no FOR FURTHER INFORMATION CONTACT: later than five business days prior to the Claims and Litigation (November 16, Contact Mr. Eric Wright, Defense Threat meeting in question. The Designated 2004, 69 FR 67112). Reduction Agency/AST, 8725 John J. Federal Officer will review all CHANGES: Kingman Road, MS 6201, Fort Belvoir, submitted written statements and Change system ID to ‘‘S170.05.’’ VA 22060–6201; E-mail: provide copies to all committee [email protected]; Phone: (703) 767– members. SYSTEM NAME: 4759; Fax: (703) 767–5701. Delete entry and replace with ‘‘Claims Dated: October 15, 2008. SUPPLEMENTARY INFORMATION: and Litigation Files.’’ Patricia L. Toppings, Purpose of Meeting: To obtain, review * * * * * and evaluate information related to the OSD Federal Register Liaison Officer, Committee’s mission to advise on Department of Defense. CATEGORIES OF RECORDS IN THE SYSTEM: technology security, combating weapons [FR Doc. E8–25303 Filed 10–22–08; 8:45 am] Delete entry and replace with of mass destruction (WMD), chemical BILLING CODE 5001–06–P ‘‘Records collected and maintained and biological defense, transformation include individual’s name, home or
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business address, telephone numbers, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETENTION AND DISPOSAL: details of the claim or litigation, and 5 U.S.C. 301, Departmental Claim records are destroyed 6 years settlement, resolution, or disposition Regulations; 10 U.S.C. 133, Under and 3 months after final settlement. documents.’’ Secretary of Defense for Acquisition, Litigation files are destroyed 6 years Technology, and Logistics; 10 U.S.C. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: after case closing except that patent 2386, Copyrights, patents, designs, etc.; infringement litigation files are Delete entry and replace with ‘‘5 acquisition; 28 U.S.C. 514, Legal destroyed after 26 years and copyright U.S.C. 301, Departmental Regulations; services on pending claims in infringement files are destroyed after 56 10 U.S.C. 133, Under Secretary of departments and agencies; 28 U.S.C. years. Defense for Acquisition, Technology, 1498, Patents and Copyright Cases; 31 and Logistics; 10 U.S.C. 2386, U.S.C., Chapter 37, Claims; 35 U.S.C., SYSTEM MANAGER(S) AND ADDRESS: Copyrights, patents, designs, etc.; Chap. 28, Infringement of Patent. General Counsel, Headquarters, acquisition; 28 U.S.C. 514, Legal PURPOSE(S): services on pending claims in Defense Logistics Agency, 8725 John J. To represent DLA in claims and departments and agencies; 28 U.S.C. Kingman Road, Suite 1644, Fort Belvoir, litigation. 1498, Patents and Copyright Cases; 31 VA 22060–6221 and the General U.S.C., Chapter 37, Claims; 35 U.S.C., ROUTINE USES OF RECORDS MAINTAINED IN THE Counsel at the Defense Logistics Agency Chap. 28, Infringement of Patent.’’ SYSTEM, INCLUDING CATEGORIES OF USERS AND Field Activity. THE PURPOSES OF SUCH USES: PURPOSE(S): In addition to those disclosures NOTIFICATION PROCEDURE: Delete entry and replace with ‘‘To generally permitted under 5 U.S.C. Individuals seeking to determine represent DLA in claims and litigation.’’ 552a(b) of the Privacy Act, these records whether information about them is * * * * * or information contained therein may contained in this system should address specifically be disclosed outside the written inquiries to the Privacy Act RETENTION AND DISPOSAL: DOD as a routine use pursuant to 5 Office, Headquarters, Defense Logistics Delete entry and replace with ‘‘Claim U.S.C. 552a(b)(3) as follows: Agency, ATTN: DGA, 8725 John J. To Federal, state, and local agencies records are destroyed 6 years and 3 Kingman Road, Suite 1644, Fort Belvoir, authorized to investigate, audit, act on, months after final settlement. Litigation VA 22060–6221. negotiate, adjudicate, represent, or settle files are destroyed 6 years after case claims or issues arising from litigation. Individuals must provide name of closing except that patent infringement To agencies, entities, or individuals litigant, year of incident, and should litigation files are destroyed after 26 who have or are expected to have contain court case number in order to years and copyright infringement files information concerning the claims or ensure proper retrieval in those are destroyed after 56 years.’’ litigation at issue. situations where a single litigant has * * * * * To the Internal Revenue Service for more than one case with the Agency. address verification or for matters under S170.05 their jurisdiction. RECORD ACCESS PROCEDURES: SYSTEM NAME: To Federal, state, and local Individuals seeking access to government agencies or other parties Claims and Litigation Files. information about them contained in involved in approving, licensing, this system should address written auditing, or otherwise having an SYSTEM LOCATION: inquiries to the Privacy Act Office, identified interest in intellectual Headquarters, Defense Logistics Agency, Office of the General Counsel, property issues. ATTN: DGA, 8725 John J. Kingman Headquarters Defense Logistics Agency, To defense contractors who have an Road, Suite 1644, Fort Belvoir, VA 8725 John J. Kingman Road, Suite 1644, identified interest in intellectual 22060–6221. Fort Belvoir, VA 22060–6221, and the property at issue. General Counsel Offices at the Defense The DOD ‘‘Blanket Routine Uses’’ Individuals must provide name of Logistics Agency Field Activities. apply to this system of records. litigant, year of incident, and should Addresses may be obtained from the contain court case number in order to POLICIES AND PRACTICES FOR STORING, System Manager. ensure proper retrieval in those RETRIEVING, ACCESSING, RETAINING, AND situations where a single litigant has DISPOSING OF RECORDS IN THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE more than one case with the Agency. SYSTEM: STORAGE: Individuals or entities who have filed Records may be stored on paper and CONTESTING RECORD PROCEDURES: claims or litigation against the Defense on electronic storage media. The DLA rules for accessing records, Logistics Agency (DLA) or against RETRIEVABILITY: for contesting contents, and appealing whom DLA has initiated such actions. Records are retrieved by individual’s initial agency determinations are The system may also include claims and name. contained in 32 CFR part 323, or may litigation filed against or on behalf of be obtained from the Privacy Act Office, other federal agencies that are serviced SAFEGUARDS: Headquarters, Defense Logistics Agency, by or receive legal support from DLA. Records are maintained in areas ATTN: DGA, 8725 John J. Kingman accessible only to DLA personnel who Road, Suite 1644, Fort Belvoir, VA CATEGORIES OF RECORDS IN THE SYSTEM: must use the records to perform their 22060–6221. Records collected and maintained duties. The computer files are password include individual’s name, home or protected with access restricted to EXEMPTIONS CLAIMED FOR THE SYSTEM: business address, telephone numbers, authorized users. Records are secured in None. details of the claim or litigation, and locked or guarded buildings, locked settlement, resolution, or disposition offices, or locked cabinets during non- [FR Doc. E8–25274 Filed 10–22–08; 8:45 am] documents. duty hours. BILLING CODE 5001–06–P
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DEPARTMENT OF DEFENSE CATEGORIES OF RECORDS IN THE SYSTEM: NOTIFICATION PROCEDURE: Add at beginning of paragraph Delete entry and replace with Office of Secretary ‘‘Name, Social Security Number (SSN), ‘‘Individuals seeking to determine [Docket ID: DoD–2008–OS–0130] address, phone number.’’ whether information about themselves is contained in this system should AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Privacy Act of 1974; System of address written inquiries to the National Records Delete entry and replace with ‘‘10 Security Agency/Central Security U.S.C. Sections 115, 331–335; and Service, Freedom of Information Act/ AGENCY: National Security Agency/ Chapters 1002, 1005, 1007, and 1201– Privacy Office, 9800 Savage Road, Ft. Central Security Service, DoD. 1805; DoD Directive 5100.20, National George G. Meade, MD 20755–6000. ACTION: Notice to amend system of Security Agency and Central Security Written inquiries should contain the records. Service; DoD Instruction 3305.8, individual’s full name, Social Security Management and Administration of the Number (SSN) and mailing address.’’ SUMMARY: The National Security Joint Reserve Intelligence Program; Agency/Central Security Service is NSA/CSS Policy 4–27, NSA/CSS RECORD ACCESS PROCEDURES: proposing to amend an exempt system Military Reserve Program Policy Manual Delete entry and replace with of records to its existing inventory of and E.O. 9397 (SSN)’’. ‘‘Individuals seeking access to record systems subject to the Privacy information about themselves contained Act of 1974, (5 U.S.C. 552a), as ROUTINE USES OF RECORDS MAINTAINED IN THE in this system should address written SYSTEM, INCLUDING CATEGORIES OF USERS AND amended. inquiries to the National Security THE PURPOSES OF SUCH USES: DATES: This proposed action will be Agency/Central Security Service, Delete entry and replace with ‘‘In Freedom of Information Act/Privacy effective without further notice on addition to those disclosures generally November 24, 2008 unless comments Office, 9800 Savage Road, Ft. George G. permitted under 5 U.S.C. 552a(b) of the Meade, MD 20755–6000. are received which result in a contrary Privacy Act, these records or determination. Written inquiries should contain the information contained therein may individual’s full name, Social Security ADDRESSES: Send comments to the specifically be disclosed outside the Number (SSN) and mailing address.’’ National Security Agency/Central DoD as a routine use pursuant to 5 Security Service, Office of Policy, 9800 U.S.C. 552a(b)(3). CONTESTING RECORD PROCEDURES: Savage Road, Suite 6248, Ft. George G. The DoD ‘Blanket Routine Uses’ Delete entry and replace with ‘‘The Meade, MD 20755–6248. published at the beginning of the NSA/ NSA/CSS rules for contesting contents FOR FURTHER INFORMATION CONTACT: Ms. CSS’s compilation of record systems and appealing initial determinations are Anne Hill at (301) 688–6527. also apply to this record system’’. published at 32 CFR part 322 or may be SUPPLEMENTARY INFORMATION obtained by written request addressed to : The STORAGE: National Security Agency’s record the National Security Agency/Central Delete entry and replace with ‘‘Paper system notices for records systems Security Service, Freedom of records in file folders and electronic subject to the Privacy Act of 1974 (5 Information Act/Privacy Office, 9800 storage media’’. U.S.C. 552a), as amended, have been Savage Road, Ft. George G. Meade, MD published in the Federal Register and RETRIEVABILITY: 20755–6000’’. are available from the address above. Delete entry and replace with ‘‘By * * * * * The specific changes to the record name and Social Security Number GNSA 04 system being amended are set forth (SSN)’’. below followed by the notice, as SYSTEM NAME: SAFEGUARDS: amended, published in its entirety. The NSA/CSS Military Reserve Personnel proposed amendment is not within the Delete entry and replace with Data. purview of subsection (r) of the Privacy ‘‘Buildings are secured by a series of Act of 1974, (5 U.S.C. 552a), as guarded pedestrian gates and SYSTEM LOCATION: amended, which requires the checkpoints. Access to facilities is Primary location: National Security submission of a new or altered system limited to security-cleared personnel Agency/Central Security Service, Ft. report. and escorted visitors only. Within the George G. Meade, MD 20755–6000. Dated: October 15, 2008. facilities themselves, access to paper Decentralized segments: Each staff, Patricia Toppings, and computer printouts are controlled line, field element and military service by limited-access facilities and lockable OSD Federal Register Liaison Officer, as authorized and appropriate. Department of Defense. containers. Access to electronic means is limited and controlled by computer CATEGORIES OF INDIVIDUALS COVERED BY THE GNSA 04 password protection.’’ SYSTEM: Inactive duty military reserve SYSTEM NAME: RETENTION AND DISPOSAL: personnel assigned to NSA mobilization NSA/CSS Military Reserve Personnel Delete entry and replace with billets, requesting to perform on-the-job Data Base (February 22, 1993, 58 FR ‘‘Destroy upon separation of the training in NSA work centers, or 10531). individual from the Agency or the scheduled to attend formal and resident Reserve Program’’. courses of instruction under the CHANGES: auspices or sponsorship of NSA. * * * * * SYSTEM MANAGER(S) AND ADDRESS: Delete entry and replace with ‘‘NSA CATEGORIES OF RECORDS IN THE SYSTEM: SYSTEM NAME: Reserve Forces Director, National Name, Social Security Number (SSN), Delete entry and replace with ‘‘NSA/ Security Agency/Central Security address, phone number; CSS Military Reserve Personnel Data’’. Service, Ft. George Meade, MD 20755– correspondence, papers, and forms * * * * * 6000’’. relating to individual’s service extracted
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from his/her military personnel records qualifications of reservists to analyze RECORD ACCESS PROCEDURES: including but not limited to military their training needs and to ascertain the Individuals seeking access to service, enlistment or related service eligibility of reservists for promotions, information about themselves contained agreement/extension/orders, active duty awards, special duty assignments, and in this system should address written records; duty status, reserve status; similar reasons. inquiries to the National Security qualifications for active military duty Agency/Central Security Service, ROUTINE USES OF RECORDS MAINTAINED IN THE assignments; clearance data; Freedom of Information Act/Privacy applications/nominations for SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: Office, 9800 Savage Road, Ft. George G. assignments; pictures; military check- Meade, MD 20755–6000. In addition to those disclosures in/out sheets; military skill specialty Written inquiries should contain the generally permitted under 5 U.S.C. evaluation data; active duty training; individual’s full name, Social Security 552a(b) of the Privacy Act, these records service record brief, military personnel Number (SSN) and mailing address. utilization survey; correspondence or information contained therein may courses, educational/academic records; specifically be disclosed outside the CONTESTING RECORD PROCEDURES: DoD as a routine use pursuant to 5 applications for I.D.; efficiency or fitness The NSA/CSS rules for contesting U.S.C. 552a(b)(3). records; application/prior service contents and appealing initial enlistment documents; work The DoD ‘Blanket Routine Uses’ determinations are published at 32 CFR experiences; professionalization published at the beginning of the NSA/ part 322 or may be obtained by written documentation; achievement CSS’s compilation of record systems request addressed to the National certificates, suggestions; personnel also apply to this record system. Security Agency/Central Security screening and evaluation records; POLICIES AND PRACTICES FOR STORING, Service, Freedom of Information Act/ acknowledgment of service Privacy Office, 9800 Savage Road, Ft. requirements; temporary disability RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: George G. Meade, MD 20755–6000. record; change of name; documents relating to promotion or non-selection, STORAGE: RECORD SOURCE CATEGORIES: transfers, leave, pay entitlements, Paper records in file folders and Individual reservists and service financial records, awards, health or electronic storage media. reserve personnel files. medical records, reports of proceedings of physical fitness boards, birth RETRIEVABILITY: EXEMPTIONS CLAIMED FOR THE SYSTEM: certificates, citizenship statements and By name and Social Security Number Individual records in this file may be status; passport, questionnaire/records (SSN). exempt pursuant to 5 U.S.C. 552a(k)(1) of security clearances, language and (k)(5), as applicable. capability, language proficiency SAFEGUARDS: An exemption rule for this record questionnaire; flight records, aviator Buildings are secured by a series of system has been promulgated according flight records, instrument certification guarded pedestrian gates and to the requirements of 5 U.S.C. papers; reduction in grade release, checkpoints. Access to facilities is 553(b)(1), (2), and (3), (c) and (e) and retirement, temporary duty, record of limited to security-cleared personnel published in 32 CFR part 322. For retirement points; correspondence and/ and escorted visitors only. Within the additional information contact the or orders relating to dependents, service facilities themselves, access to paper system manager. action, federal recognition orders, and computer printouts are controlled correspondence relating to badges, by limited-access facilities and lockable [FR Doc. E8–25298 Filed 10–22–08; 8:45 am] medals, and unit awards, including containers. Access to electronic means BILLING CODE 5001–06–P foreign decorations; correspondence/ is limited and controlled by computer letters/administrative reprimands/ password protection. censures/admonitions relating to DEPARTMENT OF DEFENSE apprehensions/confinement and RETENTION AND DISPOSAL: Office of the Secretary of Defense discipline. Destroy upon separation of the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: individual from the Agency or the Termination of Federal Advisory 10 U.S.C. Sections 115, 331–335; and Reserve Program. Committee Chapters 1002, 1005, 1007, and 1201– SYSTEM MANAGER(S) AND ADDRESS: AGENCY: Department of Defense. 1805; DoD Directive 5100.20, National Security Agency and Central Security NSA Reserve Forces Director, ACTION: Notice. Service; DoD Instruction 3305.8, National Security Agency/Central Management and Administration of the Security Service, Ft. George Meade, MD SUMMARY: Under the provisions of the Joint Reserve Intelligence Program; 20755–6000. Federal Advisory Committee Act of 1972, (5 U.S.C. Appendix, as amended), NSA/CSS Policy 4–27, NSA/CSS NOTIFICATION PROCEDURE: Military Reserve Program Policy Manual the Government in the Sunshine Act of and E.O. 9397 (SSN). Individuals seeking to determine 1976 (5 U.S.C. 552b, as amended), and whether information about themselves 41 CFR 102–3.65, the Department of PURPOSE(S): is contained in this system should Defense gives notice that it is To maintain current and accurate address written inquiries to the National terminating the United States European listings of reserve personnel designated Security Agency/Central Security Command Senior Advisory Group as of to mobilize with the National Security Service, Freedom of Information Act/ September 30, 2008. The United States Agency, offered as nominees for NSA Privacy Office, 9800 Savage Road, Ft. European Command Senior Advisory Mobilization billets, requesting formal George G. Meade, MD 20755–6000. Group is a discretionary federal and resident training courses, or seeking Written inquiries should contain the advisory committee that is being on-the-job training in NSA work centers. individual’s full name, Social Security terminated pursuant to section 906(b) of To determine professional and technical Number (SSN) and mailing address. Public Law 110–181.
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FOR FURTHER INFORMATION CONTACT: Dated: October 15, 2008. and tuition to individuals’ graduate Frank Wilson, DoD Committee Patricia Toppings, education institutions for 3 years and Management Officer, 703–601–2554. OSD Federal Register Liaison Officer, maintain records of payments. Department of Defense. Dated: October 15, 2008. ROUTINE USES OF RECORDS MAINTAINED IN THE Patricia L. Toppings, F036 AFMC K DoD SYSTEM, INCLUDING CATEGORIES OF USERS, AND OSD Federal Register Liaison Officer, PURPOSES OF SUCH USES: SYSTEM NAME: Department of Defense. In addition to those disclosures [FR Doc. E8–25305 Filed 10–22–08; 8:45 am] National Defense Science and generally permitted under 5 U.S.C. Engineering Graduate Fellowship BILLING CODE 5001–06–P 552a(b) of the Privacy Act, these records Program Records. or information contained therein may SYSTEM LOCATION: specifically be disclosed outside the DEPARTMENT OF DEFENSE American Society for Engineering DoD as a routine use pursuant to 5 Education (ASEE), 1818 N Street, NW., U.S.C. 552a(b)(3) as follows: Department of the Air Force Suite 600, Washington, DC 20036–2479. To American Society for Engineering Education to comply with statutory [Docket ID: USAF–2008–0023] CATEGORIES OF INDIVIDUALS COVERED BY THE requirements. This will include SYSTEM: information necessary to pay stipends Privacy Act of 1974; System of University students (U.S. citizens by direct deposit, provide required Records only) are pursuing graduate degrees in reports to the IRS and pay tuitions to science and engineering fields critical to students’ graduate education AGENCY: Department of the Air Force, Department of Defense requirements. institutions. DoD. The ‘Blanket Routine Uses’ published CATEGORIES OF RECORDS IN THE SYSTEM: at the beginning of the Air Force’s ACTION: Notice to add a system of Individual’s name, resident state, records. compilation of systems of records mailing address, e-mail address, and notices apply to this system. telephone numbers, date and place of SUMMARY: The Department of the Air birth, citizenship, Selective Service POLICIES AND PRACTICES FOR STORING, Force is proposing to add a system of registry, undergraduate institution(s), RETRIEVING, ACCESSING, RETAINING, AND records in its inventory of record attendance dates, major studies, DISPOSING OF RECORDS IN THE SYSTEM: systems subject to the Privacy Act of degree(s) (earned/expected), grade point STORAGE: 1974 (5 U.S.C. 552a), as amended. average (GPA), area of specialization, proposed graduate institution, lists of Paper records in file folders and DATES: The changes will be effective on electronic storage media. November 24, 2008 unless comments publications and presentations, awards and honors, professional experiences, are received that would result in a RETRIEVABILITY: contrary determination. scientific and research experiences, leadership experiences, teamwork Individual’s name and/or Social ADDRESSES: Send comments to the Air experiences, professional and academic Security Number (SSN). Force Privacy Act Officer, Office of goals, academic references, Graduate SAFEGUARDS: Warfighting Integration and Chief Record Examination (GRE) Registration Information Officer, SAF/XCX, 1800 Air Number and Test Scores, and university Records are maintained in a Force Pentagon, Suite 220, Washington, transcripts. controlled facility. Physical entry is DC 20330–1800. For students awarded and accepting restricted by the use of locks, guards, fellowships: Social Security Number and is accessible only to authorized FOR FURTHER INFORMATION CONTACT: Mr. (SSN) and bank account number to personnel. Access to records is limited Kenneth Brodie at (703) 696–7557. allow direct deposit of stipends and to person(s) responsible for servicing the record in performance of their official SUPPLEMENTARY INFORMATION: The reporting to the Internal Revenue duties and who are properly screened Department of the Air Force notices for Service (IRS). and cleared for need-to-know. Access to systems of records subject to the Privacy AUTHORITY FOR MAINTENANCE OF THE SYSTEM: computerized data is restricted by Act of 1974 (5 U.S.C. 552a), as amended, passwords, which are changed have been published in the Federal 10 U.S.C. 113, Secretary of Defense; periodically. Register and are available from the 10 U.S.C. 3013, Secretary of the Army; 10 U.S.C. 5013, Secretary of the Navy; address above. RETENTION AND DISPOSAL: 10 U.S.C. 8013, Secretary of the Air The proposed systems reports, as Force; 10 U.S.C. 2191, Graduate Three years for applicant files not required by 5 U.S.C. 552a(r) of the fellowships; 32 CFR Part 168a, National awarded fellowships. Ten years for Privacy Act of 1974, as amended, were Defense Science and Engineering applicant files awarded fellowships. submitted October 9, 2008, to the House Graduate Fellowships; and E.O. 9397 Records are destroyed by incineration Committee on Government Oversight (SSN). and files stored on CD ROMs are and Reform, the Senate Committee on shredded. Homeland Security and Governmental PURPOSE: Affairs, and the Office of Management To maintain documentation of the SYSTEM MANAGER AND ADDRESS: and Budget (OMB) pursuant to applications and processes necessary to Department of Air Force, National paragraph 4c of Appendix I to OMB screen applicants and to evaluate and Defense Science and Engineering Circular No. A–130, ‘‘Federal Agency select the most promising students to Graduate Fellowship Program Manager, Responsibilities for Maintaining award fellowships. Approximately 200 AFRL/AFOSR/PIE, Air Force Office of Records About Individuals,’’ dated 3-year awards are made each year. The Scientific Research, 875 North February 8, 1996 (February 20, 1996, 61 American Society for Engineering Randolph Street, Suite 325, Room 3112, FR 6427). Education will pay stipends to awardees Arlington, VA 22203–1768.
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NOTIFICATION PROCEDURE: are received that would result in a AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Individuals seeking to determine contrary determination. 10 U.S.C. 503, Enlistments: Recruiting whether information about themselves ADDRESSES: Send comments to the Air Campaigns, and Air Education and is contained in this system should Force Privacy Act Officer, Office of Training Command Instruction 36– address written inquiries to American Warfighting Integration and Chief 2002, Recruiting Procedures for the Air Society for Engineering Education, the Information Officer, SAF/XCX, 1800 Air Force; and E.O. 9397(SSN). National Defense Science and Force Pentagon, Suite 220, Washington, PURPOSE(S): Engineering Graduate Fellowship DC 20330–1800. Program, 1818 N St., NW., Washington, The system will provide field FOR FURTHER INFORMATION CONTACT: DC 20036–2479. Mr. recruiters an automated tool to process Written requests should contain Kenneth Brodie at (703) 696–7557. prospective Active, Guard and Reserve individual’s name, e-mail and mailing SUPPLEMENTARY INFORMATION: The applicants; evaluate recruiter’s and job address, and bear the signature of the Department of the Air Force’s record counselor’s activity and efficiency requester. system notices for records systems levels; and analyze pre-enlistment job subject to the Privacy Act of 1974 (5 cancellations for common reasons. RECORD ACCESS PROCEDURE: U.S.C. 552a), as amended, have been ROUTINE USES OF RECORDS MAINTAINED IN THE Individuals seeking access to records published in the Federal Register and SYSTEM INCLUDING CATEGORIES OF USERS AND about themselves contained in the are available from the address above. THE PURPOSES OF SUCH USE: system of records should address The proposed system report, as In addition to those disclosures written inquiries to American Society required by 5 U.S.C. 522a(r) of the generally permitted under 5 U.S.C. for Engineering Education, The National Privacy Act of 1974, as amended, was 552A(b) of the Privacy Act of 1974, Defense Science and Engineering submitted on October 10, 2008, to the these records or information contained Graduate Fellowship Program, 1818 N House Committee on Government therein may be specifically disclosed St., NW., Washington, DC 20036–2479. Reform, the Senate Committee on outside the Department of Defense as a Written requests should contain Homeland Security and Governmental routine use pursuant to 5 U.S.C. individual’s name, e-mail and mailing Affairs, and the Office of Management 552a(b)(3) as follows: address, and bear the signature of the and Budget (OMB) pursuant to The ‘‘Blanket Routine Uses’’ request. paragraph 4c of Appendix I to OMB published at the beginning of the Air CONTESTING RECORDS PROCEDURES: Circular No. A–130, ‘Federal Agency Force’s compilation of systems of Responsibilities for Maintaining records notices apply to this system. The Air Force rules for accessing, and Records About Individuals,’ dated for contesting contents and appealing POLICIES AND PRACTICES FOR STORING, February 8, 1996 (February 20, 1996, 61 initial agency determinations are RETRIEVING, ACCESSING, RETAINING, AND FR 6427). published in Air Force Instruction 33– DISPOSING OF RECORDS IN THE SYSTEM: 332, Privacy Act Program; 32 CFR part Dated: October 15, 2008. STORAGE: 806b; or may be obtained from the Patricia Toppings, Paper records in file folders and system manager. Federal Register Liaison Officer, Department electronic storage media. of Defense. RECORD SOURCE CATEGORIES: RETRIEVABILITY: Individual; information is obtained F036 AETC R Name or Social Security Number from applicants, their references, and SYSTEM NAME: (SSN). universities. Air Force Recruiting Information SAFEGUARDS: EXEMPTIONS CLAIMED FOR THE SYSTEM: Support System (AFRISS) Records. Records are accessed only by None. person(s) responsible with a need to SYSTEM LOCATION: [FR Doc. E8–25273 Filed 10–22–08; 8:45 am] know for servicing the system of records Headquarters, Air Force Recruiting in performance of their official duties BILLING CODE 5001–06–P Service, Directorate, Division, Branch, and those authorized personnel who are 550 D Street West, Suite 1, Randolph properly screened and cleared. Access DEPARTMENT OF DEFENSE AFB, TX 78150–4527. to the system utilizes encryption software. Records in computer storage Department of the Air Force CATEGORIES OF INDIVIDUALS COVERED BY THE devices are protected by computer SYSTEM: system software. [Docket ID: USAF–2008–0024] Prospective Air Force enlisted and RETENTION AND DISPOSAL: officer personnel entering Active, Guard Privacy Act of 1974; System of Enlistment processing records, Records and Reserve duty and Air Force enlisted personnel on recruiting duty. recruiter personnel records, and AGENCY: Department of the Air Force, personal interview records (PIR) are DoD. CATEGORIES OF RECORDS IN THE SYSTEM: archived and later destroyed after no longer needed. ACTION: Notice To Add a System of Name, Social Security Number (SSN), Records Notice. scores on all qualification tests, mailing SYSTEM MANAGER(S) AND ADDRESS: address, educational level, prior service Chief, Operations Division, SUMMARY: The Department of the Air history, age, sex, race, marital status, Headquarters, Air Force Recruiting Force proposes to add a system of and number of dependents physical job Service, 550 D Street West, Suite 1, records notice to its inventory of records qualifications, job preferences, jobs Randolph AFB, TX 78150–4527. systems subject to the Privacy Act of offered and accepted, recruiting and 1974 (5 U.S.C. 552a), as amended. processing locations, education data, NOTIFICATION PROCEDURES: DATES: The action will be effective on dates of processing, and other personal Individuals seeking to determine November 24, 2008 unless comments data relevant to the recruitment process. whether information about themselves
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is contained in this system of records Place of Meeting—Huntsville CFR 102–3.150(b), waives the 15- should address written inquiries to the Marriott, 5 Tranquility Base, Huntsville, calendar day notification requirement. Operations Division, Headquarters, Air AL 35805. Brenda S. Bowen, Force Recruiting Service, 550 D Street FOR FURTHER INFORMATION CONTACT: West, Suite 1, Randolph AFB, TX For Army Federal Register Liaison Officer. 78150–4527. information, please contact Ms. Vivian [FR Doc. E8–25282 Filed 10–22–08; 8:45 am] Request must contain full name, Baylor at [email protected] BILLING CODE 3710–08–P Social Security Number, and current or at 703–604–7472 or Mr. Justin mailing address. Bringhurst at [email protected] or at DEPARTMENT OF DEFENSE RECORD ACCESS PROCEDURES: 703–604–7468. Written submissions are Department of Army Individuals seeking access to to be submitted to the following information about themselves contained address: Army Science Board, ATTN: [Docket ID: USA–2008–0076] in this system of records should address Designated Federal Officer, 2511 written inquiries to or may visit the Jefferson Davis Highway, Suite 11500, Privacy Act of 1974; System of Operations Division, Headquarters, Air Arlington, VA 22202–3911. Records Force Recruiting Service, 550 D Street SUPPLEMENTARY INFORMATION: Proposed AGENCY: Department of the Army, DoD. West, Suite 1, Randolph AFB, TX Agenda: The Army Science Board will ACTION: Notice to delete a System of 78150–4527, Monday through Friday meet on November 5–6, 2008. Purpose Records. between the hours of 8 a.m. and 4 p.m. of the meeting 5 November is to Identification is required. SUMMARY: The Department of the Army welcome new members to the Board, is deleting a system of records in its Request must contain full name, conduct annual required ethics training, Social Security Number, and current existing inventory of record systems and to conduct routine board mailing address. subject to the Privacy Act of 1974 (5 administrative functions. Briefings of U.S.C. 552a), as amended. interest on science and technology will CONTESTING RECORD PROCEDURES: DATES: This proposed action will be The Air Force rules for access to be provided by Army staff on 6 effective without further notice on records, and for contesting and November at Redstone Arsenal. November 24, 2008 unless comments appealing initial agency determinations Filing Written Statement: Pursuant to are received which result in a contrary by the individual concerned are 41 CFR 102–3.140d, the Committee is determination. published in Air Force Instruction 33– not obligated to allow the public to ADDRESSES: Send comments to the 332, Privacy Act Program, 32 CFR Part speak; however, interested persons may Department of the Army, Records 806b, or may be obtained from the submit a written statement for Management and Declassification system manager. consideration by the Subcommittees. Agency, Privacy Division, 7701 Individuals submitting a written Telegraph Road, Alexandria, VA 22315. RECORD SOURCE CATEGORIES: statement must submit their statement FOR FURTHER INFORMATION CONTACT: Ms. From the individual. to the Designated Federal Officer (DFO) Vicki Short at (703) 428–6508. FOR FURTHER EXEMPTIONS CLAIMED FOR THE SYSTEM: at the address listed (see SUPPLEMENTARY INFORMATION: The INFORMATION CONTACT section). Written None. Department of the Army systems of statements not received at least 10 records notices subject to the Privacy [FR Doc. E8–25295 Filed 10–22–08; 8:45 am] calendar days prior to the meeting, may Act of 1974 (5 U.S.C. 552a), as amended, BILLING CODE 5001–06–P not be provided to or considered by the have been published in the Federal subcommittees until its next meeting. Register and are available from the The DFO will review all timely address above. DEPARTMENT OF DEFENSE submissions with the subcommittee The Department of Army proposes to delete a system of records notice from Department of the Army Chairs and ensure they are provided to the specific subcommittee members its inventory of record systems subject Army Science Board Fall Meeting before the meeting. After reviewing to the Privacy Act of 1974 (5 U.S.C. written comments, the subcommittee 552a), as amended. The proposed AGENCY: Department of the Army, DoD. Chairs and the DFO may choose to deletion is not within the purview of ACTION: Notice of open meeting. invite the submitter of the comments to subsection (r) of the Privacy Act of 1974 orally present their issue during a future (5 U.S.C. 552a), as amended, which SUMMARY: Pursuant to the Federal open meeting. requires the submission of new or Advisory Committee Act of 1972 altered systems reports. The DFO, in consultation with the (5 U.S.C., Appendix, as amended), the Dated: October 15, 2008. subcommittee Chairs, may allot a Government in the Sunshine of 1976 Patricia L. Toppings, (U.S.C. 552b, as amended) and 41 Code specific amount of time for the members of the public to present their issues for OSD Federal Register Liaison Officer, of the Federal Regulations (CFR 102– Department of Defense. 3.140 through 160, the Department of review and discussion. the Army announces the following Additional Comments: Due to A055–355 MTMC committee meeting: scheduling difficulties the Army SYSTEM NAME: Name of Committee: Army Science Science Board was unable to finalize its Personal Property Movement and Board (ASB). agenda in time to publish notice of its Storage Records (February 1, 1996, 61 Date(s) of Meeting: November 5–6 meeting in the Federal Register for the FR 3685). 2008. 15-calendar days required by 41 CFR Time(s) of Meeting: 0800–1700, 102–3.150(a). Accordingly, the REASON: November 5, 2008, 0800–1700, Committee Management Officer for the These records are now covered under November 6, 2008. Department of Defense, pursuant to 41 notice F024 AF USTRANSCOM B DoD,
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DoD Transportation Repository Records market the technology; (2) REFOLDING OF TRUNCATED (June 12, 2008, 73 FR 33413). manufacturing and marketing ability; (3) RECOMBINANT MAJOR OUTER [FR Doc. E8–25272 Filed 10–22–08; 8:45 am] time required to bring technology to MEMBRANE PROTEIN ANTIGEN (R56) market and production rate; (4) OF ORIENTIA TSUTSUGAMUSHI AND BILLING CODE 5001–06–P royalties; (5) technical capabilities; and ITS USE IN ANTIBODY BASED (6) small business status. DETECTION ASSAYS AND DEPARTMENT OF DEFENSE Patent application Serial Number 11/ VACCINES’’ Filed on 12/27/2007; 11/ 700,970 ‘‘INTERIM DENTAL DRESSING 965,004 ‘‘EXPRESSION AND Department of the Navy AND RESTORATIVE MATERIAL’’ filed REFOLDING OF TRUNCATED 1/24/2007; 11/726,203 ‘‘METHOD FOR RECOMBINANT MAJOR OUTER Notice of Availability of Government- THE DETECTION OF TARGET MEMBRANE PROTEIN ANTIGEN (R56) Owned Inventions; Available for MOLECULES BY FLUORESCENCE OF ORIENTIA TSUTSUGAMUSHI AND Licensing POLARIZATION USING PEPTIDE ITS USE IN ANTIBODY BASED AGENCY: Department of the Navy, DoD. MIMICS’’ filed on 3/13/2007; 11/ DETECTION ASSAYS AND 789,122 ‘‘RECOMBINANT ANTIGENS VACCINES’’ filed on 12/28/2007; 11/ ACTION: Notice. FOR DIAGNOSIS AND PREVENTION 971,433 ‘‘ADENOVIRAL VECTOR- SUMMARY: The invention listed below is OF MURINE TYPHUS’’ filed on 4/19/ BASED MALARIA VACCINE’’ filed on assigned to the United States 2007; 11/800,955 ‘‘SECRETED 1/9/2008; 11/988,598 ‘‘ADHESIN- Government as represented by the CAMPYLOBACTER FLAGELLA ENTEROTOXOID CHIMERA VACCINE Secretary of the Navy. U.S. Patent No. COREGULATED PROTEINS AS FOR ENTEROTOXIGENIC 7,427,947: Aircrew Aid To Assess Jam IMMUNOGENS’’ filed on 5/8/2007; 11/ ESCHERICHIA COLI’’ filed on 1/10/ Effectiveness, Navy Case No. 98516. 800,948 ‘‘MULTIFUNCTIONAL BLOOD 2008; 12/103,112 ‘‘RECYCLING ADDRESSES: Requests for copies of the SUBSTITUTE (MBS)’’ filed on 5/8/2007; CONTAINER (TO MINIMIZE RELEASE inventions cited should be directed to 11/881,498 ‘‘RECOMBINANT OF Hg VAPOR) FOR THE COLLETION Naval Air Warfare Center Weapons ANTIGENS FOR DIAGNOSIS AND AND TEMPORARY STORAGE OF Division, Code 4L4400D, 1900 N. Knox PREVENTION OF MURINE TYPHUS MERCURY CONTAMINATED WASTES Road, Stop 6312, China Lake, CA (Murine typhus Ompb derived An and IN THE DENTAL OPERATORY’’ filed 93555–6106 and must include the Navy K fragments (similar to r56))’’ filed on 7/ on 4/15/2008; 12/163,412 Case number. 27/2007; 11/839,922 ‘‘VASCULAR ‘‘FLOURESCENCE POLARIZATION FOR FURTHER INFORMATION CONTACT: SHUNT CREATED FROM PTFE INSTRUMENTS AND METHODS FOR Michael D. Seltzer, Ph.D., Head, (POLYTETRAFLUOROETHYLENE) OR DETECTION OF EXPOSURE TO Technology Transfer Office, Naval Air OTHER NOVEL NON-COAGULATIVE BIOLOGICAL MATERIALS BY Warfare Center Weapons Division, Code MATERIALS’’ filed on 8/16/2007; 11/ FLUORESCENCE POLARIZATION 4L4400D, 1900 N. Knox Road, Stop 842,438 ‘‘METHODS FOR PROTECTING IMMUNOASSAY OF SALIVA OR ORAL 6312, China Lake, CA 93555–6106, AGAINST LETHAL INFECTION WITH FLUID’’ filed on 6/27/2008; 12/221,150 telephone: 760–939–1074, facsimile: BACILLUS ANTHRACIS’’ filed on 8/21/ ‘‘CAPSULE COMPOSITION FOR USE 760–939–1210, e-mail: 2007; 11/876,997 ‘‘ORIENTIA AS IMMUNOGEN AGAINST [email protected]. TSUTSUGAMUSHI TRUNCATED CAMPYLOBACTER JEJUNI’’ filed on 7/ RECOMBINANT OUTER MEMBRANE 25/2008; 61/025,045 (Authority: 35 U.S.C. 207, 37 CFR Part 404.7) PROTEIN (r47 AND r57) VACCINES ‘‘MULTIFUNCTIONAL ACRYLATES Dated: October 15, 2008. DIAGNOSTICS AND THERAPEUTICS USED AS CROSS-LINKERS IN DENTAL T.M. Cruz, FOR SCRUB TYPHUS AND HIV AND BIOMEDICAL SELF-ETCH Lieutenant Commander, Judge Advocate INFECTIONS’’ filed on 10/23/2007; 11/ BONDING ADHESIVES’’ filed on 1/31/ Generals Corps, U.S. Navy, Federal Register 982,488 ‘‘DENGUE DNA OR PIV-LAV 2008; 61/036,666 ‘‘VACCINE AND Liaison Officer. PRIME-BOOST VACCINATION IMMUNIZATION METHOD AGAINST [FR Doc. E8–25275 Filed 10–22–08; 8:45 am] AGAINST DENGUE VIRUS MALARIA CONTAINING BILLING CODE 3810–FF–P INFECTION’’ filed on 11/2 /2007; 11/ PLASMODIUM ANTIGEN 2’’ filed on 3/ 942,402 ‘‘METHODS FOR 14/2008; 61/054,022 ‘‘RECOMBINANT PROTECTION AGAINST LETHAL CHIMERIC ANTIGENS FOR DEPARTMENT OF DEFENSE INFECTION WITH BACILLUS DIAGNOSIS AND PREVENTION OF ANTHRACIS’’ filed on 11/19/2007; 11/ SCRUB TYPHUS’’ filed on 5/16/2008; Department of the Navy 942,343 ‘‘METHODS FOR 61/057,855 ‘‘NANOPARTICLE PROTECTION AGAINST LETHAL Notice of Availability of Government- ENCAPSULATED ANTIBIOTICS FOR INFECTION WITH BACILLUS CRANIAL IMPLANTATION Owned Inventions; Available for ANTHRACIS’’ filed on 11/19/2007; 12/ Licensing PATIENTS’’ filed on 6/1/2008; 61/ 001,598 ‘‘IDENTIFICATION OF 059,382 ‘‘RECOMBINANT ANTIGENS AGENCY: Department of the Navy, DoD. ANTIGENS FOR DIAGNOSIS AND FOR DIAGNOSIS AND PREVENTION ACTION: Notice. PREVENTION OF Q FEVER OF SPOTTED FEVER RICKETTSIAE’’ (RECOMBINANT ANTIGENS FOR THE filed on 6/6/2008; 61/079,535 SUMMARY: The Department of the Navy DETECTION OF COXIELLA ‘‘COMPOSITION AND METHOD FOR hereby gives notice of the availability of BURNETII)’’ filed on 12/11/2007; 12/ THE INDUCTION OF IMMUNITY exclusive or partially exclusive licenses 001,599 ‘‘IDENTIFICATION OF AGAINST BACILLUS CEREUS GROUP to practice worldwide under the ANTIGENS FOR DIAGNOSIS AND BACTERIA’’ filed on 7/10/2008. following pending patents. Any license PREVENTION OF Q FEVER granted shall comply with 35 U.S.C. 209 (RECOMBINANT ANTIGENS FOR THE DATES: Applications for a non-exclusive, and 37 CFR part 404. Applications will DETECTION OF COXIELLA exclusive or partially exclusive license be evaluated utilizing the following BURNETII)’’ filed on 12/11/2007; 11/ may be submitted at any time from the criteria: (1) Ability to manufacture and 964,982 ‘‘EXPRESSION AND date of this notice.
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ADDRESSES: Submit application to the would defeat the purpose of the may be accessed from http:// Office of Technology Transfer, Naval information collection, violate State or edicsweb.ed.gov, by selecting the Medical Research Center, 503 Robert Federal law, or substantially interfere ‘‘Browse Pending Collections’’ link and Grant Ave., Silver Spring, MD 20910– with any agency’s ability to perform its by clicking on link number 3780. When 7500. statutory obligations. The Acting you access the information collection, Director, Information Collection FOR FURTHER INFORMATION CONTACT: Dr. click on ‘‘Download Attachments ’’ to Charles Schlagel, Director, Office of Clearance Division, Regulatory view. Written requests for information Technology Transfer, Naval Medical Information Management Services, should be addressed to U.S. Department Research Center, 503 Robert Grant Ave., Office of Management, publishes that of Education, 400 Maryland Avenue, notice containing proposed information Silver Spring, MD 20910–7500, SW., LBJ, Washington, DC 20202–4537. collection requests prior to submission telephone 301–319–7428 or E-Mail: Requests may also be electronically of these requests to OMB. Each [email protected]. mailed to [email protected] or faxed proposed information collection, to 202–401–0920. Please specify the Dated: October 16, 2008. grouped by office, contains the complete title of the information T.M. Cruz, following: (1) Type of review requested, collection when making your request. Lieutenant Commander, Judge Advocate e.g. new, revision, extension, existing or Comments regarding burden and/or Generals Corps, U.S. Navy, Federal Register reinstatement; (2) Title; (3) Summary of the collection activity requirements Liaison Officer. the collection; (4) Description of the should be electronically mailed to [FR Doc. E8–25277 Filed 10–22–08; 8:45 am] need for, and proposed use of, the [email protected]. Individuals who BILLING CODE 3810–FF–P information; (5) Respondents and use a telecommunications device for the frequency of collection; and (6) deaf (TDD) may call the Federal Reporting and/or Recordkeeping Information Relay Service (FIRS) at 1– DEPARTMENT OF EDUCATION burden. OMB invites public comment. 800–877–8339. Dated: October 17, 2008. Submission for OMB Review; [FR Doc. E8–25287 Filed 10–22–08; 8:45 am] Kate Mullan, Comment Request BILLING CODE 4000–01–P Acting Director, Information Collection AGENCY: Department of Education. Clearance Division, Regulatory Information Management Services, Office of Management. SUMMARY: The Acting Director, DEPARTMENT OF ENERGY Information Collection Clearance Office of Innovation and Improvement Federal Energy Regulatory Division, Regulatory Information Type of Review: Revision. Management Services, Office of Title: Charter Schools Program (CSP) Commission Management invites comments on the Grant Award Database. Combined Notice of Filings submission for OMB review as required Frequency: Annually. by the Paperwork Reduction Act of Affected Public: October 17, 2008. 1995. Businesses or other for-profit; State, Take notice that the Commission has DATES: Interested persons are invited to Local, or Tribal Gov’t, SEAs or LEAs. received the following Natural Gas Reporting and Recordkeeping Hour submit comments on or before Pipeline Rate and Refund Report filings: Burden: November 24, 2008. Docket Numbers: RP99–301–226. Responses: 68. ADDRESSES: Written comments should Burden Hours: 110. Applicants: ANR Pipeline Company. be addressed to the Office of Description: ANR Pipeline Company Abstract: This request is for renewal Information and Regulatory Affairs, submits an amendment to two (2) Rate of OMB approval to collect data Attention: Education Desk Officer, Schedule FTS–1 negotiated rate necessary for the Charter Schools Office of Management and Budget, 725 agreements with Wisconsin Public Program (CSP) Grant Award Database. 17th Street, NW., Room 10222, Service Corp, to be effective 11/1/08. This current data collection is being Filed Date: 10/15/2008. Washington, DC 20503. Commenters are coordinated with the EDFacts initiative Accession Number: 20081017–0047. encouraged to submit responses to reduce respondent burden and fully Comment Date: 5 p.m. Eastern Time electronically by email to utilize data submitted by States and _ on Monday, October 27, 2008. oira [email protected] or via fax available to the U.S. Department of to (202) 395–6974. Commenters should Education (ED) through the Education Docket Numbers: RP08–392–003. include the following subject line in Data Exchange Network (EDEN). Applicants: Texas Gas Transmission, their response ‘‘Comment: [insert OMB Specifically, under the current data LLC. number], [insert abbreviated collection collection, ED collects CSP grant award Description: Texas Gas Transmission, name, e.g., ‘‘Upward Bound information from grantees (State LLC submits Substitute Original Sheet 1 Evaluation’’]’’. Persons submitting agencies and some schools) to create a et al. to FERC Gas Tariff, Third Revised comments electronically should not new database of current CSP-funded Volume 1. submit paper copies. charter schools and award amounts. Filed Date: 10/14/2008. SUPPLEMENTARY INFORMATION: Section Once complete, ED merges performance Accession Number: 20081015–0187. 3506 of the Paperwork Reduction Act of information extracted from the EDEN Comment Date: 5 p.m. Eastern Time 1995 (44 U.S.C. Chapter 35) requires database with the database of CSP- on Monday, October 27, 2008. that the Office of Management and funded charter schools. Together, these Docket Numbers: RP09–19–000. Budget (OMB) provide interested data allow ED to monitor CSP grant Applicants: Northern Natural Gas Federal agencies and the public an early performance and analyze data related to Company. opportunity to comment on information accountability for academic Description: Northern Natural Gas Co collection requests. OMB may amend or performance, financial integrity, and submits 24 Revised Sheet 62 et al. to waive the requirement for public program effectiveness. FERC Gas Tariff, Fifth Revised Volume consultation to the extent that public Requests for copies of the information 1. participation in the approval process collection submission for OMB review Filed Date: 10/14/2008.
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Accession Number: 20081015–0189. The filings in the above proceedings artd/air/title5/petitiondb/petitions/ Comment Date: 5 p.m. Eastern Time are accessible in the Commission’s lg&e_decision2006.pdf. on Monday, October 27, 2008. eLibrary system by clicking on the FOR FURTHER INFORMATION CONTACT: Art Docket Numbers: RP09–20–000. appropriate link in the above list. They Hofmeister, Air Permits Section, EPA Applicants: Northern Natural Gas are also available for review in the Region 4, at (404) 562–9115 or Company. Commission’s Public Reference Room in [email protected]. Description: Northern Natural Gas Co Washington, DC. There is an submits Substitute 79 Revised Sheet 53 eSubscription link on the Web site that SUPPLEMENTARY INFORMATION: The CAA et al. to FERC Gas Tariff, Fifth Revised enables subscribers to receive e-mail affords EPA a 45-day period to review Volume 1. notification when a document is added and, as appropriate, to object to Filed Date: 10/14/2008. to a subscribed docket(s). For assistance operating permits proposed by state Accession Number: 20081015–0188. with any FERC Online service, please e- permitting authorities under title V of Comment Date: 5 p.m. Eastern Time mail [email protected] or the Act, 42 U.S.C. 766 1–7661f. Section on Monday, October 27, 2008. call (866) 208–3676 (toll free). For TTY, 505(b)(2) of the Act and 40 CFR 70.8(d) Docket Numbers: CP08–89–001. call (202) 502–8659. authorize any person to petition the Applicants: Williston Basin Interstate EPA Administrator to object to a title V Pipeline Company. Nathaniel J. Davis, Sr., operating permit within 60 days after Description: Williston Basin Interstate Deputy Secretary. the expiration of EPA’s 45-day review Pipeline Company submits Fifty-Sixth [FR Doc. E8–25237 Filed 10–22–08; 8:45 am] period if EPA has not objected on its Revised Sheet 16, et al., to FERC Gas BILLING CODE 6717–01–P own initiative. Petitions must be based Tariff, Second Revised Volume 1, in only on objections to the permit that compliance with FERC’s 7/25/08 Order, were raised with reasonable specificity to be effective 11/17/08. ENVIRONMENTAL PROTECTION during the public comment period Filed Date: 10/10/2008. AGENCY provided by the state, unless the Accession Number: 20081014–0283. petitioner demonstrates that it was Comment Date: 5 p.m. Eastern Time [Petition IV–2006–3; FRL–8732–8] impracticable to raise these issues on Monday, October 27, 2008. Clean Air Act Operating Permit during the comment period or the Any person desiring to intervene or to Program; Petition for Objection to grounds for the issues arose after this protest in any of the above proceedings State Operating Permit for Louisville period. Petitioners submitted the first of two must file in accordance with Rules 211 Gas and Electric Company—Trimble petitions regarding the LG&E Trimble and 214 of the Commission’s Rules of County Generating Station; Bedford County Generating Station on March 2, Practice and Procedure (18 CFR 385.211 (Trimble County), KY and 385.214) on or before 5 p.m. Eastern 2006, requesting that EPA object to time on the specified comment date. It AGENCY: Environmental Protection Revision 2 to the LG&E merged is not necessary to separately intervene Agency (EPA). prevention of significant deterioration again in a subdocket related to a ACTION: Notice of final order on petition and title V operating permit. The second compliance filing if you have previously to object to a state operating permit. petition, regarding Revision 3 to the intervened in the same docket. Protests merged permit, was submitted on April will be considered by the Commission SUMMARY: Pursuant to Clean Air Act 29, 2008. Pursuant to an agreement in determining the appropriate action to (CAA) Section 505(b)(2) and 40 CFR between EPA and the Petitioners, the be taken, but will not serve to make 70.8(d), the EPA Administrator signed a September 10, 2008, Partial Order protestants parties to the proceeding. Partial Order, dated September 10, 2008, responded only to those issues raised in Anyone filing a motion to intervene or partially granting and partially denying the March 2006 petition that were protest must serve a copy of that a petition to object to a state operating unaffected by Revision 3 to the LG&E document on the Applicant. In reference permit issued by the Kentucky Division permit. Thus, the September 10, 2008, to filings initiating a new proceeding, for Air Quality (KDAQ) to Louisville Order is a partial order. EPA will be interventions or protests submitted on Gas and Electric Company (LG&E) for its responding to the remainder of the or before the comment deadline need Trimble County Generating Station issues raised in the two petitions by not be served on persons other than the located in Bedford, Trimble County, March 29, 2009, consistent with the Applicant. Kentucky. This Partial Order constitutes agreement reached between EPA and The Commission encourages a final action on the petition submitted the Petitioners. The September 10, 2008, electronic submission of protests and by Save the Valley, Sierra Club, and Partial Order addresses the following interventions in lieu of paper, using the Valley Watch (Petitioners) on March 2, issues where Petitioners allege that the FERC Online links at http:// 2006. Pursuant to section 505(b)(2) of merged permit is inconsistent with the www.ferc.gov. To facilitate electronic the CAA, any person may seek judicial CAA: (1) The mercury limits do not service, persons with Internet access review of the Order in the United States represent the best available control who will eFile a document and/or be Court of Appeals for the appropriate technology (BACT); (2) the opacity and listed as a contact for an intervenor circuit within 60 days of this notice visible emissions limits are not BACT; must create and validate an under section 307(b) of the Act. (3) the permit fails to contain conditions eRegistration account using the ADDRESSES: Copies of the Partial Order, requiring BACT during periods of eRegistration link. Select the eFiling the petition, and all pertinent startup and shutdown; (4) the emission link to log on and submit the information relating thereto are on file limits at various support facilities are intervention or protests. at the following location: EPA Region 4, not BACT; (5) the compliance Persons unable to file electronically Air, Pesticides and Toxics Management provisions contained in the statement of should submit an original and 14 copies Division, 61 Forsyth Street, SW., basis are not a part of the permit; (6) the of the intervention or protest to the Atlanta, Georgia 30303–8960. The compliance assurance monitoring Federal Energy Regulatory Commission, Partial Order is also available provisions related to volatile organic 888 First St., NE., Washington, DC electronically at the following address: compound (VOC) limits are not 20426. http://www.epa.gov/region7/programs/ adequate to ensure compliance; (7) the
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limits for toxic substances are not DATES: Written PRA comments should Form 1240 is filed by cable operators enforceable; (8) the limits for lead are be submitted on or before December 22, seeking to adjust maximum permitted not enforceable; (9) the limits for VOC 2008. If you anticipate that you will be rates for regulated cable services to are not enforceable; (10) ‘‘startup and submitting comments, but find it reflect changes in external costs. Cable shutdown’’ and ‘‘good combustion difficult to do so within the period of operators submit Form 1240 to their control’’ are not defined; and (11) the time allowed by this notice, you should respective local franchising authorities permit raises general concerns. advise the contact listed below as soon (‘‘LFAs’’) to justify rates for the basic The September 10, 2008, Partial Order as possible. service tier and related equipment or explains EPA’s rationale for granting the ADDRESSES: Interested parties may with the Commission (in situations petition with respect to the issues submit all PRA comments by e-mail or where the Commission has assumed summarized in numerals 3 and 7, above. U.S. post mail. To submit your jurisdiction). The Partial Order also describes the comments by e-mail, send them to Federal Communications Commission. basis for denying the petition with [email protected] and/or to Marlene H. Dortch, respect to the remaining issues listed [email protected]. To submit your Secretary. above. comments by U.S. mail, mark them to [FR Doc. E8–25322 Filed 10–22–08; 8:45 am] A second partial order will follow that the attention of Cathy Williams, Federal addresses the remaining outstanding Communications Commission, Room 1– BILLING CODE 6712–01–P issues from the March 2006 petition, as C823, 445 12th Street, SW., Washington, well as the April 2008 petition, and it DC 20554. FEDERAL ELECTION COMMISSION will undergo the same Federal Register FOR FURTHER INFORMATION CONTACT: For procedures as this Partial Order. additional information about the Sunshine Act Notices Dated: October 10, 2008. information collection(s), contact Cathy J.I. Palmer, Jr., Williams at (202) 418–2918 or send an AGENCY: Federal Election Commission. Regional Administrator, Region 4. e-mail to [email protected] and/or DATE AND TIME: Thursday, October 23, [FR Doc. E8–25163 Filed 10–22–08; 8:45 am] [email protected]. 2008 at 10 a.m. BILLING CODE 6560–50–M SUPPLEMENTARY INFORMATION: PLACE: 999 E Street, NW., Washington, OMB Control Number: 3060–0685. DC (Ninth Floor). Title: Updating Maximum Permitted STATUS: This meeting will be open to FEDERAL COMMUNICATIONS Rates for Regulated Services and the public. COMMISSION Equipment, FCC Form 1210; Annual ITEMS TO BE DISCUSSED: Updating of Maximum Permitted Rates Correction and Approval of Minutes. Notice of Public Information for Regulated Cable Services, FCC Form Draft Advisory Opinion 2008–10: Collection(s) Being Reviewed by the 1240. VoterVoter.com by Joseph M. Federal Communications Commission, Form Number: FCC Forms 1210 and Birkenstock, Esquire. Comments Requested 1240. Draft Advisory Opinion 2008–15: Type of Review: Extension of a October 17, 2008. National Right to Life Committee, Inc., currently approved collection. by James Bopp, Jr., Esquire, and Clayton SUMMARY: The Federal Communications Respondents: Business or other for- J. Callen, Esquire. Commission, as part of its continuing profit entities; State, Local or Tribal effort to reduce paperwork burdens, Management and Administrative Government. Matters. invites the general public and other Number of Respondents and PERSON TO CONTACT FOR INFORMATION: Federal agencies to take this Responses: 3,400 respondents; 5,350 Robert Biersack, Press Officer, opportunity to comment on the responses. Telephone: (202) 694–1220. following information collection(s), as Estimated Time per Response: 1 hour Individuals who plan to attend and required by the Paperwork Reduction to 15 hours. require special assistance, such as sign Act of 1995 (PRA), Public Law No. 104– Frequency of Response: Annual language interpretation or other 13. An agency may not conduct or reporting requirement; Quarterly reasonable accommodations, should sponsor a collection of information reporting requirement; Third party contact Mary Dove, Commission unless it displays a currently valid disclosure requirement. control number. Subject to the PRA, no Obligation to Respond: Required to Secretary, at (202) 694–1040, at least 72 person shall be subject to any penalty obtain or retain benefits. The statutory hours prior to the hearing date. for failing to comply with a collection authority for this collection of Mary W. Dove, of information that does not display a information is contained in 4(i) and 623 Secretary of the Commission. valid control number. Comments are of the Communications Act of 1934, as [FR Doc. E8–25045 Filed 10–22–08; 8:45 am] requested concerning (a) whether the amended. BILLING CODE 6715–01–M proposed collection of information is Total Annual Burden: 44,800 hours. necessary for the proper performance of Total Annual Cost: $2,034,375. the functions of the Commission, Privacy Act Impact Assessment: No FEDERAL RESERVE SYSTEM including whether the information shall impact(s). have practical utility; (b) the accuracy of Nature and Extent of Confidentiality: Notice of Proposals to Engage in the Commission’s burden estimate; (c) There is no need for confidentiality with Permissible Nonbanking Activities or ways to enhance the quality, utility, and this collection. to Acquire Companies that are clarity of the information collected; and Needs and Uses: Cable operators use Engaged in Permissible Nonbanking (d) ways to minimize the burden of the Form 1210 to file for adjustments in Activities collection of information on the maximum permitted rates for regulated respondents, including the use of services to reflect external costs. The companies listed in this notice automated collection techniques or Regulated cable operators submit this have given notice under section 4 of the other forms of information technology. form to local franchising authorities. Bank Holding Company Act (12 U.S.C.
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1843) (BHC Act) and Regulation Y (12 ACTION: Availability of the ICCVAM the NICEATM–ICCVAM Web site CFR Part 225) to engage de novo, or to Biennial Progress Report. (http://iccvam.niehs.nih.gov). acquire or control voting securities or ICCVAM, NICEATM, and the Director assets of a company, including the SUMMARY: NICEATM announces the of the NIEHS receive advice regarding companies listed below, that engages availability of the ‘‘Biennial Progress statutorily mandated duties of ICCVAM either directly or through a subsidiary or Report: Interagency Coordinating and activities of NICEATM from the other company, in a nonbanking activity Committee on the Validation of Scientific Advisory Committee on that is listed in § 225.28 of Regulation Y Alternative Methods: 2006–2007.’’ In Alternative Toxicological Methods (12 CFR 225.28) or that the Board has accordance with requirements of the (SACATM), a Federally chartered determined by Order to be closely ICCVAM Authorization Act of 2000 (42 advisory committee. Additional related to banking and permissible for U.S.C. 285l–3), this report describes information about SACATM, including bank holding companies. Unless progress and activities during 2006– the charter, roster, and records of past otherwise noted, these activities will be 2007 by ICCVAM and NICEATM. The meetings, can be found at http:// conducted throughout the United States. report is available on the NICEATM– ntp.niehs.nih.gov/go/167. Each notice is available for inspection ICCVAM Web site at http:// Dated: October 8, 2008. at the Federal Reserve Bank indicated. iccvam.niehs.nih.gov/about/ Samuel H. Wilson, The notice also will be available for ICCVAMrpts.htm. Copies can also be Acting Director, National Institute of inspection at the offices of the Board of requested from NICEATM at the address Governors. Interested persons may Environmental Health Sciences and National given below. Toxicology Program. express their views in writing on the ADDRESSES: Requests for copies of the question whether the proposal complies [FR Doc. E8–25223 Filed 10–22–08; 8:45 am] report should be sent by mail, fax, or with the standards of section 4 of the BILLING CODE 4140–01–P email to Dr. William S. Stokes, BHC Act. Additional information on all NICEATM Director, NIEHS, P.O. Box bank holding companies may be DEPARTMENT OF HEALTH AND obtained from the National Information 12233, MD EC–17, Research Triangle HUMAN SERVICES Center website at www.ffiec.gov/nic/. Park, NC 27709, (phone) 919–541–2384, (fax) 919–541–0947, (e-mail) Unless otherwise noted, comments Final Guidance on Engagement of regarding the applications must be [email protected]. Courier address: NICEATM, 79 T.W. Alexander Drive, Institutions in Human Subjects received at the Reserve Bank indicated Research or the offices of the Board of Governors Building 4401, Room 3128, Research not later than November 17, 2008. Triangle Park, NC 27709. AGENCY: Office for Human Research A. Federal Reserve Bank of New FOR FURTHER INFORMATION CONTACT: Dr. Protections, Office of Public Health and York (Ivan Hurwitz, Bank Applications William S. Stokes, NICEATM Director Science, Office of the Secretary, HHS. Officer) 33 Liberty Street, New York, (919–541–2384 or ACTION: Notice. New York 10045–0001: [email protected]). 1. Banco Santander S.A., Boadilla, SUMMARY: The Office for Human Spain, to acquire 75.1 percent of the SUPPLEMENTARY INFORMATION: Research Protections (OHRP), Office of voting shares of Sovereign Bancorp, Background Information on ICCVAM, Public Health and Science, is Inc., Philadelphia, Pennsylvania, and NICEATM, and SACATM announcing the availability of a thereby indirectly acquire Sovereign guidance document entitled, ‘‘OHRP Bank, Wyomissing, Pennsylvania, and ICCVAM is an interagency committee Guidance on Engagement of Institutions thereby engage in operating a savings composed of representatives from 15 in Human Subjects Research.’’ The and loan associationm pursuant to Federal regulatory and research agencies guidance document describes: (1) section 225.28(b)(4)(ii) of Regulation Y. that use, generate, or disseminate Scenarios that, in general, would result Board of Governors of the Federal Reserve toxicological information. ICCVAM in an institution being considered System, October 20, 2008. conducts technical evaluations of new, engaged in a human subjects research Robert deV. Frierson, revised, and alternative methods with project; (2) scenarios that would result regulatory applicability. ICCVAM also Deputy Secretary of the Board. in an institution being considered not promotes scientific validation, engaged in a human subjects research [FR Doc. E8–25296 Filed 10–22–08; 8:45 am] regulatory acceptance, and national and project; and (3) IRB review BILLING CODE 6210–01–S international harmonization of considerations for cooperative research toxicological test methods that more in which multiple institutions are accurately assess safety and hazards of engaged in the same non-exempt human DEPARTMENT OF HEALTH AND chemicals and products and that refine, subjects research project. The guidance HUMAN SERVICES reduce, and replace animal use. The document is intended primarily for National Toxicology Program (NTP); ICCVAM Authorization Act of 2000 (42 institutional review boards (IRBs), U.S.C. 285l–3, available at http:// research administrators and other NTP Interagency Center for the _ Evaluation of Alternative Toxicological iccvam.niehs.nih.gov/docs/about docs/ relevant institutional officials, Methods (NICEATM); Availability of the PL106545.pdf) established ICCVAM as a investigators, and funding agencies that Biennial Progress Report of the permanent interagency committee of the may be responsible for the conduct, Interagency Coordinating Committee NIEHS under NICEATM. NICEATM review and oversight of human subject on the Validation of Alternative administers ICCVAM and provides research that is conducted or supported Methods (ICCVAM): NIH Publication scientific and operational support for by the Department of Health and Human No. 08–6529 ICCVAM-related activities. NICEATM Services (HHS). and ICCVAM collaborate in evaluating The guidance document announced AGENCY: National Institute of new and improved test methods in this notice finalizes the draft Environmental Health Sciences applicable to the needs of Federal guidance with the same title that was (NIEHS), National Institutes of Health agencies. Additional information about made available for public comment in (NIH). ICCVAM and NICEATM can be found at the Federal Register on December 8,
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2006 (71 FR 71169). OHRP received requirements for informed consent or assurance and will be subject to twenty-four comments on the draft the waiver of informed consent. continuing review by an IRB. guidance document, and those The HHS protection of human comments were considered as the subjects regulations at 45 CFR 46.103(a) II. Discussion of Public Comments guidance was finalized. The final and (b) require that each institution Most of the comments expressed ‘‘engaged’’ in human subjects research guidance document replaces two general support for OHRP’s draft that is conducted or supported by HHS existing OHRP guidance documents on guidance document. Some comments (1) provide OHRP with a satisfactory the engagement of institutions in human suggested clarifying changes and others subjects research: (1) The January 26, assurance that the institution will recommended more substantive changes 1999, document on ‘‘Engagement of comply with the regulations, and (2) to the scenarios described in the draft Institutions in Research,’’ and (2) the certify to the HHS agency conducting or guidance. All of the comments received December 23, 1999, document on supporting the research that the ‘‘Engagement of Pharmaceutical research has been reviewed and were considered as the guidance was Companies in HHS Supported approved by an IRB designated in the finalized. A discussion of the main Research.’’ assurance and will be subject to comments follows. continuing review by an IRB, unless all Institutions Engaged in Human Subjects DATES: Comments on OHRP guidance the research meets one or more of the Research documents are welcome at any time. categories for exemption from the ADDRESSES: Submit written requests for regulatory requirements under 45 CFR Awardee Institutions single copies of the guidance document 46.101(b). The Federalwide Assurance entitled, ‘‘OHRP Guidance on (FWA) is the only type of assurance OHRP’s draft guidance document Engagement of Institutions in Human currently accepted by OHRP. The FWA proposed that institutions that receive Subjects Research,’’ to the Division of generally identifies required policies an award through a grant, contract, or Policy and Assurances, Office for and procedures for the institution and cooperative agreement directly from Human Research Protections, 1101 describes the activities to which the HHS for non-exempt human subjects Wootton Parkway, Suite 200, Rockville, regulations apply. research (i.e., awardee institutions) MD 20852. Send one self-addressed On January 26, 1999, the Office for would generally be considered engaged adhesive label to assist that office in Protection from Research Risks (OPRR), in human subjects research, even where processing your request, or fax your OHRP’s predecessor office, issued all activities involving human subjects request to 240–453–6909. See the guidance on ‘‘Engagement of are carried out by agents of another SUPPLEMENTARY INFORMATION section for Institutions in Research.’’ OPRR later institution. A few of the commenters information on electronic access to the issued guidance on ‘‘Engagement of urged OHRP to reconsider its view that guidance document. Submit written Pharmaceutical Companies in HHS such awardee institutions should comments to ENGAGEMENT Supported Research,’’ dated December generally be considered engaged in GUIDANCE COMMENTS, Office for 23, 1999. human subjects research when all Human Research Protections, 1101 In the Federal Register of December 8, 2006 (71 FR 71169), OHRP announced activities involving human subjects are Wootton Parkway, Suite 200, Rockville, carried out by agents of another MD 20852. Comments also may be sent the availability of a draft guidance document entitled, ‘‘OHRP Guidance on institution. The commenters noted that via e-mail to [email protected] or via considering such awardee institutions to facsimile at 240–453–6909. Engagement of Institutions in Human Subjects Research,’’ dated October 27, be engaged in human subjects research FOR FURTHER INFORMATION CONTACT: Ms. 2006, which OHRP proposed would often results in duplicative review by Julie Kaneshiro, Office for Human replace the two guidance documents IRBs and administrative burden for Research Protections, Department of that had been issued in 1999. OHRP awardee institutions that choose to Health and Human Services, 1101 received twenty-four comments on the modify their FWAs to rely on another Wootton Parkway, Suite 200, Rockville, draft guidance and those comments institution’s IRB to satisfy the regulatory MD 20852; 240–453–6900; e-mail were considered as the guidance was requirements under 45 CFR part 46. [email protected]. finalized. See section II. Discussion of These commenters questioned whether SUPPLEMENTARY INFORMATION: Public Comments for a summary of the human subjects were offered greater main comments received and OHRP’s I. Background protections by considering such responses. awardee institutions to be engaged in OHRP, Office of Public Health and This guidance is only applicable to human subjects research. Science, is announcing the availability HHS-conducted or -supported research of a guidance document entitled, projects that have been determined to OHRP believes that institutions that ‘‘OHRP Guidance on Engagement of involve human subjects and that are not receive an award directly from HHS for Institutions in Human Subjects exempt under the HHS regulations at 45 non-exempt human subjects research Research.’’ HHS, through OHRP, CFR 46.101(b). Once an activity is should generally be considered engaged regulates research involving human determined to involve non-exempt in human subjects research. However, subjects conducted or supported by human subjects research, this guidance the office understands these HHS in regulations codified at 45 CFR can be used to determine whether an commenters’ concerns and agrees that in part 46. The HHS human subject institution involved in some aspect of some circumstances, institutions that protection regulations stipulate the research would be considered receive an award for non-exempt human substantive and procedural ‘‘engaged’’ in human subjects research, subjects research, but that do not carry requirements for the conduct of HHS- and would thus need to (1) hold or out any of the activities involving conducted or -supported research, obtain an applicable OHRP-approved human subjects, should not be including requirements for review and FWA, and (2) certify to the HHS agency considered engaged in the human approval by an IRB before research conducting or supporting the research subjects research. OHRP will continue involving human subjects may begin, that the research has been reviewed and to consider this issue in consultation criteria for IRB approval of research, and approved by an IRB designated in the with the HHS funding agencies.
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Institutions Not Engaged in Human term basis, and specified conditions are Description of major activities and Subjects Research met (see scenario B.(3) in the final accomplishments during the reporting guidance). OHRP believes this is period; Release of Identifiable Private responsive to the concern raised in a Description of deviations or Information or Biological Specimens public comment that research subjects departures from the original project; In the Federal Register of December 8, are sometimes unexpectedly Description of significant findings and 2006 (71 FR 71169), OHRP noted that hospitalized or otherwise unexpectedly events; the office was particularly interested in unable to receive a study intervention Description of dissemination the public’s comments on the proposal being tested or evaluated in a protocol activities; that institutions whose employees or from an institution that had previously Description of other activities; and agents release to investigators at another been designated as a research site. Description of activities planned for institution identifiable private III. Comments the next reporting period, including information or identifiable biological goals and objectives. specimens pertaining to the subjects of Interested persons may submit the research, not be considered engaged Program-Specific Performance Measure comments regarding this guidance in human subjects research. The CBAE program is developing a The public comments supported this document to OHRP at any time. Please see the ADDRESSES section for program-specific performance measure proposed scenario. OHRP retained this in response to the PART review (a scenario in the final guidance information on where to submit written comments. process by which the Office of document, with only minor clarifying Management and Budget analyzes and changes (see scenario B.(6) in the final IV. Electronic Access rates a Federal program’s procedures guidance). Persons with access to the Internet and strategies for evaluating its Administration of Clinical Trial-Related may obtain the guidance document on effectiveness), for which the program Medical Services OHRP’s Web site at http://www.hhs.gov/ received a rating of Adequate. In an In the Federal Register of December 8, ohrp/humansubjects/guidance/ effort to gather program-specific data on 2006 (71 FR 71169), OHRP also noted engage08.htm. rates of abstinence pre- and post- program participation, ACF and the that the office was particularly Dated: October 16, 2008. interested in the public’s comments on Office of Management and Budget Ivor A. Pritchard, the proposal that institutions (including determined that a program-specific private practices) not selected as Acting Director, Office for Human Research performance measure should be Protections. research sites whose employees or developed to assess key outcomes agents administer clinical trial-related [FR Doc. E8–25177 Filed 10–22–08; 8:45 am] among program participants. The CBAE medical services, not be considered BILLING CODE 4150–36–P office convened a panel of abstinence engaged in human subjects research education experts to gather input on the provided that specified conditions were measure, and, based on the input DEPARTMENT OF HEALTH AND met. One of the proposed conditions provided, the CBAE office is developing HUMAN SERVICES was that the institution’s employees or the measure. CBAE grantees will be agents do not administer the primary required to ask ten to fifteen questions Administration for Children and of the youth served in a pre- and post- study interventions being tested under Families the protocol. survey, as well as a representative The public comments on this Submission for OMB Review; sample of the youth served in a post- proposed scenario were generally Comment Request post-survey. supportive, but several commenters The questions are being carefully sought clarifications on some of the Title: Community-Based Abstinence constructed by an experienced evaluator proposed conditions. In addition, a few Education Performance Progress Report. to measure initiation and of the commenters recommended that discontinuation of sexual intercourse as OMB No.: 0970–0272. OHRP expand the scenario to permit the well as two key predictors of initiation: employees or agents of an institution Description: The discretionary Sexual values and behavioral intentions. not selected as a research site to funding Community-Based Abstinence The program office will collect and administer the study intervention being Education Program (CBAE) is compile data to establish baselines and tested or evaluated under the protocol, authorized by Title XI, Section 1110, of ambitious targets for the program- and still not consider such an the Social Security Act (using the specific performance measure. The data institution to be engaged in human definitions contained in Title V, Section will be aggregated and results will be subjects research. 510(b)(2) of the Social Security Act). shared with the public as they become In the final guidance, OHRP retained Performance Progress Report/Program available. the proposed scenario, with minor Narrative Respondents: Performance Progress changes in response to the public Report/Program Narrative—Non-profit comments (see scenario B.(2) in the final The CBAE Performance Progress community-based organizations, faith- guidance). However, OHRP also has Report/Program Narrative is a based organizations, schools/school included another scenario in the final semiannual report form through which districts, universities/colleges, guidance that would allow employees or grantees report performance information hospitals, public health agencies, local agents of an institution not initially used by the Administration for Children governments, Tribal councils, small selected as a research site to administer and Families (ACF) to evaluate each businesses/for-profit entities, housing the study interventions being tested or grantee’s compliance with Federal law authorities, etc. Program-Specific evaluated under the protocol, provided and progress toward achieving its goals. Performance Measure—Youth that this occurs on a one-time or short- Performance information includes: Participants.
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ANNUAL BURDEN ESTIMATES
Number of Average Instrument Number of responses per burden hours Total burden respondents respondent per response hours
Community-Based Abstinence Education Program Announcement Perform- ance Progress Report/Program Narrative ...... 60 2 50 6,000 Community-Based Abstinence Education Program—Program-Specific Per- formance Measure ...... 1,000,000 3 0.17 510,000
Estimated Total Annual Burden SUMMARY: The Food and Drug for approval. To comply with this Hours: 516,000 Administration (FDA) is announcing an requirement, FDA is publishing notice opportunity for public comment on the of the proposed collection of Additional Information proposed collection of certain information set forth in this document. Copies of the proposed collection may information by the agency. Under the With respect to the following be obtained by writing to the Paperwork Reduction Act of 1995 (the collection of information, FDA invites Administration for Children and PRA), Federal agencies are required to comments on these topics: (1) Whether Families, Office of Administration, publish notice in the Federal Register the proposed collection of information Office of Information Services, 370 concerning each proposed collection of is necessary for the proper performance L’Enfant Promenade, SW., Washington, information and to allow 60 days for of FDA’s functions, including whether DC 20447, Attn: ACF Reports Clearance public comment in response to the the information will have practical Officer. All requests should be notice. This notice solicits comments on utility; (2) the accuracy of FDA’s identified by the title of the information the use of MedWatchPlus Portal and estimate of the burden of the proposed collection. E-mail address: Rational Questionnaire to collect collection of information, including the [email protected]. electronically all adverse event, validity of the methodology and consumer complaint/product problem assumptions used; (3) ways to enhance OMB Comment and medication use error data submitted the quality, utility, and clarity of the OMB is required to make a decision to FDA. information to be collected; and (4) concerning the collection of information DATES: Submit written or electronic ways to minimize the burden of the between 30 and 60 days after comments on the collection of collection of information on publication of this document in the information by December 22, 2008. respondents, including through the use Federal Register. Therefore, a comment of automated collection techniques, ADDRESSES: Submit electronic when appropriate, and other forms of is best assured of having its full effect comments on the collection of information technology. if OMB receives it within 30 days of information to http:// publication. Written comments and www.regulations.gov. Submit written Electronic Data Collection Using recommendations for the proposed comments on the collection of MedWatchPlus Portal and Rational information collection should be sent information to the Division of Dockets Questionnaire—21 CFR 310.305, directly to the following: Office of Management (HFA–305), Food and Drug 314.80, 314.98, 514.80, 600.80, 1271.350 Management and Budget, Paperwork Administration, 5630 Fishers Lane, rm. and Part 803 Reduction Project, Fax: 202–395–6974, 1061, Rockville, MD 20852. All FDA is implementing electronic data Attn: Desk Officer for the comments should be identified with the Administration for Children and collection to improve adverse event docket number found in brackets in the reporting across the agency. FDA’s Families. heading of this document. Dated: October 20, 2008. current processes and systems for FOR FURTHER INFORMATION CONTACT: adverse event reporting vary across its Janean Chambers, Jonna Capezzuto, Office of Information centers and are not optimal for the Reports Clearance Officer. Management (HFA–710), Food and Drug efficient collection of voluntary and [FR Doc. E8–25285 Filed 10–22–08; 8:45 am] Administration, 5600 Fishers Lane, mandatory adverse event reports, BILLING CODE 4184–01–P Rockville, MD 20857, 301–796–3794. product problems/consumer SUPPLEMENTARY INFORMATION: Under the complaints, or errors associated with the PRA (44 U.S.C. 3501–3520), Federal use of FDA-regulated products. Current DEPARTMENT OF HEALTH AND agencies must obtain approval from the FDA reporting forms (Forms FDA 3500, HUMAN SERVICES Office of Management and Budget 3500A, 1932, and 1932a) are an Food and Drug Administration (OMB) for each collection of outgrowth of a paper process era and information they conduct or sponsor. frequently result in the submission of ‘‘Collection of information’’ is defined inconsistent and poor quality [Docket No. FDA–2008–N–0546] in 44 U.S.C. 3502(3) and 5 CFR information. In addition, the agency is Agency Information Collection 1320.3(c) and includes agency requests limited in its ability to modify its paper Activities; Proposed Collection; or requirements that members of the forms to keep pace with changes in the Comment Request; Electronic Data public submit reports, keep records, or types of regulated products and the provide information to a third party. information necessary to meet evolving Collection Using MedWatchPlus Portal and Rational Questionnaire Section 3506(c)(2)(A) of the PRA (44 standards to ensure post market safety. U.S.C. 3506(c)(2)(A)) requires Federal Further, the existing supporting AGENCY: Food and Drug Administration, agencies to provide a 60-day notice in business processes are not able to HHS. the Federal Register concerning each efficiently manage the information being proposed collection of information provided on the paper forms. For ACTION: Notice. before submitting the collection to OMB example, the upfront data integrity
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constraints on required (vital) data limit central point-of-entry for persons could report a problem that their pet the extent of reviewable information on submitting information to FDA. The experienced associated with the use of items such as reporter identification of agency believes that one central point- an animal drug or animal food; a parent one or more subject product types of-entry will better enable persons to could report a reaction that their child (animal and human food/feed, drug - submit their information. In addition, experienced associated with the use of animal or human, device, etc.), reporter mandatory reporters will be able to use a cosmetic; and a consumer could report name, date of occurrence, related the Internet to access the MedWatchPlus a concern about a drug they are taking details, and follow-up information. Data Portal to report safety concerns about at home, or about a food that may have collected on paper forms must be dietary supplements, nonprescription made them ill. The system will compile manually transcribed into an electronic drugs, and human and animal food, thus the users’ responses into a standardized format for usability and analysis. fulfilling the mandatory reporting report that would be routed to the Furthermore, these forms are not very requirements of the Dietary Supplement appropriate FDA organizational intuitive for a casual reporter (e.g., and Nonprescription Drug Consumer component(s) for review and analysis. consumers of FDA-regulated products), Protection Act (DSNDCPA) (Pub. L. that is, the paper forms lack the features 109–462) and the Food and Drug There are several types of information available in an electronic system that Administration Amendments Act of that will be submitted to FDA via the Plus assist a new user in understanding what 2007 (FDAAA) (Pub. L. 110–85). MedWatch Portal and Rational information is being requested. The MedWatchPlus Portal involves the Questionnaire. Some of the information FDA has launched the development development of a single Web-based is required to be submitted to FDA and implementation of a new electronic portal and a user-friendly data (mandatory reporting) and some of the system for collecting, submitting and collection tool, the ‘‘Rational information is submitted voluntarily processing adverse event reports and Questionnaire,’’ which will make it easy (voluntary reporting). The majority of other safety information for all FDA- for anyone to report a safety problem. the information to be collected using the regulated products. This new system, The Rational Questionnaire will ask MedWatchPlus Rational Questionnaire MedWatchPlus Portal, will enhance the users simple questions to help guide has been approved previously by OMB current MedWatch collection system them to determine what information under the Paperwork Reduction Act. and integrate the agency’s existing they should provide. Anyone will be Recently, additional information safety reporting systems into the various able to use the questionnaire to submit collection has been mandated by FDA Adverse Event Report Systems adverse event, product problem/ DSNDCPA and FDAAA. A complete list (FAERS). FAERS will enable FDA staff consumer complaint, and medication of information collections, their current to more efficiently analyze thousands of use error reports to the FDA. For OMB approval numbers, as well as safety reports and to identify potential example, a healthcare practitioner could citations to the relevant statute, safety problems earlier than would be report an adverse event; a medical regulation or guidance information for possible using paper forms. The device maker could report a safety each is depicted in table 1 of this MedWatchPlus Portal provides one concern about a product; a pet owner document.
TABLE 1.—INFORMATION COLLECTIONS
Relevant Statute, Regulation or Mandatory (M) or FDA Center FDA Form No. OMB No. Guidance Informa- Voluntary (V) tion
CBER/CDER 3500 0910–029 MedWatch Form V FDA 3500, Voluntary Reporting Instructions.
CBER/CDER 3500A 0910–0291 21 CFR 310.305, M 314.80, 314.98, 600.80 and 1271.350.
CDRH 3500 0910–0291 MedWatch Form V FDA 3500, Voluntary Reporting Instructions.
CDRH 3500A 0910–0291 21 CFR Part 803 M
CFSAN 3500 0910–0291 None V
CFSAN* 3500A OMB approval is Pub. L. 109–462; M in process. Section 761(b)(1) of the Federal Food, Drug, and Cosmetic Act (the act) (21 U.S.C. 379aa–1(b)(1)).
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TABLE 1.—INFORMATION COLLECTIONS—Continued
Relevant Statute, Regulation or Mandatory (M) or FDA Center FDA Form No. OMB No. Guidance Informa- Voluntary (V) tion
CFSAN/CVM* None This notice solicits Pub. L. 110–85; M comments on this Section 417 of the proposed new Act (21 U.S.C. collection. 350(f)).
CVM 1932a 0910–0284 Veterinary V Adverse Drug Reaction, Lack of Effectiveness, or Product Defect Report Form and Instructions.
CVM 1932 0910–0284 21 CFR 514.80 M
CVM* None This notice solicits Pub. L. 110–85; V comments on this Section 1002 of proposed new FDAAA. collection.
ORA None This notice solicits None V comments on this proposed new collection. * New reporting requirements included in DSNDCPA and FDAAA.
The single portal and a harmonized, comply with the criteria established by FDA expects that all of its centers and Web-based format for submitting safety the Federal Food, Drug, and Cosmetic the Office of Regulatory Affairs (ORA) information will greatly enhance the Act (the act), where required. will be utilizing the electronic reporting Plus ability of FDA to protect the public Description of respondents: The capabilities of MedWatch Portal by health. FDA will analyze electronic respondents to this collection of Fiscal Year 2011. Thus, FDA has adverse event and safety reports for all prepared its estimate of the annual information include all persons marketed products and track safety reporting burden on the basis that the submitting mandatory or voluntary signals throughout the life cycle of FDA- majority of all submissions will be information electronically to FDA via regulated products. FDA intends to Plus submitted electronically. review the information the agency the MedWatch Portal and Rational FDA estimates the burden of this receives to ensure that the submitters Questionnaire. information collection as follows:
TABLE 2.—ESTIMATED ANNUAL REPORTING BURDEN1
No. of Annual Frequency Total Annual Hours Per FDA Activity Respondents per Response Responses Response Total Hours
Voluntary View 37,565 1 37,565 0.6 22,539
Mandatory View using MedWatchPlus Rational Ques- tionnaire2 645 199 128,403 1.0 128,403
Mandatory View using direct Gateway-to-Gateway trans- mission2 2,578 199.2 513,613 0.6 308,168
Reportable Food (human and ani- mal) Mandatory View 1,200 1 1,200 0.6 720
Reportable Food (human and ani- mal) Voluntary View 1,200 1 1,200 0.6 720
Early Warning Recall Voluntary View 540 1 540 0.6 324
Total 460,874 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
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2 The reporter may choose to use the MedWatchPlus Rational Questionnaire or a direct Gateway-to-Gateway transmission to submit a Manda- tory report. FDA believes that these are different reporting burdens for these two types of transmission of information. The reporting burden for use of the MedWatchPlus Rational Questionnaire Mandatory View is estimated to be 1 hour. The reporting burden for a direct Gateway-to-Gate- way transmission is estimated to be 0.60 hours. Current reporting estimates indicate that approximately 80% of the Mandatory Reports would be submitted via a Gateway-to-Gateway transmission and 20% of reports would be received via the MedWatchPlus Rational Questionnaire in the fu- ture. The Mandatory View reporting burden estimates reflect this calculation.
The term ‘‘Voluntary View’’ refers to strongly encouraged to submit as much hour, for a total burden of 459,121 hours the MedWatchPlus Rational optional information as possible. This ((459,121 reports x 1 hour) or a Questionnaire as it appears to a will help to ensure the FDA has minimum burden of 312,202 hours with respondent submitting a voluntary sufficient information to identify ((459,121 reports x 80% x 0.60 hour) + report. The term ‘‘Mandatory View’’ products and problems, and enhance (459,121 reports x 20% x 1 hour) = refers to the Gateway-to-Gateway and their ability to address these problems. 312,202.28 hours). the MedWatchPlus Rational The optional questions serve a FDA received 4,369 voluntary reports Questionnaire as it appears to a purpose for both the Reporter and the to CDRH during 2007. Based on this respondent submitting a mandatory FDA. The Reporter may believe that experience, FDA estimates that CDRH report. The estimated number of additional information is needed for will receive 4,369 voluntary reports responses and hours per response for FDA to fully understand the event/ annually from 4,369 users of the the voluntary view and the mandatory problem and the optional questions electronic reporting system. FDA view are based on FDA’s experience and provide an opportunity to provide such estimates the reporting burden for a the average number of voluntary reports information. For the FDA, the optional voluntary report to be 0.6 hours, for a and mandatory reports submitted to questions may aid in fully total burden of 2,621 hours (4,369 FDA in 2007 (and in the case of understanding the problem and may reports x 0.6 hours = 2,621.4 hours). mandatory dietary supplement reports, eliminate the need for extensive follow FDA received 146,274 mandatory those submitted to FDA from January 1, up with the Reporter. Because Reporters reports to CDRH during 2007. Based on 2008 to April 15, 2008) via the existing can choose to answer none, one, a few, this experience, FDA estimates that methods of submission, including paper or all of the optional questions, we CDRH will receive 146,274 mandatory submission. The term, ‘‘Reportable Food estimated the maximum time needed to reports annually from 1,665 users of the (human and animal) Mandatory View’’ submit a safety report online for both electronic reporting system (a group refers to the MedWatchPlus Rational voluntary and mandatory reporters in comprised of facilities, importers, and Questionnaire as it appears to a the hours per response column in table manufacturers). FDA estimates the respondent submitting a mandatory 2 of this document. maximum reporting burden for a report under section 417 of the act. The The agency’s estimate of the number mandatory report to be 1 hour, for a term, ‘‘Reportable Food (human and of respondents and the total annual total burden of 146,274 hours (146,274 animal) Voluntary View’’ refers to the responses in table 2 is based on the reports x 1 hour = 146,274 hours) or a MedWatchPlus Rational Questionnaire as mandatory and voluntary reports minimum burden of 99,466 hours with it appears to the respondent submitting submitted to the centers and ORA. The ((146,274 reports x 80% x 0.60 hour) + a voluntary report under section of 417 estimated total annual responses in (146,274 reports x 20% x 1 hour) = of the act. The estimated number of table 2 are based on initial reports. 99,466.32 hours). FDA received 5,000 responses and hours per response for Follow-up reports, if any, are not voluntary reports to CFSAN during the reportable food (human and animal) counted as new reports. FDA estimates 2007. Based on this experience, FDA mandatory and voluntary views are that it will receive 37,565 voluntary estimates that CFSAN will receive 5,000 based on FDA’s experience with reports reports [23,033 (CBER/CDER) + 4,369 voluntary reports annually from 5,000 recently submitted to FDA that would (CDRH) + 5,000 (CFSAN) + 163 (CVM) users of the electronic reporting system. be considered ‘‘Reportable Food’’ + 5,000 (ORA) = 37,565]. FDA estimates FDA estimates the reporting burden for reports in the future. The term, ‘‘Early that it will receive 642,016 mandatory a voluntary report to be 0.6 hours, for Warning Recall Voluntary View,’’ refers reports [459,121 (CBER/CDER) + a total burden of 3,000 hours (5,000 to the MedWatchPlus Rational 146,274 (CDRH) + 856 (CFSAN) + reports x 0.6 hours = 3,000 hours). Questionnaire as it appears to a 35,765 (CVM) + 0 (ORA) = 642,016]. FDA received 214 mandatory dietary respondent submitting a mandatory FDA received 23,033 voluntary supplement reports to CFSAN from report under FDAAA Section 1002 of reports to CBER/CDER during 2007. January 1, 2008, to April 15, 2008. the act (Pub. L. 110–85). The estimated Based on this experience, FDA estimates Based on this experience, FDA estimates number of responses and hours per that CBER and CDER, collectively, will that CFSAN will receive 856 mandatory response for the early warning recall receive 23,033 voluntary reports reports annually from 150 users of the voluntary view are based on FDA’s annually from 23,033 users of the electronic reporting system. FDA experience with reports recently electronic reporting system. FDA estimates the maximum reporting submitted to FDA that would be estimates the reporting burden for a burden for a mandatory report to be 1 considered ‘‘Early Warning Recall’’ voluntary report to be 0.6 hours, for a hour, for a total burden of 856 hours reports in the future. total burden of 13,820 hours (23,033 (856 reports x 1 hour = 856 hours) or a In an effort to meet the needs of all reports x 0.6 hours = 13,819.8 hours). minimum burden of 582 hours with reporters, the Rational Questionnaire FDA received 459,121 mandatory ((856 reports x 80% x 0.60 hour) + (856 will allow for the submission of a report reports to CBER/CDER during 2007. reports x 20% x 1 hour) = 582.08 hours). by completing certain minimum data Based on this experience, FDA estimates FDA received 163 voluntary reports to elements. Both mandatory and that CBER and CDER, collectively, will CVM during 2007. Based on this voluntary reporters will see and be receive 459,121 mandatory reports experience, FDA estimates that CVM provided the opportunity to submit annually from 600 users of the will receive 163 voluntary reports additional optional information. A electronic reporting system. FDA annually from 163 users of the Reporter can answer one, a few, or all estimates the maximum reporting electronic reporting system. FDA of the optional questions. Reporters are burden for a mandatory report to be 1 estimates the reporting burden for a
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voluntary report to be 0.6 hours for a respectively. Based on these www.regulations.gov. Submit written total burden of 98 hours (163 reports x experiences, FDA estimates that FDA comments on the collection of 0.6 hours = 97.8 hours). could receive 540 voluntary pet food information to the Division of Dockets FDA received 35,765 mandatory reports annually from 540 users of the Management (HFA–305), Food and Drug reports to CVM during 2007. Based on electronic reporting system. FDA Administration, 5630 Fishers Lane, rm. this experience, FDA estimates that estimates the reporting burden for a 1061, Rockville, MD 20852. All CVM will receive 35,765 mandatory voluntary ‘‘Early Warning Recall’’ report comments should be identified with the reports annually from 808 users of the to be 0.6 hours, for a total burden of 324 docket number found in brackets in the electronic reporting system. FDA hours (540 reports x 0.6 hours = 324 heading of this document. estimates the maximum reporting hours). FOR FURTHER INFORMATION CONTACT: burden for a mandatory report to be 1 Please note that on January 15, 2008, Jonna Capezzuto, Office of Information hour, for a total burden of 35,765 hours the FDA Division of Dockets Management (HFA–710), Food and Drug (35,765 reports x 1 hour = 35,765 hours) Management Web site transitioned to Administration, 5600 Fishers Lane, or a minimum burden of 24,320 hours the Federal Dockets Management Rockville, MD 20857, 301–796–3794. with ((35,765 reports x 80% x 0.60 hour) System (FDMS). FDMS is a SUPPLEMENTARY INFORMATION: Under the + (35,765 reports x 20% x 1 hour) = Government-wide, electronic docket 24,320.20 hours). PRA (44 U.S.C. 3501–3520), Federal management system. Electronic agencies must obtain approval from the FDA received 5,000 voluntary reports comments or submissions will be to ORA during 2007. Based on this Office of Management and Budget accepted by FDA only through FDMS at (OMB) for each collection of experience, FDA estimates that ORA http://www.regulations.gov. will receive 5,000 voluntary reports information they conduct or sponsor. annually from 5,000 users of the Dated: October 16, 2008. ‘‘Collection of information’’ is defined electronic reporting system. FDA Jeffrey Shuren, in 44 U.S.C. 3502(3) and 5 CFR estimates the reporting burden for a Associate Commissioner for Policy and 1320.3(c) and includes agency requests voluntary report to be 0.6 hours, for a Planning. or requirements that members of the total burden of 3,000 hours (5,000 [FR Doc. E8–25211 Filed 10–22–08; 8:45 am] public submit reports, keep records, or reports x 0.6 hours = 3,000 hours). ORA BILLING CODE 4160–01–S provide information to a third party. does not receive mandatory reports. Section 3506(c)(2)(A) of the PRA (44 FDAAA, Section 1005, the Reportable U.S.C. 3506(c)(2)(A)) requires Federal Food Registry, established new DEPARTMENT OF HEALTH AND agencies to provide a 60-day notice in electronic mandatory and voluntary HUMAN SERVICES the Federal Register concerning each reporting requirements for instances of proposed collection of information, ‘‘reportable’’ food, meaning an article of Food and Drug Administration including each proposed extension of an food (other than infant formula) for [Docket No. FDA–2008–N–0544] existing collection of information, which there is a reasonable probability before submitting the collection to OMB that the use of, or exposure to, such Agency Information Collection for approval. To comply with this article of food will cause serious adverse Activities; Proposed Collection; requirement, FDA is publishing notice health consequences or death to humans Comment Request; Record Retention of the proposed collection of or animals. FDA received 625 voluntary Requirements for the Soy Protein and information set forth in this document. food complaints leading to adverse Risk of Coronary Heart Disease Health With respect to the following events from January 1, 2008, to June 30, Claim collection of information, FDA invites 2008, and there were 206 and 182 Class comments on these topics: (1) Whether 1 Recalls for human food in Fiscal Years AGENCY: Food and Drug Administration, the proposed collection of information 2006 and 2007, respectively. Based on HHS. is necessary for the proper performance these experiences, FDA estimates that ACTION: Notice. of FDA’s functions, including whether FDA could receive 200 to 1,200 the information will have practical SUMMARY: The Food and Drug ‘‘reportable’’ food reports annually from utility; (2) the accuracy of FDA’s Administration (FDA) is announcing an 200 to 1,200 mandatory and voluntary estimate of the burden of the proposed opportunity for public comment on the users of the electronic reporting system. collection of information, including the proposed collection of certain FDA will utilize the upper-bound validity of the methodology and information by the agency. Under the estimate of 1,200 for these calculations. assumptions used; (3) ways to enhance Paperwork Reduction Act of 1995 (the FDA estimates the reporting burden for the quality, utility, and clarity of the PRA), Federal agencies are required to a mandatory ‘‘reportable’’ food report to information to be collected; and (4) publish notice in the Federal Register be 0.6 hours, for a total burden of 720 ways to minimize the burden of the concerning each proposed collection of hours (1,200 reports x 0.6 hours = 720 collection of information on information, including each proposed hours). FDA estimates the reporting respondents, including through the use extension of an existing collection of burden for a voluntary ‘‘reportable’’ of automated collection techniques, information, and to allow 60 days for food report to be 0.6 hours, for a total when appropriate, and other forms of public comment in response to the burden of 720 hours (1,200 reports x 0.6 information technology. hours = 720 hours). notice. This notice solicits comments on FDAAA, Section 1002, Early Warning the record retention requirement of the Record Retention Requirements for the Recall, mandated the FDA establish a soy protein/coronary heart disease Soy Protein and Risk of Coronary Heart system to receive voluntary pet food health claim. Disease Health Claim—21 CFR complaint reports and provide an Early DATES: Submit written or electronic 101.82(c)(2)(ii)(B) (OMB Control Warning Recall system for the public. comments on the collection of Number 0910–0428)—Extension FDA received 270 voluntary pet food information by December 22, 2008. Section 403(r)(3)(A)(i) of the Federal reports from January 1, 2008 to June 30, ADDRESSES: Submit electronic Food, Drug, and Cosmetic Act (21 U.S.C. 2008. FDA received 10,740 and 99 pet comments on the collection of 343(r)(3)(A)(i)) provides for the use of food complaints in FY 2007 and 2006, information to http:// food label statements characterizing a
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relationship of any nutrient of the type consumed. Analytical methods for the amount of soy protein in a food that required to be in the label or labeling of measuring total protein can be used to bears the health claim and contains the food to a disease or a health related quantify the amount of soy protein in sources of protein other than soy, and to condition only where that statement foods that contain soy as the sole source make such records available to meets the requirements of the of protein. However, at the present time appropriate regulatory officials upon regulations promulgated by the there is no validated analytical written request. The information Secretary of Health and Human Services methodology available to quantify the collected includes nutrient databases or to authorize the use of such a health amount of soy protein in foods that analyses, recipes or formulations, claim. Section 101.82 (21 CFR 101.82) of contain other sources of protein. For purchase orders for ingredients, or any FDA’s regulations authorizes a health these latter foods, FDA must rely on other information that reasonably claim for food labels about soy protein information known only to the substantiates the ratio of soy protein to and the risk of coronary heart disease. manufacturer to assess compliance with total protein. To bear the soy protein/coronary heart the requirement that the food contain disease health claim, foods must contain the qualifying amount of soy protein. FDA estimates the burden of this at least 6.25 grams of soy protein per Thus, FDA requires manufacturers to collection of information as follows: reference amount customarily have and keep records to substantiate
TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN1
No. of Annual Frequency Total Annual Hours per 21 CFR Part Record-keepers of Recordkeeping Records Recordkeeper Total Hours
101.82(c)(2)(ii)(B) 25 1 25 1 25 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
Based upon the agency’s experience DEPARTMENT OF HEALTH AND FOR FURTHER INFORMATION CONTACT: with the use of health claims, FDA HUMAN SERVICES Jonna Capezzuto, Office of Information estimates that only about 25 firms Management (HFA–710), Food and Drug would be likely to market products Food and Drug Administration Administration, 5600 Fishers Lane, bearing a soy protein/coronary heart Rockville, MD 20857, 301–796–3794. disease health claim and that only, [Docket No. FDA–2005–N–0464] SUPPLEMENTARY INFORMATION: In perhaps, one of each firm’s products compliance with 44 U.S.C. 3507, FDA might contain nonsoy sources of protein Agency Information Collection has submitted the following proposed along with soy protein. The records Activities; Submission for Office of collection of information to OMB for Management and Budget Review; required to be retained by review and clearance. Comment Request; Draft Guidance for § 101.82(c)(2)(ii)(B) are the records, e.g., Industry on Providing Regulatory Draft Guidance for Industry on the formulation or recipe, that a Submissions in Electronic Format— Providing Regulatory Submissions in manufacturer has and maintains as a Drug Establishment Registration and Electronic Format—Drug Establishment normal course of its doing business. Drug Listing Registration and Drug Listing; Thus, the burden to the food Availability; Registration of Producers manufacturer is that involved in AGENCY: Food and Drug Administration, at Drugs and Listing of Drugs in assembling and providing the records to HHS. Commercial Distribution—(OMB appropriate regulatory officials for ACTION: Notice. Control Number 0910–0045— review or copying. Amendment) SUMMARY: The Food and Drug Please note that on January 15, 2008, Administration (FDA) is announcing Description of Respondents: the FDA Division of Dockets that a proposed collection of Respondents to this collection of Management Web site transitioned to information has been submitted to the information are foreign and domestic the Federal Dockets Management Office of Management and Budget owners and operators of establishments System (FDMS). FDMS is a (OMB) for review and clearance under that engage in the manufacture, Government-wide, electronic docket the Paperwork Reduction Act of 1995. preparation, propagation, compounding, or processing (which includes, among management system. Electronic DATES: Fax written comments on the comments or submissions will be other things, repackaging and collection of information by November relabeling) of a drug or drugs1 and that accepted by FDA only through FDMS at 24, 2008. http://www.regulations.gov. are not exempt under section 510(g) of ADDRESSES: To ensure that comments on the Federal Food, Drug, and Cosmetic Dated: October 15, 2008. the information collection are received, Act or subpart B of 21 CFR part 207 Jeffrey Shuren, OMB recommends that written (part 207) (registrants). comments be faxed to the Office of Associate Commissioner for Policy and A. Reporting Burden Planning. Information and Regulatory Affairs, [FR Doc. E8–25336 Filed 10–22–08; 8:45 am] OMB, Attn: FDA Desk Officer, FAX: The draft guidance describes how to 202–395–6974, or e-mailed to BILLING CODE 4160–01–S electronically create and submit [email protected]. All Structured Product Labeling (SPL) files comments should be identified with the using defined terminology for OMB control number 0910–0045. Also establishment registration and drug include the FDA docket number found in brackets in the heading of this 1 Means both human, including biological document. products, and animal drugs.
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listing information (including labeling). • A site-specific D-U-N-S Number2 anticipates that the hours per response Most information is already required to for each entity (e.g., the registrant, will decrease over time due to the be submitted under section 510 of the establishments, U.S. agent, importer); flexibility of submitting information for act, section 351 of the Public Health • The National Drug Code product registering multiple establishments or Service Act, and part 207. code for the source drug that is repacked listing multiple drugs in one SPL file Drug establishment registration and or relabeled; instead of submitting individual FDA drug listing information and updates to • A reference drug if used as a basis Forms, and increasing familiarity with such information, required under part for the strength of the listed drug; the use of the standards and • 207, and certain additional Distinctive characteristics of certain terminology for creating the SPL file. recommended information are currently listed drugs, i.e., the flavor, the color, In certain cases, if it is unreasonable submitted in paper form using Form and image of the actual solid dosage to expect a person to submit registration FDA 2656 (Registration of Drug form; and and listing information electronically, • Establishment/Labeler Code Registrants may indicate that they FDA may grant a waiver from the Assignment), Form FDA 2657 (Drug view as confidential the registrant’s electronic format requirement. Because Product Listing), and Form FDA 2658 business relationship with an registrants will only need a computer (Registered Establishments Report of establishment, or an inactive ingredient. and access to the Internet, FDA Private Label Distributors) (collectively In addition to the collection of envisions few instances in which referred to as FDA Forms; 72 FR 67733, information, there is additional burden electronic submission of registration November 30, 2007). for the following activities: and listing information will not be • Preparing a standard operating reasonable for the person requesting the In addition to the information procedure (SOP) for the electronic waiver and, thus, is estimating that FDA collected by the FDA Forms (72 FR submission of drug establishment would grant one waiver annually. We 67733, November 30, 2007), the draft registration and drug listing estimate that a one-time burden for guidance addresses electronic information; requesting a waiver would be an hour of submission of other required • Creating the SPL file, including time for a mid-level manager to draft, information as follows: accessing and reviewing the technical approve, and mail a letter. • For registered foreign drug specifications and instructional Recordkeeping Burden—In table 2 of establishments, the name, address, and documents provided by FDA (accessible this document, FDA estimates that 3,295 telephone number of its U.S. agent at http://www.fda.gov/oc/datacouncil/ (39 + 3,256) respondents would expend (§ 207.40(c)); spl.html); a one-time burden of approximately 40 • The name of each importer that is • Reviewing and selecting hours in preparing, reviewing, and known to the establishment (the U.S. appropriate terms and codes used to approving an SOP for creating and company or individual in the United create the SPL file (accessible at http:// uploading the SPL file; and an estimated States that is an owner, consignee, or www.fda.gov/oc/datacouncil/spl.html); 1 hour annually to maintain the SOP as recipient of the foreign establishment’s • Obtaining the digital certificate needed. drug that is imported into the United used with FDA’s electronic submission In the Federal Register of July 11, States. An importer does not include the gateway (ESG) and uploading the SPL 2008 (73 FR 39964), FDA published a consumer or patient who ultimately file for submission (accessible at http:// draft notice of availability requesting purchases, receives, or is administered www.fda.gov/esg/default.htm); and public comment on the information the drug, unless the foreign • Requests for waivers from the collection provisions. Nineteen establishment ships the drug directly to electronic submission process as comments were received of which 4 the consumer or the patient) (section described in the draft guidance. remarked on the information collection. 510(i)(1)(A) of the act); and (Comment 1) On the topic whether B. Burden Estimates • The name of each person who the proposed collection of information imports or offers for import (the name Reporting Burden—The estimates for is necessary for the proper performance of each agent, broker, or other entity, the number of respondents, annual of FDA’s functions, including whether other than a carrier, that the foreign frequency per response, and total the information will have a practical drug establishment uses to facilitate the annual responses indicated in table 1 of utility, one comment agreed that the import of their drug into the United this document are based on our current proposed collection of information is States) (section 510(i)(1)(A) of the act). estimates of the number of registrants necessary for us to perform its functions FDA also is recommending the and the number of submissions using and is consistent with the provisions of voluntary submission of the following the FDA Forms (OMB Control No. 0910– the Food and Drug Administration additional information, when 0045). FDA estimates that it would take Amendments Act of 2007 (Public Law applicable: an additional 2 hours per response (in 110–85). The comment continued to say that the information is also necessary to • To facilitate correspondence addition to the estimated 2.5 hours per support the transition from paper format between foreign establishments and response for registering, labeler code to electronic format, and that the FDA, the e-mail address for the U.S. requests, listing, and providing updates additional information requested by us agent, and the telephone number(s) and to the information approved under OMB is logical and reasonable and is not an e-mail address for the importer and Control No. 0910–0045) for the collection of information not currently undue burden. person who imports or offers for import (Response) We appreciate the support their drug; submitted using the FDA Forms, and to create and upload the SPL file. FDA and concurrence of the comment. • In providing the labeling as (Comment 2) On the topic whether specified under § 207.25, for 2 D&B D-U-N-S Number is a unique nine-digit the accuracy of FDA’s estimate of the manufacturers with a Web site for sequence recognized as the universal standard for burden of the proposed collection of voluntary reporting of adverse drug identifying and keeping track of over 100 million information, including the validity of reactions, the manufacturer’s telephone businesses worldwide. Submitting the site-specific D-U-N-S Number for an entity would provide by the methodology and assumptions used, number and URL address that appear on reference to the number certain business one comment stated that we the label under 21 CFR 201.57(a)(11); information for that entity, e.g., address, parentage. underestimated the effort to prepare,
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review, approve, implement and approximately 60 hours per record. (Comment 4) Two comments did not maintain internal SOPs for electronic Therefore, because the comment did not agree with our statement that there are submission of drug establishment provide a revised estimate, we are no capital or operating and maintenance registration and drug listing information maintaining an estimate of 40 hours per costs associated with the collection of because of the following reason. record, which is consistent with information. The comments explained Particularly for most large companies, preparing SOPs for paper format that some companies may choose drug establishment registration and drug submissions and also includes alternative tools to the Xform software listing information (currently submitted coordination efforts. or work with external conversion in paper format under 21 CFR 207.22) Regarding the comment on providers, which may involve the and content of labeling (currently underestimating the hours per response purchase and maintenance of software submitted in electronic format under 21 in table 1, the software designed to plus the use of internal information CFR 314.50(l)(1)(i)) are handled by create the SPL files, the step-by-step technology personnel for installation, completely different functional experts instructions in the technical guides, and configuration, and maintenance. These and/or departments in the companies. our technical assistance e-mail address comments further stated that these costs To coordinate these processes, are provided by us for the purpose of are significant and need to be additional time is needed to define new minimizing the need to learn the SPL considered in the overall cost for procedures and interactions that cross standard before submitting information industry to comply with the electronic functional departments and possibly electronically. submission requirement. international groups. Therefore, large (Response) As the comments stated, companies will expend more than 40 (Comment 3) On the topic of ways to companies may choose to use hours to prepare, review, approve, minimize the burden of the collection alternative tools or work with external implement and maintain SOPs. on respondents, including through the conversion providers. We do not Another comment asserts that the use of automated collection techniques, disagree. However, we have made every hours per response in table 1 of this when appropriate, and other forms of effort to eliminate costs to industry to document are underestimated if the information technology, one comment comply with the statutory requirement estimate accounts for the time required encouraged us to continue the to electronically submit drug to become familiar with the SPL availability of Xforms at no cost for establishment registration and drug standard. industry to use as a software tool for the listing information. (Response) In estimating hours per creation of SPL. The comment also We also received comments that were record in table 2 of this document, we requested that we continue this practice specifically related to the technical considered the various sizes of entities as technology evolves and provide documents referenced in the draft affected and proposed an average support for this tool. guidance. Although these comments are number of hours per activity. For (Response) We appreciate the not directly related to the draft guidance example, the estimated 40 hours per encouragement of the comment and will document that contains the information record are based on smaller entities consider the request to continue the collection, we will consider the requiring approximately 20 hours per practice and provide support as comments when reviewing the technical record and larger entities requiring technology evolves. documents for revision.
TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1
No. of Annual Frequency Total Annual Hours per Activity Respondents per Response Responses Response Total Hours
New registrations, including new labeler code requests 39 14.72 574 2 1,148
Annual updates of registration informa- tion 3,256 2.99 9,735 2 19,470
New drug listings 1,567 6.57 10,295 2 20,590
New listings for private label distributors 146 10.06 1,469 2 2,938
June and December updates of all drug listing information 1,677 11.21 18,799 2 37,598
Waiver requests 1 1 1 1 1
Total 81,745 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN1
Annual Frequency Activity No. of per Record- Total Annual Hours per Total Hours Recordkeepers keeping Records Record
One-time preparation of SOP 3,295 1 3,295 40 131,800
SOP maintenance 3,295 1 3,295 1 3,295
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TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN1—Continued
Annual Frequency Activity No. of per Record- Total Annual Hours per Total Hours Recordkeepers keeping Records Record
Total 135,095 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
C. Costs Associated With Electronic Dated: October 15, 2008. attenuated dengue virus vaccines. The Submission Jeffrey Shuren, resulting mutant viruses were screened Associate Commissioner for Policy and for several valuable phenotypes, There are no capital costs or operating Planning. including temperature sensitivity in and maintenance costs associated with [FR Doc. E8–25338 Filed 10–22–08; 8:45 am] Vero cells or human liver cells, host cell the transition from paper to electronic BILLING CODE 4160–01–S restriction in mosquito cells or human submissions. To create an SPL file and liver cells, host cell adaptation for submit it to FDA, a registrant would improved replication in Vero cells, and need the following tools: A computer, DEPARTMENT OF HEALTH AND attenuation in mice or in mosquitoes. appropriate software, access to the HUMAN SERVICES The genetic basis for each observed Internet, knowledge of terminology and phenotype was determined by direct standards, and access to FDA’s ESG. National Institutes of Health sequence analysis of the genome of the Registrants (and most individuals) Government-Owned Inventions; mutant virus. Mutations identified have computers and Internet access Availability for Licensing through these sequencing efforts have been further evaluated by re- available for their use. If a business does AGENCY: National Institutes of Health, introduction of the identified mutations, not have an available computer or Public Health Service, HHS. singly, or in combination, into access to the Internet, free use of ACTION: Notice. recombinant dengue virus and computers and Internet are usually characterization of the resulting available at public facilities, e.g., a SUMMARY: The inventions listed below recombinant virus for phenotypes. In community library; or they may request are owned by an agency of the U.S. this manner, a menu of attenuating and a waiver from submitting the Government and are available for growth promoting mutations was information electronically. licensing in the U.S. in accordance with developed that is useful in fine-tuning Software is necessary to create a 35 U.S.C. 207 to achieve expeditious the attenuation and growth ‘‘document.’’ The SPL file or commercialization of results of federally characteristics of dengue virus vaccine ‘‘document’’ may be created internally funded research and development. candidates. The mutations promoting Foreign patent applications are filed on by a business with experience with SPL growth in Vero cells have usefulness for selected inventions to extend market or a business may use a user-friendly the production of live or inactivated coverage for companies and may also be software (XForms)3 available at no cost dengue virus vaccines. available for licensing. for industry use. In addition to the Inventors: Stephen S. Whitehead, ADDRESSES: Licensing information and software, FDA also provides technical Brian R. Murphy, Kathryn A. Hanley, copies of the U.S. patent applications Joseph E. Blaney (NIAID). assistance, and other resources, listed below may be obtained by writing Patent Status: U.S. Patent No. terminology, and data standards to the indicated licensing contact at the 4 7,226,602 issued 05 Jun 2007 (HHS regarding SPL files. Office of Technology Transfer, National Reference No. E–120–2001/0–US–04); Once the SPL file is created, the Institutes of Health, 6011 Executive U.S. Patent Application No. 11/446,050 registrant would upload the file through Boulevard, Suite 325, Rockville, filed 02 Jun 2006 (HHS Reference No. the ESG. A digital certificate is needed Maryland 20852–3804; telephone: 301– E–120–2001/0–US–10). to use the ESG. The digital certificate 496–7057; fax: 301–402–0220. A signed Licensing Contact: Peter A. Soukas, binds together the owner’s name and a Confidential Disclosure Agreement will J.D.; 301–435–4646; pair of electronic keys (a public key and be required to receive copies of the [email protected]. a private key) that can be used to patent applications. Collaborative Research Opportunity: The National Institute of Allergy and encrypt and sign documents. However, Development of Mutations Useful for Infectious Diseases, Laboratory of a small fee of up to $20.00 is charged Attenuating Dengue Viruses and Infectious Diseases, is seeking for the digital certificate and the Chimeric Dengue Viruses registrant may need to renew the statements of capability or interest from Description of Technology: Although certificate not less than annually. FDA parties interested in collaborative flaviviruses cause a great deal of human research to further develop, evaluate, or is not calculating this small fee as cost suffering and economic loss, there is a commercialize these vaccines. Please of doing business because it is less than shortage of effective vaccines. This contact Dr. Brian Murphy at 301–594– or equal to the biannual courier costs invention relates to dengue virus 1616 or [email protected] for more the registrant incurs for paper mutations that may contribute to the information. submissions. development of improved dengue vaccines. Site directed and random Dengue Tetravalent Vaccine Containing mutagenesis techniques were used to a Common 30 Nucleotide Deletion in the 3′-UTR of Dengue Types 1, 2, 3, and 3 introduce mutations into the dengue See http://www.fda.gov/oc/datacouncil/ 4 xforms.html. virus genome and to assemble a 4 See http://www.fda.gov/oc/datacouncil/ collection of useful mutations for Description of Technology: The spl.html. incorporation in recombinant live invention relates to a dengue virus
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tetravalent vaccine containing a disease that has embedded itself over a Development of Dengue Virus Type 3 common 30-nucleotide deletion considerable region of the U.S. WNV Vaccine Candidates Containing Either (Delta30) in the 3′-untranslated region infections have been recorded in (1) Nucleotide Deletions in the 3′-UTR (UTR) of the genome of dengue virus humans as well as in different animals. of the Genome Consisting of More Than serotypes 1, 2, 3, and 4. The previously To date, WNV has killed 294 people in 30 Contiguous Nucleotides in One or identified Delta30 attenuating mutation, the U.S. and caused severe disease in Multiple Regions, or (2) a 3′-UTR created in dengue virus type 4 (DEN4) more than 4222 others. This project is Derived From DEN4 and Containing the by the removal of 30 nucleotides from A30 Nucleotide Deletion ′ part of NIAID’s comprehensive the 3 -UTR, is also capable of emerging infectious disease program, Description of Technology: The attenuating a wild-type strain of dengue which supports research on bacterial, virus type 1 (DEN1). Removal of 30 disease burden associated with dengue viral, and other types of disease-causing nucleotides from the DEN1 3′-UTR in a virus infection has increased over the highly conserved region homologous to microbes. past several decades in the tropical and the DEN4 region encompassing the The methods and compositions of this semi-tropical regions of the world, Delta30 mutation yielded a recombinant invention provide a means for where over 2 billion people live at risk virus attenuated in rhesus monkeys to a prevention of WNV infection by of dengue infection. Annually, there are level similar to recombinant virus immunization with attenuated, an estimated fifty (50) to one hundred DEN4Delta30. This established the immunogenic viral vaccines against (100) million cases of dengue fever, transportability of the Delta30 mutation WNV. The invention involves a making development of an effective and its attenuation phenotype to a chimeric virus form consisting of parts vaccine a priority. In addition, there is dengue virus type other than DEN4. The of WNV and Dengue virus. Construction a need for a ‘‘travelers vaccine’’ to effective transferability of the Delta30 of the hybrids and their properties are protect those visiting dengue virus mutation establishes the usefulness of described in detail in AG Pletnev et al., endemic areas, similar in scope to other the Delta30 mutation to attenuate and PNAS 2002; 99(5): 3036–3041. currently available ‘‘travelers vaccines’’, improve the safety of commercializable such as hepatitis A vaccine. dengue virus vaccines of any serotype. The WNV chimeric vaccine does not The previously identified D30 A tetravalent dengue virus vaccine target the central nervous system, which containing dengue virus types 1, 2, 3, would be the case in an infection with attenuating mutation, created in each wild type WNV. The vaccine stimulates dengue virus serotype by the removal of and 4 each attenuated by the Delta30 ′ mutation is being developed. The strong anti-WNV immune responses, 30 homologous nucleotides from the 3 - presence of the Delta30 attenuating even following a single dose of the UTR, is capable of attenuating wild-type mutation in each virus component vaccine. When injected into mice, the strains of dengue virus type 1 (DEN1), precludes the reversion to a wild-type vaccine protected all of the immunized type 4 (DEN4) and to a limited extent type 2 (DEN2). These DEN1Delta30 and virus by intertypic recombination. In animals from subsequent exposure to DEN4Delta30 viruses have been shown addition, because of the inherent genetic the New York WNV strain. The vaccine to be both safe and immunogenic in stability of deletion mutations, the was also effective in primates. Delta30 mutation represents an humans. However, the Delta30 mutation The WNV vaccine may be used to excellent alternative for use as a failed to have an attenuating effect on protect the human population, common mutation shared among each dengue virus type 3 (DEN3). To generate component of a tetravalent vaccine. particularly the elderly people, and DEN3 vaccine candidates with a clearly Inventors: Stephen S. Whitehead domestic animals from WNV infection attenuated phenotype, viruses were ′ (NIAID), Brian R. Murphy (NIAID), in the affected regions of the U.S. as produced containing 3 -UTR deletions Lewis Markoff (FDA), Barry Falgout well as worldwide. consisting of extensions of the original (FDA), Kathryn A. Hanley (NIAID), Inventors: Alexander G. Pletnev et al. Delta30 mutation or additional Joseph E. Blaney (NIAID). (NIAID). mutations which remove stem-loop Patent Status: U.S. Patent Application structures similar to those removed by Patent Status: U.S. Patent Application No. 10/970,640 filed 21 Oct 2004, Delta30. In addition, the entire 3′-UTR claiming priority to 03 May 2002 (HHS No. 10/871,775 filed 18 Jun 2004 (HHS of DEN3 was replaced with the 3′-UTR Reference No. E–089–2002/1–US–02) Reference No. E–357–2001/1–US–02). derived from DEN4 and containing the Licensing Contact: Peter A. Soukas, Licensing Status: Available for Delta30 mutation. Studies in monkeys J.D.; 301–435–4646; exclusive or non-exclusive licensing for demonstrated that these newly [email protected]. developing a vaccine against WNV for developed viruses are highly attenuated, Collaborative Research Opportunity: humans or veterinary use in accordance yet sufficiently immunogenic to warrant The National Institute of Allergy and with 35 U.S.C. 207 and 37 CFR Part 404. their further development for use as live Infectious Diseases, Laboratory of Licensing Contact: Peter A. Soukas, attenuated vaccine candidates. Such Infectious Diseases, is seeking viruses are anticipated to become the J.D.; 301–435–4646; statements of capability or interest from DEN3 component of a tetravalent [email protected]. parties interested in collaborative vaccine formulation designed to research to further develop, evaluate, or Collaborative Research Opportunity: immunize against all four dengue virus commercialize these vaccines. Please The National Institute of Allergy and serotypes. contact Dr. Brian Murphy at 301–594– Infectious Diseases is seeking statements Application: Immunization against all 1616 or [email protected] for more of capability or interest from parties four serotypes of Dengue Virus. information. interested in collaborative research to further develop, evaluate, and Developmental Status: Vaccine Live Attenuated Vaccine to Prevent candidates have been synthesized and Disease Caused by West Nile Virus commercialize this technology. Please contact Percy Pan at 301–451–3523 or preclinical studies have been Description of Technology: WNV has performed. The vaccine candidates of [email protected] for more recently emerged in the U.S. and is this invention are slated to enter Phase information. considered a significant emerging I clinical trials in the next year.
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Inventors: Stephen S. Whitehead, vaccine compositions including the United States. Prior to the outbreak Joseph E. Blaney, Brian R. Murphy California encephalitis virus (CEV) of West Nile virus in 1999, St. Louis (NIAID). serogroup immunogens, attenuated and encephalitis was the most common Patent Status: PCT Application No. inactivated CEV serogroup and chimeric human disease caused by mosquitoes in PCT/US2007/076004 filed 15 Aug 2007, Bunyaviridae. Also claimed are methods the United States. Since 1964, there claiming priority to 15 Aug 2006 (HHS of treating or preventing CEV serogroup have been about 4,440 confirmed cases Reference No. E–139–2006/0–PCT–02). infection in a mammalian host, methods of St. Louis encephalitis, with an Licensing Status: Available for of producing a subunit vaccine average of 130 cases per year. Up to exclusive or non-exclusive licensing. composition, isolated polynucleotides 3,000 cases have been reported during Licensing Contact: Peter A. Soukas, comprising a nucleotide sequence epidemics in some years. Many more J.D.; 301–435–4646; encoding a CEV serogroup immunogen, infections occur without symptoms and [email protected]. methods for detecting LACV infection in go undiagnosed. At present, a vaccine or Collaborative Research Opportunity: a biological sample and infectious FDA approved antiviral therapy is not The National Institute of Allergy and chimeric Bunyaviridae. available. Infectious Diseases, Laboratory of Application: Immunization against The inventors have previously Infectious Diseases, is seeking Bunyaviridae. developed a WNV/Dengue4Delta30 statements of capability or interest from Developmental Status: Live antigenic chimeric virus as a live parties interested in collaborative attenuated vaccine candidates are attenuated virus vaccine candidate that research to further develop, evaluate, or currently being developed and contains the WNV premembrane and commercialize these vaccines. Please preclinical studies in mice and monkeys envelope (prM and E) proteins on a contact Dr. Brian Murphy at 301–594– are in progress. Suitable vaccine dengue virus type 4 (DEN4) genetic 1616 or [email protected] for more candidates will then be evaluated in background with a thirty nucleotide information. clinical studies. deletion (Delta30) in the DEN4 3’-UTR. Live Attenuated Virus Vaccines for La Inventors: Stephen S. Whitehead, Using a similar strategy, the inventors Crosse Virus and Other Bunyaviridae Richard S. Bennett, Brian R. Murphy have generated an antigenic chimeric (NIAID) virus, SLE/DEN4Delta30. Preclinical Description of Technology: La Crosse Publication: RS Bennett et al. Genome testing results indicate that virus (LACV), family Bunyaviridae, is a sequence analysis of La Crosse virus and chimerization of SLE with DEN4Delta30 mosquito-borne pathogen endemic in in vitro and in vivo phenotypes. Virol decreased neuroinvasiveness in mice, the United States. LACV infection J. 2007 May 8;4:41. did not affect neurovirulence in mice, results in 70–130 clinical cases a year Patent Status: PCT Application No. and appeared to overattenuate the virus and is the major cause of pediatric PCT/US2008/056099 filed 06 Mar 2008, for non-human primates. Modifications arboviral encephalitis in North America. claiming priority to 29 Mar 2007 (HHS of the SLE/DEN4Delta30 vaccine LACV was first identified as human Reference No. E–158–2007/3–PCT–01). candidate are underway to improve its pathogen in 1960 after its isolation from Licensing Status: Available for immunogenicity. a 4 year-old girl from Minnesota who exclusive or non-exclusive licensing. This application claims live suffered meningoencephalitis and later Licensing Contact: Peter A. Soukas, attenuated chimeric SLE/DEN4Delta30 died in La Crosse, Wisconsin. The J.D.; 301–435–4646; vaccine compositions and bivalent majority of LACV infections are mild [email protected]. WNV/SLE/DEN4Delta30 vaccine and never reported, however serologic Collaborative Research Opportunity: compositions. Also claimed are methods studies estimate annual infection rates The National Institute of Allergy and of treating or preventing SLEV infection of 10–30/100,000 in endemic areas. Infectious Diseases, Laboratory of in a mammalian host, methods of LACV is a member of the California Infectious Diseases, is seeking producing a subunit vaccine serogroup of viruses in the genus statements of capability or interest from composition, isolated polynucleotides Orthobunyavirus. The serogroup parties interested in collaborative comprising a nucleotide sequence contains members found on five research to further develop, evaluate, or encoding a SLEV immunogen, methods continents that include human commercialize live attenuated virus for detecting SLEV infection in a pathogens such as La Crosse, Snowshoe vaccine candidates for La Crosse virus biological sample and infectious hare, and Jamestown Canyon viruses in and other Bunyaviridae. Please contact chimeric SLEV. North America; Guaroa virus in North Dr. Whitehead at 301–496–7692 for Application: Immunization against and South America; Inkoo and Tahyna more information. SLEV or SLEV and WNV. viruses in Europe; and Lumbo virus in Development of Antigenic Chimeric St. Development Status: Live attenuated Africa. Children who recover from vaccine candidates are currently being severe La Crosse encephalitis may have Louis Encephalitis Virus/Dengue Virus Type Four Recombinant Viruses (SLEV/ developed and preclinical studies in significantly lower IQ scores than mice and monkeys are in progress. expected and a high prevalence (60% of DEN4) as Vaccine Candidates for the Prevention of Disease Caused by SLEV Suitable vaccine candidates will then be those tested) of attention-deficit- evaluated in clinical studies. hyperactivity disorder. Seizure Description of Technology: St. Louis Inventors: Stephen S. Whitehead, disorders are also common in survivors. Encephalitis Virus (SLEV) is a Joseph Blaney, Alexander Pletnev, Brian LACV can also cause encephalitis in mosquito-borne flavivirus that is R. Murphy (NIAID). immunosuppressed adults. Projected endemic in the Americas and causes Patent Status: PCT Application No. lifelong economic costs associated with sporadic outbreaks of disease in PCT/US2008/066445 filed 10 Jun 2008, neurologic sequelae range from humans. SLEV is a member of the claiming priority to 14 Jun 2007 (HHS $48,775–3,090,398 per case. At present, Japanese encephalitis virus serocomplex Reference No. E–240–2007/0–PCT–02). a vaccine or FDA approved antiviral and is closely related to West Nile Virus Licensing Status: Available for therapy is not available. (WNV). St. Louis encephalitis is found exclusive or non-exclusive licensing. This application principally claims throughout North, Central, and South Licensing Contact: Peter A. Soukas, live attenuated LACV vaccine America, and the Caribbean, but is a J.D.; 301–435–4646; compositions, but also includes subunit major public health problem mainly in [email protected].
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Collaborative Research Opportunity: The evaluation of live attenuated 6. JE Blaney Jr., JM Matro, BR The National Institute of Allergy and dengue vaccine candidates in rhesus Murphy, SS Whitehead. Recombinant, Infectious Diseases, Laboratory of monkeys requires wild type control live-attenuated tetravalent dengue virus Infectious Diseases, is seeking viruses for each of the four dengue vaccine formulations induce a balanced, statements of capability or interest from serotypes. These control viruses are broad, and protective neutralizing parties interested in collaborative used for comparison to the attenuated antibody response against each of the research to further develop, evaluate, or strains and post-vaccination challenge four serotypes in rhesus monkeys. J commercialize live attenuated virus to assess vaccine efficacy. As such, Virol. 2005 May; 79(9): 5516–5528. vaccine candidates for St. Louis these viruses need to be well 7. JE Blaney Jr., NS Sathe, CT Hanson, encephalitis virus. Please contact Dr. characterized and sufficiently pure to CY Firestone, BR Murphy, SS Whitehead at 301–496–7692 for more ensure that they will replicate to Whitehead. Vaccine candidates for information. consistent levels in rhesus monkeys. dengue virus type 1 (DEN1) generated Characterization generally includes by replacement of the structural genes of Generation of Wild-Type Dengue sequence analysis, titration, and rDEN4 and rDEN4Delta30 with those of Viruses for Use in Rhesus Monkey evaluation in monkeys. The following DEN1. Virol J. 2007 Feb 28; 4:23. Infection Studies viruses have been characterized: (1) Patent Status: HHS Reference No. E– Description of Technology: Dengue DEN1 WP (2) DEN1 Puerto Rico/94 (3) 042–2008/0—Research Tool. Patent virus is a positive-sense RNA virus DEN2 NGC prototype (4) DEN2 Tonga/ protection is not being pursued for this belonging to the Flavivirus genus of the 74 (5) DEN3 Sleman/78 and (6) DEN4 technology. Licensing Status: Available for family Flaviviridae. Dengue virus is Dominica/81. nonexclusive biological materials widely distributed throughout the Application: Dengue/flavivirus licensing only. vaccine studies, dengue/flavivirus tropical and semitropical regions of the Licensing Contact: Peter A. Soukas, diagnostics, dengue/flavivirus research world and is transmitted to humans by J.D.; 301–435–4646; mosquito vectors. Dengue virus is a tools. [email protected]. leading cause of hospitalization and Development Status: Materials are death in children in at least eight available for transfer. Monoclonal Antibodies Against Dengue tropical Asian countries. There are four Inventors: Stephen S. Whitehead and and Other Viruses With Deletion in Fc serotypes of dengue virus (DEN–1, Joseph E. Blaney, Jr. (NIAID). Region DEN–2, DEN–3, and DEN–4) that Publications: Description of Technology: The four annually cause an estimated 50–100 1. AP Durbin, RA Karron, W Sun, DW dengue virus (DENV) serotypes (DENV– million cases of dengue fever and Vaughn, MJ Reynolds, JR Perreault, B 1 to DENV–4) are the most important 500,000 cases of the more severe form Thumar, R Men, C-J Lai, WR Elkins, RM arthropod-borne flaviviruses in terms of of dengue virus infection known as Chanock, BR Murphy, SS Whitehead. A morbidity and geographic distribution. dengue hemorrhagic fever/dengue shock live attenuated dengue virus type 4 Up to 100 million DENV infections syndrome (DHFIDSS). This latter vaccine candidate with a 30 nucleotide occur every year, mostly in tropical and disease is seen predominately in deletion in the 3′ untranslated region is subtropical areas where vector children and adults experiencing a highly attenuated and immunogenic in mosquitoes are abundant. Infection with second dengue virus infection with a humans. Am J Trop Med Hyg. 2001 Nov; any of the DENV serotypes may be serotype different than that of their first 65(5): 405–413. asymptomatic or may lead to classic dengue virus infection and in primary 2. SS Whitehead, B Falgout, KA dengue fever or more severe dengue infection of infants who still have Hanley, JE Blaney Jr., L Markoff, BR hemorrhagic fever (DHF) and dengue circulating dengue-specific maternal Murphy. A live, attenuated dengue virus shock syndrome (DSS), which are antibody. A vaccine is needed to lessen type 1 vaccine candidate with a 30- increasingly common in the dengue the disease burden caused by dengue nucleotide deletion in the 3′ endemic areas. Immunity to the same virus, but none is licensed. untranslated region is highly attenuated virus serotype (homotypic immunity) is Because of the association of more and immunogenic in monkeys. J Virol. life-long, whereas immunity to different severe disease with secondary dengue 2003 Jan; 77(2): 1653–1657. serotypes (heterotypic immunity) lasts virus infection, a successful vaccine 3. SS Whitehead, KA Hanley, JE 2–3 months so that infection with a must induce immunity to all four Blaney Jr., LE Gilmore, WR Elkins, BR different serotype virus is possible. serotypes. Immunity is primarily Murphy. Substitution of the structural DHF/DSS often occurs in patients with mediated by neutralizing antibody genes of dengue virus type 4 with those second, heterotypic DENV infections or directed against the envelope (E) of type 2 results in chimeric vaccine in infants with maternally transferred glycoprotein, a virion structural protein. candidates which are attenuated for dengue immunity. Severe dengue is a Infection with one serotype induces mosquitoes, mice, and rhesus monkeys. major cause of hospitalization, and long-lived homotypic immunity and a Vaccine 2003 Oct 1; 21(27–30): 4307– fatality rates vary from <1% to 5% in short-lived heterotypic immunity. 4316. children. Therefore, the goal of immunization is 4. JE Blaney Jr., CT Hanson, KA Antibody-dependent enhancement to induce a long-lived neutralizing Hanley, BR Murphy, SS Whitehead. (ADE) has been proposed as an antibody response against DEN–1, DEN– Vaccine candidates derived from a underlying pathogenic mechanism of 2, DEN–3, and DEN–4, which can best novel infectious cDNA clone of an DHF/DSS. ADE occurs because be achieved economically using live American genotype dengue virus type 2. preexisting subneutralizing antibodies attenuated virus vaccines. This is a BMC Infect Dis. 2004 Oct 4;4:39. and the infecting DENV form complexes reasonable goal since a live attenuated 5. JE Blaney Jr., CT Hanson, CY that bind to Fc receptor-bearing cells, vaccine has already been developed for Firestone, KA Hanley, BR Murphy, SS leading to increased virus uptake and the related yellow fever virus, another Whitehead. Genetically modified, live replication. ADE has been repeatedly mosquito-borne flavivirus present in attenuated dengue virus type 3 vaccine demonstrated in vitro using dengue tropical and semitropical regions of the candidates. Am J Trop Med Hyg. 2004 immune sera or monoclonal antibodies world. Dec; 71(6): 811–821. and cells of monocytic and recently, B
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lymphocytic lineages bearing Fc and subtropical areas where Aedes vivo and strategies for prevention. Proc receptors. ADE of DENV–2 infection has albopictus and Aedes aegypti Natl Acad Sci U.S.A. 2007 May 29; also been demonstrated in monkeys mosquitoes are abundant. Dengue 104(22): 9422–9427. infused with a human dengue immune infection produces fever, rash, and joint Patent Status: U.S. Patent Application serum. pain in humans. A more severe and life- No. 10/582,006 filed 07 Jun 2006 (HHS We have identified chimpanzee- threatening form of dengue, Reference No. E–066–2003/5–US–02); human chimeric IgG1 mAbs capable of characterized by hemorrhagic fever and Canadian Patent Application No. neutralizing or binding to one or more hemorrhagic shock, has occurred with 2548808 filed 03 Dec 2004 (HHS DENV serotypes. Cross-reactive IgG 1A5 increasing frequency in Southeast Asia Reference No. E–066–2003/5–CA–03). neutralizes DENV–1 and DENV–2 more and Central and South America, where Licensing Status: Available for efficiently than DENV–3 and DENV–4, all four dengue virus serotypes exclusive or non-exclusive licensing. and type-specific IgG 5H2 neutralizes circulate. A safe and effective vaccine Licensing Contact: Peter A. Soukas, DENV–4 at a high titer. Analysis of against dengue is currently not J.D.; 301–435–4646; antigenic variants has localized the IgG available. Passive immunization with [email protected]. 1A5 binding site to the conserved fusion monoclonal antibodies from non-human Collaborative Research Opportunity: peptide in E. Thus, IgG 1A5 shares primates or humans represents a The National Institute of Allergy and many characteristics with the cross- possible alternative to vaccines for Infectious Diseases, Laboratory of reactive antibodies detected in prevention of illness caused by dengue Infectious Diseases, is seeking flavivirus infections. virus. statements of capability or interest from This application claims a variant of an The application claims monoclonal parties interested in collaborative antibody comprising a polypeptide in antibodies that bind or neutralize research to further develop, evaluate, or the Fc region, which binds an Fc gamma dengue type 1, 2, 3, and/or 4 viruses. commercialize this technology. Please receptor (FcgammaR) with lower affinity The application also claims fragments of contact Ching-Juh Lai at 301–594–2422 than the parent antibody. The variant such antibodies retaining dengue virus- for more information. polypeptide comprises a deletion of binding ability, fully human or nine amino acids at the N-terminus of humanized antibodies retaining dengue Dated: October 14, 2008. the CH2 domain in the Fc region. virus-binding ability, and Richard U. Rodriguez, Introduction of the Fc variant abrogates pharmaceutical compositions including Director, Division of Technology Development the antibody-mediated dengue virus such antibodies. The application also and Transfer, Office of Technology Transfer, replication enhancing activity. This claims isolated nucleic acids encoding National Institutes of Health. invention has important implications the antibodies of the invention. [FR Doc. E8–25210 Filed 10–22–08; 8:45 am] for the antibody-mediated prevention of Additionally, application claims BILLING CODE 4140–01–P dengue virus infection. prophylactic, therapeutic, and Application: Immunization against diagnostic methods employing the Dengue and/or flaviviruses. antibodies and nucleic acids of the DEPARTMENT OF HEALTH AND Developmental Status: Antibody invention. HUMAN SERVICES candidates have been synthesized and Application: Prophylaxis against preclinical studies have been dengue serotypes 1, 2, 3 and 4. National Institutes of Health Development Status: Antibodies have performed. Government-Owned Inventions; Inventors: Ana Goncalvez, Robert been synthesized and preclinical studies Availability for Licensing Purcell, C.J. Lai (NIAID). have been performed. Publication: AP Goncalvez et. al. Inventors: Ching-Juh Lai and Robert AGENCY: National Institutes of Health, Monoclonal antibody-mediated Purcell (NIAID). Public Health Service, HHS. enhancement of dengue virus infection Publications: The antibodies are ACTION: in vitro and in vivo and strategies for further described in: Notice. 1. R Men et al. Identification of prevention. Proc Natl Acad Sci USA. SUMMARY: The inventions listed below chimpanzee Fab fragments by repertoire 2007 May 29; 104(22): 9422–9427. are owned by an agency of the U.S. cloning and production of a full-length Patent Status: PCT Application No. Government and are available for humanized immunoglobulin G1 PCT/US2008/059313 filed 03 Apr 2008, licensing in the U.S. in accordance with antibody that is highly efficient for claiming priority to 04 Apr 2007 (HHS 35 U.S.C. 207 to achieve expeditious neutralization of dengue type 4 virus. J Reference No. E–159–2007/3–PCT–01). commercialization of results of federally Licensing Status: Available for Virol. 2004 May; 78(9): 4665–4674. funded research and development. exclusive or non-exclusive licensing. 2. AP Goncalvez et al. Chimpanzee Licensing Contact: Peter A. Soukas, Fab fragments and a derived humanized Foreign patent applications are filed on J.D.; 301–435–4646; immunoglobulin G1 antibody that selected inventions to extend market [email protected]. efficiently cross-neutralize dengue type coverage for companies and may also be 1 and type 2 viruses. J Virol. 2004 Dec; available for licensing. Monoclonal Antibodies That Bind or 78(23): 12910–12918. ADDRESSES: Licensing information and Neutralize Dengue Virus 3. AP Goncalvez et al. Epitope copies of the U.S. patent applications Description of Technology: Among the determinants of a chimpanzee Fab listed below may be obtained by writing arthropod-borne flaviviruses, the four antibody that efficiently cross- to the indicated licensing contact at the dengue virus serotypes, dengue type 1 neutralizes dengue type 1 and type 2 Office of Technology Transfer, National virus (DENV–1), dengue type 2 virus viruses map to inside and in close Institutes of Health, 6011 Executive (DENV–2), dengue type 3 virus (DENV– proximity to fusion loop of the dengue Boulevard, Suite 325, Rockville, 3), and dengue type 4 virus (DENV–4 type 2 virus envelope glycoprotein. J Maryland 20852–3804; telephone: 301– are most important in terms of human Virol. 2004 Dec; 78(23): 12919–12928. 496–7057; fax: 301–402–0220. A signed morbidity and geographic distribution. 4. AP Goncalvez et al. Monoclonal Confidential Disclosure Agreement will Dengue viruses cause dengue outbreaks antibody-mediated enhancement of be required to receive copies of the and major epidemics in most tropical dengue virus infection in vitro and in patent applications.
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Monoclonal Antibodies Against Infectious Diseases, Laboratory of DEPARTMENT OF HEALTH AND Orthopoxviruses Infectious Diseases, is seeking HUMAN SERVICES Description of Technology: Concerns statements of capability or interest from National Institutes of Health that variola (smallpox) virus might be parties interested in collaborative used as a biological weapon have led to research to further develop, evaluate, or commercialize Chimpanzee/human Government-Owned Inventions; the recommendation of widespread Availability for Licensing vaccination with vaccinia virus. While neutralizing monoclonal antibodies vaccination is generally safe and against orthopoxviruses. Please contact AGENCY: National Institutes of Health, effective for prevention of smallpox, it Dr. Robert Purcell at 301–496–5090 for Public Health Service, HHS. more information. is well documented that various adverse ACTION: Notice. reactions in individuals have been Methods for Conjugation of caused by vaccination with existing Oligosaccharides or Polysaccharides to SUMMARY: The inventions listed below licensed vaccines. Vaccinia immune Protein Carriers Through Oxime are owned by an agency of the U.S. globulin (VIG) prepared from vaccinated Linkages via 3-Deoxy-D-Manno- Government and are available for humans has historically been used to Octulsonic Acid licensing in the U.S. in accordance with treat adverse reactions arising from 35 U.S.C. 207 to achieve expeditious vaccinia immunization. However, VIG Description of Technology: This commercialization of results of federally lots may have different potencies and technology comprises new methods for funded research and development. carry the potential to transmit other the conjugation of O-specific Foreign patent applications are filed on viral agents. polysaccharides/oligosaccharides (O– selected inventions to extend market Chimpanzee Fabs against the B5 and SP/OS) derived from bacterial coverage for companies and may also be A33 outer extracellular membrane lipooligosaccharides/ available for licensing. proteins of vaccinia virus were isolated lipopolysaccharides (LOS/LPS), after ADDRESSES: Licensing information and and converted into complete mAbs with their cleavage from Lipid A, to carrier copies of the U.S. patent applications human gamma1 heavy chain constant proteins, to serve as potential vaccines. listed below may be obtained by writing regions. The two mAbs displayed high Conjugation is performed between the to the indicated licensing contact at the binding affinities to B5 and A33. The carbonyl group on the terminal reducing Office of Technology Transfer, National mAbs inhibited the spread of vaccinia end of the saccharide and the aminooxy Institutes of Health, 6011 Executive virus as well as variola virus (the group of a bifunctional linker bound Boulevard, Suite 325, Rockville, causative agent of smallpox) in vitro, further to the protein. Maryland 20852–3804; telephone: 301– protected mice from subsequent The inventors have carried out the 496–7057; fax: 301–402–0220. A signed intranasal challenge with virulent reaction under mild conditions and in a Confidential Disclosure Agreement will vaccinia virus, protected mice when short time resulting in binding 3-deoxy- be required to receive copies of the administered 2 days after challenge, and D-manno-octulosonic acid (KDO) on the patent applications. provided significantly greater protection saccharide to the protein. These Vaccine for Protection Against than that afforded by VIG. conjugates preserve the external non- Shigella sonnei Disease Application: Prophylactics or reducing end of the saccharide, are therapeutics against orthopoxviruses. recognized by antisera, and induce Description of Technology: Shigellosis Development Status: Preclinical immune responses in mice to both is a global human health problem. studies have been performed. conjugate components (i.e., the OS and Transmission usually occurs by Inventors: Zhaochun Chen, Robert the associated carrier protein). contaminated food and water or through person-to-person contact. The bacterium Purcell, Suzanne Emerson, Patricia Earl, Application: Cost effective and is highly infectious by the oral route, Bernard Moss (NIAID). efficient manufacturing of conjugate and ingestion of as few as 10 organisms Publications: vaccines. 1. Z Chen et al. Chimpanzee/human can cause an infection in volunteers. An mAbs to vaccinia virus B5 protein Inventors: Joanna Kubler-Kielb estimated 200 million people neutralize vaccinia and smallpox (NICHD), Vince Pozsgay (NICHD), Gil worldwide suffer from shigellosis, with viruses and protect mice against Ben-Menachem (NICHD), Rachel more than 650,000 associated deaths vaccinia virus. Proc Natl Acad Sci USA. Schneerson (NICHD), et al. annually. A recent CDC estimate 2006 Feb 7; 103(6): 1882–1887. Patent Status: PCT Application No. indicates the occurrence of over 440,000 2. Z Chen et al. Characterization of PCT/US2007/016373 filed 18 Jul 2007, annual shigellosis cases in the United chimpanzee/human monoclonal which published as WO 2008/013735 States alone, approximately eighty antibodies to vaccinia virus A33 on 31 Jan 2008; claiming priority to 21 percent (80%) of which are caused by glycoprotein and its variola virus Jul 2006 (HHS Reference No. E–183– Shigella sonnei. Shigella sonnei is more homolog in vitro and in a vaccinia virus 2005/0–PCT–02). active in developed countries. Shigella mouse protection model. J Virol. 2007 Licensing Status: Available for infections are typically treated with a Sep; 81(17): 8989–8995. exclusive or non-exclusive licensing. course of antibiotics. However, due to Patent Status: U.S. Patent Application the emergence of multidrug resistant Licensing Contact: Peter A. Soukas, No. 12/142,594 filed 19 Jun 2008, Shigella strains, a safe and effective J.D.; 301–435–4646; claiming priority to 22 Dec 2005 (HHS vaccine is highly desirable. No vaccines [email protected]. Reference No. E–145–2004/3–US–02). against Shigella infection currently Licensing Status: Available for Dated: October 14, 2008. exist. Immunity to Shigellae is mediated exclusive or non-exclusive licensing. Richard U. Rodriguez, largely by immune responses directed Licensing Contact: Peter A. Soukas, Director, Division of Technology Development against the serotype specific O- J.D.; 301–435–4646; and Transfer, Office of Technology Transfer, polysaccharide. Claimed in the [email protected]. National Institutes of Health. invention are compositions and Collaborative Research Opportunity: [FR Doc. E8–25219 Filed 10–22–08; 8:45 am] methods for inducing an The National Institute of Allergy and BILLING CODE 4140–01–P immunoprotective response against S.
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sonnei. Specifically, an attenuated 085–2005/0–PCT–02); U.S. Patent Dated: October 14, 2008. bacteria capable of expressing an S. Application filed 15 Sep 2008 (HHS Richard U. Rodriguez, sonnei antigen comprised of the S. Reference No. E–085–2005/0–US–03). Director, Division of Technology Development sonnei form I O-polysaccharide Licensing Status: Available for and Transfer, Office of Technology Transfer, expressed from the S. sonnei rfb/rfc exclusive or non-exclusive licensing. National Institutes of Health. gene cluster is claimed. The inventors The technology is not available for [FR Doc. E8–25220 Filed 10–22–08; 8:45 am] have shown that the claimed vaccine licensing in the field of use of BILLING CODE 4140–01–P compositions showed one hundred multivalent meningitis vaccines. percent (100%) protection against Licensing Contact: Peter A. Soukas, parenteral challenge with virulent S. J.D.; 301–435–4646; DEPARTMENT OF HEALTH AND sonnei in mice. [email protected]. HUMAN SERVICES Inventors: Dennis J. Kopecko (FDA), A Method With Increased Yield for De-Qi Xu (NIDCR), John O. Cisar National Institutes of Health Production of Polysaccharide-Protein (NIDCR). Patent Status: U.S. Patent Application Conjugate Vaccines Using Hydrazide Government-Owned Inventions; No. 10/346,706 filed 15 Jan 2003, Chemistry Availability for Licensing claiming priority to 16 Jan 2002 (HHS Description of Technology: Current AGENCY: National Institutes of Health, Reference No. E–210–2001/0–US–02) methods for synthesis and Public Health Service, HHS. Licensing Contact: Peter A. Soukas, manufacturing of polysaccharide- ACTION: Notice. J.D.; 301–435–4646; protein conjugate vaccines employ [email protected]. conjugation reactions with low SUMMARY: The inventions listed below efficiency (about twenty percent). This are owned by an agency of the U.S. Methods for Preparing Complex means that up to eighty percent of the Government and are available for Multivalent Immunogenic Conjugates added activated polysaccharide (PS) is licensing in the U.S. in accordance with Description of Technology: Claimed in lost. In addition, inclusion of a 35 U.S.C. 207 to achieve expeditious this application are novel methods for chromatographic process for commercialization of results of preparing complex multivalent purification of the conjugates from federally-funded research and immunogenic conjugates and conjugate unconjugated PS is required. development. Foreign patent vaccines. The multivalent conjugates The present invention utilizes the applications are filed on selected and conjugate vaccines are synthesized characteristic chemical property of inventions to extend market coverage by conjugating mixtures of more than hydrazide groups on one reactant to for companies and may also be available one polysaccharide at a desired ratio of react with aldehyde groups or cyanate for licensing. the component polysaccharides to at esters on the other reactant with an ADDRESSES: Licensing information and least one carrier protein using hydrazide improved conjugate yield of at least copies of the U.S. patent applications chemistry. Because of the high sixty percent. With this conjugation listed below may be obtained by writing efficiency of hydrazide chemistry in efficiency the leftover unconjugated to the indicated licensing contact at the conjugation, the polysaccharides are protein and polysaccharide would not Office of Technology Transfer, National effectively conjugated to the carrier need to be removed and thus the Institutes of Health, 6011 Executive protein(s) so that the resulting complex purification process of the conjugate Boulevard, Suite 325, Rockville, synthesized vaccine conjugate products, product can be limited to diafiltration to Maryland 20852–3804; telephone: 301/ without requiring tedious and remove the by-products of small 496–7057; fax: 301/402–0220. A signed complicated purification procedures molecules. The new conjugation Confidential Disclosure Agreement will such as chromatography and/or reaction can be carried out within one be required to receive copies of the ammonium sulfate precipitation, are or two days with reactant patent applications. efficacious in inducing antibodies in concentrations between 1 and 25 mg/mL mice against each component Gene Expression Profiling for Prognosis at PS/protein ratios from 1:2 to 3:1, at of a Non-Hodgkin Lymphoma polysaccharide. The methods claimed in temperatures between 4 and 40 degrees this application simplify the preparation Centigrade, and in a pH range of 5.5 to Description of Technology: Diffuse of multivalent conjugate vaccines by 7.4, optimal conditions varying from PS large B cell lymphoma (DLBCL) is a utilizing simultaneous conjugation to PS. quickly progressing cancer of the white reactions in a single reaction mixture or Application: Cost effective and blood cells, which is the most common batch that includes at least two efficient manufacturing of conjugate type of non-Hodgkin lymphoma. Most immunogenic-distinct polysaccharides. vaccines. commonly, DLBCL is treated This single-batch simultaneous reaction Inventors: Che-Hung Robert Lee and aggressively with combination eliminates the need for multiple parallel Carl E. Frasch (CBER/FDA). chemotherapy referred to as R–CHOP. synthesis processes for each Patent Status: U.S. Patent Application Fortunately, with this treatment more polysaccharide vaccine conjugate No. 10/566,899 filed 01 Feb 2006, than half of these patients can be cured component as employed in claiming priority to 06 Aug 2003 (HHS or show remission. However, other conventional methods for making Reference No. E–301–2003/0–US–10); patients do not respond to treatment multivalent conjugate vaccines. U.S. Patent Application No. 10/566,898 and succumb to the disease. Therefore, Application: Cost effective and filed 01 Feb 2006, claiming priority to it would be helpful to predict which efficient manufacturing of conjugate 06 Aug 2003 (HHS Reference No. E– patients are likely not to respond to R– vaccines. 301–2003/1–US–02); International CHOP and would benefit from alternate Inventors: Che-Hung Robert Lee rights available. treatments. (CBER/FDA). Licensing Status: Available for non- This invention provides gene Patent Status: PCT Application No. exclusive licensing. microarrays and method of use claims PCT/US2007/006627 filed 16 Mar 2007, Licensing Contact: Peter A. Soukas, for a survival predictor calculated for which published as WO 2007/109129 J.D.; 301–435–4646; DLBCL patients undergoing on 27 Sep 2007 (HHS Reference No. E– [email protected]. combination therapy. By measuring the
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gene expression of genes from cancer • Screen individuals with Collaborative Research Opportunity: biopsies it is possible to identify hypertension, to identify individuals The National Cancer Institute, patients that are unlikely to be cured by who might benefit from more intensive Laboratory of Genomic Diversity, is R–CHOP and could benefit from therapy. seeking statements of capability or alternative treatments like anti- • Screen kidney donors for MYH9 interest from parties interested in angiogenic drugs. risk alleles to improve renal allograft collaborative research to further Applications: Diagnostic test for survival. develop, evaluate, or commercialize managing treatment of DLBCL patients; • Screen patients with sickle cell genetic testing for MYH9. Please contact Design and analysis of clinical trials in disease to identify those at increased John D. Hewes, PhD at 301–435–3121 or DLBCL. risk for CKD. [email protected] for more Market: About 16,000 new cases per • Screen patients with lupus information. year of DLBCL in U.S.; Affects mostly nephritis to identify those at increased Nanoparticles for Imaging and the middle-aged but it can afflict risk for CKD. Treatment of Brain Tumors children. • Screen patients with HIV–1 Development Status: Clinical data is infection to identify those at increased Description of Technology: Malignant available. risk for kidney disease. brain tumors, whether arising within the Inventors: Louis M. Staudt (NCI). • Screen patient with other kidney brain or invading the brain from other Publication: A Rosenwald et al. The diseases, including idiopathic and tissues, are difficult to treat. use of molecular profiling to predict secondary kidney disease, where MYH9 Conventional chemotherapy drugs do survival after chemotherapy for diffuse mutations may alter the propensity to not reach therapeutic levels in brain large-B-cell lymphoma. N Engl J Med. develop kidney disease or the rate of tumor tissue, and do not remain in brain 2002 Jun 20;346(25):1937–1947. progressive renal function decline. tumor tissue for long enough to enter Patent Status: U.S. Provisional • Pharmaceutical agents might be brain tumor cells and kill them. As a Application No. 61/059,678 filed 06 Jun developed that reverse the susceptibility consequence, these chemotherapy drugs 2008 (HHS Reference No. E–256–2008/ phenotype, reducing propensity to CKD. are not effective at treating malignant 0–US–01). These agents might alter non-muscle brain tumors growing in patients, even Licensing Status: Available for myosin IIA function or its interactions though these drugs are effective at exclusive or non-exclusive licensing. with critical molecular partners. killing brain tumor cells growing in Licensing Contact: Sabarni Chatterjee, Market: An estimated 26 millions culture. PhD; 301–435–5587; have CKD, with impaired glomerular This invention claims that [email protected]. filtration rate and approximately intravenously administered 100,000 individuals in the United States functionalized polyamidoamine A Simple Genetic Test for Kidney develop ESKD every year. The lifetime (PAMAM) dendrimers of certain sizes Disease risk for ESKD is 7.5% of individuals of can selectively cross the blood-brain Description of Technology: This African American descent and 2.1% for barrier (BBB) of malignant brain tumors, technology relates to methods of individuals of European descent. Early and can accumulate over time within diagnosing a predisposition to diseases identification of individuals with MYH9 individual brain tumor cells. that cause chronic kidney disease (CKD) variants who are at increased risk for Gadolinium and fluorescent probe and end-stage kidney disease (ESKD). CKD might substantially reduce conjugated dendrimers with these Variations in a gene, non-muscle morbidity and mortality in this properties can be used for simultaneous myosin IIA (MYH9), are associated with population, as impaired kidney function magnetic resonance and fluorescence 79% of the risk of focal segmental is associated with death from imaging of brain tumor cells. Since glomerulosclerosis (FSGS), the disease cardiovascular disease even in patients these nanoparticles possess numerous that causes ESKD, in African Americans who do not progress to ESKD. additional surface functional groups, in with HIV, and 56% of African Development Status: Early-stage addition to being useful for multi- Americans as a whole. The variants are development for clinical applications, modality imaging, functionalized also associated with a 2–3 fold including diagnostic testing and dendrimers can also be useful for the increased risk for end-stage kidney therapeutic intervention. simultaneous delivery of cytotoxic disease (ESKD) associated with Inventors: Cheryl A. Winkler (SAIC/ drugs and inhibitors of tumor cell hypertension. The variations are also NCI), George W. Nelson (SAIC/NCI), metabolic or migratory pathways. present among European Americans, Jeffrey B. Kopp (NIDDK), Michael W. Advantages: however they are less common. Smith (SAIC/NCI), Randall C. Johnson • Intravenously administered A simple genetic screening test has (SAIC/NCI). nanoparticles selectively cross the BBB been developed that identifies single Publication: JB Kopp et al. MYH9 is of brain tumors and accumulate within nucleotide polymorphisms (SNP) and a major-effect risk gene for focal brain tumor cells but not normal brain haplotypes in the non-muscle myosin segmental glomerulosclerosis. Nat cells. gene MYH9. These variants confer Genet. 2008 Oct;40(10):1175–1184. • Nanoparticles accumulate in and genetic risk for the following kidney Patent Status: U.S. Provisional are retained in brain tumor tissue for diseases: FSGS, collapsing Application No. 61/024,863 filed 30 Jan long enough to result in the effective glomerulopathy, HIV-associated 2008 (HHS Reference No. E–090–2008/ uptake of nanoparticles by individual nephropathy, hypertensive kidney 0–US–01); U.S. Provisional Application brain tumor cells. disease, sickle cell nephropathy, lupus No. 61/095,590 filed 09 Sep 2008 (HHS • Nanoparticle size can be adjusted to nephropathy, and possibly other kidney Reference No. E–090–2008/1–US–01). achieve the desired particle blood half- diseases. Licensing Status: Available for non- life. Applications: exclusive and exclusive licensing. • A wide variety of agents can be • Facilitate rigorous population (i.e. Licensing Contact: Steve Standley, attached to the functional groups on the all individuals) screening for early PhD; 301–435–4074; nanoparticle exterior. kidney disease. [email protected]. Applications:
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• Anatomic and metabolic imaging of signaling from any target receptor if an development is a novel method for brain and spinal cord tumors for appropriate bifunctional ligand is used. determining the prognosis of a subject diagnostic and therapeutic purposes. For example, the concept could be with adenocarcinoma in an organ, such • Intravenous treatment of brain and expanded to other receptors, such as as the lung, and to aid in the selection spinal cord tumors. HDL and LDL receptors. Likewise the of a specific therapeutic regimen. Lung • Imaging of intravenous drug bifunctional ligand could include adenocarcinoma (AC) is the delivery to brain and spinal cord specific antibodies or modified ligands predominant histological subtype of tumors. that recognize cell surface receptors of lung cancer, which is the leading cause • Potential to be used for imaging and biological importance. Accordingly, this of cancer deaths worldwide. The risk of treatment of other neurological approach could be used to limit tumor metastasis remains substantial in AC disorders in which the BBB becomes angiogenesis, limit tumor growth, block patients, even when a curative resection porous. metastasis formation, block of early-stage AC is performed. The Market: In 2008, it is estimated that inflammation, block viral infection, and prognosis includes the determination of malignant tumors of the brain and treat just about any disease where we the likelihood of survival, the likelihood spinal cord will account for about 1.5% identify a cell surface receptor as the of metastasis, or both. The method of all cancers and 2.3% of all expected molecular basis for disease. includes quantization of the expression cancer-related deaths. Applications: of a plurality of Th1 and Th2 cytokines Development Status: Early stage • Method of inducing the of interest in the adenocarcinoma and in development; Pre-clinical data internalization of target receptors. non-cancerous tissue in the organ. available. • Inhibiting diseases or conditions Altered expression of one or more of the Inventor: Hemant Sarin (CC). associated with target receptors, such as Th1 and Th2 cytokines in the Patent Status: U.S. Provisional HIV infection, cancer, or angiogenesis. adenocarcinoma as compared to the Application No. 61/055,328 filed 22 • Treating diseases or conditions non-cancerous tissue determines the May 2008 (HHS Reference No. E–063– associated with target receptors, such as prognosis for the subject. The method is 2008/0–US–01). cancer, viral infections, or HIV capable of distinguishing patients with Licensing Status: Available for infections. lymph node metastasis versus those exclusive or non-exclusive licensing. Market: with short term survival. Furthermore, Licensing Contact: Surekha Vathyam, • Cancer is one of the leading causes methods are provided for evaluating the PhD; 301–435–4076; of death in the United States and it is [email protected]. effectiveness of anti-cancer agents. estimated that there will be more than Applications: Prognosis of Induced Internalization of Surface half a million deaths caused by cancer adenocarcinoma, aid in the selection of Receptors in 2008. • specific therapeutic regimens and It is estimated that over one million evaluation of the effectiveness of anti- Description of Technology: Cell- people in the U.S. are living with HIV/ surface receptors are responsible for the cancer agents. AIDS and approximately 50,000 new Development Status: The technology biological activities of many molecules. infections occur each year. Specific ligands bind to them, causing is in early stage of development. Development Status: The technology Inventors: Curtis C. Harris, Masahiro the cell-surface receptors to internalize is currently in the pre-clinical stage of or bring the receptor and ligand inside Seike, Xin Wei Wang (NCI). development. Patent Status: PCT Application No. the cell. A number of diseases, Inventors: Masashi Narazaki and including cancer, metabolic disorders, PCT/US2007/073637 filed 16 Jul 2007, Giovanna Tosato (NCI). which published as WO 2008/009028 and viral infections are known to Patent Status: U.S. Provisional on 17 Jan 2008; claiming priority to 14 require the expression of cell-surface Application No. 61/023,397 filed 24 Jan Jul 2006 (HHS Reference No. E–263– receptors for critical pathogenetic steps. 2008 (HHS Reference No. E–250–2007/ This has prompted significant research 2006/1–PCT–01). 0–US–01). Licensing Status: Available for non- efforts towards the development of Licensing Status: Available for exclusive or exclusive licensing. pharmaceutical agents that block the licensing. Licensing Contact: Susan Ano, PhD; signals from cell-surface receptors. Licensing Contact: Whitney A. 301–435–5515; [email protected]. While this current research shows great Hastings; 301–451–7337; promise, there is a strong need for new [email protected]. Dated: October 14, 2008. therapeutic strategies that utilize the Collaborative Research Opportunity: Richard U. Rodriguez, mechanistic properties of cell-surface The National Cancer Institute, Director, Division of Technology Development receptors. Laboratory of Cellular Oncology, is and Transfer, Office of Technology Transfer, This technology describes a strategy seeking statements of capability or National Institutes of Health. for artificially inducing the interest from parties interested in [FR Doc. E8–25221 Filed 10–22–08; 8:45 am] internalization of surface receptors, and collaborative research to further BILLING CODE 4140–01–P thereby blocking the effects of the develop, evaluate, or commercialize the ligands associated with that receptor. technology aimed at promoting selective This method employs bifunctional receptor internalization as a means to DEPARTMENT OF HEALTH AND ligands that bind to both a scavenger neutralize ligand function and receptor HUMAN SERVICES receptor and a target receptor. As proof signaling. Please contact John D. Hewes, of concept, the inventors Drs. Narazaki PhD at 301–435–3121 or National Institutes of Health and Tosato have shown that a ligand [email protected] for more Government-Owned Inventions; capable of binding to the scavenger information. receptor SREC–1 and the neuropilin-1 Availability for Licensing receptor NRP1 induces the Methods of Determining the Prognosis of an Adenocarcinoma AGENCY: National Institutes of Health, internalization of NRP1 and inhibits Public Health Service, HHS. NRP1 signaling. The inventors propose Description of Technology: Available ACTION: Notice. that this strategy can be used to inhibit for licensing and commercial
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SUMMARY: The inventions listed below products that, until now, have been very Beta (1,4)-galactosyltransferase I are owned by an agency of the U.S. difficult and expensive to produce. catalyzes the transfer of galactose from Government and are available for The invention also provides amino the donor, UDP-galactose, to an licensing in the U.S. in accordance with acid segments that promote the proper acceptor, N-acetylglucosamine, to form 35 U.S.C. 207 to achieve expeditious folding of a galactosyltransferase a galactose-beta (1,4)-N- commercialization of results of catalytic domain and mutations in the acetylglucosamine bond, and allows federally-funded research and catalytic domain that enhance folding galactose to be linked to an N- development. Foreign patent efficiency and make the enzyme stable acetylglucosamine that may itself be applications are filed on selected at room temperature. The amino acid linked to a variety of other molecules. inventions to extend market coverage segments may be used to properly fold Examples of these molecules include for companies and may also be available the galactosyltransferase catalytic other sugars and proteins. The reaction for licensing. domains of the invention and thereby can be used to make many types of ADDRESSES: Licensing information and increase their activity. The amino acid molecules having great biological copies of the U.S. patent applications segments may also be used to increase significance. For example, galactose- listed below may be obtained by writing the activity of galactosyltransferases that beta (1,4)-N-acetylglucosamine linkages to the indicated licensing contact at the are produced recombinantly. are important for many recognition Office of Technology Transfer, National Accordingly, use of the amino acid events that control how cells interact Institutes of Health, 6011 Executive segments according to the invention with each other in the body, and how Boulevard, Suite 325, Rockville, allows for production of [beta](1,4)- cells interact with pathogens. In Maryland 20852–3804; telephone: 301/ galactosyltransferases having increased addition, numerous other linkages of 496–7057; fax: 301/402–0220. A signed enzymatic activity relative to [beta](1,4)- this type are also very important for Confidential Disclosure Agreement will galactosyltransferases produced in the cellular recognition and binding events be required to receive copies of the absence of the amino acid segments. as well as cellular interactions with patent applications. Applications: Synthesis of pathogens, such as viruses. Therefore, polysaccharide antigens for conjugate methods to synthesize these types of Catalytic Domains of [beta](1,4)- vaccines, glycosylation of monoclonal bonds have many applications in galactosyltransferase I Having Altered antibodies, and as research tools. research and medicine to develop Donor and Acceptor Specificities, Development Status: The enzymes pharmaceutical agents and improved Domains That Promote In Vitro Protein have been synthesized and preclinical vaccines that can be used to treat Folding, and Methods for Their Use studies have been performed. disease. Inventors: Pradman K. Qasba, Description of Technology: [beta](1,4)- The invention provides in vitro Boopathy Ramakrishnan, Elizabeth galactosyltransferase I catalyzes the folding methods for a polypeptidyl- Boeggeman (NCI). alpha-N-acetylgalactosaminyltransferase transfer of galactose from the donor, Patent Status: U.S. Patent Application UDP-galactose, to an acceptor, N- (pp-GalNAc-T) that transfers GalNAc to No. 11/178,230 filed 08 Jul 2005, Ser/Thr residue on a protein. The acetylglucosamine, to form a galactose- allowed (HHS Reference No. E–230– [beta](1,4)-N-acetylglucosamine bond. application claims that this in vitro- 2002/2–US–03); Foreign rights also folded recombinant ppGalNAc-T This reaction allows galactose to be available. linked to an N-acetylglucosamine that enzyme transfers modified sugar with a Licensing Status: Available for chemical handle to a specific site in the may itself be linked to a variety of other exclusive or non-exclusive licensing. molecules. The reaction can be used to designed C-terminal polypeptide tag Licensing Contact: John Stansberry, fused to a protein. The invention make many types of molecules having PhD; 301–435–5236; great biological significance. For provides methods for engineering a [email protected]. glycoprotein from a biological substrate, example, galactose-[beta](1,4)-N- Collaborative Research Opportunity: acetylglucosamine linkages are very and methods for glycosylating a The National Cancer Institute’s biological substrate for use in important for cellular recognition and Nanobiology Program is seeking binding events as well as cellular glycoconjugation. Also included in the statements of capability or interest from invention are diagnostic and therapeutic interactions with pathogens, such as parties interested in collaborative viruses. Therefore, methods to uses. research to further develop, evaluate, or Application: Enzymes and methods synthesize these types of bonds have commercialize the use of galactose and are provided that can be used to many applications in research and modified galactose to be linked to an N- promote the chemical linkage of medicine to develop pharmaceutical acetylglucosamine that may itself be biologically important molecules that agents and improved vaccines that can linked to a variety of other molecules. have previously been difficult to link. be used to treat disease. Please contact John D. Hewes, PhD, at Development Status: Enzymes have The present invention is based on the 301–435–3121 or [email protected] been synthesized and characterization surprising discovery that the enzymatic for more information. studies have been performed. activity of [beta](1,4)- Inventors: Pradman Qasba and galactosyltransferase can be altered such Methods of Glycosylation and Bioconjugation Boopathy Ramakrishnan (NCI). that the enzyme can make chemical Patent Status: PCT Application No. bonds that are very difficult to make by Description of Technology: Eukaryotic PCT/US2008/006248 filed 14 May 2008, other methods. These alterations cells express several classes of claiming priority to 14 May 2007 (HHS involve mutating the enzyme such that oligosaccharides attached to proteins or Reference No. E–204–2007/0–PCT–02). the mutated enzyme can transfer many lipids. Animal glycans can be N-linked Licensing Status: Available for different types of sugars from sugar via beta-GlcNAc to Asn (N-glycans), O- exclusive or non-exclusive licensing. nucleotide donors to many different linked via -GalNAc to Ser/Thr (O- Licensing Contact: John Stansberry, types of acceptors. Therefore, the glycans), or can connect the carboxyl PhD; 301–435–5236; mutated [beta](1,4)- end of a protein to a [email protected]. galactosyltransferases of the invention phosphatidylinositol unit (GPI-anchors) Collaborative Research Opportunity: can be used to synthesize a variety of via a common core glycan structure. The National Cancer Institute is seeking
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statements of capability or interest from Development Status: Enzymes have of pharmaceutical agents and improved parties interested in collaborative been synthesized and preclinical studies vaccines that can be used to treat research to further develop, evaluate, or have been performed. disease. Inventors: Pradman Qasba, Boopathy commercialize this technology. Please The invention claims beta (1,4)- Ramakrishnan, Elizabeth Boeggman, contact John D. Hewes, PhD, at 301– galactosyltransferase I mutants having 435–3121 or [email protected] for Marta Pasek (NCI). altered donor and acceptor and metal more information. Patent Status: PCT Application No. PCT/US2007/018678 filed 22 Aug 2007 ion specificities, and methods of use Alpha 1-3 N- (HHS Reference No. E–279–2007/0– thereof. In addition, the invention Acetylgalactosaminyltransferases With PCT–01). claims methods for synthesizing Altered Donor and Acceptor Licensing Status: Available for oligosaccharides using the beta (1,4)- Specificities, Compositions, and exclusive or non-exclusive licensing. galactosyltransferase I mutants and to Methods of Use Licensing Contact: John Stansberry, using the beta (1,4)-galactosyltransferase Description of Technology: The PhD; 301–435–5236; I mutants to conjugate agents, such as present invention relates to the field of [email protected]. therapeutic agents or diagnostic agents, glycobiology, specifically to Collaborative Research Opportunity: to acceptor molecules. More glycosyltransferases. The present The National Cancer Institute’s specifically, the invention claims a invention provides structure-based Nanobiology Program is seeking double mutant beta 1, 4 design of novel glycosyltransferases and statements of capability or interest from galactosyltransferase, human beta-1, 4- their biological applications. parties interested in collaborative Tyr289Leu-Met344His-Gal-T1, research to further develop, evaluate, or The structural information of constructed from the individual commercialize structure-based design of glycosyltransferases has revealed that mutants, Tyr289Leu-Gal-T1 and novel glycosyltransferases. Please the specificity of the sugar donor in contact John D. Hewes, PhD, at 301– Met344His-Gal-T1, that transfers these enzymes is determined by a few 435–3121 or [email protected] for modified galactose in the presence of residues in the sugar-nucleotide binding more information. magnesium ion, in contrast to the wild- pocket of the enzyme, which is type enzyme which requires manganese conserved among the family members Beta 1,4-Galactosyltransferases With ion. from different species. This Altered Donor and Acceptor conservation has made it possible to Specificities, Compositions and Application: Development of reengineer the existing Methods of Use pharmaceutical agents and improved vaccines. glycosyltransferases with broader sugar Description of Technology: The donor specificities. Mutation of these present invention relates to the field of Development Status: Enzymes have residues generates novel glycobiology, specifically to been synthesized and preclinical studies glycosyltransferases that can transfer a glycosyltransferases. The present have been performed. sugar residue with a chemically reactive invention provides structure-based Inventors: Pradman Qasba, Boopathy functional group to N- design of novel glycosyltransferases and Ramakrishnan, Elizabeth Boeggman acetylglucosarnine (GlcNAc), galactose their biological applications. (NCI). (Gal) and xylose residues of The structural information of Patent Status: PCT Application No. glycoproteins, glycolipids and glycosyltransferases has revealed that proteoglycans (glycoconjugates). Thus, the specificity of the sugar donor in PCT/US2007/018656 filed 22 Aug 2007 there is potential to develop mutant these enzymes is determined by a few (HHS Reference No. E–280–2007/0– glycosyltransferases to produce residues in the sugar-nucleotide binding PCT–01). glycoconjugates carrying sugar moieties pocket of the enzyme, which is Licensing Status: Available for with reactive groups that can be used in conserved among the family members exclusive or non-exclusive licensing. the assembly of bio-nanoparticles to from different species. This Licensing Contact: John Stansberry, develop targeted-drug delivery systems conservation has made it possible to or contrast agents for medical uses. PhD; 301–435–5236; reengineer the existing [email protected]. Accordingly, methods to synthesize glycosyltransferases with broader sugar N-acetylglucosamine linkages have donor specificities. Mutation of these Collaborative Research Opportunity: many applications in research and residues generates novel The National Cancer Institute’s medicine, including in the development glycosyltransferases that can transfer a Nanobiology Program is seeking of pharmaceutical agents and improved sugar residue with a chemically reactive statements of capability or interest from vaccines that can be used to treat functional group to N- parties interested in collaborative disease. acetylglucosarnine (GlcNAc), galactose research to further develop, evaluate, or This application claims compositions (Gal) and xylose residues of commercialize glycosyltransferases. and methods based on the structure- glycoproteins, glycolipids and Please contact John D. Hewes, PhD, at based design of alpha 1-3 N- proteoglycans (glycoconjugates). Thus, 301–435–3121 or [email protected]. Acetylgalactosaminyltransferase (alpha there is potential to develop mutant Dated: October 15, 2008. 3 GalNAc-T) mutants from alpha l- glycosyltransferases to produce 3galactosyltransferase (a3Gal-T) that can glycoconjugates carrying sugar moieties Richard U. Rodriguez, transfer 2′-modified galactose from the with reactive groups that can be used in Director, Division of Technology Development corresponding UDP-derivatives due to the assembly of bio-nanoparticles to and Transfer, Office of Technology Transfer, mutations that broaden the alpha 3Gal- develop targeted-drug delivery systems National Institutes of Health. T donor specificity and make the or contrast agents for medical uses. [FR Doc. E8–25222 Filed 10–22–08; 8:45 am] enzyme alpha3 GalNAc-T. Accordingly, methods to synthesize BILLING CODE 4140–01–P Application: Development of N-acetylglucosamine linkages have pharmaceutical agents and improved many applications in research and vaccines. medicine, including in the development
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DEPARTMENT OF HEALTH AND The meeting will be closed to the Name of Committee: National Institute of HUMAN SERVICES public in accordance with the Allergy and Infectious Diseases Special provisions set forth in sections Emphasis Panel; Translational Human National Institutes of Health 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Immunology Centers. Date: November 20–21, 2008. as amended. The grant applications and National Institute of Allergy and Time: 8 a.m. to 5 p.m. the discussions could disclose Agenda: To review and evaluate grant Infectious Diseases; Notice of Closed confidential trade secrets or commercial Meeting applications. property such as patentable material, Place: The Legacy Hotel and Meeting Pursuant to section 10(d) of the and personal information concerning Centre, 1775 Rockville Pike, Rockville, MD Federal Advisory Committee Act, as individuals associated with the grant 20852. amended (5 U.S.C. Appendix 2), notice applications, the disclosure of which Contact Person: Kenneth E. Santora, PhD, Scientific Review Officer, Scientific Review is hereby given of the following would constitute a clearly unwarranted invasion of personal privacy. Program, NIH/NIAID/DHHS, Room 3146, meeting. 6700B Rockledge Drive, MSC 7616, Bethesda, The meeting will be closed to the Name of Committee: Microbiology, MD 20892, 301–451–2605, [email protected]. public in accordance with the Infectious Diseases and AIDS Initial Review Name of Committee: National Institute of provisions set forth in sections Group; Acquired Immunodeficiency Allergy and Infectious Diseases Special 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Syndrome Research Review Committee. Emphasis Panel; Translational Human Date: November 17, 2008. as amended. The grant applications and Immunology Centers. Time: 10 a.m. to 4 p.m. Date: December 4–5, 2008. the discussions could disclose Agenda: To review and evaluate grant Time: 8 a.m. to 5 p.m. confidential trade secrets or commercial applications. Agenda: To review and evaluate grant property such as patentable material, Place: National Institutes of Health, 6700B and personal information concerning Rockledge Drive, Bethesda, MD 20817, applications. Place: The Legacy Hotel and Meeting individuals associated with the grant (Telephone Conference Call). Contact Person: Erica L. Brown, PhD, Centre, 1775 Rockville Pike, Rockville, MD applications, the disclosure of which 20852. would constitute a clearly unwarranted Scientific Review Officer, Scientific Review Program, Division of Extramural Activities, Contact Person: Kenneth E. Santora, PhD, invasion of personal privacy. National Institutes of Health/NIAID, 6700B Scientific Review Officer, Scientific Review Name of Committee: National Institute of Rockledge Drive, MSC 7616, Bethesda, MD Program, NIH/NIAID/DHHS, Room 3146, Allergy and Infectious Diseases Special 20892–7616, 301–451–2639, 6700B Rockledge Drive, MSC 7616, Bethesda, Emphasis Panel; Reagent Development for [email protected]. MD 20892, 301–451–2605, [email protected]. Toll-like and Other Innate Immune Receptors (Catalogue of Federal Domestic Assistance (Catalogue of Federal Domestic Assistance (U24). Program Nos. 93.855, Allergy, Immunology, Program Nos. 93.855, Allergy, Immunology, Date: November 10, 2008. and Transplantation Research; 93.856, and Transplantation Research; 93.856, Time: 8:30 a.m. to 5 p.m. Microbiology and Infectious Diseases Microbiology and Infectious Diseases Agenda: To review and evaluate grant Research, National Institutes of Health, HHS) Research, National Institutes of Health, HHS) applications. Dated: October 16, 2008. Dated: October 16, 2008. Place: Double Tree Hotel, 1515 Rhode Jennifer Spaeth, Island Ave., NW., Washington, DC 20005. Jennifer Spaeth, Contact Person: Katrin Eichelberg, PhD, Director, Office of Federal Advisory Director, Office of Federal Advisory Scientific Review Officer, Scientific Review Committee Policy. Committee Policy. Program, Division of Extramural Activities, [FR Doc. E8–25215 Filed 10–22–08; 8:45 am] [FR Doc. E8–25216 Filed 10–22–08; 8:45 am] NIAID/NIH/DHHS, 6700B Rockledge Drive, BILLING CODE 4140–01–P BILLING CODE 4140–01–P MSC 7616, Bethesda, MD 20892, 301–496– 0818, [email protected]. (Catalogue of Federal Domestic Assistance DEPARTMENT OF HEALTH AND DEPARTMENT OF HOMELAND Program Nos. 93.855, Allergy, Immunology, HUMAN SERVICES and Transplantation Research; 93.856, SECURITY Microbiology and Infectious Diseases National Institutes of Health Research, National Institutes of Health, HHS) Office of the Secretary Dated: October 15, 2008. National Institute of Allergy and [Docket No. DHS–2008–0019] Jennifer Spaeth, Infectious Diseases; Notice of Closed Privacy Act of 1974; Department of Director, Office of Federal Advisory Meetings Committee Policy. Homeland Security Payroll, Personnel, Pursuant to section 10(d) of the and Time and Attendance Records [FR Doc. E8–25212 Filed 10–22–08; 8:45 am] Federal Advisory Committee Act, as System of Records BILLING CODE 4140–01–P amended (5 U.S.C. Appendix 2), notice is hereby given of the following AGENCY: Privacy Office; DHS. meetings. ACTION: Notice of Privacy Act system of DEPARTMENT OF HEALTH AND The meetings will be closed to the records. HUMAN SERVICES public in accordance with the provisions set forth in sections SUMMARY: In accordance with the National Institutes of Health 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Privacy Act of 1974 and as part of the National Institute of Allergy and as amended. The grant applications and Department of Homeland Security’s Infectious Diseases; Notice of Closed the discussions could disclose ongoing effort to review and update Meeting confidential trade secrets or commercial legacy system of record notices, the property such as patentable material, Department of Homeland Security Pursuant to section 10(d) of the and personal information concerning proposes to consolidate four legacy Federal Advisory Committee Act, as individuals associated with the grant record systems: Treasury/CS.165 amended (5 U.S.C. Appendix 2), notice applications, the disclosure of which Overtime Earnings, Treasury/FLETC.001 is hereby given of the following would constitute a clearly unwarranted FLETC Payroll/Personnel Records meeting. invasion of personal privacy. System, Treasury/CS.170 Overtime
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Reports, and Treasury/CS.251 As part of its efforts to streamline and complying with DHS Privacy Act Unscheduled Overtime Report (Customs consolidate its Privacy Act record regulations, 6 CFR part 5. Form 31) into one Department of systems, DHS is establishing a new The Privacy Act requires that each Homeland Security-wide system of agency-wide system of records under agency publish in the Federal Register records. This system will help the the Privacy Act (5 U.S.C. 552a) for DHS a description denoting the type and Department of Homeland Security payroll records. This will ensure that all character of each system of records in ensure proper payment of salary and components of DHS follow the same order to make agency recordkeeping benefits to Department of Homeland privacy rules for collecting and practices transparent, to notify Security personnel and track time handling payroll, personnel, and time individuals about the use of their worked for reporting and compliance and attendance records. records, and to assist the individual to purposes. Categories of individuals, In accordance with the Privacy Act of more easily find files within the agency. categories of records, and the routine 1974 and as part of DHS’s ongoing effort Below is a description of the Payroll uses of these legacy system of records to review and update legacy system of Records System of Records. notices have been consolidated and record notices, DHS proposes to In accordance with 5 U.S.C. 552a(r), updated to better reflect the consolidate four legacy record systems: DHS has provided a report of this Department’s payroll, personnel, and Treasury/CS.165 Overtime Earnings (66 revised system of records to the Office time and attendance record systems. FR 52984 October 18, 2001), Treasury/ of Management and Budget and to the This consolidated system, titled Payroll, FLETC.001 FLETC Payroll/Personnel Congress. Personnel, and Time and Attendance Records System (66 FR 43955 August Records, will be included in the 21, 2001), Treasury/CS.170 Overtime SYSTEM OF RECORDS: Department’s inventory of record Reports (66 FR 52984 October 18, 2001), DHS/ALL–019. systems. and Treasury/CS.251 Unscheduled Overtime Report (Customs Form 31) (66 SYSTEM NAME: DATES: Submit comments on or before FR 52984 October 18, 2001) into one Department of Homeland Security November 24, 2008. This new system DHS-wide system of records. This Payroll, Personnel, and Time and will be effective November 24, 2008. system will help DHS ensure proper Attendance Records. ADDRESSES: You may submit comments, payment of salary and benefits to DHS SECURITY CLASSIFICATION: identified by docket number DHS– personnel and track time worked for 2008–0019 by one of the following reporting and compliance purposes. Unclassified. methods: Categories of individuals, categories of SYSTEM LOCATION: • Federal e-Rulemaking Portal: records, and the routine uses of these Records are maintained at several http://www.regulations.gov. Follow the legacy system of records notices have instructions for submitting comments. Headquarters locations; in component • been consolidated and updated to better offices of DHS, in both Washington, DC Fax: 1–866–466–5370. reflect the Department’s payroll, • Mail: Hugo Teufel III, Chief Privacy and field locations; and at DHS personnel, and time and attendance Officer, Privacy Office, Department of contractual or other Federal agency record systems. This consolidated payroll service provider locations. Homeland Security, Washington, DC system, titled Payroll, Personnel, and 20528. Time and Attendance Records, will be CATEGORIES OF INDIVIDUALS COVERED BY THE • Instructions: All submissions included in the Department’s inventory SYSTEM: received must include the agency name of record systems. and docket number for this rulemaking. Current and former employees of All comments received will be posted II. Privacy Act DHS. without change to http:// The Privacy Act embodies fair CATEGORIES OF RECORDS IN THE SYSTEM: www.regulations.gov, including any information principles in a statutory Categories of records in this system personal information provided. framework governing the means by include: • Docket: For access to the docket, to which the United States Government Payroll read background documents, or collects, maintains, uses, and • Taxes; comments received go to http:// disseminates individuals’ records. The • Other Deductions; www.regulations.gov. Privacy Act applies to information that • Garnishments; FOR FURTHER INFORMATION CONTACT: For is maintained in a ‘‘system of records.’’ • Salary Data; general questions and privacy issues A ‘‘system of records’’ is a group of any • Retirement Data; please contact: Hugo Teufel III (703– records under the control of an agency • Pay Period; 235–0780), Chief Privacy Officer, for which information is retrieved by • Fiscal Year Data; Privacy Office, Department of Homeland the name of an individual or by some • Benefits; and Security, Washington, DC 20528. identifying number, symbol, or other • Direct Deposit Information. SUPPLEMENTARY INFORMATION: identifying particular assigned to the Personnel individual. In the Privacy Act, an • Social security number; I. Background individual is defined to encompass • Employee’s Name; Pursuant to the savings clause in the United States citizens and legal • Date of Birth; Homeland Security Act of 2002, Public permanent residents. As a matter of • Gender, Race/National Origin, and Law 107–296, Section 1512, 116 Stat. policy, DHS extends administrative Disability Data; 2310 (November 25, 2002), the Privacy Act protections to all • Address Data; Department of Homeland Security individuals where systems of records • Duty Location; (DHS) and its components and offices maintain information on U.S. citizens, • Position Data; have relied on preexisting Privacy Act lawful permanent residents, and • Awards and Bonuses; systems of records for the collection and visitors. Individuals may request access • Employment verification maintenance of records that concern to their own records that are maintained information; DHS’s payroll, personnel, and time and in a system of records in the possession • Education and training data; and attendance records. or under the control of DHS by • Military and veterans data.
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Time and Attendance 4. the United States or any agency or in conjunction with other • Number and type of Hours Worked, thereof, is a party to the litigation or has information, indicates a violation or (type may for example include, regular an interest in such litigation, and DHS potential violation of law, which law enforcement availability pay determines that the records are both includes criminal, civil, or regulatory (LEAP), overtime (including relevant and necessary to the litigation violations and such disclosure is proper administratively uncontrollable and the use of such records is and consistent with the official duties of overtime (AUO)), night differential, and compatible with the purpose for which the person making the disclosure. Federal Equal Pay Act (FEPA)); DHS collected the records. H. To provide information to unions • Compensatory time earned and B. To a congressional office from the recognized as exclusive bargaining used; record of an individual in response to representatives under the Civil Service • Compensatory travel earned; an inquiry from that congressional office Reform Act of 1978, 5 U.S.C. 7111 and • Investigative case title and tracking made at the request of the individual to 7114. number (used to track time worked whom the record pertains. I. To designated officers and associated with a specific case); C. To the National Archives and employees of Federal, State, local or • Fair labor Standards Act (FLSA) Records Administration or other Federal international agencies in connection compensation; government agencies pursuant to with the hiring or continued • Tour of Duty; records management inspections being employment of an individual, the • Leave requests, balances and conducted under the authority of 44 conduct of a suitability or security credits; U.S.C. 2904 and 2906. investigation of an individual, the grant, • Training time; and D. To an agency, organization, or renewal, suspension, or revocation of a • Military Leave. individual for the purpose of performing security clearance, or the certification of Data Reporting and Personnel and audit or oversight operations as security clearances, to the extent that Pay Processing Tables authorized by law, but only such DHS determines the information is • Nature of action codes; information as is necessary and relevant relevant and necessary to the hiring • Civil service authority codes; to such audit or oversight function. agency’s decision. • Standard remarks; E. To appropriate agencies, entities, J. To a court, magistrate, or • Signature block table; and persons when: administrative tribunal in the course of • Position title table; 1. DHS suspects or has confirmed that presenting evidence, including • Financial organization table; and the security or confidentiality of • disclosures to opposing counsel or Salary tables. information in the system of records has witnesses in the course of civil AUTHORITY FOR MAINTENANCE OF THE SYSTEM: been compromised; discovery, litigation, or settlement 2. The Department has determined 5 U.S.C. 301; The Federal Records negotiations or in connection with that as a result of the suspected or criminal law proceedings or in response Act, 44 U.S.C. 3101; and Executive confirmed compromise there is a risk of Order 9373. to a subpoena from a court of competent harm to economic or property interests, jurisdiction. PURPOSE(S): identity theft or fraud, or harm to the K. To a Federal, State, local, or private The purpose of this system is to security or integrity of this system or agency so that the agency may ensure proper payment of salary and other systems or programs (whether adjudicate an individual’s eligibility for benefits to DHS personnel and to track maintained by DHS or another agency or a benefit. time worked for reporting and entity) or harm to the individual who L. To the other Federal agencies who compliance purposes. relies upon the compromised provide payroll personnel processing information; and services under a cross-servicing ROUTINE USES OF RECORDS MAINTAINED IN THE 3. The disclosure made to such agreement for purposes relating to the SYSTEM, INCLUDING CATEGORIES OF USERS AND agencies, entities, and persons is conversion of DHS employee payroll THE PURPOSES OF SUCH USES: reasonably necessary to assist in and personnel processing services; the In addition to those disclosures connection with DHS’s efforts to issuance of paychecks to employees and generally permitted under 5 U.S.C. respond to the suspected or confirmed distribution of wages; and the 552a(b) of the Privacy Act, all or a compromise and prevent, minimize, or distribution of allotments and portion of the records or information remedy such harm. deductions to financial and other contained in this system may be F. To contractors and their agents, institutions, some through electronic disclosed outside DHS as a routine use grantees, experts, consultants, and funds transfer. pursuant to 5 U.S.C. 552a(b)(3) as others performing or working on a M. To Federal, State, or local agencies follows: contract, service, grant, cooperative for use in locating individuals and A. To the Department of Justice agreement, or other assignment for DHS, verifying their income sources to (including United States Attorney when necessary to accomplish an establish paternity, establish and modify Offices) or other Federal agency agency function related to this system of orders of support, and for enforcement conducting litigation or in proceedings records. Individuals provided of related court orders. before any court, adjudicative or information under this routine use are N. To provide wage and separation administrative body when it is subject to the same Privacy Act information to another agency as necessary to the litigation and one of the requirements and limitations on required by law for payroll purposes. following is a party to the litigation or disclosure as are applicable to DHS O. To the Office of Personnel has an interest in such litigation: officers and employees. Management, the Merit System 1. DHS or any component thereof; G. To an appropriate Federal, State, Protection Board, Federal Labor 2. any employee of DHS in his/her tribal, local, international, or foreign law Relations Authority, or the Equal official capacity; enforcement agency or other appropriate Employment Opportunity Commission 3. any employee of DHS in his/her authority charged with investigating or when requested in the performance of individual capacity where the prosecuting a violation or enforcing or their authorized duties. Department of Justice or DHS has agreed implementing a law, rule, regulation, or P. To the news media and the public, to represent the employee; or order, where a record, either on its face with the approval of the Chief Privacy
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Officer in consultation with counsel, a file is superseded/obsolete, or within you must include a statement from that when there exists a legitimate public 1 year after separation or transfer of an individual certifying his/her agreement interest in the disclosure of the employee. Duplicate official personnel for you to access his/her records. information or when disclosure is records are destroyed when six months Without this bulleted information the necessary to preserve confidence in the old. These two types of records are component(s) may not be able to integrity of DHS or is necessary to maintained in accordance with National conduct an effective search, and your demonstrate the accountability of DHS’s Archives and Records Administration request may be denied due to lack of officers, employees, or individuals General Records Schedule 1, Item 18. specificity or lack of compliance with covered by the system, except to the applicable regulations. SYSTEM MANAGER AND ADDRESS: extent it is determined that release of the specific information in the context For Headquarters of DHS, the System RECORD ACCESS PROCEDURES: of a particular case would constitute an Manager is the Office of the Chief See ‘‘Notification procedure’’ above. Human Capital Officer, Department of unwarranted invasion of personal CONTESTING RECORD PROCEDURES: privacy. Homeland Security, Washington, DC 20528. For components of DHS, the See ‘‘Notification procedure’’ above. DISCLOSURE TO CONSUMER REPORTING System Manager can be found at http: RECORD SOURCE CATEGORIES: AGENCIES: //www.dhs.gov/foia under ‘‘contacts.’’ None. Information originates from the NOTIFICATION PROCEDURE: individual. POLICIES AND PRACTICES FOR STORING, Individuals seeking notification of RETRIEVING, ACCESSING, RETAINING, AND EXEMPTIONS CLAIMED FOR THE SYSTEM: and access to any record contained in DISPOSING OF RECORDS IN THE SYSTEM: this system of records, or seeking to None. STORAGE: contest its content, may submit a Dated: October 14, 2008. Records in this system are stored request in writing to the Headquarters’ Hugo Teufel III, electronically or on paper in secure or component’s FOIA Officer, whose Chief Privacy Officer, Department of facilities in a locked drawer behind a contact information can be found at Homeland Security. locked door. The records are stored on http://www.dhs.gov/foia under [FR Doc. E8–24993 Filed 10–22–08; 8:45 am] magnetic disc, tape, digital media, and ‘‘contacts.’’ If an individual believes BILLING CODE 4410–10–P CD-ROM. more than one component maintains Privacy Act records concerning him or RETRIEVABILITY: her the individual may submit the Data may be retrieved by an DEPARTMENT OF HOMELAND request to the Chief Privacy Officer, SECURITY individual’s name, social security Department of Homeland Security, 245 number, position, organizational Murray Drive, SW., Building 410, Office of the Secretary element, pay period, investigative case STOP–0550, Washington, DC 20528. [Docket No. DHS–2008–0021] title or tracking number (for time When seeking records about yourself worked associated with a specific case), from this system of records or any other and/or fiscal year. Privacy Act of 1974; Department of Departmental system of records your Homeland Security General Legal SAFEGUARDS: request must conform with the Privacy Records System of Records Records in this system are Act regulations set forth in 6 CFR part safeguarded in accordance with 5. You must first verify your identity, AGENCY: Privacy Office; DHS. applicable rules and policies, including meaning that you must provide your full ACTION: Notice of Privacy Act system of all applicable DHS automated systems name, current address and date and records. security and access policies. Strict place of birth. You must sign your SUMMARY: In accordance with the controls have been imposed to minimize request, and your signature must either Privacy Act of 1974 and as part of the the risk of compromising the be notarized or submitted under 28 Department of Homeland Security’s information that is being stored. Access U.S.C. 1746, a law that permits ongoing effort to review and update to the computer system containing the statements to be made under penalty of legacy system of record notices, the records in this system is limited to those perjury as a substitute for notarization. Department of Homeland Security individuals who have a need to know While no specific form is required, you proposes to consolidate seven legacy the information for the performance of may obtain forms for this purpose from record systems: Treasury/CS.022 their official duties and who have the Director, Disclosure and FOIA, Attorney Case File, Treasury/CS.042 appropriate clearances or permissions. http://www.dhs.gov or 1–866–431–0486. In addition you should provide the Case and Complaint File, Treasury/ RETENTION AND DISPOSAL: following: CS.043 Case Files (Associate Chief Time and attendance records are • An explanation of why you believe Counsel Gulf Customs Management destroyed after a General Accountability the Department would have information Center), Treasury/CS.061 Court Case Office audit or when six years old, on you, File, Treasury/CS.133 Justice whichever is sooner. These records are • Identify which component(s) of the Department Case File, Treasury/CS.138 maintained in accordance with National Department you believe may have the Litigation Issue Files, and Justice/INS– Archives and Records Administration information about you, 022 The Immigration and Naturalization General Records Schedule 2, Item 7. • Specify when you believe the Service Attorney/Representative Individual employee payroll records records would have been created, Complaint/Petition Files. The are destroyed when 56 years old in • Provide any other information that Department of Homeland Security also accordance with National Archives and will help the FOIA staff determine proposes to partially consolidate Records Administration General which DHS component agency may Treasury/USSS.002 Chief Counsel Records Schedule 2, Item 1. have responsive records, Record System into this system. This Supervisor personnel files are • If your request is seeking records system will assist attorneys in providing reviewed annually and destroyed when pertaining to another living individual, legal advice to the Department of
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Homeland Security on a wide variety of agency-wide system of records under Privacy Act protections to all legal issues. Categories of individuals, the Privacy Act (5 U.S.C. 552a) for DHS individuals where systems of records categories of records, and the routine general legal records. This will ensure maintain information on U.S. citizens, uses of these legacy system of records that all components of DHS follow the lawful permanent residents, and notices have been reviewed and same privacy rules for collecting and visitors. Individuals may request access updated to better reflect the handling general legal records. to their own records that are maintained Department’s general legal records In accordance with the Privacy Act of in a system of records in the possession systems of records. Additionally, DHS is 1974 and as part of DHS’s ongoing effort or under the control of DHS by issuing a Notice of Proposed to review and update legacy system of complying with DHS Privacy Act Rulemaking (NPRM) concurrent with record notices, DHS proposes to regulations, 6 CFR part 5. this SORN elsewhere in the Federal consolidate seven legacy record The Privacy Act requires that each Register. The exemptions for the legacy systems: Treasury/CS.022 Attorney Case agency publish in the Federal Register system of records notices will continue File (66 FR 52984 October 18, 2001), a description denoting the type and to be applicable until the final rule for Treasury/CS.042 Case and Complaint character of each system of records in this SORN has been completed. This File (66 FR 52984 October 18, 2001), order to make agency recordkeeping consolidated system, titled General Treasury/CS.043 Case Files (Associate practices transparent, to notify Legal Files, will be included in the Chief Counsel Gulf Customs individuals about the use of their Department’s inventory of record Management Center) (66 FR 52984 records, and to assist the individual to systems. October 18, 2001), Treasury/CS.061 more easily find files within the agency. Court Case File (66 FR 52984 October DATES: Below is a description of the General Submit comments on or before 18, 2001), Treasury/CS.133 Justice November 24, 2008. The new system of Legal Records System of Records. Department Case File (66 FR 52984 In accordance with 5 U.S.C. 552a(r), records will be effective November 24, October 18, 2001), Treasury/CS.138 DHS has provided a report of this 2008. Litigation Issue Files (66 FR 52984 revised system of records to the Office ADDRESSES: You may submit comments, October 18, 2001), and Justice/INS–022 of Management and Budget and to the identified by docket number DHS– The Immigration and Naturalization Congress. 2008–0021 by one of the following Service Attorney/Representative methods: Complaint /Petition Files (64 FR 70288 System of Records: • Federal e-Rulemaking Portal: December 16, 1999). DHS also proposes DHS/ALL–017. http://www.regulations.gov. Follow the to partially consolidate Treasury/ instructions for submitting comments. USSS.002 Chief Counsel Record System SYSTEM NAME: • Fax: 1–866–466–5370. Department of Homeland Security • (66 FR 45362 August 28, 2001) into this Mail: Hugo Teufel III, Chief Privacy system. This system will assist attorneys General Legal Records. Officer, Privacy Office, Department of in providing legal advice to DHS on a Homeland Security, Washington, DC SECURITY CLASSIFICATION: wide variety of legal issues. Categories Unclassified. 20528. of individuals, categories of records, and • Instructions: All submissions the routine uses of these legacy system SYSTEM LOCATION: received must include the agency name of records notices have been reviewed and docket number for this rulemaking. Records are maintained at several and updated to better reflect DHS’s Headquarters locations and in All comments received will be posted general legal record systems. without change to http:// component offices of DHS, in both Additionally, DHS is issuing a Notice of Washington, DC, and field locations. www.regulations.gov, including any Proposed Rulemaking (NPRM) personal information provided. concurrent with this SORN elsewhere in CATEGORIES OF INDIVIDUALS COVERED BY THE • Docket: For access to the docket to SYSTEM: the Federal Register. The exemptions read background documents or for the legacy system of records notices Categories of individuals covered by comments received go to http:// will continue to be applicable until the this system include DHS employees and www.regulations.gov. final rule for this SORN has been former employees, other Federal agency FOR FURTHER INFORMATION CONTACT: For completed. employees and former employees, general questions and privacy issues members of the public, individuals please contact: Hugo Teufel III (703– II. Privacy Act involved in litigation with DHS or 235–0780), Chief Privacy Officer, The Privacy Act embodies fair involving DHS, individuals who either Privacy Office, Department of Homeland information principles in a statutory file administrative complaints with DHS Security, Washington, DC 20528. framework governing the means by or are the subjects of administrative SUPPLEMENTARY INFORMATION: which the United States Government complaints initiated by DHS, collects, maintains, uses, and individuals who are named parties in I. Background disseminates individuals’ records. The cases in which DHS believes it will or Pursuant to the savings clause in the Privacy Act applies to information that may become involved, matters within Homeland Security Act of 2002, Public is maintained in a ‘‘system of records.’’ the jurisdiction of the Department either Law 107–296, Section 1512, 116 Stat. A ‘‘system of records’’ is a group of any as plaintiffs or as defendants in both 2310 (November 25, 2002), the records under the control of an agency civil and criminal matters, witnesses, Department of Homeland Security for which information is retrieved by and to the extent not covered by any (DHS) and its components and offices the name of an individual or by some other system, tort and property have relied on preexisting Privacy Act identifying number, symbol, or other claimants who have filed claims against systems of records notices for the identifying particular assigned to the the Government and individuals who collection and maintenance of records individual. In the Privacy Act, an are subject of an action requiring that concern general legal records. individual is defined to encompass approval or action by a DHS official, As part of its efforts to streamline and United States citizens and legal such as appeals, actions, training, consolidate its Privacy Act records permanent residents. As a matter of awards, foreign travel, promotions, systems, DHS is establishing a new policy, DHS extends administrative selections, grievances and delegations,
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OGC attorneys to whom cases are United States, including bonds, checks, determines that the records are both assigned, and attorneys and authorized coins, coupons, currencies (U.S. and relevant and necessary to the litigation representatives for whom DHS has foreign), fractional notes, postage and the use of such records is received complaints regarding their stamps (U.S. and foreign), postal money compatible with the purpose for which practices before DHS and/or the orders, and postmarks; DHS collected the records. Executive Office for Immigration • Any type of legal document, B. To a congressional office from the Review (EOIR). including but not limited to complaints, record of an individual in response to summaries, affidavits, litigation reports, an inquiry from that congressional office CATEGORIES OF RECORDS IN THE SYSTEM: motions, subpoenas, and any other court made at the request of the individual to Categories of records in this system filing or administrative filing or whom the record pertains. include: evidence; C. To the National Archives and • Names of individuals involved in • Employee and former employee Records Administration or other Federal each legal case; ethics question forms and responses; government agencies pursuant to • Names of witnesses; • Court transcripts. records management inspections being • Records relating to litigation by or conducted under the authority of 44 against the U.S. Government (or AUTHORITY FOR MAINTENANCE OF THE SYSTEM: U.S.C. 2904 and 2906. litigation in which the U.S. Government 5 U.S.C. 301; The Federal Records D. To an agency, organization, or is not a party, but has an interest) Act, 44 U.S.C. 3101; The Homeland individual for the purpose of performing resulting from questions concerning Security Act of 2002, Public Law 107– audit or oversight operations as DHS cases and legal actions that the 296. authorized by law, but only such Department either is involved in or in information as is necessary and relevant which it believes it will or may become PURPOSE(S): to such audit or oversight function. involved; The purpose of this system is to assist E. To appropriate agencies, entities, • Claims by or against the DHS attorneys in providing legal advice and persons when: Government, other than litigation cases, to DHS management on a wide variety 1. DHS suspects or has confirmed that arising from a transaction with DHS, of legal issues; to collect the information the security or confidentiality of and documents related thereto, of any individual who is, or will be, in information in the system of records has including demographic information, litigation with the Department, as well been compromised; vouchers, witness statements, legal as the attorneys representing the 2. The Department has determined decisions, and related material plaintiff(s) and defendant(s) response to that as a result of the suspected or pertaining to such claims; claims by employees, former employees, confirmed compromise there is a risk of • Investigation reports; and other individuals; to assist in the harm to economic or property interests, • Legal authority; settlement of claims against the identity theft or fraud, or harm to the • Legal opinions and memoranda; government; to represent DHS during security or integrity of this system or • Criminal actions; litigation, and to maintain internal other systems or programs (whether • Criminal conviction records; statistics. maintained by DHS or another agency or • Claims and records regarding entity) or harm to the individual who discrimination, including employment ROUTINE USES OF RECORDS MAINTAINED IN THE relies upon the compromised and sex discrimination; SYSTEM, INCLUDING CATEGORIES OF USERS AND information; and THE PURPOSES OF SUCH USES: • Claims and records regarding the 3. The disclosure made to such Rehabilitation Act; In addition to those disclosures agencies, entities, and persons is • Claims against non-DHS attorneys generally permitted under 5 U.S.C. reasonably necessary to assist in and/or representatives who engage in 552a(b) of the Privacy Act, all or a connection with DHS’s efforts to unethical activities or exhibit portion of the records or information respond to the suspected or confirmed unprofessional behavior; contained in this system may be compromise and prevent, minimize, or • Copies of petitions filed with DHS; disclosed outside DHS as a routine use remedy such harm. • Personnel matters; pursuant to 5 U.S.C. 552a(b)(3) as F. To contractors and their agents, • Contracts; follows: grantees, experts, consultants, and • Foreclosures; A. To the Department of Justice others performing or working on a • Actions against DHS officials; (including United States Attorney contract, service, grant, cooperative • Titles to real property; Offices), other Federal agency agreement, or other assignment for DHS, • Records relating to requests for DHS conducting litigation, in proceedings when necessary to accomplish an records other than requests under the before any court, adjudicative or agency function related to this system of Freedom of Information Act and the administrative body, or other federal records. Individuals provided Privacy Act of 1974; executive office with an interest in the information under this routine use are • Testimonies of DHS employees in litigation when it is necessary to the subject to the same Privacy Act Federal, State, local, or administrative litigation and one of the following is a requirements and limitations on criminal or civil litigation; party to the litigation or has an interest disclosure as are applicable to DHS • Documentary evidence; in such litigation: officers and employees. • Supporting documents including 1. DHS or any component thereof; G. To an appropriate Federal, State, the legal and programmatic issues of the 2. any employee of DHS in his/her tribal, local, international, or foreign law case, correspondence, legal opinions official capacity; enforcement agency or other appropriate and memoranda and related records; 3. any employee of DHS in his/her authority charged with investigating or • State Bar grievance/discipline individual capacity where the prosecuting a violation or enforcing or proceedings records; Department of Justice or DHS has agreed implementing a law, rule, regulation, or • Security Clearance Information; to represent the employee; or order, where a record, either on its face • Records concerning requests for 4. the United States or any agency or in conjunction with other information regarding the use of thereof, is a party to the litigation or has information, indicates a violation or reproductions of obligations of the an interest in such litigation, and DHS potential violation of law, which
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includes criminal, civil, or regulatory DISCLOSURE TO CONSUMER REPORTING Murray Drive, SW., Building 410, violations and such disclosure is proper AGENCIES: STOP–0550, Washington, DC 20528. and consistent with the official duties of Privacy Act information may be When seeking records about yourself the person making the disclosure. reported to consumer reporting agencies from this system of records or any other H. To a court, magistrate, or pursuant to 5 U.S.C. 552a(b)(12) Departmental system of records your administrative tribunal in the course of collecting on behalf of the United States request must conform with the Privacy presenting evidence, including Government. Act regulations set forth in 6 CFR part disclosures to opposing counsel or 5. You must first verify your identity, POLICIES AND PRACTICES FOR STORING, meaning that you must provide your full witnesses in the course of civil RETRIEVING, ACCESSING, RETAINING, AND name, current address and date and discovery, litigation, or settlement DISPOSING OF RECORDS IN THE SYSTEM: negotiations or in connection with place of birth. You must sign your STORAGE: criminal law proceedings or in response request, and your signature must either to a subpoena from a court of competent Records in this system are stored be notarized or submitted under 28 jurisdiction. electronically or on paper in secure U.S.C. 1746, a law that permits facilities behind a locked door. The statements to be made under penalty of I. To third parties during the course electronic records are stored on perjury as a substitute for notarization. of a law enforcement investigation to magnetic disc, tape, digital media, CD– While no specific form is required, you the extent necessary to obtain ROM, and computer. may obtain forms for this purpose from information pertinent to the the Director, Disclosure and FOIA, investigation, provided disclosure is RETRIEVABILITY: http://www.dhs.gov or 1–866–431–0486. appropriate to the proper performance Data may be retrieved by individual’s In addition you should provide the of the official duties of the officer name. following: making the disclosure. • An explanation of why you believe SAFEGUARDS: J. To a Federal, State, local, tribal, the Department would have information foreign, or international agency, where Records in this system are on you, such agency has requested information safeguarded in accordance with • Identify which component(s) of the relevant or necessary for the hiring or applicable rules and policies, including Department you believe may have the retention of an individual, or the all applicable DHS automated systems information about you, issuance of a security clearance, license, security and access policies. Strict • Specify when you believe the contract, grant, or other benefit. controls have been imposed to minimize records would have been created, the risk of compromising the • K. To international and foreign Provide any other information that information that is being stored. Access governmental entities in accordance will help the FOIA staff determine to the computer system containing the with law and formal or informal which DHS component agency may records in this system is limited to those international agreement. have responsive records, individuals who have a need to know • If your request is seeking records L. To State Bar Grievance Committees the information for the performance of pertaining to another living individual, and local Attorney General offices for their official duties and who have you must include a statement from that disbarment or disciplinary proceedings. appropriate clearances or permissions. individual certifying his/her agreement M. To unions recognized as exclusive RETENTION AND DISPOSAL: for you to access his/her records. bargaining representatives under the Without this bulleted information the Civil Service Reform Act of 1978, 5 Records are kept for 10 years, in component(s) may not be able to U.S.C. 7111 and 7114, the Merit accordance with National Archives and conduct an effective search, and your Systems Protection Board, arbitrators, Records Administration General request may be denied due to lack of the Federal Labor Relations Authority, Records Schedule [schedule in process.] specificity or lack of compliance with and other parties responsible for the SYSTEM MANAGER AND ADDRESS: applicable regulations. administration of the Federal labor- For Headquarters of DHS, the System management program for the purpose of RECORD ACCESS PROCEDURES: Manager is the Director of Departmental processing any corrective actions, or See ‘‘Notification procedure’’ above. Disclosure, Department of Homeland grievances, or conducting Security, Washington, DC 20528. For CONTESTING RECORD PROCEDURES: administrative hearings or appeals, or if components of DHS, the System needed in the performance of other See ‘‘Notification procedure’’ above. Manager can be found at http:// authorized duties. www.dhs.gov/foia under ‘‘contacts.’’ RECORD SOURCE CATEGORIES: N. To the news media and the public, Information originates with DHS and with the approval of the Chief Privacy NOTIFICATION PROCEDURE: its components, court subpoenas, law Officer in consultation with counsel, Individuals seeking notification of enforcement agencies, other Federal, when there exists a legitimate public and access to any record contained in state, and local courts, State bar interest in the disclosure of the this system of records, or seeking to licensing agencies, State bar grievance information or when disclosure is contest its content, may submit a agencies, and inquiries and/or necessary to preserve confidence in the request in writing to the Headquarters’ complaints from witnesses or members integrity of DHS or is necessary to or component’s FOIA Officer, whose of the general public. demonstrate the accountability of DHS’s contact information can be found at officers, employees, or individuals http://www.dhs.gov/foia under EXEMPTIONS CLAIMED FOR THE SYSTEM: covered by the system, except to the ‘‘contacts.’’ If an individual believes The Secretary of Homeland Security extent it is determined that release of more than one component maintains has exempted this system from the specific information in the context Privacy Act records concerning him or subsections (c)(3) and (4); (d); (e)(1), (2), of a particular case would constitute an her the individual may submit the (3), (5), and (8); and (g) of the Privacy unwarranted invasion of personal request to the Chief Privacy Officer, Act pursuant to 5 U.S.C. 552a(j)(2). In privacy. Department of Homeland Security, 245 additional, the Secretary of Homeland
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Security has exempted this system from • Federal e-Rulemaking Portal: http: August 28, 2001) into this Department- subsections (c)(3), (d), (e)(1), (e)(4)(G), //www.regulations.gov. Follow the wide system of records. This system (H), (I), and (f) of the Privacy Act instructions for submitting comments. will allow DHS to collect and maintain pursuant to 5 U.S.C. 552a(k)(1), (2), (3), • Fax: 1–866–466–5370. records on the Department’s contractors and (5). • Mail: Hugo Teufel III, Chief Privacy and consultants. Categories of Dated: October 14, 2008. Officer, Privacy Office, Department of individuals, categories of records, and Homeland Security, Washington, DC Hugo Teufel III, the routine uses of this legacy system 20528. have been reviewed and updated to Chief Privacy Officer, Department of • Instructions: All submissions Homeland Security. better reflect the DHS’s contractor and received must include the agency name consultant record system. This [FR Doc. E8–25002 Filed 10–22–08; 8:45 am] and docket number for this rulemaking. reclassified system, titled Department of BILLING CODE 4410–10–P All comments received will be posted Homeland Security Contractors and without change and may be read at Consultants, will be included in DHS’s http://www.regulations.gov, including DEPARTMENT OF HOMELAND inventory of record systems. any personal information provided. SECURITY • Docket: For access to the docket to II. Privacy Act Office of the Secretary read background documents or The Privacy Act embodies fair comments received, go to http:// [Docket No. DHS–2008–0083] information principles in a statutory www.regulations.gov. framework governing the means by Privacy Act of 1974; Department of FOR FURTHER INFORMATION CONTACT: For which the United States Government Homeland Security Contractors and general questions and privacy issues collects, maintains, uses, and Consultants System of Records please contact: Hugo Teufel III (703– disseminates individuals’ records. The 235–0780), Chief Privacy Officer, Privacy Act applies to information that AGENCY: Privacy Office; DHS. Privacy Office, Department of Homeland is maintained in a ‘‘system of records.’’ ACTION: Notice of Privacy Act system of Security, Washington, DC 20528. A ‘‘system of records’’ is a group of any records. SUPPLEMENTARY INFORMATION: records under the control of an agency for which information is retrieved by SUMMARY: In accordance with the I. Background the name of an individual or by some Privacy Act of 1974 and as part of the Pursuant to the savings clause in the identifying number, symbol, or other Department of Homeland Security’s Homeland Security Act of 2002, Public identifying particular assigned to the ongoing effort to review and update Law 107–296, Section 1512, 116 Stat. individual. In the Privacy Act, an legacy system of record notices, the 2310 (November 25, 2002), the individual is defined to encompass Department of Homeland Security is Department of Homeland Security United States citizens and legal giving notice that it proposes to (DHS) and its components and offices permanent residents. As a matter of consolidate one legacy system of records have relied on preexisting Privacy Act policy, DHS extends administrative notice, DOT/CG 536 Contract and Real systems of records notices for the Privacy Act protections to all Property File System as a Department of collection and maintenance of records individuals where systems of records Homeland Security-wide system of that concern DHS contractors and maintain information on U.S. citizens, records notice titled Department of consultants. lawful permanent residents, and Homeland Security Contractors and As part of its efforts to streamline and visitors. Individuals may request access Consultants. The Department of consolidate its records systems, DHS is to their own records that are maintained Homeland Security also proposes to establishing an agency-wide system of in a system of records in the possession partially consolidate one legacy record records under the Privacy Act (5 U.S.C. or under the control of DHS by system, Treasury/USSS.001 552a) for these contractor and complying with DHS Privacy Act Administrative Information System into consultant records. This will ensure that regulations, 6 CFR part 5. this Department-wide system of records. all components of DHS follow the same This system will allow the Department The Privacy Act requires each agency privacy rules for collecting and to publish in the Federal Register a of Homeland Security to collect and maintaining contractor and consultant maintain records on the Department’s description denoting the type and records. The collection and character of each system of records that contractors and consultants. Categories maintenance of this information will of individuals, categories of records, and the agency maintains, and the routine assist DHS in meeting its obligation to uses that are contained in each system the routine uses of this legacy system collect and maintain records on DHS have been reviewed and updated to in order to make agency recordkeeping contractors and consultants. practices transparent, to notify better reflect the Department’s In accordance with the Privacy Act of contractor and consultant record individuals regarding the uses of their 1974 and as part of the DHS’s ongoing records, and to assist individuals to system. This reclassified system, titled effort to review and update legacy Department of Homeland Security more easily find such files within the system of record notices, DHS is giving agency. Below is the description of the Contractors and Consultants, will be notice that it proposes to consolidate included in the Department of DHS Contractors and Consultants one legacy system of records notice, System of Records. Homeland Security’s inventory of DOT/CG 536 Contract and Real Property record systems. File System (65 FR 19476 April 11, In accordance with 5 U.S.C. 552a(r), DATES: Submit comments on or before 2000), as a DHS-wide system of records DHS has provided a report of this new November 24, 2008. This new system notice titled Department of Homeland system of records to the Office of will be effective November 24, 2008. Security Contractors and Consultants. Management and Budget (OMB) and to ADDRESSES: You may submit comments, DHS also proposes to partially Congress. identified by docket number DHS– consolidate one legacy record system: System of Records: 2008–0083 by one of the following Treasury/USSS.001 Administrative methods: Information System (66 FR 45362 DHS/ALL–021.
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SYSTEM NAME: 552a(b) of the Privacy Act, all or a compromise and prevent, minimize, or Department of Homeland Security portion of the records of information remedy such harm. Contractors and Consultants. contained in this system may be F. To contractors and their agents, disclosed outside DHS as a routine use grantees, experts, consultants, and SECURITY CLASSIFICATION: pursuant to 5 U.S.C. 552a(b)(3) as others performing or working on a Unclassified. follows: contract, service, grant, cooperative SYSTEM LOCATION: A. To the Department of Justice agreement, or other assignment for DHS, Records are maintained at several (including United States Attorney when necessary to accomplish an Headquarters locations and in Offices) or other Federal agency agency function related to this system of component offices of DHS, in both conducting litigation or in proceedings records. Individuals provided Washington, DC, and field locations. before any court, adjudicative or information under this routine use are administrative body when it is subject to the same Privacy Act CATEGORIES OF INDIVIDUALS COVERED BY THE necessary to the litigation and one of the requirements and limitations on SYSTEM: following is a party to the litigation or disclosure as are applicable to DHS Categories of individuals covered by has an interest in such litigation: officers and employees. this system include any individual who 1. DHS or any component thereof; G. To an appropriate Federal, State, serves as a contractor or consultant to 2. Any employee of DHS in his/her tribal, local, international, or foreign law DHS. official capacity; enforcement agency or other appropriate 3. Any employee of DHS in his/her CATEGORIES OF RECORDS IN THE SYSTEM: authority charged with investigating or individual capacity where the prosecuting a violation or enforcing or Categories of records in this system Department of Justice or DHS has agreed implementing a law, rule, regulation, or include: to represent the employee; or • Individual’s name; order, where a record, either on its face • 4. The United States or any agency or in conjunction with other Social security number; thereof, is a party to the litigation or has • Home address; information, indicates a violation or • Telephone numbers (work, home, an interest in such litigation, and DHS potential violation of law, which mobile); determines that the records are both includes criminal, civil, or regulatory • E-mail addresses; relevant and necessary to the litigation violations and such disclosure is proper • Contract name and number; and the use of such records is and consistent with the official duties of • Employer; compatible with the purpose for which the person making the disclosure. • Work address; DHS collected the records. H. To Federal and state entities when • Job title; B. To a congressional office from the relevant and necessary to disclose • Labor category; record of an individual in response to • information on DHS or its components Relevant work experience; an inquiry from that congressional office purchases and contracts. • DHS-issued property in the made at the request of the individual to I. To the news media and the public, possession of the contractor/consultant whom the record pertains. with the approval of the Chief Privacy for the purpose of fulfilling contractual C. To the National Archives and Officer in consultation with counsel, requirements; Records Administration or other Federal when there exists a legitimate public • Vendor lists; government agencies pursuant to • Correspondence between the interest in the disclosure of the records management inspections being information or when disclosure is contractor and DHS; conducted under the authority of 44 • Bidders lists; necessary to preserve confidence in the • U.S.C. 2904 and 2906. integrity of DHS or is necessary to Permits; D. To an agency, organization, or • Licenses; demonstrate the accountability of DHS’s individual for the purpose of performing • Easement; officers, employees, or individuals • Deliverables; audit or oversight operations as covered by the system, except to the • Proposals; authorized by law, but only such extent it is determined that release of • White papers; and information as is necessary and relevant the specific information in the context • Key personnel resumes. to such audit or oversight function. of a particular case would constitute an E. To appropriate agencies, entities, unwarranted invasion of personal AUTHORITY FOR MAINTENANCE OF THE SYSTEM: and persons when: 5 U.S.C. 301; The Federal Records 1. DHS suspects or has confirmed that privacy. Act, The Homeland Security Act of the security or confidentiality of DISCLOSURE TO CONSUMER REPORTING 2002, Public Law 107–296; Executive information in the system of records has AGENCIES: Order 9373; Reorganization Plan No. 2 been compromised; None. of 1970 (31 U.S.C. 1111); Executive 2. The Department has determined Order 11541; the Office of Federal that as a result of the suspected or POLICIES AND PRACTICES FOR STORING, Procurement Policy Act (41 U.S.C. 405); confirmed compromise there is a risk of RETRIEVING, ACCESSING, RETAINING, AND and the Federal Activities Inventory harm to economic or property interests, DISPOSING OF RECORDS IN THE SYSTEM: Reform (FAIR) Act of 1998 (31 U.S.C. identity theft or fraud, or harm to the STORAGE: 501 note). security or integrity of this system or Records in this system are stored other systems or programs (whether PURPOSE(S): electronically or as paper records in maintained by DHS or another agency or The purpose of this system is to secure facilities in a locked drawer and/ entity) or harm to the individual who collect and maintain records on DHS or behind a secured locked door. The relies upon the compromised contractors and consultants. electronic records are stored on information; and magnetic disc, tape, digital media, and ROUTINE USES OF RECORDS MAINTAINED IN THE 3. The disclosure made to such CD–ROM. SYSTEM, INCLUDING CATEGORIES OF USERS AND agencies, entities, and persons is THE PURPOSES OF SUCH USES: reasonably necessary to assist in RETRIEVABILITY: In addition to those disclosures connection with DHS’s efforts to Records may be retrieved by name, generally permitted under 5 U.S.C. respond to the suspected or confirmed and/or contract name and number.
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SAFEGUARDS: http://www.dhs.gov or 1–866–431–0486. (AMIS), FEMA/ADM–2 Office Services Records in this system are In addition you should provide the File System, Treasury/CS.044 safeguarded in accordance with following: Certificates of Clearance, and Treasury/ applicable rules and policies, including • An explanation of why you believe CS.201 Property File Non-Expendable all applicable DHS automated systems the Department would have information into one Department-wide system of security and access policies. Strict on you, records. The Department of Homeland controls have been imposed to minimize • Identify which component(s) of the Security also proposes to partially the risk of compromising the Department you believe may have the consolidate one legacy record system: information that is being stored. Access information about you, Treasury/USSS.001 Administrative to the computer system containing the • Specify when you believe the Information System into this records in this system is limited to those records would have been created, Department-wide system of records. individuals who have a need to know • Provide any other information that This system will allow the Department the information for the performance of will help the FOIA staff determine of Homeland Security to collect and their official duties and who have which DHS component agency may maintain records of all Department- appropriate clearances or permissions. have responsive records, owned or controlled property that has • If your request is seeking records been issued to current and former DHS RETENTION AND DISPOSAL: pertaining to another living individual, employees and contractors. Categories Records are retained for six years and you must include a statement from that of individuals, categories of records, and three months after the final payment to individual certifying his/her agreement the routine uses of these legacy system a contractor/consultant in accordance for you to access his/her records. of records notices have been with National Archives and Records Without this bulleted information the consolidated and updated to better Administration-approved General component(s) may not be able to reflect the Department’s asset Records Schedule 3, Item 3—General conduct an effective search, and your management record systems. This Procurement Files. request may be denied due to lack of consolidated system, titled Asset SYSTEM MANAGER AND ADDRESS: specificity or lack of compliance with Management, will be included in the applicable regulations. Department of Homeland Security’s For Headquarters and components of inventory of record systems. DHS, the System Manager is the RECORD ACCESS PROCEDURES: DATES: Submit comments on or before Director of Departmental Disclosure, See ‘‘Notification Procedure’’ above. Department of Homeland Security, November 24, 2008. Washington, DC 20528. For components CONTESTING RECORD PROCEDURES: ADDRESSES: You may submit comments, of DHS, the System Manager can be See ‘‘Notification Procedure’’ above. identified by docket number DHS– found at http://www.dhs.gov/foia under 2008–0009 by one of the following ‘‘contacts.’’ RECORD SOURCE CATEGORIES: methods: Individuals, contractors, consultants, • Federal e-Rulemaking Portal: NOTIFICATION PROCEDURE: bidders, financial institutions, insurance http://www.regulations.gov. Follow the Individuals seeking notification of companies, community associations, instructions for submitting comments. • and access to any record contained in and other agencies. Fax: 1–866–466–5370. this system of records, or seeking to • Mail: Hugo Teufel III, Chief Privacy contest its content, may submit a EXEMPTIONS CLAIMED FOR THE SYSTEM: Officer, Privacy Office, Department of request in writing to the Headquarters’ None. Homeland Security, Washington, DC 20528. or component’s FOIA Officer, whose Dated: October 15, 2008. • Instructions: All submissions contact information can be found at Hugo Teufel III, http://www.dhs.gov/foia under received must include the agency name Chief Privacy Officer, Department of and docket number for this rulemaking. ‘‘contacts.’’ If an individual believes Homeland Security. more than one component maintains All comments received will be posted [FR Doc. E8–25205 Filed 10–22–08; 8:45 am] Privacy Act records concerning him or without change and may be read at her the individual may submit the BILLING CODE 4410–10–P http://www.regulations.gov, including request to the Chief Privacy Officer, any personal information provided. • Department of Homeland Security, 245 Docket: For access to the docket to DEPARTMENT OF HOMELAND read background documents or Murray Drive, SW., Building 410, SECURITY STOP–0550, Washington, DC 20528. comments received, go to http:// www.regulations.gov. When seeking records about yourself Office of the Secretary from this system of records or any other FOR FURTHER INFORMATION CONTACT: For Departmental system of records your [Docket No. DHS–2008–0009] general questions and privacy issues request must conform with the Privacy Privacy Act of 1974; Department of please contact: Hugo Teufel III (703– Act regulations set forth in 6 CFR part Homeland Security Asset Management 235–0780), Chief Privacy Officer, 5. You must first verify your identity, Records System of Records Privacy Office, Department of Homeland meaning that you must provide your full Security, Washington, DC 20528. name, current address and date and AGENCY: Privacy Office; DHS. SUPPLEMENTARY INFORMATION: place of birth. You must sign your ACTION: Notice of Privacy Act system of I. Background request, and your signature must either records. be notarized or submitted under 28 Pursuant to the savings clause in the U.S.C. 1746, a law that permits SUMMARY: In accordance with the Homeland Security Act of 2002, Public statements to be made under penalty of Privacy Act of 1974, the Department of Law 107–296, Section 1512, 116 Stat. perjury as a substitute for notarization. Homeland Security is giving notice that 2310 (November 25, 2002), the While no specific form is required, you it proposes to consolidate four legacy Department of Homeland Security may obtain forms for this purpose from record systems: Justice/INS–004 The (DHS) and its components and offices the Director, Disclosure and FOIA, Asset Management Information System have relied on preexisting Privacy Act
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systems of records notices for the individual. In the Privacy Act, an computers, communication equipment, collection and maintenance of records individual is defined to encompass firearms, and other assets) in the that concern asset management with United States citizens and legal personal custody of the individuals regards to any employee or contractor permanent residents. As a matter of covered by this system and used in the who has been assigned DHS property. policy, DHS extends administrative performance of their official duties, as As part of its efforts to streamline and Privacy Act protections to all well as outstanding debts related to said consolidate its records systems, DHS is individuals where systems of records property. establishing a consolidated system of maintain information on U.S. citizens, records under the Privacy Act (5 U.S.C. lawful permanent residents, and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 552a) for the DHS asset management visitors. Individuals may request access 5 U.S.C. 301; The Federal Records records. This will ensure that all to their own records that are maintained Act, 44 U.S.C. 3101; 40 U.S.C. 121; 41 components of DHS follow the same in a system of records in the possession CFR Chapter 101; and Executive Order privacy rules for collecting and or under the control of DHS by 9373. handling asset management records. complying with DHS Privacy Act PURPOSE(S): The collection and maintenance of asset regulations, 6 CFR part 5. management information assists DHS in The Privacy Act requires each agency The purpose of this system is to track meeting its obligation to manage to publish in the Federal Register a all DHS-owned or controlled property Departmental assets assigned to description denoting the type and that has been issued to current and employees, such as computers, character of each system of records that former DHS employees and contractors. telephones, or other assets. the agency maintains, and the routine ROUTINE USES OF RECORDS MAINTAINED IN THE In accordance with the Privacy Act of uses that are contained in each system SYSTEM, INCLUDING CATEGORIES OF USERS AND 1974, DHS is giving notice that it in order to make agency record keeping THE PURPOSES OF SUCH USES: proposes to consolidate four legacy practices transparent, to notify In addition to those disclosures record systems: Justice/INS–004 The individuals regarding the uses to which Asset Management Information System generally permitted under 5 U.S.C. of their records, and to assist 552a(b) of the Privacy Act, all or a (AMIS) (67 FR 64136 October 17, 2002), individuals to more easily find such FEMA/ADM–2 Office Services File portion of the records of information files within the agency. Below is the contained in this system may be System (55 FR 37182 September 7, description of the Asset Management 1990), Treasury/CS.044 Certificates of disclosed outside DHS as a routine use System of Records. pursuant to 5 U.S.C. 552a(b)(3) as Clearance (66 FR 52984 October 18, In accordance with 5 U.S.C. 552a(r), 2001), and Treasury/CS.201 Property follows: DHS has provided a report of this new A. To the Department of Justice File Non-Expendable (66 FR 52984 system of records to the Office of October 18, 2001) into one DHS-wide (including United States Attorney Management and Budget (OMB) and to Offices) or other Federal agency system of records. DHS also proposes to Congress. partially consolidate one legacy record conducting litigation or in proceedings system: Treasury/USSS.001 System of Records: before any court, adjudicative or administrative body when it is Administrative Information System (66 DHS/ALL–010. FR 45362 August 28, 2001) into this necessary to the litigation and one of the DHS-wide system of records. This SYSTEM NAME: following is a party to the litigation or system will allow DHS collect and Department of Homeland Security has an interest in such litigation: maintain records of all Department- Asset Management Records. 1. DHS or any component thereof; owned or controlled property that has 2. Any employee of DHS in his/her been issued to current and former DHS SECURITY CLASSIFICATION: official capacity; employees and contractors. Categories Unclassified. 3. Any employee of DHS in his/her of individuals, categories of records, and individual capacity where the SYSTEM LOCATION: the routine uses of these legacy system Department of Justice or DHS has agreed of records notices have been Records are maintained at several to represent the employee; or consolidated and updated to better Headquarters locations and in 4. The United States or any agency reflect the Department’s asset component offices of DHS, in both thereof, is a party to the litigation or has management record systems. This Washington, DC, and field locations. an interest in such litigation, and DHS consolidated system, titled Asset CATEGORIES OF INDIVIDUALS COVERED BY THE determines that the records are both Management, will be included in DHS’s SYSTEM: relevant and necessary to the litigation and the use of such records is inventory of record systems. Categories of individuals covered by compatible with the purpose for which this system include all current and II. Privacy Act DHS collected the records. former DHS employees, and contractors The Privacy Act embodies fair B. To a congressional office from the assigned government-owned assets. information principles in a statutory record of an individual in response to framework governing the means by CATEGORIES OF RECORDS IN THE SYSTEM: an inquiry from that congressional office which the United States Government Categories of records maintained in made at the request of the individual to collects, maintains, uses, and this system include: whom the record pertains. disseminates individuals’ records. The • Individual’s name; C. To the National Archives and Privacy Act applies to information that • Social security number; Records Administration or other Federal is maintained in a ‘‘system of records.’’ • E-mail address; government agencies pursuant to A ‘‘system of records’’ is a group of any • Office name; records management inspections being records under the control of an agency • Office location; conducted under the authority of 44 for which information is retrieved by • Office telephone number; U.S.C. 2904 and 2906. the name of an individual or by some • Property management records, D. To an agency, organization, or identifying number, symbol, or other which include information on individual for the purpose of performing identifying particular assigned to the government-owned property (e.g. laptop audit or oversight operations as
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authorized by law, but only such extent it is determined that release of this system of records, or seeking to information as is necessary and relevant the specific information in the context contest its content, may submit a to such audit or oversight function. of a particular case would constitute an request in writing to the Headquarters’ E. To appropriate agencies, entities, unwarranted invasion of personal or component’s FOIA Officer, whose and persons when: privacy. contact information can be found at 1. DHS suspects or has confirmed that http://www.dhs.gov/foia under DISCLOSURE TO CONSUMER REPORTING the security or confidentiality of ‘‘contacts.’’ If an individual believes AGENCIES: information in the system of records has more than one component maintains been compromised; None. Privacy Act records concerning him or 2. The Department has determined POLICIES AND PRACTICES FOR STORING, her the individual may submit the that as a result of the suspected or RETRIEVING, ACCESSING, RETAINING, AND request to the Chief Privacy Officer, confirmed compromise there is a risk of DISPOSING OF RECORDS IN THE SYSTEM: Department of Homeland Security, 245 harm to economic or property interests, STORAGE: Murray Drive, SW., Building 410, identity theft or fraud, or harm to the STOP–0550, Washington, DC 20528. security or integrity of this system or Records in this system are stored electronically or on paper in secure When seeking records about yourself other systems or programs (whether from this system of records or any other maintained by DHS or another agency or facilities in a locked drawer behind a locked door. The records are stored on Departmental system of records your entity) or harm to the individual who request must conform with the Privacy relies upon the compromised magnetic disc, tape, digital media, and CD–ROM. Act regulations set forth in 6 CFR part information; and 5. You must first verify your identity, 3. The disclosure made to such RETRIEVABILITY: meaning that you must provide your full agencies, entities, and persons is Records may be retrieved by name, name, current address and date and reasonably necessary to assist in personnel number, and/or other unique place of birth. You must sign your connection with DHS’s efforts to personal identifier. request, and your signature must either respond to the suspected or confirmed be notarized or submitted under 28 SAFEGUARDS: compromise and prevent, minimize, or U.S.C. 1746, a law that permits remedy such harm. Records in this system are statements to be made under penalty of F. To contractors and their agents, safeguarded in accordance with perjury as a substitute for notarization. grantees, experts, consultants, and applicable rules and policies, including While no specific form is required, you others performing or working on a all applicable DHS automated systems may obtain forms for this purpose from contract, service, grant, cooperative security and access policies. Strict the Director, Disclosure and FOIA, agreement, or other assignment for DHS, controls have been imposed to minimize http://www.dhs.gov or 1–866–431–0486. when necessary to accomplish an the risk of compromising the In addition you should provide the agency function related to this system of information that is being stored. Access following: records. Individuals provided to the computer system containing the • An explanation of why you believe information under this routine use are records in this system is limited to those the Department would have information subject to the same Privacy Act individuals who have a need to know on you, requirements and limitations on the information for the performance of • Identify which component(s) of the disclosure as are applicable to DHS their official duties and who have the Department you believe may have the officers and employees. appropriate clearances or permissions. information about you, G. To an appropriate Federal, State, • RETENTION AND DISPOSAL: Specify when you believe the tribal, local, international, or foreign law Records are destroyed in accordance records would have been created, enforcement agency or other appropriate • Provide any other information that with the following: National Archives authority charged with investigating or will help the FOIA staff determine Records Administration General Record prosecuting a violation or enforcing or which DHS component agency may Schedule 10, Motor Vehicle and Aircraft implementing a law, rule, regulation, or have responsive records, order, where a record, either on its face Maintenance and Operations Records, • If your request is seeking records or in conjunction with other Items 2a (destroy when three months pertaining to another living individual, information, indicates a violation or old) and 5 (destroy six years after case you must include a statement from that potential violation of law, which is closed); General Record Schedule 8, individual certifying his/her agreement includes criminal, civil, or regulatory Stores, Plant, and Cost Accounting for you to access his/her records. violations and such disclosure is proper Records, Item 5 (destroy when three Without this bulleted information the and consistent with the official duties of years old), and General Records component(s) may not be able to the person making the disclosure. Schedule 23 (destroy two-five years), conduct an effective search, and your H. To unions recognized as exclusive Records Common to Most Offices within request may be denied due to lack of bargaining representatives under the Agencies. specificity or lack of compliance with Civil Service Reform Act of 1978, as SYSTEM MANAGER AND ADDRESS: applicable regulations. amended, 5 U.S.C. 7111 and 7114. For Headquarters components of DHS, I. To the news media and the public, RECORD ACCESS PROCEDURES: the System Manager is the Director of See ‘‘Notification procedure’’ above. with the approval of the Chief Privacy Departmental Disclosure, Department of Officer in consultation with counsel, Homeland Security, Washington, DC CONTESTING RECORD PROCEDURES: when there exists a legitimate public 20528. For components of DHS, the See ‘‘Notification procedure’’ above. interest in the disclosure of the System Manager can be found at RECORD SOURCE CATEGORIES: information or when disclosure is http://www.dhs.gov/foia under necessary to preserve confidence in the ‘‘contacts.’’ Records are generated from property integrity of DHS or is necessary to purchase orders and receipts; demonstrate the accountability of DHS’s NOTIFICATION PROCEDURE: acquisition, transfer and disposal data; officers, employees, or individuals Individuals seeking notification of employee locator documentation, or covered by the system, except to the and access to any record contained in otherwise from the record subject.
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EXEMPTIONS CLAIMED FOR THE SYSTEM: high risk flood areas to support the DEPARTMENT OF HOMELAND None. National Flood Insurance Program SECURITY Dated: October 15, 2008. (NFIP). These areas have historically been identified on paper Flood Federal Emergency Management Hugo Teufel III, Agency Chief Privacy Officer, Department of Insurance Rate Maps (FIRMs). Over the past several years, FEMA has Homeland Security. [FEMA–1801–DR] [FR Doc. E8–25207 Filed 10–22–08; 8:45 am] introduced new digital products BILLING CODE 4410–10–P including digital map images (the full North Carolina; Major Disaster and size FIRM Scans and letter size Related Determinations FIRMettes) and digital geospatial flood DEPARTMENT OF HOMELAND hazard data (the Digital Flood Insurance AGENCY: Federal Emergency SECURITY Rate Map (DFIRM) Database product Management Agency, DHS. and National Flood Hazard Layer ACTION: Notice. Federal Emergency Management (NFHL)). These digital products now Agency SUMMARY: This is a notice of the make up the vast majority of the flood Presidential declaration of a major Availability of Flood Hazard Maps and hazard information distributed by disaster for the State of North Carolina Data FEMA and are equivalent to the paper (FEMA–1801–DR), dated October 8, maps for any official activities under the 2008, and related determinations. AGENCY: Federal Emergency NFIP. DATES: Management Agency, DHS. Effective Date: October 8, 2008. FEMA will continue to provide local FOR FURTHER INFORMATION CONTACT: ACTION: Notice. governments a paper copy of their flood Peggy Miller, Disaster Assistance SUMMARY: The Federal Emergency hazard map and flood insurance study Directorate, Federal Emergency Management Agency (FEMA) is report when the map is updated by Management Agency, 500 C Street, SW., completing the update and conversion FEMA. FEMA will discontinue all other Washington, DC 20472, (202) 646–3886. to digital of the National Flood distribution of paper maps and study SUPPLEMENTARY INFORMATION: Notice is Insurance Program flood hazard map reports beginning with map update hereby given that, in a letter dated inventory. As part of the Flood Map projects where the letter of final October 8, 2008, the President declared Modernization Program, FEMA will determination is issued on or after a major disaster under the authority of discontinue the public distribution of October 1, 2009. The letter of final the Robert T. Stafford Disaster Relief paper Flood Insurance Rate Maps, Flood determination is issued six months and Emergency Assistance Act, 42 Insurance Study reports, and related before new flood maps become effective U.S.C. 5121–5207 (the Stafford Act), as flood hazard map products. for NFIP regulatory purposes. follows: FEMA will provide communities FEMA will continue to provide digital I have determined that the damage in where the flood hazard information is flood hazard data products for Internet certain areas of the State of North Carolina updated with an updated paper map to download, on CD–ROM, and via Web resulting from Tropical Storm Hanna during satisfy local regulatory requirements for Mapping Service. Federal, State, and the period of September 4–15, 2008, is of a paper map product. sufficient severity and magnitude to warrant For all other requests, FEMA will local government customers that have a major disaster declaration under the Robert distribute digital Flood Insurance Rate been receiving paper products will now T. Stafford Disaster Relief and Emergency Maps, Flood Insurance Study reports, receive digital flood hazard maps and Assistance Act, 42 U.S.C. 5121–5207 (the and related flood hazard map products data, and continue to be exempt from Stafford Act). Therefore, I declare that such in place of the paper versions. Over the fees (specified in 42 U.S.C. 4101). a major disaster exists in the State of North past several years, FEMA has Carolina. This change will allow FEMA to In order to provide Federal assistance, you transitioned from paper maps to digital realize significant cost savings in the are hereby authorized to allocate from funds map images and digital flood hazard map update process by eliminating the available for these purposes such amounts as data as the primary flood hazard need to generate large format film you find necessary for Federal disaster information products. These products negatives to support offset printing. It assistance and administrative expenses. will still be available through the FEMA will also save the cost of printing and You are authorized to provide Public Map Service Center. This change will Assistance in the designated areas, Hazard distributing the paper maps to fee Mitigation throughout the State, and any reduce duplication of effort and reduce exempt customers. This change the cost for updating flood hazard maps. other forms of assistance under the Stafford simplifies the products available Act that you deem appropriate. Consistent DATES: This change is effective as of depicting flood hazard for a location. with the requirement that Federal assistance October 1, 2009. The FEMA Map Service Center be supplemental, any Federal funds provided ADDRESSES: Information about FEMA under the Stafford Act for Hazard Mitigation provides complete information about Flood Hazard Maps and Data is will be limited to 75 percent of the total available on the Map Service Center the digital flood hazard data products, eligible costs. Federal funds provided under Web site http://msc.fema.gov. free tools, and easy-to-follow the Stafford Act for Public Assistance also instructions for using them at http:// will be limited to 75 percent of the total FOR FURTHER INFORMATION CONTACT: Paul msc.fema.gov. eligible costs, except for any particular Rooney, Data and Dissemination projects that are eligible for a higher Federal Branch, Mitigation Directorate, Federal Dated: October 9, 2008. cost-sharing percentage under the FEMA Emergency Management Agency, 500 C Michael K. Buckley, Public Assistance Pilot Program instituted Street, SW., Washington, DC 20472, Acting Assistant Administrator, Mitigation pursuant to 6 U.S.C. 777. If Other Needs ([email protected]). Directorate, Federal Emergency Management Assistance under Section 408 of the Stafford Act is later requested and warranted, Federal Agency, Department of Homeland Security. SUPPLEMENTARY INFORMATION: The funding under that program also will be Federal Emergency Management Agency [FR Doc. E8–25269 Filed 10–22–08; 8:45 am] limited to 75 percent of the total eligible (FEMA) is responsible for identifying BILLING CODE 9110–12–P costs.
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Further, you are authorized to make Management Agency, 500 C Street, SW., Bienville, Concordia, De Soto, Red River, changes to this declaration to the extent Washington, DC 20472, (202) 646–3886. St. Bernard, St. Charles, St. John the Baptist, allowable under the Stafford Act. and Union Parishes for Public Assistance. SUPPLEMENTARY INFORMATION: Notice is Acadia, Beauregard, Calcasieu, Cameron, The Federal Emergency Management hereby given that the incident period for Iberia, Jefferson, Jefferson Davis, Lafourche, Agency (FEMA) hereby gives notice that this disaster is closed effective October Plaquemines, Sabine, St. Mary, Terrebonne, pursuant to the authority vested in the 5, 2008. Vermilion, and Vernon Parishes for Public Administrator, under Executive Order (The following Catalog of Federal Domestic Assistance [Categories C–G] (already 12148, as amended, Michael Bolch, of Assistance Numbers (CFDA) are to be used designated for Individual Assistance and FEMA is appointed to act as the Federal for reporting and drawing funds: 97.030, debris removal and emergency protective Coordinating Officer for this declared Community Disaster Loans; 97.031, Cora measures [Categories A and B], including disaster. Brown Fund; 97.032, Crisis Counseling; direct Federal assistance, under the Public program). The following areas of the State of 97.033, Disaster Legal Services; 97.034, North Carolina have been designated as Disaster Unemployment Assistance (DUA); The following Catalog of Federal Domestic 97.046, Fire Management Assistance Grant; Assistance Numbers (CFDA) are to be used adversely affected by this declared 97.048, Disaster Housing Assistance to for reporting and drawing funds: 97.030, major disaster: Individuals and Households in Presidentially Community Disaster Loans; 97.031, Cora Beaufort, Brunswick, and Person Counties Declared Disaster Areas; 97.049, Brown Fund; 97.032, Crisis Counseling; for Public Assistance. Presidentially Declared Disaster Assistance— 97.033, Disaster Legal Services; 97.034, All counties within the State of North Disaster Housing Operations for Individuals Disaster Unemployment Assistance (DUA); Carolina are eligible to apply for assistance and Households; 97.050, Presidentially 97.046, Fire Management Assistance Grant; under the Hazard Mitigation Grant Program. Declared Disaster Assistance to Individuals 97.048, Disaster Housing Assistance to and Households—Other Needs; 97.036, Individuals and Households In Presidentially The following Catalog of Federal Domestic Disaster Grants—Public Assistance Declared Disaster Areas; 97.049, Assistance Numbers (CFDA) are to be used (Presidentially Declared Disasters); 97.039, Presidentially Declared Disaster Assistance— for reporting and drawing funds: 97.030, Hazard Mitigation Grant.) Disaster Housing Operations for Individuals Community Disaster Loans; 97.031, Cora and Households; 97.050, Presidentially Brown Fund; 97.032, Crisis Counseling; R. David Paulison, Declared Disaster Assistance to Individuals 97.033, Disaster Legal Services; 97.034, Administrator, Federal Emergency and Households—Other Needs; 97.036, Disaster Unemployment Assistance (DUA); Management Agency. Disaster Grants—Public Assistance 97.046, Fire Management Assistance Grant; [FR Doc. E8–25261 Filed 10–22–08; 8:45 am] (Presidentially Declared Disasters); 97.039, 97.048, Disaster Housing Assistance to Hazard Mitigation Grant. Individuals and Households In Presidentially BILLING CODE 9111–23–P Declared Disaster Areas; 97.049, R. David Paulison, Presidentially Declared Disaster Assistance— DEPARTMENT OF HOMELAND Administrator, Federal Emergency Disaster Housing Operations for Individuals Management Agency. and Households; 97.050, Presidentially SECURITY Declared Disaster Assistance to Individuals [FR Doc. E8–25254 Filed 10–22–08; 8:45 am] and Households—Other Needs; 97.036, Federal Emergency Management BILLING CODE 9111–23–P Disaster Grants—Public Assistance Agency (Presidentially Declared Disasters); 97.039, [FEMA–1792–DR] Hazard Mitigation Grant. DEPARTMENT OF HOMELAND SECURITY R. David Paulison, Louisiana; Amendment No. 4 to Notice Administrator, Federal Emergency of a Major Disaster Declaration Federal Emergency Management Management Agency. AGENCY: Federal Emergency Agency [FR Doc. E8–25262 Filed 10–22–08; 8:45 am] Management Agency, DHS. [FEMA–1792–DR] BILLING CODE 9111–23–P ACTION: Notice. Louisiana; Amendment No. 3 to Notice SUMMARY: This notice amends the notice of a Major Disaster Declaration DEPARTMENT OF HOMELAND of a major disaster declaration for the SECURITY State of Louisiana (FEMA–1792–DR), AGENCY: Federal Emergency dated September 13, 2008, and related Management Agency, DHS. Federal Emergency Management determinations. ACTION: Notice. Agency DATES: Effective Date: October 10, 2008. SUMMARY: This notice amends the notice FOR FURTHER INFORMATION CONTACT: [FEMA–1800–DR] of a major disaster for the State of Peggy Miller, Disaster Assistance Louisiana (FEMA–1792–DR), dated Illinois; Amendment No. 1 to Notice of Directorate, Federal Emergency a Major Disaster Declaration September 13, 2008, and related Management Agency, 500 C Street, SW., determinations. Washington, DC 20472, (202) 646–3886. AGENCY: Federal Emergency DATES: Effective Date: October 8, 2008. Management Agency, DHS. SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration for the FOR FURTHER INFORMATION CONTACT: ACTION: Notice. State of Louisiana is hereby amended to Peggy Miller, Disaster Assistance Directorate, Federal Emergency SUMMARY: This notice amends the notice include the following areas among those Management Agency, 500 C Street, SW., of a major disaster declaration for the areas determined to have been adversely Washington, DC 20472, (202) 646–3886. State of Illinois (FEMA–1800–DR), affected by the catastrophe declared a dated October 3, 2008, and related major disaster by the President in his SUPPLEMENTARY INFORMATION: Notice is determinations. declaration of September 13, 2008. hereby given that, in a letter dated October 8, 2008, the President amended DATES: Effective Date: October 5, 2008. Livingston, Orleans, St. Martin, and Tangipahoa Parishes for Individual the cost-sharing arrangements regarding FOR FURTHER INFORMATION CONTACT: Assistance. Allen and St. Tammany Parishes Federal funds provided under the Peggy Miller, Disaster Assistance for Individual Assistance and Public authority of the Robert T. Stafford Directorate, Federal Emergency Assistance. Disaster Relief and Emergency
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Assistance Act, 42 U.S.C. 5121–5207 DEPARTMENT OF HOMELAND for reporting and drawing funds: 97.030, (the Stafford Act), in a letter to R. David SECURITY Community Disaster Loans; 97.031, Cora Paulison, Administrator, Federal Brown Fund; 97.032, Crisis Counseling; 97.033, Disaster Legal Services; 97.034, Emergency Management Agency, Federal Emergency Management Agency Disaster Unemployment Assistance (DUA); Department of Homeland Security, as 97.046, Fire Management Assistance Grant; follows: [FEMA–1791–DR] 97.048, Disaster Housing Assistance to Individuals and Households In Presidentially I have determined that the damage in Texas; Amendment No. 7 to Notice of Declared Disaster Areas; 97.049, certain areas of Louisiana, resulting from a Major Disaster Declaration Presidentially Declared Disaster Assistance— Hurricane Ike beginning on September 11, Disaster Housing Operations for Individuals 2008, and continuing, is of sufficient severity AGENCY: Federal Emergency and Households; 97.050, Presidentially and magnitude that special conditions are Management Agency, DHS. Declared Disaster Assistance to Individuals and Households—Other Needs; 97.036, warranted regarding the cost-sharing ACTION: Notice. arrangement concerning Federal funds Disaster Grants—Public Assistance provided under the Robert T. Stafford SUMMARY: This notice amends the notice (Presidentially Declared Disasters); 97.039, Hazard Mitigation Grant. Disaster Relief and Emergency Assistance of a major disaster for the State of Texas Act, 42 U.S.C. 5121–5207 (the Stafford Act). (FEMA–1791–DR), dated September 13, R. David Paulison, Therefore, I amend my previous 2008, and related determinations. Administrator, Federal Emergency declaration of September 13, 2008, and DATES: Effective Date: October 8, 2008. Management Agency. authorize Federal funds for assistance for FOR FURTHER INFORMATION CONTACT: [FR Doc. E8–25259 Filed 10–22–08; 8:45 am] debris removal and emergency protective Peggy Miller, Disaster Assistance BILLING CODE 9111–23–P measures (Categories A and B), including Directorate, Federal Emergency direct Federal assistance, under the Public Management Agency, 500 C Street, SW., Assistance program, at 100 percent of the Washington, DC 20472, (202) 646–3886. DEPARTMENT OF HOMELAND total eligible costs for a 44-day period SUPPLEMENTARY INFORMATION: Notice is SECURITY retroactive to the date of the major disaster hereby given that, in a letter dated declaration. Federal Emergency Management October 8, 2008, the President amended This adjustment to State and local cost Agency the cost-sharing arrangements regarding sharing applies only to Public Assistance [FEMA–1791–DR] costs and direct Federal assistance eligible Federal funds provided under the for such adjustments under the law. The law authority of the Robert T. Stafford Disaster Relief and Emergency Texas; Amendment No. 8 to Notice of specifically prohibits a similar adjustment for a Major Disaster Declaration funds provided to States for Other Needs Assistance Act, 42 U.S.C. 5121–5207 Assistance (Section 408) and the Hazard (the Stafford Act), in a letter to R. David AGENCY: Federal Emergency Mitigation Grant Program (Section 404). Paulison, Administrator, Federal Management Agency, DHS. These funds will continue to be reimbursed Emergency Management Agency, ACTION: Notice. at 75 percent of total eligible costs. Department of Homeland Security, as This cost share is effective as of the date follows: SUMMARY: This notice amends the notice of the President’s major disaster declaration. I have determined that the damage in of a major disaster declaration for the State of Texas (FEMA–1791–DR), dated (The following Catalog of Federal Domestic certain areas of Texas, resulting from Assistance Numbers (CFDA) are to be used Hurricane Ike during the period of September September 13, 2008, and related 7 to October 2, 2008, is of sufficient severity for reporting and drawing funds: 97.030, determinations. and magnitude that special conditions are DATES: Community Disaster Loans; 97.031, Cora warranted regarding the cost-sharing Effective Date: October 9, 2008. Brown Fund; 97.032, Crisis Counseling; arrangement concerning Federal funds FOR FURTHER INFORMATION CONTACT: 97.033, Disaster Legal Services; 97.034, provided under the Robert T. Stafford Peggy Miller, Disaster Assistance Disaster Unemployment Assistance (DUA); Disaster Relief and Emergency Assistance Directorate, Federal Emergency 97.046, Fire Management Assistance Grant; Act, 42 U.S.C. 5121–5207 (the Stafford Act). Management Agency, 500 C Street, SW., 97.048, Disaster Housing Assistance to Therefore, I amend my previous Washington, DC 20472, (202) 646–3886. declarations of September 13, 2008, and Individuals and Households In Presidential SUPPLEMENTARY INFORMATION: The notice Declared Disaster Areas; 97.049, Presidential September 16, 2008, and authorize Federal funds for assistance for debris removal and of a major disaster declaration for the Declared Disaster Assistance—Disaster emergency protective measures (Categories A State of Texas is hereby amended to Housing Operations for Individuals and and B), including direct Federal assistance, include the following areas among those Households; 97.050 Presidential Declared under the Public Assistance program, at 100 areas determined to have been adversely Disaster Assistance to Individuals and percent of the total eligible costs for an affected by the catastrophe declared a Households—Other Needs; 97.036, Disaster additional 30 days beyond the previous 14- major disaster by the President in his day period, retroactive to the date of the Grants—Public Assistance (Presidentially declaration of September 13, 2008. Declared Disasters); 97.039, Hazard major disaster declaration. Mitigation Grant.) This adjustment to State and local cost Greg, Harrison, Rusk, and Smith Counties sharing applies only to Public Assistance for Individual Assistance. R. David Paulison, costs and direct Federal assistance eligible Shelby County for Individual Assistance for such adjustments under the law. The law Administrator, Federal Emergency and Public Assistance. specifically prohibits a similar adjustment for Angelina, Brazoria, Fort Bend, Hardin, Management Agency. funds provided to States for Other Needs Newton, Polk, and Tyler Counties for Public [FR Doc. E8–25258 Filed 10–22–08; 8:45 am] Assistance (Section 408) and the Hazard Assistance [Categories C–G] (already BILLING CODE 9111–23–P Mitigation Grant Program (Section 404). designated for Individual Assistance and These funds will continue to be reimbursed debris removal and emergency protective at 75 percent of total eligible costs. measures [Categories A and B], including This cost share is effective as of the date direct Federal assistance, under the Public of the President’s major disaster declaration. Assistance program). The following Catalog of Federal Domestic The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used Assistance Numbers (CFDA) are to be used
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for reporting and drawing funds: 97.030, http://cbp.gov/xp/cgov/import/ FOR FURTHER INFORMATION CONTACT: Community Disaster Loans; 97.031, Cora operations_support/labs_scientific_svcs/ Randall Breaux, Laboratories and Brown Fund; 97.032, Crisis Counseling; commercial_gaugers/. Scientific Services, U.S. Customs and 97.033, Disaster Legal Services; 97.034, DATES: The accreditation and approval Border Protection, 1300 Pennsylvania Disaster Unemployment Assistance (DUA); Avenue, NW., Suite 1500N, 97.046, Fire Management Assistance Grant; of Certispec Services USA, Inc., as 97.048, Disaster Housing Assistance to commercial gauger and laboratory Washington, DC 20229, 202–344–1060. Individuals and Households In Presidentially became effective on July 22, 2008. The Dated: October 16, 2008. Declared Disaster Areas; 97.049, next triennial inspection date will be Ira S. Reese, scheduled for July 2011. Presidentially Declared Disaster Assistance— Executive Director, Laboratories and Disaster Housing Operations for Individuals FOR FURTHER INFORMATION CONTACT: Scientific Services. and Households; 97.050, Presidentially Randall Breaux, Laboratories and [FR Doc. E8–25252 Filed 10–22–08; 8:45 am] Declared Disaster Assistance to Individuals Scientific Services, U.S. Customs and BILLING CODE 9111–14–P and Households—Other Needs; 97.036, Border Protection, 1300 Pennsylvania Disaster Grants—Public Assistance Avenue, NW., Suite 1500N, (Presidentially Declared Disasters); 97.039, Hazard Mitigation Grant. Washington, DC 20229, 202–344–1060. DEPARTMENT OF HOMELAND Dated: October 16, 2008. SECURITY R. David Paulison, Ira S. Reese, Administrator, Federal Emergency Executive Director, Laboratories and U.S. Customs and Border Protection Management Agency. Scientific Services. [FR Doc. E8–25260 Filed 10–22–08; 8:45 am] Approval of Omni Hydrocarbon [FR Doc. E8–25253 Filed 10–22–08; 8:45 am] BILLING CODE 9111–23–P Measurement, as a Commercial BILLING CODE 9111–14–P Gauger
AGENCY: U.S. Customs and Border DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND SECURITY Protection, Department of Homeland SECURITY Security. U.S. Customs and Border Protection U.S. Customs and Border Protection ACTION: Notice of approval of Omni Hydrocarbon Measurement, as a Accreditation and Approval of Approval of Oiltest, Inc., as a commercial gauger. Certispec Services USA, Inc., as a Commercial Gauger Commercial Gauger and Laboratory SUMMARY: Notice is hereby given that, AGENCY: U.S. Customs and Border pursuant to 19 CFR 151.13, Omni AGENCY: U.S. Customs and Border Protection, Department of Homeland Hydrocarbon Measurement, 914 Protection, Department of Homeland Security. Kennings Ave., Crosby, TX 77532, has Security. ACTION: Notice of approval of Oiltest, been approved to gauge petroleum, Inc., as a commercial gauger. petroleum products, organic chemicals ACTION: Notice of accreditation and and vegetable oils for customs purposes, approval of Certispec Services USA, SUMMARY: Notice is hereby given that, in accordance with the provisions of 19 Inc., as a commercial gauger and pursuant to 19 CFR 151.13, Oiltest, Inc., CFR 151.13. Anyone wishing to employ laboratory. 4333 50th Street South, Tampa, FL this entity to conduct gauger services 33619, has been approved to gauge should request and receive written SUMMARY: Notice is hereby given that, petroleum, petroleum products, organic assurances from the entity that it is pursuant to 19 CFR 151.12 and 19 CFR chemicals and vegetable oils for approved by the U.S. Customs and 151.13, Certispec Services USA, Inc., customs purposes, in accordance with Border Protection to conduct the 1448 Texas Avenue, Texas City, TX the provisions of 19 CFR 151.13. specific gauger service requested. 77590, has been approved to gauge and Anyone wishing to employ this entity to Alternatively, inquiries regarding the conduct gauger services should request accredited to test petroleum and specific gauger service this entity is and receive written assurances from the petroleum products, organic chemicals approved to perform may be directed to entity that it is approved by the U.S. and vegetable oils for customs purposes, the U.S. Customs and Border Protection Customs and Border Protection to in accordance with the provisions of 19 by calling (202) 344–1060. The inquiry conduct the specific gauger service CFR 151.12 and 19 CFR 151.13. Anyone may also be sent to [email protected]. requested. Alternatively, inquiries wishing to employ this entity to conduct Please reference the website listed regarding the specific gauger service this laboratory analyses and gauger services below for a complete listing of CBP entity is approved to perform may be should request and receive written approved gaugers and accredited directed to the U.S. Customs and Border assurances from the entity that it is laboratories. accredited or approved by the U.S. Protection by calling (202) 344–1060. Customs and Border Protection to The inquiry may also be sent to http://cbp.gov/xp/cgov/import/ [email protected]. Please reference the operations_support/labs_scientific_svcs/ conduct the specific test or gauger _ service requested. Alternatively, Web site listed below for a complete commercial gaugers/. inquiries regarding the specific test or listing of CBP approved gaugers and DATES: The approval of Omni gauger service this entity is accredited accredited laboratories. Hydrocarbon Measurement, as or approved to perform may be directed http://cbp.gov/xp/cgov/import/ commercial gauger became effective on to the U.S. Customs and Border operations_support/labs_scientific_svcs/ February 13, 2008. The next triennial Protection by calling (202) 344–1060. commercial_gaugers/. inspection date will be scheduled for The inquiry may also be sent to DATES: The approval of Oiltest, Inc., as February 2011. [email protected]. Please reference the commercial gauger became effective on FOR FURTHER INFORMATION CONTACT: Web site listed below for a complete July 24, 2008. The next triennial Randall Breaux, Laboratories and listing of CBP approved gaugers and inspection date will be scheduled for Scientific Services, U.S. Customs and accredited laboratories. July 2011. Border Protection, 1300 Pennsylvania
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Avenue, NW., Suite 1500N, whether the information will have Estimation of the total numbers of Washington, DC 20229, 202–344–1060. practical utility; (2) Evaluate the hours needed to prepare the information Dated: October 16, 2008. accuracy of the agency’s estimate of the collection including number of Ira S. Reese, burden of the proposed collection of respondents, frequency of response, and information; (3) Enhance the quality, hours of response: The number of Executive Director, Laboratories and Scientific Services. utility, and clarity of the information to burden hours annually is 31,000. The be collected; and (4) Minimize the number of respondents is 4500, the [FR Doc. E8–25251 Filed 10–22–08; 8:45 am] burden of the collection of information number of responses is 4500, the BILLING CODE 9111–14–P on those who are to respond; including frequency of response is averaged one the use of appropriate automated per respondent, and the burden hour collection techniques or other forms of per response is 7. DEPARTMENT OF HOUSING AND information technology, e.g., permitting Status of the proposed information URBAN DEVELOPMENT electronic submission of responses. collection: This is a renewal of OMB [Docket No. FR–5191–N–36] This Notice also lists the following Control Number 2502–0302. information: Authority: The Paperwork Reduction Act Notice of Proposed Information Title of Proposal: Local Appeals to of 1995, 44 U.S.C., Chapter 35, as amended. Collection: Comment Request Local Single Family Mortgage Limits. Dated: October 15, 2008. Appeals to Single Family Mortgage OMB Control Number, if applicable: Ronald Y. Spraker, Limits 2502–0302. Acting General Deputy Assistant Secretary AGENCY: Office of the Assistant 1. Description of the need for the for Housing—Deputy Federal Housing Secretary for Housing, HUD. information and proposed use: Any Commissioner. interested party may submit a request ACTION: Notice. [FR Doc. E8–25268 Filed 10–22–08; 8:45 am] for the mortgage limits to be increased BILLING CODE 4210–67–P SUMMARY: The proposed information in a particular area if they believe that collection requirement described below the present limit does not accurately will be submitted to the Office of reflect the higher sales prices in that DEPARTMENT OF HOUSING AND Management and Budget (OMB) for area. Any request for an increase must URBAN DEVELOPMENT review, as required by the Paperwork be accompanied by sufficient housing [Docket No. FR–5130–N–34] Reduction Act. The Department is sales price data to justify higher limits. Typically, this data includes housing soliciting public comments on the Privacy Act of 1974; Notice of sales data extracted from multiple subject proposal. Matching Program Between the United listing services (MLS) that includes all DATES: Comments Due Date: December States Department of Housing and or nearly all one-family and 22, 2008. Urban Development (HUD) and the condominium sales in the area for a United States Department of ADDRESSES: Interested persons are specified period of time, deleting all Agriculture Rural Housing Service invited to submit comments regarding non-arms length sales and sales (RHS) this proposal. Comments should refer to involving two or more family units. the proposal by name and/or OMB This data should be categorized as AGENCY: Office of the Chief Information Control Number and should be sent to: shown in the table below in a listing of Officer, HUD. Lillian Deitzer, Departmental Reports all, or nearly all, of the one-family ACTION: Notice of a Computer Matching Management Officer, QDAM, properties sold in the area for a period Department of Housing and Urban Program between HUD and the of time, depending on the volume of Department of Agriculture RHS. Development, 451 7th Street, SW., sales. HUD uses the information Washington, DC 20410; e-mail _ _ collected to determine whether an SUMMARY: Pursuant to the Computer Lillian L. [email protected] or increase is warranted. Matching and Privacy Protection Act of telephone (202) 402–8048. 1988, as amended, and the Office of FOR FURTHER INFORMATION CONTACT: Revised Management and Budget’s (OMB) Program Contact, Director, Office of Sales volume data Guidance on the statute, HUD is Single Family Program Development, period (month) announcing a new matching program Department of Housing and Urban involving comparisons between data Development, 451 7th Street SW., 500 or more per month ...... 1 provided by participants in HUD’s Washington, DC 20410, telephone (202) 250 to 499 per month ...... 2 assisted housing programs and 708–2121 (this is not a toll free number) 250 or less per month ...... 3 applicants for RHS’s rural housing for copies of the proposed forms and programs. The matching program will other available information. These requests are usually submitted be carried out to identify individuals SUPPLEMENTARY INFORMATION: The by housing industry groups, such as who are receiving excess or duplicate Department is submitting the proposed homebuilders, realtors, and mortgage housing assistance as a result of information collection to OMB for lenders. Most often, the housing sales Hurricanes Katrina and Rita. review, as required by the Paperwork price data is necessary to support a The matching program will be Reduction Act of 1995 (44 U.S.C. request for a higher mortgage limit that accomplished by comparing information Chapter 35, as amended). may be obtained from existing local from HUD’s systems of records known This Notice is soliciting comments industry sources, such as the real estate as (1) the Tenant Housing Assistance from members of the public and affected multiple listing services. and Contract Verification Data (HUD/H– agencies concerning the proposed The request for an increase to the 11 and (2) the Inventory Management collection of information to: (1) Evaluate mortgage limit is required to obtain System, previously the Public and whether the proposed collection is benefits. Indian Housing Information Center necessary for the proper performance of Agency form numbers, if applicable: (HUD/PIH–4), with disaster emergency the functions of the agency, including None. assistance data maintained by RHS
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Multifamily Programs (MFH) in its 130, ‘‘Transmittal Memorandum No. 4, HUD housing assistance. This Act system of records known as the Management of Federal Information authorizes HUD to require applicants Multifamily Information System (MFIS), Resources,’’ prescribes Federal agency and participants to sign a consent form and Single Family Housing Programs responsibilities for maintaining records authorizing HUD or the HA to request (SFH) in its Dedicated Loan Origination about individuals. In compliance with wage and claim information from the and Servicing System (DLOS) the CMPPA and Appendix I to OMB SWICAs. MortgageServ and Unifi record systems Circular No. A–130, copies of this notice The Inspector General Act authorizes for direct loans and grants, and the are being provided to the Committee on the HUD Inspector General to undertake Guaranteed Loan System (GLS) for Government Reform of the House of programs to detect and prevent fraud guaranteed loans to identify participants Representatives, the Committee on and abuse in all HUD programs. who are receiving access to duplicate Homeland Security and Governmental RHS, pursuant to section 312 of the disaster assistance payments. Affairs of the Senate, and OMB’s Office Robert T. Stafford Disaster Relief and DATES: Effective Date: Computer of Information and Regulatory Affairs. Emergency Assistance Act (the Stafford Act) 42 U.S.C. 5155, Public Law 93–288, matching is expected to begin November I. Authority 24, 2008, unless comments are received as amended, and 7 CFR part 1951, which will result in a contrary This matching program is being subpart O, must assure that no person determination, or 40 days after copies of conducted pursuant to the Emergency receiving disaster assistance receives the underlying matching agreement are Supplemental Appropriations to unauthorized assistance. signed, approved by HUD and RHS Data Address Hurricanes in the Gulf of Mexico and Pandemic Influenza, 2006 II. Objective To Be Met by the Matching Integrity Boards, and sent to both Program Houses of Congress, whichever is later. (Pub. L. 109–148); section 904 of the Comments Due Date: November 24, Stewart B. McKinney Homeless HUD’s primary objectives in 2008. Assistance Amendments Act of 1988 (42 implementing the computer matching U.S.C. 3544); section 165 of the Housing program are: (a) To identify individuals ADDRESSES: Interested persons are and Community Development Act of who are receiving housing benefits in invited to submit comments regarding 1987 (42 U.S.C. 3543); the National excess of those to which they are this notice to the Rules Docket Clerk, Housing Act (12 U.S.C. 1701–1750g); entitled; and (b) to identify duplicate Office of General Counsel, Room 10276, the United States Housing Act of 1937 disaster assistance payments. HUD’s Department of Housing and Urban (42 U.S.C. 1437–1437z); section 101 of Office of General Counsel (OGC) will Development, 451 Seventh Street, SW., the Housing and Community compare the identity, reported income, Washington, DC 20410–0500. Development Act of 1965 (12 U.S.C. family size, address and benefit data of Communications should refer to the 1701s); the Native American Housing Rural Development’s emergency Rental above docket number and title. Assistance and Self-Determination Act Assistance program contained in MFIS. Facsimile (FAX) comments are not of 1996 (25 U.S.C. 4101 et seq.); the The comparisons will identify, based on acceptable. A copy of each Quality Housing and Work criteria established by HUD–OIG, communication submitted will be Responsibility Act of 1998 (42 U.S.C. individuals whose incomes, family size, available for public inspection and 1437a(f)); the Inspector General Act of address, or benefit levels require further copying between 8 a.m. and 5 p.m. 1978 (5 U.S.C. App. 3); Computer verification to determine if they weekdays at the above address. Matching and Privacy Protection Act of received appropriate levels of Federal FOR FURTHER INFORMATION CONTACT: For 1988 (Pub. L. 100–53); and 65 FR 24732 assistance. the Privacy Act contact Donna and 64 FR 54930. Similarly, HUD–OIG will compare Robinson-Staton, Departmental Privacy Chapter 9, Title I, of the Emergency benefit data of Rural Development’s Act Officer, Department of Housing and Supplemental Appropriations to section 502 loan and section 504 loan Urban Development, 451 Seventh Street, Address Hurricanes in the Gulf of and grant Natural Disaster/Hurricane SW., Room 2256, Washington, DC Mexico and Pandemic Influenza, programs contained in DLOS and GLS. 20410, telephone number (202) 402– requires HUD to provide Tenant-Based Any match (i.e., a ‘‘hit’’) will be 8073. A telecommunications device for Rental Assistance only to tenants who further reviewed by the HUD–OIG to hearing-and-speech impaired received housing assistance prior to the determine whether the recipient was individuals (TTY) is available at 1–800– hurricanes and to ‘‘those which were eligible to receive the assistance. Hits 877–8339 (Federal Information Relay homeless or in emergency shelters in shall also be provided to, and further Service). the declared disaster area prior to reviewed by, RHA and USDA–OIG to For further information from recipient Hurricanes Katrina or Rita.’’ It also determine whether duplicate assistance agency: Bryan Saddler, Counsel to the requires, with respect to Community was provided. Inspector General, Department of Development Fund assistance, that HUD Housing and Urban Development, 451 establish procedures to prevent III. Program Description Seventh Street, SW., Room 8260, recipients from receiving any In this matching program, tenant- Washington, DC 20410, (202) 708–1613. duplication of benefits. provided information included in SUPPLEMENTARY INFORMATION: The The Stewart B. McKinney Homeless HUD’s systems of records known as the Computer Matching and Privacy Assistance Amendments Act of 1988 Tenant Housing Assistance and Contract Protection Act (CMPPA) of 1988, an authorizes HUD and housing agencies Verification Data (HUD/H–11), last amendment to the Privacy Act of 1974 (HAs) (but not private owners/ published at 62 FR 11909 (March 13, (5 U.S.C. 552a), OMB’s guidance on this management agents for subsidized 1997), and (2) the Inventory statute entitled ‘‘Final Guidance multifamily projects) to request wage Management System, previously the Interpreting the Provisions of Public and claim information from State Wage Public and Indian Housing Information Law 100–503, the CMPPA of 1988’’ Information Collection Agencies Center (HUD/PIH–4), published in the (OMB Guidance), and OMB Circular No. (SWICAs) responsible for administering Federal Register on October 7, 2002, A–130 requires publication of notices of State unemployment laws in order to will be compared with RHS’s MFIS, computer matching programs. Appendix undertake computer matching of DLOS, and GLS ‘‘Disaster Assistance’’ I to OMB’s Revision of Circular No. A– individual’s income and eligibility for system of records. RHS will provide
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HUD with records from the MFIS, B. Administrative or Legal Actions name(s), address(es), social security DLOS, and GLS systems that identify HUD–OIG shall also provide reports number(s), assistance date(s), and recipients of emergency Rental to RHS and/or USDA–OIG for reasons of rental/loan/grant assistance amount(s). Assistance and Natural Disaster/ information verification concerning V. Period of the Match Hurricane housing loans and grants and excess and/or duplicate housing This agreement shall become effective loan guarantees. The notice for this assistance payments. Upon completion 30 days after publication of a computer system is contained in the System of of the verification procedures, cases matching notice in the Federal Register, Records titled ‘‘USDA/Rural may be referred to Federal, state or local or 40 days after the agreement is signed Development’’, last published in 63 FR law enforcement authorities (including by both Data Integrity Boards and has 38546 (July 17, 1998), and the HUD–OIG and USDA–OIG) for been transmitted to Congress and the disclosure will be made in accordance consideration of criminal or civil OMB for review, whichever is later. with routine use ‘‘15,’’ which permits prosecution. Cases that are not referred This agreement will terminate when the disclosure to another Federal agency for—or after referral are rejected for— purpose of the computer match is ‘‘for the purpose of determining criminal or civil prosecution, may be accomplished, or 18 months from the referred to HAs, multifamily project compliance with Federal regulations date this signed agreement is sent to owners or management agents to initiate and appropriate servicing actions both Houses of Congress and OMB, administrative actions according to against those not entitled to program whichever comes first. Should the applicable procedures. benefits, including possible recovery of purpose not be accomplished within 18 A HA, project owner or management improper benefits.’’ The comparisons months, the agreement may be extended agent may not suspend, terminate, will identify, based on criteria for one 12-month period, with the reduce, or make a final denial of any established by HUD–OIG, individuals mutual agreement of all involved housing assistance to any individual or whose incomes, family size, address, or parties, if within three months of the take other adverse action against such benefit levels require further verification expiration date, the respective Data individual as a result of information to determine if they received Integrity Boards review the agreement produced by a matching program: (1) appropriate levels of Federal assistance. and find that the program will be Unless the individual has received a conducted without change, find a A. Income Verification Procedures statement of the findings, including continued favorable examination of notice to the individual of the cost/benefit results, and all involved Any match (i.e., a ‘‘hit’’) will be opportunity to contest such findings; parties certify that the program has been further reviewed by the HUD–OIG to and (2) until the expiration of a 30 conducted in compliance with this determine whether the recipient was calendar-day period from the date of the agreement. This agreement may be eligible to receive the assistance. Hits notice in (1). terminated, prior to accomplishment of shall also be provided to, and further If the matching subject responds the computer matching purpose or 18 reviewed by, RHA and USDA–OIG to within the 30 calendar-day notice months from the date this signed determine whether duplicate assistance period and indicates acceptance of the agreement is sent to both Houses of was provided. validity of the adverse information, Congress and OMB (whichever comes immediate action to reduce or terminate In order to protect any individuals first), by the mutual agreement of all benefits may be taken. whose records are used in matching, the involved parties, with 30 days written HA or subsidized multifamily project IV. Records To Be Matched notice. owner or management agent will not A description of the tenant records Authority: 5 U.S.C. 552a; 88 Stat. 1986; 42 suspend, terminate, reduce, or make a (one record for each family member) U.S.C. 3535(d). final denial of any housing assistance to includes these data elements: (1) SSNs such individual, or take other adverse Dated: October 16, 2008. for each family member; (2) family action against such individual as a Lisa Schlosser, control number to identify each tenant result of information produced by such Chief Information Officer. with a particular family; (3) Head of [FR Doc. E8–25267 Filed 10–22–08; 8:45 am] matching program, until an officer or Household Indicator; (4) Last Name, employee of such agency has First Name, Middle Initial, and Address BILLING CODE 4210–67–P independently verified such for household; (5) Sex; (6) Birth Date; (7) information. This independent Reported Income by source, description verification includes: (1) Comparing and amount; (8) Program Code; and (9) DEPARTMENT OF THE INTERIOR automated tenant data with manual files Recertification Date. Fish and Wildlife Service to verify tenant identity, family DLOS and GLS systems records (one composition and reported income; (2) record for each loan/grant) includes [FWS–R7–R–2008–N0068; 70133–1265–000– verifying the tenants’ income by sending these data elements: (1) Account S3] HUD prepared income confirmations to number for each loan/grant; (2) SSNs for Tetlin National Wildlife Refuge, Tok, employers for cases where records each borrower/co-borrower (Borrower AK indicate unreported or under-reported ID—primary/secondary); (3) Last Name, income; (3) analyzing the confirmed First Name, Middle Initial, and Property AGENCY: Fish and Wildlife Service, information; (4) calculating the Address for loan/grant; (5) Sex; (6) Interior. unreported income and excessive Program Title; (7) Date of the Obligation, ACTION: Notice of availability of the housing assistance received by the amount, and unpaid balance; (8) Age of revised comprehensive conservation family; (5) determining whether the borrower/co-borrower; (9) Date of plan and finding of no significant individual actually has or had access to Application; (10) Date of Approval; and impact for environmental assessment. such income for the individual’s own (11) Program Type Code. use; and (6) determining the period or For matched applicants (i.e., ‘‘hits’’), SUMMARY: We, the U.S. Fish and periods when the individual actually HUD–OIG will match the following Wildlife Service (Service) announce the had such income. information from MFIS, DLOS and GLS: availability of our Revised
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Comprehensive Conservation Plan about 700,000 acres are Federal lands. Tanana Valley; (2) refuge role in (CCP) and Finding of No Significant The landscape provides valuable habitat providing opportunities for access and Impact (FONSI) for the Environmental for a wide variety of fish and wildlife associated facilities for existing and Assessment (EA) for the Tetlin National species. The Upper Tanana Valley, expanding wildlife-dependent uses of Wildlife Refuge (Tetlin Refuge). In this including Tetlin Refuge, is one of the the Refuge; (3) management of fire on revised CCP, we describe how we will most significant migratory bird corridors the Refuge to provide adequate manage this refuge for the next 15 years. in the world as it is located along three protection of refuge resources and ADDRESSES: You may view or obtain major flyways. The extensive wetlands, private property within and adjacent to copies of the revised CCP and FONSI by rivers, ponds, and forests of the Refuge the Refuge; (4) use of prescribed fire as any of the following methods. You may provide resting and breeding habitats for a method of habitat management; and request a paper copy, a summary, or a hundreds of thousands of migratory (5) use of fishery management actions to CD–ROM containing both. birds. maintain native fish breeding stocks and Agency Web Site: Download a copy of We announce our decision and the enhance recreational fishing. the documents at http://alaska.fws.gov/ availability of the FONSI for the revised Alternative A (the no-action nwr/planning/tetpol.htm. CCP for the Tetlin Refuge in accordance alternative—a NEPA requirement) E-mail: [email protected]. with National Environmental Policy Act described what would happen with a Please include ‘‘Tetlin Refuge Revised (NEPA) (40 CFR 1506.6(b)) continuation of current management CCP’’ in the subject line of the message. requirements. We completed a thorough activities and served as a baseline for Mail: Mikel Haase, Planning Team analysis of impacts on the human comparison of other alternatives. Under Leader, U.S. Fish and Wildlife Service, environment in the EA that Alternative A, management of the refuge 1011 East Tudor Road, MS 231, accompanied the draft revised CCP. would continue to follow the current Anchorage, AK 99503–6199. The CCP will guide us in managing course of action as described in the 1987 In-Person Viewing or Pickup: Call and administering the Tetlin Refuge for Tetlin CCP and Record of Decision as (907) 786–3357 to make an appointment the next 15 years. The revised CCP is modified by subsequent program- during regular business hours at the Alternative B, the preferred alternative specific plans. Refuge lands would USFWS Regional Office, 1011 E. Tudor in the draft CCP, developed in response remain in their present management Road, Anchorage, AK 99503 or call to public scoping comments. categories—about 564,300 acres (82.7 (907) 883–5312 to make an appointment Background percent) in Minimal management, during regular business hours at Tetlin The Alaska National Interest Lands 116,600 acres (17.1 percent) in Moderate Refuge, Mile Post 1314 Alaska Highway, management, and 1,700 acres (less than Tok, AK 99780. Conservation Act of 1980 (94 Stat. 2371; ANILCA) and the National Wildlife one percent) in Intensive management. FOR FURTHER INFORMATION CONTACT: Refuge System Improvement Act of Under our selected alternative, Mikel Haase, Planning Team Leader, 1997 (16 U.S.C. 668dd–668ee) require Alternative B, refuge lands would (907) 786–3402 or continue to be managed in their present _ _ us to develop a CCP for each Alaska fw7 tetlin [email protected]. refuge. The purpose for developing a management categories. New regional SUPPLEMENTARY INFORMATION: CCP is to provide refuge managers with policies and guidelines for national wildlife refuges in Alaska would be Introduction a 15-year plan for achieving refuge purposes and contributing toward the incorporated. In addition to the actions With this notice, we finalize the CCP mission of the National Wildlife Refuge included under Alternative A, the process for the Tetlin Refuge. We started System, consistent with sound Refuge would work to gain ‘‘Gateway this process with a notice of intent in principles of fish and wildlife Community’’ status for Tok, promote the Federal Register (69 FR 70704, Dec. management, conservation, legal opportunities for current and new 7, 2004) and a revised notice of intent mandates, and our policies. We will public uses and facilities, continue to in the Federal Register (71 FR 42116, review and update the CCP at least protect resources and property from fire, July 25, 2006). We announced the every 15 years in accordance with emphasizing the use of natural fire and availability of the draft CCP and EA, and national policy and ANILCA. a variety of fire management techniques, requested comments in a notice of ANILCA requires us is to designate and native fisheries would be managed availability in the Federal Register (72 areas according to their respective to maintain natural diversity. See below FR 56371, Oct. 3, 2007). resources and values and to specify for additional details. Tetlin Refuge is located northeast of programs and uses within the areas Under Alternative C, no changes in the Alaska Range, adjacent to the U.S.– designated. To meet this requirement, land management classifications would Canada border in the headwaters of the the Alaska Region established occur. New regional policies and Tanana River. It is bordered by management categories for refuges guidelines for national wildlife refuges Wrangell-St. Elias National Park and including Wilderness, Minimal, in Alaska would be incorporated. In Preserve to the south and Canada to the Moderate, Intensive, and Wild River addition to actions under Alternatives A east. The Alaska Highway runs adjacent management. For each management and B, this alternative would expand to its northeastern border. The Refuge category we identified appropriate the refuge interpretive program and lies within the Nabesna/Chisana River activities, public uses, commercial uses, includes construction of additional Basin, in the Upper Tanana Valley. The and facilities. Only the Minimal, interpretive facilities, hiking trails, boat large, flat basin of the Upper Tanana Moderate, and Intensive management launches, other recreation and access- River Valley is dominated by lakes, categories are applied to Tetlin Refuge. related facilities, and public use cabins. ponds, and wetland tundra. Most of the It would also establish a fee system at Refuge is rolling lowlands; however, the Draft CCP Alternatives some campgrounds to support Mentasta Mountains in the refuge’s Our draft CCP and EA addressed five additional amenities, and mark southwest corner are rugged, glacier- issues and evaluated three alternatives. campsites and maintain portages on carved peaks reaching elevations of The five significant issues raised during canoe routes. Fire suppression would be 8,000 feet. The Refuge boundaries scoping were: (1) The visitor services the primary tool to protect resources encompass over 900,000 acres, of which role of Tetlin Refuge in the upper and property on the Refuge. Fisheries
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management would be the same as undeveloped trailheads and access 358–2548; or via e-mail at under Alternative B. points). There would continue to be no [email protected]. use of all-terrain vehicles authorized on Comments on the Draft CCP the refuge. SUPPLEMENTARY INFORMATION: In Comments on the draft CCP/EA for The Refuge would continue to protect accordance with the requirements of the Tetlin Refuge were solicited by the resources and property using a variety Federal Advisory Committee Act, 5 Service from October 3, 2007, through of fire management techniques U.S.C. App., we announce that the Sport January 18, 2008. During the public including prescribed burning, Fishing and Boating Partnership review and comment period the Service suppression, thinning, and wildland fire Council will hold a meeting on Friday, held public meetings in Fairbanks, use. The use of natural fire would be November 7, 2008. Northway, Tanacross, Tetlin, and Tok. emphasized with prescribed burns The Council was formed in January The planning team reviewed, analyzed, based only on specific project objectives 1993 to advise the Secretary of the and summarized all comments received (e.g. fuels reduction, habitat protection, Interior, through the Director, U.S. Fish at the public meetings and in writing. or fire effects research) and suppression and Wildlife Service, on nationally We received a number of comments to reduce potential for large-scale significant recreational fishing, boating, which supported plans for additional wildfires and to maintain long-term and aquatic resource conservation recreational opportunities and facilities, ecological health of refuge lands. issues. The Council represents the additional access to the Refuge, and that Natural fire would be the primary tool interests of the public and private all-terrain vehicle use be restricted. to maintain and enhance habitat. Native sectors of the sport fishing, boating, and Support was expressed for use of fisheries would be managed to maintain conservation communities and is natural fire management regimes, self-sustaining, healthy populations to organized to enhance partnerships restricted use of prescribed fire, and use contribute to the natural diversity in the among industry, constituency groups, of aggressive fire control only in or near Upper Tanana Valley; any new and government. The 18-member intensive use areas and around private reintroduction plans will be based on Council, appointed by the Secretary of inholdings. Several comments were historic distribution. the Interior, includes the Director of the made regarding management of fish and Service and the president of the wildlife populations-related specifically Dated: October 10, 2008. Thomas O. Melius, Association of Fish and Wildlife to invasive species, non-native species, Agencies, who both serve in ex officio predator control, and trophy fisheries. Regional Director, U.S. Fish and Wildlife Service, Anchorage, Alaska. capacities. Other Council members are Selected Alternative—Alternative B [FR Doc. E8–25283 Filed 10–22–08; 8:45 am] Directors from State agencies responsible for managing recreational Under the selected alternative, refuge BILLING CODE 4310–55–P lands would remain in their present fish and wildlife resources and management categories—about 564,300 individuals who represent the interests acres (82.7 percent) in Minimal DEPARTMENT OF THE INTERIOR of saltwater and freshwater recreational management, 116,600 acres (17.1 fishing, recreational boating, the percent) in Moderate management, and Fish and Wildlife Service recreational fishing and boating 1,700 acres (less than one percent) in [FWS–R9–EA–2008–N0266] industries, recreational fisheries Intensive management. Along with the resource conservation, Native American actions described under Alternative A, Sport Fishing and Boating Partnership tribes, aquatic resource outreach and the Refuge would pursue additional Council education, and tourism. Background management actions under Alternative information on the Council is available AGENCY: Fish and Wildlife Service, at http://www.fws.gov/sfbpc. B. The Refuge would work with the Interior. local community to seek formal The Council will convene to consider: ACTION: recognition of Tok as a ‘‘Gateway Notice of meeting. (1) The Council’s continuing role in Community’’ and to increase SUMMARY: We, Fish and Wildlife providing input to the Fish and Wildlife opportunities for environmental Service, announce a public meeting of Service on the Service’s strategic plan education, interpretation, and recreation the Sport Fishing and Boating for its Fisheries Program; (2) the off-Refuge and in support of or in Partnership Council (Council). Council’s work in addressing the issue conjunction with refuge programs. DATES: The meeting will be held on of boating and fishing access; (3) Opportunities for current and new Friday, November 7, 2008, from 8:30 methods for communicating public use would be promoted (canoe a.m. to 3:30 p.m. (Eastern Time). programmatic issues of interest to routes established and public outreach Members of the public wishing to incoming Department and Service would encourage use of administrative participate in the meeting must notify personnel; (4) the Council’s work to cabins); additional public use facilities Douglas Hobbs by close of business on assess the Sport Fish Restoration would be constructed, upgraded, or Friday, October 24, 2008, per Boating Access Program; (5) information established (additional hiking trails and instructions under SUPPLEMENTARY pertaining to Sport Fish Restoration and primitive campsites at Seaton INFORMATION. Boating Trust Fund; (6) the Council’s Roadhouse and sanitary facilities-in role in providing the Secretary with conjunction with the Alaska Department ADDRESSES: The meeting will be held at information about the implementation of Transportation—at highway the Hotel Monaco Alexandria, in the of the Strategic Plan for the National pullouts). The Refuge would upgrade or Athens Room, 480 King Street, Outreach and Communications establish additional access (to promote Alexandria, VA; telephone (703) 549– Program, authorized by the 1998 day-use near the Alaska Highway, to 6080. Sportfishing and Boating Safety Act, increase season of use at Lakeview and FOR FURTHER INFORMATION CONTACT: that is now being implemented by the Deadman Lake campgrounds, and to Douglas Hobbs, Council Coordinator, Recreational Boating and Fishing provide additional backcountry 4401 North Fairfax Drive, Mailstop Foundation, a private, nonprofit opportunities); and additional signing 3103–AEA, Arlington, VA 22203; organization; and (7) other Council (for interpretive pullouts and telephone (703) 358–2336; fax (703) business. The final agenda will be
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posted on the Internet at http:// DEPARTMENT OF THE INTERIOR Geographic Sciences, Bureau of Land www.fws.gov/sfbpc. Management (BLM), Nevada State Bureau of Indian Affairs Procedures for Public Input: Office, 1340 Financial Blvd., P.O. Box 12000, Reno, NV 89520, 775–861–6541. Interested members of the public may Indian Gaming submit relevant written or oral SUPPLEMENTARY INFORMATION: 1. The Plat of Survey of the following information for the Council to consider AGENCY: Bureau of Indian Affairs, described lands was officially filed at during the public meeting. Questions Interior. the Nevada State Office, Reno, Nevada, from the public will not be considered ACTION: Notice of Tribal–State Class III Gaming Amendment taking effect. on July 31, 2008: during this period. Speakers who wish The plat, in eleven sheets, to expand upon their oral statements or SUMMARY: This publishes notice of an representing the dependent resurvey of those who had wished to speak but Amendment to a Compact between the a portion of the south boundary, a could not be accommodated on the Pokagon Band of Potawatomi Indians portion of the subdivisional lines, a agenda are invited to submit written and the State of Michigan providing for portion of the Northern Line of the statements to the Council. the conduct of Tribal–State Class III Sutro Tunnel Grant and portions of Individuals or groups requesting an gaming by the Pokagon Band of certain mineral surveys, and the oral presentation at the public Council Potawatomi Indians taking effect. subdivision of sections 20, 27 and 28, meeting will be limited to 2 minutes per DATES: Effective Date: October 23, 2008. Township 17 North, Range 21 East, speaker, with no more than a total of 30 FOR FURTHER INFORMATION CONTACT: Mount Diablo Meridian, Nevada, under minutes for all speakers. Interested Paula L. Hart, Acting Director, Office of Group No. 736, was accepted July 29, 2008. parties should contact Douglas Hobbs, Indian Gaming, Office of the Deputy Assistant Secretary—Policy and This survey was executed to meet Council Coordinator, in writing certain administrative needs of the (preferably via e-mail), by Friday, Economic Development, Washington, DC 20240, (202) 219–4066. Bureau of Land Management. October 17, 2008, (see FOR FURTHER 2. The Plat of Survey of the following INFORMATION CONTACT) to be placed on SUPPLEMENTARY INFORMATION: Under described lands was officially filed at the public speaker list for this meeting. Section 11 of the Indian Gaming the Nevada State Office, Reno, Nevada, Written statements must be received by Regulatory Act of 1988 (IGRA), Public on September 5, 2008. Friday, October 24, 2008, so that the Law 100–497, 25 U.S.C. 2710, the The plat, in five sheets, representing information may be made available to Secretary of the Interior shall publish in the dependent resurvey of portions of the Council for their consideration prior the Federal Register notice of approved the south, east and north boundaries, a to this meeting. Written statements must Tribal–State compacts for the purpose of portion of the subdivisional lines and a engaging in Class III gaming activities be supplied to the Council Coordinator portion of the subdivision-of-section on Indian lands. This Amendment is in both of the following formats: One lines of section 5, the subdivision of entered into in connection with a sections 2, 3, 4, 11, 12 and 13, the hard copy with original signature, and unique set of circumstances resulting in one electronic copy via e-mail further subdivision of section 5, and a our decision to neither approve nor metes-and-bounds survey in section 5, (acceptable file format: Adobe Acrobat disapprove the Amendment within the PDF, WordPerfect, MS Word, MS Township 14 North, Range 27 East, 45-day statutory time frame. This Mount Diablo Meridian, Nevada, under PowerPoint, or Rich Text files in IBM– Amendment is in effect but only to the PC/Windows 98/2000/XP format). Group No. 837, was accepted September extent that it complies with the 3, 2008. In order to attend this meeting, you provisions of the Indian Gaming This survey was executed to meet must register by close of business Regulatory Act. certain administrative needs of the Friday, October 24, 2008. Pease submit Dated: October 14, 2008. Bureau of Indian Affairs. your name, time of arrival, e-mail George T. Skibine, 3. The Plat of Survey of the following address and phone number to Douglas Acting Deputy Assistant Secretary for Policy described lands was officially filed at Hobbs. Mr. Hobbs’ e-mail address is and Economic Development. the Nevada State Office, Reno, Nevada, [email protected], and his phone [FR Doc. E8–25208 Filed 10–22–08; 8:45 am] on September 26, 2008. The plat representing the dependent number is (703) 358–2336. BILLING CODE 4310–4N–P resurvey of a portion of the Fifth Summary minutes of the conference Standard Parallel South, on the south will be maintained by the Council DEPARTMENT OF THE INTERIOR boundary of Township 20 South, Coordinator at 4401 N. Fairfax Drive, through a portion of Range 62 East; and MS–3103–AEA, Arlington, VA 22203, Bureau of Land Management the dependent resurvey of a portion of and will be available for public the subdivisional lines and a portion of [NV–952–09–1420–BJ, 14X1109] inspection during regular business the subdivision-of-section lines of hours within 30 days following the Filing of Plats of Survey; Nevada section 2, the further subdivision of meeting. Personal copies may be section 2, and metes-and-bounds purchased for the cost of duplication. AGENCY: Bureau of Land Management. surveys in section 2, Township 21 Dated: October 2, 2008. ACTION: Notice. South, Range 62 East, Mount Diablo Meridian, Nevada, under Group No. Kenneth Stansell, SUMMARY: The purpose of this notice is 843, was accepted September 25, 2008. Acting Director. to inform the public and interested State This survey was executed to meet [FR Doc. E8–25266 Filed 10–22–08; 8:45 am] and local government officials of the certain administrative needs of the BILLING CODE 4310–55–P filing of Plats of Survey in Nevada. Bureau of Land Management. DATES: Effective Dates: Filing is effective 4. The Plat of Survey of the following at 10 a.m. on the dates indicated below. described lands was officially filed at FOR FURTHER INFORMATION CONTACT: the Nevada State Office, Reno, Nevada, David D. Morlan, Chief, Branch of on September 30, 2008.
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The plat, in seven sheets, representing the public for 60 days after the date the ACTION: Notice and request for the dependent resurvey of a portion of Environmental Protection Agency comments. the Idaho-Nevada State Line, from mile publishes this Notice of Availability. post 104 to mile post 111, the south Public meetings will occur at Kanab, SUMMARY: In compliance with the boundary, a portion of the east Utah; Flagstaff and Tusayan, Arizona. Paperwork Reduction Act of 1995, the boundary, the west boundary, a portion Specific meeting locations and dates Office of Surface Mining Reclamation of the subdivisional lines and the will be announced at a later time and and Enforcement (OSM) is announcing subdivision-of-section lines of certain available on the Web site identified that the information collection request sections, and the further subdivision of below. for 30 CFR 870—Abandoned Mine certain sections and a metes-and-bounds Reclamation Fund—Fee Collection and ADDRESSES: Information will be Coal Production Reporting and the form survey of lot 3 in section 26, Township available for public review and 47 North, Range 52 East, Mount Diablo OSM–1 has been forwarded to the Office comment online at http:// of Management and Budget (OMB) for Meridian, Nevada, under Group No. parkplanning.nps.gov/grca, in the Office 821, was accepted September 25, 2008. review and comment. The information of the Superintendent, Steve Martin, collection request describes the nature This survey was executed to meet P.O. Box 129, Grand Canyon, Arizona, certain administrative needs of the of the information collection and its 86023, 928–638–7945, or in the Office of expected burden and cost. Bureau of Indian Affairs. Planning and Compliance, Mary 5. The above-listed surveys are now DATES: OMB has up to 60 days to Killeen, P.O. Box 129, Grand Canyon, the basic record for describing the lands approve or disapprove the information Arizona, 86023, 928–638–7885. for all authorized purposes. These collections but may respond after 30 surveys have been placed in the open FOR FURTHER INFORMATION CONTACT: days. Therefore, public comments files in the BLM Nevada State Office Chris Marks, Project Lead Fire should be submitted to OMB by and are available to the public as a Management Plan, P.O. Box 129, Grand November 24, 2008, in order to be Canyon, Arizona, 86023, 928–606–1050, assured of consideration. matter of information. Copies of the _ surveys and related field notes may be Christopher [email protected]. ADDRESSES: Comments may be furnished to the public upon payment of SUPPLEMENTARY INFORMATION: If you submitted to the Office of Information the appropriate fees. wish to comment, you may submit your and Regulatory Affairs, Office of comments by any one of several Dated: October 14, 2008. Management and Budget, Department of methods. You may mail comments to the Interior Desk Officer, via e-mail at David D. Morlan, the Office of the Superintendent, ATTN: Chief Cadastral Surveyor, Nevada. [email protected], or by FMP Comments, P.O. Box 129, Grand facsimile to (202) 395–6566. Also, [FR Doc. E8–25224 Filed 10–22–08; 8:45 am] Canyon, Arizona 86023. You may also please send a copy of your comments to BILLING CODE 4310–HC–P comment via the Internet at http:// John A. Trelease, Office of Surface parkplanning.nps.gov/grca. Finally, you Mining Reclamation and Enforcement, may hand deliver comments to Grand DEPARTMENT OF THE INTERIOR 1951 Constitution Ave, NW., Room Canyon National Park at Park 202—SIB, Washington, DC 20240, or National Park Service Headquarters, Office of Planning and electronically to [email protected]. Compliance, 1 Village Loop, Grand Please reference 1029–0063 in your Fire Management Plan, Draft Canyon, Arizona 86023. Before correspondence. including your address, phone number, Environmental Impact Statement, FOR FURTHER INFORMATION CONTACT: To e-mail address, or other personal Grand Canyon National Park, AZ receive a copy of the information identifying information in your collection request, contact John Trelease AGENCY: National Park Service, comment, you should be aware that at (202) 208–2783. You may also contact Department of the Interior. your entire comment—including him at [email protected]. ACTION: Notice of Availability of the personal identifying information—may Draft Environmental Impact Statement be made publicly available at any time. SUPPLEMENTARY INFORMATION: The Office for the Fire Management Plan, Grand While you can ask us in your comment of Management and Budget (OMB) Canyon National Park. to withhold your personal identifying regulations at 5 CFR 1320, which information from public review, we implement provisions of the Paperwork SUMMARY: Pursuant to the National cannot guarantee that we will be able to Reduction Act of 1995 (Pub. L. 104–13), Environmental Policy Act of 1969, 42 do so. require that interested members of the U.S.C. 4332(2)(C), the National Park public and affected agencies have an Service announces the availability of a Dated: August 8, 2008. opportunity to comment on information Draft Environmental Impact Statement Michael D. Snyder, collection and recordkeeping activities for the Fire Management Plan for Grand Regional Director, Intermountain Region, [see 5 CFR 1320.8(d)]. OSM has Canyon National Park, Arizona. The National Park Service. submitted a request to OMB to renew its document describes and analyzes the [FR Doc. E8–24974 Filed 10–22–08; 8:45 am] approval for the collections of environmental impacts of several action BILLING CODE 4312–ED–M information found at 30 CFR 870, alternatives including the preferred Abandoned Mine Reclamation Fund— alternative for management of fire in Fee Collection and Coal Production Grand Canyon National Park. The DEPARTMENT OF THE INTERIOR Reporting and the form it implements, preferred alternative analyzes the use of the OSM–1, Coal Reclamation Fee Office of Surface Mining Reclamation prescribed fire, wildland fire use, Report. OSM is requesting a 3-year term and Enforcement suppression fire and manual and of approval for these information mechanical thinning. A no action Notice of Proposed Information collection activities. alternative was also evaluated. Collection for 1029–0063 An agency may not conduct or DATES: The National Park Service will sponsor, and a person is not required to accept comments on the Draft AGENCY: Office of Surface Mining respond to, a collection of information Environmental Impact Statement from Reclamation and Enforcement, Interior. unless it displays a currently valid OMB
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control number. The OMB control INTERNATIONAL TRADE metallization and products containing number for this collection of COMMISSION same by reason of infringement of claim information is 1029–0063. 1 of U.S. Patent No. 5,227,335. The [Investigation No. 337–TA–648] As required under 5 CFR 1320.8(d), a complaint named numerous Federal Register notice soliciting In the Matter of: Certain respondents including NXP B.V. of the comments on this collection of Semiconductor Integration Circuits Netherlands and Micronas information was published on July 30, Using Tungsten Metallization and Semiconductor Holding AG (‘‘Micronas 2008 (73 FR 44280). No comments were Products Containing Same; Notice of AG’’) of Switzerland. The complaint received. This notice provides the Commission Decision Not To Review further alleged that an industry in the public with an additional 30 days in an Initial Determination Granting a United States exists as required by which to comment on the following Motion To Amend the Complaint and subsection (a)(2) of section 337. On September 2, 2008, the information collection activities: Notice of Investigation Commission issued notice of its Title: 30 CFR 870—Abandoned Mine AGENCY: U.S. International Trade determination not to review an ID Reclamation Fund—Fee Collection and Commission. granting the motion of complainants, Coal Production Reporting. ACTION: Notice. NXP B.V., and proposed respondent OMB Control Number: 1029–0063. NXP Semiconductors USA, Inc. (‘‘NXP Summary: The information is used to SUMMARY: Notice is hereby given that Semiconductors’’) of San Jose, maintain a record of coal produced for the U.S. International Trade California to amend the complaint and sale, transfer, or use nationwide each Commission has determined not to notice of investigation to substitute NXP calendar quarter, the method of coal review an initial determination (‘‘ID’’) Semiconductors for NXP B.V. 73 FR removal and the type of coal, and the (Order No. 15) of the presiding 52064–65 (Sept. 9, 2008). On October 8, basis for coal tonnage reporting in administrative law judge (‘‘ALJ’’) 2008, the Commission issued notice of compliance with 30 CFR 870 and granting a motion to amend the its determination not to review an ID section 401 of Public Law 95–87. complaint and the notice of granting motion of complainants, Individual reclamation fee payment investigation in the above-captioned Micronas AG, and proposed respondent liability is based on this information. investigation to add five respondents. Micronas GmbH of Germany to amend Without the collection of information FOR FURTHER INFORMATION CONTACT: the complaint and notice of OSM could not implement its regulatory Clint Gerdine, Esq., Office of the investigation to substitute Micronas responsibilities and collect the fee. General Counsel, U.S. International GmbH for Micronas AG. 73 FR 61168– Bureau Form Number: OSM–1. Trade Commission, 500 E Street, SW., 69 (Oct. 15, 2008). On May 30, 2008, complainants Frequency of Collection: Quarterly. Washington, DC 20436, telephone (202) 708–2310. Copies of non-confidential moved to amend the complaint to add Description of Respondents: Coal documents filed in connection with this five additional respondents: (1) Dongbu mine permittees. investigation are or will be available for HiTek Semiconductor Business Total Annual Responses: 10,748. inspection during official business (‘‘Dongbu’’) of Korea; (2) Jazz Total Annual Burden Hours: 1,643. hours (8:45 a.m. to 5:15 p.m.) in the Semiconductor (‘‘Jazz’’) of Newport Beach, California; (3) Magnachip Send comments on the need for the Office of the Secretary, U.S. Semiconductor of Korea; (4) Qimonda collection of information for the International Trade Commission, 500 E AG (‘‘Qimonda’’) of Germany; and (5) performance of the functions of the Street, SW., Washington, DC 20436, Tower Semiconductor, Ltd. (‘‘Tower’’) agency; the accuracy of the agency’s telephone (202) 205–2000. General of Israel. burden estimates; ways to enhance the information concerning the Commission may also be obtained by accessing its On September 18, 2008, the ALJ quality, utility and clarity of the issued the subject ID (Order No. 15) information collection; and ways to Internet server at http://www.usitc.gov. The public record for this investigation granting the motion to amend to add the minimize the information collection additional respondents. On September burden on respondents, such as use of may be viewed on the Commission’s electronic docket (EDIS) at http:// 26, 2008, Jazz petitioned for review of automated means of collection of the the ID. On September 29, 2008, Dongbu, information, to the following address. edis.usitc.gov. Hearing-impaired persons are advised that information on Qimonda and Tower petitioned for Please refer to the appropriate OMB review of the ID. On October 3 and 6, control number in all correspondence. this matter can be obtained by contacting the Commission’s TDD 2008, the Commission investigative Before including your address, phone terminal on (202) 205–1810. attorney and complainants filed briefs number, email address, or other in opposition to respondents’ petitions. personal identifying information in your SUPPLEMENTARY INFORMATION: The The Commission has determined not comment, you should be aware that Commission instituted this investigation to review the subject ID. your entire comment, including your on May 21, 2008 based on a complaint The authority for the Commission’s personal identifying information, may filed on April 18, 2008 by LSI determination is contained in section be made publicly available at any time. Corporation of Milpitas, California and 337 of the Tariff Act of 1930, as While you can ask us in your comment Agere Systems Inc. of Allentown, amended, 19 U.S.C. 1337, and in to withhold your personal identifying Pennsylvania (collectively sections 210.14 and 210.42(c) of the information from public review, we ‘‘complainants’’). 73 FR 29534–35 (May Commission’s Rules of Practice and cannot guarantee that we will be able to 21, 2008). The complaint alleges Procedure, 19 CFR 210.14, 210.42(c). do so. violations of section 337 of the Tariff Act of 1930, as amended, 19 U.S.C. By order of the Commission. Dated: October 15, 2008. 1337, in the importation into the United Issued: October 17, 2008. John R. Craynon, States, the sale for importation, and the Marilyn R. Abbott, Chief, Division of Regulatory Support. sale within the United States after Secretary to the Commission. [FR Doc. E8–25123 Filed 10–22–08; 8:45 am] importation of certain semiconductor [FR Doc. E8–25227 Filed 10–22–08; 8:45 am] BILLING CODE 4310–05–M integrated circuits using tungsten BILLING CODE 7020–02–P
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DEPARTMENT OF JUSTICE 20044–7611 or by faxing a request to assuming all other eligibility criteria are Tonia Fleetwood, fax no. (202) 514– satisfied, claimants may satisfy this one- Notice of Lodging of Consent Decree 0097, phone confirmation number (202) year statutory requirement by Under the Comprehensive 514–1547. In requesting a copy please combining different periods of Environmental Response, refer to the referenced case and enclose employment in uranium mining, Compensation and Liability Act a check in the amount of $20.75 (25 uranium milling, and ore transporting. Under 28 CFR 50.7, notice is hereby cents per page reproduction costs), DATES: This notice is effective on given that on October 15, 2008, a payable to the U.S. Treasury. October 23, 2008. proposed consent decree was lodged in Robert E. Maher, Jr., FOR FURTHER INFORMATION CONTACT: United States v. MidAmerican Energy Assistant Section Chief, Environmental Gerard W. Fischer (Assistant Director), Co. and Iowa-Illinois Manor, LLC, Civil Enforcement Section, Environment and 202–616–4090 or Dianne S. Spellberg Action No. 08–416, in the United States Natural Resources Division. (Senior Counsel), 202–616–4129, District Court for the Southern District [FR Doc. E8–25236 Filed 10–22–08; 8:45 am] Constitutional and Specialized Tort of Iowa. BILLING CODE 4410–15–P Litigation Section, Torts Branch, Civil The United States sought, pursuant to Division. Sections 106 and 107 of the SUPPLEMENTARY INFORMATION: Comprehensive Environmental DEPARTMENT OF JUSTICE Response, Compensation and Liability Background [CIV Docket No. 109] Act (‘‘CERCLA’’), 42 U.S.C. 9606 & On October 5, 1990, Congress passed 9607, to recover costs incurred in Civil Division; Radiation Exposure the Radiation Exposure Compensation response to releases of hazardous Compensation Act: Allowance for Act. See also Claims Under the substances at the Iowa City Former Costs and Expenses; Combination of Radiation Exposure Compensation Act, Manufactured Gas Plant Superfund Site Work Histories 28 CFR 79 (2006). The Act offers an in Iowa City, Iowa (‘‘the Site’’), and to apology and monetary compensation to require the defendants, MidAmerican AGENCY: Civil Division, Department of individuals (or their survivors) who and Iowa-Illinois Manor, to perform Justice. have contracted certain cancers and EPA’s selected remedy at the Site. ACTION: Notice. other serious diseases following Under the terms of the proposed exposure to radiation released during consent decree, MidAmerican and Iowa- SUMMARY: The Department of Justice above-ground atmospheric nuclear Illinois Manor will perform the remedy (‘‘the Department’’) is publishing this weapons tests or following their for the Site as required in the proposed Notice to inform the public of two employment in the uranium production consent decree and pay $429,300.64 to matters related to the adjudication of industry during specified periods. On the Superfund in payment of the United claims filed under the Radiation July 10, 2000, the RECA Amendments of States’ unreimbursed response costs. In Exposure Compensation Act (‘‘RECA’’ 2000 were enacted, providing expanded return, the United States will grant or ‘‘the Act’’). First, in light of the Tenth coverage to individuals who developed MidAmerican and Iowa-Illinois Manor a Circuit Court decision in Hackwell v. one of the compensable diseases in the covenant not to sue under CERCLA with United States, 491 F.3d 1229 (10th Cir. Act, adding two new claimant categories respect to the Site. 2007), the Department will no longer (uranium millers and ore transporters), The Department of Justice will receive enforce its regulation concerning and lowering the amount of attorney’s for a period of thirty (30) days from the attorney’s fees whereby attorneys are fees from 10% of the lump sum date of this publication comments prohibited from receiving compensation award to 2% of the award relating to the proposed consent decree. reimbursement for expenses and costs in connection with the filing of an Comments should be addressed to the above the statutory fee limits specified initial claim. Assistant Attorney General, in the Act. The Notice further explains This unique program was designed as Environment and Natural Resources that the Department will not limit an alternative to litigation in that the Division, P.O. Box 7611, U.S. attorneys from receiving reimbursement statutory criteria do not require Department of Justice, Washington, DC for such expenses and costs from their claimants to establish causation. Rather, 20044–7611, and should refer to the clients, even when a claim is if the claimant can satisfy the proposed consent decree with unsuccessful. Finally, the Department requirements outlined in the statute, defendants MidAmerican and the Iowa intends to initiate a rulemaking to strike which include demonstrating that he or Manor in United States v. MidAmerican the existing regulation at § 79.74(b) and she contracted a compensable disease Energy Company and Iowa-Illinois revise the language, consistent with the after working or residing in a designated Manor, LLC, D.J. Ref. 90–11–3–09180. Court’s decision and this policy location for a specific period of time, he Public comments may be submitted by statement. or she qualifies for compensation. e-mail to the following e-mail address: Second, the Department has an Congress charged the Attorney General [email protected]. ongoing policy of combining uranium with responsibility for adjudicating The proposed consent decree may be industry work histories, consistent with claims under the Act. The Attorney examined at the Office of the United the plain language of the Act. By statute, General delegated this function to the States Attorney, 110 East Court Avenue, to be eligible for compensation as a Constitutional and Specialized Tort Des Moines, IA 50309. During the result of exposure to radiation due to Litigation Section of the Torts Branch of public comment period, the Consent employment in the uranium production the Civil Division of the United States Decree may be examined on the industry, a claimant must demonstrate Department of Justice. following Department of Justice Web that he or she was, for at least one year, site: http://www.usdoj.gov/enrd/ employed in a uranium mine, employed I. Attorney’s Fees and Costs Consent_Decrees.html. A copy may be in a uranium mill, or employed in the On July 10, 2000, Congress amended obtained upon request from the Consent transportation of uranium ore or RECA by lowering the permissible fee Decree Library, P.O. Box 7611, U.S. vanadium-uranium ore. This Notice limitation for attorneys from 10% to 2% Department of Justice, Washington, DC articulates the Department’s policy that, of the compensation award, in
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connection with the filing of an initial or experts retained by the attorney on On remand, plaintiffs sought an claim. Pursuant to the law, claimants behalf of the claimant or beneficiary, injunction against enforcement of the who were previously denied may receive from a claimant or regulation, which defendants opposed. compensation may re-file their claim up beneficiary no more than 2% of the total In its July 23, 2008 remand decision, the to three times. In cases where a claim award for all services rendered, district court granted the injunction and has been re-filed, Congress directed that including costs incurred, in connection directed that attorneys may recover attorneys may receive 10% of the with a successful claim. expenses and costs from their clients compensation award. Specifically, (3)(i) If an attorney entered into a even in regard to claims under the Act section 9 of RECA, titled ‘‘Attorney contract with the claimant or that are unsuccessful. beneficiary for services before July 10, Fees,’’ provides: Statement of Policy (a) General Rule. Notwithstanding any 2000, with respect to a particular claim, contract, the representative of an then that attorney may receive up to In light of the decision in Hackwell, individual may not receive, for services 10% of the total award for services the Department will not enforce its rendered in connection with the claim rendered, including costs incurred, in regulatory provision, 28 CFR 79.74(b), of an individual under this Act, more connection with a successful claim. prohibiting attorneys from receiving than that percentage specified in (ii) If an attorney resubmits a reimbursement for expenses and costs subsection (b) of a payment made under previously denied claim, then that from their clients in connection with this Act on such claim. attorney may receive up to 10% of the claims filed under the Radiation (b) Applicable Percentage Limitations. total award to the claimant or Exposure Compensation Act, in The percentage referred to in subsection beneficiary for services rendered, addition to the statutory attorney’s fee. (a) is— including costs incurred, in connection Moreover, attorneys may collect (1) 2 percent for the filing of an initial with that subsequently successful claim. expenses and costs regardless of claim; and Resubmission of a previously denied whether a claim is approved or denied. (2) 10 percent with respect to— claim includes only those claims that Finally, the Department intends to (A) any claim with respect to which were previously denied and refiled initiate a rulemaking to strike the a representative has made a contract for under the Act. existing regulation at 28 CFR 79.74(b) services before the date of the enactment (4) Any violation of paragraph (b) of and revise the language, consistent with of the Radiation Exposure this section shall result in a fine of not the Court’s decision in Hackwell and Compensation Act Amendments of more than $5,000. this policy statement. 2000; or Id. (emphasis added). The Department, in adopting a II. Combination of Employment for (B) a resubmission of a denied claim. Uranium Worker Claimants (c) Penalty. Any such representative regulation that included costs and who violates this section shall be fined expenses within the interpretation of The Department has been requested to not more than $5,000. the fee limitation for attorneys, sought publish its longstanding policy Source: 42 U.S.C. 2210 note (2006), to comply with the congressional intent regarding the combination of different Sec. 9 (emphasis added). in amending RECA as a whole. types of employment—mining, milling, In its implementation of the and ore transporting—to satisfy the The Hackwell Litigation amendments, the Department Act’s statutory one-year duration of determined that costs and expenses, On April 21, 2004, the plaintiff employment requirement. which primarily involved obtaining alleged that her co-plaintiff, a law firm, The Act provides compensation to medical tests and purchasing and had refused to represent her because of individuals exposed to radiation transmitting copies of documents the Department’s regulation, 28 CFR released during above-ground required for RECA claims, were 79.74(b), that limits attorney atmospheric nuclear weapons tests or to included within the meaning of compensation for representation of individuals exposed to radiation as a ‘‘services rendered in connection with claimants seeking to file a claim under result of their employment in the the claim of an individual under this RECA. The plaintiffs challenged the uranium production industry. With Act.’’ Accordingly, the Department regulation as contrary to the RECA respect to individuals employed in the promulgated regulations consistent with statute, an invalid preemption of state uranium production industry, the Act this interpretation of the statutory law, and a violation of the Fifth and specifically provides compensation for: language. Tenth Amendments. The district court (1) Individuals either exposed to 40 or On March 23, 2004, the Department dismissed the suit for failure to state a more working level months of radiation published a final rulemaking to claim, holding that the regulation was a while employed in a uranium mine or implement the ‘‘2000 Amendments.’’ ‘‘reasonable interpretation’’ of the employed for at least one year in a See 28 CFR 79 (2006). The regulation at statute and that the Department ‘‘did not uranium mine (‘‘miners’’); (2) § 79.74(b) states: exceed its statutory authority in individuals employed for at least one (b) Fees. implementing Congress’s compensation year in a uranium mill (‘‘millers’’); or (3) (1) Notwithstanding any contract, the limitation.’’ Hackwell, et al v. United individuals employed for at least one attorney of a claimant or beneficiary, States, et al., Civil Action No. 04–cv– year in the transport of uranium ore or along with any assistants or experts 00827–EWN (D. Colo. Sept. 28, 2005). vanadium-uranium ore from such a retained by the attorney on behalf of the On appeal, the Tenth Circuit held that mine or mill (‘‘ore transporters’’). claimant or beneficiary, may not receive the plain meaning of ‘‘services To be eligible for compensation under from a claimant or beneficiary any fee rendered’’ revealed Congress’s the Act as a miner, miller, or ore for services rendered, including costs unambiguous intent to exclude ‘‘costs transporter, the claimant must have incurred, in connection with an incurred’’ from the attorney fee been employed in that position at any unsuccessful claim. limitation and invalidated 28 CFR time during the period January 1, 1942 (2) Notwithstanding any contract and 79.74(b) as ‘‘contrary to the RECA’s to December 31, 1971. Additionally, the except as provided in paragraph (b)(3) of plain language.’’ Hackwell, 491 F.3d at claimant must have been employed as a this section, the attorney of a claimant 1241. The case was remanded to the miner, miller, or ore transporter in or beneficiary, along with any assistants district court for further proceedings. Colorado, New Mexico, Arizona,
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Wyoming, South Dakota, Washington, employment that include only milling • Evaluate the accuracy of the Utah, Idaho, North Dakota, Oregon, or and ore transporting. agency’s estimate of the burden of the Texas. Finally, all three categories of This Notice is intended to inform the proposed collection of information, uranium workers must have been public of the Department’s longstanding including the validity of the diagnosed with a compensable disease. policy regarding the calculation of the methodology and assumptions used; For all three categories of uranium referenced employment periods. In • Enhance the quality, utility, and workers (miners, millers, and ore addition, the Department will continue clarity of the information to be transporters), the Act specifies the to announce this policy at outreach collected; and following six compensable diseases: events and in communications with • Minimize the burden of the Primary cancer of the lung, fibrosis of claimants, counsel, and support groups. collection of information on those who the lung, pulmonary fibrosis, cor Dated: October 14, 2008. are to respond, including through the use of appropriate automated, pulmonale related to fibrosis of the Gregory G. Katsas, lung, silicosis, and pneumoconiosis. In electronic, mechanical, or other Assistant Attorney General, Civil Division. addition to those compensable diseases technological collection techniques or applicable to all three categories of [FR Doc. E8–25230 Filed 10–22–08; 8:45 am] other forms of information technology, uranium workers, the Act specifies the BILLING CODE 4410–12–P e.g., permitting electronic submission of following two additional compensable responses. diseases for claimants who were Agency: Occupational Safety and employed as millers and ore DEPARTMENT OF LABOR Health Administration. transporters (but not as miners): Primary Type of Review: Extension without renal cancer and chronic renal disease Office of the Secretary change of a previously approved including nephritis and kidney tubal collection. Submission for OMB Review: tissue injury. Title of Collection: Vinyl Chloride Comment Request Standard (29 CFR 1910.1017). Statement of Policy October 10, 2008. OMB Control Number: 1218–0010. Affected Public: Business or other for- The issue has been raised whether The Department of Labor (DOL) claimants can combine periods of profits. hereby announces the submission of the Estimated Number of Respondents: employment as a miner, miller, and ore following public information collection 32. transporter. In order to be eligible for requests (ICRs) to the Office of Estimated Total Annual Burden compensation, the Act requires Management and Budget (OMB) for Hours: 712. claimants to have been employed for review and approval in accordance with Estimated Total Annual Costs Burden: one year as a miner, miller, or ore the Paperwork Reduction Act of 1995 $48,928. transporter. In some instances, a (Pub. L. 104–13, 44 U.S.C. chapter 35). Description: The purpose of the claimant may have worked in separate A copy of each ICR, with applicable Department’s Vinyl Chloride Standard positions as a miner, miller, or ore supporting documentation; including at 29 CFR 1910.1017 and the transporter for less than one year, but among other things a description of the information collection requirements the claimant’s total, cumulative period likely respondents, proposed frequency contained therein is to provide of employment in these positions of response, and estimated total burden protection for employees from the exceeds one year. The question is may be obtained from the RegInfo.gov adverse effects associated with whether the Act’s eligibility criteria may Web site at http://www.reginfo.gov/ occupational exposure to vinyl chloride. be satisfied by such a combination of public/do/PRAMain or by contacting Employers must monitor employee periods of employment. Darrin King on 202–693–4129 (this is exposure, reduce employee exposure to The Department is publishing this not a toll-free number) / e-mail: within permissible exposure limits, and _ _ Notice to articulate its policy that DOL PRA [email protected]. provide medical examinations and other claimants can combine periods of Interested parties are encouraged to information to employees exposed to employment as miners, millers, and ore send comments to the Office of vinyl chloride. For additional transporters to meet the one-year Information and Regulatory Affairs, information, see the related 60-day requirement. For all three categories of Attn: OMB Desk Officer for the preclearance notice published in the uranium workers (mining, milling, and Occupational Safety and Health Federal Register at 73 FR 39050 on July ore transporting), the Act specifies six Administration (OSHA), Office of 8, 2008. PRA documentation prepared common diseases: Primary cancer of the Management and Budget, Room 10235, in association with the preclearance lung, fibrosis of the lung, pulmonary Washington, DC 20503, Telephone: notice is available on http:// fibrosis, cor pulmonale related to 202–395–7316 / Fax: 202–395–6974 www.regulations.gov under docket fibrosis of the lung, silicosis, and (these are not toll-free numbers), E-mail: number OSHA 2008–0021. _ pneumoconiosis. Therefore, in cases OIRA [email protected] within Agency: Occupational Safety and involving those six illnesses, the Act’s 30 days from the date of this publication Health Administration. exposure criteria can be satisfied by in the Federal Register. In order to Type of Review: Extension without combining periods of employment that ensure the appropriate consideration, change of a previously approved include mining, milling, and ore comments should reference the OMB collection. transporting. For millers and ore Control Number (see below). Title of Collection: Cotton Dust transporters (but not miners), the Act The OMB is particularly interested in (29 CFR 1910.1043). specifies two additional compensable comments which: OMB Control Number: 1218–0061. diseases: Primary renal cancer and • Evaluate whether the proposed Affected Public: Business or other for- chronic renal disease including collection of information is necessary profits. nephritis and kidney tubal tissue injury. for the proper performance of the Estimated Number of Respondents: In cases involving those two illnesses, functions of the agency, including 384. the Act’s exposure criteria can be whether the information will have Estimated Total Annual Burden satisfied by combining periods of practical utility; Hours: 35,742.
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Estimated Total Annual Costs Burden: Title of Collection: Servicing Multi- www.regulations.gov under docket $3,519,494. Piece and Single Piece Rim Wheels number OSHA 2008–0024. (29 CFR 1910.177). Description: The purpose of the Darrin A. King, Department’s Cotton Dust Standard at OMB Control Number: 1218–0219. Departmental Clearance Officer. 29 CFR 1910.1043 and the information Affected Public: Business or other for- [FR Doc. E8–25217 Filed 10–22–08; 8:45 am] collection requirements contained profits. BILLING CODE 4510–26–P therein is to provide protection for Estimated Number of Respondents: 8. employees from the adverse health Estimated Total Annual Burden effects associated with occupational Hours: 1. DEPARTMENT OF LABOR exposure to cotton dust. Employers Estimated Total Annual Costs Burden: must monitor employee exposure, $0. Office of the Secretary reduce employee exposure to within Description: The purpose of the permissible exposure limits, provide Department’s Standard for Servicing Submission for OMB Review: employees with medical examinations Multi-Piece and Single Piece Rim Comment Request and training, and establish and maintain Wheels at 29 CFR 1910.177 and the October 15, 2008. employee exposure monitoring and information collection requirements medical records. For additional The Department of Labor (DOL) contained therein is to reduce hereby announces the submission of the information, see the related 60-day employees’ risk of death or serious preclearance notice published in the following public information collection injury by ensuring that restraining request (ICR) to the Office of Federal Register at 73 FR 44774 on July devices used by them during the 31, 2008. PRA documentation prepared Management and Budget (OMB) for servicing of multi-piece rim wheels are review and approval in accordance with in association with the preclearance in safe operating condition. For notice is available on http:// the Paperwork Reduction Act of 1995 additional information, see the related (Pub. L. 104–13, 44 U.S.C. chapter 35). www.regulations.gov under docket 60-day preclearance notice published in number OSHA 2008–0015. A copy of this ICR, with applicable the Federal Register at 73 FR 45250 on supporting documentation; including Agency: Occupational Safety and August 4, 2008. PRA documentation among other things a description of the Health Administration. prepared in association with the likely respondents, proposed frequency Type of Review: Extension without preclearance notice is available on of response, and estimated total burden change of a previously approved http://www.regulations.gov under may be obtained from the RegInfo.gov collection. docket number OSHA 2008–0025. Web site at http://www.reginfo.gov/ Title of Collection: Acrylonitrile Agency: Occupational Safety and public/do/PRAMain or by contacting (29 CFR 1910.1045). Health Administration. Amy Hobby on 202–693–4553 (this is OMB Control Number: 1218–0126. Type of Review: Extension without not a toll-free number)/e-mail: Affected Public: Business or other for- change of a previously approved [email protected]. profits. collection. Interested parties are encouraged to Estimated Number of Respondents: Title of Collection: Shipyard send comments to the Office of 23. Employment Standards (29 CFR Information and Regulatory Affairs, Estimated Total Annual Burden 1915.113(b)(1) and 1915.172(d)). Attn: OMB Desk Officer for the Hours: 3,166. OMB Control Number: 1218–0220. Department of Labor, Office of Estimated Total Annual Costs Burden: Affected Public: Business or other for- Management and Budget, Room 10235, $180,946. profits. Washington, DC 20503, Telephone: Description: The Department’s Estimated Number of Respondents: 202–395–7316/Fax: 202–395–6974 (these are not toll-free numbers), E-mail: Acrylonitrile Standard at 29 CFR 639. _ 1910.1045 requires employers to Estimated Total Annual Burden OIRA [email protected] within monitor employee exposure to Hours: 3,137. 30 days from the date of this publication in the Federal Register. In order to acrylonitrile (AN), to provide medical Estimated Total Annual Costs Burden: ensure the appropriate consideration, surveillance, to train employees about $0. comments should reference the OMB the hazards of AN, and to establish and Description: The Department’s maintain accurate records of employee Control Number (see below). Standard for shackles and hooks The OMB is particularly interested in exposure to AN. These records will be (29 CFR 1915.113(b)(1)) requires that all comments which: used by employers, employees, hooks for which no applicable • Evaluate whether the proposed physicians, and the Government to manufacturer’s recommendations are collection of information is necessary ensure that employees are not harmed available be tested and that the for the proper performance of the by exposure to AN. For additional employer retain a certification record. functions of the agency, including information, see the related 60-day The Department’s Standard on portable whether the information will have preclearance notice published in the air receivers (29 CFR 1915.172(d)) practical utility; Federal Register at 73 FR 37987 on July requires that portable, unfired pressure • Evaluate the accuracy of the 2, 2008. PRA documentation prepared vessels be examined quarterly and agency’s estimate of the burden of the in association with the preclearance subjected to a yearly hydrostatic proposed collection of information, notice is available on http:// pressure test and that a certification including the validity of the www.regulations.gov under docket record be maintained. For additional methodology and assumptions used; number OSHA 2008–0014. information, see the related 60-day • Enhance the quality, utility, and Agency: Occupational Safety and preclearance notice published in the clarity of the information to be Health Administration. Federal Register at 73 FR 44775 on July collected; and Type of Review: Extension without 31, 2008. PRA documentation prepared • Minimize the burden of the change of a previously approved in association with the preclearance collection of information on those who collection. notice is available on http:// are to respond, including through the
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use of appropriate automated, Interested parties are encouraged to year follow-up with 2,431 Project GATE electronic, mechanical, or other send comments to the Office of program completers to enable ETA to technological collection techniques or Information and Regulatory Affairs, determine whether this finding persists other forms of information technology, Attn: OMB Desk Officer for the Dept of over time. e.g., permitting electronic submission of Labor—Employment and Training Darrin A. King, responses. Administration, Office of Management Agency: Office of the Assistant and Budget, Room 10235, Washington, Departmental Clearance Office. Secretary for Administration and DC 20503, Telephone: 202–395–7316 / [FR Doc. E8–25249 Filed 10–22–08; 8:45 am] Management. Fax: 202–395–6974 (these are not toll- BILLING CODE 4510–FN–P Type of Review: Extension without free numbers), E-mail: change of an existing OMB Control [email protected] within DEPARTMENT OF LABOR Number. 30 days from the date of this publication Title of Collection: Applicant in the Federal Register. In order to Employee Benefits Security Background Questionnaire. ensure the appropriate consideration, Administration OMB Control Number: 1225–0072. comments should reference the OMB Affected Public: Individuals or Control Number (see below). [Application No. D–11471] Households. The OMB is particularly interested in Notice of Proposed Amendment; Total Estimated Number of comments which: • Evaluate whether the proposed Prohibited Transaction Exemption Respondents: 20,500. (PTE) 99–34 Involving the Chase Total Estimated Annual Burden collection of information is necessary for the proper performance of the Manhattan Bank/JPMorgan Chase Hours: 1,608. Bank, National Association Description: The Applicant functions of the agency, including Background Questionnaire, which is whether the information will have AGENCY: Employee Benefits Security practical utility; completed voluntarily by job applicants, • Administration, U.S. Department of provides information on the applicants’ Evaluate the accuracy of the Labor. agency’s estimate of the burden of the gender, race or ethnicity, disability, and ACTION: Notice of proposed amendment proposed collection of information, the applicants’ source of recruitment to individual exemption. information for vacancy. This data will including the validity of the be used to evaluate the effectiveness of methodology and assumptions used; SUMMARY: This document contains a • Enhance the quality, utility, and various recruitment methods to tailor notice of pendency before the clarity of the information to be recruitment to meet equal employment Department of Labor (the Department) of collected; and opportunity objectives. For additional a proposed individual exemption, • Minimize the burden of the information, see related notice which, if granted, would amend PTE collection of information on those who published at 73 FR 43476 on July 25, 99–34 (64 FR 46419, August 25, 1999), are to respond, including through the 2008. an exemption granted to The Chase use of appropriate automated, Manhattan Bank (CMB). PTE 99–34 Darrin A. King, electronic, mechanical, or other permits the lending of securities to Departmental Clearance Officer. technological collection techniques or affiliates of The Chase Manhattan [FR Doc. E8–25247 Filed 10–22–08; 8:45 am] other forms of information technology, Corporation (CMC) by employee benefit BILLING CODE 4510–23–P e.g., permitting electronic submission of plans, including commingled responses. investment funds holding plan assets for Agency: Employment and Training which CMC affiliates act as directed DEPARTMENT OF LABOR Administration. trustee or custodian and securities Type of Review: Revision of an lending agent or subagent, and the Office of the Secretary existing OMB Control Number. receipt of compensation in connection Title of Collection: Project Gate. with the transactions. The amendment, Submission for OMB Review: OMB Control Number: 1205–0444. if granted, would apply to JPMorgan Comment Request Affected Public: Individuals or households. Chase Bank, National Association October 17, 2008. Total Estimated Number of (JPMCB), a successor organization to The Department of Labor (DOL) Respondents: 2,431. CMB, and would extend the provisions hereby announces the submission of the Total Estimated Annual Burden of PTE 99–34 to certain transactions following public information collection Hours: 1,216. with affiliates of the Bear Stearns request (ICR) to the Office of Total Estimated Annual Costs Burden: Companies Inc. (Bear Stearns). If Management and Budget (OMB) for $0. granted, the proposed amendment review and approval in accordance with Description: Project GATE is a would affect participants and the Paperwork Reduction Act of 1995 demonstration program designed to beneficiaries and fiduciaries of (Pub. L. 104–13, 44 U.S.C. chapter 35). assist individuals interested in self- employee benefit plans to which A copy of this ICR, with applicable employment to develop their affiliates of JPMCB act as securities supporting documentation, including businesses. To determine whether the lending agent or sub-agent and may also among other things a description of the program should be replicated on a larger act as custodian or directed trustee. likely respondents, proposed frequency scale, an evaluation has been conducted DATES: Effective Date: Except as of response, and estimated total burden and is in its final stage, OMB approved otherwise specified herein, the may be obtained from the RegInfo.gov an additional survey of 400 individuals amendment, if granted, will be effective Web site at http://www.reginfo.gov/ (Wave II), which was completed early in as of August 25, 1999. public/do/PRAMain or by contacting 2007. However, the analysis of Wave II DATES: Written comments and requests Mary Beth Smith-Toomey on 202–693– data did not indicate anticipated for a public hearing on the proposed 4223 (this is not a toll-free number) / e- improved earnings; therefore, ETA is exemption should be submitted to the mail [email protected]. requesting to conduct an identical 5- Department December 8, 2008.
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ADDRESSES: All written comments and FOR FURTHER INFORMATION CONTACT: in connection with changes in any of requests for a public hearing concerning Karen E. Lloyd, Office of Exemption the foregoing policies and procedures. the proposed exemption should be sent Determinations, Employee Benefits During such period, JPMCC had custody to the Office of Exemptions Security Administration, U.S. of and the immediate right to manage Determinations, Employee Benefits Department of Labor, Washington, DC the collateral pool (valued at $30 billion Security Administration, Room N–5700, 20210 at (202) 693–8554. This is not a as of March 14, 2008) that was being U.S. Department of Labor, 200 toll-free number. pledged as security for $29 billion in Constitution Avenue, NW., Washington, Summary of Facts and term financing from the Federal Reserve DC 20210, Attention: Application No. Representations: Bank of New York to facilitate the D–11471. Alternatively, interested 1. JPMCB is a national banking Merger, and related hedges. Subject to persons are invited to submit comments association with its principal place of the continued effectiveness of the or hearing requests to the Department by business in Columbus, Ohio, that is Guaranty (as defined below) and e-mail to [email protected] or by regulated by the Office of the JPMCC’s compliance with the terms facsimile at (202) 219–0204. Comptroller of the Currency. Among its thereof, JPMCC was entitled to oversee other business activities, JPMCB acts as the business, operations and SUPPLEMENTARY INFORMATION: Notice is trustee and custodian of employee management of Bear Stearns in its hereby given of the pendency before the benefit plans that are subject to ERISA, reasonable discretion. Bear Stearns also Department of a proposed exemption and of collective investment funds that agreed to refrain from taking certain that would amend PTE 99–34, originally serve as investment vehicles for ERISA actions without JPMCC’s consent. granted to CMB. CMB merged in plan assets. JPMCB is a wholly-owned 4. On March 24, 2008, JPMCC, in November 2001 with Morgan Guaranty subsidiary of JPMCC, a financial holding connection with the amendment to the Trust Company of New York to form company incorporated under Delaware Merger Agreement, entered into an JPMCB (together with its affiliates, the law and headquartered in New York, amended and restated guaranty Applicant). This followed the December New York. JPMCC is one of the largest agreement (the Guaranty), effective 31, 2000 merger of CMB’s parent banking institutions in the United retroactively from March 16, 2008, company, CMC, with JPMorgan & Co. States, with $1.6 trillion in assets, $123 which replaced the guaranty agreement Incorporated, to form JPMorgan Chase & billion in stockholders’ equity and entered into on March 16, 2008, in Co. (JPMCC). operations worldwide as of December connection with the Merger Agreement. This amendment, if granted, will be 31, 2007. Pursuant to the Guaranty, JPMCC agreed granted to JPMCB, as successor 2. On March 16, 2008, JPMCC and to guarantee certain credit and trading organization to CMB. As part of the Bear Stearns entered into an Agreement liabilities of Bear Stearns and certain of amendment, the names of other related and Plan of Merger, which was its operating subsidiaries to the extent corporate entities that were changed due subsequently amended as of March 24, such liabilities arise prior to the end of to the merger will be updated. For the 2008 (the Merger Agreement). The the specified ‘‘Guaranty Period’’ which sake of simplicity, the current names of Merger Agreement provided that, upon terminates 120 days after the closing of those entities will be used in the textual the terms and subject to the conditions the Merger on May 30, 2008. discussion of the existing provisions of set forth in the Merger Agreement, a 5. In addition, on March 24, 2008, PTE 99–34. newly-formed wholly-owned JPMCC Bear Stearns and JPMCC, in connection PTE 99–34 conditionally permits (1) subsidiary would merge with and into with entering into the amendment to the the lending of securities to affiliates of Bear Stearns, with Bear Stearns Merger Agreement, entered into a share JPMCC which are engaged in JPMCC’s continuing as the surviving corporation exchange agreement, under which capital markets line of business (referred and as a wholly-owned subsidiary of JPMCC agreed to purchase 95 million to herein as Global Capital Markets), by JPMCC (the Merger). The holders of Bear newly issued shares of Bear Stearns’ employee benefit plans, including Stearns common stock approved and common stock, or 39.5% of the commingled investment funds holding adopted the Merger Agreement at a outstanding shares of Bear Stearns’ Client Plan assets, for which JPMCC, special meeting of stockholders held on common stock after giving effect to the through its Investor Services line of May 29, 2008. Following the satisfaction issuance, in exchange for the issuance of business, as operated through JPMCB or waiver of the other conditions in the 20,665,350 shares of JPMCC common and its affiliates (Investor Services), acts Merger Agreement, the Merger became stock to Bear Stearns and the entry by as directed trustee or custodian, and for effective on May 30, 2008. JPMCC into the amendment to the which JPMCC through its Financing & 3. Pursuant to Section 5.1 of the Merger Agreement described above, an Market Products or any other similar Merger Agreement, prior to the effective amended and restated Guaranty as division of JPMCB or a U.S. affiliate of time of the Merger, each of JPMCC and described above and a guaranty in favor JPMCB (collectively, FMP) acts as Bear Stearns were required, among other of the New York Federal Reserve. The securities lending agent or sub-agent things, to use commercially reasonable share exchange was completed on April and (2) the receipt of compensation by efforts to maintain and preserve intact 8, 2008, following which JPMCC FMP in connection with the proposed its business organization and beneficially owned approximately transactions. advantageous business relationships. In 47.41% of the outstanding shares of the The Department is proposing this furtherance of the foregoing, Bear common stock of Bear Stearns (as amendment to PTE 99–34 pursuant to Stearns agreed to operate within its reported in JPMCC’s Amendment No. 2 section 408(a) of the Act and section existing credit, principal, market and to its Schedule 13D filed with the SEC 4975(c)(2) of the Code, and in other risk limits and comply with on April 9, 2008). accordance with the procedures set existing risk-related policies and Securities Lending Transactions forth in 29 CFR Part 2570, Subpart B (55 procedures. JPMCC had the right to 6. JPMCB represents that it is a FR 32836, 32847, August 10, 1990).1 oversee Bear Stearns in the setting of such limits in any and all respects, and provider of securities lending services to 1 Section 102 of Reorganization Plan No. 4 of pension plans and other institutional 1978 (5 U.S.C. App. at 214 [2000 ed.]) generally Treasury to issue exemptions under section investors, performing this service as an transferred the authority of the Secretary of the 4975(c)(2) of the Code to the Secretary of Labor. adjunct to its directed trustee and
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custody services or under a separate to proceed and JPMCC realized that approval condition. Therefore, JPMCB is relationship unrelated to its custody prohibited transaction issues would be seeking to amend PTE 99–34 to permit business. The purpose of securities raised as a result, JPMCC contacted the these conditions to be met retroactively lending is to obtain an additional return Department and worked with the for securities loans to the Bear Stearns on a plan’s investments by lending out Department to determine how best to Borrowers. The Applicants represent the securities held by the plan to broker- address these issues. that, if the existing securities loans dealers that require them, for example, While the Merger did not become between JPMCB as securities lending to cover short sales or trade settlements. effective until May 30, 2008, the agent for ERISA plans and Bear Stearns JPMCB offers a limited ‘‘indemnified’’ Applicant is concerned that JPMCC may Borrowers were terminated, the result program, whereby if the borrower be viewed as having ‘‘controlled’’ Bear would be disruptive to the plans and to defaults with insufficient collateral, Stearns prior to that date by reason of the securities lending market. JPMCB is obligated to make good the the control JPMCC was able to exercise 12. Upon consideration of the facts deficiency, thereby limiting customer over Bear Stearns under the provisions and representations, the Department risk. Borrowers provide collateral for the of the Merger Agreement and the proposes to amend PTE 99–34 effective securities loan in the form of securities Guaranty Agreement, which may have March 16, 2008, to permit securities or cash. caused its subsidiary JPMCB and the lending by client plans to Bear Stearns 7. Affiliates of Bear Stearns are major Bear Stearns Borrowers to be treated as Borrowers by JPMCC’s Financing & borrowers in JPMCB’s securities lending ‘‘affiliates’’ of each other. Market Products line of business (FMP) program, with approximately $10 10. PTE 2006–16 does not provide as securities lending agent or sub-agent, billion in securities loans outstanding as relief for securities lending transactions and the receipt by FMP of compensation of the last business day before the from the prohibitions of section 406(b) in connection therewith for the period Merger Agreement was signed (as of ERISA, which, in the Applicants’ from March 16, 2008, through April 15, applicable to both ERISA and non- view could be violated where the 2008, provided that no later than April ERISA accounts). The specific Bear securities lending agent, acting as a 15, 2008: (1) FMP provided the most Stearns affiliates with which JPMCB fiduciary on behalf of the plan in recently available audited and entered into securities loan making securities loans, is affiliated unaudited financial statements of Bear arrangements are Bear Stearns Securities with the securities borrower. One of Stearns Borrowers’ parent company to Corp. (as assignee under an agreement JPMCB’s predecessor entities, CMB, client plans, and (2) FMP furnished a with Bear Stearns & Company Inc.), Bear applied for exemptive relief to be able description of the general terms of the Stearns International Limited (UK) and to enter into securities loans with its securities loan agreements between such Bear Stearns International Trading affiliated broker-dealers, which was client plans and the Bear Stearns Limited (UK). They are collectively granted as PTE 99–34. Among the Borrowers in the form of copies of the referred to herein as the ‘‘Bear Stearns conditions of the exemption are that (i) standard forms of those agreements Borrowers.’’ JPMCC and its affiliates may not have or (FMP negotiates the specific terms of 8. JPMCB’s securities lending exercise discretionary or control or such agreements). The cover letter agreements with its client employee render investment advice with respect accompanying this disclosure package benefit plans authorize JPMCB, as to the investment of the assets involved notified the independent fiduciaries of securities lending agent for the plan, to in the transaction; (ii) the securities the client plans of their right to object loan securities to various borrowers on lending arrangement be approved in to the extension of securities loans to behalf of the plans. A list of approved advance by an independent fiduciary; the Bear Stearns Borrowers, and that if borrowers is appended to the securities (iii) the securities loan be at market rates the client plan objected, FMP (1) would lending agreements, and may be and on terms at least as favorable as cease making new loans to the Bear updated by JPMCB to add new arm’s-length terms; (iv) the most recent Stearns Borrowers immediately, and (2) borrowers upon notice to the plan, available audited and unaudited would work with the client plan to subject to the plan’s right to object statements of financial condition of the determine how to unwind existing loans within five business days to a potential client plans’ borrowers be received by to Bear Stearns Borrowers borrower. Therefore, under the terms of JPMCB and provided to the plans before expeditiously. Absent an objection their securities lending agreements, the entering into the loan agreements with within ten days of the notice, FMP plans that currently have securities those borrowers; (v) minimum collateral would treat the client plan as loans outstanding to Bear Stearns requirements be met; (vi) the client plan consenting to the continuation of Borrowers, and that would therefore be be indemnified against loss; and (vii) securities loans to Bear Stearns subject to the relief requested by certain indicia of ownership in the Borrowers. In the event of an objection, Applicants, have previously approved United States be maintained. Only loans on behalf of the objecting client such Bear Stearns Borrowers as client plans with at least $50 million in plan that are continuing or new loans borrowers. Prior to March 16, 2008, any assets are permitted to participate, with entered into after March 16, 2008 but such loans to the Bear Stearns a special rule applicable to master trusts prior to the objection, up to the date the Borrowers were typically made in and commingled funds. loans are unwound in a manner reliance on Prohibited Transaction 11. Given the unexpected timing of approved by the client plan, will still be Exemption 2006–16 (PTE 2006–16), 71 the Merger Agreement, JPMCB was not treated as covered by PTE 99–34, as FR 63786 (Oct. 31, 2006), because Bear able to meet all the requirements of PTE amended. Stearns, as a leading brokerage firm, is 99–34 necessary to cover loans to the 13. Additionally, Applicants state that likely to be a party in interest to any Bear Stearns Borrowers prior to the neither PTE 2006–16 nor PTE 99–34 large pension plan. Merger Agreement date. Specifically, it permits the lending of securities of a 9. The execution of the Merger had not provided advance disclosure of plan to an affiliate of the manager of the Agreement and related documents on the most recent available audited and plan’s portfolio of which those March 16, 2008, raised potential unaudited statements of financial securities are a part. Prior to the date of prohibited transaction issues in the condition for the Bear Stearns the Merger Agreement, this condition Applicants’ view. As soon as it became Borrowers to Client Plans, nor was it would not have prevented JPMCB from evident that the merger transaction was able to satisfy PTE 99–34’s advance lending securities managed by a JPMCB
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affiliate to a Bear Stearns Borrower. Client Plans by FMP, in the aggregate, return, permit investments such as Following the Merger Agreement, were to unrelated borrowers (as required commercial paper and repurchase however, the JPMCB asset managers by section II(q) of the exemption); and agreements. A more aggressive approach may be considered affiliated with the (4) Whether investment by the would permit medium term notes and Bear Stearns Borrowers. As a result, applicable client plan in the underlying corporate bonds. A factor in this Applicants are concerned that relief securities that were loaned was decision is whether the investor will under the exemptions would cease to be consistent with the investment have a frequent need to pull back available for loans of such securities to guidelines for the particular client plan securities from loans, in which case the those borrowers. account. The Independent Fiduciary associated collateral must be returned to 14. In response, the Department has will issue a written report presenting its the borrower unless it can be used to determined to propose an amendment to specific findings within 180 days of the collateralize another loan. Those PTE 99–34 under which the condition date of publication of this proposed investors with higher need for liquidity in section II(b) of PTE 99–34, that the amendment in the Federal Register. or higher turnover would authorize securities loaned to a borrower not be 17. The relief under the amendment shorter-term and less risky investments, subject to the discretionary authority or would be limited to securities loans to while those with a longer time horizon control of an affiliate of the borrower, ‘‘Bear Stearns Affiliates,’’ defined as The and less turnover—often the case for will not be imposed with respect to the Bear Stearns Companies Inc. and its employee benefit pension plans—would lending of securities by a client plan to affiliates as constituted on March 15, authorize longer-term and higher-risk a Bear Stearns Borrower for the 90-day 2008, the day before the Merger investments. period from March 16, 2008, through Agreement was entered into. This 21. As of March 14, 2008, the last June 14, 2008. definition will prevent the special relief business day before the JPMCC-Bear 15. This temporary relief would be from being available for securities loans Stearns merger agreement, subject to the condition that information to JPMCB affiliates other than those that approximately $1.1 billion of the cash as to whether a particular security is on may be treated as affiliated as a result collateral holdings for JPMCB ERISA loan to a Bear Stearns Borrower will not of the Merger Agreement with Bear securities lending accounts was be available to a JPMCB-affiliated Stearns. invested in secured and unsecured manager. FMP has assured compliance notes of Bear Stearns subsidiaries, as Investment of Cash Collateral with this condition by blocking the well as repurchase agreements with reporting of securities lending 18. As an additional service to those firms. Many of these investments transactions for client plans of JPMCB’s employee benefit plans, JPMCB will were issued under a master note that asset management affiliate through invest cash collateral received from permitted JPMCB to exercise a put right VIEWS, an electronic reporting facility, borrowing broker dealers. Collateral for to require Bear Stearns to redeem the so that JPMCB’s affiliate will not have securities loans generally can take the note. JPMCB exercised that put right access to information regarding the form of either securities or cash. If the prior to the date of the Merger identity of the borrowers of securities collateral is in the form of securities, the Agreement, so that the investments that are out on loan. Similarly, the borrower pays the lending plan a fee for under the master note matured and were Client Service and Operations teams the loan. If the collateral is in the form redeemed on June 13, 2008. The will not be permitted to provide such of cash, then the securities lending medium term notes will mature in July information through other media or agreement authorizes JPMCB to invest and December of 2008, and March and orally to the JPMCB affiliate. and reinvest the cash collateral in July of 2009 (collectively, Medium Term 16. Additionally, JPMCB has agreed to accordance with investment guidelines Notes). The repurchase agreements were retain an Independent Fiduciary to appended to the agreement, and the generally overnight and have by now review loans of securities that would compensation to the plan for the loan is matured. otherwise not be permitted by section based on the return that JPMCB is able 22. JPMCB requests relief for II(b) of PTE 99–34. The term to obtain on the investment of the cash. investment of client plan assets in a ‘‘Independent Fiduciary’’ will be 19. The return on cash collateral is $750 million advance paid to certain defined in section IV(f) of the typically divided into three parts. A subsidiaries of The Bear Stearns exemption. The Independent Fiduciary certain target return (a fixed rate such as Companies, Inc. The advance was made will conduct a Review (as defined in 5% or a variable rate such as the Fed pursuant to the Master Note Agreement section IV(f) of the exemption) of a Funds rate, as negotiated between the dated February 9, 2007 by and between representative sample of transactions for securities lending agent and the JPMCB as agent for a group of lending compliance with the following: (1) borrower) is paid over to the borrower, entities and The Bearn Stearns Whether allocation of the opportunity to and then the lending plan and JPMCB Companies Inc. subsidiaries (Master lend securities by the applicable client divide the remainder in an agreed-upon Note), which matured on June 13, 2008. plan account was in accordance with ratio, such as 80% to the plan and 20% The obligation was jointly held by JPMCB’s internal securities loan to JPMCB. JPMCB’s share serves as its several securities lending accounts, allocation procedures; (2) Whether the compensation for providing the including both ERISA plans and loan of securities by the client plan to securities lending services. JPMCB also commingled funds and non-ERISA Global Capital Markets was at market may invest cash collateral through investors. Of the $750 million total, rates and terms which were at least as collective investment funds, to achieve 10.13% was allocated to ERISA favorable to such client plan as if made the benefit of increased diversification. investors. As a condition of the at the same time and under the same 20. The permitted investments for exemption, JPMCB agreed to circumstances to an unrelated party (as securities lending cash collateral unconditionally guarantee repayment of required by section II(d) of the depend on what is approved by the the advance. exemption); (3) Whether with respect to client as part of the collateral The Department proposes to amend each successive two-week period, on investment guidelines. Some more PTE 99–34 to temporarily permit the average, at least 50 percent or more of conservative clients limit the permitted investment of client plan assets in the the outstanding dollar value of investments to U.S. Government Master Note. A new Section III will be securities loans negotiated on behalf of securities. Others, seeking a higher inserted and will replace the existing
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Section III. The Definitions section will is that regardless of their current for a plan to engage a securities lending be redesignated as Section IV. inability to meet a condition of the class agent that is not the plan’s trustee or 23. With respect to the Medium Term exemptions, relief for any prohibited custodian (or an affiliate thereof). Notes, the Applicants represent that transaction that would arise under Accordingly, the Applicant requests that there are four sets of notes, as follows: section 406(a) of ERISA should continue the language of the exemption be (1) Notes in the amount of $279.5 to be available, pursuant to section V(i) modified to cover relationships in million with a maturity date of July 14, of PTE 84–14 and section IV(h) of PTE which it (or an affiliate) serves only as 2008; (2) notes in the amount of $534 91–38, the ‘‘continuing transactions’’ securities lending agent and not also million with a maturity date of provisions of the exemptions. These trustee or custodian. The Applicant December 4, 2008; (3) notes in the conditions clarify the application of the requests that such language change be amount of $720 million with a maturity exemptions to continuing transactions, made retroactive to the original effective date of March 23, 2009; and (4) notes in and generally provide that if the date of the exemption. The Department the amount of $100 million with a requirements of the respective class has proposed the suggested maturity date of July 16, 2009. exemptions are satisfied at the time a modification. Applicants state that the amounts transaction is entered into or renewed, Application of Statutory Criteria represent the totals of each particular or would have become prohibited but bond issue held by JPMCB for securities for that exemption, they will continue to The Applicant represents that the lending cash collateral accounts, and be satisfied thereafter with respect to the requested amendment to PTE 99–34 the amounts specifically allocable to transaction. The Department concurs meets the statutory criteria under ERISA ERISA plans are less than the entire with Applicants’ analysis that relief section 408(a) as follows: amounts. under section 406(a) of ERISA would The requested exemption is 24. Applicants represent that the continue to be available under the administratively feasible because it Medium Term Notes are publicly-traded exemptions with respect to the public- would not impose any administrative Series B medium-term notes issued by traded Medium Term Notes. burdens on the Applicant or the The Bear Stearns Companies Inc. in 26. The Department has previously Department beyond those described in 2006 and 2007. All are floating rate cautioned with respect to section V(i) of JPMCB’s existing exemption, PTE 99– notes, with the floating rate based either PTE 84–14, ‘‘that, although Part I may 34. With respect to existing securities on the Federal Funds Open Rate (in the continue to be available for the entire loans, each of PTE 99–34’s current case of the first three) or LIBOR (in the term of a continuing transaction which conditions has been satisfied, except for case of the last one). None of the subsequently fails to satisfy one or more two conditions as to which the Medium Term Notes provide an option of the conditions of that Part, no relief Applicant proposes to comply on a for early redemption by the holder or an would be provided for an act of self- retroactive basis. In addition, the option for the holder to extend the dealing described in section 406(b)(1) of requested temporary relief for securities maturity date. The principal terms of ERISA if the QPAM has an interest in loans from managed assets will be the notes can be changed only by the the person which may affect the subject to conditions that are self- issuer, and then only with the consent exercise of its best judgment as a executing. The advance under the of two-thirds of the holders, or in some fiduciary.’’ 4 The Department urged Master Note for which relief was instances, only with the consent of all fiduciaries to take appropriate steps to requested has matured and was fully the holders. The applicant represents avoid engaging in 406(b) violations repaid as of Friday, June 13, 2008; that while there currently is a market for should circumstances change during the accordingly, Applicant states that the the Medium Term Notes, they are course of a continuing transaction. In Department will not have to monitor the trading at a discount. this regard, Applicants represent that implementation or enforcement of the 25. The investment by plans in the the terms of the Medium Term Notes are relief. Medium Term Notes may represent fixed from the standpoint of the Applicants represent that the transactions with a party in interest, as investors and do not allow for any exemption for securities loans is in the Bear Stearns entities are service renegotiation or early redemption. interests of the plan and its participants providers to many plans through their Accordingly, it is the Applicants’ and beneficiaries, as, if the existing brokerage activities. Prior to the Merger position that no 406(b) violation will securities loans between JPMCB as Agreement, Applicants relied on PTE occur with respect to the Medium Term securities lending agent for ERISA plans 2 3 and Bear Stearns Borrowers were 84–14 and PTE 91–38 for relief from Notes because there is no opportunity terminated, the result would be section 406(a) of ERISA with respect to for discretionary action on the part of disruptive to the plans and to the these transactions. PTE 84–14 and PTE the responsible fiduciary. 91–38 are class exemptions that provide securities lending market for the relief for a range of transactions between JPMCC as Custodian or Directed following reasons. First, the Bear plans and parties in interest, provided Trustee Stearns Borrowers may not be able to that the assets are managed, The Applicant notes that the return the securities immediately respectively, by a ‘‘qualified exempted transaction in PTE 99–34 is because of, among other things, the professional asset manager,’’ or as part described as involving plans for which inability of third parties to redeliver of a bank collective investment fund. JPMCC, through one of its lines of those securities to the applicable Bear Due to the Merger, however, Applicants business, including JPMCB, acts as Stearns Borrower or a scarcity of are not currently able to meet a directed trustee or custodian and for borrowing sources. Second, it may be condition present in each of the which it also operates through a difficult in the current market to exemptions, that the transactions not division as securities lending agent or immediately find borrowers for all the occur with a party ‘‘related to’’ the sub-agent. The Applicant represents that recalled securities, resulting in lost QPAM or an ‘‘affiliate’’ of the in the period since PTE 99–34 was income opportunities for the affected sponsoring bank. The Applicants’ view granted, it has become more common plans. Third, JPMCB may need to liquidate the investments in which it 2 70 FR 49305 (August 23, 2005). 4 Preamble to Proposed Amendment to PTE 84– has placed the cash collateral for the 3 56 FR 31966 (July 12, 1991). 14, 68 FR 52423 (September 3, 2003). loans so that it can return the cash to the
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Bear Stearns Borrowers. Since the cash asset managers will not have publication of this proposed collateral is invested mainly in short- information regarding which amendment in the Federal Register. term fixed-income securities and outstanding securities loans are to Bear General Information obligations that JPMCB had planned to Stearns Borrowers. Finally, the hold to maturity, but whose market requested exemption for investment of The attention of interested persons is value may be depressed because of plan assets in the Master Note advance directed to the following: current market conditions, liquidating would be protective of the rights of (1) The fact that a transaction is the the collateral at this time could result in participants and beneficiaries of the subject of an exemption granted under losses to the affected plans. affected plans because JPMCB, a large section 408(a) of the Act and/or The Master Note was a privately financial institution with a high credit 4975(c)(2) of the Internal Revenue Code negotiated lending arrangement between rating, has unconditionally guaranteed of 1986 (the Code) does not relieve a JPMCB as manager of securities lending the repayment of the advance under the fiduciary or other party in interest with cash collateral for various investors, Master Note. Furthermore, the advance respect to a plan to which the including ERISA plans, and certain Bear has, as of June 13, 2008, been repaid in exemption is applicable from certain Stearns entities. While the individual full. other provisions of the Act and/or the notes under the Master Note could, In summary, the Applicants represent Code. These provisions include any under their terms, be sold or transferred that the requested exemption will prohibited transaction provisions to with the consent of the Bear Stearns satisfy the statutory criteria of section which the exemption does not apply borrowers, there was no market for the 408(a) of ERISA and section 4975(c)(2) and the general fiduciary provisions of notes following the publicized problems of the Code for the following reasons: section 404 of the Act which, among with Bear Stearns’ financial solvency (A) The Applicant’s securities loans to other things, requires a fiduciary to that led to the merger agreement with Bear Stearns Borrowers have met the discharge his or her duties respecting JPMCC on March 16, 2008. Even if a sale conditions of PTE 99–34, except certain the plan solely in the interests of the might have been possible, it would disclosure and approval requirements participants and beneficiaries of the likely have been at a substantial under circumstances where it was not plan and in a prudent fashion in discount due to Bear Stearns’ feasible to obtain advance disclosures accordance with section 404(a)(1)(B) of circumstances, resulting in a loss to the and approvals due to the unexpected the Act; nor does it affect the investing plans. Holding the Master timing of the Merger Agreement’s requirement of section 401(a) of the Note advance to maturity was in the execution. Code that the plan must operate for the (B) Where disclosures were not interests of the affected plans because it exclusive benefit of the employees of provided in advance of a loan permitted them to realize the full value the employer maintaining the plan and transaction, the Applicant will furnish of the advance, including both principal their beneficiaries; and interest, without loss. Furthermore, such disclosures as soon after the (2) The proposed exemption, if even while they continued to hold Merger Agreement’s execution as it was granted, will be supplemental to, and interests in the Master Note advance, administratively feasible to do so. not in derogation of, any other they were not exposed to the risk of (C) While some loans would not provisions of the Act and/or Code, default by Bear Stearns’ financial comply with a condition of PTE 99–34 including statutory or administrative difficulties because, under the terms of because the underlying assets were exemptions and transitional rules. the proposed relief, repayment of the managed by a JPMCB affiliate, JPMCB Furthermore, the fact that a transaction Master Note advance was intends to terminate those loans within is subject to an administrative or unconditionally guaranteed by JPMCB, 90 days and in the interim to prevent which continued to have a high credit the affiliated manager from obtaining statutory exemption is not dispositive of rating. information regarding which securities whether the transaction is in fact a The requested amendment to PTE 99– are on loan to Bear Stearns Borrowers, prohibited transaction; 34 would be protective of the rights of thereby preventing any potential (3) The availability of this exemption, the participants and beneficiaries of the conflict of interest. if granted, is subject to the express affected plans because PTE 99–34, as (D) Permitting the securities loans to condition that the material facts and amended, would incorporate the Bear Stearns Borrowers to continue in representations contained in the safeguards that the Department has this fashion will avoid the need to application are true and complete and previously found to be protective. terminate the loans at a time of high accurately describe all material terms of JPMCB would continue to be subject to market volatility, which could result in the transaction which is the subject of the requirements of PTE 99–34, which investment losses and lost income this exemption. In the case of in turn, incorporates the procedural opportunities for the affected plans. continuing transactions, if any of the requirements of PTE 2006–16 and its material facts or representations predecessors Prohibited Transaction Notice to Interested Persons described in the application change, the Exemption 81–6, 46 Fed. Reg. 7527 (Jan. The applicant will distribute notice of exemption will cease to apply as of the 23, 1981) and Prohibited Transaction the proposed amendment by U.S. Postal date of such change. In the event of any Exemption 82–63, 47 Fed. Reg. 14804 Service to an independent plan such change, an application for a new (April 6, 1982). The only exception fiduciary for each plan currently exemption must be made to the would be the timing of when the utilizing Applicant’s securities lending Department; and information required to be provided by services that previously approved (4) Before an exemption may be PTE 99–34 is furnished regarding the making securities loans to Bear Stearns granted under section 408(a) of ERISA Bear Stearns Borrowers—the plan Borrowers. Notification will be mailed and section 4975(c)(2) of the Code, the fiduciaries will still receive the within 15 days after publication of this Department must find that the information. Furthermore, as described proposed amendment in the Federal exemption is administratively feasible, above, the requested temporary relief for Register. Any written comments and/or in the interests of the plan and of its securities loans from managed assets requests for a hearing must be received beneficiaries and protective of the rights will be subject to an automated system by the Department from interested or participants and beneficiaries of the block to assure that JPMCB-affiliated persons within 45 days of the plan.
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Written Comments and Hearing Section II. General Conditions Markets is effected, a Client Plan Requests (a) This exemption applies to loans of fiduciary which is independent of securities to Global Capital Markets, as Global Capital Markets must have— All interested persons are invited to (1) Authorized and approved a submit written comments and/or operated in the United States (J. P. Morgan Securities Inc., or the U.S. securities lending authorization requests for a public hearing on the Affiliated Borrower) and in the agreement with FMP, where FMP is pending exemption to the address, as set following foreign countries: the United acting as the securities lending agent; forth below, within the time frame, as (2) Authorized and approved the Kingdom (J. P. Morgan Securities Ltd.), set forth below. All comments and primary securities lending authorization Canada (J. P. Morgan Securities Canada agreement with the primary lending requests for a public hearing will be Inc.), Australia (J. P. Morgan Securities agent where FMP is lending securities made a part of the record. Comments Australia Limited), Japan (J. P. Morgan under a sub-agency agreement with the and hearing requests should state the Securities Japan Co. Ltd) (collectively, primary lending agent; 6 and reasons for the writer’s interest in the the Foreign Affiliated Borrowers). (3) Approved the general terms of the proposed exemption. A request for a Global Capital Markets will also include securities loan agreement (the Loan public hearing must also state the issues other companies or their successors Agreement) between such Client Plan to be addressed and include a general which are affiliated with either JPMCB and Global Capital Markets, the specific description of the evidence to be or JPMCC within these countries.5 terms of which are negotiated and presented at the hearing. Comments and (b) For each Client Plan, neither entered into by FMP. hearing requests received will also be Investor Services, Global Capital available for public inspection with the Notwithstanding the foregoing, Markets, FMP, nor any other division or section II(c)(3) shall be deemed satisfied referenced application at the address, as affiliate of JPMCC has or exercises set forth below. with respect to the lending of securities discretionary authority or control with by Client Plans to Bear Stearns Affiliates Proposed Exemption respect to the investment of the assets by FMP as securities lending agent or of Client Plans involved in the sub-agent for the period between March Based on the facts set forth in the transaction (other than with respect to 16, 2008, and April 15, 2008, provided application, and under the authority of the lending of securities designated by (i) FMP provided to such Client Plans section 408(a) of the Act and section an independent fiduciary of a Client no later than April 15, 2008, a 4975(c)(2) of the Code, and in Plan as being available to lend and the description of the general terms of the accordance with the procedures set investment of cash collateral after securities loan agreements between such forth in 29 CFR part 2570, subpart B (55 securities have been loaned and Client Plans and the Bear Stearns FR 32836, August 10, 1990), the collateral received), or renders Affiliates and (ii) at the time of Department proposes to modify PTE 99– investment advice (within the meaning providing such information, FMP 34 as set forth below: of 29 CFR 2510.3–21(c)) with respect to notified each Client Plan of the those assets, including decisions following: that it had 10 days to object JPMorgan Chase Bank, National concerning a Client Plan’s acquisition Association, located in Columbus, in writing to the continued lending of and disposition of securities available securities to the Bear Stearns Affiliates; Ohio for loan. if a written objection was received from (i) Notwithstanding the foregoing, for a Client Plan within the 10-day period, Section I. Covered Transactions the period from March 16, 2008, FMP would cease to make any new through June 14, 2008, section II(b) shall The restrictions of sections securities loans for that Client Plan to not apply to the lending of securities by 406(a)(1)(A) through (D) and 406(b)(1) Bear Stearns Affiliates; any securities a Client Plan to Bear Stearns Affiliates, and (2) of the Act and the sanctions loans made on behalf of that Client Plan provided that (i) no division or affiliate resulting from the application of section to Bear Stearns Affiliates prior to the of JPMCC that has discretionary 4975 of the Code, by reason of section date the objection is received shall be authority or control with respect to the 4975(c)(1)(A) through (E) of the Code, covered by this exemption, and FMP investment of the assets of the Client shall not apply to the lending of shall seek to expeditiously terminate Plan involved in the transaction, or securities to affiliates of JPMorgan Chase such securities loan in a manner renders investment advice (within the & Co. Inc. (JPMCC), which are engaged approved by the Client Plan. meaning of 29 CFR 2510.3–21(c)) with in JPMCC’s capital markets line of (d) Each loan of securities by a Client respect to those assets, has access to business (referred to herein as Global Plan to Global Capital Markets is at information regarding whether the Capital Markets), by employee benefit market rates and terms which are at particular securities have been loaned to plans (the Client Plans), including least as favorable to such Client Plan as a Bear Stearns Affiliate, and (ii) an commingled investment funds holding if made at the same time and under the Independent Fiduciary (as defined in Client Plan assets, for which JPMCC same circumstances to an unrelated section IV(f)) conducts a Review (as through its Financing & Market Products party. defined in section IV(g)) of Client Plan or any other similar division of JPMCB (e) The Client Plan may terminate the securities loans to Bear Stearns or a U.S. affiliate of JPMCC (collectively, agency or sub-agency arrangement at Affiliates and within 180 days of the FMP) acts as securities lending agent or any time without penalty to such Client date of publication of this proposed sub-agent, and for which JPMCC, Plan on five business days notice amendment in the Federal Register, through its Investor Services line of whereupon Global Capital Markets issues a written report presenting its Business, as operated through JPMCB delivers securities identical to the specific findings. and its affiliates (Investor Services), may borrowed securities (or the equivalent in (c) Before a Client Plan participates in also act as directed trustee or custodian, the event of reorganization, a securities lending program and before and (2) to the receipt of compensation any loan of securities to Global Capital by FMP in connection with the 6 The Department, herein, is not providing exemptive relief for securities lending transactions proposed transactions, provided the 5 Unless otherwise noted, Global Capital Markets engaged in by primary lending agents, other than general conditions set forth below in will consist collectively of the above referenced FMP, beyond that provided pursuant to PTE 2006– section II are met. entities. 16.
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recapitalization or merger of the issuer most recent financial statement be issued to cover securities lending by of the borrowed securities) to the Client furnished to the Client Plan. In the employee benefit plans). Plan within— event of any such changes, FMP (l) If Global Capital Markets defaults (1) The customary delivery period for requests approval of the Client Plan to on the securities loan or enters such securities; continue lending to Global Capital bankruptcy, the collateral will not be (2) Five business days; or Markets before making any such available to Global Capital Markets or its (3) The time negotiated for such additional loans. No new securities creditors, but will be used to make the delivery by the Client Plan and Global loans will be made until approval is Client Plan whole. In this regard, Capital Markets, whichever is less. received and each loan constitutes a (1) In the event a Foreign Affiliated (f) The Client Plan receives from representation by Global Capital Borrower defaults on a loan, JPMCB will Global Capital Markets (either by Markets that there has been no such liquidate the loan collateral to purchase physical delivery or by book entry in a material adverse change. identical securities for the Client Plan. securities depository located in the Notwithstanding the foregoing, If the collateral is insufficient to United States, wire transfer or similar section II(i) shall be deemed satisfied accomplish such purchase, JPMCB will means) by the close of business on or with respect to the lending of securities indemnify the Client Plan for any before the day the loaned securities are by Client Plans to Bear Stearns Affiliates shortfall in the collateral plus interest delivered to Global Capital Markets, by FMP as securities lending agent or on such amount and any transaction collateral consisting of cash, securities sub-agent for the period between March costs incurred (including attorney’s fees issued or guaranteed by the United 16, 2008, and April 15, 2008, provided of the Client Plan for legal actions States Government or its agencies or (i) FMP provided to such Client Plans arising out of the default on the loans or instrumentalities, or irrevocable United no later than April 15, 2008, the most failure to indemnify properly under this States bank letters of credit issued by a recently available audited and provision). Alternatively, if such U.S. bank, which is a person other than unaudited consolidated statements of identical securities are not available on Global Capital Markets or an affiliate the financial condition of the parent the market, FMP will pay the Client thereof, or any combination thereof, or company of the applicable Bear Stearns Plan cash equal to— other collateral permitted under PTE Affiliates and the parent company’s (i) The market value of the borrowed 2006–16 (as amended from time to time subsidiaries, and notice of any material securities as of the date they should or, alternatively, any additional or adverse change in financial condition have been returned to the Client Plan, superseding class exemption that may since the date of the most recent plus be issued to cover securities lending by financial statement being furnished to (ii) All the accrued financial benefits employee benefit plans), having, as of the Client Plans, and (ii) at the time of derived from the beneficial ownership the close of business on the preceding providing such information, FMP of such loaned securities as of such business day, a market value (or, in the notified each Client Plan of the date, plus case of a letter of credit, a stated following: That it had 10 days to object (iii) Interest from such date to the date amount) initially equal to at least the in writing to the continued lending of of payment. percentage required in PTE 2006–16 (as securities to the Bear Stearns Affiliates; The lending Client Plans will be amended from time to time) but in no if a written objection was received from indemnified in the United States for any case less than 102 percent of the market a Client Plan within the 10-day period, loans to the Foreign Affiliated value of the loaned securities. FMP would cease to make any new Borrowers. (g) If the market value of the collateral securities loans for that Client Plan to (2) In the event the U.S. Affiliated on the close of trading on a business day Bear Stearns Affiliates; any securities Borrower defaults on a loan, JPMCB will is less than 100 percent of the market loans made on behalf of that Client Plan liquidate the loan collateral to purchase value of the borrowed securities at the to Bear Stearns Affiliates prior to the identical securities for the Client Plan. close of business on that day, Global date the objection is received shall be If the collateral is insufficient to Capital Markets delivers additional covered by this exemption, and FMP accomplish such purchase, either collateral on the following day such that shall seek to expeditiously terminate JPMCB or the U.S. Affiliated Borrower the market value of the collateral again such securities loan in a manner will indemnify the Client Plan for any equals 102 percent or the percentage approved by the Client Plan. shortfall in the collateral plus interest otherwise required by 2006–16. (j) In return for lending securities, the on such amount and any transaction (h) The Loan Agreement gives the Client Plan either— costs incurred (including attorney’s fees Client Plan a continuing security (1) Receives a reasonable fee, which is of the Client Plan for legal actions interest in, title to, or the rights of a related to the value of the borrowed arising out of the default on the loans or secured creditor with respect to the securities and the duration of the loan; failure to indemnify property under this collateral and a lien on the collateral or provision). and FMP monitors the level of the (2) Has the opportunity to derive (m) The Client Plan receives the collateral daily. compensation through the investment of equivalent of all distributions made to (i) Before entering into a Loan cash collateral. (In the case of cash holders of the borrowed securities Agreement, Global Capital Markets collateral, the Client Plan may pay a during the term of the loan, including furnishes FMP the most recently loan rebate or similar fee to Global all interest, dividends and distributions available audited and unaudited Capital Markets if such fee is not greater on the loaned securities during the loan statements of the financial condition of than the fee the Client Plan would pay period. the applicable borrower within Global an unrelated party in a comparable (n) Prior to any Client Plan’s approval Capital Markets. Such statements are, in arm’s length transaction.) of the lending of its securities to Global turn, provided by FMP to the Client (k) All procedures regarding the Capital Markets, copies of the notice of Plan. At the time of the loan, Global securities lending activities conform to proposed exemption and the final Capital Markets gives prompt notice to the applicable provisions of PTE 2006– exemption are provided to the Client the Client Plan fiduciary of any material 16 (as amended from time, or Plan. adverse change in the borrower’s alternatively, any additional or (o) Each Client Plan receives a financial condition since the date of the superseding class exemption that may monthly report with respect to its
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securities lending transactions, (i) Has full investment responsibility jurisdiction nor sue the Foreign including but not limited to the with respect to plan assets invested Affiliated Borrower to realize on the information described in Representation therein; and indemnification; and 24 of the proposed exemption for PTE (ii) Has total assets under its (7) Prior to the transaction, each 99–34 (64 FR 34281, 6/25/99), so that an management and control, exclusive of Foreign Affiliated Borrower enters into independent fiduciary of the Client Plan the $50 million threshold amount a written agreement with FMP on behalf may monitor the securities lending attributable to plan investment in the of the Client Plan whereby the Foreign transactions with Global Capital commingled entity, which are in excess Affiliated Borrower consents to service Markets. of $100 million. of process in the United States and to (p) Only Client Plans with total assets (In addition, none of the entities the jurisdiction of the courts of the having an aggregate market value of at described above are formed for the sole United States with respect to the least $50 million are permitted to lend purpose of making loans of securities.) transactions described herein. securities to Global Capital Markets; (q) With respect to each successive (s) JPMCB or J.P. Morgan Securities provided, however, that— two week period, on average, at least 50 Inc. (JPMSI) maintains, or causes to be (1) In the case of two or more Client percent or more of the outstanding maintained within the United States for Plans which are maintained by the same dollar value of securities loans a period of six years from the date of employer, controlled group of negotiated on behalf of Client Plans by such transaction, in a manner that is corporations or employee organization FMP, in the aggregate, will be to convenient and accessible for audit and (i.e., the Related Client Plans), whose unrelated borrowers. examination, such records as are assets are commingled for investment (r) In addition to the above, all loans necessary to enable the persons purposes in a single master trust or any involving Foreign Affiliated Borrowers described in paragraph (t)(1) to other entity the assets of which are within Global Capital Markets have the determine whether the conditions of the ‘‘plan assets’’ under 29 CFR 2510.3–101 following supplemental requirements: exemption have been met, except that— (the Plan Asset Regulation), which (1) Such Foreign Affiliated Borrower (1) A prohibited transaction will not entity is engaged in securities lending is registered as a bank or broker-dealer be considered to have occurred if, due arrangements with Global Capital with— to circumstances beyond the control of Markets, the foregoing $50 million (i) The Financial Services Authority JPMCB or JPMSI, the records are lost or requirement shall be deemed satisfied if in the case of J.P. Morgan Securities destroyed prior to the end of the six year such trust or other entity has aggregate Ltd.; period; and assets which are in excess of $50 (ii) The Office of the Superintendent (2) No party in interest other than million; provided that if the fiduciary of Financial Institutions (OSFI), in the JPMCB or JPMSI shall be subject to the responsible for making the investment case of J.P. Morgan Securities Canada civil penalty that may be assessed under decision on behalf of such master trust Inc.; section 502(i) of the Act, or to the taxes or other entity is not the employer or an (iii) The Australian Securities & imposed by section 4975(a) and (b) of affiliate of the employer, such fiduciary Investments Commission in the case of the Code, if the records are not has total assets under its management J.P. Morgan Securities Australia Ltd.; maintained, or are not available for and control, exclusive of the $50 million and examination as required below by threshold amount attributable to plan (iv) The Financial Services Agency in paragraph (t)(1). investment in the commingled entity, the case of J.P. Morgan Securities Japan (t)(1) Except as provided in which are in excess of $100 million. Ltd. subparagraph (t)(2) of this paragraph (2) In the case of two or more Client (2) Such broker-dealer or bank is in and notwithstanding any provisions of Plans which are not maintained by the compliance with all applicable subsections (a)(2) and (b) of section 504 same employer, controlled group of provisions of Rule 15a–6 (17 CFR of the Act, the records referred to in corporations or employee organization 240.15a–6) under the Securities paragraph (s) are unconditionally (i.e., the Unrelated Client Plans), whose Exchange Act of 1934 (the 1934 Act) available at their customary location assets are commingled for investment which provides for foreign broker- during normal business hours by: purposes in a group trust or any other dealers a limited exemption from (i) Any duly authorized employee or form of entity the assets of which are United States registration requirements; representative of the Department, the ‘‘plan assets’’ under the Plan Asset (3) All collateral is maintained in Internal Revenue Service or the Regulation, which entity is engaged in United States dollars or dollar- Securities and Exchange Commission; securities lending arrangements with denominated securities or letters of (ii) Any fiduciary of a participating Global Capital Markets, the foregoing credit of U.S. banks or any combination Client Plan or any duly authorized $50 million requirement is satisfied if thereof, or other collateral permitted representative of such fiduciary; such trust or other entity has aggregate under PTE 2006–16 (as amended from (iii) Any contributing employer to any assets which are in excess of $50 time to time, or alternatively, any participating Client Plan or any duly million (excluding the assets of any additional or superseding class authorized employee representative of Client Plan with respect to which the exemption that may be issued to cover such employer; and fiduciary responsible for making the securities lending by employee benefit (iv) Any participant or beneficiary of investment decision on behalf of such plans); any participating Client Plan, or any group trust or other entity or any (4) All collateral is held in the United duly authorized representative of such member of the controlled group of States; participant or beneficiary. corporations including such fiduciary is (5) The situs of the Loan Agreement (t)(2) None of the persons described the employer maintaining such Plan or is maintained in the United States; above in paragraphs (t)(1)(ii)–(t)(1)(iv) of an employee organization whose (6) The lending Client Plans are this paragraph (t)(1) are authorized to members are covered by such Plan). indemnified by JPMCB in the United examine the trade secrets of JPMCB, the However, the fiduciary responsible for States for any transactions covered by U.S. Affiliated Borrowers, or the Foreign making the investment decision on this exemption with the Foreign Affiliated Borrowers or commercial or behalf of such group trust or other Affiliated Borrower so that the Client financial information which is entity— Plans do not have to litigate in a foreign privileged or confidential.
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Section III. Temporary Exemption for and its affiliates as constituted on March (iv) Whether investment by the Investment in Bear Stearns Master Note 15, 2008. applicable Client Plan in the underlying (f) The term ‘‘Independent Fiduciary’’ The restrictions of sections securities that were loaned was means a fiduciary who is independent 406(a)(1)(A) through (D) and sections consistent with the investment of and unrelated to JPMCB and Bear 406(b)(1) and (2) of the Act and the guidelines for the particular Client Plan Stearns Affiliates. For purposes of this sanctions resulting from the application account. exemption, a fiduciary will not be of section 4975 of the Code, by reason For a more complete statement of deemed to be independent of and of section 4975(c)(1)(A) through (E) of facts and representations supporting the unrelated to JPMCB and Bear Stearns the Code, shall not apply to the Department’s decision to grant PTE 99– Affiliates if: 34, refer to the proposed exemption (64 investment of securities lending (i) Such fiduciary directly or collateral by JPMCB, as the investment FR 34281, June 25, 1999) and the grant indirectly controls, is controlled by, or notice (64 FR 46419, August 25, 1999). manager of such collateral on behalf of is under common control with JPMCB the Client Plan or Collective Fund that or a Bear Stearns Affiliate; Signed at Washington, DC, this 17th day of has lent the securities, in the Bear (ii) Such fiduciary, or any officer, October, 2008. Stearns Master Note (as defined in director, partner, employee or relative of Ivan L. Strasfeld, paragraph (b) below), provided that the the fiduciary, is an officer, director, Director, Office of Exemption Determinations, condition set forth below in paragraph partner or employee of JPMCB or a Bear Employee Benefits Security Administration, (a) is met. Stearns Affiliate (or is a relative of such U.S. Department of Labor. (a) Repayment of the Bear Stearns persons); [FR Doc. E8–25235 Filed 10–22–08; 8:45 am] Master Note is unconditionally (iii) Such fiduciary directly or BILLING CODE 4510–29–P guaranteed by JPMCB. indirectly receives any compensation or (b) For purposes of this Section III, the other consideration for his or her own term ‘‘Bear Stearns Master Note’’ means personal account in connection with DEPARTMENT OF LABOR the $750 million Evergreen Advance any transaction described in this Mine Safety and Health Administration dated October 23, 2007, under the exemption, except that the Independent Master Note Agreement dated February Fiduciary may receive compensation Proposed Information Collection 9, 2007, by and between JPMCB as agent from JPMCB for acting as Independent Request; Submitted for Public for a group of lending entities and Fiduciary as contemplated herein if the Comment and Recommendations; Part certain subsidiaries of The Bear Stearns amount or payment of such 46—Training, Training Plans, and Companies Inc., which matured on June compensation is not contingent upon or Records; Sections 46.3, 46.5, 46.6, 13, 2008, and was paid in full. in any way affected by the Independent 46.7, 46.8, 46.9, and 46.11 Section IV. Definitions Fiduciary’s ultimate decision; or (iv) The annual gross revenue ACTION: Notice. For purposes of this exemption, received by such fiduciary, during any (a) The terms ‘‘JPMCB’’ and ‘‘JPMCC’’ year of its engagement, from JPMCB and SUMMARY: The Department of Labor, as as referred to herein in Sections I, II and Bear Stearns Affiliates exceeds five part of its continuing effort to reduce III, refer to JPMorgan Chase Bank, percent (5%) of the fiduciary’s annual paperwork and respondent burden National Association, and its parent, gross revenue from all sources for its conducts a pre-clearance consultation JPMorgan Chase & Co., Inc. prior tax year. program to provide the general public (b) The term ‘‘affiliate’’ means any (g) The term ‘‘Review’’ means a test by and Federal agencies with an entity now or in the future, directly or an Independent Fiduciary of a opportunity to comment on proposed indirectly, controlling, controlled by, or representative sample of transactions and/or continuing collections of under common control with JPMCC or falling under section II(b)(i) of this information in accordance with the its successors. (For purposes of this Exemption that is sufficient in size to Paperwork Reduction Act of 1995 definition, the term ‘‘control’’ means the afford the Independent Fiduciary a (PRA95) [44 U.S.C. 3506 (c)(2)(A)]. This power to exercise a controlling reasonable basis to make findings as to program helps to ensure that requested influence over the management or compliance with the following: data can be provided in the desired policies of a person other than an (i) Whether allocation of the format, reporting burden (time and individual.) opportunity to lend securities to the financial resources) is minimized, (c) The term ‘‘U.S. Affiliated applicable client plan account was in collection instruments are clearly Borrower’’ means an affiliate of JPMCC accordance with JPMCB’s internal understood, and the impact of collection that is a bank supervised by the United securities loan allocation procedures; requirements on respondents can be States or a State, or a broker-dealer (ii) Whether the loan of securities by properly assessed. registered under the 1934 Act. the Client Plan to Global Capital Currently, the Mine Safety and Health (d) The term ‘‘Foreign Affiliated Markets was at market rates and terms Administration (MSHA) is soliciting Borrower’’ means an affiliate of JPMCC which were at least as favorable to such comments concerning the proposed that is a bank or a broker-dealer which Client Plan as if made at the same time extension of the information collection is supervised by— and under the same circumstances to an related to the 30 CFR Sections 46.3, (i) The Financial Services Authority unrelated party (as required by section 46.5, 46.6, 46.7, 46.8, 46.9, and 46.11; in the United Kingdom; II(d) hereof); Training Plans, New Miner Training; (ii) OSFI in Canada; (iii) Whether with respect to each Newly-Hired Experienced Miner (iii) The Australian Securities & successive two-week period, on average, Training; New Task Training; Annual Investments Commission in Australia; at least 50 percent or more of the Refresher Training; Records of Training; and outstanding dollar value of securities and Site-Specific Hazard Awareness (iv) The Financial Services Agency in loans negotiated on behalf of Client Training. Japan. Plans by FMP, in the aggregate, were to (e) The term ‘‘Bear Stearns Affiliate’’ unrelated borrowers (as required by DATES: Submit comments on or before means The Bear Stearns Companies Inc. section II(q) of the exemption); and December 22, 2008.
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ADDRESSES: Send comments to U.S. comments on the plan to mine hazard training to non-miners, Department of Labor, Mine Safety and operators, or to the Regional Manager, as including the following persons: Health Administration, Debbie Ferraro, appropriate. The burden hours and costs Scientific workers; delivery workers and Management Services Division, 1100 of this provision are not borne by mine customers; occasional, short-term Wilson Boulevard, Room 2141, operators, but by miners and their maintenance or service workers, or Arlington, VA 22209–3939. Commenters representatives. manufacturers’ representatives; and are encouraged to send their comments Paragraph (g) requires that the miners’ outside vendors, visitors, office or staff on a computer disk, or via e-mail to representative must be provided with a personnel who do not work at the mine [email protected], along with an copy of the approved plan within one site on a continuing basis. original printed copy. Ms. Ferraro can week after approval. At mines where no II. Desired Focus of Comments be reached at (202) 693–9821 (voice), or miners’ representative has been (202) 693–9801 (facsimile). designated, a copy of the plan must be Currently, the Mine Safety and Health FOR FURTHER INFORMATION CONTACT: posted at the mine or a copy must be Administration (MSHA) is soliciting Contact the employee listed in the provided to each miner. comments concerning the proposed Paragraph (h) allows mine operators, ADDRESSES section of this notice. extension of the information collection miners, and miners’ representatives to requirement related to the training and SUPPLEMENTARY INFORMATION: appeal a decision of the Regional retraining of miners, training plans, and I. Background Manager in writing to the Director for records of training. MSHA is Education Policy and Development. The particularly interested in comments Paragraph (a) of § 46.3 requires mine Director would issue a decision on the that: operators to develop and implement a appeal within 30 days after receipt of • Evaluate whether the proposed written training plan approved by the appeal. collection of information is necessary MSHA that contains effective programs Paragraph (i) requires mine operators for the proper performance of the for training new miners and to make available at the mine site a copy functions of the agency, including experienced miners, training miners for of the current training plan for whether the information will have new tasks, annual refresher training, inspection by MSHA and for practical utility; and hazard training. examination by miners and their • Evaluate the accuracy of the Paragraph (b) requires the following representatives. If the training plan is agency’s estimate of the burden of the information, at a minimum, to be not maintained at the mine site, mine proposed collection of information, included in a training plan: operators must have the capability to including the validity of the (1) The company name, mine name, provide the plan upon request by methodology and assumptions used; and MSHA mine identification number; MSHA, miners, or their representatives. • Enhance the quality, utility, and (2) The name and position of the Paragraph (a) of § 46.5 requires mine clarity of the information to be person designated by the operator who operators to provide each new miner collected; and is responsible for the health and safety with no less than 24 hours of training. • Minimize the burden of the training at the mine. This person may be Miners who have not received the full collection of information on those who the operator; 24 hours of new miner training must are to respond, including through the (3) A general description of the work where an experienced miner can use of appropriate automated, teaching methods and the course observe that the new miner is working electronic, mechanical, or other materials that are to be used in in a safe manner. technological collection techniques or providing the training, including the Paragraph (a) of § 46.6 requires mine other forms of information technology, subject areas to be covered and the operators to provide each newly hired e.g., permitting electronic submissions approximate time to be spent on each experienced miner with certain training of responses. subject area; before the miner begins work. A copy of the proposed information (4) A list of the persons who will Paragraph (a) of § 46.7 requires, before collection request can be obtained by provide the training, and the subject a miner performs a task for which he or contacting the employee listed below in areas in which each person is competent she has no experience, that the mine the FOR FURTHER INFORMATION CONTACT to instruct; and operator train the miner in the safety section of this notice, or viewed on the (5) The evaluation procedures used to and health aspects and safe work Internet by accessing the MSHA home determine the effectiveness of training. procedures specific to that task. If page (http://www.msha.gov/) and Paragraph (c) requires a plan that does changes have occurred in a miner’s selecting ‘‘Rules and Regs’’, and then not include the minimum information regularly assigned task, the mine selecting ‘‘Fed Reg Docs.’’ specified in paragraph (b) to be operator must provide the miner with III. Current Actions approved by MSHA. For each size training that addresses the changes. category, the Agency estimates that 20 Paragraph (a) of § 46.8 requires, at USGS data show that domestic percent of mine operators will choose to least every 12 months, that the mine production of sand and gravel and write a plan and send it to MSHA for operator provide each miner with no crushed stone increased every year approval. less than 8 hours of refresher training. between 1991 and 1999, an indication of Paragraph (d) requires mine operators Paragraph (a) of § 46.9 requires the the continuing strong demand for to provide miners’ representatives with mine operators upon completion of each construction aggregates in the United a copy of the training plan. At mines training program, to record and certify States. The number of hours worked at where no miners’ representative has on MSHA Form 5000–23, or on a form sand and gravel and crushed stone been designated, a copy of the plan that contains the required information, operations has been increasing steadily must be posted at the mine or a copy that the miner has completed the since 1991. must be provided to each miner. training. False certification that training MSHA’s objective in these Paragraph (e) provides that within 2 was completed is punishable under requirements is to ensure that all miners weeks following receipt or posting of § 110(a) and (f) of the Act. receive the required training, which the training plan, miners or their Paragraph (a) of § 46.11 requires the would result in a decrease in accidents, representatives may submit written mine operator to provide site-specific injuries, and fatalities. Therefore, MSHA
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is continuing this requirement under 30 Clearance Officer, NASA Headquarters, They will also become a matter of CFR 46.3, 46.5, 46.6, 46.7, 46.8, 46.9, 300 E Street, SW., JB0000, Washington, public record. and 46.11. DC 20546, (202) 358–1350, Walter.Kit- Walter Kit, Type of Review: Extension. [email protected]. Agency: Mine Safety and Health NASA Clearance Officer. Administration. SUPPLEMENTARY INFORMATION: [FR Doc. E8–25199 Filed 10–22–08; 8:45 am] OMB Number: 1219–0131. I. Abstract BILLING CODE 7510–13–P Title: Part 46—Training, Training Plans, and Records; Sections 46.3, 46.5, This information collection is an 46.6, 46.7, 46.8, 46.9, and 46.11. application form to be considered for an NATIONAL AERONAUTICS AND Affected Public: Business or other for- undergraduate or graduate scholarship. SPACE ADMINISTRATION profit. Students are required to submit an [Notice: (08–081)] Total Respondents: 6,325. application package consisting of an Frequency: On occasion. application form, academic background, Notice of Information Collection Total Responses: 1,077,296. proposed area of study, curriculum vitae AGENCY: National Aeronautics and Estimated Total Burden Hours: or personal statement, three letters of Space Administration (NASA). 295,779 hours. reference, and an essay or research Estimated Total Burden Cost: proposal. ACTION: Notice of information collection. $493,634. II. Method of Collection SUMMARY: The National Aeronautics and Comments submitted in response to Space Administration, as part of its NASA will utilize a Web-based this notice will be summarized and/or continuing effort to reduce paperwork application form with instructions and included in the request for Office of and respondent burden, invites the other application materials also on-line. Management and Budget approval of the general public and other Federal All data will be collected via this Web- information collection request; they will agencies to take this opportunity to based application (separate under also become a matter of public record. comment on proposed and/or graduate and graduate forms) and unless Dated at Arlington, Virginia, this 17th day continuing information collections, as the user chooses to download the of October, 2008. required by the Paperwork Reduction application form and other application David L. Meyer, Act of 1995 (Pub. L. 104–13, 44 U.S.C. materials and mail them in. Director, Office of Administration and 3506(c)(2)(A)). Management. III. Data DATES: All comments should be [FR Doc. E8–25248 Filed 10–22–08; 8:45 am] submitted within 60 calendar days from Title: NASA Aeronautics Scholarship BILLING CODE 4510–43–P the date of this publication. Program. ADDRESSES: All comments should be OMB Number: 2700–0134. addressed to Dr. Walter Kit, National NATIONAL AERONAUTICS AND Type of Review: Revision of currently Aeronautics and Space Administration, SPACE ADMINISTRATION approved collection. Washington, DC 20546–0001. [08–080] Affected Public: Individuals. FOR FURTHER INFORMATION CONTACT: Estimated Number of Respondents: Requests for additional information or Notice of Information Collection 400. copies of the information collection instrument(s) and instructions should AGENCY: National Aeronautics and Estimated Time per Response: 1.0 hour. be directed to Dr. Walter Kit, NASA Space Administration (NASA). Clearance Officer, NASA Headquarters, ACTION: Notice of information collection. Estimated Total Annual Burden 300 E Street SW., JE0000, Washington, Hours: 400 hours. DC 20546, (202) 358–1350, Walter.Kit- SUMMARY: The National Aeronautics and Estimated Total Annual Cost: $0.00. [email protected]. Space Administration, as part of its continuing effort to reduce paperwork IV. Request for Comments SUPPLEMENTARY INFORMATION: and respondent burden, invites the Comments are invited on: (1) Whether I. Abstract general public and other Federal the proposed collection of information NASA’s Science Engineering agencies to take this opportunity to is necessary for the proper performance comment on proposed and/or Mathematics and Aerospace Academy of the functions of NASA, including (SEMAA) is a national education continuing information collections, as whether the information collected has required by the Paperwork Reduction project, which works with K–12 practical utility; (2) the accuracy of students and their families, that Act of 1995 (Pub. L. 104–13, 44 U.S.C. NASA’s estimate of the burden 3506(c)(2)(A)). employs hands-on, inquiry-based (including hours and cost) of the activities and emphasizes the benefits of DATES: All comments should be proposed collection of information; (3) STEM literacy. This data collection will submitted within 60 calendar days from ways to enhance the quality, utility, and help to assess SEMAA project the date of this publication. clarity of the information to be effectiveness and to provide data that ADDRESSES: All comments should be collected; and (4) ways to minimize the can inform decisions made by NASA addressed to Dr. Walter Kit, National burden of the collection of information leadership and local sites about project Aeronautics and Space Administration, on respondents, including automated modifications and implementation. Washington, DC 20546–0001. collection techniques or the use of other FOR FURTHER INFORMATION CONTACT: forms of information technology. II. Method of Collection Requests for additional information or Comments submitted in response to NASA will utilize a Web-based copies of the information collection this notice will be summarized and application form with instructions and instrument(s) and instructions should included in the request for OMB other application materials also on-line. be directed to Dr. Walter Kit, NASA approval of this information collection. All data will be collected via this Web-
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based application (separate under FOR FURTHER INFORMATION CONTACT: prescribed operating ranges. GDC 19 graduate and graduate forms) and unless Khoi Nguyen, U.S. Nuclear Regulatory requires that a control room be provided the user chooses to download the Commission, Washington, DC 20555– from which actions can be taken to application form and other application 0001, telephone: (301) 415–0701 or e- operate the nuclear power unit safely materials and mail them in. mail to [email protected]. under normal operating conditions. Data will be collected by means of a SUPPLEMENTARY INFORMATION: GDC 21 requires that the protection telephone survey with site directors and system be designed for high functional via paper surveys from applicants and I. Introduction reliability and inservice testability. GDC participants and their parents. The U.S. Nuclear Regulatory 22 requires that the protection system be Commission (NRC) has issued for public designed to ensure that the effects of III. Data comment a draft guide in the agency’s normal operating, maintenance, and Title: SEMAA (Science Engineering Regulatory Guide Series. This series has testing on redundant channels do not Mathematics and Aerospace Academy) been developed to describe and make result in the loss of the protection Program Evaluation. available to the public such information function. GDC 24 requires that OMB Number: 2700–XXXX. as methods that are acceptable to the interconnection of the protection and Type of review: New Collection. NRC staff for implementing specific control systems be limited to ensure that Affected Public: Individuals or parts of the NRC’s regulations, safety is not significantly impaired. households. techniques that the staff uses in Estimated Number of Respondents: evaluating specific problems or II. Further Information 2030. postulated accidents, and data that the The NRC staff is soliciting comments Estimated Number of Responses per staff needs in its review of applications on DG–1205. Comments may be Respondent: 2. for permits and licenses. accompanied by relevant information or Estimated Time per Response: 0.5 The draft regulatory guide (DG), supporting data and should mention hour. entitled, ‘‘Bypassed and Inoperable DG–1205 in the subject line. Comments Estimated Total Annual Burden Status Indication for Nuclear Power submitted in writing or in electronic Hours: 2030 hours. Plant Safety Systems,’’ is temporarily form will be made available to the Estimated Total Annual Cost: $0.00. identified by its task number, DG–1205, public in their entirety through the IV. Request for Comments which should be mentioned in all NRC’s Agencywide Documents Access related correspondence. DG–1205 is and Management System (ADAMS). Comments are invited on: (1) Whether proposed Revision 1 of Regulatory the proposed collection of information Personal information will not be Guide 1.47. removed from your comments. You may is necessary for the proper performance DG–1205 describes a method that the submit comments by any of the of the functions of NASA, including staff of the NRC considers acceptable for following methods: whether the information collected has use in complying with the NRC’s 1. Mail comments to: Rulemaking, practical utility; (2) the accuracy of regulations with respect to bypassed Directives, and Editing Branch, Office of NASA’s estimate of the burden and inoperable status indication for (including hours and cost) of the nuclear power plant safety systems. The Administration, U.S. Nuclear Regulatory proposed collection of information; (3) regulatory framework that the NRC has Commission, Washington, DC 20555– ways to enhance the quality, utility, and established for nuclear power plants 0001. clarity of the information to be consists of a number of regulations and 2. E-mail comments to: collected; and (4) ways to minimize the supporting guidelines applicable to [email protected]. burden of the collection of information bypassed and inoperable status 3. Hand-deliver comments to: on respondents, including automated indication, including, but not limited to, Rulemaking, Directives, and Editing collection techniques or the use of other General Design Criterion (GDC) 1, Branch, Office of Administration, U.S. forms of information technology. ‘‘Quality Standards and Records,’’ GDC Nuclear Regulatory Commission, 11555 Comments submitted in response to 13, ‘‘Instrumentation and Control,’’ GDC Rockville Pike, Rockville, Maryland this notice will be summarized and 19, ‘‘Control Room,’’ GDC 21, 20852, between 7:30 a.m. and 4:15 p.m. included in the request for OMB ‘‘Protection System Reliability and on Federal workdays. approval of this information collection. Testability,’’ GDC 22, ‘‘Protection 4. Fax comments to: Rulemaking, They will also become a matter of System Independence,’’ and GDC 24, Directives, and Editing Branch, Office of public record. ‘‘Separation of Protection and Control Administration, U.S. Nuclear Regulatory Systems,’’ as set forth in Appendix A, Commission at (301) 415–5144. Walter Kit, ‘‘General Design Criteria for Nuclear Requests for technical information NASA Clearance Officer. Power Plants,’’ to Title 10, Part 50, about DG–1205 may be directed to the [FR Doc. E8–25200 Filed 10–22–08; 8:45 am] ‘‘Domestic Licensing of Production and NRC contact, Khoi Nguyen at (301) 415– BILLING CODE 7510–13–P Utilization Facilities,’’ of the Code of 0701 or e-mail to [email protected]. Federal Regulations (10 CFR part 50). Comments would be most helpful if GDC 1 requires that structures, systems, received by December 22, 2008. NUCLEAR REGULATORY and components important to safety be Comments received after that date will COMMISSION designed and installed to quality be considered if it is practical to do so, standards commensurate with the but the NRC is able to ensure Draft Regulatory Guide: Issuance, importance-to-safety of the functions to consideration only for comments Availability be performed. GDC 13 requires that received on or before this date. AGENCY: Nuclear Regulatory appropriate controls be provided to Although a time limit is given, Commission. maintain variables and systems that can comments and suggestions in affect the fission process, the integrity of connection with items for inclusion in ACTION: Notice of Issuance and the reactor core, the reactor coolant guides currently being developed or Availability of Draft Regulatory Guide pressure boundary, and the containment improvements in all published guides (DG)–1205. and its associated systems within are encouraged at any time.
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Electronic copies of DG–1205 are The rule requires that the board of guidelines in 2003 when the rule was available through the NRC’s public Web directors of an R&D company seeking to adopted. We expect that newly formed site under Draft Regulatory Guides in rely on the safe harbor adopt an R&D companies would adopt the board the ‘‘Regulatory Guides’’ collection of appropriate resolution evidencing that resolution and investment guidelines the NRC’s Electronic Reading Room at the company is primarily engaged in a simultaneously with their formation http://www.nrc.gov/reading-rm/doc- non-investment business and record documents in the ordinary course of collections/. Electronic copies are also that resolution contemporaneously in its business.3 Therefore, we estimate that available in ADAMS (http:// minute books or comparable rule 3a–8 will not create additional time www.nrc.gov/reading-rm/adams.html), documents.1 An R&D company seeking burdens. under Accession No. ML082140114. to rely on the safe harbor must retain Written comments are invited on: (a) In addition, regulatory guides are these records only as long as such Whether the proposed collection of available for inspection at the NRC’s records must be maintained in information is necessary for the proper Public Document Room (PDR), which is accordance with state law. performance of the functions of the located at 11555 Rockville Pike, Rule 3a–8 contains an additional agency, including whether the Rockville, Maryland. The PDR’s mailing requirement that is also a collection of information will have practical utility; address is USNRC PDR, Washington, DC information within the meaning of the (b) the accuracy of the agency’s estimate 20555–0001. The PDR can also be PRA. The board of directors of a of the burden of the collection of reached by telephone at (301) 415–4737 company that relies on the safe harbor information; (c) ways to enhance the or (800) 397–4205, by fax at (301) 415– under rule 3a–8 must adopt a written quality, utility, and clarity of the 3548, and by e-mail to policy with respect to the company’s information collected; and (d) ways to [email protected]. capital preservation investments. We minimize the burden of the collection of Regulatory guides are not expect that the board of directors will information on respondents, including copyrighted, and Commission approval base its decision to adopt the resolution through the use of automated collection is not required to reproduce them. discussed above, in part, on investment techniques or other forms of information guidelines that the company will follow technology. Consideration will be given Dated at Rockville, Maryland, this 17 day to ensure its investment portfolio is in to comments and suggestions submitted of October 2008. compliance with the rule’s in writing within 60 days of this For the Nuclear Regulatory Commission. requirements. publication. Andrea D. Valentin, The collection of information Please direct your written comments Chief, Regulatory Guide Development Branch, imposed by rule 3a–8 is voluntary to Lewis W. Walker, Acting Director/ Division of Engineering, Office of Nuclear because the rule is an exemptive safe CIO, Securities and Exchange Regulatory Research. harbor, and therefore, R&D companies Commission, C/O Shirley Martinson, [FR Doc. E8–25292 Filed 10–22–08; 8:45 am] may choose whether or not to rely on it. 6432 General Green Way, Alexandria, BILLING CODE 7590–01–P The purposes of the information VA 22312; or send an e-mail to: PRA_ collection requirements in rule 3a–8 are [email protected]. to ensure that: (i) The board of directors Dated: October 16, 2008. of an R&D company is involved in J. Lynn Taylor, SECURITIES AND EXCHANGE determining whether the company Assistant Secretary. COMMISSION should be considered an investment company and subject to regulation [FR Doc. E8–25238 Filed 10–22–08; 8:45 am] Proposed Collection; Comment under the Act, and (ii) adequate records BILLING CODE 8011–01–P Request are available for Commission review, if necessary. Rule 3a–8 would not require Upon Written Request, Copies Available SECURITIES AND EXCHANGE the reporting of any information or the From: Securities and Exchange COMMISSION Commission, Office of Investor filing of any documents with the Education and Advocacy, Commission. Proposed Collection; Comment Washington, DC 20549–0213. Commission staff estimates that there Request is no annual recordkeeping burden Extension: associated with the rule’s requirements. Upon Written Request, Copies Available Rule 3a–8; SEC File No. 270–516; OMB Nevertheless, the Commission requests From: Securities and Exchange Control No. 3235–0574. authorization to maintain an inventory Commission, Office of Investor Notice is hereby given that pursuant of one burden hour for administrative Education and Advocacy, to the Paperwork Reduction Act of 1995 purposes. Washington, DC 20549–0213. (44 U.S.C. 3501 et seq.), the Securities Commission staff estimates that Extension: and Exchange Commission (the approximately 500 R&D companies may Rule 0–1, SEC File No. 270–472, OMB ‘‘Commission’’) is soliciting comments rely on rule 3a–8. Given that the board Control No. 3235–0531. on the collections of information resolutions and investment guidelines Notice is hereby given that, pursuant summarized below. The Commission will generally need to be adopted only to the Paperwork Reduction Act of 1995 plans to submit the existing collection once (unless relevant circumstances (44 U.S.C. 350l et seq.), the Securities 2 of information to the Office of change), the Commission believes that and Exchange Commission Management and Budget for extension all the companies that rely on rule (‘‘Commission’’) plans to submit to the and approval. 3a–8 adopted their board resolutions Office of Management and Budget a Rule 3a–8 (17 CFR 270.3a–8) of the and established written investment Investment Company Act of 1940 (15 3 In order for these companies to raise sufficient U.S.C. 80a) (the ‘‘Act’’), serves as a 1 Rule 3a–8(a)(6) (17 CFR 270.3a–8(6)). capital to fund their product development stage, we nonexclusive safe harbor from 2 In the event of changed circumstances, the believe they will need to present potential investors Commission believes that the board resolution and with investment guidelines. Investors would want investment company status for certain investment guidelines will be amended and to be assured that the company’s funds are invested research and development companies recorded in the ordinary course of business and consistent with the goals of capital preservation and (‘‘R&D companies’’). would not create additional time burdens. liquidity.
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request for extension of the previous ‘‘independent legal counsel.’’ This estimate that each of these 1376 funds approved collection of information requirement was added because would be required to spend, on average, discussed below. independent directors can better 0.75 hours annually to comply with the The Investment Company Act of 1940 perform the responsibilities assigned to recordkeeping requirement associated (the ‘‘Act’’) 1 establishes a them under the Act and the rules if they with this determination, for a total comprehensive framework for regulating have the assistance of truly independent annual burden of approximately 1032 the organization and operation of legal counsel. hours. Based on this estimate, the total investment companies (‘‘funds’’). A If the board’s counsel has represented annual cost for all funds’ compliance principal objective of the Act is to the fund’s investment adviser, principal with this rule is approximately protect fund investors by addressing the underwriter, administrator (collectively, $145,168. To calculate this total annual conflicts of interest that exist between ‘‘management organizations’’) or their cost, the Commission staff assumed that funds and their investment advisers and ‘‘control persons’’ 6 during the past two approximately two-thirds of the total other affiliated persons. The Act places years, rule 0–1 requires that the board’s annual hour burden (688 hours) would significant responsibility on the fund independent directors make a be incurred by compliance staff with an board of directors in overseeing the determination about the adequacy of the average hourly wage rate of $180 per operations of the fund and policing the counsel’s independence. A majority of hour,9 and one-third of the annual hour relevant conflicts of interest.2 the board’s independent directors are burden (344 hours) would be incurred In one of its first releases, the required to reasonably determine, in the by clerical staff with an average hourly Commission exercised its rulemaking exercise of their judgment, that the wage rate of $62 per hour.10 authority pursuant to sections 38(a) and counsel’s prior or current representation These burden hour estimates are 40(b) of the Act by adopting rule 0–1 (17 of the management organizations or based upon the Commission staff’s 3 CFR 270.0–1). Rule 0–1, as their control persons was sufficiently experience and discussions with the subsequently amended on numerous limited to conclude that it is unlikely to fund industry. The estimates of average occasions, provides definitions for the adversely affect the counsel’s burden hours are made solely for the terms used by the Commission in the professional judgment and legal purposes of the Paperwork Reduction rules and regulations it has adopted representation. Rule 0–1 also requires Act. These estimates are not derived pursuant to the Act. The rule also that a record for the basis of this from a comprehensive or even a contains a number of rules of determination is made in the minutes of representative survey or study of the construction for terms that are defined the directors’ meeting. In addition, the costs of Commission rules. either in the Act itself or elsewhere in independent directors must have Written comments are invited on: (a) the Commission’s rules and regulations. obtained an undertaking from the Whether the collection of information is Finally, rule 0–1 defines terms that counsel to provide them with the necessary for the proper performance of serve as conditions to the availability of information necessary to make their the functions of the Commission, certain of the Commission’s exemptive determination and to update promptly including whether the information has rules. More specifically, the term that information when the person begins practical utility; (b) the accuracy of the ‘‘independent legal counsel,’’ as defined to represent a management organization Commission’s estimate of the burdens of in rule 0–1, sets out conditions that or control person, or when he or she the collection of information; (c) ways to funds must meet in order to rely on any enhance the quality, utility, and clarity materially increases his or her of ten exemptive rules (‘‘exemptive of the information collected; and (d) representation. Generally, the rules’’) under the Act.4 ways to minimize the burdens of the independent directors must reevaluate The Commission amended rule 0–1 to collection of information on their determination no less frequently include the definition of the term respondents, including through the use than annually. ‘‘independent legal counsel’’ in 2001.5 of automated collection techniques or Any fund that relies on one of the This amendment was designed to other forms of information technology. exemptive rules must comply with the enhance the effectiveness of fund boards Consideration will be given to requirements in the definition of of directors and to better enable comments and suggestions submitted in ‘‘independent legal counsel’’ under rule investors to assess the independence of writing within 60 days of this 0–1. We assume that approximately those directors. The Commission also publication. 4128 funds rely on at least one of the amended the exemptive rules to require 7 Please direct your written comments that any person who serves as legal exemptive rules annually. We further to Lewis W. Walker, Acting Director/ counsel to the independent directors of assume that the independent directors CIO, Securities and Exchange any fund that relies on any of the of approximately one-third (1376) of exemptive rules must be an those funds would need to make the organizations or control persons. In both required determination in order for their circumstances, it would not be necessary for the fund’s independent directors to make a 1 15 U.S.C. 80a. counsel to meet the definition of 8 determination about their counsel’s independence. 2 For example, fund directors must approve independent legal counsel. We 9 The estimated hourly wages used in this PRA investment advisory and distribution contracts. See analysis were derived from reports prepared by the 6 15 U.S.C. 80a–15(a), (b), and (c). A ‘‘control person’’ is any person—other than a Securities Industry and Financial Markets 3 Investment Company Act Release No. 4 (Oct. 29, fund—directly or indirectly controlling, controlled Association. See Securities Industry and Financial 1940) (5 FR 4316 (Oct. 31, 1940)). Note that rule 0– by, or under common control, with any of the Markets Association, Report on Management and 1 was originally adopted as rule N–1. fund’s management organizations. See 17 CFR Professional Earnings in the Securities Industry— 4 The relevant exemptive rules are: rule 10f–3 (17 270.01(a)(6)(iv)(B). 2007 (2007), modified to account for an 1800-hour CFR 270.10f–3), rule 12b–1 (17 CFR 270.12b–1), 7 Based on statistics compiled by Commission work year and multiplied by 5.35 to account for rule 15a–4(b)(2) (17 CFR 270.15a–4(b)(2)), rule 17a– staff, we estimate that there are approximately 4586 bonuses, firm size, employee benefits and overhead; 7 (17 CFR 270.17a–7), rule 17a–8 (17 CFR 270.17a– funds that could rely on one or more of the and Securities Industry and Financial Markets 8), rule 17d–1(d)(7) (17 CFR 270.17d–1(d)(7)), rule exemptive rules. Of those funds, we assume that Association, Office Salaries in the Securities 17e–1(c) (17 CFR 270.17e–1(c)), rule 17g–1 (17 CFR approximately 90 percent (4128) actually rely on at Industry—2007 (2007), modified to account for an 270.17g–1), rule 18f–3 (17 CFR 270.18f–3), and rule least one exemptive rule annually. 1800-hour work year and multiplied by 2.93 to 23c–3 (17 CFR 270.23c–3). 8 We assume that the independent directors of the account for bonuses, firm size, employee benefits 5 See Role of Independent Directors of Investment remaining two-thirds of those funds will choose not and overhead. Companies, Investment Company Act Release No. to have counsel, or will rely on counsel who has 10 (688 x $180/hour) + (344 x $62/hour) = 24816 (Jan. 2, 2001) (66 FR 3735 (Jan. 16, 2001)). not recently represented the fund’s management $145,168).
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Commission, c/o Shirley Martinson, enters into a purchase or sale relevant transactions were made in 6432 General Green Way, Alexandria, transaction with an affiliated person, the compliance with the company’s policies VA 22312; or send an e-mail to: rule requires the fund to compile and and procedures. The rule generally [email protected]. maintain written records of the imposes a minimal burden of collecting 1 Dated: October 16, 2008. transaction. The Commission’s and storing records already generated for other purposes.6 The staff estimates J. Lynn Taylor, examination staff uses these records to evaluate for compliance with the rule. that the burden related to making these Assistant Secretary. While most funds do not commonly records and for the board to review all [FR Doc. E8–25244 Filed 10–22–08; 8:45 am] engage in transactions covered by rule transactions would be 3 hours annually BILLING CODE 8011–01–P 17a–7, the Commission staff estimates for each respondent, (2 hours spent by that nearly all funds have adopted compliance attorneys and 1 hour spent procedures for complying with the by the board of directors) 7 or 3033 total SECURITIES AND EXCHANGE rule.2 Of the approximately 3891 hours each year.8 COMMISSION currently active funds, the staff Based on these estimates, the staff estimates the combined total annual Proposed Collection; Comment estimates that virtually all have already burden hours associated with rule 17a– Request adopted procedures for compliance with rule 17a–7. This is a one-time burden, 7 is 3633 hours.9 The staff also estimates Upon Written Request, Copies Available and the staff therefore does not estimate that there are approximately 1161 From: Securities and Exchange an ongoing burden related to the respondents and 8238 total responses.10 Commission, Office of Investor policies and procedures requirement of The estimates of burden hours are Education and Advocacy, the rule for funds.3 The staff estimates made solely for the purposes of the Washington, DC 20549–0213. that there are approximately 150 new Paperwork Reduction Act, and are not derived from a comprehensive or even Extension: funds that register each year, and that Rule 17a–7; SEC File No. 270–238; OMB each of these funds adopts the relevant a representative survey or study of the Control No. 3235–0214. polices and procedures. The staff costs of Commission rules. The collection of information required by Notice is hereby given that, pursuant estimates that it takes approximately 4 hours to develop and adopt these rule 17a–7 is necessary to obtain the to the Paperwork Reduction Act of 1995 benefits of the rule. Responses will not (44 U.S.C. 3501–3520), the Securities policies and procedures, as follows; 3 hours spent by a compliance attorney, be kept confidential. An agency may not and Exchange Commission conduct or sponsor, and a person is not (‘‘Commission’’) is soliciting comments and 1 hour collectively spent by the board of directors. Therefore, the total required to respond to, a collection of on the collections of information information unless it displays a summarized below. The Commission annual burden related to developing and adopting these policies and currently valid control number. plans to submit the existing collection Written comments are invited on: (a) procedures would be approximately 600 of information to the Office of Whether the collections of information hours.4 Management and Budget for extension are necessary for the proper and approval. Of the 3891 existing funds, the staff assumes that approximately 25% (or performance of the functions of the Rule 17a–7 (17 CFR 270.17a–7) (the Commission, including whether the ‘‘rule’’) under the Investment Company 973), enter into transactions affected by rule 17a–7 each year (either by the fund information has practical utility; (b) the Act of 1940 (15 U.S.C. 80a–1 et seq.) accuracy of the Commission’s estimate (the ‘‘Act’’) is entitled ‘‘Exemption of directly or through one of the fund’s series), and that the same percentage of the burdens of the collections of certain purchase or sale transactions information; (c) ways to enhance the between an investment company and (25%, or 38 funds) of the estimated 150 funds that newly register each year will quality, utility, and clarity of the certain affiliated persons thereof.’’ It information collected; and (d) ways to provides an exemption from section also enter into these transactions, for a total of 1011 5 companies that are 17(a) of the Act for purchases and sales 6 Commission staff believes that rule 17a–7 does of securities between registered affected by the recordkeeping not impose any costs associated with record investment companies (‘‘funds’’), that requirements of rule 17a–7. These funds preservation in addition to the costs that funds are affiliated persons (‘‘first-tier must keep records of each of these already incur to comply with the record transactions, and the board of directors preservation requirements of rule 31a–2 under the affiliates’’) or affiliated persons of Act. Rule 31a–2 requires companies to preserve affiliated persons (‘‘second-tier must quarterly determine that all certain records for specified periods of time. affiliates’’), or between a fund and a 7 The staff estimates that funds that rely on rule 1 first- or second-tier affiliate other than The written records are required to set forth a 17a–7 annually enter into an average of 8 rule 17a– description of the security purchased or sold, the 7 transactions each year. The staff estimates that the another fund, when the affiliation arises identity of the person on the other side of the compliance attorneys of the companies spend solely because of a common investment transaction, and the information or materials upon approximately 15 minutes per transaction on this adviser, director, or officer. Rule 17a–7 which the board of directors’ determination that the recordkeeping, and the board of directors spends a requires funds to keep various records transaction was in compliance with the procedures total of 1 hour annually in determining that all was made. transactions made that year were done in in connection with purchase or sale 2 Unless stated otherwise, these estimates are compliance with the company’s policies and transactions effected in reliance on the based on conversations with the examination and procedures. rule. The rule requires the fund’s board inspections staff of the Commission and fund 8 This estimate is based on the following of directors to establish procedures representatives. calculation: (3 hours × 1011 companies = 3033 3 reasonably designed to ensure that the Based on our reviews and conversations with hours). fund representatives, we understand that funds 9 This estimate is based on the following rule’s conditions have been satisfied. rarely, if ever, need to make changes to these calculations: (600 hours + 3033 hours = 3633 total The board is also required to determine, policies and procedures once adopted, and hours). at least on a quarterly basis, that all therefore we do not estimate a paperwork burden 10 This estimate is based on the following affiliated transactions effected during for such updates. calculations: (150 newly registered funds + 1011 4 This estimate is based on the following funds that engage in rule 17a–7 transactions = the preceding quarter in reliance on the calculations: (4 hours × 150 = 600 hours). 1161); (1011 funds that engage in rule 17a–7 rule were made in compliance with 5 This estimate is based on the following transactions × 8 times per year = 8088); (8088 + 150 these established procedures. If a fund calculation: (973 + 38 = 1011). = 8238 responses).
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minimize the burdens of the collections Authority, Inc. (‘‘FINRA’’), International the Act, or by Commission or SRO of information on respondents, Securities Exchange, LLC (‘‘ISE’’), The rules. 9 When an SRO has been named including through the use of automated NASDAQ Stock Market, LLC as a common member’s DEA, all other collection techniques or other forms of (‘‘NASDAQ’’), National Stock Exchange, SROs to which the common member information technology. Consideration Inc. (‘‘NSX’’), New York Stock Exchange belongs are relieved of the responsibility will be given to comments and LLC (‘‘NYSE’’), NYSE Arca Inc. (‘‘NYSE to examine the firm for compliance with suggestions submitted in writing within Arca’’), NYSE Regulation, Inc. (acting the applicable financial responsibility 60 days of this publication. under authority delegated to it by rules. On its face, Rule 17d–1 deals only Please direct your written comments NYSE) (‘‘NYSE Regulation’’), and with an SRO’s obligations to enforce to Lewis W. Walker, Acting Director/ Philadelphia Stock Exchange, Inc. member compliance with financial CIO, Securities and Exchange (‘‘Phlx’’) (collectively, ‘‘Participating responsibility requirements. Rule 17d–1 Commission, C/O Shirley Martinson, Organizations’’ or ‘‘Parties’’) concerning does not relieve an SRO from its 6432 General Green Way, Alexandria, the surveillance, investigation, and obligation to examine a common VA 22312; or send an e-mail to: enforcement of insider trading rules. member for compliance with its own [email protected]. rules and provisions of the federal I. Introduction Dated: October 16, 2008. securities laws governing matters other Section 19(g)(1) of the Act,3 among than financial responsibility, including J. Lynn Taylor, other things, requires every self- sales practices and trading activities and Assistant Secretary. regulatory organization (‘‘SRO’’) practices. [FR Doc. E8–25245 Filed 10–22–08; 8:45 am] registered as either a national securities To address regulatory duplication in BILLING CODE 8011–01–P exchange or national securities these and other areas, the Commission association to examine for, and enforce adopted Rule 17d–2 under the Act.10 compliance by, its members and persons Rule 17d–2 permits SROs to propose SECURITIES AND EXCHANGE associated with its members with the joint plans for the allocation of COMMISSION Act, the rules and regulations regulatory responsibilities with respect [Release No. 34–58806; File No. 4–566] thereunder, and the SRO’s own rules, to their common members. Under unless the SRO is relieved of this paragraph (c) of Rule 17d–2, the Program for Allocation of Regulatory responsibility pursuant to Section Commission may declare such a plan Responsibilities Pursuant to Rule 17d– 17(d) 4 or Section 19(g)(2) 5 of the Act. effective if, after providing for notice 2; Notice of Filing and Order Without this relief, the statutory and comment, it determines that the Approving and Declaring Effective an obligation of each individual SRO could plan is necessary or appropriate in the Amendment to the Plan for the result in a pattern of multiple public interest and for the protection of Allocation of Regulatory examinations of broker-dealers that investors, to foster cooperation and Responsibilities Among the American maintain memberships in more than one coordination among the SROs, to Stock Exchange LLC, BATS Exchange, SRO (‘‘common members’’). Such remove impediments to, and foster the Inc., Boston Stock Exchange, Inc., regulatory duplication would add development of, a national market Chicago Board Options Exchange, unnecessary expenses for common system and a national clearance and Inc., Chicago Stock Exchange, Inc., members and their SROs. settlement system, and is in conformity Financial Industry Regulatory Section 17(d)(1) of the Act 6 was with the factors set forth in Section Authority, Inc., International Securities intended, in part, to eliminate 17(d) of the Act. Commission approval Exchange, LLC, The NASDAQ Stock unnecessary multiple examinations and of a plan filed pursuant to Rule 17d–2 Market LLC, National Stock Exchange, regulatory duplication.7 With respect to relieves an SRO of those regulatory Inc., New York Stock Exchange, LLC, a common member, Section 17(d)(1) responsibilities allocated by the plan to NYSE Arca Inc., NYSE Regulation, Inc., authorizes the Commission, by rule or another SRO. and Philadelphia Stock Exchange, Inc. order, to relieve an SRO of the II. The Plan Relating to the Surveillance, responsibility to receive regulatory Investigation, and Enforcement of reports, to examine for and enforce On September 12, 2008, the Insider Trading Rules compliance with applicable statutes, Commission declared effective the rules, and regulations, or to perform Participating Organizations’ Plan for October 17, 2008. other specified regulatory functions. allocating regulatory responsibilities Notice is hereby given that the To implement Section 17(d)(1), the pursuant to Rule 17d–2.11 The Plan is Securities and Exchange Commission Commission adopted two rules: Rule designed to eliminate regulatory (‘‘Commission’’) has issued an Order, 17d–1 and Rule 17d–2 under the Act.8 duplication by allocating regulatory pursuant to Section 17(d) of the Rule 17d–1 authorizes the Commission responsibility over Common NYSE Securities Exchange Act of 1934 to name a single SRO as the designated Members 12 or Common FINRA (‘‘Act’’),1 approving and declaring examining authority (‘‘DEA’’) to Members,13 as applicable, (collectively, effective an amendment to the plan for examine common members for allocating regulatory responsibility compliance with the financial 9 See Securities Exchange Act Release No. 12352 (‘‘Plan’’) filed pursuant to Rule 17d–2 of responsibility requirements imposed by (April 20, 1976), 41 FR 18808 (May 7, 1976). the Act,2 by the American Stock 10 See Securities Exchange Act Release No. 12935 (October 28, 1976), 41 FR 49091 (November 8, Exchange LLC (‘‘Amex’’), BATS 3 15 U.S.C. 78s(g)(1). 1976). Exchange, Inc. (‘‘BATS’’), Boston Stock 4 15 U.S.C. 78q(d). 11 See Securities Exchange Act Release No. 58536 Exchange, Inc. (‘‘BSE’’), Chicago Board 5 15 U.S.C. 78s(g)(2). (September 12, 2008), 73 FR 54646 (September 22, Options Exchange, Inc. (‘‘CBOE’’), 6 15 U.S.C. 78q(d)(1). 2008) (File No. 4–566). Chicago Stock Exchange, Inc. (‘‘CHX’’), 7 See Securities Act Amendments of 1975, Report 12 Common NYSE Members include members of of the Senate Committee on Banking, Housing, and the NYSE and at least one of the Participating Financial Industry Regulatory Urban Affairs to Accompany S. 249, S. Rep. No. 94– Organizations. 75, 94th Cong., 1st Session 32 (1975). 13 Common FINRA Members are members of 1 15 U.S.C. 78q(d). 8 17 CFR 240.17d–1 and 17 CFR 240.17d–2, FINRA and at least one of the Participating 2 17 CFR 240.17d–2. respectively. Organizations.
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‘‘Common Members’’) for the Exchange LLC (‘‘Amex’’), BATS with and approved by the Commission surveillance, investigation, and Exchange, Inc. (‘‘BATS’’), Boston Stock before they become effective. enforcement of common insider trading Exchange, Inc., [CBOE Stock Exchange, * * * * * rules (‘‘Common Rules’’).14 The Plan LLC] Chicago Board Options Exchange, assigns regulatory responsibility over Inc. (‘‘CBOE’’) †1, Chicago Stock EXHIBIT A: COMMON INSIDER Common NYSE Members to NYSE Exchange, Inc. (‘‘CHX’’), Financial TRADING RULES Regulation for surveillance, Industry Regulatory Authority, Inc. * * * * * investigation, and enforcement of (‘‘FINRA’’), International Securities BATS Rule 3.1 Business Conduct of ETP insider trading by broker-dealers, and Exchange, LLC (‘‘ISE’’) †2, The NASDAQ Holders their associated persons, with respect to Stock Market LLC (‘‘NASDAQ’’), BATS Rule 3.2. Violations Prohibited NYSE-listed stocks and NYSE Arca- National Stock Exchange, Inc., New BATS Rule 3.3. Use of Fraudulent listed stocks, irrespective of the York Stock Exchange, LLC (‘‘NYSE’’), Devices marketplace(s) maintained by the NYSE Arca Inc. (‘‘NYSE Arca’’), NYSE BATS Rule 4.1 Requirements Participating Organizations on which Regulation, Inc. (pursuant to delegated BATS Rule 5.1. Written Procedures the relevant trading may occur. The authority) (‘‘NYSE Regulation’’), and BATS Rule 5.3 Records BATS Rule 5.5 Chinese Wall Procedures Plan assigns regulatory responsibility Philadelphia Stock Exchange, Inc. over Common FINRA Members to BATS Rule 12.4 Manipulative (together, the ‘‘Participating Transactions FINRA for surveillance, investigation, Organizations’’), is made pursuant to and enforcement of insider trading by § 17(d) of the Securities Exchange Act of * * * * * broker-dealers, and their associated 1934 (the ‘‘Act’’), 15 U.S.C. § 78q(d), and IV. Solicitation of Comments persons, with respect to NASDAQ-listed Securities and Exchange Commission Interested persons are invited to stocks and Amex-listed stocks, as well (‘‘SEC’’) Rule 17d–2, which allow for submit written data, views, and as any CHX solely-listed stock, plans to allocate regulatory arguments concerning the foregoing. irrespective of the marketplace(s) responsibility among self-regulatory Comments may be submitted by any of maintained by the Participating organizations (‘‘SROs’’). Upon approval the following methods: Organizations on which the relevant by the SEC, this Agreement shall amend trading may occur. and restate the agreement among the Electronic Comments III. Proposed Amendment to the Plan Participating Organizations (except • Use the Commission’s Internet On October 16, 2008, the Participating BATS and CBOE, the latter of which comment form (http://www.sec.gov/ Organizations submitted a proposed replaces CBOE Stock Exchange, LLC) rules/other.shtml); or amendment to the Plan. The purpose of approved by the SEC on September 12, • Send an e-mail to rule- the amendment is to: (1) Add BATS as 2008. [email protected]. Please include File a participant to the Plan; (2) substitute * * * * * Number 4–566 on the subject line. CBOE as a participant for CBOE Stock 27. Amendment. Paper Comments Exchange, LLC; (3) clarify that CBOE’s allocation of regulatory responsibilities a. This Agreement may be amended • Send paper comments in triplicate under the Plan is limited to the [by any writing duly]to add a new to Secretary, Securities and Exchange activities of the CBOE Stock Exchange, Participating Organization, provided Commission, Station Place, 100 F Street, LLC, a facility of CBOE; (4) clarify that that such Participating Organization NE., Washington, DC 20549–1090. ISE’s allocation of regulatory does not assume regulatory All submissions should refer to File responsibilities under the Plan is responsibility, solely by an amendment Number 4–566. This file number should limited to the activities of the ISE Stock executed by NYSE Regulation, FINRA be included on the subject line if e-mail Exchange, LLC, a facility of ISE; and (5) and such new Participating is used. To help the Commission add language to facilitate the addition of Organization. All other Participating process and review your comments new SROs to the Plan where such new Organizations expressly consent to more efficiently, please use only one SROs do not assume regulatory allow NYSE Regulation and FINRA to method. The Commission will post all responsibilities under the Plan. The jointly add new Participating comments on the Commission’s Internet amended agreement replaces the Organizations to the Agreement as Web site (http://www.sec.gov/rules/ previous agreement in its entirety. The provided above. NYSE Regulation and other.shtml). Copies of the submission, text of the proposed amendments to the FINRA will promptly notify all all subsequent amendments, all written Plan is as follows (additions are Participating Organizations of any such statements with respect to the proposed italicized; deletions are [bracketed]): amendments to add a new Participating plan that are filed with the Commission, * * * * * Organization. and all written communications relating b. All other amendments must be to the proposed plan between the Agreement for the Allocation of made approved by each Participating Commission and any person, other than Regulatory Responsibility of Organization. [The addition of]All those that may be withheld from the Surveillance, Investigation and amendments, including adding a new public in accordance with the Enforcement for Insider Trading Participating Organization[ to the provisions of 5 U.S.C. 552, will be pursuant to § 17(d) of the Securities Agreement will require an amendment. available for inspection and copying in Exchange Act of 1934, 15 U.S.C. 78q (d), All such amendments], must be filed the Commission’s Public Reference and Rule 17d–2 Thereunder Room, on official business days between This agreement (the ‘‘Agreement’’) by †1 CBOE’s allocation of certain regulatory the hours of 10 a.m. and 3 p.m. Copies and among the American Stock responsibilities to NYSE/FINRA under this of the plan also will be available for Agreement is limited to the activities of the CBOE inspection and copying at the principal 14 Common Rules are defined as: (i) Federal Stock Exchange, LLC, a facility of CBOE. offices of Amex, BATS, BSE, CBOE, 2 securities laws and rules promulgated by the † ISE’s allocation of certain regulatory CHX, FINRA, ISE, NASDAQ, NSX, Commission pertaining to insider trading, and (ii) responsibilities to NYSE/FINRA under this the rules of the Participating Organizations that are Agreement is limited to the activities of the ISE NYSE, NYSE Arca, NYSE Regulation, related to insider trading. See Exhibit A to the Plan. Stock Exchange, LLC, a facility of ISE. and Phlx. All comments received will
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be posted without change; the CBOE, CBOE is a participant to the Plan 202(a)(11)(G) of the Advisers Act from Commission does not edit personal instead of CBOE Stock Exchange, LLC, section 202(a)(11) of the Advisers Act. identifying information from and ISE’s allocation of regulatory Summary of Application: Applicant submissions. You should submit only responsibilities under the Plan is requests that the Commission issue an information that you wish to make limited to the activities of the ISE Stock order declaring it, existing and future available publicly. All submissions Exchange, LLC, a facility of ISE. By Pool Advisory Entities, as defined should refer to File Number 4–566 and declaring it effective today, the below, and their respective employees should be submitted on or before amended Plan can become effective and acting within the scope of their November 13, 2008. be implemented without undue delay. employment, to be persons not within the intent of section 202(a)(11) of the V. Discussion In addition, the Commission notes that the prior version of this Plan was Advisers Act, which defines the term The Commission finds that the Plan, published for comment, and the ‘‘investment adviser.’’ as proposed to be amended, is Commission did not receive any DATES: Filing Dates: The application was consistent with the factors set forth in comments thereon.18 Finally, the filed on January 27, 2005, and an Section 17(d) of the Act 15 and Rule Commission does not believe that the amended and restated application was 17d–2 thereunder 16 in that it is amendment to the Plan raises any new filed on October 17, 2008. necessary or appropriate in the public regulatory issues that the Commission Hearing or Notification of Hearing: An interest and for the protection of has not previously considered. order granting the application will be investors, fosters cooperation and issued unless the Commission orders a coordination among SROs, and removes VI. Conclusion hearing. Interested persons may request impediments to and fosters the This order gives effect to the amended a hearing by writing to the development of the national market Plan submitted to the Commission that Commission’s Secretary and serving system. The Commission continues to is contained in File No. 4–566. Applicant with a copy of the request, believe that the Plan, as proposed to be It is therefore ordered, pursuant to personally or by mail. Hearing requests amended, should reduce unnecessary Section 17(d) of the Act,19 that the Plan, should be received by the Commission regulatory duplication by allocating as amended, made by and among Amex, by 5:30 p.m. on November 13, 2008 and regulatory responsibility for the BATS, BSE, CBOE, CHX, FINRA, ISE, should be accompanied by proof of surveillance, investigation, and NASDAQ, NSX, NYSE, NYSE Arca, service on Applicant, in the form of an enforcement of Common Rules over NYSE Regulation, and Phlx filed with affidavit or, for lawyers, a certificate of Common NYSE Members, with respect the Commission pursuant to Rule 17d– service. Hearing requests should state to NYSE-listed stocks and NYSE Arca- 2 on October 16, 2008 is hereby the nature of the writer’s interest, the listed stocks, to NYSE and over approved and declared effective. reason for the request, and the issues Common FINRA Members, with respect It is further ordered that the contested. to NASDAQ-listed stocks, Amex-listed Participating Organizations are relieved Persons may request notification of a stocks, and any CHX solely-listed stock, of those regulatory responsibilities hearing by writing to the Commission’s to FINRA. Accordingly, the proposed allocated to NYSE and FINRA under the Secretary. Plan promotes efficiency by Plan in File No. 4–566. ADDRESSES: Secretary, Securities and consolidating these regulatory functions Exchange Commission, 100 F Street, For the Commission, by the Division of in a single SRO based on the listing Trading and Markets, pursuant to delegated NE., Washington, DC 20549. Applicant, market for a stock, with regard to authority.20 WLD Enterprises, Inc., c/o Shelley Common NYSE Members and Common J. Lynn Taylor, Marciano, 401 East Las Olas Boulevard, FINRA Members. Suite 2200, Ft. Lauderdale, Florida Assistant Secretary. Under paragraph (c) of Rule 17d–2, 33301. the Commission may, after appropriate [FR Doc. E8–25240 Filed 10–22–08; 8:45 am] BILLING CODE 8011–01–P FOR FURTHER INFORMATION CONTACT: notice and comment, declare a plan, or Vivien Liu, Senior Counsel, or David W. any part of a plan, effective. In this Blass, Assistant Director, at (202) 551– instance, the Commission believes that SECURITIES AND EXCHANGE 6787 (Office of Investment Adviser appropriate notice and comment can COMMISSION Regulation, Division of Investment take place after the proposed Management). amendment is effective. The primary [Release No. IA–2804 / 803–180] purpose of the amendment is to add SUPPLEMENTARY INFORMATION: The BATS as a participant to the Plan. By WLD Enterprises, Inc.; Notice of following is a summary of the approving the amendment today, BATS Application application. The complete application can be included in the Plan prior to may be obtained for a fee at the SEC’s beginning operations as a national October 17, 2008. Public Reference Branch, 100 F Street, securities exchange.17 In addition, the AGENCY: Securities and Exchange NE., Washington DC 20549–0102 amendment would facilitate the process Commission (‘‘SEC’’ or ‘‘Commission’’). (telephone (202) 551–5850). of adding new participants to the Plan ACTION: Notice of Application for Applicant’s Representations in the future. This amendment also Exemption under the Investment 1. The Applicant was organized as a makes technical changes to the Plan to Advisers Act of 1940 (‘‘Advisers Act’’). Florida corporation to provide services clarify that CBOE’s allocation of to Mr. William Horvitz and his regulatory responsibilities under the Applicant: WLD Enterprises, Inc. descendants and is wholly owned by Plan is limited to the activities of the (‘‘Applicant’’). Mr. William Horvitz’s two children. It CBOE Stock Exchange, LLC, a facility of Relevant Advisers Act Sections: Exemption requested under section operates as a ‘‘family office’’ for Mr. 15 15 U.S.C. 78q(d). William Horvitz, his wife Norma 16 17 CFR 240.17d–2. 18 See supra note 11. Horvitz, and their lineal descendants 17 See Securities Exchange Act Release No. 58375 19 15 U.S.C. 78q(d). (including by adoption), and such lineal (August 18, 2008), 73 FR 49498 (August.) 20 17 CFR 200.30–3(a)(34). descendants’ spouses, two step-children
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of Mr. William Horvitz’s son, such step- vendor, and (iv) conduct any marketing within the intent of section 202(a)(11). children’s spouses and their children, activities. Applicant states that there is no public one of Mr. William Horvitz’s brothers, 5. Applicant represents that it and the interest in requiring that it, the Pool such brother’s spouse, his two children Pool Advisory Entities do not and will Advisory Entities, or their respective and four grandchildren, and the spouses not solicit or accept investment advisory employees acting within the scope of of these children and grandchildren clients from the public. their employment be registered under (collectively, the ‘‘Horvitz Family’’ or 6. Applicant represents that it does the Advisers Act because they offer and ‘‘Family’’). not operate with the purpose of provide investment advisory services 2. Applicant provides services generating a profit. It charges fees only only to Family Clients. to pay its operating expenses and the exclusively to: (i) The members of the Applicant’s Conditions Horvitz Family; (ii) private charitable salaries of the professionals it employs. foundations established exclusively by 7. Applicant represents that it has 1. The Applicant and all the existing members of the Horvitz Family (‘‘Private provided each member of the Family and future Pool Advisory Entities will Foundations’’); (iii) trusts that exist who is not a lineal descendant offer and provide advisory services only exclusively for the benefit of members (including by adoption) of Mr. William to Family Clients and will not hold of the Horvitz Family and Private Horvitz and his wife Norma Horvitz or themselves out to the public as Foundations (‘‘Family Trusts’’); (iv) such lineal descendant’ spouse written investment advisers. pooled investment vehicles that have disclosure describing the material terms 2. Members of the Horvitz Family will been created exclusively for the benefit of this Application and the material at all times comprise a majority of the of, and are wholly owned by, Family legal effects associated with a Board of Directors of the Applicant. members, Family Trusts, or Private Commission Order as a result of this 3. The Applicant and all the existing Foundations (‘‘Family Investment Application, and has received written and future Pool Advisory Entities will at Entities’’), except that certain key consent from these Family members. all times be owned, directly or employees, as described below, are 8. Applicant acknowledges that the indirectly, exclusively by one or more permitted to invest in these Family Order, if granted, would not affect any members of the Horvitz Family. Investment Entities; and (v) solely for legal obligation (other than those under 4. All the existing and future Family the purpose of investing in the Family the Advisers Act) relating to the services Investment Entities: (a) Are excepted Investment Entities, several executive it and the Pool Advisory Entities from the definition of ‘‘investment level employees of the Applicant who provide to their clients, including company’’ under section 3(c)(1) or have significant involvement with the without limitation any applicable state section 3(c)(7) of the Investment investment advisory process (‘‘Key fiduciary obligation. Company Act of 1940, and (b) are Employees’’) or revocable trusts Applicant’s Legal Analysis owned and controlled exclusively by the Applicant, the Pool Advisory established for the benefit of Key 1. Section 202(a)(11) of the Advisers Entities, or the Family Clients. Employees (‘‘Key Employee Trusts’’). Act defines the term ‘‘investment 5. If any Key Employee who owns an The members of the Horvitz Family, the adviser’’ to mean ‘‘any person who, for interest in any Family Investment Private Foundations, the Family Trusts, compensation, engages in the business Entity, directly or through a Key the Family Investment Entities, and of advising others, either directly or Employee Trust, is no longer employed solely with respect to investments in through publications or writings, as to by the Applicant or a Pool Advisory Family Investment Entities, the Key the value of securities or as to the Entity or is no longer a Key Employee, Employees and the Key Employee advisability of investing in, purchasing, his interest in such Family Investment Trusts, are referred to collectively as the or selling securities, or who, for Entity and/or Key Employee Trust will ‘‘Family Clients.’’ compensation and as a part of a regular be limited to his investment at the time 3. Applicant provides both advisory business, issues or promulgates analyses of termination (or at the time that he no services and non-advisory services to or reports concerning securities. * * *’’ longer is a Key Employee) together with Family Clients, which include asset 2. Section 203(a) of the Advisers Act reinvestment of accretions or allocation advice, investment due requires investment advisers to register distributions on that interest. diligence, recordkeeping assistance, with the SEC. Section 203(b) of the federal and state tax advice, and Advisers Act provides several For the Commission, by the Division of coordination of professional exemptions from this registration Investment Management, under delegated relationships with accountants, requirement. authority. attorneys and unaffiliated investment 3. Applicant represents that it J. Lynn Taylor, advisers. Applicant provides advisory currently relies on the registration Assistant Secretary. services to Family Clients directly, or exemption provided in section 203(b)(3) [FR Doc. E8–25243 Filed 10–22–08; 8:45 am] indirectly through persons that manage of the Advisers Act for advisers that BILLING CODE 8011–01–P Family Investment Entities or Family have less than 15 clients. The Applicant Trusts (‘‘Pool Advisory Entities’’). All anticipates that this exemption will Pool Advisory Entities are wholly soon be unavailable to it as the number SECURITIES AND EXCHANGE owned and controlled by the Applicant, of Family Clients grows. Applicant also COMMISSION the Horvitz Family, or Family Trusts. represents that it is not prohibited from [Release No. 34–58807; File No. 4–568] 4. Applicant represents that it does registering with the Commission under not hold itself out to the public as an section 203A(a) because it has assets Self-Regulatory Organizations; Order investment adviser. Applicant further under management of $25,000,000 or Approving Minor Rule Violation Plan represents that it is not listed in any more. for BATS Exchange, Inc. phone book as an in investment adviser 4. Applicant requests that the SEC and does not (i) have a publicly declare it, the existing and future Pool October 17, 2008. accessible Web site, (ii) engage in any Advisory Entities, and their respective On August 29, 2008, the BATS advertising, (iii) attend investment employees acting within the scope of Exchange, Inc. (‘‘BATS’’ or the management-related conferences as a their employment, to be persons not ‘‘Exchange’’) filed with the Securities
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and Exchange Commission (the Pursuant to the Exchange’s proposed procedural rights to a person sanctioned ‘‘Commission’’) a proposed minor rule MRVP, under Rule 8.15, the Exchange under Rule 8.15, the Commission violation plan (‘‘MRVP’’) pursuant to may impose a fine (not to exceed believes that Rule 8.15 provides a fair Section 19(d)(1) of the Securities $2,500) on a member, an associated procedure for the disciplining of Exchange Act of 1934 (‘‘Act’’) 1 and Rule person of a member, or a registered or members and persons associated with 19d–1(c)(2) thereunder.2 The proposed non-registered employee of a member, members, consistent with Sections MRVP was published for public with respect to any rule listed in Rule 6(b)(7) and 6(d)(1) of the Act.10 comment on September 16, 2008.3 The 8.15.01. The Exchange shall serve the Commission received no comments on person against whom a fine is imposed Finally, the Commission finds that the the proposal. This order approves with a written statement setting forth proposal is consistent with the public BATS’s proposed the rule or rules allegedly violated, the interest, the protection of investors, or otherwise in furtherance of the purposes BATS’s MRVP specifies those act or omission constituting each such violation, the fine imposed, and the date of the Act, as required by Rule 19d– uncontested minor rule violations with 11 sanctions not exceeding $2,500 which by which such determination becomes 1(c)(2) under the Act, because the would not be subject to the provisions final or by which such determination MRVP strengthens BATS’s ability to of Rule 19d–1(c)(1) under the Act 4 must be contested. If the person against carry out its oversight and enforcement requiring that a self-regulatory whom the fine is imposed pays the fine, responsibilities as an SRO in cases organization promptly file notice with such payment shall be deemed to be a where full disciplinary proceedings are the Commission of any final waiver of such person’s right to a unsuitable in view of the minor nature disciplinary action taken with respect to disciplinary proceeding and any review of the particular violation. any person or organization.5 In of the matter under Exchange rules. Any In approving this proposal, the accordance with Rule 19d–1(c)(2), the person against whom a fine is imposed Commission in no way minimizes the Exchange proposed to designate certain may contest the Exchange’s importance of compliance with rule violations as minor rule violations, determination by filing with the Exchange rules and all other rules Exchange a written response, at which and requested that it be relieved of the subject to the imposition of sanctions point the matter shall become a reporting requirements regarding such under Rule 8.15. The Commission disciplinary proceeding. violations, provided it gives notice of believes that the violation of an SRO’s such violations to the Commission on a Upon approval of the plan, the Exchange will provide the Commission rules, as well as Commission rules, is a quarterly basis. BATS included in its serious matter. However, Rule 8.15 proposed MRVP the policies and a quarterly report of actions taken on provides a reasonable means of procedures currently included in BATS minor rule violations under the plan. addressing violations that do not rise to Exchange Rule 8.15 (‘‘Imposition of The quarterly report will include the Fines for Minor Violation(s) of Rules’’) Exchange’s internal file number for the the level of requiring formal and the rule violations included in case, the name of the individual and/or disciplinary proceedings, while BATS Exchange Rule 8.15.01, organization, the nature of the violation, providing greater flexibility in handling Interpretations and Policies.6 the specific rule provision violated, the certain violations. The Commission sanction imposed, the number of times expects that BATS will continue to 1 15 U.S.C. 78s(d)(1). the rule violation has occurred, and the conduct surveillance with due diligence 2 17 CFR 240.19d–1(c)(2). date of disposition.7 and make determinations based on its 3 See Securities Exchange Act Release No. 58485 The Commission finds that the findings, on a case-by-case basis, (September 8, 2008), 73 FR 53468. proposed MRVP is consistent with the 4 whether a sanction under the MRVP is 17 CFR 240.19d–1(c)(1). requirements of the Act and the rules 5 The Commission adopted amendments to appropriate, or whether a violation paragraph (c) of Rule 19d–1 to allow self-regulatory and regulations thereunder applicable to requires formal disciplinary action. a national securities exchange. In organizations (‘‘SROs’’) to submit for Commission It is therefore ordered, pursuant to approval plans for the abbreviated reporting of particular, the Commission believes that Rule 19d–1(c)(2) under the Act,12 that minor disciplinary infractions. See Securities the proposal is consistent with Section Exchange Act Release No. 21013 (June 1, 1984), 49 6(b)(5) of the Act,8 which requires that the proposed MRVP for BATS, File No. FR 23828 (June 8, 1984). Any disciplinary action 4–568, be, and hereby is, approved and taken by an SRO against any person for violation the rules of an exchange be designed to of a rule of the SRO which has been designated as promote just and equitable principles of declared effective. a minor rule violation pursuant to such a plan shall trade, to remove impediments and to For the Commission, by the Division of not be considered ‘‘final’’ for purposes of Section 19(d)(1) of the Act if the sanction imposed consists perfect the mechanism of a free and Trading and Markets, pursuant to delegated of a fine not exceeding $2,500 and the sanctioned open market and national market authority.13 person has not sought an adjudication, including a system, and, in general, to protect J. Lynn Taylor, hearing, or otherwise exhausted his or her investors and the public interest. The administrative remedies. Assistant Secretary. Commission also believes that the 6 On August 18, 2008, the Commission approved [FR Doc. E8–25241 Filed 10–22–08; 8:45 am] BATS’s application for registration as a national proposal is consistent with Sections BILLING CODE 8011–01–P securities exchange, including the rules governing 6(b)(1) and 6(b)(6) of the Act 9 which the Exchange. See Securities Exchange Act Release require that the rules of an exchange No. 58375, 73 FR 49498 (August 21, 2008). In the approval order, the Commission noted that BATS enforce compliance with, and provide Rule 8.15 provides for the imposition of fines for appropriate discipline for, violations of minor rule violations pursuant to a minor rule the Commission and Exchange rules. In violation plan. Accordingly, the Commission noted addition, because the MRVP offers that, as a condition to the operation of the Exchange, it must file a minor rule violation plan with the Commission. BATS represented that request by BATS for Commission approval of a modification to its MRVP. modifications may be made to Rule 8.15.01 in the 10 15 U.S.C. 78f(b)(7) and 78f(d)(1). future. BATS proposed that, when amendments to 7 BATS attached a sample form of the quarterly 11 17 CFR 240.19d–1(c)(2). Rule 8.15.01 are made pursuant to a rule filing report with its submission to the Commission. submitted pursuant to Rule 19b–4 under the Act, 8 15 U.S.C. 78f(b)(5). 12 Id. such filing would automatically be deemed a 9 15 U.S.C. 78f(b)(1) and 78f(b)(6). 13 17 CFR 200.30–3(a)(44).
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SECURITIES AND EXCHANGE proposed rule change. The text of these mechanism of a free and open market COMMISSION statements may be examined at the and a national market system, and, in places specified in Item IV below. The general, to protect investors and the [Release No. 34–58805; File No. SR–BSE– Exchange has prepared summaries, set 2008–44] public interest. Specifically, the forth in Sections A, B, and C below, of Exchange believes that the proposed Self-Regulatory Organizations; Boston the most significant aspects of such rule change will promote consistency in Stock Exchange, Inc.; Notice of Filing statements. minor rule violations and respective and Immediate Effectiveness of A. Self-Regulatory Organization’s SRO reporting obligations set forth Proposed Rule Change Relating to Its pursuant to Rule 19d–1(c)(2) under the Statement of the Purpose of, and 8 Minor Rule Plan Statutory Basis for, the Proposed Rule Act , which governs minor rule plans. Change October 17, 2008. B. Self-Regulatory Organization’s Pursuant to Section 19(b)(1) of the 1. Purpose Statement on Burden on Competition Securities Exchange Act of 1934 The purpose of the proposed rule The Exchange does not believe that 1 2 (‘‘Act’’) and Rule 19b–4 thereunder, change is to update the BOX rules to the proposed rule change will result in notice is hereby given that on October clarify and strengthen sanctions any burden on competition that is not 10, 2008, the Boston Stock Exchange, imposed for violations of BOX Rules necessary or appropriate in furtherance Inc. (‘‘BSE’’ or ‘‘Exchange’’) filed with Chapter III, Section 7 pursuant to the of the purposes of the Act. the Securities and Exchange Minor Rule Violation Plan, as found in Commission (‘‘Commission’’) the C. Self-Regulatory Organization’s BOX Rules, Chapter X. The amendment Statement on Comments on the proposed rule change as described in will impose a flat fine amount for a Items I and II below, which Items have Proposed Rule Change Received From violation, rather than a fine levied per Members, Participants or Others been prepared by the BSE. The contract. In addition, the proposed Exchange has designated the proposed amendment will eliminate the current The Exchange has neither solicited, rule change as a ‘‘non-controversial’’ distinction between Customer accounts nor received comments on the proposed rule change pursuant to Section and Options Participant accounts. The rule change. 19(b)(3)(A) of the Act 3 and Rule 19b– Exchange believes these changes will III. Date of Effectiveness of the 4(f)(6) thereunder,4 which renders the serve as an effective deterrent to Proposed Rule Change and Timing for proposal effective upon filing with the violative conduct. Commission Action Commission. The Commission is The Exchange and certain other self- publishing this notice to solicit regulatory organizations (‘‘SRO’s’’), as The proposed rule change has become comments on the proposed rule change members of the Intermarket effective pursuant to Section 19(b)(3)(A) from interested persons. Surveillance Group (the ‘‘ISG’’), of the Act 9 and Rule 19b–4(f)(6) executed and filed with the Securities thereunder 10 because the foregoing I. Self-Regulatory Organization’s and Exchange Commission on October proposed rule change: (1) Does not Statement of the Terms of Substance of 29, 2007, a final version of the significantly affect the protection of the Proposed Rule Change Agreement pursuant to Section 17(d) of investors or the public interest; (2) does The Boston Stock Exchange (the the Securities Exchange Act of 1934 (as not impose any significant burden on ‘‘Exchange’’) proposes to update the amended) (the ‘‘Agreement’’).5 The competition; and (3) by its terms, does Boston Options Exchange Group LLC members of the ISG intend to enter into not become operative for 30 days after (‘‘BOX’’) rules to increase and an amendment to the 17d–2 Agreement the date of filing, or such shorter time strengthen sanctions imposed pursuant in the near future concerning the as the Commission may designate if to the Minor Rule Violation Plan in surveillance and sanction of Position consistent with the protection of connection with any Options Limit violations. In anticipation, the investors and the public interest.11 Participant or non-Options Participant SRO’s have agreed that their respective The Exchange has asked the customer in accordance with BOX Rules rules concerning position limits Commission to waive the 30-day Chapter III, Section 7. The text of the concerning options contracts are operative delay and designate the proposed rule change is available on the common rules and should be consistent proposed rule change as operative upon Exchange’s Web site at http:// with one another. The Exchange’s filing. The Commission hereby grants nasdaq trader.com/ proposed amendment to its Minor Rule the Exchange’s request and believes that Trader.aspx?id=Boston_Stock_ violation Plan will result in further doing so is consistent with the Exchange, at the Office of the Secretary, consistency of sanctions among the protection of investors and the public and at the Commission’s Public signatories to the 17d–2 Agreement and interest.12 The Exchange’s proposed Reference Room. the forthcoming amendment concerning II. Self-Regulatory Organization’s Position Limit violations. 8 17 CFR 240.19d–1(c)(2). Statement of the Purpose of, and 9 15 U.S.C. 78s(b)(3)(A). 2. Statutory Basis 10 Statutory Basis for, the Proposed Rule 17 CFR 240.19b–4(f)(6). The Exchange believes that the 11 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule Change proposed rule change is consistent with 19b–4(f)(6)(iii) requires the self-regulatory In its filing with the Commission, the Section 6(b) of the Act,6 in general, and organization to give the Commission notice of its intent to file the proposed rule change, along with Exchange included statements furthers the objectives of Section 6(b)(5) a brief description and text of the proposed rule concerning the purpose of and basis for of the Act,7 in particular, to promote change, at least five business days prior to the date the proposed rule change and discussed just and equitable principles of trade, to of filing of the proposed rule change, or such any comments it received on the remove impediments to and perfect the shorter time as designated by the Commission. BSE has satisfied this requirement. 12 For purposes only of waiving the operative 1 15 U.S.C. 78s(b)(1). 5 See Securities Exchange Act Release No. 56941 delay for this proposal, the Commission has 2 17 CFR 240.19b–4. (April 11, 2008), 73 FR 75 (April 17, 2008). considered the proposed rule’s impact on 3 15 U.S.C. 78s(b)(3)(A). 6 15 U.S.C. 78f(b). efficiency, competition, and capital formation. See 4 17 CFR 240.19b–4(f)(6). 7 15 U.S.C. 78f(b)(5). 15 U.S.C. 78c(f).
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rule change is based on a similar DC 20549, on official business days application of the continued listing proposal that was previously approved between the hours of 10 a.m. and 3 p.m. requirements related to bid price and by the Commission13 and does not raise Copies of such filing also will be market value of publicly held shares. any novel or significant issues. available for inspection and copying at II. Self-Regulatory Organization’s Therefore, the Commission designates the principal office of the Exchange. All Statement of the Purpose of, and the proposed rule change operative comments received will be posted upon filing. without change; the Commission does Statutory Basis for, the Proposed Rule At any time within 60 days of the not edit personal identifying Change filing of the proposed rule change, the information from submissions. You In its filing with the Commission, Commission may summarily abrogate should submit only information that Nasdaq included statements concerning such rule change if it appears to the you wish to make publicly available. All the purpose of and basis for the Commission that such action is submissions should refer to File proposed rule change and discussed any necessary or appropriate in the public Number SR–BSE–2008–44 and should comments it received on the proposed interest, for the protection of investors, be submitted on or before November 13, rule change. The text of these statements or otherwise in furtherance of the 2008. may be examined at the places specified purposes of the Act. For the Commission, by the Division of in Item IV below. Nasdaq has prepared IV. Solicitation of Comments Trading and Markets, pursuant to delegated summaries, set forth in Sections A, B, authority.14 and C below, of the most significant Interested persons are invited to J. Lynn Taylor, aspects of such statements. submit written data, views, and Assistant Secretary. arguments concerning the foregoing, A. Self-Regulatory Organization’s including whether the proposed rule [FR Doc. E8–25239 Filed 10–22–08; 8:45 am] Statement of the Purpose of, and change is consistent with the Act. BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule Comments may be submitted by any of Change the following methods: SECURITIES AND EXCHANGE 1. Purpose Electronic Comments COMMISSION Given current market conditions, • Use the Commission’s Internet [Release No. 34–58809; File No. SR– Nasdaq proposes to provide issuers of comment form (http://www.sec.gov/ NASDAQ–2008–082] common stock, preferred stock, rules/sro.shtml); or secondary classes of common stock, • Send an e-mail to rule- Self-Regulatory Organizations; the shares or certificates of beneficial [email protected]. Please include File NASDAQ Stock Market LLC; Notice of interest of trusts, limited partnership Number SR–BSE–2008–44 on the Filing and Immediate Effectiveness of interests, American Depositary Receipts, subject line. Proposed Rule Change To Temporarily and their equivalents temporary relief Suspend, Through January 16, 2009, from the continued inclusion bid price 4 Paper Comments the Continued Listing Requirements and market value of publicly held • Send paper comments in triplicate Related to Bid Price and Market Value shares requirements.5 to Secretary, Securities and Exchange of Publicly Held Shares In the past several weeks, U.S. and Commission, Station Place, 100 F Street, world financial markets have faced NE., Washington, DC 20549–1090. October 17, 2008. All submissions should refer to File Pursuant to Section 19(b)(1) of the 4 Nasdaq’s continued listing requirements relating Number SR–BSE–2008–44. This file Securities Exchange Act of 1934 to bid price are set forth in Rules 4310(c)(4), 1 2 number should be included on the (‘‘Act’’), and Rule 19b–4 thereunder, 4320(e)(2)(E)(ii), 4450(a)(5), 4450(b)(4), and notice is hereby given that on October 4450(h)(3) and the related compliance periods are subject line if e-mail is used. To help the set forth in Rules 4310(c)(8)(D), 4320(e)(2)(E)(ii), Commission process and review your 16, 2008, the NASDAQ Stock Market and 4450(e)(2). Under these rules, a security is comments more efficiently, please use LLC (‘‘Nasdaq’’) filed with the Securities considered deficient if it fails to achieve at least a only one method. The Commission will and Exchange Commission $1 closing bid price for a period of 30 consecutive (‘‘Commission’’) the proposed rule business days. Once deficient, Capital Market post all comments on the Commission’s issuers are provided one automatic 180-day period Internet Web site (http://www.sec.gov/ change as described in Items I and II to regain compliance. Thereafter, these issuers can rules/sro.shtml). Copies of the below, which Items have been prepared receive an additional 180-day compliance period if submission, all subsequent by Nasdaq. Nasdaq has designated the they comply with all Capital Market initial proposed rule change as effecting a inclusion requirements except bid price. Global amendments, all written statements Market issuers are also provided one automatic 180- with respect to the proposed rule change described under Rule 19b–4(f)(6) day period to regain compliance, after which they 3 change that are filed with the under the Act, which renders the can transfer to the Capital Market, if they comply Commission, and all written proposal effective upon filing with the with all Capital Market initial inclusion Commission. The Commission is requirements except bid price, to take advantage of communications relating to the the second 180-day compliance period. A company proposed rule change between the publishing this notice to solicit can regain compliance by achieving a $1 closing bid Commission and any person, other than comments on the proposed rule change price for a minimum of ten consecutive business those that may be withheld from the from interested persons. days. 5 Nasdaq’s continued listing requirements relating public in accordance with the I. Self-Regulatory Organization’s to market value of publicly held shares are set forth provisions of 5 U.S.C. 552, will be Statement of the Terms of Substance of in Rules 4310(c)(7), 4320(e)(5), 4450(a)(2), available for inspection and copying in the Proposed Rule Change 4450(b)(3) and 4450(h)(2) and the related the Commission’s Public Reference compliance periods are set forth in Rules Nasdaq proposes to temporarily 4310(c)(8)(B) and 4450(e)(1). Under these rules, a Room, 100 F Street, NE., Washington, suspend, through January 16, 2009, the security is considered deficient if it fails to achieve the minimum market value of publicly held shares 13 See Securities Exchange Act Release No. 58119 requirement for a period of 30 consecutive business 14 (July 8, 2008), 73 FR 40646 (July 15, 2008) (SR– 17 CFR 200.30–3(a)(12). days. Thereafter, companies have a compliance CBOE–2008–53). See also Securities Exchange Act 1 15 U.S.C. 78s(b)(1). period of 90 calendar days to achieve compliance Release No. 58289 (August 1, 2008), 73 FR 46667 2 17 CFR 240.19b–4. by meeting the applicable standard for a minimum (August 11, 2008) (SR–ISE–2008–62). 3 17 CFR 240.19b–4(f)(6). of ten consecutive business days.
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almost unprecedented turmoil, and the be suspended with respect to those persons engaged in regulating, clearing, Commission has acknowledged in requirements.9 Following the temporary settling, processing information with several recent emergency Orders that suspension, any new deficiencies with respect to, and facilitating transactions this turmoil has resulted in a crisis in the bid price or market value of publicly in securities, to remove impediments to investor confidence and concerns about held shares requirements would be and perfect the mechanism of a free and the proper functioning of the securities determined using data starting on open market and a national market markets.6 As a result, the number of January 19, 2009.10 Companies that system, and, in general, to protect securities trading below $1 has were in a compliance period prior to the investors and the public interest. The increased dramatically. For example, as suspension would receive the balance of proposed rule change is designed to of September 30, 2007, there were 64 any pending compliance periods in remove uncertainty regarding the ability securities trading below $1 on Nasdaq. effect at the time of the suspension.11 of companies to remain listed on By September 30, 2008, that number Similarly, companies that were in the Nasdaq during this especially turbulent had increased to 227 and by October 9, Hearings process prior to the suspension market environment, thereby protecting 2008, there were 344 securities trading would resume in that process at the investors, facilitating transactions in below $1 on Nasdaq and over another same stage they were in when the securities, and removing an impediment 300 Nasdaq-listed securities trading suspension went into effect. Nasdaq will to a free and open market. 7 continue to monitor securities to between $1 and $2. Nasdaq believes B. Self-Regulatory Organization’s determine if they regain compliance that during this time there was no Statement on Burden on Competition fundamental change in the underlying during the temporary suspension. business model or prospects for many of Nasdaq believes that this temporary Nasdaq does not believe that the these companies, but the decline in suspension will permit companies to proposed rule change will result in any general investor confidence has resulted focus on running their businesses, burden on competition that is not in depressed pricing for companies that rather than satisfying market-based necessary or appropriate in furtherance otherwise remain suitable for continued requirements that are largely beyond of the purposes of the Act, as amended. listing. These same conditions make it their control in the current C. Self-Regulatory Organization’s difficult for companies to successfully environment. Moreover, this temporary Statement on Comments on the implement a plan to regain compliance suspension would allow investors to Proposed Rule Change Received From with the price or market value of buy shares of some of these lower- Members, Participants, or Others publicly held shares tests. priced securities without fear that the Given these extraordinary market company will receive a delisting Written comments were neither conditions, Nasdaq has determined that notification or be delisted in the very solicited nor received. the bid price and market value of near term.12 During the temporary III. Date of Effectiveness of the publicly held shares requirements suspension, Nasdaq will consider Proposed Rule Change and Timing for should be temporarily suspended whether it is appropriate to propose Commission Action 8 further revisions to these requirements. through January 16, 2009. Under this Because the proposed rule change: (i) proposal, companies would not be cited 2. Statutory Basis Does not significantly affect the for new bid price or market value of Nasdaq believes that the proposed protection of investors or the public publicly held shares deficiencies during rule change is consistent with the interest; (ii) does not impose any the suspension period, and the time provisions of Section 6 of the Act,13 in significant burden on competition; and allowed to companies already in a general and with Sections 6(b)(5) of the (iii) does not become operative for 30 compliance period or in the hearings Act,14 in particular in that it is designed days after the date of the filing, or such process for bid price or market value of to prevent fraudulent and manipulative shorter time as the Commission may publicly held shares deficiencies would acts and practices, to promote just and designate if consistent with the equitable principles of trade, to foster protection of investors and the public 6 See, e.g., Securities Exchange Act Release No. 58588 (September 18, 2008), 73 FR 55174 cooperation and coordination with interest, the proposed rule change has (September 24, 2008) (‘‘The Commission is aware become effective pursuant to Section of the continued potential of sudden and excessive 9 Nasdaq would continue to identify companies 19(b)(3)(A) of the Act 15 and Rule 19b– fluctuations of securities prices and disruption in in a compliance period or in the hearings process 4(f)(6) thereunder.16 the functioning of the securities markets that could as not satisfying the continued listing standards, A proposed rule change filed threaten fair and orderly markets. Given the unless the company regains compliance during the importance of confidence in our financial markets suspension. A company would continue to be pursuant to Rule 19b–4(f)(6) under the as a whole, we have also become concerned about subject to delisting for failure to comply with other Act 17 normally does not become sudden and unexplained declines in the prices of listing requirements. operative for 30 days after the date of its securities. Such price declines can give rise to 10 Nasdaq would not consider the bid price or filing. However, Rule 19b–4(f)(6)(iii) 18 questions about the underlying financial condition market value of publicly held shares for the period of an issuer, which in turn can create a crisis of before or during the suspension with respect to a permits the Commission to designate a confidence without a fundamental underlying basis. company that is not yet non-compliant with those shorter time if such action is consistent This crisis of confidence can impair the liquidity requirements at the start of the suspension. with the protection of investors and the and ultimate viability of an issuer, with potentially 11 For example, if a company is 120 days into its public interest. The Exchange has broad market consequences.’’). first 180-day compliance period for a bid price 7 Similarly, from January 1, 2008, to September deficiency when the suspension starts and the 30, 2008, the number of companies deficient in the company does not regain compliance during the 15 15 U.S.C. 78s(b)(3)(A). market value of publicly held shares requirement suspension, the company would have an additional 16 17 CFR 240.19b–4(f)(6). Pursuant to Rule 19b– more than doubled. sixty days starting on January 19, 2009, to regain 4(f)(6)(iii) under the Act, the Exchange is required 8 In late 2001, in response to a continuing decline compliance. The company may be eligible for the to give the Commission written notice of its intent in the market, which was exacerbated by the tragic second 180-day compliance period if it satisfies the to file the proposed rule change, along with a brief events of September 11th, Nasdaq imposed a conditions for the second compliance period at the description and text of the proposed rule change, similar temporary suspension on delisting conclusion of the first compliance period. at least five business days prior to the date of filing securities which were deficient in the bid price and 12 As noted above, following the suspension, of the proposed rule change, or such shorter time market value of publicly held shares requirements. companies presently in the compliance process will as designated by the Commission. The Exchange Securities Exchange Act Release No. 44857 remain at that same stage of the process. has satisfied this requirement. (September 27, 2001), 66 FR 50485 (October 3, 13 15 U.S.C. 78f. 17 17 CFR 240.19b–4(f)(6). 2001) (SR–NASD–2001–61). 14 15 U.S.C. 78f(b)(5). 18 17 CFR 240.19b–4(f)(6)(iii).
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requested that the Commission waive Paper Comments SECURITIES AND EXCHANGE the 30-day operative delay. COMMISSION The Commission believes that • Send paper comments in triplicate waiving the 30-day operative delay is to Secretary, Securities and Exchange [Release No. 34–58779; File No. SR–NYSE– 2008–78] consistent with the protection of Commission, 100 F Street, NE., investors and the public interest Washington, DC 20549–1090. Self-Regulatory Organizations; New because it will allow Nasdaq to All submissions should refer to File York Stock Exchange LLC; Order immediately implement a temporary Granting Approval of Proposed Rule measure to suspend its continued listing Number SR–NASDAQ–2008–082. This file number should be included on the Change Amending NYSE Rule 18 To requirements relating to bid price and Allow NYSE Alternext US LLC To market value of publicly held shares to subject line if e-mail is used. To help the Commission process and review your Participate in the Compensation Fund respond to recent market volatility and Established by NYSE To Reimburse conditions. The Commission notes that comments more efficiently, please use only one method. The Commission will Claimants for Losses Associated With this will provide certain companies NYSE-Operated System Failures with immediate relief from receiving a post all comments on the Commission’s deficiency or delisting notification, or Internet Web site (http://www.sec.gov/ October 14, 2008. from being delisted, as a result of the rules/sro.shtml). Copies of the current market conditions. The submission, all subsequent I. Introduction Commission notes that this action is amendments, all written statements On August 26, 2008, the New York temporary in nature, and that following with respect to the proposed rule Stock Exchange LLC (‘‘NYSE’’ or the suspension, companies currently in change that are filed with the ‘‘Exchange’’) filed with the Securities the compliance process or in the Commission, and all written and Exchange Commission hearings process will resume at the communications relating to the (‘‘Commission’’), pursuant to Section same stage of the process if they remain proposed rule change between the 19(b)(1) of the Securities Exchange Act non-compliant with these standards. Commission and any person, other than of 1934 (‘‘Act’’) 1 and Rule 19b–4 2 This will ensure that the temporary those that may be withheld from the thereunder, a proposed rule change suspension addresses the concerns to public in accordance with the amending NYSE Rule 18 to allow NYSE companies and investors caused by the 3 provisions of 5 U.S.C. 552, will be Alternext US LLC (‘‘NYSE Alternext’’ ) current market conditions, and that may to participate in the compensation fund available for inspection and copying in result in a company’s securities established by NYSE to reimburse the Commission’s Public Reference becoming non-compliant with the bid claimants for losses associated with a Room, on official business days between price and market value of publicly held malfunction of the Exchange’s physical shares requirements, or unable to cure the hours of 10 a.m. and 3 p.m. Copies equipment, devices, and/or such a deficiency, due to these market of the filing also will be available for programming which results in an conditions. For these reasons, the inspection and copying at the principal incorrect execution or no execution of Commission designates that the office of the Exchange. All comments an order that was received in Exchange proposed rule change become operative received will be posted without change; systems (an ‘‘Exchange systems immediately upon filing.19 the Commission does not edit personal malfunction’’). The proposed rule At any time within 60 days of the identifying information from change was published for comment in filing of the proposed rule change, the submissions. You should submit only the Federal Register on September 9, Commission may summarily abrogate information that you wish to make 2008.4 The Commission received no the rule change if it appears to the available publicly. All submissions comments on the proposal. This order Commission that such action is should refer to File Number SR– approves the proposed rule change. necessary or appropriate in the public NASDAQ–2008–082 and should be II. Description of the Proposal interest, for the protection of investors, submitted on or before November 13, or otherwise in furtherance of the 2008. Through a series of mergers (the purposes of the Act. ‘‘Mergers’’), the American Stock For the Commission, by the Division of IV. Solicitation of Comments Exchange LLC (‘‘Amex’’) has become a Trading and Markets, pursuant to delegated subsidiary of NYSE Euronext and was Interested persons are invited to authority.20 renamed NYSE Alternext US LLC.5 In submit written data, views and J. Lynn Taylor, connection with the Mergers, NYSE arguments concerning the foregoing, Assistant Secretary. Alternext will relocate all equities including whether the proposed rule [FR Doc. E8–25242 Filed 10–22–08; 8:45 am] trading currently conducted on or change is consistent with the Act. through the Amex legacy trading Comments may be submitted by any of BILLING CODE 8011–01–P systems and facilities located at 86 the following methods: Electronic Comments 1 15 U.S.C. 78s(b)(1). 2 • Use the Commission’s Internet 17 CFR 240.19b–4. 3 NYSE Alternext US LLC will be a self-regulatory comment form (http://www.sec.gov/ organization distinct from NYSE Euronext’s rules/sro.shtml); or European-market subsidy, NYSE Alternext. When • Send an e-mail to rule- used throughout this order, ‘‘NYSE Alternext’’ [email protected]. Please include File refers to NYSE Alternext US LLC. Number SR–NASDAQ–2008–082 on the 4 See Securities Exchange Act Release No. 58450 (September 2, 2008), 73 FR 52439 (September 9, subject line. 2008) (SR–NYSE–2008–78) (‘‘Notice’’). 5 See Securities Exchange Act Release No. 58284 19 For purposes only of waiving the 30-day (August 1, 2008), 73 FR 46086 (August 7, 2008) operative delay, the Commission has considered the (SR–Amex–2008–62) and Securities Exchange Act proposed rule’s impact on efficiency, competition, Release No. 58673 (September 29, 2008) (SR– and capital formation. 15 U.S.C. 78c(f). 20 17 CFR 200.30–3(a)(12). Amex–2008–62).
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Trinity Place, New York, New York, to NYSE Alternext exceeds the available IV. Conclusion the NYSE trading systems and facilities funds in the NYSE Rule 18 It is therefore ordered, pursuant to located at 11 Wall Street, New York, compensation fund, NYSE Alternext Section 19(b)(2) of the Act,12 that the New York (the ‘‘NYSE Alternext would receive a partial payment of proposed rule change (SR–NYSE–2008– Trading Systems’’), which will be claims pursuant to NYSE Rule 18(c), 78) be, and it hereby is, approved. operated by the NYSE on behalf of and NYSE Alternext’s obligation to For the Commission, by the Division of NYSE Alternext (the ‘‘Equities compensate its members for valid Relocation’’). Trading and Markets, pursuant to delegated claims would be reduced by a like 13 NYSE Rule 18 establishes a authority. percentage.9 In the event that a compensation fund and provides a Florence E. Harmon, reduction is required, in calculating any procedure for compensating NYSE Acting Secretary. member claimants in the event of an such reduction, NYSE officials would [FR Doc. E8–25319 Filed 10–22–08; 8:45 am] consider each claim submitted by NYSE Exchange system failure.6 The BILLING CODE 8011–01–P Commission recently approved Amex’s Alternext as a separate claim, so that all proposal to adopt a rule substantially claimants from both the Exchange and similar to NYSE Rule 18.7 This rule, NYSE Alternext will share equitably SMALL BUSINESS ADMINISTRATION NYSE Alternext Equities Rule 18, from the compensation fund. [Disaster Declaration # 11479] provides a procedure for compensating NYSE also proposes technical changes NYSE Alternext member claimants in to NYSE Rule 18, including corrections Kentucky Disaster # KY–00017 the event of an NYSE Alternext systems to the numbering of certain failure. Specifically, under NYSE subparagraphs of the Rule. AGENCY: U.S. Small Business Alternext Equities Rule 18, NYSE Administration. Alternext members and member III. Discussion and Commission ACTION: Notice. organizations affected by a failure of the Findings NYSE Alternext Trading Systems would SUMMARY: This is a Notice of the have the right to submit claims for The Commission has carefully Presidential declaration of a major compensation to NYSE Alternext. NYSE reviewed the proposed rule change and disaster for Public Assistance Only for Alternext’s Compensation Review Panel finds that it is consistent with the the Commonwealth of Kentucky would then decide the validity of NYSE requirements of the Act and the rules (FEMA–1802–DR), dated 10/09/2008. Alternext claims. and regulations thereunder applicable to Incident: Severe Wind Storm Because NYSE Alternext will operate a national securities exchange.10 In associated with Tropical Depression Ike on the Exchange’s trading systems after particular, the Commission finds that Incident Period: 09/14/2008 through the Equities Relocation, NYSE proposes the proposed rule change is consistent 09/15/2008. to amend NYSE Rule 18 to provide a with Section 6(b)(5) of the Act,11 which, EFFECTIVE DATE: 10/09/2008. mechanism for NYSE Alternext itself to among other things, requires that the Physical Loan Application Deadline seek reimbursement from NYSE for the rules of a national securities exchange Date: 12/08/2008. amounts that NYSE Alternext be designed to promote just and Economic Injury (EIDL) Loan undertakes to pay out to NYSE equitable principles of trade, to foster Application Deadline Date: 07/09/2009. Alternext members under NYSE cooperation and coordination with ADDRESSES: Submit completed loan Alternext Equities Rule 18 as a result of persons engaged in regulating applications to: U.S. Small Business an Exchange system malfunction.8 transactions in securities, to remove Administration, Processing and Thus, after the NYSE Alternext impediments to and perfect the Disbursement Center, 14925 Kingsport Compensation Review Panel has mechanism of a free and open market Road, Fort Worth, TX 76155. determined the number and amount of FOR FURTHER INFORMATION CONTACT: A. claims that NYSE Alternext deems and a national market system, and, in Escobar, Office of Disaster Assistance, valid, NYSE Alternext would submit to general, to protect investors and the U.S. Small Business Administration, the NYSE a separate claim for each valid public interest. The Commission 409 3rd Street, SW., Suite 6050, claim made by NYSE Alternext believes that the proposed amendments Washington, DC 20416. members or member organizations, to NYSE Rule 18 provide for a fair and subject to the same requirements under reasonable process by which NYSE SUPPLEMENTARY INFORMATION: Notice is NYSE Rule 18 as any other NYSE Alternext may participate in the hereby given that as a result of the claimant. NYSE Alternext will not, compensation fund established by the President’s major disaster declaration on however, be required to provide verbal Exchange to reimburse claimants for 10/09/2008, Private Non-Profit notice of its claims to the Exchange’s losses suffered due to a malfunction of organizations that provide essential Division of Floor Operations. systems operated by the Exchange. services of governmental nature may file In the event that the total amount of disaster loan applications at the address valid claims by NYSE members and 9 In the Notice, NYSE stated that it does not listed above or other locally announced anticipate that the additional claims by NYSE locations. 6 See Securities Exchange Act Release Nos. 56085 Alternext would create a substantial burden on the The following areas have been (July 17, 2007), 72 FR 40348 (July 24, 2007) (SR– fund in the event of a system malfunction in view determined to be adversely affected by NYSE–2007–09) (adopting NYSE Rule 18); 56718 of: (i) The probable volume of trading on NYSE the disaster: (October 29, 2007), 72 FR 62506 (November 5, 2007) Alternext; (ii) the fact that to date, the existing (SR–NYSE–2007–95) (approving certain compensation fund has been sufficient to pay all Primary Counties: Ballard, Boone, amendments to NYSE Rule 18). For a complete valid claims in full; and (iii) the current amount Breckinridge, Bullitt, Caldwell, discussion of Rule 18, see the Notice, supra note 4. available in the supplemental fund. Notice at Calloway, Campbell, Carlisle, 7 See Securities Exchange Act Release No. 34– 52440. Carroll, Crittenden, Daviess, Fulton, 58705 (October 1, 2008) 73 FR 58995 (October 8, 10 In approving this proposed rule change, the 2008) (SR–Amex–2008–63). Commission has considered the proposed rule’s Gallatin, Graves, Hancock, 8 NYSE Alternext members and member impact on efficiency, competition, and capital organizations would not be able to submit their formation. See 15 U.S.C. 78c(f). 12 15 U.S.C. 78s(b)(2). claims directly to the NYSE. 11 15 U.S.C. 78f(b)(5). 13 17 CFR 200.30–3(a)(12).
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Henderson, Hickman, Hopkins, listed above or other locally announced services of governmental nature may file Jefferson, Livingston, Lyon, locations. disaster loan applications at the address Marshall, Mccracken, Mclean, The following areas have been listed above or other locally announced Meade, Muhlenberg, Ohio, Oldham, determined to be adversely affected by locations. Shelby, Trigg, Trimble, Union, the disaster: The following areas have been Webster. Primary Counties: Beaufort, Brunswick, determined to be adversely affected by The Interest Rates are: Person. the disaster: The Interest Rates are: Primary Counties: Alfalfa, Cimarron, Percent Dewey, Ellis, Grant, Harper, Kay, Percent Major, Woods, Woodward. Other (Including Non-Profit Orga- The Interest Rates are: nizations) with Credit Available Other (Including Non-Profit Orga- Elsewhere ...... 5.250 nizations) with Credit Available Percent Businesses and Non-Profit Orga- Elsewhere ...... 5.250 nizations without Credit Avail- Businesses and Non-Profit Orga- Other (Including Non-Profit Orga- able Elsewhere ...... 4.000 nizations without Credit Avail- nizations) with Credit Available able Elsewhere ...... 4.000 Elsewhere: ...... 5.250 The number assigned to this disaster Businesses and Non-Profit Orga- for physical damage and economic The number assigned to this disaster nizations without Credit Avail- injury is 11479. for physical damage and for economic able Elsewhere: ...... 4.000 injury is 11478. (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) (Catalog of Federal Domestic Assistance The number assigned to this disaster Numbers 59002 and 59008) for physical damage and economic Herbert L. Mitchell, injury is 11480. Associate Administrator for Disaster Herbert L. Mitchell, Assistance. Associate Administrator for Disaster (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) [FR Doc. E8–25326 Filed 10–22–08; 8:45 am] Assistance. BILLING CODE 8025–01–P [FR Doc. E8–25328 Filed 10–22–08; 8:45 am] Herbert L. Mitchell, BILLING CODE 8025–01–P Associate Administrator for Disaster Assistance. SMALL BUSINESS ADMINISTRATION [FR Doc. E8–25325 Filed 10–22–08; 8:45 am] SMALL BUSINESS ADMINISTRATION [Disaster Declaration # 11478] BILLING CODE 8025–01–P [Disaster Declaration # 11480] North Carolina Disaster # NC–00016 Oklahoma Disaster # OK–00025 DEPARTMENT OF STATE AGENCY: U.S. Small Business Administration. AGENCY: U.S. Small Business [Public Notice: 6414] ACTION: Notice. Administration. ACTION: Notice. Bureau of Verification, Compliance and SUMMARY: This is a Notice of the Implementation: Imposition of Presidential declaration of a major SUMMARY: This is a Notice of the Measures Against Foreign Persons, disaster for Public Assistance Only for Presidential declaration of a major Including a Ban on U.S. Government the State of North Carolina (FEMA– disaster for Public Assistance Only for Procurement 1801–DR), dated 10/08/2008. the State of Oklahoma (FEMA–1803– AGENCY: Incident: Tropical Storm Hanna. DR), dated 10/09/2008. Department of State. Incident Period: 09/04/2008 through Incident: Severe Storms, Tornadoes, ACTION: Notice. 09/15/2008. and Flooding. SUMMARY: A determination has been EFFECTIVE DATE: 10/08/2008 Incident Period: 09/12/2008 through 09/19/2008. made that thirteen foreign persons have Physical Loan Application Deadline engaged in activities that warrant the EFFECTIVE DATE: 10/09/2008. Date: 12/08/2008. imposition of measures pursuant to Economic Injury (EIDL) Loan Physical Loan Application Deadline Section 3 of the Iran, North Korea, and Application Deadline Date: 07/08/2009. Date: 12/08/2008. Syria Nonproliferation Act, which ADDRESSES: Submit completed loan Economic Injury (EIDL) Loan Application Deadline Date: 07/09/2009. provides for penalties on entities and applications to: U.S. Small Business individuals for the transfer to or ADDRESSES: Submit completed loan Administration, Processing and acquisition from Iran since January 1, applications to: U.S. Small Business Disbursement Center, 14925 Kingsport 1999, the transfer to or the acquisition Administration, Processing and Road, Fort Worth, TX 76155. from Syria since January 1, 2005, or the Disbursement Center, 14925 Kingsport FOR FURTHER INFORMATION CONTACT: A. transfer to or acquisition from North Road, Fort Worth, TX 76155. Escobar, Office of Disaster Assistance, Korea since January 1, 2006, of U.S. Small Business Administration, FOR FURTHER INFORMATION CONTACT: A. equipment and technology controlled 409 3rd Street, SW., Suite 6050, Escobar, Office of Disaster Assistance, under multilateral control lists (Missile Washington, DC 20416. U.S. Small Business Administration, Technology Control Regime, Australia SUPPLEMENTARY INFORMATION: Notice is 409 3rd Street, SW., Suite 6050, Group, Chemical Weapons Convention, hereby given that as a result of the Washington, DC 20416. Nuclear Suppliers Group, Wassenaar President’s major disaster declaration on SUPPLEMENTARY INFORMATION: Notice is Arrangement) or otherwise having the 10/08/2008, Private Non-Profit hereby given that as a result of the potential to make a material organizations that provide essential President’s major disaster declaration on contribution to the development of services of governmental nature may file 10/09/2008, Private Non-Profit weapons of mass destruction (WMD) or disaster loan applications at the address organizations that provide essential cruise or ballistic missile systems. The
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latter category includes (a) Items of the R and M International FZCO (United DEPARTMENT OF TRANSPORTATION same kind as those on multilateral lists Arab Emirates) and any successor, sub- but falling below the control list unit, or subsidiary thereof; Federal Highway Administration parameters, when it is determined that Venezuelan Military Industries Environmental Impact Statement: Lake such items have the potential of making Company (CAVIM) (Venezuela) and any a material contribution to WMD or County, IL successor, sub-unit, or subsidiary cruise or ballistic missile systems, (b) thereof. other items with potential of making AGENCY: Federal Highway such a material contribution, when According, pursuant to the provisions Administration (FHWA), DOT. of the Act, the following measures are added through case-by-case decisions, ACTION: Notice of Intent. and (c) items on U.S. national control imposed on these entities: lists for WMD/missile reasons that are 1. No department or agency of the SUMMARY: The FHWA is issuing this not on multilateral lists. United States Government may procure, notice to advise the public that an DATES: Effective Date: October 23, 2008. or enter into any contract for the environmental impact statement will FOR FURTHER INFORMATION CONTACT: On procurement of any goods, technology, not be prepared for the Lake County, general issues: Mr. Stephen J. Tomchik, or services from these foreign persons, Illinois, Transportation Improvement Bureau of Verification, Compliance, and except to the extent that the Secretary of Project. Implementation, Department of State. State otherwise may have determined; Telephone (202) 647–1192. For U.S. 2. No department or agency of the FOR FURTHER INFORMATION CONTACT: Government procurement ban issues: United States Government may provide Norman R. Stoner, P.E., Division Kimberly Triplett, Office of the any assistance to the foreign persons, Administrator, Federal Highway Procurement Executive, Department of Administration, 3250 Executive Park State, Telephone: (703) 875–4079. and these persons shall not be eligible to participate in any assistance program Drive, Springfield, Illinois 62703, SUPPLEMENTARY INFORMATION: Pursuant of the United States Government, except Phone: (217) 492–4600. Diane O’Keefe, to Sections 2 and 3 of the Iran, North to the extent that the Secretary of State P.E., Region One Engineer, District 1, Korea and Syria Nonproliferation Act otherwise may have determined; Illinois Department of Transportation, (P.L. 109–353), the U.S. Government 201 West Center Court, Schaumburg, determined on August 12, 2008 that the 3. No United States Government sales Illinois 60196, Phone: (847) 705–4201. measures authorized in Section 3 of the to the foreign persons of any item on the Act shall apply to the following foreign United States Munitions List are SUPPLEMENTARY INFORMATION: The persons identified in the report permitted, and all sales to these persons FHWA, in cooperation with the illinois submitted pursuant to Section 2(a) of of any defense articles, defense services, Department of Transportation, issued a the Act: or design and construction services notice of intent to prepare an China Xinshidai Company (China) under the Arms Export Control Act are environmental impact statement (EIS) and any successor, sub-unit, or terminated; and on a proposal to identify a system of subsidiary thereof; strategic roadway, rail, and bus 4. No new individual licenses shall be China Shipbuilding and Offshore improvements as well as a package of granted for the transfer to these foreign International Corporation, LTD (China) transportation management strategies persons of items the export of which is and any successor, sub-unit, or necessary to help address the key controlled under the Export subsidiary thereof; congestion and mobility problems in Administration Act of 1979 or the Huazhong CNC (China) and any Lake County, Illinois. A Notice of Export Administration Regulations, and successor, sub-unit, or subsidiary Availability of the Draft EIS was any existing such licenses are thereof; published in the Federal Register on Islamic Revolutionary Guard Corps suspended. September 21, 2001 (Volume 66, (IRGC) (Iran) and any successor, sub- These measures shall be implemented Number 184). Three alternatives were unit, or subsidiary thereof; by the responsible departments and Korea Mining Development presented in detail in the Draft EIS agencies of the United States including the No Action Alternative, Corporation (North Korea) and any Government and will remain in place successor, sub-unit, or subsidiary Illinois 53 Freeway/Tollway Alternative for two years from the effective date, and the Illinois 83/U.S. 45 with U.S. 12 thereof; except to the extent that the Secretary of Korea Taesong Trading Company Alternative. State may subsequently determine (North Korea) and any successor, sub- Due to public opposition and lack of otherwise. A new determination will be unit, or subsidiary thereof; regional support, this project has been made in the event that circumstances Yolin/Yullin Tech, Inc., Ltd. (South put on hold indefinitely. At this time change in such a manner as to warrant Korea) and any successor, sub-unit, or there are no plans to prepare a Final EIS a change in the duration of sanctions. subsidiary thereof; for this project. Comments or questions Rosoboronexport (ROE) (Russia) and Dated: October 16, 2008. concerning this notice should be any successor, sub-unit, or subsidiary Stephen A. Elliott, directed to FHWA or the Illinois thereof; Acting Assistant Secretary for Verification, Department of Transportation at the Sudan Master Technology (Sudan) Compliance, and Implementation, addresses provided above. and any successor, sub-unit, or Department of State. subsidiary thereof; Issued on: October 16, 2008. [FR Doc. E8–25316 Filed 10–22–08; 8:45 am] Sudan Technical Center Company Norman R. Stoner, BILLING CODE 4710–27–P (STC) (Sudan) and any successor, sub- Division Administrator, Springfield, Illinois. unit, or subsidiary thereof; [FR Doc. E8–25125 Filed 10–22–08; 8:45 am] Army Supply Bureau (Syria) and any successor, sub-unit, or subsidiary BILLING CODE 4910–22–M thereof;
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DEPARTMENT OF TRANSPORTATION a four-lane, divided highway with two Floodplain Management; E.O. 12898, twelve-foot lanes in each direction, a 40- Federal Actions to Address Federal Highway Administration foot depressed median, and paved Environmental Justice in Minority shoulders. Seven interchanges are Populations and Low Income Notice of Final Federal Agency Actions proposed along the project at the Populations; E.O. 11593 Protection and on Proposed Highway in Virginia following secondary roads to provide Enhancement of Cultural Resources; AGENCY: Federal Highway access to communities in the study area: E.O. 13007 Indian Sacred Sites; E.O. Administration (FHWA), DOT. Routes 258, 616, 620, 40, 602, 625, and 13287 Preserve America; E.O. 13175 ACTION: Notice of Limitation on Claims 156. The actions by the Federal Consultation and Coordination with for Judicial Review of Actions by agencies, and the laws under which Indian Tribal Governments; E.O. 11514 FHWA. such actions were taken, are described Protection and Enhancement of in the Final Environmental Impact Environmental Quality; E.O. 13112 SUMMARY: This notice announces actions Statement (FEIS) for the project, Invasive Species. approved on June 10, 2008, in the taken by the FHWA that are final within (Catalog of Federal Domestic Assistance the meaning of 23 U.S.C. 139(1)(1). The FHWA Record of Decision (ROD) issued Program Number 20.205, Highway Planning actions relate to a proposed highway on September 12, 2008, and in other and Construction. The regulations project on new location, Route 460, documents in the FHWA administrative implementing Executive Order 12372 between the Route 58 Bypass in Suffolk record. The FEIS, ROD, and other regarding intergovernmental consultation on and Interstate 295 in Prince George documents in the FHWA administrative Federal programs and activities apply to this County, in the City of Suffolk, Isle of record file are available by contacting program.) Wight County, Town of Waverly, the FHWA or the Virginia Department of Authority: 23 U.S.C. 139(1)(1). Southampton County, Sussex County, Transportation at the addresses Issued on: October 8, 2008. and Prince George County, State of provided above. The FHWA FEIS can be Virginia. Those actions grant approvals viewed and downloaded from the Edward Sundra, for the project. project Web site at: http:// Planning and Environment Program Manager, Richmond, Virginia. DATES: By this notice, the FHWA is www.virginiadot.org/projects/ advising the public of final agency hamptonroads/ [FR Doc. E8–25161 Filed 10–22–08; 8:45 am] actions subject to 23 U.S.C. 139(1)(1). A route_460_location_study.asp. BILLING CODE 4910–RY–M claim seeking judicial review of the This notice applies to all FHWA Federal agency actions on the highway decisions and approvals as of the project will be barred unless the claim issuance date of this notice and all laws DEPARTMENT OF THE TREASURY is filed on or before April 21, 2009. If under which such actions were taken, the Federal law that authorizes judicial including but not limited to: Internal Revenue Service review of a claim provides a time period 1. General: National Environmental Policy Act (NEPA) [42 U.S.C. 4321– Proposed Collection; Comment of less than 180 days for filing such Request for Form 1098–C claim, then that shorter time period still 4351]; Federal-Aid Highway Act [23 applies. U.S.C. 109]. AGENCY: Internal Revenue Service (IRS), FOR FURTHER INFORMATION CONTACT: Mr. 2. Air: Clean Air Act, 42 U.S.C. 7401– Treasury. 7671(q). Edward S. Sundra, Planning and ACTION: Notice and request for 3. Land: Section 4(f) of the Environment Program Manager, Federal comments. Highway Administration, 400 North 8th Department of Transportation Act of Street, Suite 750, Richmond, Virginia 1966 [49 U.S.C. 303]; Landscaping and SUMMARY: The Department of the 23219; telephone: (804) 775–3353; Scenic Enhancement (Wildflowers), 23 Treasury, as part of its continuing effort e-mail: [email protected]. The FHWA U.S.C. 319. to reduce paperwork and respondent Virginia Division Office’s normal 4. Wildlife: Endangered Species Act burden, invites the general public and business hours are 7 a.m. to 4:30 p.m. [16 U.S.C. 1531–1544 and Section other Federal agencies to take this (eastern time). You may also contact Mr. 1536], Marine Mammal Protection Act opportunity to comment on proposed Chris G. Collins, Project Studies [16 U.S.C. 1361], Fish and Wildlife and/or continuing information Manager, Virginia Department of Coordination Act [16 U.S.C. 661– collections, as required by the Transportation, 1401 East Broad Street, 667(d)], Migratory Bird Treaty Act [16 Paperwork Reduction Act of 1995, Richmond, Virginia 23219; telephone: U.S.C. 703–712]. Public Law 104–13 (44 U.S.C. 5. Historic and Cultural Resources: (804) 225–3608, e-mail: 3506(c)(2)(A)). Currently, the IRS is Section 106 of the National Historic [email protected]. soliciting comments concerning Form Preservation Act of 1966, as amended 1098–C, Contributions of Motor SUPPLEMENTARY INFORMATION: Notice is [16 U.S.C. 470(f) et seq.]; Archeological Vehicles, Boats, and Airplanes. hereby given that the FHWA has taken Resources Protection Act of 1977 [16 DATES: Written comments should be final agency actions by issuing U.S.C. 470(aa)–11]; Archeological and received on or before December 22, 2008 approvals for the following highway Historic Preservation Act [16 U.S.C. to be assured of consideration. project in the State of Virginia: Route 469–469(c)]; Native American Grave 460, from the Route 58 Bypass in Protection and Repatriation Act ADDRESSES: Direct all written comments Suffolk to Interstate 295 in Prince (NAGPRA) [25 U.S.C. 3001–3013]. to Glenn P. Kirkland, Internal Revenue George County, in the City of Suffolk, 6. Social and Economic: Civil Rights Service, room 6129, 1111 Constitution Isle of Wight County, Town of Waverly, Act of 1964 [42 U.S.C. 2000(d)– Avenue, NW., Washington, DC 20224. Southampton County, Sussex County, 2000(d)(1)]; American Indian Religious FOR FURTHER INFORMATION CONTACT: and Prince George County. The project Freedom Act [42 U.S.C. 1996]; Farmland Requests for additional information or will be approximately 88.5 km (55 mi) Protection Policy Act (FPPA) [7 U.S.C. copies of the form and instructions long and is proposed as a limited access 4201–4209]. should be directed to Carolyn N. Brown, principal arterial roadway on new 7. Executive Orders: E.O. 11990 (202) 622–6688, at Internal Revenue location. The typical section consists of Protection of Wetlands; E.O. 11988 Service, room 6129, 1111 Constitution
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Avenue, NW., Washington, DC 20224, ways to minimize the burden of the FOR FURTHER INFORMATION CONTACT: or through the Internet at collection of information on Nancy J. Kessinger at (202) 461–9769 or [email protected]. respondents, including through the use FAX (202) 275–5947. SUPPLEMENTARY INFORMATION: of automated collection techniques or SUPPLEMENTARY INFORMATION: Under the Title: Contributions of Motor other forms of information technology; PRA of 1995 (Pub. L. 104–13; 44 U.S.C. Vehicles, Boats, and Airplanes. and (e) estimates of capital or start-up 3501—3521), Federal agencies must OMB Number: 1545–1959. costs and costs of operation, obtain approval from the Office of Form Number: 1098–C. maintenance, and purchase of services Management and Budget (OMB) for each Abstract: Section 884 of the American to provide information. collection of information they conduct Jobs Creation Act of 2004 (Pub. L. 108– Approved: October 1, 2008. or sponsor. This request for comment is 357) added new paragraph 12 to section Glenn P. Kirkland, being made pursuant to Section 170(f) for contributions of used motor IRS Reports Clearance Officer. 3506(c)(2)(A) of the PRA. vehicles, boats, and airplanes. Section [FR Doc. E8–25218 Filed 10–22–08; 8:45 am] With respect to the following collection of information, VBA invites 170(f)(12) requires that a donee BILLING CODE 4830–01–P organization provide an comments on: (1) Whether the proposed acknowledgement to the donor of this collection of information is necessary type of property and is required to file for the proper performance of VBA’s DEPARTMENT OF VETERANS the same information to the Internal functions, including whether the AFFAIRS Revenue Service. New Form 1098–C information will have practical utility; may be used as the acknowledgement [OMB Control No. 2900–0671] (2) the accuracy of VBA’s estimate of the and it, or an acceptable substitute, must burden of the proposed collection of be filed with the IRS. Proposed Information Collection information; (3) ways to enhance the Current Actions: There is no change (Traumatic Injury Protection (TSGLI)) quality, utility, and clarity of the in the paperwork burden previously Activity; Comment Request information to be collected; and (4) ways to minimize the burden of the approved by OMB. This form is being AGENCY: Veterans Benefits collection of information on submitted for renewal purposes only. Administration, Department of Veterans respondents, including through the use Type of Review: Extension of a Affairs. currently approved collection. of automated collection techniques or Affected Public: Individuals and ACTION: Notice. the use of other forms of information Households, Businesses and other for- SUMMARY: The Veterans Benefits technology. profit organizations. Administration (VBA), Department of Title: Traumatic Injury Protection Estimated Number of Respondents: Veterans Affairs (VA), is announcing an (TSGLI). 5,000. opportunity for public comment on the OMB Control Number: 2900–0671. Estimated Time per Respondent: 12 proposed collection of certain Type of Review: Extension of a minutes. information by the agency. Under the currently approved collection. Estimated Total Annual Burden Paperwork Reduction Act (PRA) of Abstract: Servicemembers who Hours: 1,000. 1995, Federal agencies are required to experienced a traumatic injury such as The following paragraph applies to all publish notice in the Federal Register loss of limbs on or after October 7, 2001 of the collections of information covered concerning each proposed collection of through November 30, 2005 are eligible by this notice: information, including each proposed to receive Traumatic Injury Protection An agency may not conduct or extension of a current collection, and benefits if the loss was incurred during sponsor, and a person is not required to allow 60 days for public comment in Operation Enduring Freedom or respond to, a collection of information response to the notice. This notice Operation Iraqi Freedom. TSGLI unless the collection of information solicits comments on information provides severely injured displays a valid OMB control number. needed to determine servicemembers’ servicemembers and the member’s Books or records relating to a collection eligibility requirements for payment of family with monetary assistance of information must be retained as long traumatic injury protection benefits through an often long and difficult as their contents may become material covered under Servicemembers’ Group rehabilitation period. The in the administration of any internal Life Insurance. servicemembers must be insured under revenue law. Generally, tax returns and the Servicemembers’ Group Life DATES: tax return information are confidential, Written comments and Insurance to be eligible for TSGLI. The as required by 26 U.S.C. 6103. recommendations on the proposed servicemember, the attending physician, Request for Comments: Comments collection of information should be and the branch of service must complete submitted in response to this notice will received on or before December 22, Prudential Form GL.2005.261, be summarized and/or included in the 2008. Certification of Traumatic Injury request for OMB approval. All ADDRESSES: Submit written comments Protection in order for the comments will become a matter of on the collection of information through servicemember to receive such benefits. public record. www.Regulations.gov; or to Nancy J. VA uses the data collected to determine Comments are Invited on: (a) Whether Kessinger, Veterans Benefits the member’s eligibility for TSGLI the collection of information is Administration (20M35), Department of benefits. necessary for the proper performance of Veterans Affairs, 810 Vermont Avenue, Affected Public: Individuals or the functions of the agency, including NW., Washington, DC 20420 or e-mail households. whether the information shall have [email protected]. Please refer to Estimated Annual Burden: 475 hours. practical utility; (b) the accuracy of the ‘‘OMB Control No. 2900–0671’’ in any Estimated Average Burden per agency’s estimate of the burden of the correspondence. During the comment Respondent: 30 minutes. collection of information; (c) ways to period, comments may be viewed online Frequency of Response: One-time. enhance the quality, utility, and clarity through the Federal Docket Management Estimated Number of Respondents: of the information to be collected; (d) System (FDMS) at www.Regulations.gov. 950.
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Dated: October 14, 2008. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E8–25288 Filed 10–22–08; 8:45 am] BILLING CODE 8230–01–P
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Part II
Department of Education 34 CFR Parts 674, 682, and 685 Federal Perkins Loan Program, Federal Family Education Loan Program, and William D. Ford Federal Direct Loan Program; Final Rule
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DEPARTMENT OF EDUCATION For information related to not-for-profit of the National Guard and the activities loan holders, Pamela Moran. Telephone: are paid for with Federal funds. 34 CFR Parts 674, 682, and 685 (202) 502–7732 or via the Internet at: • Amending §§ 674.34(i)(2)(iv), RIN 1840–AC94 [email protected]. 682.210(u)(2)(iv), and 685.204(f)(2)(iv) If you use a telecommunications to specify that active duty for purposes [Docket ID ED–2008–OPE–0009] device for the deaf (TDD), call the of the active duty deferment does not Federal Relay Service (FRS), toll free, at include a borrower who is serving full- Federal Perkins Loan Program, Federal 1–800–877–8339. time in a permanent position with the Family Education Loan Program, and Individuals with disabilities can National Guard, unless the borrower is William D. Ford Federal Direct Loan obtain this document in an alternative reassigned as part of a call-up to active Program format (e.g., Braille, large print, duty service. • AGENCY: Office of Postsecondary audiotape, or computer diskette) on Amending §§ 674.34(h)(7), Education, Department of Education. request to the contact person listed in 682.210(t)(9), and 685.204(e)(7) to authorize loan holders to grant a ACTION: Final regulations. this section. military service deferment to an SUPPLEMENTARY INFORMATION: On July 1, otherwise eligible borrower for an initial SUMMARY: The Secretary amends the 2008, the Secretary published a notice deferment period not to exceed 12 Federal Perkins Loan (Perkins Loan) of proposed rulemaking (NPRM) for the months based on a request from either Program, Federal Family Education Perkins Loan, FFEL, and Direct Loan the borrower or the borrower’s Loan (FFEL) Program, and William D. Programs in the Federal Register (73 FR Ford Federal Direct Loan (Direct Loan) representative. 37694). • Amending §§ 674.34(i)(4), Program regulations to implement In the preamble to the NPRM, the provisions of the College Cost Reduction 682.210(u)(4), and 685.214(f)(4) to Secretary discussed on pages 37695 specify that if a borrower is eligible for and Access Act of 2008 (CCRAA) (Pub. through 37697 the major regulations L. 110–84), including the statutory both the 180-day military service proposed in that document to deferment following the borrower’s provisions that establish the Income- implement provisions of the CCRAA, Based Repayment (IBR) plan and the demobilization, and the 13-month post- including the following: active duty student deferment, the Public Service Loan Forgiveness • Amending §§ 674.34 and 682.210, Program. borrower’s eligibility for these separate which govern economic hardship deferments runs concurrently. DATES: Effective Date: These regulations deferments in the Perkins Loan and • Amending § 682.211(h) to require a are effective July 1, 2009. FFEL programs to define the term FFEL loan holder to grant a mandatory Implementation date: The Secretary ‘‘family size’’, clarify that the poverty forbearance to a borrower who is called has determined, in accordance with guidelines used in determining to active State duty for more than 30 section 482(c)(2)(A) of the Higher economic hardship are issued by the days and who does not qualify for a Education Act of 1965, as amended U.S. Department of Health and Human military service deferment during the (HEA) (20 U.S.C. 1089(c)(2)(A)), that Services (HHS), provide that the poverty active State duty service period, but institutions, lenders, guaranty agencies, guideline used for a borrower who is not who qualifies for the post-active duty and loan servicers that administer the a resident of a State identified in the student deferment. Perkins Loan, FFEL and Direct Loan poverty guidelines is the poverty • Adding new §§ 682.215(a) and programs, may, at their discretion, guideline for the relevant family size for 685.221(a) to incorporate the statutory choose to implement the new and the 48 contiguous States, and eliminate definition of the term partial financial amended provisions of §§ 674.34, the economic hardship deferment hardship, and define related terms 682.210, 682.211, and 685.204 categories based on the 20/220 including Adjusted Gross Income (AGI), governing the military service and post- provisions. family size, poverty guideline, and active duty student deferments, • Amending §§ 674.34(i)(3), eligible loan. including related forbearance provisions 682.210(u)(3), and 685.204(f)(1)(ii) to • Adding new §§ 682.215(b) and contained in these final regulations on clarify that a borrower’s eligibility for a 685.221(b) to incorporate the statutory or after November 1, 2008. For further post-active duty student deferment formula for calculating a monthly information, see the section entitled terminates if the borrower returns to payment under the IBR plan, adjusting Implementation Date of These enrolled student status on at least a half- that payment when the borrower’s loans Regulations in the SUPPLEMENTARY time basis, and that a borrower are held by more than one loan holder, INFORMATION section of this preamble. returning from active duty who is in a and establishing minimum payment FOR FURTHER INFORMATION CONTACT: For grace period is not required to waive the amounts. information related to the IBR plan, grace period to use the 13-month post- • Adding new §§ 682.215(b), Pamela Moran or John Kolotos. active duty student deferment. 682.215(c), 685.221(b), and 685.221(c), Telephone: (202) 502–7732 or (202) • Amending §§ 674.34(i)(2)(i) and (ii), and amending § 682.300(b) to 502–7762 or via the Internet at: 682.210(u)(2)(i) and (ii), and incorporate the statutory provisions [email protected] or 685.204(f)(2)(i) and (ii) to clarify that, requiring IBR payments to be applied [email protected]. For information for purposes of the post-active duty first toward interest due on the loan, related to the Public Service Loan student deferment, active State duty for next toward any fees, and then to the Forgiveness Program, Nikki Harris. members of the National Guard includes loan principal, and to provide that if the Telephone: (202) 219–7050 or via the both active State duty under which a borrower’s payment is insufficient to Internet at: [email protected]. For Governor activates members of the pay accrued interest, the Department information related to the economic National Guard under State statute or pays (or on a Direct Loan, does not hardship deferment, the military service policy and the activities are paid for charge) the accrued interest on an deferment, or the post-active duty with State funds, and active State duty eligible subsidized loan for a period of student deferment, Vanessa Freeman. under which a governor, with the three consecutive years from the date Telephone: (202) 502–7523 or via the approval of the President or the U.S. the borrower initially began repayment Internet at: Vanessa [email protected]. Secretary of Defense, activates members on each loan under the IBR plan.
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• Adding new §§ 682.215(d) and loan forgiveness on a form provided by authorized under title IV of the HEA are 685.221(d) to establish the terms and the Department. subject to the negotiated rulemaking repayment amounts for a borrower who • Amending §§ 682.201 and 685.220 requirements of section 492 of the HEA. no longer has a partial financial to provide that a FFEL borrower may However, the APA provides that an hardship but wants to continue making obtain a Direct Consolidation loan for agency is not required to conduct income-based payments under IBR, or the purpose of using the public service notice-and-comment rulemaking when for a borrower who wants to leave the loan forgiveness program. the agency for good cause finds that IBR plan entirely. There are no significant differences notice and comment are impracticable, • Adding new §§ 682.215(e) and between the NPRM and these final unnecessary or contrary to the public 685.221(e) to establish the procedures a regulations resulting from public interest. Similarly, section 492 of the loan holder must follow to determine comments. HEA provides that the Secretary is not annually whether a borrower has a In addition to the changes necessary required to conduct negotiated partial financial hardship by verifying to implement provisions of the CCRAA, rulemaking for title IV, HEA program the borrower’s AGI and family size. If these final regulations also incorporate regulations if the Secretary determines the borrower does not provide family certain changes made to the HEA by the that applying that requirement is size information, the loan holder uses a Higher Education Opportunity Act impracticable, unnecessary or contrary family size of one. (HEOA) (Pub. L. 110–315) enacted on to the public interest within the • Adding new §§ 682.215(f) and August 14, 2008. These changes are: meaning of the APA. 685.221(f) to establish the conditions • Amending §§ 682.215(a)(2) and Although the regulations that a borrower must satisfy to qualify 685.221(a)(2) to exclude defaulted loans implementing the HEOA are subject to for loan forgiveness under IBR, establish from the category of eligible loans for the APA’s notice-and-comment and the how a loan holder determines whether IBR repayment and deleting the HEA’s negotiated rulemaking a borrower made qualifying payments, proposed amendments to requirements, the Secretary has and provide that the Department will §§ 682.215(g)(7), 682.410(b)(5)(vi)(G), determined that it is unnecessary to repay or cancel the loan after 25 years and (b)(9)(i)(D) that regulated a guaranty conduct negotiated rulemaking or if the borrower makes qualifying agency’s consideration of a defaulted notice-and-comment rulemaking on the payments and meets certain loan for IBR and the reimbursement to limited regulatory changes. These requirements. a guaranty agency on a defaulted loan changes simply amend the Department’s • Amending § 682.302(a) to provide that was forgiven under IBR. regulations to reflect statutory changes for a separate calculation of the special • Amending the definition of Public made by the HEOA that are already allowance rate for the unpaid accrued Service Organization in § 682.219 for effective. The Secretary does not have interest on a loan in repayment under the purpose of the Public Service Loan discretion as to whether or how to the IBR plan. Forgiveness program to replace in implement these changes. • Amending § 685.209(c) to identify paragraph (5)(i) the term ‘‘public child the periods specified in section 455(e) of care’’ with the phrase ‘‘early childhood Implementation Date of These the HEA that count toward the 25-year education (including licensed or Regulations repayment requirement under the regulated child care, Head Start, and Section 482(c) of the HEA requires Income Contingent Repayment (ICR) State-funded pre-kindergarten)’’; and to that regulations affecting programs plan, and to provide that repayment add in paragraph (5)(i) a parenthetical under title IV of the HEA be published periods will continue to count for statement after ‘‘public health’’ that in final form by November 1 prior to the certain borrowers currently in ICR. reads ‘‘(including nurses, nurse start of the award year (July 1) to which • Amending § 682.302(f) to practitioners, nurses in a clinical setting they apply. However, that section also incorporate statutory changes to the and full-time professionals engaged in permits the Secretary to designate any definition of not-for-profit holder and to health care practitioner occupations and regulation as one that an entity subject describe the circumstances in which a health care support occupations as such to the regulation may choose to State or non-profit entity is deemed to terms are defined by the Bureau of implement earlier and the conditions be owned or controlled by a for-profit Labor Statistics).’’ under which the entity may implement entity. • Amending the definition of the provisions early. • Adding a new § 685.219(c) to Government employee in § 682.219 for Consistent with the intent of this incorporate the statutory requirements the purpose of the Public Service Loan regulatory effort to strengthen and that a borrower must satisfy to qualify Forgiveness program to exclude improve the administration of the title for public service loan forgiveness and members of the U.S. Congress. IV, HEA programs, the Secretary is provide that a borrower in an Because these amendments merely using the authority granted her under AmeriCorps position may make implement statutory changes made to section 482(c) of the HEA to designate qualifying payments by using his or her the HEA by the HEOA, we do not the new and amended provisions in AmeriCorps education award. discuss them in the Analysis of §§ 674.34, 682.210, 682.211, and • Adding a new § 685.219(b) to define Comments and Changes section. 685.204 governing the military service several terms including employee, full- deferment and post-active duty student Waiver of Proposed Rulemaking and time, public interest law, and public deferment, including related Negotiated Rulemaking Regulations service organization, needed to forbearance provisions for early Implementing the HEOA implement the public service loan implementation at the discretion of each forgiveness program. Under the Administrative Procedure institution, lender, guaranty agency, or • Adding a new § 685.219(d) and (e) Act (APA) (5 U.S.C. 553), the servicer, as appropriate. to provide that the Department will Department is generally required to cancel any balance remaining on a loan publish an NPRM and provide the Analysis of Comments and Changes for a borrower who works in a public with an opportunity to comment Except as noted above in regard to the qualifying public service job and who on proposed regulations prior to issuing limited regulations implementing makes 120 qualifying payments while final regulations. In addition, all provisions of the HEOA, the regulations employed in such a job and requests Department regulations for programs in this document were developed
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through the use of negotiated provided to her under section born during the year in which the rulemaking. Section 492 of the HEA 435(o)(1)(B) of the HEA to establish borrower will be certifying family size requires that, before publishing any additional criteria for economic and for whom the borrower will be proposed regulations to implement hardship deferments to either reinstate providing more than half their support programs under title IV of the HEA, the the 20/220 test permanently or to to ensure consistency with the Secretary must obtain public provide an equivalent loan deferment definition of ‘‘household size’’ used in involvement in the development of the funding mechanism to help these types the Free Application for Federal Student proposed regulations. After obtaining of borrowers. The commenters Aid (FAFSA). advice and recommendations, the contended that doing so would enable An organization that includes FFEL Secretary must conduct a negotiated these borrowers to continue to have the Program lenders and loan servicers rulemaking process to develop the option to postpone loan payments. The noted that the July 1, 2009, effective proposed regulations. All proposed commenters noted that the only other date for the elimination of the 20/220 regulations must conform to agreements option for these borrowers would be to debt-to-income economic hardship resulting from the negotiated request a period of forbearance during criterion did not appear to permit a rulemaking process unless the Secretary which interest would be capitalized lender to grant a deferment on or after reopens that process or explains any during this crucial period of training. July 1, 2009, to an eligible borrower for departure from the agreements to the Several commenters argued that the a retroactive deferment period that negotiated rulemaking participants. loss of this repayment option will deter began prior to July 1, 2009, as would These regulations were published in new physicians from pursuing primary normally be the case for deferments proposed form on July 1, 2008, in care and research specialties, pursuing a granted under the FFEL Program. The conformance with the consensus of the career with the public health service, or commenter requested that the negotiated rulemaking committee. practicing medicine in underserved Department clarify the implementation Under the committee’s protocols, areas, in lieu of more lucrative of the effective date to allow a lender to consensus meant that no member of the specialties. grant such a deferment to an eligible committee dissented from the agreed- A commenter who represents borrower after July 1, 2009, for up to a upon language. The Secretary invited participating Federal Perkins Loan 12-month period for a deferment period comments on the proposed regulations schools and loan servicers argued that that starts prior to that date. by August 15. More than 1700 parties the rationale for eliminating the 20/220 Discussion: The Department did not submitted comments, many of which economic hardship category in the FFEL eliminate the 20/220 rule in the final were substantially similar. An analysis and Direct Loan Programs (i.e., the regulations published on November 1, of the comments and the changes in the availability of the new IBR plan and 2007, (72 FR 61959) so that borrowers regulations since publication of the program costs) does not apply to the could temporarily continue to qualify NPRM follows. Federal Perkins Loan program. The for an economic hardship deferment on We group major issues according to commenter believed that there are no that basis and to ease the transition for subject, with appropriate sections of the Federal costs associated with affected borrowers until the newly regulations referenced in parentheses. deferments granted in the Federal created IBR plan becomes available on We discuss other substantive issues Perkins Loan program and noted that July 1, 2009. Congress eliminated the under the sections of the regulations to IBR is not available to Perkins Loan 20/220 rule from the HEA and which they pertain. Generally, we do borrowers except through loan effectively replaced it with the new IBR not address minor, non-substantive consolidation in the FFEL or Direct plan, which will provide assistance to changes. Loan Programs, which also results in the more borrowers with high levels of debt loss to the borrower of several Federal over a much longer period of limited Economic Hardship Deferment Perkins loan benefits. Consequently, the earnings than the economic hardship (§§ 674.34 and 682.210) commenter asked the Department to deferment. Comment: Many commenters objected retain the 20/220 debt-to-income The IBR plan does not provide for to the proposed elimination of what has criterion for an economic hardship postponing all borrower payments for a been referred to as the ‘‘20/220’’ debt-to- deferment in the Federal Perkins Loan period of time like a deferment. It income eligibility criterion for an Program regulations. provides for reduced payments when a economic hardship deferment in the A few commenters recommended that borrower can demonstrate partial title IV student loan programs. Medical the definition of ‘‘family size’’ for the financial hardship. Depending upon the and dental school students and purpose of the economic hardship borrower’s circumstances, IBR payments residents, medical and dental school deferment be revised to specify the may be less than accrued interest and administrators, and major medical and period of time a borrower must provide some borrowers may not be required to dental associations voiced particular support to ‘‘other individuals’’ in order make a payment. A borrower has a concern about the impact of the to include those individuals in the partial financial hardship if the annual elimination of the 20/220 debt-to- borrower’s family size. To ensure amount due on all of his or her eligible income test on medical and dental consistent application of the definition loans, as calculated under a standard interns and residents with high debt of ‘‘family size’’ in the regulations for repayment plan based on a 10-year burdens and limited income during IBR, as the Secretary indicates she repayment period, is more than 15 several years of required additional intended, the commenters percent of the difference between the training that coincide with the recommended that the prescribed borrower’s AGI and 150 percent of the borrower’s first few years of loan period be specified to be ‘‘the year the poverty line income for the borrower’s repayment. The commenters believed borrower certifies family size.’’ family size. If the borrower’s monthly that the impact of eliminating this Additionally, the same commenters payment amount is not sufficient to criterion would be particularly acute for recommended that the definition of cover the accruing interest on the those borrowers pursuing their ‘‘family size’’ be further modified for borrower’s subsidized Stafford Loans (or additional training in urban areas with both IBR and economic hardship on the portion of the borrower’s high living costs. The commenters urged deferment purposes to include the Consolidation Loan that represents the Secretary to use the discretion borrower’s unborn children who will be subsidized Stafford Loans), the
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Secretary pays the unpaid accrued deferment, and a borrower’s family size borrowers who re-enroll after their date interest for a period of up to three is relevant for that period. Under the of demobilization but prior to the end of consecutive years from the point the IBR plan, borrowers certify to their their grace period. The commenter borrower entered the IBR plan on the family size so that the loan holder can believes that this language would loan. Any unpaid accruing interest on determine a borrower’s eligibility for the unintentionally allow ineligible the same borrower’s unsubsidized year the borrower elects the plan, and borrowers to receive deferments. Stafford Loans would be capitalized less for each subsequent year that the Another commenter asked the frequently under IBR than it otherwise borrower remains on the plan. The Department to clarify that the would be under either an economic period for which a borrower may mandatory forbearance described in hardship deferment or during a request a deferment will often differ § 682.211(h)(2)(iii) does not cover forbearance period. The Department from the initial and each subsequent National Guard members who are called believes that this plan will be year a borrower is repaying under the to Federal active duty if the active duty advantageous to many borrowers, IBR plan. However, we agree that the does not fall under a war, a military including borrowers who would have time period for which the borrower operation as defined in 10 U.S.C. been eligible for the economic hardship certifies family size for purposes of the 101(a)(13), or a national emergency deferment under the 20/220 criterion. IBR plan should be clearer in the declared by the President due to a The Department disagrees with the regulations. We also agree that an terrorist attack. Another commenter also commenter’s recommendation that the unborn child may be included if that recommended that the same mandatory 20/220 economic hardship eligibility child will be born during the year the forbearance provision be amended to criterion be retained in the Federal borrower certifies family size or for the clarify that the forbearance would begin Perkins Loan Program. The commenter period the borrower requests an after the borrower ceases at least half- is correct that IBR is not available to economic hardship deferment. time enrollment. Federal Perkins Loan borrowers unless The Department agrees that a loan Discussion: The reference in the they consolidate their Perkins loans into holder may grant an economic hardship proposed regulations governing the a FFEL or Direct Consolidation Loan deferment under the 20/220 criterion to post-active duty student deferment to and that a Perkins Loan borrower loses an eligible borrower who requests a the expiration of the borrower’s the various employment-related Perkins deferment after July 1, 2009, for a applicable grace period was not Loan cancellation opportunities and deferment period that began prior to intended to provide a borrower who other benefits by consolidating. Perkins July 1, 2009, and is for a period not to returns to school after being Loan holders, however, may provide exceed 12 months from that pre-July 1, demobilized, but before using the full low-income borrowers with relief from 2009, start date. No additional economic grace period on a loan, with an high payments under § 674.33(c)(2) by hardship deferment periods may be opportunity to retain unlimited extending the borrower’s repayment granted based on that criterion to the eligibility for the post-active duty period for up to an additional 10 years borrower at the conclusion of that student deferment after completing for low-income individuals, which will, deferment period, or for any deferment school or dropping to less than half-time in most cases, result in reduced monthly request on or after July 1, 2009, for a enrollment, which could be many years payment amounts. deferment period that begins on or after later. Under these final regulations, all The Department disagrees with the that date. borrowers who return to at least half- contention that there would be no Changes: We have added the phrase time enrollment following Federal costs in keeping the 20/220 ‘‘at the time the borrower certifies demobilization will lose eligibility for provision for the Federal Perkins Loan family size’’ to the definition of ‘‘family the deferment. Eligible borrowers who Program. The Perkins loan fund is a size’’ in §§ 682.215(a)(3) and do not return to school after being Federal asset and, during deferment 685.221(a)(3) for purposes of the IBR demobilized, however, will receive their periods, the fund loses both borrower plan. We have also amended the full grace period on a loan before the 13- principal payments and interest that definition of family size for purposes of month post-active duty student would otherwise accrue and be paid by the economic hardship deferment and deferment period would begin. the borrower. the IBR plan in §§ 674.34(e)(8)(ii), With regard to the comment on The Department also does not believe 682.210(s)(6)(ix), 682.215(a)(3), and clarifying the applicability of mandatory it is appropriate to continue the 20/220 685.221(a)(3) to clarify that an unborn forbearance, we note that the provision economic hardship criterion only for child is included if that child will be in § 682.211(h)(2)(iii) mentioned by the borrowers in the Perkins Loan Program, born in the year the borrower certifies commenter only applies to members of the title IV loan program with the lowest family size. the National Guard who qualify for a average indebtedness and the most post-active duty student deferment. A generous repayment terms. Finally, the Military Service Deferment and Post- member of the National Guard cannot Department believes that since Perkins Active Duty Student Deferment qualify for a post-active duty student Loan borrowers generally also have (§§ 674.34, 682.210, 682.211, and deferment for Federal duty. A member FFEL or Direct Loans, the regulations 682.204) of the National Guard may only qualify that govern the economic hardship Comment: One commenter asked that for the post-active duty student deferment should be consistent across we clarify that all borrowers who return deferment for active State duty. The all the title IV student loan programs. to school on at least a half-time basis active State duty may be paid for with With regard to the comments on the after being demobilized from active duty State funds, as provided in definition of ‘‘family size,’’ we disagree military service, lose the ability to defer § 682.210(u)(2)(i), or with Federal funds, that for purposes of determining family payments via the post-active duty as provided in § 682.210(u)(2)(ii). But, size the period a borrower must provide student deferment. The commenter in both cases, the member of the support to other individuals is the same believed that the reference in the National Guard is on active State duty, period as that specified for purposes of proposed regulations to ‘‘the conclusion not on Federal duty. IBR. Borrowers requesting a deferment of the borrower’s active duty military A member of the National Guard on are certifying to their eligibility for the service and any applicable grace Federal duty is on ‘‘full-time National period for which they are requesting the period’’ could create a loophole for Guard duty’’, as that term is defined in
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10 U.S.C. 101(d)(5). The post-active as the lender, have the option to provide holder to decide if it is appropriate to duty student deferment only applies to alternative documentation in place of use alternative documentation. borrowers on active duty as defined in the AGI. Another commenter However, a borrower may alert the loan 10 U.S.C. 101(d)(1). The definition of recommended that we not use AGI at holder to any changed financial ‘‘active duty’’ in section 101(d)(1) all, but rely on current year income circumstances that may support the use explicitly excludes ‘‘full-time National instead. of alternate documentation. Guard duty’’. Therefore, a borrower on Another commenter noted that the The consent form the borrower signs ‘‘full-time National Guard duty’’ may IRS disclosure form that will be used to is an IRS form, not a Department of not qualify for a post-active duty determine a borrower’s AGI permits the Education form. The IRS consent form student deferment, or for the mandatory IRS to provide AGI and ‘‘other’’ tax is used for many purposes unrelated to forbearance specified in information to the lender. This the IBR plan. The ‘‘other’’ tax § 682.211(h)(2)(iii). commenter recommended that ‘‘other’’ information referenced in the A borrower on ‘‘full-time National be removed from the regulations, so that regulations includes any other tax Guard duty’’ may qualify for a military extraneous tax information is not information covered by the standard IRS service deferment, if the borrower meets provided to lenders. form. Tax information covered by the the other eligibility criteria for the Discussion: The HEA provisions consent form but not needed for IBR military service deferment. A governing IBR do not authorize the use determinations would not need to be forbearance covering the period of of non-Federal education debt in tracked or captured in any way by the active duty military service is not determining whether a borrower has a loan holder. partial financial hardship or in necessary for a borrower who qualifies Changes: None. for a military service deferment. calculating IBR payment amounts. Nor We agree with the commenter that the does the law provide for reduced Electing IBR interest rates for borrowers in IBR, or for mandatory forbearance period would Comment: Several commenters loan forgiveness before the borrower has begin only after the borrower ceases at opined that, under the proposed made 25 years of payments. The least half-time enrollment. regulations, low-income borrowers who Secretary does not have the authority to Changes: Section 682.211(h)(2)(iii)(B) have partially paid the principal on make these changes to the IBR plan. has been amended to specify that the their loans and have less than 10 years However, as specified in mandatory forbearance period for a remaining to repay their loans would FFEL loan in repayment begins on the § 682.215(b)(1)(i), loan holders must take into account a borrower’s eligible not qualify for lower payments under day after the borrower ceases enrollment the IBR plan even if the borrowers’ loan on at least a half-time basis. Federal student loans held by all of the borrower’s loan holders when payments were high. The commenters Income-Based Repayment (IBR) Plan determining monthly payment amounts. argued that these borrowers would not be considered to have partial financial General Comments The Department thanks the commenter for the recommendation that hardships based on a 10-year repayment Comment: A couple of commenters lenders use a standardized format to of their current loan balance. The recommended that a borrower’s total provide IBR payment amount commenters recommended that the student loan debt, including private information to a borrower. This is an regulations be changed to use the education loans and the Federal student operational issue and the Department borrowers’ current payments to loan debt held by all the borrower’s loan will consider the commenter’s determine if the borrowers would be holders, be considered when calculating recommendation when developing eligible for lower IBR payments. They the borrower’s maximum payment operational guidance to implement the contend that this would avoid amount under the IBR plan. Another IBR plan. penalizing borrowers who made commenter asked that the Department The Department does not generally payments on their loans, but who might provide reduced interest rates, or include illustrations in its regulations, benefit from the IBR plan. forgiveness of a portion of the loan but will consider providing examples Discussion: The commenters principal, during periods of financial and illustrations, as necessary, in other misinterpreted the proposed hardship when a borrower is making operational guidance, training materials, regulations, which reflect the statutory payments. This commenter also and consumer information developed to requirement by providing that a recommended that lenders use a implement IBR. borrower may elect the IBR plan only if standardized format to explain the The IBR provisions of the HEA the borrower has a partial financial determination of the payment amount require the use of the borrower’s AGI to hardship. In determining whether a under IBR to the borrower, so that both determine whether a borrower has a borrower has a partial financial the calculation and the source of partial financial hardship. The hardship, the loan holder compares two information can be verified. Department believes that using AGI amounts: (1) The annual amount a One commenter recommended that from the borrower’s most recent tax borrower would pay, at the time the we include illustrations that return is the most accurate method to borrower initially entered repayment, demonstrate a borrower’s successful document and verify the borrower’s on the total outstanding balance of his compliance or technical noncompliance annual income for the purpose of or her loans, based on a standard with the IBR requirements in the final calculating IBR payment amounts. repayment over a 10-year repayment regulations. However, we recognize that, in some period; and (2) the annual amount the A few commenters noted that a lender cases a tax return AGI will not be borrower would pay under the income- may use alternative documentation to available, or will not accurately reflect based provisions. The commenters’ verify the borrower’s income when the the borrower’s current financial belief that the borrower’s current loan borrower’s AGI is not available, or the circumstances. Therefore, the balance would be used as the first part loan holder suspects that the AGI does regulations allow a loan holder to use of this comparison is not accurate. not accurately reflect the borrower’s alternative documentation of the Rather, the first part of the comparison current income. These commenters borrower’s income under those uses the annual amount determined as recommended that the borrower, as well circumstances. It is up to the loan of the date the borrower entered
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repayment, without regard to the considering that the other spouse is also which the Secretary pays a borrower’s borrower’s current payments. making loan payments from the same unpaid accrued interest under the IBR Changes: None. discretionary income. To avoid this plan would begin. The proposed Comment: A group of commenters penalty for married borrowers, the regulations stated that this period would noted that because the HEOA amended commenters suggested that we consider begin on ‘‘the date the borrower initially the HEA with respect to the eligibility both spouses’ loan debt (instead of just began repayment on each loan under the of defaulted borrowers for the IBR plan, the borrower’s loan debt) in determining income-based repayment plan’’. The the Department should revise the eligibility for the IBR plan. commenters recommended that the regulations to reflect that change and Discussion: This issue was raised regulations specify that this period clarify that borrowers who are in default during the negotiated rulemaking begins with the established payment are not eligible for the IBR plan for their sessions to develop the proposed period start date on the loan. The defaulted loans. regulations and was discussed in the commenters also stated that it was Discussion: The Department agrees preamble to the NPRM (73 FR 37698– unclear under the proposed regulations that under the HEA, as amended by the 37699). As the Department noted in that whether the amount of the subsidy HEOA, a defaulted borrower is not discussion, section 493C(a) of the HEA payment on behalf of the borrower was entitled to elect IBR as a repayment provides that only the borrower’s loan based on the borrower’s monthly plan. Upon default, a loan is due and debt is considered when determining scheduled payment amount or the payable in full by the borrower and the whether the borrower has a partial borrower’s actual payment amount, and borrower no longer has the option to financial hardship. Moreover, section recommended that the subsidy payment choose among the pre-default 493C(d) of the HEA specifically be based on the borrower’s actual repayment plans. Under section 422(j) provides for considering the individual payment. In addition, several of the HEA, as amended by the HEOA, AGI of a married borrower only when commenters recommended that the the Secretary has discretion to require a the borrower and his or her spouse file regulations clarify that the 3-year borrower of a defaulted FFEL loan to separate Federal tax returns. Thus, the interest subsidy period excludes any repay the loan under the IBR plan after policy advocated by these commenters period during which the borrower it is assigned to the Department by a would not be consistent with the HEA. receives an economic hardship guaranty agency, and to require Changes: None. deferment. borrowers of other defaulted FFEL and Comment: A group of commenters Discussion: The Department agrees Direct Loans held by the Department to asked the Department to confirm in the that the ‘‘established payment period also pay under the IBR plan. preamble to the final regulations that start date’’ is the appropriate date for Changes: Section 682.215(a)(2) has lenders may use the Department’s beginning the three-year period during been amended to exclude defaulted National Student Loan Data System which the Secretary pays interest on the loans from the category of eligible loans (NSLDS) to determine the number and borrower’s behalf. The Department also for IBR repayment. Proposed amount of loans a borrower has that are agrees that the regulations should reflect §§ 682.215(g)(7) and 682.410(b)(5)(vi)(G) eligible to be included in the IBR plan. the provision in section 493C(b)(3) of and (b)(9)(i)(D), which would have The commenters said that a lender the HEA that excludes periods of regulated a guaranty agency’s would need access to NSLDS because a economic hardship deferment from the consideration of a defaulted loan for IBR borrower may choose which eligible 3-year subsidy period. The Secretary and reimbursement to a guaranty agency loans he or she wants to include under disagrees, however, that the subsidy on a defaulted loan that was forgiven the IBR plan, and a lender needs to payment amount should be based on the under IBR have been removed. know how much the borrower owes to actual payment of the borrower rather IBR Payment Amounts other lenders to calculate the payment than the borrower’s monthly scheduled amount under the IBR plan. payment amount. A borrower’s Comment: Many commenters argued Discussion: The Department agrees scheduled monthly payment amount, that the proposed regulations for the IBR that lenders may use NSLDS for this regardless of whether it covers accrued plan would disadvantage married purpose. interest, is the borrower’s payment borrowers in cases where the borrower Changes: None. obligation. During the 3-year period, the and his or her spouse both have Comment: Several commenters Department’s obligation under the law outstanding loans, file a joint Federal indicated that the IBR regulations for is to pay only the amount of unpaid tax return, and both qualify for IBR. In monthly payments of $0.00 and $10.00 accrued interest that is not the these cases, married borrowers could were clear in the proposed regulations borrower’s obligation to pay during this pay up to double the monthly loan except when the borrower’s eligible period. payment of two unmarried borrowers in loans are held by multiple lenders. The Changes: Sections 682.215(b)(4) and a similar financial situation. Each of the commenters recommended that when 682.300(b)(1)(iv) have been amended to two married borrowers could be there are multiple lenders, the clarify that the 3-year period during required to make payments representing application of the IBR regulations for which the Secretary will pay interest for up to 30 percent of discretionary income monthly payments of $0.00 and $10.00 a borrower under the IBR plan begins on (the amount of a borrower’s income that should apply at the lender level rather the borrower’s established repayment exceeds 150 percent of the poverty than at the borrower level. period start date and excludes any guideline applicable to the borrower’s Discussion: We agree. period during which the borrower family size) whereas the HEA limits Changes: Sections 682.215(b)(1)(ii) receives an economic hardship payments under the IBR plan to 15 and (iii) and 685.221(b)(2)(ii) and (iii) deferment. Similar changes have also percent of discretionary income. The have been revised to provide that the been made to § 685.221(b)(2) for the commenters contended that this $0.00 and $10.00 monthly payment Direct Loan Program. approach amounts to a ‘‘double- regulations also apply when the Comment: Several commenters noted counting penalty’’ because the proposed borrower has multiple loan holders. that there are three types of repayment regulations assumed that each spouse Comment: Several commenters amounts calculated under the IBR plan. has access to the couple’s total asserted that the NPRM did not clearly The first repayment amount is discretionary income, without state when the three-year period during calculated to determine whether a
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borrower has a partial financial Discussion: We agree that the repayment plan or choose another plan hardship and is the annual payment minimum monthly payment of $50 for which he is eligible. amount calculated for a 10-year applies when the borrower no longer Discussion: The regulations address repayment period under has a partial financial hardship. We also the impact of a borrower’s failure to § 682.209(a)(6)(vi) of the FFEL Program agree that the maximum monthly submit required documentation for the regulations and is based on the loan repayment amount is an amount IBR plan in two places. Under balance outstanding when the borrower determined by the loan holder, not by § 682.209(a)(6)(v)(C), a lender must deny initially entered repayment on the loan. the borrower, based on a FFEL standard a borrower’s request for an IBR The second calculated payment amount repayment plan with a 10-year repayment schedule if the borrower is the maximum monthly payment repayment period. does not submit the required amount calculated when a borrower no Changes: Section 682.215(d)(1)(i) has documentation within the time longer has a partial financial hardship been revised to clarify that the loan specified by the lender. The provisions or no longer wishes to make IBR based holder determines the monthly payment in §§ 682.215(e)(2)(i) and payment amounts but stays within the amount. 685.221(e)(2)(i) that are discussed by the IBR plan, and is based on a 10-year Comment: Several commenters commenters apply only to borrowers repayment period using the loan recommended that the regulations in who are already in the IBR plan, but in balance outstanding when the borrower proposed § 682.215(c)(3) that require a a subsequent year fail to renew their began repayment on the loan under the loan holder to apply any prepayment written consent for income verification. IBR plan. The third payment amount is amount or any amount that exceeds the We agree to revise the regulations to calculated when the borrower elects to monthly payment amount consistent clarify this distinction. leave the IBR plan entirely and is with the requirements of Changes: Sections 682.215(e)(2)(i) and calculated, for a Stafford Loan, on the § 682.209(b)(2)(ii) and which would 685.221(e)(2)(i) have been revised to time remaining on a 10-year repayment advance the borrower’s payment due clarify that if a borrower who is already period using the borrower’s outstanding date under certain circumstances, in the IBR plan fails to renew his or her balance on the loan when the borrower should not apply when a borrower’s consent for income verification, the loan discontinued paying under the IBR monthly payment amount is $0.00. plan, and for a Consolidation Loan, on holder treats the borrower in the same Discussion: We agree that there is no way as a borrower who no longer has a the remaining repayment period using need to advance the next monthly due the borrower’s outstanding balance on partial financial hardship. date under 34 CFR § 682.215(c)(3) when the loan and on other student loans that Comment: The proposed regulations a borrower sends in a prepayment at a were outstanding when the borrower require a loan holder to determine time when the borrower’s monthly discontinued paying under the IBR whether a borrower has a partial payment amount is $0.00. The plan. During the negotiated rulemaking financial hardship each year the prepayment amount should be applied process, the non-Federal negotiators borrower is in the IBR plan. Several in the order specified in § 682.215(c)(1): from the FFEL industry used the terms commenters argued that a borrower who interest, collection costs, late charges, standard-standard, standard- no longer has a partial financial and loan principal. permanent, and standard-expedited to hardship but remains in the IBR plan designate these three calculated Changes: Section 682.215(c)(3) has should not be required to provide amounts and the commenters been revised to clarify that the partial financial hardship eligibility recommended that the Department requirement to advance a payment due documentation for subsequent years. incorporate these terms into the date applies only when the prepayment Discussion: Section 493C(c) of the regulations for ease of understanding. amount equals or exceeds the monthly HEA requires a loan holder to verify Discussion: The Department thanks payment amount of $10.00 or more. We each year that a borrower has a partial the commenters for suggesting these also have added a new § 682.215(c)(4) to financial hardship and is eligible for terms. However, these terms are not clarify that when the prepayment IBR. The regulations must reflect this used in the HEA and the Department amount exceeds the monthly payment requirement. amount of $0.00, the prepayment does not believe that they should be Changes: None. used in the program regulations. These amount is applied consistent with § 682.215(c)(1). Comment: Under the proposed terms may be used for illustrative and regulations, in determining whether a training purposes in nonregulatory Documentation and Verification borrower has a partial financial guidance. Requirements hardship, the family size determination Changes: None. Comment: Several commenters Comment: Under the proposed defaults to one for any year for which recommended that we include preamble regulations, if a borrower selects the IBR a borrower does not certify family size. language to clarify that the $50 plan, but does not provide or renew the Some commenters suggested that family minimum payment rule that generally required written consent for income size default instead to the family size applies in the FFEL Program would verification, or withdraws consent and previously certified by the borrower. apply to the monthly payment does not select another repayment plan, Discussion: The Department believes calculated when a borrower no longer the lender places the borrower in the that defaulting to the prior year’s family has a partial financial hardship. These IBR plan, and the borrower is required size would be a disincentive for commenters also believed that the to make payments based on a 10-year borrowers in the IBR plan to provide to proposed regulations regarding the FFEL standard repayment plan. Several loan holders timely, updated maximum monthly payment amount commenters recommended that the information on their family size. could be interpreted to give the Department revise the regulations to Moreover, allowing family size to borrower the discretion to make a lower clarify that if a borrower requests IBR, default to the borrower’s family size for payment. They recommended that we but does not provide documentation to the prior year would increase Federal clarify the regulations to specify that the prove partial financial hardship, then costs and would require a budgetary loan holder, not the borrower, the request must be denied and the offset. determines this payment amount. borrower must remain in his current Changes: None.
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Processing Loan Forgiveness in the IBR Discussion: Section 493C(b)(7) of the borrower repaying under the IBR plan Plan HEA specifically lists the types of who defaults, then successfully payments and payment plans that rehabilitates the defaulted loan, and Comment: Under the proposed qualify the borrower for IBR loan then returns to IBR on the rehabilitated regulations, if a borrower leaves the IBR forgiveness. Only payments made under loan would simply resume the 25-year plan, the borrower must pay under the the specified repayment plans and for repayment period for forgiveness. FFEL standard repayment plan, and the the stipulated amounts count toward the Changes: Section 682.215(f) has been lender recalculates the borrower’s 25 year period for forgiveness. revised to specify that payments made monthly payments based on the time Changes: None. on a defaulted loan are not made under remaining in the standard 10-year Comment: The loan holder must a qualifying repayment plan and repayment period. Several commenters request payment from the guaranty therefore, do not count toward the 25- believed the time that the borrower is in agency no later than 60 days after the year forgiveness period. A conforming the IBR plan should be treated like a loan holder determines that the change has been made to § 685.221(f). deferment or forbearance and should borrower qualifies for loan forgiveness. Comment: Several commenters not be counted towards the 10-year Several commenters noted that the recommended that the regulations repayment period. These commenters actual date a borrower qualifies for loan specify that a holder must promptly argued that borrowers should have the forgiveness under the IBR plan is a date return any payment received on a loan option to switch out of the IBR plan to the lender tracks, and recommended after the guaranty agency pays the any repayment plan for which they are that that date be the start date for the 60- holder the forgiveness amount. eligible—not just the FFEL standard day filing period, rather than the date Discussion: We agree. repayment plan—and effectively have a the lender makes the determination that Changes: We have added a new full repayment period available to them the borrower qualifies, as provided for § 682.215(g)(8) to the regulations, to after leaving the IBR plan. in the proposed regulations. read: ‘‘The loan holder must promptly Discussion: Section 493C(b)(8) of the Discussion: We disagree with the return to the sender any payment HEA specifies that a borrower who is commenters’ recommendation. In the received on a loan after the guaranty repaying a loan under the IBR plan may, case of other loan discharges under the agency pays the loan holder the amount at any time, terminate repayment under HEA, the trigger date for lender filing of loan forgiveness.’’ the IBR plan and ‘‘repay such loan deadlines is the date the lender makes Comment: Under the proposed under the standard repayment plan.’’ a determination of the borrower’s regulations, a loan holder must provide The law does not give the borrower the eligibility, or the date the borrower the borrower with information on the option to choose a different repayment submits a written request for discharge. required handling of the forgiveness plan when terminating repayment under The trigger date is not the actual date amount. Some commenters requested the IBR plan. Nor is there authority in that the borrower became eligible for the that the Department clarify in the the HEA to treat the borrower’s time in discharge. We believe that IBR loan preamble that it is inappropriate for a the IBR plan as a deferment or forgiveness should be treated similarly holder to provide tax advice and that forbearance that is excluded from the to loan discharges in this regard, with holders could comply with the repayment period. However, the HEA the 60-day filing period beginning on regulatory requirement by directing the does not require that borrowers stay in the date the lender determines that the borrower to the IRS Web site or to IRS the standard 10-year repayment plan for borrower qualifies for loan forgiveness. Publication 970 for more information. the remaining life of the loan. As with Changes: None. The commenters also pointed out that Comment: Several commenters urged any other borrower in the FFEL and this provision is not in the the Department to provide specific Direct Loan programs, these borrowers corresponding section in the Direct guidance regarding qualifying loan may request a change in repayment plan Loan program regulations. payments for the 25-year IBR loan no more frequently than annually as Discussion: A loan holder is expected forgiveness in light of the HEOA change provided in the HEA. However, since to make a general disclosure to the to the HEA that excludes defaulted the maximum repayment periods under borrower on what it believes to be the borrowers from IBR. The commenters other FFEL and Direct Loans repayment current tax treatment of such amounts asked whether all pre-default, post- plans, except extended repayment and and is encouraged to refer borrowers to default, and loan rehabilitation Consolidation, are 10 years, in most the IRS for further information. The payments would count towards circumstances the repayment options Department will provide similar satisfying the 25-year payment for the borrower will be severely limited information to Direct Loan borrowers requirement. but the Direct Loan program regulations depending on the period of time the Discussion: When a borrower defaults borrower remained in the IBR plan. do not need to be amended since the on a loan, the loan is immediately due Secretary does not issue regulations to Changes: None. and payable in full. Any payments made govern the Department. Comment: Several commenters stated by a borrower to the holder of the Changes: None. that they believe that under the HEA defaulted loan are not made under an Comment: The proposed regulations any borrower payment that is not less authorized repayment plan. Payments provide that if a guarantor does not pay than either the payment calculated made under a rehabilitation agreement an IBR loan forgiveness claim, the based on a 10-year repayment plan with the holder are payments made on lender resumes collection activity on using the outstanding balance when the a defaulted loan. The Department the loan. Several commenters requested borrower began repayment, or the believes that the result of the change that we specify that the lender may payment based on a 10-year repayment made by the HEOA is that only pre- capitalize the interest that accrued but plan using the outstanding balance default payments will be considered was not paid on the loan for the period when the borrower first began IBR, qualifying payments for the purpose of during which the borrower’s obligation should count toward the 25-year the 25-year IBR forgiveness, unless the to repay the loan was suspended. forgiveness period. The commenters borrower is in an authorized post- Discussion: In general, we agree that asked that this reading of the HEA be default IBR plan on a defaulted loan interest that accrued during the period reflected in the regulations. held by the Department. However, a when collection on the loan is
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suspended while the loan forgiveness affects the integrity of the non-profit not-for-profit holder but which are now claim is being processed should be entity’s decisions. held by a special purpose entity qualify capitalized. However, the loan holder Changes: None. for the higher SAP rate. Second, changes should not benefit if the loan holder Comment: Several commenters have been made to apply to the special submits the claim for forgiveness in representing FFEL industry participants purpose entity used by a not-for-profit error. Therefore, we have modified the noted that State and non-profit entities holder the same tests that apply directly regulations to provide for capitalization are often required to create and use to the State or non-profit entity. only if the forgiveness claim is not special purpose entities in connection The final regulations apply without submitted by the lender in error. with financing the origination or regard to whether a particular special Changes: Section 682.215(g) has been purchase of FFEL Program loans. This purpose entity is sufficiently remote revised by adding the following kind of special purpose entity is often from the State or non-profit entity to sentence: ‘‘Unless the denial of the called a ‘‘bankruptcy remote vehicle’’ insulate the former from the claims that forgiveness claim was due to an error by because, although it was created by, and might be asserted in the bankruptcy of the lender, the lender may capitalize, in may appear to be a subsidiary or affiliate the latter. Similarly, the regulations accordance with § 682.202(b), any of, the State or non-profit entity, its apply without regard to whether a interest accrued and not paid during asset and liability structure and its legal particular special purpose entity is a this period.’’ structure and status make its obligations ‘‘qualifying SPE’’ under Financial secure in the event of the bankruptcy of Accounting Standards Board Statement Eligible Not-for-Profit Holder Definition the non-profit entity parent or No. 140. (§ 682.302(f)(3)) guarantor. Such a special purpose entity Changes: We have amended the Comment: On the issue of is separate from the State or non-profit regulations to address a not-for-profit entity. By complying with various determining when a for-profit controls a holder’s use of a special purpose entity. criteria established by bond rating not-for-profit holder, several agencies or lenders that support its Public Service Loan Forgiveness commenters representing FFEL industry bankruptcy remote status, its loans and Most of the comments received by the members stated that a distinction made other assets are viewed as sufficiently Department in response to the NPRM in the preamble to the NPRM between protected from claims by creditors of the pertained to the public service loan family members employed as lower State or non-profit entity in the event of forgiveness program. A majority of those level employees at a not-for-profit loan such a bankruptcy. The commenters comments were from law schools, law holder and those employed in more noted that the Department has students, legal aid centers, clinics, and responsible positions is not reflected in previously taken the position that an associations, public interest attorneys the regulations. The commenters eligible lender trustee may qualify as an and public defenders. The commenters believed that the proposed regulations eligible not-for-profit holder when it is overwhelmingly supported the program relating to a for-profit entity exercising acting on behalf of a special purpose because it would provide relief to control over a State or non-profit entity entity related to a State or non-profit borrowers who choose charity and other leave to the discretion of the Secretary entity, even though the special purpose public service and nonprofit the determination of whether the nature entity—and not the State or non-profit employment, and because they believe of a family member’s employment is entity—held beneficial or legal it will prove to be an important tool for likely to affect the integrity of decisions ownership, or both, of the loans. The attracting graduates and retaining made by a non-profit entity’s boards or proposed regulations as drafted would talented employees in critical jobs that committee. The commenters pointed out have disqualified loans for which a support our society’s well-being. The that in very large organizations someone State or non-profit entity was not the specific comments are discussed below. could be in a ‘‘responsible position’’ but sole beneficial owner. Commenters have no influence or control over asked that the Department specify in the Borrower Eligibility student loans. The commenters asked final regulations that the Department Comment: Some commenters working the Department to clarify that the considers loans that would qualify for at nonprofit or governmental Secretary has the discretion to the higher special allowance payment organizations noted that the loan determine whether a family member (SAP) rate if owned directly by an forgiveness program became effective on could be employed at a non-profit eligible not-for-profit holder that is a October 1, 2007, and asked that organization in a responsible position State or non-profit entity will qualify for payments made on their loans and unrelated to student loans. that rate if now owned solely by its service performed before that date be Discussion: The Department agrees related special purpose entity. counted toward satisfying the loan that the proposed regulations do not Discussion: The Department forgiveness requirements. draw any distinction based on the level acknowledges that the use of a special A few commenters who are borrowers of a family member’s employment in purpose entity, sometimes called a of joint FFEL Program consolidation determining whether that employment ‘‘bankruptcy remote vehicle,’’ is often a loans asked whether they could or appointment by a for-profit entity required element of financing FFEL reconsolidate that loan either jointly or constitutes control of the non-profit program loan originations and separately into the Direct Loan program entity. We note, however, that purchases by State and non-profit to qualify for the public service loan § 682.302(f)(3)(vi)(B) assumes that the entities. Because the special purpose forgiveness benefit. employment or appointment of a family entity holds beneficial or legal A Peace Corps official asked that member at any level of employment ownership, or both, of the loans Peace Corps service be considered constitutes controlling influence of the originally acquired by the not-for-profit qualifying service for public service non-profit entity unless the Secretary holder, the Department believes the loan forgiveness and be treated in the specifically determines otherwise. The regulations, as proposed, should be same manner as service in full-time Secretary will examine, among other revised for two reasons. First, the AmeriCorps positions, including factors, the family member’s level of proposed regulations have been revised counting payments made during Peace employment or appointment in to ensure that loans acquired by a State Corps service as qualifying payments for determining whether that employment or non-profit entity that is an eligible loan forgiveness. The commenter stated
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that even though individuals serving in payments on the loan during the service was an operational rather than a the Peace Corps are not considered period; or (2) by making a lump sum regulatory issue, and asked that a Federal government employees, they are payment on the loan from the Peace system for annual eligibility verification treated as such for certain purposes, Corps transition allowance no later than be reflected in the regulations. Another such as retirement and under the six months after the borrower’s receipt commenter stated that it was preferable Federal Employees Compensation Act. of those funds. A lump sum payment on to require a borrower to submit past pay Discussion: The CCRAA establishes a title IV loan from Peace Corps stubs, direct deposit salary documents, October 1, 2007, as the effective date for transition funds will be treated like a or wage and salary statements (W–2s) the beginning of the public service loan payment made from an AmeriCorps rather than require the employer to forgiveness program and requires that a borrower’s Segal Education Award in provide some certifying document of the borrower’s qualifying payments be made determining the number of the borrower’s dates of employment. while the borrower is providing the borrower’s qualifying payments. Many commenters urged the qualifying full-time service. Changes: Section 685.219(b) has been Department to incorporate the public Consequently, periods of service or amended to include a definition of a service loan forgiveness program as a payments made on an eligible loan prior Peace Corps position, § 685.219(c)(1)(ii) term and condition in the Department’s to the October 1, 2007, effective date do has been amended to include a Direct Loan master promissory note not count towards the requirements for reference to a Peace Corps position, and (MPN). The commenters believed that loan forgiveness. § 685.219(c)(2) has been amended to making this change to the MPN would The HEA authorizes borrowers to apply the treatment of lump sum prevent Congress from repealing the consolidate their FFEL Program loans payments to a payment made from forgiveness benefit after borrowers have into the Direct Loan program for the Peace Corps transition funds. spent years working to meet the purpose of public service loan eligibility requirements. forgiveness. However, there is no Documenting and Maintaining Another commenter recommended authority to make new joint Eligibility that the Direct Consolidation Loan consolidation loans in either the FFEL Comment: Many commenters asked application and the public service loan or Direct Loan programs. In taking out the Department to develop a clear and forgiveness application be combined so a joint consolidation loan, both simple method for the borrower, the that no gap exists in the student’s ability borrowers become jointly and severally employer, or both, to determine to consolidate and then pursue public liable for the repayment of the full annually the borrower’s eligibility for service loan forgiveness. amount of the loan. There is no public service loan forgiveness (i.e., that Other commenters representing statutory authority to allow one of the the borrower’s employment was with an participants in the FFEL industry borrowers to assume the entire joint eligible employer and that the borrower requested that the Department’s consolidation debt or for the borrowers was paying under an acceptable procedures for eligibility determinations to somehow separate the joint repayment plan). The commenters and notification to borrowers who are consolidation loan into separate stated that they believed strongly that not eligible for loan forgiveness under individual loans. Therefore, borrowers borrowers should not be left in the dark this program be spelled out in greater with joint FFEL consolidation loans regarding whether they would qualify detail consistent with the approach in cannot become eligible for the public for loan forgiveness by applying and § 685.216(e)(4). service loan forgiveness program. documenting their eligibility after 10 Discussion: The Department believes The Department agrees with the years of service and repayment. The that the way in which borrowers apply commenter that individuals serving in commenters noted that this approach for and document their eligibility for the the Peace Corps perform valuable public would require the borrower to retain public service loan forgiveness benefit is service on behalf of their fellow citizens pay stubs or other supporting best handled administratively. We and that they should be treated like documentation of their employment for assure the commenters that we will borrowers serving in AmeriCorps the entire 10-year period. The continue to examine ways to assist positions. However, under the HEA, to commenters believed that this borrowers who are interested in, or qualify for forgiveness, the borrower recordkeeping obligation would be too already employed in public service, to must be making payments while great of a burden to impose on recent determine and document their performing public service. Unlike a graduates. The commenters also eligibility for the loan forgiveness borrower serving in a full-time believed that ongoing information on program. AmeriCorps position, a borrower the borrower’s eligibility is important The Department will develop a form serving full-time in the Peace Corps is for the borrower’s career and financial for borrowers to use to apply for the eligible for an economic hardship decisions. The commenters public service loan forgiveness when deferment for the entire period of the recommended that the Department the borrower believes he or she borrower’s Peace Corps service and has create an on-line, password-protected qualifies. The proposed form will be no obligation to make payments. system through which qualifying subject to public comment under the Additionally, the Peace Corps does not employers could annually certify the Paperwork Reduction Act of 1995. As provide an educational benefit that the employment of borrower-employees, or with other discharge applications the borrower can choose to use to repay title otherwise provide a reliable system for Department has developed, the form IV student loans, but instead provides borrowers to document, confirm, and will include all the information the an individual leaving Peace Corps track job eligibility. Some of these borrower and the borrower’s employer service with a lump sum transition commenters also asked that we establish need regarding the eligibility criteria, allowance. Given these circumstances, a program of employer pre-certification applicable definitions, and procedures the Department has determined that an under which the Department would for applying for the loan forgiveness individual serving in the Peace Corps maintain an ongoing list of certified benefit. The form will include an may meet the loan forgiveness payment eligible employers for borrower employer certification section and requirement in one of two ways: (1) By reference. One commenter disagreed instructions regarding supporting declining the economic hardship with the Department’s position in the documentation that the Department will deferment and making scheduled NPRM that implementing such a system need to determine the borrower’s
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eligibility for the forgiveness benefit. loan for any period during which Public Service Organization The borrower will be able to use this collection activity was suspended while Comment: Some commenters asked form to collect a certification from his the Secretary was considering the that the definition of government or her employer either annually or at the borrower’s application and may employee be clarified to specifically close of the 120-payment qualifying capitalize any interest that accrued and include employees of intergovernmental period. The form will also be used for was not paid during that period. or public regional agencies, and to certification for borrowers who have Definitions include a public primary, secondary, or more than one employer. The higher education institution, district, or Department expects the borrower to Full-Time system. collect and retain the necessary records A few commenters recommended that that support the borrower’s eligibility Comment: Some commenters requested that reference to an ‘‘public health’’ be defined in the for this benefit. This policy is consistent manner provided in the U.S. Health with the general practice in the student employer’s full-time employment standard in the definition of ‘‘full-time’’ Code, title 42, chapter 6A, Public Health loan programs—borrowers are always Service, subchapter XVIII, part E, responsible for collecting and for public service employment be eliminated because it penalizes subsection 1395X to include: Doctors of maintaining records to support their Medicine and Osteopathy, Doctors of receipt of benefits under the programs. borrowers whose employers require Chiropractic, Doctors of Dental Surgery With regard to incorporating a more than 30 hours per week. Some and Dental Medicine, Doctors of description of the public service loan commenters also requested that we forgiveness benefit in the MPN, the define full-time employment so that Optometry and Doctors of Podiatric Department is already taking steps to individuals are able to count multiple Medicine. The commenters believed refer to the program in the MPN and eligible part-time public service jobs that this level of specificity was other program documents. However, the toward the full-time requirement and necessary because the public health MPN will continue to state, as it eliminate any conflict that may arise if sector includes both non-profit entities currently does, that the terms and any of the part-time employers use a that have doctors on their staff and for- conditions of the loans are subject to the different full-time standard. profit providers such as doctors in HEA as it is amended in accordance One commenter asked that the private practice. Several commenters recommended with the effective date of those definition be amended to specify that that contract employees who serve amendments. Although there is no leave taken under a condition covered organizations that are tax exempt under history in the program of Congress by the Family and Medical Leave Act of section 501(c)(3) of the Internal Revenue eliminating or reducing a borrower 1993 (FMLA) does not constitute a break Code should be considered as benefit, the Department does not believe or have the effect of reducing the employees of a public service that a reference to the public service borrower’s annual average to below 30 organization. Another commenter loan forgiveness program in the MPN hours per week, or below the employer’s claimed that the proposed regulations would provide the borrower with a full-time standard. improperly excluded employment that contractual right to the benefit should Discussion: The Department Congress take action to eliminate that is within the statutory definition such as understands that some borrowers whose for-profit businesses, private law firms benefit from the HEA as of a particular employers have a standard for full-time effective date. that provide defense for indigents employment greater than 30 hours per through state funding, and non-profit The Department declines to modify week may believe that they are being the Direct Loan Consolidation non-governmental organizations that do unfairly penalized. The Department not qualify under section 501(c)(3) of Application to include the application believes, however, that the forgiveness for public service loan forgiveness. the Internal Revenue Code. The benefit is intended to acknowledge full- commenter stated that the regulations Unless the borrower is a FFEL borrower, time employment and that it is he or she is not required to consolidate should specify that Interest on Lawyers’ appropriate to use an employer’s to receive the public service loan Trust Accounts (IOLTA) funding would standard when an employer has a full- forgiveness benefit. Additionally, even be considered public funding for time employment standard. if a borrower consolidates, the borrower purposes of meeting the requirement of may not be eligible to apply for the loan We agree that a borrower who is being ‘‘funded in whole or in part by a forgiveness benefit until many years working part-time in more than one local, State, Federal, or Tribal after the consolidation, if at all. The public service job cannot be held to government’’, and took exception to the Department agrees that it is appropriate more than one full-time standard in exclusion of labor unions from to provide more detail in the fulfilling the full-time requirement. We eligibility as without justification if the regulations, consistent with what is also agree that leave taken under labor union otherwise meets appropriate provided for other loan discharges, on conditions covered by the FMLA should standards for a public service the procedures it will follow after not result in the borrower failing to meet organization. determining a borrower’s eligibility and the 30 hours per week annual average or Discussion: As the Department when notifying the borrower of his or the employer’s full-time standard. indicated in the preamble to the NPRM her ineligibility. Changes: We have revised the (72 FR 37705), the definition of ‘‘public Changes: We have revised definition of full-time in § 685.219(b) to service organization’’ is derived from § 685.219(e)(3) to specify that if the apply the 30 hours per week annual the statutory definition of ‘‘public Secretary determines that the borrower average as the governing full-time service job’’ in section 455(m)(3)(B) of is not eligible for the public service loan standard when a borrower is working in the HEA, and is intended to identify forgiveness, the Secretary will notify the more than one qualifying job and to broad categories of eligible jobs rather borrower of that decision, provide the specify that leave taken for a condition than define specific jobs under those basis for the denial, and inform the that is a qualifying reason for leave categories. An intergovernmental or borrower that the Department will under the FMLA does not count in public regional agency would appear to resume collection of the loan. The determining whether a borrower meets be encompassed under ‘‘Federal, State, Secretary will grant forbearance on the the full-time definition. local, or Tribal government
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organization, agency, or entity’’ Executive Order 12866 These final regulations also depending on its governance and the implement changes made to two of the Regulatory Impact Analysis funding source for salaries. Employees regulations to reflect changes made by of public and private, non-profit Under Executive Order 12866, the the HEOA. However, the changes only elementary, secondary, and Secretary must determine whether the incorporate statutory changes and do postsecondary schools would be regulatory action is ‘‘significant’’ and not involve any exercise of discretion by covered either as employees of a therefore subject to the requirements of the Secretary. government organization, agency, or the Executive Order and subject to Regulatory Alternatives Considered entity or of a private organization that review by the Office of Management and provides public education. Employees Budget (OMB). Section 3(f) of Executive A broad range of alternatives to the of tribal colleges and universities are Order 12866 defines a ‘‘significant regulations was considered as part of specifically listed as eligible in the HEA. regulatory action’’ as an action likely to the negotiated rulemaking process. Contract workers at these institutions result in a rule that may (1) have an These alternatives were reviewed in who are not paid by the institution, but annual effect on the economy of $100 detail in the preamble to the NPRM are paid by a for-profit company million or more, or adversely affect a under both the Regulatory Impact contracted to provide certain services to sector of the economy, productivity, Analysis and the Reasons sections the institution would not be covered. competition, jobs, the environment, accompanying the discussion of each As part of the HEOA, Congress public health or safety, or State, local or proposed regulatory provision. To the recently added a clarifying non- Tribal governments or communities in a extent that they were addressed in exhaustive list of examples of qualified material way (also referred to as an response to comments received on the ‘‘public health’’ jobs to section ‘‘economically significant’’ rule); (2) NPRM, alternatives are also considered 455(m)(3)(B) of the HEA. We have create serious inconsistency or elsewhere in the preamble to these final incorporated those examples into these otherwise interfere with an action taken regulations under the Discussion final regulations. or planned by another agency; (3) sections related to each provision. No comments were received related to the Non-profit organizations that do not materially alter the budgetary impacts of entitlement grants, user fees, or loan Regulatory Impact Analysis discussion qualify under section 501(c)(3) of the of these alternatives. Internal Revenue Code may nonetheless programs or the rights and obligations of recipients thereof; or (4) raise novel As discussed above in the Analysis of qualify as a private organization that Comments and Changes section, the provides qualifying public services. legal or policy issues arising out of legal mandates, the President’s priorities, or final regulations reflect statutory We do not believe it is appropriate to the principles set forth in the Executive amendments included in the HEOA and make employees of for-profit firms order. minor revisions in response to public receiving IOLTA funding specifically comments. None of these changes result Pursuant to the terms of the Executive eligible for the public service loan in revisions to cost estimates prepared order, it has been determined that this forgiveness program. These employees for and discussed in the Regulatory regulatory action will have an annual are not employees of a government Impact Analysis of the NPRM. agency and are not likely to work full- effect on the economy of more than time at a public service job. $100 million. Therefore, this action is Net Budget Impacts ‘‘economically significant’’ and subject The Department continues to believe As noted in the NPRM, the CCRAA to OMB review under section 3(f)(1) of that the term ‘‘public sector jobs’’ does provisions implemented by these Executive Order 12866. In accordance not encompass every job. The nature of regulations are estimated to have a net with the Executive order, the Secretary the employer and the funding source of budget impact of $650 million in 2008 has assessed the potential costs and salaries are appropriate considerations. and $9.2 billion over FY 2008–2012. benefits of this regulatory action and has Changes: None. Consistent with the requirements of the determined that the benefits justify the Credit Reform Act of 1990, budget cost Tax Status of Forgiven Amounts costs. estimates for the student loan programs Comment: One commenter asked the Need for Federal Regulatory Action reflect the estimated net present value of all future non-administrative Federal Department to clarify ambiguities As discussed in the NPRM, these final related to the tax status of the amount costs associated with a cohort of loans. regulations are needed to implement (A cohort reflects all loans originated in of loans forgiven under the public provisions of the HEA, as amended by service loan forgiveness program. a given fiscal year.) Details on how these the CCRAA, that established a new IBR estimates were developed are provided Discussion: Section 108(f) of the plan for FFEL and Direct Loan in the Regulatory Impact Analysis Internal Revenue Code provides that borrowers, revised the conditions under portion of the NPRM. amounts discharged on loans made by a which a FFEL or Direct Loan borrower governmental entity can be excluded could qualify for a loan deferment due Assumptions, Limitations, and Data from the borrower’s income if the to economic hardship, changed the Sources discharge was for work ‘‘in certain terms of a number of military service Because these regulations would professions for any broad range of deferments, created a loan forgiveness largely restate statutory requirements employers.’’ 26 U.S.C. 108(f). The program in the Direct Loan Program for that would be self-implementing in the Internal Revenue Service has not issued borrowers who perform public service, absence of regulatory action, impact any determination of whether work that and established a separate special estimates provided in the preceding qualifies an individual for public allowance rate formula for not-for-profit section reflect a pre-statutory baseline in service loan forgiveness under section loan holders in the FFEL Program. The which the CCRAA changes 455(m) of the HEA would qualify under Regulatory Impact Analysis portion of implemented in these regulations do not 26 U.S.C. 108(f), and the Department the NPRM discussed areas where the exist. Costs have been quantified for five does not have the legal authority to Secretary has exercised limited years. make such a determination here. discretion in implementing the CCRAA In developing these estimates, a wide Changes: None. provisions. range of data sources were used,
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including data from the National to the estimates or discussions included have prepared an accounting statement Student Loan Data System, operational in the NPRM. showing the classification of the and financial data from Department of Elsewhere in this SUPPLEMENTARY expenditures associated with the Education systems, and data from a INFORMATION section we identify and provisions of these regulations. This range of surveys conducted by the explain burdens specifically associated table provides our best estimate of the National Center for Education Statistics with information collection changes in Federal student aid such as the 2004 National requirements. See the heading payments as a result of these Postsecondary Student Aid Survey, the Paperwork Reduction Act of 1995. regulations. Expenditures are classified 1994 National Education Longitudinal as transfers from the Federal Study, and the 1996 Beginning Accounting Statement government to student loan borrowers Postsecondary Student Survey. Data As required by OMB Circular A–4 (for the IBR, loan deferment, and loan from other sources, such as the Census (available at http:// forgiveness provisions) and from Bureau, were also used. No comments www.Whitehouse.gov/omb/Circulars/ student loan holders to the Federal or additional data were received related a004/a-4.pdf), in Table 2 below, we government (for the SAP provisions).
TABLE 2—ACCOUNTING STATEMENT: CLASSIFICATION OF ESTIMATED EXPENDITURES
Category Transfers Transfers
Annualized Monetized Transfers ...... 3% ...... 7%. Federal Government to Student Loan Borrowers ...... $1.292 billion ...... $1.357 billion. Federal Government to Student Loan Holders ...... $580 million ...... $568 million.
Total ...... $1.872 billion ...... $1.925 billion.
Regulatory Flexibility Act Certification Paperwork Reduction Act of 1995 repayment options, the lender must provide the borrower with a notice that The Secretary certifies that these final Sections 674.34, 682.205, 682.209, 682.210, 682.211, 682.215, 682.302, informs the borrower of the availability regulations would not have a significant of the income-sensitive and the IBR economic impact on a substantial 685.204, 685.205, 685.219, 685.220, and 685.221 contain information collection repayment plans, except for parent number of small entities. These final requirements. Under the Paperwork PLUS borrowers and Consolidation regulations would affect institutions of Reduction Act of 1995 (44 U.S.C. Loan borrowers whose Consolidation higher education, lenders, and guaranty 3507(d)), the Department has submitted Loan paid off one or more parent PLUS agencies that participate in title IV, HEA a copy of these sections to OMB for its Loans. This information may be programs and individual students and review. provided in a separate notice or as part loan borrowers. The U.S. Small Sections 674.34(h)–(i), 682.210(t)–(u), of the other disclosures required by this Business Administration Size Standards and 685.204(e)–(f)—Deferment of section. define these institutions as ‘‘small Repayment—Federal Perkins Loan, The Department has determined that entities’’ if they are for-profit or NDSLs, Defense Loans, FFEL, and Direct this modification to the current nonprofit institutions with total annual Loans. notification requirements would not revenue below $5,000,000 or if they are The final regulations amend the increase the burden associated with institutions controlled by governmental provisions related to the military service § 682.205 and the associated collection, entities with populations below 50,000. deferment and the post-active duty OMB Control No. 1845–0020. Guaranty agencies are State and private student deferment in the Federal Section 682.209(a)—Repayment of a nonprofit entities that act as agents of Perkins, FFEL, and Direct Loan Loan the Federal government, and as such are Programs. not considered ‘‘small entities’’ under The final regulations regarding the The final regulations would add the the Regulatory Flexibility Act. post-active duty student deferment IBR plan as a repayment option for Individuals are also not defined as would result in an increase in the FFEL borrowers and require lenders to ‘‘small entities’’ under the Regulatory burden hours associated with the take certain actions when a borrower Flexibility Act. current Federal Perkins/FFEL/Direct fails to select a repayment plan within 45 days after being notified by the As noted in the NPRM, a significant Loan military deferment request form lender to choose a repayment schedule. percentage of the lenders and schools cleared under OMB Control Number The Department has determined that participating in the Federal student loan 1845–0080. The current military this modification to the current programs meet the definition of ‘‘small deferment request form covers only the notification requirements would not entities.’’ While these lenders and military service deferment. The form increase the burden associated with schools fall within the SBA size will be revised to cover both the § 682.209 and the associated collection, guidelines, the final regulations do not military service deferment and the post- OMB Control No. 1845–0020. impose significant new costs on these active duty student deferment. The Department expects to submit a revised entities. Section 682.211(f)—Forbearance deferment request form for clearance by In the NPRM the Secretary invited November 2008. The final regulations would provide comments from small institutions as to for a period of forbearance, not to whether they believe the proposed Section 682.205(h)—Disclosure exceed 60 days, necessary for the lender regulations would have a significant Requirements for Lenders to collect and process documentation economic impact on them and, if so, These final regulations provide that, supporting the borrower’s eligibility for requests evidence to support that belief. at the time of offering a borrower a loan loan forgiveness under the IBR plan. No comments or data were received. and at the time of offering a borrower The lender must notify the borrower
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that the requirement to make payments it must pay the loan holder within the for which designation is being on the loans for which forgiveness was same 45-day period. The holder must recertified. The annual certification requested has been suspended pending notify the borrower within 30 days of must state that the State or non-profit approval of the forgiveness by the being notified by the guaranty agency of entity has not altered its status as a State guaranty agency. its determination on the borrower’s or non-profit entity since its prior The addition of this new type of eligibility. certification to the Secretary and that it forbearance under the IBR plan is We estimate that the final regulations continues to satisfy the requirements of estimated to increase the burden hours will increase burden for borrowers, an eligible not-for-profit holder either in for lenders and guaranty agencies by lenders and guaranty agencies by its own right or through a trust 31,414 hours under OMB Control 185,778 hours, under new OMB Control agreement with an eligible lender Number 1845–0020. (Note: This is an Number 1845–0086. trustee. A copy of its IRS Form 990— administrative forbearance and does not Section 682.302(f)—Eligible Not-for- Return of Organization Exempt From require an OMB-approved form.) Profit Holder Income Tax, if applicable, must be submitted at the same time the entity Section 682.215—Income-Based The final regulations would require a Repayment Plan files that return with the IRS as a part State, non-profit entity, or eligible of the annual certification. The final regulations provide that a lender trustee to provide to the borrower may elect the IBR plan only if Secretary a certification on the State or Within 10 days of becoming aware of the borrower has a partial financial non-profit entity’s letterhead signed by the occurrence of a change that may hardship. Under this plan, the the State or non-profit entity’s Chief result in a State or non-profit entity that borrower’s aggregate monthly loan Executive Officer (CEO) which states the has been designated an eligible not-for- payments would be limited to no more basis upon which the entity qualifies as profit holder, either directly or through than 15 percent of the amount by which a State or non-profit entity. The an eligible lender trustee, losing that the borrower’s AGI exceeds 150 percent submission must include eligibility, the State or non-profit entity of the poverty line income applicable to documentation establishing the entity’s must submit details of the change to the the borrower’s family size, divided by State or non-profit status. In addition, Secretary. 12. If a borrower no longer has a partial the submission must include the name We estimate that the final regulations financial hardship, the borrower may and lender identification number for will increase burden for States, non- continue to make payments under the which the eligible not-for-profit profit entities, and eligible lender IBR plan, but the loan holder must designation is being certified. For an trustees by 105 hours in the new OMB recalculate the borrower’s monthly entity establishing non-profit status Control Number 1845–0085. payment amount. If the borrower no under section 150(d) of the Internal Section 685.205(a)—Forbearance longer wishes to pay under the IBR Revenue Code, the submission must plan, the borrower must pay under a include copies of the requests of the The final regulations would provide standard repayment plan as calculated State or political subdivision or for loan forbearance for a borrower who by the loan holder. subdivisions thereof, or requirements qualifies for a post-active duty student The final regulations provide that a described in section 150(d) of the deferment, but does not qualify for a loan holder would require the borrower, Internal Revenue Code, and the CEO’s military service or other deferment, and in order to establish his or her eligibility additional certification that the entity is engaged in active State duty for a for the IBR plan, to provide written has not elected to cease its status as a period of more than 30 consecutive consent to the disclosure of AGI and qualified scholarship funding days. other tax return information by the IRS corporation. A separately submitted The addition of a new type of to the loan holder. The borrower also certification or opinion by the State or forbearance will increase the burden would be required to annually certify non-profit entity’s external legal counsel hours associated with OMB Control his or her family size; otherwise the or the office of the attorney general of Number 1845–0031, the Direct Loan loan holder would assume a family size the State, must be submitted with Program General Forbearance Request of one. To determine whether a supporting documentation that shows form. The Department will submit a full borrower qualifies for loan forgiveness that the State or non-profit entity is a after 25 years, the loan holder must constituted State entity by operation of collections package with a revised form make a determination that the borrower specific State law, has been designated by December 2008. has established eligibility for loan by the State or one or more political Section 685.219—Public Service Loan forgiveness by making payments for 25 subdivisions of the State to serve as a Forgiveness years, or, that, through a combination of qualified scholarship funding monthly payments and economic corporation, and is incorporated under The Public Service Loan Forgiveness hardship deferments, the borrower has State law as a not-for-profit Program created by the CCRAA is made the equivalent of 25 years of organization, or is an entity described in intended to encourage individuals to payments. The loan holder is required, section 501(c)(3) of the Internal Revenue enter and continue in full-time public no later than 60 days after it makes the Code, or has in effect a relationship with service employment by forgiving the determination that the borrower is an eligible lender under which the remaining balance of their eligible eligible for loan forgiveness, to request lender is acting as trustee on behalf of Direct loans after they satisfy the public payment from the guaranty agency. the State or non-profit entity. service and loan repayment Within 45 days of receiving the loan Under the final regulations, once an requirements of this section. holder’s request for payment, the entity has been approved as an eligible The burden associated with the final guaranty agency must determine if the not-for-profit holder, the entity must regulations for this program will be borrower meets the eligibility provide to the Secretary an annual reported in the paperwork clearance requirements for loan forgiveness and certification on the State or non-profit package for a new public service loan must notify the loan holder. If the entity’s letterhead signed by the CEO, forgiveness application form in the new guaranty agency determines that the which includes the name and lender OMB Control Number 1845–XXX3 that borrower is eligible for loan forgiveness, identification number(s) of the entities the Department will develop.
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Section 685.220—Consolidation the borrower’s AGI exceeds 150 percent borrower has made the equivalent of 25 The final regulations permit a of the poverty guideline for the years of payments. borrower to consolidate a FFEL borrower’s family size, divided by 12. If The Department plans to revise the Consolidation Loan into the Federal a borrower no longer has a partial current collection approved under OMB Direct Loan Program for the purpose of financial hardship, the borrower may Control Number 1845–0017, the Direct participating in the Public Service Loan continue to make payments under the Loan Program Income Contingent Forgiveness Program. IBR plan, but the Secretary must Repayment Plan Consent to Disclosure We estimate that the expected recalculate the borrower’s monthly of Tax Information, so that it may also increase in the number of FFEL Program payment amount. If the borrower no be used to collect the income borrowers who wish to consolidate into longer wishes to pay under the IBR information needed for the Income- the Federal Direct Loan Program for the plan, the borrower must pay under the Based Repayment Plan. The resulting purpose of using the public loan standard repayment plan as calculated increased burden associated with OMB forgiveness program will increase the by the Secretary. Control Number 1845–0017 will be burden hours associated with OMB reported in the paperwork clearance The final regulations provide that the Control Number 1845–0053 (Direct package for the revised form. The Secretary requires a borrower to Consolidation Loan Application and Department expects to submit the establish his or her eligibility for the IBR Promissory Note). The Department will revised form for clearance by December submit an OMB 83–C indicating the plan by providing written consent to the 2008. disclosure of AGI and other tax return increased burden associated with this Collection of Information collection by October 2008. information by the IRS to the Secretary. The borrower annually certifies his or Consistent with the discussion in this Section 685.221—Income-Based her family size; otherwise the Secretary Paperwork Reduction Act of 1995 Repayment Plan assumes a family size of one. To qualify section, the following chart describes The final regulations provide that a for loan forgiveness after 25 years, a the sections of the final regulations borrower may elect the IBR plan only if determination must be made that the involving information collections, the the borrower has a partial financial borrower has established eligibility for information being collected and the hardship. Under this plan, the loan forgiveness by making payments collections the Department has borrower’s aggregate monthly loan for 25 years, or that through a submitted, or will submit, to OMB for payments would be limited to no more combination of monthly payments and approval and public comment under the than 15 percent of the amount by which economic hardship deferments, the Paperwork Reduction Act of 1995.
Regulatory section Information collection Collection
674.34, 682.210, and This final regulation incorporates previous interpretive guid- OMB 1845–0080. This is a revision of an existing collec- 685.204. ance related to the military service deferment and the tion. A separate 60-day Federal Register notice will be active duty student deferment. published to solicit comment on the revised form once it is developed. The revised form will be submitted for clearance by November, 2008. 682.205 ...... This final regulation establishes the disclosure require- OMB 1845–0020. There is no change in burden. ments for lenders. 682.209 ...... This final regulation adds, and makes available, the in- OMB 1845–0020. There is no change in burden. come-based repayment plan to FFEL borrowers. 682.211 ...... This final regulation establishes the timeframe that a lender OMB 1845–0020. This is a revision of an existing collection has to collect and process required documentation. which is being submitted to OMB with this final regula- tion. 682.215 ...... This final regulation provides for the collection of a bor- OMB 1845–0086. This is a new collection which is being rower’s income information from the IRS and an annual submitted to OMB with this final regulation. certification from a borrower who elects the income- based repayment plan. 682.302 ...... This final regulation requires the submission of documenta- OMB 1845–0085. This is a new collection which is being tion by a State, a non-profit entity, or an eligible lender submitted to OMB with this final regulation. trustee to the Secretary to establish eligibility for not-for- profit holder status. 685.205 ...... This final regulation provides for the collection of informa- OMB 1845–0031. This will be a revision of an existing col- tion to determine if a Direct loan borrower who is not eli- lection. A separate 60-day Federal Register notice will gible for a post-active duty student loan deferment may be published to solicit comment on the revised form receive a forbearance. once it is developed. The revised form will be submitted for clearance by December, 2008. 685.219 ...... This final regulation establishes a new Public Service Loan OMB 1845–XXX3. This will be a new collection. A separate Forgiveness program. 60-day Federal Register notice will be published to so- licit comment on this form once it is developed. 685.220 ...... This final regulation provides for the consolidation of FFEL OMB 1845–0053. This will increase the burden associated loans into Direct Consolidation loans for the purpose of with an existing collection. The increase will be reported using the Public Service Loan Forgiveness program. on OMB Form 83–C by October, 2008. 685.221 ...... This final regulation provides for the collection of the bor- OMB 1845–0017. This will be a revision of an existing col- rower’s income information from the IRS and an annual lection. A separate 60-day Federal Register notice will certification from the borrower who elects the income- be published to solicit comment on the revised form based repayment plan. once it is developed. The revised form will be submitted for clearance by December, 2008.
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Assessment of Educational Impact ■ A. In the introductory text of ■ R. Revising paragraph (i)(2). paragraph (e), removing the reference ■ S. In paragraph (i)(3), adding the In the NPRM, we requested comments ‘‘(e)(6)’’ from the cross-reference in the words ‘‘, on at least a half-time basis,’’ on whether the proposed regulations parenthetical phrase that appears after after the word ‘‘status’’ each time it would require transmission of the word ‘‘time’’ and adding, in its appears. information that any other agency or place, the reference ‘‘(e)(5)’’, and ■ T. Adding new paragraph (i)(4). authority of the United States gathers or removing the words ‘‘through (e)(6)’’ ■ U. In paragraph (j), removing the makes available. Based on the response and adding, in their place, the words words ‘‘paragraph (j)’’ and adding, in to the NPRM and on our review, we ‘‘through (e)(5)’’. their place, the words ‘‘paragraph (k)’’. have determined that these final ■ B. In paragraph (e)(1), removing the The revisions and additions read as regulations do not require transmission word ‘‘FDSL’’ and adding, in its place, follows: of information that any other agency or ‘‘Federal Direct Loan Program’’, and authority of the United States gathers or § 674.34 Deferment of repayment—Federal adding the word ‘‘the’’ before the words Perkins loans, NDSLs, and Defense loans. makes available. ‘‘FFEL programs’’. * * * * * Electronic Access to This Document ■ C. In paragraph (e)(3)(ii), removing the words ‘‘poverty line applicable to the (e) * * * (8)(i) * * * You may view this document, as well borrower’s family size, as determined in (ii) For purposes of paragraph (e)(3)(ii) as all other Department of Education accordance with section 673(2) of the of this section, family size means the documents published in the Federal Community Service Block Grant Act’’ number that is determined by counting Register, in text or Adobe Portable and adding, in its place, the words the borrower, the borrower’s spouse, Document Format (PDF) on the Internet ‘‘poverty guideline applicable to the and the borrower’s children, including at the following site: http://www.ed.gov/ borrower’s family size as published unborn children who will be born news/FedRegister. annually by the Department of Health during the period covered by the To use PDF you must have Adobe and Human Services pursuant to 42 deferment, if the children receive more Acrobat Reader, which is available free U.S.C. 9902(2). If a borrower is not a than half their support from the at this site. If you have questions about resident of a State identified in the borrower. A borrower’s family size using PDF, call the U.S. Government poverty guidelines, the poverty includes other individuals if, at the time Printing Office (GPO), toll free, at 1– guideline to be used for the borrower is the borrower requests the economic 888–293–6498; or in the Washington, the poverty guideline (for the relevant hardship deferment, the other DC, area at (202) 512–1530. family size) used for the 48 contiguous individuals— Note: The official version of this document States’’. (A) Live with the borrower; and is the document published in the Federal ■ D. Removing paragraph (e)(5). (B) Receive more than half their Register. Free Internet access to the official ■ E. Redesignating paragraphs (e)(6), support from the borrower and will edition of the Federal Register and the Code (e)(7), (e)(8), (e)(9), and (e)(10) as continue to receive this support from of Federal Regulations is available on GPO paragraphs (e)(5), (e)(6), (e)(7), (e)(8), the borrower for the year the borrower Access at: http://www.access.gpo.gov/nara/ and (e)(9) respectively. index.html. ■ F. In newly redesignated paragraph certifies family size. Support includes money, gifts, loans, housing, food, (Catalog of Federal Domestic Assistance (e)(6), removing the words ‘‘or (e)(5)’’. ■ G. In newly redesignated paragraph clothes, car, medical and dental care, Number: 84.032 Federal Family Education and payment of college costs. Loan Program; 84.037 Federal Perkins Loan (e)(7), removing the words ‘‘, or (e)(5)’’, Program; and 84.268 William D. Ford Federal removing the punctuation ‘‘,’’ after the * * * * * Direct Loan Program) reference ‘‘(e)(3)’’, and adding the word (h) * * * ‘‘and’’ after the reference ‘‘(e)(3)’’. (6) For a borrower whose active duty List of Subjects in 34 CFR Parts 674, ■ H. In newly redesignated paragraph service includes October 1, 2007, or 682, and 685 (e)(8), adding ‘‘(i)’’ after the number begins on or after that date, the deferment period ends 180 days after Administrative practice and ‘‘(8)’’, removing the word ‘‘paragraphs’’ and adding in its place ‘‘paragraph’’, the demobilization date for each period procedure, Colleges and universities, of service described in paragraphs Education, Loan programs—education, and removing the words ‘‘and (e)(5)’’. ■ I. Adding new paragraph (e)(8)(ii). (h)(1)(i) and (h)(1)(ii) of this section. Reporting and recordkeeping ■ J. In newly redesignated paragraph (7) Without supporting requirements, Student aid, and (e)(9), removing the words ‘‘and (e)(5)’’. documentation, a military service Vocational education. ■ K. In paragraph (h)(1), adding the deferment may be granted to an Dated: October 15, 2008. heading ‘‘Military service deferment’’ otherwise eligible borrower for a period Margaret Spellings, before the paragraph designation ‘‘(1)’’ not to exceed 12 months from the date Secretary of Education. and adding the punctuation ‘‘,’’ after the of the qualifying eligible service based on a request from the borrower or the ■ For the reasons discussed in the word ‘‘principal’’ and after the word borrower’s representative. preamble, the Secretary amends parts ‘‘accrue’’. ■ L. In paragraph (h)(4) introductory (i) Post-active duty student deferment. 674, 682, and 685 of title 34 of the Code (1) Effective October 1, 2007, a borrower of Federal Regulations as follows: text, removing the word ‘‘section’’ and adding, in its place, the word of a Federal Perkins loan, an NDSL, or PART 674—FEDERAL PERKINS LOAN ‘‘paragraph’’. a Defense loan serving on active duty PROGRAM ■ M. Revising paragraph (h)(6). military service on that date, or who ■ N. Adding new paragraph (h)(7). begins serving on or after that date, need ■ 1. The authority citation for part 674 ■ O. Adding a heading to paragraph (i). not pay principal, and interest does not continues to read as follows: ■ P. In paragraph (i)(1), revising the accrue for up to 13 months following Authority: 20 U.S.C. 1087aa–1087hh and introductory text. the conclusion of the borrower’s active ■ 20 U.S.C. 421–429 unless otherwise noted. Q. In paragraph (i)(1)(ii), adding the duty military service and initial grace words ‘‘, on at least a half-time basis,’’ period if— ■ 2. Section 674.34 is amended by: after the word ‘‘enrolled’’. ***
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(2) As used in paragraph (i)(1) of this ■ 5. Section 682.205 is amended by: adding the words ‘‘, or income-based’’ section ‘‘Active duty’’ means active duty ■ A. Revising the heading to paragraph immediately after the word ‘‘extended’’. as defined in section 101(d)(1) of title (h). The revisions and additions read as 10, United States Code, for at least a 30- ■ B. Revising paragraph (h)(1). follows: day period, except that— The revisions read as follows: § 682.209 Repayment of a loan. (i) Active duty includes active State § 682.205 Disclosure requirements for duty for members of the National Guard lenders. * * * * * under which the Governor activates (a) * * * National Guard personnel based on * * * * * (6) * * * (h) Notice of availability of income- State statute or policy and the activities (iii) Not more than six months prior sensitive and income-based repayment of the National Guard are paid for with to the date that the borrower’s first options. payment is due, the lender must offer State funds; (1) At the time of offering a borrower (ii) Active duty includes full-time the borrower a choice of a standard, a loan and at the time of offering a National Guard duty under which the income-sensitive, income-based, borrower repayment options, the lender Governor is authorized, with the graduated, or, if applicable, an extended must provide the borrower with a notice approval of the President or the U.S. repayment schedule. that informs the borrower of the Secretary of Defense, to order a member (iv) Except in the case of an income- availability of income-sensitive and, to State active duty and the activities of except for parent PLUS borrowers and based repayment schedule, the the National Guard are paid for with Consolidation Loan borrowers whose repayment schedule must require that Federal funds; each payment equal at least the interest (iii) Active duty does not include Consolidation Loan paid off one or more parent PLUS Loans, income-based that accrues during the interval between active duty for training or attendance at scheduled payments. a service school; and repayment plans. This information may be provided in a separate notice or as (v) The lender shall require the (iv) Active duty does not include borrower to repay the loan under a employment in a full-time, permanent part of the other disclosures required by this section. The notice must inform the standard repayment schedule described position in the National Guard unless in paragraph (a)(6)(vi) of this section if the borrower employed in such a borrower— (i) That the borrower is eligible for the borrower— position is reassigned to active duty (A) Does not select an income- under paragraph (i)(2)(i) of this section income-sensitive repayment and may be eligible for income-based repayment, sensitive, income-based, graduated, or, or full-time National Guard duty under if applicable, an extended repayment paragraph (i)(2)(ii) of this section. including through loan consolidation; (ii) Of the procedures by which the schedule within 45 days after being * * * * * borrower can elect income-sensitive or notified by the lender to choose a (4) If a borrower qualifies for both a income-based repayment; and repayment schedule; military service deferment and a post- (iii) Of where and how the borrower (B) Chooses an income-sensitive active duty student deferment under may obtain more information repayment schedule, but does not both paragraphs (h) and (i) of this concerning income-sensitive and provide the documentation requested by section, the 180-day post- income-based repayment plans. the lender under paragraph demobilization military service * * * * * (a)(6)(viii)(C) of this section within the deferment period and the 13-month ■ time period specified by the lender; or post-active duty student deferment 6. Section 682.209 is amended by: ■ A. Revising paragraph (a)(6)(iii). (C) Chooses an income-based period apply concurrently. ■ B. Revising paragraph (a)(6)(iv). repayment schedule, but does not * * * * * ■ C. Revising paragraph (a)(6)(v). provide the income documentation ■ D. Redesignating paragraphs (a)(6)(x) requested by the lender under PART 682—FEDERAL FAMILY and (a)(6)(xi) as (a)(6)(xi) and (a)(6)(xii), § 682.215(e)(1)(i) within the time period EDUCATION LOAN (FFEL) PROGRAM respectively. specified by the lender. ■ ■ E. Adding a new paragraph (a)(6)(x). * * * * * 3. The authority citation for part 682 ■ F. In newly redesignated paragraph continues to read as follows: (x) Under an income-based repayment (a)(6)(xi), adding the words ‘‘, or at any schedule, the borrower repays the loan Authority: 20 U.S.C. 1071 to 1087–2 unless time in the case of a borrower in an in accordance with § 682.215. otherwise noted. income-based repayment plan’’ * * * * * ■ 4. Section 682.201 is amended by: immediately after the word ‘‘annually’’. ■ ■ 7. Section 682.210 is amended by: ■ A. In paragraph (e)(3), removing the G. In paragraph (a)(8), adding the words ‘‘, except in the case of payments ■ A. Revising paragraph (s)(6)(iii)(B). word ‘‘and’’ at the end of the paragraph. ■ ■ B. In paragraph (e)(4), removing the made under an income-based repayment B. Removing paragraphs (s)(6)(iv), plan.’’ immediately after the words ‘‘five (s)(6)(v), and (s)(6)(vii). punctuation ‘‘.’’ at the end of the ■ paragraph and adding, in its place, the dollars’’ the first time those words C. Redesignating paragraphs (s)(6)(vi), words, ‘‘; and’’. appear. (s)(6)(viii), (s)(6)(ix), (s)(6)(x) and ■ C. Adding a new paragraph (e)(5) to ■ H. In paragraph (b)(1), removing the (s)(6)(xi) as paragraphs (s)(6)(iv), read as follows: word ‘‘The’’ at the beginning of the (s)(6)(v), (s)(6)(vi), (s)(6)(vii), (s)(6)(viii) sentence and adding, in its place, the respectively. § 682.201 Eligible borrowers. words ‘‘Except in the case of payments ■ D. In newly redesignated (s)(6)(v), * * * * * made under an income-based repayment removing the word ‘‘paragraphs’’ and (e) * * * plan, the’’. adding in its place ‘‘paragraph’’, and (5) A FFEL borrower may consolidate ■ I. In paragraph (b)(2)(ii), in the second removing the words ‘‘through (v)’’. his or her loans (including a FFEL sentence, removing the words ■ E. In newly redesignated (s)(6)(vi), Consolidation Loan) into the Federal ‘‘borrower coupon book’’ and adding, in removing the word ‘‘paragraphs’’ and Direct Consolidation Loan Program for their place, ‘‘borrower’s coupon book’’. adding in its place ‘‘paragraph’’, and the purpose of using the Public Service ■ J. In paragraph (c)(1)(i), removing the removing the words ‘‘through (v)’’. Loan Forgiveness Program. word ‘‘or’’ the first time it appears and ■ F. Adding a new paragraph (s)(6)(ix).
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■ G. In paragraph (t)(1), removing the continue to receive this support from ■ 8. Section 682.211 is amended by: word ‘‘an’’ and adding, in its place, the the borrower for the year the borrower ■ A. Adding a new paragraph (f)(13). word ‘‘a’’ and by removing the word certifies family size. Support includes ■ B. Adding a new paragraph (f)(14). ‘‘loans’’ and adding, in its place, the money, gifts, loans, housing, food, ■ C. In paragraph (h)(2)(ii)(C), removing word ‘‘loan’’. clothes, car, medical and dental care, the punctuation at the end and adding, ■ H. In paragraph (t)(2), removing the and payment of college costs. in its place, ‘‘; and’’. word ‘‘The’’ at the beginning of the * * * * * ■ D. Adding new paragraph (h)(2)(iii). sentence, and adding, in its place, the (t) * * * The additions read as follows: words ‘‘For a borrower whose active (9) Without supporting § 682.211 Forbearance. duty service includes October 1, 2007, documentation, a military service or begins on or after that date, the’’ and deferment may be granted to an * * * * * by removing the words ‘‘for the service’’ otherwise eligible borrower for a period (f) * * * and adding, in their place, the words not to exceed the initial 12 months from (13) For a period not to exceed 60 ‘‘for each period of service’’. the date the qualifying eligible service days necessary for the lender to collect ■ I. In paragraph (t)(6), removing the began based on a request from the and process documentation supporting word ‘‘section’’ and adding, in its place, borrower or the borrower’s the borrower’s eligibility for loan the word ‘‘paragraph’’. forgiveness under the income-based ■ representative. J. Adding new paragraph (t)(9). (u) Post-active duty student repayment program. The lender must ■ K. Revising the heading of paragraph deferment. (1) Effective October 1, 2007, notify the borrower that the requirement (u) and the introductory text to a borrower who receives a FFEL to make payments on the loans for paragraph (u)(1). Program loan and is serving on active which forgiveness was requested has ■ L. In paragraph (u)(1)(ii), adding the been suspended pending approval of the words ‘‘, on at least a half-time basis,’’ duty on that date, or begins serving on or after that date, is entitled to receive forgiveness by the guaranty agency. after the word ‘‘enrolled’’. (14) For a period of delinquency at the ■ M. Revising paragraph (u)(2). a post-active duty student deferment for ■ 13 months following the conclusion of time a borrower makes a change to the N. In paragraph (u)(3), adding the repayment plan. words ‘‘, on at least a half-time basis,’’ the borrower’s active duty military after the word ‘‘status’’ each time it service and any applicable grace period * * * * * appears. if—* * * (h) * * * ■ O. Redesignating paragraph (u)(4) as (2) As used in paragraph (u)(1) of this (2) * * * (u)(5). section, ‘‘active duty’’ means active duty (iii) In yearly increments (or a lesser ■ P. Adding new paragraph (u)(4). as defined in section 101(d)(1) of title period equal to the actual period for The revisions and additions read as 10, United States Code for at least a 30- which the borrower is eligible) when a follows: day period, except that— member of the National Guard who (i) Active duty includes active State qualifies for a post-active duty student § 682.210 Deferment. duty for members of the National Guard deferment, but does not qualify for a * * * * * under which a Governor activates military service deferment or other (s) * * * National Guard personnel based on deferment, is engaged in active State (6) * * * State statute or policy and the activities duty as defined in § 682.210(u)(2)(i) and (iii) * * * of the National Guard are paid for with (ii) for a period of more than 30 (B) An amount equal to 150 percent consecutive days, beginning— of the poverty guideline applicable to State funds; (ii) Active duty includes full-time (A) On the day after the grace period the borrower’s family size as published National Guard duty under which a expires for a Stafford loan that has not annually by the Department of Health Governor is authorized, with the entered repayment; or and Human Services pursuant to 42 (B) On the day after the borrower U.S.C. 9902(2). If a borrower is not a approval of the President or the U.S. ceases at least half-time enrollment, for resident of a State identified in the Secretary of Defense, to order a member a FFEL loan in repayment. poverty guidelines, the poverty to State active duty and the activities of guideline to be used for the borrower is the National Guard are paid for with * * * * * the poverty guideline (for the relevant Federal funds; ■ 9. Redesignate § 682.215 as § 682.216. (iii) Active duty does not include family size) used for the 48 contiguous ■ 10. Add a new § 682.215 to read as States. active duty for training or attendance at a service school; and follows: * * * * * (iv) Active duty does not include (ix) For purposes of paragraph § 682.215 Income-based repayment plan. employment in a full-time, permanent (a) Definitions. As used in this (s)(6)(iii)(B) of this section, family size position in the National Guard unless means the number that is determined by section— the borrower employed in such a counting the borrower, the borrower’s (1) Adjusted gross income (AGI) position is reassigned to active duty spouse, and the borrower’s children, means the borrower’s adjusted gross under paragraph (u)(2)(i) of this section including unborn children who will be income as reported to the Internal or full-time National Guard duty under born during the period covered by the Revenue Service. For a married paragraph (u)(2)(ii) of this section. deferment, if the children receive more borrower filing jointly, AGI includes than half their support from the * * * * * both the borrower’s and spouse’s borrower. A borrower’s family size (4) If a borrower qualifies for both a income. For a married borrower filing includes other individuals if, at the time military service deferment and a post- separately, AGI includes only the the borrower requests the economic active duty student deferment, the 180- borrower’s income. hardship deferment, the other day post-demobilization military service (2) Eligible loan means any individuals— deferment period and the 13-month outstanding loan made to a borrower (A) Live with the borrower; and post-active duty student deferment under the FFEL and Direct Loan (B) Receive more than half their period apply concurrently. programs except for a defaulted loan, a support from the borrower and will * * * * * FFEL or Direct PLUS Loan made to a
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parent borrower, or a FFEL or Direct principal amount of eligible loans that principal balance of the loan and any Consolidation Loan that repaid a FFEL are held by the loan holder; accrued interest unpaid by the or Direct PLUS Loan made to a parent (ii) The calculated amount under borrower. borrower. paragraph (b)(1) or (b)(1)(i) of this (8) The repayment period for a (3) Family size means the number that section is less than $5.00, in which case borrower under an income-based is determined by counting the borrower, the borrower’s monthly payment is repayment plan may be greater than 10 the borrower’s spouse, and the $0.00; or years. borrower’s children, including unborn (iii) The calculated amount under (c) Payment application and children who will be born during the paragraph (b)(1) or (b)(1)(i) of this prepayment. (1) The loan holder shall year the borrower certifies family size, section is equal to or greater than $5.00 apply any payment made under an if the children receive more than half but less than $10.00, in which case the income-based repayment plan in the their support from the borrower. A borrower’s monthly payment is $10.00. following order: borrower’s family size includes other (2) A borrower with eligible loans (i) Accrued interest. individuals if, at the time the borrower held by two or more loan holders must (ii) Collection costs. certifies family size, the other request income-based repayment from (iii) Late charges. individuals— each loan holder if the borrower wants (iv) Loan principal. (2) The borrower may prepay the (i) Live with the borrower; and to repay all of his or her eligible loans under an income-based repayment plan. whole or any part of a loan at any time (ii) Receive more than half their Each loan holder must apply the without penalty. support from the borrower and will payment calculation rules in paragraphs (3) If the prepayment amount equals continue to receive this support from (b)(1)(ii) and (iii) of this section to loans or exceeds a monthly payment amount the borrower for the year the borrower they hold. of $10.00 or more under the repayment certifies family size. Support includes (3) If a borrower elects an income- schedule established for the loan, the money, gifts, loans, housing, food, based repayment plan, the loan holder loan holder shall apply the prepayment clothes, car, medical and dental care, must, unless the borrower requests consistent with the requirements of and payment of college costs. otherwise, require that all eligible loans § 682.209(b)(2)(ii). (4) Partial financial hardship means a owed by the borrower to that holder be (4) If the prepayment amount exceeds circumstance in which the annual repaid under the income-based the monthly payment amount of $0.00 amount due on all of a borrower’s repayment plan. under the repayment schedule eligible loans, as calculated under a (4) If the borrower’s monthly payment established for the loan, the loan holder standard repayment plan based on a 10- amount is not sufficient to pay the shall apply the prepayment consistent year repayment period, exceeds 15 accrued interest on the borrower’s with the requirements of paragraph percent of the difference between the subsidized Stafford Loans or the (c)(1) of this section. borrower’s AGI and 150 percent of the subsidized portion of the borrower’s (d) Changes in the payment amount. poverty guideline for the borrower’s Federal Consolidation loan, the (1) If a borrower no longer has a partial family size. Secretary pays to the holder the financial hardship, the borrower may (5) Poverty guideline refers to the remaining accrued interest for a period continue to make payments under the income categorized by State and family not to exceed three consecutive years income-based repayment plan but the size in the poverty guidelines published from the established repayment period loan holder must recalculate the annually by the United States start date on each loan repaid under the borrower’s monthly payment. The loan Department of Health and Human income-based repayment plan. On a holder also recalculates the monthly Services pursuant to 42 U.S.C. 9902(2). Consolidation Loan that repays loans on payment for a borrower who chooses to If a borrower is not a resident of a State which the Secretary has paid accrued stop making income-based payments. In identified in the poverty guidelines, the interest under this section, the three- either case, as a result of the poverty guideline to be used for the year period includes the period for recalculation— borrower is the poverty guideline (for which the Secretary paid accrued (i) The maximum monthly amount the relevant family size) used for the 48 interest on the underlying loans. The that the loan holder may require the contiguous States. three-year period does not include any borrower to repay is the amount the (b) Repayment plan. (1) A borrower period during which the borrower borrower would have paid under the may elect the income-based repayment receives an economic hardship FFEL standard repayment plan based on plan only if the borrower has a partial deferment. a 10-year repayment period on the financial hardship. Except as provided (5) Except as provided in paragraph borrower’s eligible loans that were under paragraph (b)(1)(i), (b)(1)(ii), and (b)(4) of this section, accrued interest is outstanding at the time the borrower (b)(1)(iii) of this section, the borrower’s capitalized at the time the borrower began repayment on the loans with that aggregate monthly loan payments are chooses to leave the income-based holder under the income-based limited to no more than 15 percent of repayment plan or no longer has a repayment plan; and the amount by which the borrower’s partial financial hardship. (ii) The borrower’s repayment period AGI exceeds 150 percent of the poverty (6) If the borrower’s monthly payment based on the recalculated payment line income applicable to the borrower’s amount is not sufficient to pay any amount may exceed 10 years. family size, divided by 12. The loan principal due, the payment of that (2) If a borrower no longer wishes to holder adjusts the calculated monthly principal is postponed until the pay under the income-based repayment payment if— borrower chooses to leave the income- plan, the borrower must pay under the (i) The total amount of the borrower’s based repayment plan or no longer has FFEL standard repayment plan and the eligible loans includes loans not held by a partial financial hardship. loan holder recalculates the borrower’s the loan holder, in which case the loan (7) The special allowance payment to monthly payment based on— holder determines the borrower’s a lender during the period in which the (i) The time remaining under the adjusted monthly payment by borrower has a partial financial maximum ten-year repayment period for multiplying the calculated payment by hardship under an income-based the amount of the borrower’s loans that the percentage of the total outstanding repayment plan is calculated on the were outstanding at the time the
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borrower discontinued paying under the described in § 682.209(a)(6)(vi) with a (4) If a borrower satisfies the loan income-based repayment plan; or 10-year repayment period; forgiveness requirements, the Secretary (ii) For a Consolidation Loan, the (iv) Made monthly payments under repays the outstanding balance and applicable repayment period remaining the FFEL standard repayment plan accrued interest on the FFEL specified in § 682.209(h)(2) for the total described in § 682.209(a)(6)(vi) based on Consolidation Loan described in amount of that loan and the balance of a 10-year repayment period for the paragraph (f)(3)(i), (iii), or (iv) of this other student loans that was outstanding amount of the borrower’s loans that section or other eligible FFEL loans at the time the borrower discontinued were outstanding at the time the described in paragraph (f)(3)(ii) or (iv) of paying under the income-based borrower first selected the income-based this section. repayment plan. repayment plan; or (5) A borrower repaying a defaulted (e) Eligibility documentation and (v) Received an economic hardship loan is not considered to be repaying verification. (1) The loan holder deferment on eligible FFEL loans. under a qualifying repayment plan for determines whether a borrower has a (2) As provided under paragraph (f)(4) the purpose of loan forgiveness, and any partial financial hardship to qualify for of this section, the Secretary repays any payments made on a defaulted loan are the income-based repayment plan for outstanding balance of principal and not counted toward the 25-year the year the borrower elects the plan accrued interest on FFEL loans for forgiveness period. and for each subsequent year that the which the borrower qualifies for (g) Loan forgiveness processing and borrower remains on the plan. To make forgiveness if the guaranty agency payment. (1) No later than 60 days after this determination, the loan holder determines that— the loan holder determines that a requires the borrower to— (i) The borrower made monthly borrower qualifies for loan forgiveness (i)(A) Provide written consent to the payments under one or more of the under paragraph (f) of this section, the disclosure of AGI and other tax return repayment plans described in paragraph loan holder must request payment from information by the Internal Revenue (f)(1) of this section, including a the guaranty agency. Service to the loan holder. The borrower monthly amount of $0.00 as provided in (2) If the loan holder requests provides consent by signing a consent paragraph (b)(1)(ii) of this section; and payment from the guaranty agency later (ii)(A) The borrower made those form and returning it to the loan holder; than the period specified in paragraph monthly payments each year for a 25- (B) If the borrower’s AGI is not (g)(1) of this section, interest that year period; or available, or the loan holder believes accrues on the discharged amount after (B) Through a combination of that the borrower’s reported AGI does the expiration of the 60-day filing monthly payments and economic not reasonably reflect the borrower’s period is ineligible for reimbursement hardship deferments, the borrower current income, the loan holder may use by the Secretary, and the holder must made the equivalent of 25 years of other documentation provided by the repay all interest and special allowance payments. borrower to verify income; and received on the discharged amount for (ii) Annually certify the borrower’s (3) For a borrower who qualifies for the income-based repayment plan, the periods after the expiration of the 60- family size. If the borrower fails to day filing period. The holder cannot certify family size, the loan holder must beginning date for the 25-year period is— collect from the borrower any interest assume a family size of one for that year. that is not paid by the Secretary under (2) The loan holder designates the (i) For a borrower who has a FFEL this paragraph. repayment option described in Consolidation Loan, the date the (3)(i) Within 45 days of receiving the paragraph (d)(1) of this section for any borrower made a payment or received holder’s request for payment, the borrower who selects the income-based an economic hardship deferment on that guaranty agency must determine if the repayment plan but— loan, before the date the borrower (i) Fails to renew the required written qualified for income-based repayment. borrower meets the eligibility consent for income verification; or The beginning date is the date the requirements for loan forgiveness under (ii) Withdraws consent and does not borrower made the payment or received this section and must notify the holder select another repayment plan. the deferment, but no earlier than July of its determination. (f) Loan forgiveness. (1) To qualify for 1, 2009; (ii) If the guaranty agency approves loan forgiveness after 25 years, the (ii) For a borrower who has one or the loan forgiveness, it must, within the borrower must have participated in the more other eligible FFEL loans, the date same 45-day period required under income-based repayment plan and the borrower made a payment or paragraph (g)(3)(i) of this section, pay satisfied at least one of the following received an economic hardship the holder the amount of the conditions during that period— deferment on that loan. The beginning forgiveness. (i) Made reduced monthly payments date is the date the borrower made that (4) After being notified by the under a partial financial hardship as payment or received the deferment on guaranty agency of its determination of provided under paragraph (b)(1) of this that loan, but no earlier than July 1, the eligibility of the borrower for loan section. Monthly payments of $0.00 2009; forgiveness, the holder must, within 30 qualify as reduced monthly payments as (iii) For a borrower who did not make days, inform the borrower of the provided in paragraph (b)(1)(ii) of this a payment or receive an economic determination and, if appropriate, that section; hardship deferment on the loan under the borrower’s repayment obligation on (ii) Made reduced monthly payments paragraph (f)(3)(i) or (ii) of this section, the loans for which income-based after the borrower no longer had a the date the borrower made a payment forgiveness was requested is satisfied. partial financial hardship or stopped under the income-based repayment plan The lender must also provide the making income-based payments as on the loan; or borrower with information on the provided in paragraph (d)(1) of this (iv) If the borrower consolidates his or required handling of the forgiveness section; her eligible loans, the date the borrower amount. (iii) Made monthly payments under made a payment on the FFEL (5)(i) The holder must apply the any repayment plan, that were not less Consolidation Loan that met the proceeds of the income-based than the amount required under the conditions in (f)(1) after qualifying for repayment loan forgiveness amount to FFEL standard repayment plan the income-based repayment plan. satisfy the outstanding balance on those
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loans for which income-based portion of the borrower’s Consolidation or non-profit entity or a special purpose forgiveness was requested; or Loan. entity for a State or non-profit entity. (ii) If the forgiveness amount exceeds * * * * * (ii) For purposes of paragraph (f)(3) of the outstanding balance on the eligible ■ 12. Section 682.302 is amended by: this section— loans subject to forgiveness, the loan ■ A. Revising paragraph (a). (A) The term ‘‘State or non-profit holder must refund the excess amount ■ B. In paragraph (e)(4), removing entity’’ means an entity described in to the guaranty agency. ‘‘(e)(5)’’ and adding, in its place, ‘‘(e)(5) paragraph (f)(3)(i)(A), (f)(3)(i)(B), or (6) If the guaranty agency does not or (f)’’. (f)(3)(i)(C) of this section, regardless of pay the forgiveness claim, the lender ■ C. Revising the introductory text of whether such entity is an eligible lender will continue the borrower in paragraph (f). under section 435(d) of that Act. repayment on the loan. The lender is ■ D. Revising paragraph (f)(3). (B) The term ‘‘special purpose entity’’ deemed to have exercised forbearance of The revisions read as follows: means an entity established for the both principal and interest from the date limited purpose of financing the the borrower’s repayment obligation § 682.302 Payment of special allowance on acquisition of loans from or at the was suspended until a new payment FFEL loans. direction of a State or non-profit entity, due date is established. Unless the (a) General. The Secretary pays a or servicing and collecting such loans, denial of the forgiveness claim was due special allowance to a lender on an and that is— to an error by the lender, the lender may eligible FFEL loan. The special (1) An entity established by such State capitalize any interest accrued and not allowance is a percentage of the average or non-profit entity, or paid during this period, in accordance unpaid principal balance of a loan, (2) An entity established by an entity with § 682.202(b). including capitalized interest computed described in paragraph (f)(3)(ii)(B)(1) of (7) The loan holder must promptly in accordance with paragraphs (c) and this section. return to the sender any payment (f) of this section. Special allowance is (C) A special purpose entity is a received on a loan after the guaranty also paid on the unpaid accrued interest ‘‘related special purpose entity’’ with agency pays the loan holder the amount of a loan covered by § 682.215(b)(7) respect to a State or non-profit entity if of loan forgiveness. computed in the same manner as in it holds any interest in loans acquired (Authority: 20 U.S.C. 1098e) paragraphs (c) and (f), as applicable, from or at the direction of that State or except for this purpose the applicable non-profit entity or from a special ■ 11. Section 682.300 is amended by: interest rate shall be deemed to be zero. purpose entity established by that State ■ A. In paragraph (b)(1)(ii), removing * * * * * or non-profit entity. the word ‘‘and’’ at the end of the (f) Special allowance rates for loans (iii) An entity that otherwise qualifies sentence. made on or after October 1, 2007. With under paragraph (f)(3)(i) of this section ■ B. In paragraph (b)(1)(iii), removing respect to any loan for which the first shall not be considered an eligible not- the punctuation ‘‘.’’ and adding, in its disbursement of principal is made on or for-profit holder unless such entity— place ‘‘; and’’ at the end of the sentence. after October 1, 2007, other than a loan (A) Was a State or non-profit entity ■ C. Adding a new paragraph (b)(1)(iv). ■ described in paragraph (e)(5) of this and an eligible lender under section D. In paragraph (b)(2)(viii), removing section, the special allowance rate for an the word ‘‘ or’’ at the end of the 435(d) of the Act, other than a school eligible loan made during a 3-month lender, and on or before September 27, sentence. period is calculated according to the ■ E. In paragraph (b)(2)(ix), removing 2007 had made or acquired a FFEL loan, formulas described in paragraphs (f)(1) the punctuation ‘‘.’’ and adding in its unless the State waives this requirement and (f)(2) of this section. place ‘‘; or’’ at the end of the sentence. under paragraph (f)(3)(iv) of this section; ■ F. Adding a new paragraph (b)(2)(x). * * * * * or The additions read as follows: (3) Eligible Not-for-Profit Holder. (i) (B) Is acting as an eligible lender For purposes of this section, the term trustee on behalf of a State or non-profit § 682.300 Payment of interest benefits on ‘‘eligible not-for-profit holder’’ means an entity that was the sole beneficial owner Stafford and Consolidation loans. eligible lender under section 435(d) of of a loan eligible for a special allowance * * * * * the Act (except an eligible institution) payment on September 27, 2007. (b) * * * that requests special allowance (iv) Subject to the provisions of (1) * * * payments from the Secretary and that section 435(d)(1)(D) of the Act, a State (iv) During a period that does not is— may waive the requirement of paragraph exceed three consecutive years from the (A) A State, or a political subdivision, (f)(3)(iii)(A) of this section to identify a established repayment period start date authority, agency, or other new eligible not-for-profit holder on each loan under the income-based instrumentality thereof, including such pursuant to a written application filed repayment plan and that excludes any entities that are eligible to issue bonds in accordance with paragraph (f)(3)(x) of period during which the borrower described in 26 CFR 1.103–1, or section this section, for the purposes of carrying receives an economic hardship 144(b) of the Internal Revenue Code of out a public purpose of the State, except deferment, if the borrower’s monthly 1986; that a State may not designate a trustee payment amount under the plan is not (B) An entity described in section for this purpose. sufficient to pay the accrued interest on 150(d)(2) of the Internal Revenue Code (v) A State or non-profit entity, and a the borrower’s loan or on the qualifying of 1986 that has not made the election trustee to the extent acting on behalf of portion of the borrower’s Consolidation described in section 150(d)(3) of that such an entity or its related special Loan. Code; purpose entity, shall not be an eligible * * * * * (C) An entity described in section not-for-profit holder if the State or non- (2) * * * 501(c)(3) of the Internal Revenue Code profit entity or its related special (x) The date the borrower’s payment of 1986; or purpose entity is owned or controlled, under the income-based repayment plan (D) A trustee acting as an eligible in whole or in part, by a for-profit is sufficient to pay the accrued interest lender on behalf of an entity that is not entity. For purposes of this paragraph, a on the borrower’s loan or the qualifying an eligible institution and that is a State for-profit entity has ownership and
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control of a State or non-profit entity, or granted and limitations imposed in State or non-profit entity that the its related special purpose entity, if— connection with or related to the Secretary considers reliable. (A) The for-profit entity is a member granting of a security interest described (C) Loans owned by the State or non- or shareholder of a State or non-profit in paragraph (f)(3)(ix) of this section, profit entity or a related special purpose entity or related special purpose entity and subject to any limitations on such entity for which the trustee receives fees that is a membership or stock rights under the Act as a result of such in excess of the amount permitted by corporation, and the for-profit entity has entity not qualifying as an eligible paragraph (f)(3)(viii) of this section sufficient power to control the State or lender or holder under the Act. cease to qualify for a special allowance non-profit entity or its special purpose (D) ‘‘Sole owner’’ means the entity payment at the rate prescribed under entity; that has all the rights described in paragraph (f)(2) of this section. (B) The for-profit-entity employs or paragraph (f)(3)(vi)(C) of this section, (ix) For purposes of paragraph (f)(3) of appoints individuals that together which may be subject to the rights and this section, if a State or non-profit constitute a majority of the State, non- limitations described in paragraph entity, its related special purpose entity, profit, or special purpose entity’s board (f)(3)(vi)(C), to the exclusion of any or a trustee acting on behalf of any of of trustees or directors, or a majority of other entity, with respect both to a loan these entities, grants a security interest such board’s audit committee, executive and the income from a loan. in, or otherwise pledges as collateral, a committee, or compensation committee; (vii)(A) No State or non-profit entity, loan, or the income from a loan, to or and no trustee to the extent acting on secure a debt obligation for which such (C) For a State, non-profit, or special behalf of such a State or non-profit State or non-profit entity, or its related purpose entity that has no board of entity or its related special purpose special purpose entity, is the issuer of trustees or directors and associated entity, shall be an eligible not-for-profit that debt obligation, none of these committees of such, the for-profit entity holder with respect to any loan or entities shall, by such action— is authorized by law, agreement, or income from any loan on which (A) Be deemed to be owned or otherwise to approve decisions by the payment is claimed at the rate controlled, in whole or in part, by a for- entity regarding its audits, investments, established under paragraph (f)(2) of profit entity; or hiring, retention, or compensation of this section, unless such State or non- (B) Lose its status as the sole owner officials, unless the Secretary of a beneficial interest in a loan and the determines that the particular authority profit entity or its related special purpose entity is the sole owner of the income from a loan. to approve such decisions is not likely (x) Not-for-Profit Holder Eligibility beneficial interest in such loan and the to affect the integrity of those decisions. Determination. A State or non-profit income from such loan. (vi) For purposes of paragraph (f)(3) of entity that seeks to qualify as an eligible (B) A State or non-profit entity that this section— not-for-profit holder, either in its own had sole ownership of the beneficial (A) A for-profit entity has sufficient right or through a trust agreement with interest in a loan and the income from power to control a State or non-profit an eligible lender trustee, must provide such loan is considered to retain that entity or its related special purpose to the Secretary— entity, if it possesses directly, or sole ownership for purposes of (A) A certification on the State or non- represents, either alone or together with paragraph (f)(3)(vii)(A) of this section if profit entity’s letterhead signed by the other persons, under a voting trust, such entity transferred beneficial State or non-profit entity’s Chief power of attorney, proxy, or similar interest in the loan to its related special Executive Officer (CEO) which— agreement, one or more persons who purpose entity and no party other than (1) States the basis upon which the hold, individually or in combination that State or non-profit entity or its entity qualifies as a State or non-profit with the other person represented or the related special purpose entity owns any entity; persons representing them, a sufficient beneficial interest or residual ownership (2) Includes documentation voting percentage of the membership interest in the loan or income from the establishing its status as a State or non- interests or voting securities to direct or loan. profit entity; cause the direction of the management (viii)(A) A trustee described in (3) Includes the name and lender and policies of the State or non-profit paragraph (f)(3)(i)(D) of this section identification number(s) of the entities entity or its related special purpose shall not receive compensation as for which designation is being certified; entity. consideration for acting as an eligible (4) Includes the name of any related (B) An individual is deemed to be lender on behalf of a State or non-profit special purpose entities that hold any employed or appointed by a for-profit entity or its related special purpose interest in any loan on which special entity if the for-profit entity employs a entity in excess of reasonable and allowance is claimed under paragraph family member, as defined in customary fees paid for providing the (f)(2)of this section, describes the role of § 600.21(f), of that individual, unless the particular service or services that the such entity with respect to the loans, Secretary determines that the particular trustee undertakes to provide to such and provides with respect to that entity nature of the family member’s entity. the certifications and documentation employment is not likely to affect the (B) Fees are reasonable and described in paragraph (f)(3)(x)(A) and integrity of decisions made by the board customary, for purposes of this (B) of this section; and or committee member. paragraph (f)(3)(viii), if they do not (5) For an entity establishing status (C) ‘‘Beneficial owner’’ (including exceed the amounts received by the under section 150(d) of the Internal ‘‘beneficial ownership’’ and ‘‘owner of a trustee for similar services with regard Revenue Code of 1986, includes copies beneficial interest’’) means the entity to similar portfolios of loans of that of the requests of the State or political that has those rights with respect to the State or non-profit entity or its related subdivision or subdivisions thereof or loan or income from the loan that are special purpose entity that are not requirements described in section the normal incidents of ownership, eligible to receive special allowance at 150(d)(2) of the Internal Revenue Code including the right to receive, possess, the rate established under paragraph and the CEO’s additional certification use, and sell or otherwise exercise (f)(2) of this section, or if they do not that the entity has not elected under control over the loan and the income exceed an amount as determined by section 150(d)(3) of the Internal from the loan, subject to any rights such other method requested by the Revenue Code to cease its status as a
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qualified scholarship funding change that may result in a State or non- balance for the quarter for qualifying corporation. profit entity that has been designated an loans at the applicable interest rate. (B) A separately submitted eligible not-for-profit holder, either * * * * * certification or opinion by the State or directly or through an eligible lender ■ 14. Section 682.405 is amended by non-profit entity’s external legal counsel trustee, losing that eligibility, the State revising paragraph (b)(4) to read as or the office of the attorney general of or non-profit entity must— follows: the State, with supporting (A) Submit details of the change to the documentation that shows that the State Secretary; and § 682.405 Loan rehabilitation agreement. or non-profit entity— (B) Cease billing for special allowance * * * * * (1) Is constituted a State entity by at the rate established under paragraph (b) * * * operation of specific State law; (f)(2) of this section for the period from (4) An eligible lender purchasing a (2) Has been designated by the State the date of the change that may result rehabilitated loan must establish a or one or more political subdivisions of in it no longer being eligible for the rate repayment schedule that meets the same the State to serve as a qualified established under paragraph (f)(2) of requirements that are applicable to other scholarship funding corporation under this section to the date of the Secretary’s FFEL Program loans of the same loan section 150(d) of the Internal Revenue determination that such entity has not type as the rehabilitated loan and must Code, has not made the election lost its eligibility as a result of such permit the borrower to choose any described under section 150(d)(3) of the change; provided, however, that in the statutorily available repayment plan for Internal Revenue Code, and is quarter following the Secretary’s that loan type. The lender must treat the incorporated under State law as a not- determination that such eligible not-for- first payment made under the nine for-profit organization; profit holder has not lost its eligibility, payments as the first payment under the (3) Is incorporated under State law as the eligible not-for-profit holder may applicable maximum repayment term, a not-for-profit organization or is an submit a billing for special allowance as defined under § 682.209(a) or (h). For entity described in section 503(c)(3) of during the period from the date of the Consolidation loans, the maximum the Internal Revenue Code; or change to the date of the Secretary’s repayment term is based on the balance (4) Has in effect a relationship with an determination equal to the difference outstanding at the time of loan eligible lender under which the lender between special allowance at the rate rehabilitation. is acting as trustee on behalf of the State established under paragraph (f)(2) of * * * * * or non-profit entity. this section and the amount it actually (xi) Annual Certification by Eligible billed at the rate established under § 682.411 [Amended] Not-for-Profit Holder. A State or non- paragraph (f)(1) of this section. ■ 15. Section 682.411 is amended, in profit entity that seeks to retain its (xiii) In the case of a loan for which eligibility as an eligible not-for-profit paragraph (d)(1), by adding the words ‘‘, the special allowance payment is income-based repayment’’ immediately holder, either in its own right or through calculated under paragraph (f)(2) of this a trust agreement with an eligible lender after the words ‘‘income-sensitive section and that is sold by the eligible repayment’’. trustee, must annually provide to the not-for-profit holder holding the loan to Secretary— an entity that is not an eligible not-for- § 682.604 [Amended] (A) A certification on the State or non- profit holder, the special allowance ■ profit entity’s letterhead signed by the 16. Section 682.604 is amended by: payment for such loan shall, beginning ■ A. In paragraph (g)(2)(ii), removing State or non-profit entity’s Chief on the date of the sale, no longer be the words ‘‘and income-sensitive’’ and Executive Officer (CEO) which— (1) Includes the name and lender calculated under paragraph (f)(2) and adding, in their place, the words shall be calculated under paragraph ‘‘income sensitive, and income-based’’. identification number(s) of the entities ■ for which designation is being (f)(1) of this section instead. B. In paragraph (g)(2)(v), adding the recertified; * * * * * words ‘‘forgiveness or’’ immediately (2) States that the State or non-profit ■ 13. Section 682.304 is amended by: after the words ‘‘full or partial’’, and adding the words ‘‘, including entity has not altered its status as a State ■ A. Redesignating paragraph (d)(2) as forgiveness or discharge benefits or non-profit entity since its prior paragraph (d)(3). available to a FFEL borrower who certification to the Secretary, or, if it has ■ B. Adding a new paragraph (d)(2). consolidates his or her loan into the altered its status, describes any such ■ C. In newly designated paragraph Direct Loan program’’ immediately after alterations; and (d)(3), removing the words ‘‘paragraph the words ‘‘of a loan’’. (3) States that the State or non-profit (d)(1)’’ and adding, in their place, the entity continues to satisfy the words ‘‘paragraphs (d)(1) and (2)’’. PART 685—WILLIAM D. FORD requirements of an eligible not-for-profit The addition reads as follows: FEDERAL DIRECT LOAN PROGRAM holder, either in its own right or through a trust agreement with an eligible lender § 682.304 Method of computing interest ■ benefits and special allowance. 17. The authority citation for part 685 trustee; and continues to read as follows: (B) A copy of its IRS Form 990, if * * * * * applicable, and that of any related (d) * * * Authority: 20 U.S.C. 1087a, et seq., unless otherwise noted. special purpose entity that holds an (2) To compute the average daily interest in loans on which it seeks to balance of unpaid accrued interest for ■ 18. Section 685.204 is amended by: claim special allowance at the rate purposes of special allowance on loans ■ A. Adding a heading to paragraph (e). provided under paragraph (f)(2) of this covered by § 682.215(b)(7), the lender ■ B. In paragraph (e)(2), removing the section, at the same time these returns adds the unpaid accrued interest on word ‘‘The’’ and adding, in its place, the are filed with the Internal Revenue such loans for each eligible day of the words ‘‘For a borrower whose active Service. quarter, divides this sum by the number duty service includes October 1, 2007, (xii) Not-for-Profit Holder Change of of days in the quarter, and rounds the or begins on or after that date, the’’ Status. Within 10 business days of result to the nearest whole dollar. The before the word ‘‘deferment’’ and by becoming aware of the occurrence of a resulting figure is the average daily adding the words ‘‘each period of’’
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before the words ‘‘the service or full-time National Guard duty under repayment plan, the income contingent described’’. paragraph (f)(2)(ii) of this section. repayment plan, or the income-based ■ C. In paragraph (e)(6) introductory * * * * * repayment plan, in accordance with text, removing the word ‘‘section’’ and (4) If a borrower qualifies for both a paragraphs (b), (e), (g), (k), and (m) of adding in its place the word military service deferment and a post- this section, respectively. ‘‘paragraph’’. active duty student deferment, the 180- (ii)(A) A Direct PLUS Loan that was ■ D. Adding a new paragraph (e)(7). day post-demobilization deferment made to a graduate or professional ■ E. In paragraph (f), adding the heading period and the 13-month post-active student borrower may be repaid under ‘‘Post-active duty student deferment’’ duty student deferment period apply the standard repayment plan, the before the paragraph designation ‘‘(1)’’. concurrently. extended repayment plan, the graduated ■ repayment plan, the income-contingent F. In paragraph (f)(1)(ii), adding the * * * * * words ‘‘on at least a half-time basis’’ repayment plan, or the income-based ■ 19. Section 685.205 is amended by after the word ‘‘enrolled’’. repayment plan in accordance with adding a new paragraph (a)(7) to read as ■ G. Revising paragraph (f)(2). paragraphs (b), (e), (g), (k), and (m) of follows: ■ H. In paragraph (f)(3), adding the this section, respectively. words ‘‘on at least a half-time basis’’ § 685.205 Forbearance. (B) A Direct PLUS Loan that was after the word ‘‘status’’ each time it made to a parent borrower may be * * * * * repaid under the standard repayment appears and the words ‘‘grace period or (a) * * * plan, the extended repayment plan, or the’’ before the words ‘‘13-month’’. (7) The borrower is a member of the the graduated repayment plan, in ■ I. Adding new paragraph (f)(4). National Guard who qualifies for a post- accordance with paragraphs (b), (e), and ■ J. In paragraph (h)(1), removing the active duty student deferment, but does word ‘‘granted’’. (g) of this section, respectively. not qualify for a military service or other (iii) A borrower may repay a Direct The additions and revision read as deferment, and is engaged in active follows: Consolidation Loan under the standard State duty for a period of more than 30 repayment plan, the extended § 685.204 Deferment. consecutive days, beginning— repayment plan, the graduated (i) On the day after the grace period * * * * * repayment plan, the income contingent expires for a Direct Subsidized Loan or repayment plan, or, unless the Direct (e) Military service deferment. Direct Unsubsidized Loan that has not *** Consolidation Loan repaid a parent entered repayment; or Direct PLUS Loan or a parent Federal (7) Without supporting (ii) On the day after the borrower PLUS Loan, the income-based documentation, the military service ceases enrollment on at least a half-time repayment plan, in accordance with deferment will be granted to an basis, for a Direct Loan in repayment. otherwise eligible borrower for a period paragraphs (c), (e), (h), (k), and (m) of * * * * * not to exceed 12 months from the date this section, respectively. A Direct ■ of the qualifying eligible service based 20. Section 685.208 is amended by: Consolidation Loan that repaid a parent ■ on a request from the borrower or the A. Revising paragraph (a). Direct PLUS Loan or a parent Federal ■ borrower’s representative. B. Adding a new paragraph (m). PLUS Loan may not be repaid under the The revisions and addition read as (f) Post-active duty student deferment. income-based repayment plan. follows: (iv) No scheduled payment may be * * * * * less than the amount of interest accrued § 685.208 Repayment plans. (2) As used in paragraph (f)(1) of this on the loan between monthly payments, section, ‘‘Active Duty’’ means active (a) General. (1) Borrowers who except under the income contingent duty as defined in section 101(d)(1) of entered repayment before July 1, 2006. repayment plan, the income-based title 10, United States Code, except (i) A borrower may repay a Direct repayment plan, or an alternative that— Subsidized Loan, a Direct Unsubsidized repayment plan. (i) Active duty includes active State Loan, a Direct Subsidized Consolidation (3) The Secretary may provide an duty for members of the National Guard Loan, or a Direct Unsubsidized alternative repayment plan in under which a Governor activates Consolidation Loan under the standard accordance with paragraph (l) of this National Guard personnel based on repayment plan, the extended section. State statute or policy and the activities repayment plan, the graduated (4) All Direct Loans obtained by one of the National Guard are paid for with repayment plan, the income contingent borrower must be repaid together under State funds; repayment plan, or the income-based the same repayment plan, except that— (ii) Active duty includes full-time repayment plan, in accordance with (i) A borrower of a Direct PLUS Loan National Guard duty under which a paragraphs (b), (d), (f), (k), and (m) of or a Direct Consolidation Loan that is Governor is authorized, with the this section, respectively. not eligible for repayment under the approval of the President or the U.S. (ii) A borrower may repay a Direct income-contingent repayment plan or Secretary of Defense, to order a member PLUS Loan or a Direct PLUS the income-based repayment plan may to State active duty and the activities of Consolidation Loan under the standard repay the Direct PLUS Loan or Direct the National Guard are paid for with repayment plan, the extended Consolidation Loan separately from Federal funds; repayment plan, or the graduated other Direct Loans obtained by the (iii) Active duty does not include repayment plan, in accordance with borrower; and active duty for training or attendance at paragraphs (b), (d), and (f) of this (ii) A borrower of a Direct PLUS a service school; and section, respectively. Consolidation Loan that entered (iv) Active duty does not include (2) Borrowers entering repayment on repayment before July 1, 2006, may employment in a full-time, permanent or after July 1, 2006. (i) A borrower may repay the Direct PLUS Consolidation position in the National Guard unless repay a Direct Subsidized Loan or a Loan separately from other Direct Loans the borrower employed in such a Direct Unsubsidized Loan under the obtained by that borrower. position is reassigned to active duty standard repayment plan, the extended (5) Except as provided in § 685.209 under paragraph (f)(2)(i) of this section repayment plan, the graduated and § 685.221 for the income contingent
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or income-based repayment plan, the plan that are not less than the amount requirements in § 685.219, the Secretary repayment period for any of the required under the standard repayment cancels the remaining principal and repayment plans described in this plan described in § 685.208(b); or accrued interest of the borrower’s section does not include periods of (G) Periods of economic hardship eligible Direct Subsidized Loan, Direct authorized deferment or forbearance. deferment after October 1, 2007. Unsubsidized Loan, Direct PLUS Loan, * * * * * * * * * * and Direct Consolidation Loan. (m) Income-based repayment plan. (1) ■ 22. Section 685.210 is amended by * * * * * Under this repayment plan, the required revising paragraph (b)(2) to read as ■ 25. A new § 685.219 is added to read monthly payment for a borrower who follows: as follows: has a partial financial hardship is limited to no more than 15 percent of § 685.210 Choice of repayment plan. § 685.219 Public Service Loan Forgiveness the amount by which the borrower’s * * * * * Program. AGI exceeds 150 percent of the poverty (b) * * * (a) General. The Public Service Loan guideline applicable to the borrower’s (2)(i) A borrower may not change to Forgiveness Program is intended to family size, divided by 12. The a repayment plan that has a maximum encourage individuals to enter and Secretary determines annually whether repayment period of less than the continue in full-time public service the borrower continues to qualify for number of years the loan has already employment by forgiving the remaining this reduced monthly payment based on been in repayment, except that a balance of their Direct loans after they the amount of the borrower’s eligible borrower may change to either the satisfy the public service and loan loans, AGI, and poverty guideline. income contingent or income-based payment requirements of this section. (2) The specific provisions governing repayment plan at any time. (b) Definitions. The following the income-based repayment plan are in (ii) If a borrower changes plans, the definitions apply to this section: § 685.221. repayment period is the period provided AmeriCorps position means a position ■ 21. Section 685.209 is amended by under the borrower’s new repayment approved by the Corporation for revising paragraph (c)(4) to read as plan, calculated from the date the loan National and Community Service under follows: initially entered repayment. However, if section 123 of the National and a borrower changes to the income Community Service Act of 1990 (42 § 685.209 Income contingent repayment contingent repayment plan or the U.S.C. 12573). plan. income-based repayment plan, the Eligible Direct loan means a Direct * * * * * repayment period is calculated as Subsidized Loan, Direct Unsubsidized (c) * * * described in § 685.209(c)(4) or Loan, Direct PLUS loan, or a Direct (4) Repayment period. (i) The § 685.221(b)(6), respectively. Consolidation loan. maximum repayment period under the * * * * * Employee or employed means an income contingent repayment plan is 25 ■ 23. Section 685.211 is amended by: individual who is hired and paid by a years. ■ A. Revising paragraph (a)(1). public service organization. (ii) The repayment period includes— ■ B. Revising paragraph (d)(3)(ii). Full-time (1) means working in (A) Periods in which the borrower The revisions read as follows: qualifying employment in one or more makes payments under the income- jobs for the greater of— contingent repayment plan on loans that § 685.211 Miscellaneous repayment (i)(A) An annual average of at least 30 are not in default; provisions. hours per week, or (B) Periods in which the borrower (a) Payment application and (B) For a contractual or employment makes reduced monthly payments prepayment. (1) Except as provided for period of at least 8 months, an average under the income-based repayment plan the income-based repayment plan under of 30 hours per week; or or a recalculated reduced monthly § 685.221(c)(1), the Secretary applies (ii) Unless the qualifying employment payment after the borrower no longer any payment first to any accrued is with two or more employers, the has a partial financial hardship or stops charges and collection costs, then to any number of hours the employer considers making income-based payments, as outstanding interest, and then to full-time. provided in § 685.221(d)(1)(i); outstanding principal. (2) Vacation or leave time provided by (C) Periods in which the borrower * * * * * the employer or leave taken for a made monthly payments under the (d) * * * condition that is a qualifying reason for standard repayment plan after leaving (3) * * * leave under the Family and Medical the income-based repayment plan as (ii) If a borrower defaults on a Direct Leave Act of 1993, 29 U.S.C. 2612(a)(1) provided in § 685.221(d)(2); Subsidized Loan, a Direct Unsubsidized and (3) is not considered in determining (D) Periods in which the borrower Loan, a Direct Consolidation Loan, or a the average hours worked on an annual makes payments under the standard student Direct PLUS Loan, the Secretary or contract basis. repayment plan described in may designate the income contingent Government employee means an § 685.208(b); repayment plan or the income-based individual who is employed by a local, (E) For borrowers who entered repayment plan for the borrower. State, Federal, or Tribal government, but repayment before October 1, 2007, and * * * * * does not include a member of the U.S. if the repayment period is not more than ■ 24. Section 685.212 is amended by: Congress. 12 years, periods in which the borrower ■ A. Redesignating paragraph (i) as Law enforcement means service makes monthly payments under the paragraph (j). performed by an employee of a public extended repayment plans described in ■ B. Adding new paragraph (i) to read service organization that is publicly § 685.208(d) and (e), or the standard as follows: funded and whose principal activities repayment plan described in pertain to crime prevention, control or § 685.208(c); § 685.212 Discharge of a loan obligation. reduction of crime, or the enforcement (F) Periods after October 1, 2007, in * * * * * of criminal law. which the borrower makes monthly (i) Public Service Loan Forgiveness Military service, for uniformed payments under any other repayment Program. If a borrower meets the members of the U.S. Armed Forces or
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the National Guard, means ‘‘active (A) When the borrower makes the 120 eligible loans for which loan forgiveness duty’’ service or ‘‘full-time National monthly payments described under is requested, a borrower may request Guard duty’’ as defined in section paragraph (c)(1)(iii) of this section; loan forgiveness on a form provided by 101(d)(1) and (d)(5) of title 10 in the (B) At the time of application for loan the Secretary. United States Code, but does not forgiveness; and (2) If the Secretary determines that the include active duty for training or (C) At the time the remaining borrower meets the eligibility attendance at a service school. For principal and accrued interest are requirements for loan forgiveness under civilians, ‘‘Military service’’ means forgiven; this section, the Secretary— service on behalf of the U.S. Armed (iii) Makes 120 separate monthly (i) Notifies the borrower of this Forces or the National Guard performed payments after October 1, 2007, on determination; and by an employee of a public service eligible Direct loans for which (ii) Forgives the outstanding balance organization. forgiveness is sought. Except as of the eligible loans. Peace Corps position means a full- provided in paragraph (c)(2) of this (3) If the Secretary determines that the time assignment under the Peace Corps section for a borrower in an AmeriCorps borrower does not meet the eligibility Act as provided for under 22 U.S.C. or Peace Corps position, the borrower requirements for loan forgiveness under 2504. must make the monthly payments this section, the Secretary resumes Public interest law refers to legal within 15 days of the scheduled due collection of the loan and grants services provided by a public service date for the full scheduled installment forbearance of payment on both organization that are funded in whole or amount; and principal and interest for the period in in part by a local, State, Federal, or (iv) Makes the required 120 monthly which collection activity was Tribal government. payments under one or more of the suspended. The Secretary notifies the Public service organization means: following repayment plans— borrower that the application has been (1) A Federal, State, local, or Tribal (A) Except for a parent PLUS denied, provides the basis for the government organization, agency, or borrower, an income-based repayment denial, and informs the borrower that entity; plan, as determined in accordance with the Secretary will resume collection of (2) A public child or family service § 685.221; the loan. The Secretary may capitalize agency; (B) Except for a parent PLUS any interest accrued and not paid (3) A non-profit organization under borrower, an income-contingent during this period. section 501(c)(3) of the Internal Revenue repayment plan, as determined in (Authority: 20 U.S.C. 1087e(m)) Code that is exempt from taxation under accordance with § 685.209; section 501(a) of the Internal Revenue (C) A standard repayment plan, as ■ 26. Section 685.220 is amended by: Code; determined in accordance with ■ A. In paragraph (d)(1)(i)(B)(2), (4) A Tribal college or university; or § 685.208(b); or removing the word ‘‘or’’. (5) A private organization that— (D) Any other repayment plan if the ■ B. Redesignating paragraph (i) Provides the following public monthly payment amount paid is not (d)(1)(i)(B)(3) as (d)(1)(i)(B)(4). services: Emergency management, less than what would have been paid ■ C. In newly redesignated paragraph military service, public safety, law under the Direct Loan standard (d)(1)(i)(B)(4), adding the words ‘‘is in enforcement, public interest law repayment plan described in default or’’ after the word ‘‘that’’, and services, early childhood education § 685.208(b). changing the period at the end of the (including licensed or regulated health (2) If a borrower makes a lump sum paragraph to ‘‘; or’’. care, Head Start, and State funded pre- payment on an eligible loan for which ■ D. Adding new paragraph kindergarten), public service for the borrower is seeking forgiveness by (d)(1)(i)(B)(3). individuals with disabilities and the using all or part of a Segal Education ■ E. Adding new paragraph elderly, public health (including nurses, Award received after a year of (d)(1)(i)(B)(5). nurse practitioners, nurses in a clinical AmeriCorps service, or by using all or ■ F. In paragraph (d)(1)(ii)(A), removing setting, and full-time professionals part of a Peace Corps transition payment the word ‘‘a’’ and adding, in its place, engaged in heath care practitioner if the lump sum payment is made no the words ‘‘the grace’’ before the word occupations and health care support later than six months after leaving the ‘‘period’’. occupations, as such terms are defined Peace Corps, the Secretary will consider ■ G. In paragraph (d)(1)(ii)(D), adding by the Bureau of Labor Statistics), the borrower to have made qualifying the words ‘‘, or the income-based public education, public library payments equal to the lesser of— repayment plan described in services, school library or other school- (i) The number of payments resulting § 685.208(m),’’ after the reference to based services; and after dividing the amount of the lump ‘‘§ 685.220(k)’’ and the words ‘‘or (ii) Is not a business organized for sum payment by the monthly payment § 685.221(e)’’ after the reference to profit, a labor union, a partisan political amount the borrower would have made ‘‘§ 685.209(d)(5)’’. organization, or an organization engaged under paragraph (c)(1)(iv) of this The additions read as follows: in religious activities, unless the section; or qualifying activities are unrelated to (ii) Twelve payments. § 685.220 Consolidation. religious instruction, worship services, (d) Forgiveness Amount. The * * * * * or any form of proselytizing. Secretary forgives the principal and (d) * * * (c) Borrower eligibility. (1) A borrower accrued interest that remains on all (1) * * * may obtain loan forgiveness under this eligible loans for which loan forgiveness (i) * * * program if he or she— is requested by the borrower. The (B) * * * (i) Is not in default on the loan for Secretary forgives this amount after the (3) The borrower wishes to use the which forgiveness is requested; borrower makes the 120 monthly Public Service Loan Forgiveness (ii) Is employed full-time by a public qualifying payments under paragraph Program; service organization or serving in a full- (c) of this section. *** time AmeriCorps or Peace Corps (e) Application. (1) After making the (5) The borrower has a FFEL position— 120 monthly qualifying payments on the Consolidation Loan and the borrower
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wants to consolidate that loan into the poverty guideline to be used for the (6) The repayment period for a Direct Loan Program for purposes of borrower is the poverty guideline (for borrower under the income-based using the Public Service Loan the relevant family size) used for the 48 repayment plan may be greater than 10 Forgiveness Program. contiguous States. years. * * * * * (b) Terms of the repayment plan. (1) (c) Payment application and A borrower may select the income-based prepayment. The Secretary applies any ■ 27. A new § 685.221 is added to read repayment plan only if the borrower has payment made under an income-based as follows: a partial financial hardship. Except as repayment plan in the following order: § 685.221 Income-based repayment plan. provided under paragraph (b)(2) of this (1) Accrued interest. (a) Definitions. As used in this section, the borrower’s aggregate (2) Collection costs. (3) Late charges. section— monthly loan payments are limited to (4) Loan principal. (1) Adjusted gross income (AGI) no more than 15 percent of the amount by which the borrower’s AGI exceeds (d) Changes in the payment amount. means the borrower’s adjusted gross (1) If a borrower no longer has a partial income as reported to the Internal 150 percent of the poverty guideline applicable to the borrower’s family size, financial hardship, the borrower may Revenue Service. For a married continue to make payments under the borrower filing jointly, AGI includes divided by 12. (2) The Secretary adjusts the income-based repayment plan, but the both the borrower’s and spouse’s calculated monthly payment if— Secretary recalculates the borrower’s income. For a married borrower filing (i) The total amount of the borrower’s monthly payment. The Secretary also separately, AGI includes only the eligible loans are not Direct Loans, in recalculates the monthly payment for a borrower’s income. which case the Secretary determines the borrower who chooses to stop making (2) Eligible loan means any borrower’s adjusted monthly payment income-based payments. In either case, outstanding loan made to a borrower by multiplying the calculated payment as result of the recalculation— under the FFEL or Direct Loan programs by the percentage of the total amount of (i) The maximum monthly amount except for a defaulted loan, a FFEL or eligible loans that are Direct Loans; that the Secretary requires the borrower Direct PLUS Loan made to a parent (ii) The calculated amount under to repay is the amount the borrower borrower, or a FFEL or Direct paragraph (b)(1) or (b)(2)(i) of this would have paid under the standard Consolidation Loan that repaid a FFEL section is less than $5.00, in which case repayment plan based on the amount of or Direct PLUS Loan made to a parent the borrower’s monthly payment is the borrower’s eligible loans that were borrower. $0.00; or outstanding at the time the borrower (3) Family size means the number that (iii) The calculated amount under began repayment on the loans under the is determined by counting the borrower, paragraph (b)(1) or (b)(2)(i) of this income-based repayment plan; and the borrower’s spouse, and the section is equal to or greater than $5.00 (ii) The borrower’s repayment period borrower’s children, including unborn but less than $10.00, in which case the based on the recalculated payment children who will be born during the borrower’s monthly payment is $10.00. amount may exceed 10 years. year the borrower certifies family size, (3) If the borrower’s monthly payment (2) If a borrower no longer wishes to if the children receive more than half amount is not sufficient to pay the pay under the income-based payment their support from the borrower. A accrued interest on the borrower’s plan, the borrower must pay under the borrower’s family size includes other Direct Subsidized loan or the subsidized standard repayment plan and the individuals if, at the time the borrower portion of a Direct Consolidation Loan, Secretary recalculates the borrower’s certifies family size, the other the Secretary does not charge the monthly payment based on— individuals— borrower the remaining accrued interest (i) The time remaining under the (i) Live with the borrower; and for a period not to exceed three maximum ten-year repayment period for (ii) Receive more than half their consecutive years from the established the amount of the borrower’s loans that support from the borrower and will repayment period start date on that loan were outstanding at the time the continue to receive this support from under the income-based repayment borrower discontinued paying under the the borrower for the year the borrower plan. On a Direct Consolidation Loan income-based repayment plan; or certifies family size. Support includes that repays loans on which the Secretary (ii) For a Direct Consolidation Loan, money, gifts, loans, housing, food, has not charged the borrower accrued the applicable repayment period clothes, car, medical and dental care, interest, the three-year period includes specified in § 685.208(j) for the amount and payment of college costs. the period for which the Secretary did of that loan and the balance of other (4) Partial financial hardship means a not charge the borrower accrued interest student loans that was outstanding at circumstance in which the annual on the underlying loans. This three-year the time the borrower discontinued amount due on all of a borrower’s period does not include any period paying under the income-based eligible loans, as calculated under a during which the borrower receives an repayment plan. standard repayment plan based on a economic hardship deferment. (e) Eligibility documentation and 10-year repayment period, exceeds 15 (4) Except as provided in paragraph verification. (1) The Secretary percent of the difference between the (b)(3) of this section, accrued interest is determines whether a borrower has a borrower’s AGI and 150 percent of the capitalized at the time a borrower partial financial hardship to qualify for poverty guideline for the borrower’s chooses to leave the income-based the income-based repayment plan for family size. repayment plan or no longer has a the year the borrower selects the plan (5) Poverty guideline refers to the partial financial hardship. and for each subsequent year that the income categorized by State and family (5) If the borrower’s monthly payment borrower remains on the plan. To make size in the poverty guidelines published amount is not sufficient to pay any of this determination, the Secretary annually by the United States the principal due, the payment of that requires the borrower to— Department of Health and Human principal is postponed until the (i)(A) Provide written consent to the Services pursuant to 42 U.S.C. 9902(2). borrower chooses to leave the income- disclosure of AGI and other tax return If a borrower is not a resident of a State based repayment plan or no longer has information by the Internal Revenue identified in the poverty guidelines, the a partial financial hardship. Service to the Secretary. The borrower
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provides consent by signing a consent (vi) Received an economic hardship (C) For a borrower who did not make form and returning it to the Secretary; deferment on eligible Direct Loans. a payment or receive an economic (B) If a borrower’s AGI is not (2) As provided under paragraph (f)(4) hardship deferment on the loan under available, or the Secretary believes that of this section, the Secretary cancels any paragraph (f)(3)(ii)(A) or (B) of this the borrower’s reported AGI does not outstanding balance of principal and section, the date the borrower made a reasonably reflect the borrower’s current accrued interest on Direct loans for payment under the income-based income, the Secretary may use other which the borrower qualifies for repayment plan on the loan; documentation provided by the forgiveness if the Secretary determines (D) If the borrower consolidates his or borrower to verify income; and that— her eligible loans, the date the borrower (ii) Annually certify the borrower’s (i) The borrower made monthly made a payment on the Direct family size. If the borrower fails to payments under one or more of the Consolidation Loan after qualifying for certify family size, the Secretary repayment plans described in paragraph the income-based repayment plan; or assumes a family size of one for that (f)(1) of this section, including a (E) If the borrower did not make a year. monthly payment amount of $0.00, as payment or receive an economic (2) The Secretary designates the provided under paragraph (b)(2)(ii) of hardship deferment on the loan under repayment option described in this section; and paragraph (f)(3)(i) or (ii) of this section, paragraph (d)(1) of this section for any (ii)(A) The borrower made those determining the date the borrower made borrower who selects the income-based monthly payments each year for a 25- a payment under the income-based repayment plan but— year period, or repayment plan on the loan. (i) Fails to renew the required written (B) Through a combination of (4) If the Secretary determines that a consent for income verification; or monthly payments and economic borrower satisfies the loan forgiveness (ii) Withdraws consent and does not hardship deferments, the borrower has requirements, the Secretary cancels the select another repayment plan. made the equivalent of 25 years of outstanding balance and accrued (f) Loan forgiveness. (1) To qualify for payments. interest on the Direct Consolidation loan forgiveness after 25 years, a (3) For a borrower who qualifies for Loan described in paragraph (f)(3)(i), borrower must have participated in the the income-based repayment plan, the (iii) or (iv) of this section or other income-based repayment plan and beginning date for the 25-year period eligible Direct Loans described in satisfied at least one of the following is— paragraph (f)(3)(ii) or (iv) of this section. conditions during that period: (i) If the borrower made payments (Authority: 20 U.S.C. 1098e) (i) Made reduced monthly payments under the income contingent repayment under a partial financial hardship as plan, the date the borrower made a ■ 28. Section 685.304 is amended by: provided in paragraph (b)(1) or (2) of payment on the loan under that plan at ■ A. Revising paragraph (b)(4)(ii). this section, including a monthly any time after July 1, 1994; ■ B. Revising paragraph (b)(4)(vi). payment amount of $0.00, as provided (ii) If the borrower did not make The revisions read as follows: under paragraph (b)(2)(ii) of this section. payments under the income contingent § 685.304 Counseling borrowers. (ii) Made reduced monthly payments repayment plan— * * * * * after the borrower no longer had a (A) For a borrower who has a Direct (b) * * * partial financial hardship or stopped Consolidation Loan, the date the (4) * * * making income-based payments as borrower made a payment or received (ii) Review for the student borrower provided in paragraph (d) of this an economic hardship deferment on that available repayment options including section. loan, before the date the borrower the standard repayment, extended (iii) Made monthly payments under qualified for income-based repayment. repayment, graduated repayment, any repayment plan, that were not less The beginning date is the date the income contingent repayment, and than the amount required under the borrower made the payment or received income-based repayment plans, and Direct Loan standard repayment plan the deferment, but no earlier than July loan consolidation; described in § 685.208(b). 1, 2009; (iv) Made monthly payments under (B) For a borrower who has one or * * * * * the Direct Loan standard repayment more other eligible Direct Loans, the (vi) Review for the student borrower plan described in § 685.208(b) based on date the borrower made a payment or the conditions under which the student the amount of the borrower’s loans that received an economic hardship borrower may defer or forbear were outstanding at the time the deferment on that loan. The beginning repayment or obtain a full or partial borrower first selected the income-based date is the date the borrower made that forgiveness or discharge of a loan; repayment plan. payment or received the deferment on * * * * * (v) Paid Direct Loans under the that loan, but no earlier than July 1, [FR Doc. E8–24922 Filed 10–22–08; 8:45 am] income-contingent repayment plan. 2009; BILLING CODE 4000–01–P
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Part III
State Justice Institute Grant Guideline; Notice
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STATE JUSTICE INSTITUTE I. The Mission of the State Justice justice system agencies in the Institute development, maintenance, and Grant Guideline; Notice The Institute was established by State coordination of criminal, civil, and juvenile justice programs and services. AGENCY: State Justice Institute. Justice Institute Authorization Act of 1984 (42 U.S.C. 10701 et seq. ) to ACTION: Proposed Grant Guideline for II. Eligibility for Award improve the administration of justice in 2009. the State courts of the United States. The Institute is authorized by Incorporated in the State of Virginia as Congress to award grants, cooperative SUMMARY: This Guideline sets forth the agreements, and contracts to the administrative, programmatic, and a private, nonprofit corporation, the Institute is charged, by statute, with the following entities and types of financial requirements attendant to organizations: Fiscal Year 2009 State Justice Institute responsibility to: • Direct a national program of A. State and local courts and their grants, cooperative agreements, and agencies (42 U.S.C. 10705(b)(1)(A)). contracts. financial assistance designed to assure that each citizen of the United States is B. National nonprofit organizations DATES: October 23, 2008. provided ready access to a fair and controlled by, operating in conjunction FOR FURTHER INFORMATION CONTACT: effective system of justice; with, and serving the judicial branches Janice Munsterman, Executive Director, • Foster coordination and of State governments (42 U.S.C. State Justice Institute, 1650 King St. cooperation with the Federal judiciary; 10705(b)(1)(B)). • (Suite 600), Alexandria, VA 22314, (703) Promote recognition of the C. National nonprofit organizations 684–6100 X202, importance of the separation of powers for the education and training of judges [email protected]. doctrine to an independent judiciary; and support personnel of the judicial and branch of State governments (42 U.S.C. SUPPLEMENTARY INFORMATION: Pursuant • Encourage education for judges and 10705(b)(1)(C)). An applicant is to the State Justice Institute Act of 1984, support personnel of State court systems considered a national education and 42 U.S.C. 10701, et seq., as amended, through national and State training applicant under section the Institute is authorized to award organizations, including universities. 10705(b)(1)(C) if: grants, cooperative agreements, and To accomplish these broad objectives, 1. The principal purpose or activity of contracts to State and local courts, the Institute is authorized to provide the applicant is to provide education nonprofit organizations, and others for funds to State courts, national and training to State and local judges the purpose of improving the quality of organizations which support and are and court personnel; and justice in the State courts of the United supported by State courts, national 2. The applicant demonstrates a States. judicial education organizations, and record of substantial experience in the Final appropriations legislation for other organizations that can assist in field of judicial education and training. fiscal year (FY) 2009 is still pending. improving the quality of justice in the D. Other eligible grant recipients (42 The House, Commerce, Justice and State courts. The Institute is supervised U.S.C. 10705 (b)(2)(A)–(D)). Science (CJS) Appropriations by a Board of Directors appointed by the 1. Provided that the objectives of the Subcommittee provides $4,000,000 for President, with the advice and consent project can be served better, the Institute the Institute in FY 2009; the Senate CJS of the Senate. The Board is statutorily is also authorized to make awards to: Subcommittee provides $5,000,000. composed of six judges; a State court a. Nonprofit organizations with Regardless of the final amount administrator; and four members of the expertise in judicial administration; provided to the Institute for FY 2009, public, no more than two can be of the b. Institutions of higher education; the Institute’s Board of Directors intends same political party. c. Individuals, partnerships, firms, to solicit grant applications across the Through the award of grants, corporations (for-profit organizations range of grant programs available. contracts, and cooperative agreements, must waive their fees); and The following Grant Guideline is the Institute is authorized to perform the d. Private agencies with expertise in adopted by the State Justice Institute for following activities: judicial administration. FY 2009. A. Support technical assistance, 2. The Institute may also make awards demonstrations, special projects, to State or local agencies and Table of Contents research and training to improve the institutions other than courts for I. The Mission of the State Justice Institute administration of justice in the State services that cannot be adequately II. Eligibility for Award courts; provided through nongovernmental III. Scope of the Program B. Provide for the preparation, arrangements (42 U.S.C. 10705(b)(3)). IV. Applications publication, and dissemination of E. Inter-agency Agreements. The V. Application Review Procedures Institute may enter into inter-agency VI. Compliance Requirements information regarding State judicial VII. Financial Requirements systems; agreements with Federal agencies (42 VIII. Grant Adjustments C. Participate in joint projects with U.S.C. 10705(b)(4)) and private funders • Appendix A SJI Libraries: Designated Federal agencies and other private to support projects consistent with the Sites and Contacts grantors; purposes of the State Justice Institute • Appendix B Grant Application Forms D. Evaluate or provide for the Act. Æ Form A—Application and Application evaluation of programs and projects to III. Scope of the Program Instructions determine their impact upon the quality Æ Form B—Certificate of State Approval of criminal, civil, and juvenile justice SJI is offering six types of grants in FY and Instructions Æ and the extent to which they have 2009: Project Grants, Technical Form C—Project Budget and Instructions Assistance (TA) Grants, Curriculum Æ Form D—Assurances contributed to improving the quality of Æ Disclosure of Lobbying Activities justice in the State courts; Adaptation and Training (CAT) Grants, Æ Form E—Disclosure of Lobbying E. Encourage and assist in furthering Partner Grants, Strategic Initiative Activities judicial education; and, Grants and Scholarships. SJI does not • Appendix C Scholarship Application F. Encourage, assist, and serve in a award Continuation Grants except in Forms (Forms S1 and S2) consulting capacity to State and local Strategic Initiative Projects.
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A. Project Grants four criteria set forth above and it falls c. Elder Issues Project Grants are intended to support within the scope of the Board- This category includes research, innovative education and training, designated Special Interest program demonstration, evaluation, and research and evaluation, demonstration, categories listed below. The order of education projects designed to improve and technical assistance projects that listing does not imply any ranking of management of guardianship, probate, can improve the administration of priorities among the categories. fraud, Americans with Disability Act, justice in State courts locally or and other types of elder-related cases. a. Immigration Issues nationwide. Project Grants may The Institute is particularly interested in ordinarily not exceed $300,000. Grant Recent immigration growth is having projects that would develop and periods for Project Grants ordinarily a significant impact on State and local evaluate judicial branch education may not exceed 36 months. courts. Courts along the Southwest programs addressing elder law and Applicants for Project Grants will be Border, and other areas of the United related issues. required to contribute a cash match of States with large immigrant not less than 50 percent of the total cost d. Performance Standards and Outcome populations, are contending with issues of the proposed project. In other words, Measures such as how to provide culturally grant awards by SJI must be matched at This category includes projects that least dollar for dollar by grant appropriate services; increases in gang- will develop and measure performance applicants. Applicants may contribute crime cases involving immigrants; and standards and outcomes for all aspects the required cash match directly or in the impact of federal and state of court operations. The Institute is cooperation with third parties. immigration policies on court particularly interested in projects that Prospective applicants should carefully operations. The Institute is interested in take the National Center for State review Section VI.8. (matching projects that highlight the issues State Courts’ ’’CourTools’’ to the next level. requirements) and Section VI.16.a. (non- and local courts face in addressing the Other initiatives designed to further supplantation) of the Guideline prior to demands of increased immigration, and professionalize court staff and beginning the application process. If potential solutions to those issues. The operations, or to objectively evaluate the questions arise, applicants are strongly Institute is also interested in judicial costs and benefits and cost-effectiveness encouraged to consult the Institute. education or other programs that of problem solving courts, are also As set forth in Section I., the Institute prepare judges and court officials to welcome. is authorized to fund projects address immigration issues in their e. Relationship Between State and addressing a broad range of program courts, and the development of plans of Federal Courts areas. However, the Board is likely to action to improve service delivery, build favor Project Grant applications focused community coalitions, and This category includes research, demonstration, evaluation, and on the Special Interest program accommodate federal and state education projects designed to facilitate categories described below. Potential immigration policies. applicants are also encouraged to bring appropriate and effective to the attention of the Institute b. Courts and the Media communication, cooperation, and innovative projects outside those coordination between State and Federal categories. Funding will not be made Recent repeated public attacks on courts. The Institute is also interested in available for the ordinary, routine courts have gone largely unanswered, projects that improve relationships operations of court systems. because judges were unwilling and/or between the courts, the legislative and courts were unable to respond executive branches, and the people. 1. Special Interest Program Criteria and effectively. No one is better prepared B. Technical Assistance (TA) Grants Categories than a judge to describe decision- The Institute is interested in funding making on the bench within the law and TA Grants are intended to provide both innovative programs and programs the Constitution. The Institute is State or local courts, or regional court of proven merit that can be replicated in interested in projects that explore the associations, with sufficient support to other jurisdictions. The Institute is role of judge as public commentator obtain expert assistance to diagnose a especially interested in funding projects within ethical and professional bounds. problem, develop a response to that that: The Institute is also interested in problem, and implement any needed • changes. TA Grants may not exceed Formulate new procedures and judicial education or other programs $30,000, and shall only cover the cost of techniques, or creatively enhance that prepare judges and court officials to obtaining the services of expert existing procedures and techniques; serve as spokesmen in short notice, high • Address aspects of the State judicial consultants. Examples of expenses not profile circumstances, especially in systems that are in special need of covered by TA Grants include the situations where courts lack dedicated serious attention; salaries, benefits, or travel of full-or • Have national significance by press secretaries. Finally, the Institute is part-time court employees. Grant developing products, services, and interested in promoting initiatives that periods for TA Grants ordinarily may techniques that may be used in other improve relations between the judiciary not exceed 24 months. States; and and the media, since much of the recent In calculating project duration, • Create and disseminate products rancor between the two seems based on applicants are cautioned to fully that effectively transfer the information unfamiliarity with one another’s duties, consider the time required to issue a and ideas developed to relevant responsibilities, and limitations. In request for proposals, negotiate a audiences in State and local judicial particular, the Institute is interested in contract with the selected provider, and systems, or provide technical assistance proposals that focus on cultivating trust execute the project. to facilitate the adaptation of effective and open communication between the Applicants for TA Grants will be programs and procedures in other State Third Branch and the Fourth Estate on required to contribute a match of not and local jurisdictions. a day-to-day basis, because dialogue less than 50 percent of the grant amount A project will be identified as a between strangers is rarely started and requested, of which 20 percent must be Special Interest project if it meets the never sustained in a crisis. cash. In other words, an applicant
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seeking a $30,000 TA grant must parties. Partner Grants are coordinated Institute. It also requires the signature of provide a $15,000 match, of which up by the funding organizations. an individual authorized to certify on to $12,000 can be in-kind and not less Applicants considering Partner Grants behalf of the applicant that the than $3,000 must be cash. TA Grant are encouraged to contact Institute staff information contained in the application procedures can be found in to discuss the potential of this application is true and complete; that section IV.B. mechanism for project funding. Partner submission of the application has been C. Curriculum Adaptation and Training Grant application procedures can be authorized by the applicant; and that if (CAT) Grants found in section IV.E. funding for the proposed project is approved, the applicant will comply E. Strategic Initiatives Grants CAT Grants are intended to: (1) with the requirements and conditions of Enable courts and regional or national The Strategic Initiatives Grants (SIG) the award, including the assurances set court associations to modify and adapt program Provides the Institute with the forth in Form D. model curricula, course modules, or flexibility to address national court conference programs to meet States’ or issues as they occur, and develop b. Certificate of State Approval (Form B) local jurisdictions’ educational needs; solutions to those problems. This is an An application from a State or local train instructors to present portions or innovative approach where the Institute court must include a copy of Form B all of the curricula; and pilot-test them uses its expertise and the expertise and signed by the State’s Chief Justice or to determine their appropriateness, knowledge of its grantees to address key Chief Judge, the director of the quality, and effectiveness, or (2) conduct issues facing State courts across the designated agency, or the head of the judicial branch education and training United States. designated council. The signature programs, led by either expert or in- The funding is used for grants or denotes that the proposed project has house personnel, designed to prepare contractual services, and any remaining been approved by the State’s highest judges and court personnel for balance not used for the SIG program court or the agency or council it has innovations, reforms, and/or new will become available for the Institute’s designated. It denotes further that if the technologies recently adopted by other grant programs. The program is Institute approves funding for the grantee courts. CAT Grants may not handled at the discretion of the project, the court or the specified exceed $20,000. Grant periods for CAT Institute’s Board of Directors and Staff designee will receive, administer, and Grants ordinarily may not exceed 12 outside the normal grant application be accountable for the awarded funds. months. process (i.e., the Institute will initiate Applicants for CAT Grants will be the project) and there is no cash match c. Budget Form (Form C) required to contribute a match of not requirement. Applicants must submit a Form C. In less than 50 percent of the grant amount addition to Form C, applicants must F. Scholarships for Judges and Court requested, of which 20 percent must be provide a detailed budget narrative Managers cash. In other words, an applicant providing an explanation of the basis for seeking a $20,000 CAT grant must Scholarships are intended to enhance the estimates in each budget category provide a $10,000 match, of which up the skills, knowledge, and abilities of (see subsection A.4. below). to $8,000 can be in-kind and not less State court judges and court managers If funds from other sources are than $2,000 must be cash. CAT Grant by enabling them to attend out-of-State, required to conduct the project, either as application procedures can be found in or to enroll in online, educational and match or to support other aspects of the section IV.C. training programs sponsored by national project, the source, current status of the D. Partner Grants and State providers that they could not request, and anticipated decision date otherwise attend or take online because must be provided. Partner Grants are intended to allow of limited State, local, and personal the Institute and Federal, State, or local budgets. Scholarships may not exceed d. Assurances (Form D) agencies or foundations, trusts, or other $1,500. The Institute’s Board of This form lists the statutory, private entities to combine financial Directors intends to reserve up to regulatory, and policy requirements resources in pursuit of common $175,000 for scholarships in FY 2009. with which recipients of Institute funds interests. Though many, if not most, Scholarship application procedures can must comply. Partner Grants will fall under the be found in section IV.D. Special Interest program categories cited e. Disclosure of Lobbying Activities in section III.A., proposals addressing IV. Applications Applicants other than units of State or other emerging or high priority court- A. Project Grants local government are required to related problems will be considered on disclose whether they, or another entity An application for a Project Grant a case-by-case basis. The Institute and that is part of the same organization as must include an application form; its financial partners may set any level the applicant, have advocated a position budget forms (with appropriate for Partner Grants, subject to the entire before Congress on any issue, and to documentation); a project abstract and amount of the grant being available at identify the specific subjects of their program narrative; a disclosure of the time of the award; applicants for lobbying efforts (see section VI.A.7.). Partner Grants may request any amount lobbying form, when applicable; and of funding. Grant periods for Partner certain certifications and assurances 2. Project Abstract Grants ordinarily may not exceed 36 (see below). See Appendix B for the The abstract should highlight the months. Project Grant application forms. purposes, goals, methods, and Partner Grants are subject to the same 1. Forms anticipated benefits of the proposed cash match requirement as Project project. It should not exceed 1 single- a. Application Form (Form A). Grants. In other words, grant awards by spaced page on 81⁄2 by 11 inch paper. the Institute must be matched at least The application form requests basic dollar-for-dollar. Applicants may information regarding the proposed 3. Program Narrative contribute the required cash match project, the applicant, and the total The program narrative for an directly or in cooperation with third amount of funding requested from the application may not exceed 25 double-
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spaced pages on 81⁄2 by 11 inch paper. the data sources, data collection should be designed to provide ongoing Margins must be at least 1 inch, and strategies, variables to be examined, and or periodic feedback on the type size must be at least 12-point and analytic procedures to be used for effectiveness or utility of the project in 12 cpi. The pages should be numbered. conducting the research or evaluation order to promote its continuing This page limit does not include the and ensuring the validity and general improvement. The plan should present forms, the abstract, the budget narrative, applicability of the results. For projects the qualifications of the evaluator(s); and any appendices containing resumes involving human subjects, the describe the criteria that would be used and letters of cooperation or discussion of methods should address to evaluate the project’s effectiveness in endorsement. Additional background the procedures for obtaining meeting its objectives; explain how the material should be attached only if it is respondents’ informed consent, evaluation would be conducted, essential to impart a clear ensuring the respondents’ privacy and including the specific data collection understanding of the proposed project. freedom from risk or harm, and and analysis techniques to be used; Numerous and lengthy appendices are protecting others who are not the discuss why this approach would be strongly discouraged. subjects of research but would be appropriate; and present a schedule for The program narrative should address affected by the research. If the potential completion of the evaluation within the the following topics: exists for risk or harm to human proposed project period. subjects, a discussion should be The evaluation plan should be a. Project Objectives included that explains the value of the appropriate to the type of project The applicant should include a clear, proposed research and the methods to proposed. For example: concise statement of what the proposed be used to minimize or eliminate such (a) An evaluation approach suited to project is intended to accomplish. In risk. many research projects is a review by an stating the objectives of the project, (b) For education and training advisory panel of the research applicants should focus on the overall projects, the applicant should include methodology, data collection programmatic objective (e.g., to enhance the adult education techniques to be instruments, preliminary analyses, and understanding and skills regarding a used in designing and presenting the products as they are drafted. The panel specific subject, or to determine how a program, including the teaching/ should be comprised of independent certain procedure affects the court and learning objectives of the educational researchers and practitioners litigants) rather than on operational design, the teaching methods to be used, representing the perspectives affected objectives (e.g., provide training for 32 and the opportunities for structured by the proposed project. judges and court managers, or review interaction among the participants; how (b) The most valuable approaches to data from 300 cases). faculty would be recruited, selected, evaluating educational or training and trained; the proposed number and programs reinforce the participants’ b. Program Areas To Be Covered length of the conferences, courses, learning experience while providing The applicant should note the Special seminars, or workshops to be conducted useful feedback on the impact of the Interest criteria and category addressed and the estimated number of persons program and possible areas for by the proposed project when who would attend them; the materials to improvement. One appropriate appropriate (see section III.A.), although be provided and how they would be evaluation approach is to assess the it is not necessary for a project to be in developed; and the cost to participants. acquisition of new knowledge, skills, a specific Special Interest Category. (c) For demonstration projects, the attitudes, or understanding through applicant should include the participant feedback on the seminar or c. Need for the Project demonstration sites and the reasons training event. Such feedback might If the project is to be conducted in any they were selected, or if the sites have include a self-assessment of what was specific location(s), the applicant not been chosen, how they would be learned along with the participant’s should discuss the particular needs of identified and their cooperation response to the quality and effectiveness the project site(s) to be addressed by the obtained; and how the program or of faculty presentations, the format of project and why those needs are not procedures would be implemented and sessions, the value or usefulness of the being met through the use of existing monitored. material presented, and other relevant programs, procedures, services, or other (d) For technical assistance projects, factors. Another appropriate approach resources. the applicant should explain the types would be to use an independent If the project is not site-specific, the of assistance that would be provided; observer who might request both verbal applicant should discuss the problems the particular issues and problems for and written responses from participants that the proposed project would which assistance would be provided; in the program. When an education address, and why existing programs, how requests would be obtained and the project involves the development of procedures, services, or other resources type of assistance determined; how curricular materials, an advisory panel cannot adequately resolve those suitable providers would be selected of relevant experts can be coupled with problems. The discussion should and briefed; how reports would be a test of the curriculum to obtain the include specific references to the reviewed; and the cost to recipients. reactions of participants and faculty as relevant literature and to the experience (2) Evaluation. Projects should indicated above. in the field. include an evaluation plan to determine (c) The evaluation plan for a whether the project met its objectives. demonstration project should d. Tasks, Methods and Evaluations The evaluation should be designed to encompass an assessment of program (1) Tasks and Methods. The applicant provide an objective and independent effectiveness (e.g., how well did it should delineate the tasks to be assessment of the effectiveness or work?); user satisfaction, if appropriate; performed in achieving the project usefulness of the training or services the cost-effectiveness of the program; a objectives and the methods to be used provided; the impact of the procedures, process analysis of the program (e.g., for accomplishing each task. For technology, or services tested; or the was the program implemented as example: validity and applicability of the research designed, and/or did it provide the (a) For research and evaluation conducted. In addition, where services intended to the targeted projects, the applicant should include appropriate, the evaluation process population?); the impact of the program
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(e.g., what effect did the program have submitted to the Institute. The budget proposing to conduct empirical research on the court, and/or what benefits should include the cost of producing or evaluation projects with national resulted from the program?); and the and disseminating the product to each import should describe how they would replicability of the program or in-State SJI library (see Appendix A), make their data available for secondary components of the program. State chief justice, State court analysis after the grant period (see (d) For technical assistance projects, administrator, and other appropriate section VI.A.14.a.). applicants should explain how the judges or court personnel. If final The curricula and other products quality, timeliness, and impact of the products involve electronic formats, the developed through education and assistance provided would be applicant should indicate how the training projects should be designed for determined, and develop a mechanism product would be made available to use outside the classroom so that they for feedback from both the users and other courts. Dissemination to the in- may be used again by the original providers of the technical assistance. State libraries may not be required for participants and others in the course of Evaluation plans involving human such products. Discussion of this their duties. subjects should include a discussion of dissemination process should occur (3) Institute Review. Applicants must the procedures for obtaining between the grantee and staff at SJI prior submit a final draft of all written grant respondents’ informed consent, to the final selection of the products to the Institute for review and ensuring the respondents’ privacy and dissemination process to be used. approval at least 30 days before the freedom from risk or harm, and (1) Dissemination Plan. The products are submitted for publication protecting others who are not the application must explain how and to or reproduction. For products in Web subjects of the evaluation but would be whom the products would be site or multimedia format, applicants affected by it. Other than the provision disseminated; describe how they would must provide for Institute review of the of confidentiality to respondents, benefit the State courts, including how product at the treatment, script, rough- human subject protection issues they could be used by judges and court cut, and final stages of development, or ordinarily are not applicable to personnel; identify development, their equivalents. No grant funds may be participants evaluating an education production, and dissemination costs obligated for publication or program. covered by the project budget; and reproduction of a final grant product present the basis on which products and without the written approval of the e. Project Management services developed or provided under Institute (see section VI.A.11.f.). The applicant should present a the grant would be offered to the courts (4) Acknowledgment, Disclaimer, and detailed management plan, including community and the public at large (i.e., Logo. Applicants must also include in the starting and completion date for whether products would be distributed all project products a prominent each task; the time commitments to the at no cost to recipients, or if costs are acknowledgment that support was project of key staff and their involved, the reason for charging received from the Institute and a responsibilities regarding each project recipients and the estimated price of the disclaimer paragraph based on the task; and the procedures that would product) (see section VI.A.11.b.). example provided in section ensure that all tasks are performed on Ordinarily, applicants should schedule VI.A.11.a.2. in the Guideline. The ‘‘SJI’’ time, within budget, and at the highest all product preparation and distribution logo must appear on the front cover of level of quality. In preparing the project activities within the project period. a written product, or in the opening time line, Gantt Chart, or schedule, A copy of each written product must frames of a Web site or other applicants should make certain that all be sent to the library established in each multimedia product, unless the Institute project activities, including publication State to collect the materials developed approves another placement. or reproduction of project products and with Institute support (see Appendix A). their initial dissemination, would occur Applicants proposing to develop Web- g. Applicant Status within the proposed project period. The based products should provide for An applicant that is not a State or management plan must also provide for sending a notice and description of the local court and has not received a grant the submission of Quarterly Progress document to the SJI-designated libraries from the Institute within the past three and Financial Reports within 30 days and other appropriate audiences to alert years should state whether it is either a after the close of each calendar quarter them to the availability of the Web site national non-profit organization (i.e., no later than January 30, April 30, or electronic product (i.e., a written controlled by, operating in conjunction July 30, and October 30), per section report with a reference to the web site). with, and serving the judicial branches VI.A.13. Five (5) copies of all project products of State governments, or a national non- Applicants should be aware that the should be submitted to the Institute, profit organization for the education and Institute is unlikely to approve a limited along with an electronic version in training of State court judges and extension of the grant period without .html or .pdf format. Discussions of final support personnel (see section II.). If the very good cause. Therefore, the product dissemination should be applicant is a nonjudicial unit of management plan should be as realistic conducted with SJI staff prior to the end Federal, State, or local government, it as possible and fully reflect the time of the grant period. must explain whether the proposed commitments of the proposed project (2) Types of Products and Press services could be adequately provided staff and consultants. Releases. The type of product to be by non-governmental entities. prepared depends on the nature of the f. Products project. For example, in most instances, h. Staff Capability The program narrative in the the products of a research, evaluation, The applicant should include a application should contain a description or demonstration project should include summary of the training and experience of the products to be developed (e.g., an article summarizing the project of the key staff members and training curricula and materials, Web findings that is publishable in a journal consultants that qualify them for sites or other electronic multimedia, serving the courts community conducting and managing the proposed articles, guidelines, manuals, reports, nationally, an executive summary that project. Resumes of identified staff handbooks, benchbooks, or books), would be disseminated to the project’s should be attached to the application. If including when they would be primary audience, or both. Applicants one or more key staff members and
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consultants are not known at the time of application, or send them under c. Consultant/Contractual Services and the application, a description of the separate cover. To ensure sufficient time Honoraria criteria that would be used to select to bring them to the Board’s attention, persons for these positions should be letters of support sent under separate The applicant should describe the included. The applicant also should cover should be received two weeks in tasks each consultant would perform, identify the person who would be advance of the Board meeting, which the estimated total amount to be paid to responsible for managing and reporting can be seen on the Web site. each consultant, the basis for on the financial aspects of the proposed compensation rates (e.g., the number of 4. Budget Narrative project. days multiplied by the daily consultant The budget narrative should provide rates), and the method for selection. i. Organizational Capacity the basis for the computation of all Rates for consultant services must be set Applicants that have not received a project-related costs. When the in accordance with section VII.I.2.c. grant from the Institute within the past proposed project would be partially Prior written Institute approval is three years should include a statement supported by grants from other funding required for any consultant rate in describing their capacity to administer sources, applicants should make clear excess of $800 per day; Institute funds grant funds, including the financial what costs would be covered by those may not be used to pay a consultant systems used to monitor project other grants. Additional background more than $1,100 per day. Honorarium expenditures (and income, if any), and information or schedules may be payments must be justified in the same a summary of their past experience in attached if they are essential to manner as consultant payments. administering grants, as well as any obtaining a clear understanding of the d. Travel resources or capabilities that they have proposed budget. Numerous and that would particularly assist in the lengthy appendices are strongly Transportation costs and per diem successful completion of the project. discouraged. rates must comply with the policies of Unless requested otherwise, an The budget narrative should cover the the applicant organization. If the applicant that has received a grant from costs of all components of the project applicant does not have an established the Institute within the past three years and clearly identify costs attributable to travel policy, then travel rates must be should describe only the changes in its the project evaluation. Under OMB consistent with those established by the organizational capacity, tax status, or grant guidelines incorporated by Federal Government. The budget financial capability that may affect its reference in this Guideline, grant funds narrative should include an explanation capacity to administer a grant. may not be used to purchase alcoholic of the rate used, including the If the applicant is a non-profit beverages. components of the per diem rate and the organization (other than a university), it basis for the estimated transportation must also provide documentation of its a. Justification of Personnel expenses. The purpose of the travel 501(c) tax-exempt status as determined Compensation should also be included in the narrative. by the Internal Revenue Service and a The applicant should set forth the copy of a current certified audit report. e. Equipment percentages of time to be devoted by the For purposes of this requirement, individuals who would staff the Grant funds may be used to purchase ‘‘current’’ means no earlier than two proposed project, the annual salary of only the equipment necessary to years prior to the present calendar year. demonstrate a new technological If a current audit report is not each of those persons, and the number application in a court or that is available, the Institute will require the of work days per year used for otherwise essential to accomplishing the organization to complete a financial calculating the percentages of time or objectives of the project. In other words, capability questionnaire, which must be daily rates of those individuals. The grant funds cannot be used strictly for signed by a Certified Public Accountant. applicant should explain any deviations the purpose of purchasing equipment. Other applicants may be required to from current rates or established written Equipment purchases to support basic provide a current audit report, a organizational policies. If grant funds court operations ordinarily will not be financial capability questionnaire, or are requested to pay the salary and approved. The applicant should both, if specifically requested to do so related costs for a current employee of describe the equipment to be purchased by the Institute. a court or other unit of government, the applicant should explain why this or leased and explain why the j. Statement of Lobbying Activities would not constitute a supplantation of acquisition of that equipment is Non-governmental applicants must State or local funds in violation of 42 essential to accomplish the project’s submit the Institute’s Disclosure of U.S.C. 10706(d)(1). An acceptable goals and objectives. The narrative Lobbying Activities Form, which explanation may be that the position to should clearly identify which documents whether they, or another be filled is a new one established in equipment is to be leased and which is entity that is a part of the same conjunction with the project or that the to be purchased. The method of organization as the applicant, have grant funds would support only the procurement should also be described. advocated a position before Congress on portion of the employee’s time that Purchases of automated data processing any issue, and identifies the specific would be dedicated to new or additional equipment must comply with section subjects of their lobbying efforts (see duties related to the project. VII.I.2.b. Appendix B). b. Fringe Benefit Computation f. Supplies k. Letters of Cooperation or Support The applicant should provide a The applicant should provide a If the cooperation of courts, description of the fringe benefits general description of the supplies organizations, agencies, or individuals provided to employees. If percentages necessary to accomplish the goals and other than the applicant is required to are used, the authority for such use objectives of the grant. In addition, the conduct the project, the applicant should be presented, as well as a applicant should provide the basis for should attach written assurances of description of the elements included in the amount requested for this cooperation and availability to the the determination of the percentage rate. expenditure category.
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g. Construction contributions would be made (see not sufficient to fully support the costs sections VI.A.8, and VII.E.1.). of the required consultant services? Construction expenses are prohibited b. Project Description. What tasks except for the limited purposes set forth 5. Submission Requirements would the consultant be expected to in section VI.A.16.b. Any allowable a. Every applicant must submit an perform, and how would they be construction or renovation expense original and three copies of the accomplished? Which organization or should be described in detail in the application package consisting of Form individual would be hired to provide budget narrative. A; Form B, if the application is from a the assistance, and how was this h. Telephone State or local court, or a Disclosure of consultant selected? If a consultant has Lobbying Form (Form E), if the not yet been identified, what procedures Applicants should include applicant is not a unit of State or local and criteria would be used to select the anticipated telephone charges, government; Form C; the Application consultant (applicants are expected to distinguishing between monthly charges Abstract; the Program Narrative; the follow their jurisdictions’ normal and long distance charges in the budget Budget Narrative; and any necessary procedures for procuring consultant narrative. Also, applicants should appendices. services)? What specific tasks would the provide the basis used to calculate the Letters of application may be consultant(s) and court staff undertake? monthly and long distance estimates. submitted at any time. Applications What is the schedule for completion of i. Postage received by the first day of the second each required task and the entire month in a calendar quarter will be project? How would the applicant Anticipated postage costs for project- oversee the project and provide related mailings, including distribution considered at the next Board meeting for that quarter. Please mark Project guidance to the consultant, and who at of the final product(s), should be the court or regional court association described in the budget narrative. The Application on the application package envelope and send it to: State Justice would be responsible for coordinating cost of special mailings, such as for a all project tasks and submitting survey or for announcing a workshop, Institute, 1650 King Street, Suite 600, Alexandria, VA 22314. quarterly progress and financial status should be distinguished from routine reports? operational mailing costs. The bases for Receipt of each application will be acknowledged by letter or e-mail. If the consultant has been identified, all postage estimates should be included the applicant should provide a letter in the budget narrative. b. Applicants submitting more than one application may include material from that individual or organization j. Printing/Photocopying that would be identical in each documenting interest in and availability application in a cover letter. This for the project, as well as the Anticipated costs for printing or consultant’s ability to complete the photocopying project documents, material will be incorporated by reference into each application and assignment within the proposed time reports, and publications should be frame and for the proposed cost. The included in the budget narrative, along counted against the 25-page limit for the program narrative. A copy of the cover consultant must agree to submit a with the bases used to calculate these detailed written report to the court and estimates. letter should be attached to each copy of the application. the Institute upon completion of the k. Indirect Costs technical assistance. B. Technical Assistance (TA) Grants c. Likelihood of Implementation. Recoverable indirect costs are limited 1. Application Procedures What steps have been or would be taken to no more than 75 percent of a grantee’s to facilitate implementation of the direct personnel costs, i.e. salaries plus Applicants for TA Grants may submit, consultant’s recommendations upon fringe benefits (see section VII.I.4.). at any time, an original and three copies completion of the technical assistance? Applicants should describe the of a detailed letter describing the For example, if the support or indirect cost rates applicable to the proposed project, as well as a Form A, cooperation of specific court officials or grant in detail. If costs often included ‘‘State Justice Institute Application’’ (see committees, other agencies, funding within an indirect cost rate are charged Appendix B) and Form B, Certificate of bodies, organizations, or a court other directly (e.g., a percentage of the time of State Approval from the State Supreme than the applicant would be needed to senior managers to supervise project Court, or its designated agency and adopt the changes recommended by the activities), the applicant should specify Form C, ‘‘Project Budget in Tabular consultant and approved by the court, that these costs are not included within Format.’’ Letters from regional court how would they be involved in the its approved indirect cost rate. These associations must be signed by the review of the recommendations and rates must be established in accordance president of the association. The development of the implementation with section VII.I.4. If the applicant has applications received by the first day of plan? an indirect cost rate or allocation plan the second month in a calendar quarter approved by any Federal granting will be reviewed in the Board meeting 3. Budget and Matching State agency, a copy of the approved rate for that quarter. Contribution agreement must be attached to the A completed Form C ‘‘Project Budget, 2. Application Format application. Tabular Format’’ and budget narrative Although there is no prescribed form must be included with the letter l. Match for the letter, or a minimum or requesting technical assistance. Applicants who do not contemplate maximum page limit, letters of The budget narrative should provide making matching contributions application should include the the basis for all project-related costs, continuously throughout the course of following information: including the basis for determining the the project or on a task-by-task basis a. Need for Funding. What is the estimated consultant costs, if must provide a schedule within 30 days critical need facing the applicant? How compensation of the consultant is after the beginning of the project period would the proposed technical assistance required (e.g., the number of days per indicating at what points during the help the applicant meet this critical task times the requested daily project period the matching need? Why are State or local resources consultant rate). Applicants should be
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aware that consultant rates above $800 in length, format, learning objectives, association members undertake? What per day must be approved in advance by teaching methods, or content? Who presentation methods will be used? the Institute, and that no consultant will would be responsible for adapting the What is the schedule for completion of be paid more than $1,100 per day from model curriculum? Who would the each required task and the entire Institute funds. In addition, the budget participants be, how many would there project? How would the applicant should provide for submission of two be, how would they be recruited, and oversee the project and provide copies of the consultant’s final report to from where would they come (e.g., from guidance to the trainer, and who at the the Institute. a single local jurisdiction, from across court or affiliated with the regional Recipients of TA Grants do not have the State, from a multi-State region, court association would be responsible to submit an audit report but must from across the Nation)? for coordinating all project tasks and maintain appropriate documentation to (2) Need for Funding. Why are submitting quarterly progress and support expenditures (see section sufficient State or local resources financial status reports? VI.A.3.). unavailable to fully support the If the trainer has been identified, the modification and presentation of the applicant should provide a letter from 4. Submission Requirements model curriculum? What is the potential that individual or organization Letters of application may be for replicating or integrating the adapted documenting interest in and availability submitted at any time and will be curriculum in the future using State or for the project, as well as the trainer’s considered on a quarterly rolling basis. local funds, once it has been ability to complete the assignment Applications should be received by the successfully adapted and tested? within the proposed time frame and for first day of the second month of a (3) Likelihood of Implementation. the proposed cost. The trainer must calendar quarter in order to be reviewed What is the proposed timeline, agree to submit a detailed written report at the Board meeting for that quarter. including the project start and end to the court and the Institute upon If the support or cooperation of dates? On what date(s) would the completion of the technical assistance. agencies, funding bodies, organizations, judicial branch education program be (3) Likelihood of Implementation. or courts other than the applicant would presented? What process would be used What steps have been or would be taken be needed in order for the consultant to to modify and present the program? to coordinate the implementation of the perform the required tasks, written Who would serve as faculty, and how new reform, initiative, etc., and the assurances of such support or were they selected? What measures training to support the same? For cooperation should accompany the would be taken to facilitate subsequent example, if the support or cooperation application letter. Support letters also presentations of the program? of specific court or regional court may be submitted under separate cover; Ordinarily, an independent evaluation association officials or committees, however, to ensure that there is of a curriculum adaptation project is not other agencies, funding bodies, sufficient time to bring them to the required; however, the results of any organizations, or a court other than the attention of the Institute’s Board of evaluation should be included in the applicant would be needed to adopt the Directors, letters sent under separate final report. reform and initiate the training cover must be received by the same date (4) Expressions of Interest by Judges proposed, how would they be involved as the technical assistance request being and/or Court Personnel. Does the in the review of the recommendations supported. proposed program have the support of and development of the implementation C. Curriculum Adaptation and Training the court system or association plan? (CAT) Grants leadership, and of judges, court managers, and judicial branch education 3. Budget and Matching State 1. Application Procedures personnel who are expected to attend? Contribution In lieu of formal applications, Applicants may demonstrate this by Applicants should attach a copy of applicants should submit an original attaching letters of support. budget Form C and a budget narrative (see subsection A.4. above) that and three photocopies of a detailed b. For training assistance: letter as well as a Form A, ‘‘State Justice describes the basis for the computation Institute Application;’’ Form B, (1) Need for Funding. What is the of all project-related costs and the ‘‘Certificate of State Approval;’’ and court reform or initiative prompting the source of the match offered. need for training? How would the Form C, ‘‘Project Budget, Tabular 4. Submission Requirements Format’’ (see Appendices). proposed training help the applicant implement planned changes at the Letters of application may be 2. Application Format court? Why are State or local resources submitted at any time and will be Although there is no prescribed not sufficient to fully support the costs considered on a quarterly rolling basis. format for the letter, or a minimum or of the required training? Applications should be received by the maximum page limit, letters of (2) Project Description. What tasks first day of the second month of a application should include the would the trainer(s) be expected to calendar quarter in order to be reviewed following information. perform, and how would they be at the Board meeting for that quarter. accomplished? Which organization or (Dates of Board meetings will be a. For adaptation of a curriculum: individual would be hired, if in-house available on the Web site once they are (1) Project Description. What is the personnel are not the trainers, to established: http:// title of the model curriculum to be provide the training, and how was the www.Statejustice.org.) adapted and who originally developed trainer selected? If a trainer has not yet For curriculum adaptation requests, it? Why is this education program been identified, what procedures and applicants should allow at least 90 days needed at the present time? What are criteria would be used to select the between the Board meeting and the date the project’s goals? What are the trainer? [Note: Applicants are expected of the proposed program to allow learning objectives of the adapted to follow their jurisdictions’ normal sufficient time for needed planning. curriculum? What program components procedures for procuring consultant Applicants are encouraged to call SJI would be implemented, and what types services.] What specific tasks would the staff to discuss concerns about timing of of modifications, if any, are anticipated trainer and court staff or regional court submissions.
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D. Partner Grants to combine aid from various sources Judges and court managers applying for The Institute and its funding partners whenever possible. A scholarship is not scholarships must submit the original may meld, pick and choose, or waive transferable to another individual. It written concurrence of the Chief Justice their application procedures, grant may be used only for the course of the State’s Supreme Court (or the cycles, or grant requirements to expedite specified in the application unless the Chief Justice’s designee) on the the award of jointly-funded grants applicant’s request to attend a different Institute’s Judicial Education targeted at emerging or high priority course that meets the eligibility Scholarship Concurrence form (see problems confronting State and local requirements is approved in writing by Appendix D). The signature of the courts. The Institute may solicit brief the Institute. Decisions on such requests presiding judge of the applicant’s court proposals from potential grantees to will be made within 30 days after the may not be substituted for that of the propose to fellow financial partners as receipt of the request letter. Chief Justice or the Chief Justice’s a first step. Should the Institute be 2. Eligibility Requirements designee. Court managers, other than chosen as the lead grant manager, elected clerks of court, also must submit a. Recipients. Scholarships can be Project Grant application procedures a letter of support from their immediate awarded only to full-time judges of State will apply to the proposed Partner supervisors. or local trial and appellate courts; full- Grant. As with Project Grants, Partner time professional, State, or local court 4. Submission Requirements Grants will be targeted at initiatives personnel with management likely to have a significant national Scholarship applications may be responsibilities; and supervisory and impact. submitted at any time but will be management probation personnel in reviewed on a quarterly basis. This E. Scholarships judicial branch probation offices. Senior means scholarships will be awarded on judges, part-time judges, quasi-judicial 1. Limitations a ‘‘first come, first considered’’ basis. hearing officers including referees and The dates for applications to be received Applicants may not receive more than commissioners, administrative law by the Institute for consideration in FY one scholarship in a two-year period judges, staff attorneys, law clerks, line 09 are November 1, February 1, May 1, unless the course specifically assumes staff, law enforcement officers, and and August 1. (These are not mailing multi-year participation or the course is other executive branch personnel are deadlines. The applications must be part of a graduate degree program in not eligible to receive a scholarship. received by the Institute by each of judicial studies in which the applicant b. Courses. A scholarship can be these dates.) No exceptions or is currently enrolled (neither exception awarded only for: (1) A course extensions will be granted. All the should be taken as a commitment on the presented in a State other than the one required items must be received for an part of the Institute’s Board of Directors in which the applicant resides or works, application to be considered. If the to approve serial scholarships). or (2) an online course. The course must Concurrence form or letter of support is Attendance at annual or mid-year be designed to enhance the skills of new sent separately from the application, the meetings or conferences of a State or or experienced judges and court postmark date of the last item to be sent national organization does not qualify as managers; or be offered by a recognized will be used in determining the review an out-of-State educational program for graduate program for judges or court date. scholarship purposes, even though it managers. All applications should be sent by may include workshops or other Applicants are encouraged not to wait mail or courier (not fax or e-mail) to: training sessions. for the decision on a scholarship to Scholarship Program Coordinator, State Scholarship funds may be used only register for an educational program they to cover the costs of tuition, Justice Institute, 1650 King Street, Suite wish to attend. The Institute does not 600, Alexandria, VA 22314. transportation, and reasonable lodging submit the names of scholarship expenses (not to exceed $150 per night, recipients to educational organizations. V. Application Review Procedures including taxes). Transportation expenses may include round-trip coach 3. Forms A. Preliminary Inquiries airfare or train fare. Scholarship a. Scholarship Application—Form S1 The Institute staff will answer recipients are strongly encouraged to (Appendix D). The Scholarship inquiries concerning application take advantage of excursion or other Application requests basic information procedures. The staff contact will be special airfares (e.g., reductions offered about the applicant and the educational named in the Institute’s letter or e-mail when a ticket is purchased 21 days in program the applicant would like to acknowledging receipt of the advance of the travel date) when making attend. It also addresses the applicant’s application. their travel arrangements. Recipients commitment to share the skills and B. Selection Criteria who drive to a program site may receive knowledge gained with local court $.585/mile (or the accepted GSA rate) colleagues and to submit an evaluation 1. Project Grant Applications up to the amount of the advanced- of the program the applicant attends. a. Project Grant applications will be purchase round-trip airfare between The Scholarship Application must bear rated on the basis of the criteria set forth their homes and the program sites. the original signature of the applicant. below. The Institute will accord the Funds to pay tuition, transportation, Faxed or photocopied signatures will greatest weight to the following criteria: and lodging expenses in excess of not be accepted. Please be sure to (1) The soundness of the $1,500 and other costs of attending the indicate whether the State will be methodology; program—such as meals, materials, providing funds for the project and, if (2) The demonstration of need for the transportation to and from airports, and so, how much. The Institute will not project; local transportation (including rental supplant State funds for these (3) The appropriateness of the cars)—at the program site must be scholarships: it can only provide proposed evaluation design; obtained from other sources or borne by funding above the amount to be covered (4) If applicable, the key findings and the scholarship recipient. Scholarship by the State. recommendations of the most recent applicants are encouraged to check b. Scholarship Application evaluation and the proposed responses other sources of financial assistance and Concurrence—Form S2 (Appendix D). to those findings and recommendations;
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(5) The applicant’s management plan 3. Curriculum Adaptation and Training Scholarships will be awarded on the and organizational capabilities; (CAT) Grant Applications basis of: (6) The qualifications of the project’s CAT Grant applications will be rated a. The date on which the application staff; on the basis of the following criteria: and concurrence (and support letter, if (7) The products and benefits required) were sent (‘‘first come, first resulting from the project, including the a. For curriculum adaptation projects: considered’’); extent to which the project will have (1) The goals and objectives of the b. The unavailability of State or local long-term benefits for State courts across proposed project; funds or scholarship funds from another the nation; (2) The need for outside funding to source to cover the costs of attending (8) The degree to which the findings, support the program; the program, or participating online; procedures, training, technology, or (3) The appropriateness of the c. The absence of educational other results of the project can be approach in achieving the project’s programs in the applicant’s State transferred to other jurisdictions; educational objectives; addressing the topic(s) covered by the (9) The reasonableness of the (4) The likelihood of effective educational program for which the proposed budget; and implementation and integration of the scholarship is being sought; (10) The demonstration of cooperation modified curriculum into ongoing d. Geographic balance among the and support of other agencies that may educational programming; and recipients; be affected by the project. (5) Expressions of interest by the (11) The proposed project’s e. The balance of scholarships among judges and/or court personnel who educational providers and programs; relationship to one of the Special would be directly involved in or f. The balance of scholarships among Interest Criteria and Categories set forth affected by the project. in section III.A. the types of courts and court personnel b. In determining which projects to b. For training assistance: (trial judge, appellate judge, trial court support, the Institute will also consider (1) Whether the training would administrator) represented; and whether the applicant is a State court, address a critical need of the court or g. The level of appropriations a national court support or education association; available to the Institute in the current organization, a non-court unit of (2) The soundness of the training year and the amount expected to be government, or other type of entity approach to the problem; available in succeeding fiscal years. eligible to receive grants under the (3) The qualifications of the trainer(s) The postmark or courier receipt will Institute’s enabling legislation (see to be hired or the specific criteria that be used to determine the date on which section II.); the availability of financial will be used to select the trainer(s); the application form and other required assistance from other sources for the (4) The commitment of the court or items were sent. project; the amount of the applicant’s association to the training program; and C. Review and Approval Process match; the extent to which the proposed (5) The reasonableness of the project would also benefit the Federal proposed budget. 1. Project Grant Applications courts or help State courts enforce The Institute will also consider factors The Institute’s Board of Directors will Federal constitutional and legislative such as the reasonableness of the review the applications competitively. requirements; and the level of amount requested, compliance with The Institute staff will prepare a appropriations available to the Institute match requirements, diversity of subject narrative summary and a rating sheet in the current year and the amount matter, geographic diversity, the level of assigning points for each relevant expected to be available in succeeding appropriations available in the current selection criterion. The staff will present fiscal years. year, and the amount expected to be the narrative summaries and rating available in succeeding fiscal years. 2. Technical Assistance (TA) Grant sheets to the Board for its review. The Applications 4. Partner Grants Board will review all application summaries and decide which projects it TA Grant applications will be rated The selection criteria for Partner will fund. The decision to fund a project on the basis of the following criteria: Grants will be driven by the collective is solely that of the Board of Directors. a. Whether the assistance would priorities of the Institute and other address a critical need of the applicant; organizations and their collective The Chairman of the Board will sign b. The soundness of the technical assessments regarding the needs and approved awards on behalf of the assistance approach to the problem; capabilities of court and court-related Institute. c. The qualifications of the organizations. Having settled on 2. Technical Assistance (TA) and consultant(s) to be hired or the specific priorities, the Institute and its financial Curriculum Adaptation and Training criteria that will be used to select the partners will likely contact the courts or (CAT) Grant Applications consultant(s); court-related organizations most d. The commitment of the court or acceptable as pilots, laboratories, The Institute staff will prepare a association to act on the consultant’s consultants, or the like. Should the narrative summary of each application recommendations; and Institute be chosen as the lead grant and a rating sheet assigning points for e. The reasonableness of the proposed manager, Project application review each relevant selection criterion. The budget. procedures will apply to the proposed Board of Directors may delegate its The Institute also will consider factors Partner Grant. authority to approve TA and CAT such as the level and nature of the Grants to the committee established for match that would be provided, diversity 5. Scholarships each program. The Board or the of subject matter, geographic diversity, Scholarships will be approved only committee will review the applications the level of appropriations available to for programs that either (1) enhance the competitively. the Institute in the current year, and the skills of judges and court managers; or The Chairman of the Board will sign amount expected to be available in (2) are part of a graduate degree program approved awards on behalf of the succeeding fiscal years. for judges or court personnel. Institute.
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3. Scholarships award document will include a Special individually or cumulatively exceed A committee of the Institute’s Board Condition that will require additional five percent of the approved original of Directors will review scholarship grantee reporting and Institute review budget or the most recently approved applications quarterly. The Board of and approval. Special Conditions, in the revised budget require prior Institute Directors has delegated its authority to form of incentives or sanctions, may approval (see section VIII.A.1.). also be used in situations where past approve scholarships to the committee 5. Conflict of Interest established for the program. The poor performance by a grantee Personnel and other officials committee will review the applications necessitates increased grant oversight. connected with Institute-funded competitively. In the event of a tie vote, VI. Compliance Requirements the Chairman will serve as the tie- programs must adhere to the following The State Justice Institute Act breaker. The Chairman of the Board will requirements: contains limitations and conditions on a. No official or employee of a sign approved awards on behalf of the grants, contracts, and cooperative recipient court or organization shall Institute. agreements awarded by the Institute. participate personally through decision, 4. Partner Grants The Board of Directors has approved approval, disapproval, recommendation, The Institute’s internal process for the additional policies governing the use of the rendering of advice, investigation, or review and approval of Partner Grants Institute grant funds. These statutory otherwise in any proceeding, will depend upon negotiations with and policy requirements are set forth application, request for a ruling or other fellow financiers. The Institute may use below. determination, contract, grant, its procedures, a partner’s procedures, a A. Recipients of Project Grants cooperative agreement, claim, mix of both, or entirely unique controversy, or other particular matter procedures. All Partner Grants will be 1. Advocacy in which Institute funds are used, approved by the Board of Directors on No funds made available by the where, to his or her knowledge, he or whatever schedule makes sense at the Institute may be used to support or she or his or her immediate family, time. conduct training programs for the partners, organization other than a purpose of advocating particular public agency in which he or she is D. Return Policy nonjudicial public policies or serving as officer, director, trustee, Unless a specific request is made, encouraging nonjudicial political partner, or employee or any person or unsuccessful applications will not be activities (42 U.S.C. 10706(b)). organization with whom he or she is returned. Applicants are advised that negotiating or has any arrangement Institute records are subject to the 2. Approval of Key Staff concerning prospective employment, provisions of the Federal Freedom of If the qualifications of an employee or has a financial interest. Information Act, 5 U.S.C. 552. consultant assigned to a key project staff b. In the use of Institute project funds, position are not described in the an official or employee of a recipient E. Notification of Board Decision application or if there is a change of a court or organization shall avoid any The Institute will send written notice person assigned to such a position, the action which might result in or create to applicants concerning all Board recipient must submit a description of the appearance of: decisions to approve, defer, or deny the qualifications of the newly assigned (1) Using an official position for their respective applications. For all person to the Institute. Prior written private gain; or applications (except scholarships), if approval of the qualifications of the new (2) Affecting adversely the confidence requested the Institute will convey the person assigned to a key staff position of the public in the integrity of the key issues and questions that arose must be received from the Institute Institute program. during the review process. A decision before the salary or consulting fee of c. Requests for proposals or by the Board to deny an application may that person and associated costs may be invitations for bids issued by a recipient not be appealed, but it does not prohibit paid or reimbursed from grant funds of Institute funds or a subgrantee or resubmission of a proposal based on (see section VIII.A.7.). subcontractor will provide notice to that application in a subsequent funding prospective bidders that the contractors cycle. The Institute will also notify the 3. Audit who develop or draft specifications, State Court Administrator when grants Recipients of project grants must requirements, statements of work, and/ are approved by the Board to support provide for an annual fiscal audit which or requests for proposals for a proposed projects that will be conducted by or includes an opinion on whether the procurement will be excluded from involve courts in that State. financial statements of the grantee bidding on or submitting a proposal to present fairly its financial position and compete for the award of such F. Response to Notification of Approval its financial operations are in procurement. With the exception of those approved accordance with generally accepted 6. Inventions and Patents for scholarships, applicants have 30 accounting principles (see section VII.K. days from the date of the letter notifying for the requirements of such audits). If any patentable items, patent rights, them that the Board has approved their Scholarship recipients, Curriculum processes, or inventions are produced in application to respond to any revisions Adaptation and Training Grants, and the course of Institute-sponsored work, requested by the Board. If the requested Technical Assistance Grants are not such fact shall be promptly and fully revisions (or a reasonable schedule for required to submit an audit, but they reported to the Institute. Unless there is submitting such revisions) have not must maintain appropriate a prior agreement between the grantee been submitted to the Institute within documentation to support all and the Institute on disposition of such 30 days after notification, the approval expenditures (see section VIII.K.). items, the Institute shall determine may be rescinded and the application whether protection of the invention or presented to the Board for 4. Budget Revisions discovery shall be sought. The Institute reconsideration. In the event an issue Budget revisions among direct cost will also determine how the rights in will only be resolved after award, such categories that: (a) Transfer grant funds the invention or discovery, including as the selection of a consultant, the final to an unbudgeted cost category, or (b) rights under any patent issued thereon,
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shall be allocated and administered in required match depends on the type of product, unless another placement is order to protect the public interest grant (see section III.). approved in writing by the Institute. consistent with ‘‘Government Patent The grantee is responsible for This includes final products printed or Policy’’ (President’s Memorandum for ensuring that the total amount of match otherwise reproduced during the grant Heads of Executive Departments and proposed is actually contributed. If a period, as well as re-printings or Agencies, February 18, 1983, and proposed contribution is not fully met, reproductions of those materials statement of Government Patent Policy). the Institute may reduce the award following the end of the grant period. A amount accordingly, in order to camera-ready logo sheet is available on 7. Lobbying maintain the ratio originally provided the Institute’s Web site: http:// a. Funds awarded to recipients by the for in the award agreement (see section www.sji.gov. Institute shall not be used, indirectly or VII.E.1.). (2) Recipients also must display the directly, to influence Executive Orders The Board of Directors looks favorably following disclaimer on all grant or similar promulgations by Federal, upon any unrequired match contributed products: ‘‘This [document, film, State or local agencies, or to influence by applicants when making grant videotape, etc.] was developed under the passage or defeat of any legislation decisions. The match requirement may [grant/cooperative agreement] number by Federal, State or local legislative be waived in exceptionally rare SJI-[insert number] from the State bodies (42 U.S.C. 10706(a)). circumstances upon the request of the Justice Institute. The points of view b. It is the policy of the Board of Chief Justice of the highest court in the expressed are those of the [author(s), Directors to award funds only to support State or the highest ranking official in filmmaker(s), etc.] and do not applications submitted by organizations the requesting organization and necessarily represent the official that would carry out the objectives of approval by the Board of Directors (42 position or policies of the State Justice U.S.C. 10705(d)). The Board of Directors their applications in an unbiased Institute.’’ encourages all applicants to provide the manner. Consistent with this policy and maximum amount of cash and in-kind b. Charges for Grant-Related Products/ the provisions of 42 U.S.C. 10706, the match possible, even if a waiver is Recovery of Costs Institute will not knowingly award a approved. The amount and nature of (1) When Institute funds fully cover grant to an applicant that has, directly match are criteria in the grant selection the cost of developing, producing, and or through an entity that is part of the process (see section V.B.1.b.). disseminating a product (e.g., a report, same organization as the applicant, curriculum, videotape, or software), the advocated a position before Congress on 9. Nondiscrimination product should be distributed to the the specific subject matter of the No person may, on the basis of race, field without charge. When Institute application. sex, national origin, disability, color, or funds only partially cover the 8. Matching Requirements creed be excluded from participation in, development, production, or denied the benefits of, or otherwise dissemination costs, the grantee may, All grantees other than scholarship subjected to discrimination under any with the Institute’s prior written recipients are required to provide a program or activity supported by approval, recover its costs for match. A match is the portion of project Institute funds. Recipients of Institute developing, producing, and costs not borne by the Institute. Match funds must immediately take any disseminating the material to those includes both cash and in-kind measures necessary to effectuate this requesting it, to the extent that those contributions. Cash match is the direct provision. costs were not covered by Institute outlay of funds by the grantee or a third 10. Political Activities funds or grantee matching party to support the project. Examples contributions. of cash match are the dedication of No recipient may contribute or make (2) Applicants should disclose their funds to support a new employee or available Institute funds, program intent to sell grant-related products in purchase new equipment to carry out personnel, or equipment to any political the application. Grantees must obtain the project or the application of project party or association, or the campaign of the written prior approval of the income (e.g., tuition or the proceeds of any candidate for public or party office. Institute of their plans to recover project sales of grant products) generated Recipients are also prohibited from costs through the sale of grant products. during the grant period to grant costs. using funds in advocating or opposing Written requests to recover costs In-kind match consists of contributions any ballot measure, initiative, or ordinarily should be received during the of time and/or services of current staff referendum. Officers and employees of grant period and should specify the members, space, supplies, etc., made to recipients shall not intentionally nature and extent of the costs to be the project by the grantee or others (e.g., identify the Institute or recipients with recouped, the reason that such costs advisory board members) working any partisan or nonpartisan political were not budgeted (if the rationale was directly on the project or that portion of activity associated with a political party not disclosed in the approved the grantee’s federally approved indirect or association, or the campaign of any application), the number of copies to be cost rate that exceeds the Guideline’s candidate for public or party office (42 sold, the intended audience for the limit of permitted charges (75 percent of U.S.C. 10706(a)). products to be sold, and the proposed salaries and benefits). 11. Products sale price. If the product is to be sold Under normal circumstances, for more than $25, the written request allowable match may be incurred only a. Acknowledgment, Logo, and also should include a detailed during the project period. When Disclaimer itemization of costs that will be appropriate, and with the prior written (1) Recipients of Institute funds must recovered and a certification that the permission of the Institute, match may acknowledge prominently on all costs were not supported by either be incurred from the date of the Board products developed with grant funds Institute grant funds or grantee of Directors’ approval of an award. that support was received from the matching contributions. Match does not include the time of Institute. The ‘‘SJI’’ logo must appear on (3) In the event that the sale of grant participants attending an education the front cover of a written product, or products results in revenues that exceed program. The amount and nature of in the opening frames of a multimedia the costs to develop, produce, and
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disseminate the product, the revenue Adaptation and Training Grants are not A final project Progress Report and must continue to be used for the required to submit final products to Financial Status Report shall be authorized purposes of the Institute- State libraries. submitted within 90 days after the end funded project or other purposes of the grant period in accordance with f. Institute Approval consistent with the State Justice section VII.L.1. of this Guideline. Institute Act that have been approved by No grant funds may be obligated for 14. Research the Institute (see section VII.G.). publication or reproduction of a final product developed with grant funds a. Availability of Research Data for c. Copyrights without the written approval of the Secondary Analysis Except as otherwise provided in the Institute. Grantees shall submit a final Upon request, grantees must make terms and conditions of an Institute draft of each written product to the available for secondary analysis a award, a recipient is free to copyright Institute for review and approval. The diskette(s) or data tape(s) containing any books, publications, or other draft must be submitted at least 30 days research and evaluation data collected copyrightable materials developed in before the product is scheduled to be under an Institute grant and the the course of an Institute-supported sent for publication or reproduction to accompanying code manual. Grantees project, but the Institute shall reserve a permit Institute review and may recover the actual cost of royalty-free, nonexclusive and incorporation of any appropriate duplicating and mailing or otherwise irrevocable right to reproduce, publish, changes required by the Institute. transmitting the data set and manual or otherwise use, and to authorize Grantees must provide for timely from the person or organization others to use, the materials for purposes reviews by the Institute of website or requesting the data. Grantees may consistent with the State Justice other multimedia products at the provide the requested data set in the Institute Act. treatment, script, rough cut, and final format in which it was created and stages of development or their d. Due Date analyzed. equivalents. All products and, for TA and CAT b. Confidentiality of Information grants, consultant and/or trainer reports g. Original Material (see section VI.B.1 & 2) are to be All products prepared as the result of Except as provided by Federal law completed and distributed (see below) Institute-supported projects must be other than the State Justice Institute Act, not later than the end of the award originally-developed material unless no recipient of financial assistance from period, not the 90-day close out period. otherwise specified in the award SJI may use or reveal any research or The latter is only intended for grantee documents. Material not originally statistical information furnished under final reporting and to liquidate developed that is included in such the Act by any person and identifiable obligations (see section VII.L.). products must be properly identified, to any specific private person for any whether the material is in a verbatim or purpose other than the purpose for e. Distribution extensive paraphrase format. which the information was obtained. In addition to the distribution Such information and copies thereof specified in the grant application, 12. Prohibition Against Litigation shall be immune from legal process, and grantees shall send: Support shall not, without the consent of the (1) Five (5) copies of each final No funds made available by the person furnishing such information, be product developed with grant funds to Institute may be used directly or admitted as evidence or used for any the Institute, unless the product was indirectly to support legal assistance to purpose in any action, suit, or other developed under either a Technical parties in litigation, including cases judicial, legislative, or administrative Assistance or a Curriculum Adaptation involving capital punishment. proceedings. and Training Grant, in which case 13. Reporting Requirements c. Human Subject Protection submission of 2 copies is required; (2) An electronic version of the a. Recipients of Institute funds other Human subjects are defined as product in .html or .pdf format to the than scholarships must submit individuals who are participants in an Institute; and Quarterly Progress and Financial Status experimental procedure or who are (3) One copy of each final product Reports within 30 days of the close of asked to provide information about developed with grant funds to the each calendar quarter (that is, no later themselves, their attitudes, feelings, library established in each State to than January 30, April 30, July 30, and opinions, and/or experiences through an collect materials prepared with Institute October 30). The Quarterly Progress interview, questionnaire, or other data support. A list of the libraries is Reports shall include a narrative collection technique. All research contained in Appendix A. Labels for description of project activities during involving human subjects shall be these libraries are available on the the calendar quarter, the relationship conducted with the informed consent of Institute’s Web site, http:// www.SJI.org. between those activities and the task those subjects and in a manner that will (4) Bound copies of products, where schedule and objectives set forth in the ensure their privacy and freedom from possible and cost-effective, rather than approved application or an approved risk or harm and the protection of hard copies in ring binders, to SJI adjustment thereto, any significant persons who are not subjects of the depository libraries. Grantees that problem areas that have developed and research but would be affected by it, develop Web-based electronic products how they will be resolved, and the unless such procedures and safeguards must send an announcement/ activities scheduled during the next would make the research impractical. In description of the document and reporting period. Failure to comply with such instances, the Institute must indicate where it may be obtained to the the requirements of this provision could approve procedures designed by the SJI-designated libraries and other result in the termination of a grantee’s grantee to provide human subjects with appropriate audiences to alert them to award. relevant information about the research the availability of the Web site or b. The quarterly Financial Status after their involvement and to minimize electronic product. Recipients of Report must be submitted in accordance or eliminate risk or harm to those Technical Assistance and Curriculum with section VII.H.2. of this Guideline. subjects due to their participation.
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15. State and Local Court Applications B. Recipients of Technical Assistance submit a Scholarship Payment Voucher (TA) and Curriculum Adaptation and (Form S3) together with a tuition Each application for funding from a Training (CAT) Grants statement from the program sponsor, a State or local court must be approved, transportation fare receipt (or statement consistent with State law, by the State’s Recipients of TA and CAT Grants must comply with the requirements of the driving mileage to and from the Supreme Court, or its designated agency recipient’s home to the site of the or council. The Supreme Court or its listed in section VI.A. (except the requirements pertaining to audits in educational program), and a lodging designee shall receive, administer, and receipt. be accountable for all funds awarded on subsection A.3. above and product dissemination and approval in Scholarship Payment Vouchers must the basis of such an application (42 be submitted within 90 days after the U.S.C. 10705(b)(4)). See section VII.C.2. subsection A.11.e. and f. above) and the reporting requirements below: end of the course, which the recipient 16. Supplantation and Construction attended. 1. Technical Assistance (TA) Grant 3. Scholarship recipients are To ensure that Institute funds are Reporting Requirements encouraged to check with their tax used to supplement and improve the Recipients of TA Grants must submit advisors to determine whether the operation of State courts, rather than to to the Institute one copy of a final report scholarship constitutes taxable income support basic court services, Institute that explains how it intends to act on under Federal and State law. funds shall not be used for the following the consultant’s recommendations, as D. Partner Grants purposes: well as two copies of the consultant’s a. To supplant State or local funds written report. The compliance requirements for supporting a program or activity (such Partner Grant recipients will depend as paying the salary of court employees 2. Curriculum Adaptation and Training upon the agreements struck between the who would be performing their normal (CAT) Grant Reporting Requirements grant financiers and between lead duties as part of the project, or paying Recipients of CAT Grants must submit financiers and grantees. Should SJI be rent for space which is part of the one copy of the agenda or schedule, the lead, the compliance requirements court’s normal operations); outline of presentations and/or relevant for Project Grants will apply. b. To construct court facilities or instructor’s notes, copies of overhead VII. Financial Requirements structures, except to remodel existing transparencies, power point facilities or to demonstrate new presentations, or other visual aids, A. Purpose architectural or technological exercises, case studies and other The purpose of this section is to techniques, or to provide temporary background materials, hypotheticals, establish accounting system facilities for new personnel or for quizzes, and other materials involving requirements and offer guidance on personnel involved in a demonstration the participants, manuals, handbooks, procedures to assist all grantees, or experimental program; or conference packets, evaluation forms, subgrantees, contractors, and other and suggestions for replicating the c. Solely to purchase equipment. organizations in: program, including possible faculty or 1. Complying with the statutory 17. Suspension or Termination of the preferred qualifications or requirements for the award, Funding experience of those selected as faculty, disbursement, and accounting of funds; developed under the grant at the 2. Complying with regulatory After providing a recipient reasonable conclusion of the grant period, along notice and opportunity to submit requirements of the Institute for the with a final report that includes any financial management and disposition written documentation demonstrating evaluation results and explains how the why fund termination or suspension of funds; grantee intends to present the 3. Generating financial data to be used should not occur, the Institute may educational program in the future, as in planning, managing, and controlling terminate or suspend funding of a well as two copies of the consultant’s or projects; and project that fails to comply substantially trainer’s report. 4. Facilitating an effective audit of with the Act, the Guideline, or the terms funded programs and projects. and conditions of the award (42 U.S.C. C. Scholarship Recipients 10708(a)). 1. Scholarship recipients are B. References 18. Title to Property responsible for disseminating the Except where inconsistent with information received from the course to specific provisions of this Guideline, the At the conclusion of the project, title their court colleagues locally and, if following circulars are applicable to to all expendable and nonexpendable possible, throughout the State (e.g., by Institute grants and cooperative personal property purchased with developing a formal seminar, circulating agreements under the same terms and Institute funds shall vest in the recipient the written material, or discussing the conditions that apply to Federal court, organization, or individual that information at a meeting or conference). grantees. The circulars supplement the purchased the property if certification is Recipients also must submit to the requirements of this section for made to and approved by the Institute Institute a certificate of attendance at accounting systems and financial that the property will continue to be the program, an evaluation of the record-keeping and provide additional used for the authorized purposes of the educational program they attended, and guidance on how these requirements Institute-funded project or other a copy of the notice of any scholarship may be satisfied (circulars may be purposes consistent with the State funds received from other sources. A obtained on the OMB Web site at Justice Institute Act. If such certification copy of the evaluation must be sent to http://www.whitehouse.gov/omb). is not made or the Institute disapproves the Chief Justice of the scholarship 1. Office of Management and Budget such certification, title to all such recipient’s State. A State or local (OMB) Circular A–21, Cost Principles property with an aggregate or individual jurisdiction may impose additional for Educational Institutions. value of $1,000 or more shall vest in the requirements on scholarship recipients. 2. Office of Management and Budget Institute, which will direct the 2. To receive the funds authorized by (OMB) Circular A–87, Cost Principles disposition of the property. a scholarship award, recipients must for State and Local Governments.
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3. Office of Management and Budget (3) Budgeting and Budget Review. The Institute funds, State and local matching (OMB) Circular A–102, Uniform State Supreme Court or its designee shares, and any other fund sources Administrative Requirements for should ensure that each subgrantee included in the approved project budget Grants-in-Aid to State and Local prepares an adequate budget as the basis serve as the foundation for fiscal Governments. for its award commitment. The State administration and accounting. Grant 4. Office of Management and Budget Supreme Court should maintain the applications and financial reports (OMB) Circular A–110, Grants and details of each project budget on file. require budget and cost estimates on the Agreements with Institutions of Higher (4) Accounting for Match. The State basis of total costs. Education, Hospitals and Other Non- Supreme Court or its designee will 1. Timing of Matching Contributions Profit Organizations. ensure that subgrantees comply with the 5. Office of Management and Budget match requirements specified in this Matching contributions need not be (OMB) Circular A–122, Cost Principles Guideline (see section VI.A.8.). applied at the exact time of the for Non-profit Organizations. (5) Audit Requirement. The State obligation of Institute funds. Ordinarily, 6. Office of Management and Budget Supreme Court or its designee is the full matching share must be (OMB) Circular A–133, Audits of States, required to ensure that subgrantees meet obligated during the award period; Local Governments and Non-profit the necessary audit requirements set however, with the written permission of Organizations. forth by the Institute (see sections K. the Institute, contributions made C. Supervision and Monitoring below and VI.A.3.). following approval of the grant by the Responsibilities (6) Reporting Irregularities. The State Institute’s Board of Directors, but before Supreme Court, its designees, and its the beginning of the grant, may be 1. Grantee Responsibilities subgrantees are responsible for counted as match. Grantees that do not All grantees receiving awards from promptly reporting to the Institute the anticipate making matching the Institute are responsible for the nature and circumstances surrounding contributions continuously throughout management and fiscal control of all any financial irregularities discovered. the course of a project, or on a task-by- funds. Responsibilities include D. Accounting System task basis, are required to submit a accounting for receipts and schedule within 30 days after the expenditures, maintaining adequate The grantee is responsible for beginning of the project period financial records, and refunding establishing and maintaining an indicating at what points during the expenditures disallowed by audits. adequate system of accounting and project period the matching internal controls and for ensuring that contributions will be made. If a 2. Responsibilities of the State Supreme an adequate system exists for each of its Court proposed cash or in-kind match is not subgrantees and contractors. An fully met, the Institute may reduce the a. Each application for funding from acceptable and adequate accounting award amount accordingly to maintain a State or local court must be approved, system: the ratio of grant funds to matching consistent with State law, by the State’s 1. Properly accounts for receipt of funds stated in the award agreement. Supreme Court, or its designated agency funds under each grant awarded and the or council. expenditure of funds for each grant by 2. Records for Match b. The State Supreme Court or its category of expenditure (including All grantees must maintain records designee shall receive all Institute funds matching contributions and project that clearly show the source, amount, awarded to such courts; be responsible income); and timing of all matching for assuring proper administration of 2. Assures that expended funds are contributions. In addition, if a project Institute funds; and be responsible for applied to the appropriate budget has included, within its approved all aspects of the project, including category included within the approved budget, contributions which exceed the proper accounting and financial record- grant; keeping by the subgrantee. These 3. Presents and classifies historical required matching portion, the grantee responsibilities include: costs of the grant as required for must maintain records of those (1) Reviewing Financial Operations. budgetary and evaluation purposes; contributions in the same manner as it The State Supreme Court or its designee 4. Provides cost and property controls does Institute funds and required should be familiar with, and to assure optimal use of grant funds; matching shares. For all grants made to periodically monitor, its subgrantees’ 5. Is integrated with a system of State and local courts, the State financial operations, records system, internal controls adequate to safeguard Supreme Court has primary and procedures. Particular attention the funds and assets covered, check the responsibility for grantee/subgrantee should be directed to the maintenance accuracy and reliability of the compliance with the requirements of of current financial data. accounting data, promote operational this section (see subsection C.2. above). (2) Recording Financial Activities. efficiency, and assure conformance with F. Maintenance and Retention of The subgrantee’s grant award or contract any general or special conditions of the Records obligation, as well as cash advances and grant; other financial activities, should be 6. Meets the prescribed requirements All financial records, including recorded in the financial records of the for periodic financial reporting of supporting documents, statistical State Supreme Court or its designee in operations; and records, and all other information summary form. Subgrantee expenditures 7. Provides financial data for pertinent to grants, subgrants, should be recorded on the books of the planning, control, measurement, and cooperative agreements, or contracts State Supreme Court OR evidenced by evaluation of direct and indirect costs. under grants, must be retained by each report forms duly filed by the organization participating in a project subgrantee. Matching contributions E. Total Cost Budgeting and Accounting for at least three years for purposes of provided by subgrantees should Accounting for all funds awarded by examination and audit. State Supreme likewise be recorded, as should any the Institute must be structured and Courts may impose record retention and project income resulting from program executed on a ‘‘Total Project Cost’’ basis. maintenance requirements in addition operations. That is, total project costs, including to those prescribed in this section.
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1. Coverage nonprofit organizations that are grantees instructions for its preparation, and the The retention requirement extends to must refund any interest earned. SF 3881 Automated Clearing House books of original entry, source Grantees shall ensure minimum (ACH/Miscellaneous Payment documents supporting accounting balances in their respective grant cash Enrollment Form for EFT) are available transactions, the general ledger, accounts. on the Institute’s Web site: http:// www.sji.gov/forms.php. subsidiary ledgers, personnel and 2. Royalties payroll records, canceled checks, and b. Termination of Advance and The grantee/subgrantee may retain all related documents and records. Source Reimbursement Funding. When a royalties received from copyrights or documents include copies of all grant grantee organization receiving cash other works developed under projects or and subgrant awards, applications, and advances from the Institute: from patents and inventions, unless the (1) Demonstrates an unwillingness or required grantee/subgrantee financial terms and conditions of the grant inability to attain program or project and narrative reports. Personnel and provide otherwise. goals, or to establish procedures that payroll records shall include the time will minimize the time elapsing and attendance reports for all 3. Registration and Tuition Fees between cash advances and individuals reimbursed under a grant, Registration and tuition fees may be disbursements, or is unable to adhere to subgrant or contract, whether they are considered as cash match with the prior guideline requirements or special employed full-time or part-time. Time written approval of the Institute. conditions; and effort reports are required for Estimates of registration and tuition (2) Engages in the improper award consultants. fees, and any expenses to be offset by and administration of subgrants or 2. Retention Period the fees, should be included in the contracts; or application budget forms and narrative. The three-year retention period starts (3) Is unable to submit reliable and/ from the date of the submission of the 4. Income From the Sale of Grant or timely reports; the Institute may final expenditure report. Products terminate advance financing and require the grantee organization to finance its 3. Maintenance If the sale of products occurs during operations with its own working capital. the project period, the income may be Grantees and subgrantees are Payments to the grantee shall then be treated as cash match with the prior expected to see that records of different made by U.S. Treasury check or EFT to written approval of the Institute. The fiscal years are separately identified and reimburse the grantee for actual cash costs and income generated by the sales maintained so that requested disbursements. In the event the grantee must be reported on the Quarterly information can be readily located. continues to be deficient, the Institute Financial Status Reports and Grantees and subgrantees are also may suspend reimbursement payments documented in an auditable manner. obligated to protect records adequately until the deficiencies are corrected. In Whenever possible, the intent to sell a against fire or other damage. When extreme cases, grants may be product should be disclosed in the records are stored away from the terminated. application or reported to the Institute grantee’s/subgrantee’s principal office, a c. Principle of Minimum Cash on in writing once a decision to sell written index of the location of stored Hand. Grantees should request funds products has been made. The grantee records should be on hand, and ready based upon immediate disbursement must request approval to recover its access should be assured. requirements. Grantees should time product development, reproduction, their requests to ensure that cash on 4. Access and dissemination costs as specified in hand is the minimum needed for Grantees and subgrantees must give section VI.A.11.b. disbursements to be made immediately any authorized representative of the 5. Other or within a few days. Institute access to and the right to Other project income shall be treated 2. Financial Reporting examine all records, books, papers, and in accordance with disposition documents related to an Institute grant. a. General Requirements. To obtain instructions set forth in the grant’s terms financial information concerning the G. Project-Related Income and conditions. use of funds, the Institute requires that Records of the receipt and disposition H. Payments and Financial Reporting grantees/subgrantees submit timely of project-related income must be Requirements reports for review. maintained by the grantee in the same b. Due Dates and Contents. A manner as required for the project funds 1. Payment of Grant Funds Financial Status Report is required from that gave rise to the income and must be The procedures and regulations set all grantees, other than scholarship reported to the Institute (see subsection forth below are applicable to all recipients, for each active quarter on a H.2. below). The policies governing the Institute grant funds and grantees. calendar-quarter basis. This report is disposition of the various types of due within 30 days after the close of the a. Request for Advance or project-related income are listed below. calendar quarter. It is designed to Reimbursement of Funds provide financial information relating to 1. Interest Grantees will receive funds on a U.S. Institute funds, State and local matching A State and any agency or Treasury ‘‘check-issued’’ or electronic shares, project income, and any other instrumentality of a State, including funds transfer (EFT) basis. Upon receipt, sources of funds for the project, as well institutions of higher education and review, and approval of a Request for as information on obligations and hospitals, shall not be held accountable Advance or Reimbursement by the outlays. A copy of the Financial Status for interest earned on advances of Institute, payment will be issued Report, along with instructions for its project funds. When funds are awarded directly to the grantee or its designated preparation, is included in each official to subgrantees through a State, the fiscal agent. A request must be limited Institute Award package. If a grantee subgrantees are not held accountable for to the grantee’s immediate cash needs. requests substantial payments for a interest earned on advances of project The Request for Advance or project prior to the completion of a funds. Local units of government and Reimbursement Form R, along with the given quarter, the Institute may request
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a brief summary of the amount may not be used to cover the J. Procurement and Property requested, by object class, to support the transportation or per diem costs of a Management Standards Request for Advance or Reimbursement. member of a national organization to 1. Procurement Standards attend an annual or other regular 3. Consequences of Non-Compliance For State and local governments, the With Submission Requirement meeting, or conference of that organization. Institute has adopted the standards set Failure of the grantee to submit forth in Attachment O of OMB Circular required financial and progress reports 4. Indirect Costs A–102. Institutions of higher education, may result in suspension or termination hospitals, and other non-profit of grant payments. These are costs of an organization that organizations will be governed by the are not readily assignable to a particular standards set forth in Attachment O of I. Allowability of Costs project but are necessary to the OMB Circular A–110. 1. General operation of the organization and the performance of the project. The cost of 2. Property Management Standards Except as may be otherwise provided operating and maintaining facilities, The property management standards in the conditions of a particular grant, depreciation, and administrative as prescribed in Attachment N of OMB cost allowability is determined in salaries are examples of the types of Circulars A–102 and A–110 apply to all accordance with the principles set forth costs that are usually treated as indirect Institute grantees and subgrantees in OMB Circulars A–21, Cost Principles costs. Although the Institute’s policy except as provided in section VI.A.18. Applicable to Grants and Contracts with requires all costs to be budgeted All grantees/subgrantees are required to Educational Institutions; A–87, Cost directly, it will accept indirect costs if be prudent in the acquisition and Principles for State and Local a grantee has an indirect cost rate management of property with grant Governments; and A–122, Cost approved by a Federal agency as set funds. If suitable property required for Principles for Non-profit Organizations. No costs may be recovered to forth below. However, recoverable the successful execution of projects is liquidate obligations incurred after the indirect costs are limited to no more already available within the grantee or approved grant period. Circulars may be than 75 percent of a grantee’s direct subgrantee organization, expenditures of obtained on the OMB Web site at personnel costs (salaries plus fringe grant funds for the acquisition of new property will be considered http://www.whitehouse.gov/omb. benefits). unnecessary. a. Approved Plan Available. 2. Costs Requiring Prior Approval (1) A copy of an indirect cost rate K. Audit Requirements a. Pre-agreement Costs. The written agreement or allocation plan approved prior approval of the Institute is 1. Implementation for a grantee during the preceding two required for costs considered necessary Each recipient of a Project Grant must but which occur prior to the start date years by any Federal granting agency on provide for an annual fiscal audit. This of the project period. the basis of allocation methods requirement also applies to a State or b. Equipment. Grant funds may be substantially in accord with those set local court receiving a subgrant from the used to purchase or lease only that forth in the applicable cost circulars State Supreme Court. The audit may be equipment essential to accomplishing must be submitted to the Institute. of the entire grantee or subgrantee the goals and objectives of the project. (2) Where flat rates are accepted in organization or of the specific project The written prior approval of the lieu of actual indirect costs, grantees funded by the Institute. Audits Institute is required when the amount of may not also charge expenses normally conducted in accordance with the automated data processing (ADP) included in overhead pools, e.g., Single Audit Act of 1984 and OMB equipment to be purchased or leased accounting services, legal services, Circular A–133, will satisfy the exceeds $10,000 or software to be building occupancy and maintenance, requirement for an annual fiscal audit. purchased exceeds $3,000. etc., as direct costs. The audit must be conducted by an c. Consultants. The written prior b. Establishment of Indirect Cost independent Certified Public approval of the Institute is required Rates. To be reimbursed for indirect Accountant, or a State or local agency when the rate of compensation to be costs, a grantee must first establish an authorized to audit government paid a consultant exceeds $800 a day. appropriate indirect cost rate. To do agencies. Grantees must send two copies Institute funds may not be used to pay this, the grantee must prepare an of the audit report to the Institute. a consultant more than $1,100 per day. indirect cost rate proposal and submit it Grantees that receive funds from a d. Budget Revisions. Budget revisions to the Institute within three months Federal agency and satisfy audit among direct cost categories that (i) after the start of the grant period to requirements of the cognizant Federal transfer grant funds to an unbudgeted assure recovery of the full amount of agency must submit two copies of the cost category or (ii) individually or allowable indirect costs. The rate must audit report prepared for that Federal cumulatively exceed five percent (5%) agency to the Institute in order to satisfy be developed in accordance with of the approved original budget or the the provisions of this section. principles and procedures appropriate most recently approved revised budget to the type of grantee institution 2. Resolution and Clearance of Audit require prior Institute approval (see involved as specified in the applicable Reports section VIII.A.1.). OMB Circular. Timely action on recommendations 3. Travel Costs c. No Approved Plan. If an indirect by responsible management officials is Transportation and per diem rates cost proposal for recovery of indirect an integral part of the effectiveness of an must comply with the policies of the costs is not submitted to the Institute audit. Each grantee must have policies grantee. If the grantee does not have an within three months after the start of the and procedures for acting on audit established written travel policy, then grant period, indirect costs will be recommendations by designating travel rates must be consistent with irrevocably disallowed for all months officials responsible for: (1) Follow-up, those established by the Institute or the prior to the month that the indirect cost (2) maintaining a record of the actions Federal Government. Institute funds proposal is received. taken on recommendations and time
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schedules, (3) responding to and acting close-out period to assure completion of 11. A transfer of the grant to another on audit recommendations, and (4) the grantee’s close-out requirements. recipient. submitting periodic reports to the Requests for an extension must be 12. Preagreement costs (see section Institute on recommendations and submitted at least 14 days before the VII.I.2.a.). actions taken. end of the close-out period and must 13. The purchase of automated data processing equipment and software (see 3. Consequences of Non-Resolution of explain why the extension is necessary section VII.I.2.b.). Audit Issues and what steps will be taken to assure that all the grantee’s responsibilities 14. Consultant rates (see section Ordinarily, the Institute will not make will be met by the end of the extension VII.I.2.c.). a subsequent grant award to an period. 15. A change in the nature or number applicant that has an unresolved audit of the products to be prepared or the report involving Institute awards. VIII. Grant Adjustments manner in which a product would be Failure of the grantee to resolve audit All requests for programmatic or distributed. questions may also result in the budgetary adjustments requiring B. Requests for Grant Adjustments suspension or termination of payments Institute approval must be submitted by for active Institute grants to that the project director in a timely manner All grantees must promptly notify organization. (ordinarily 30 days prior to the their SJI program managers, in writing, L. Close-Out of Grants implementation of the adjustment being of events or proposed changes that may requested). All requests for changes require adjustments to the approved 1. Grantee Close-Out Requirements from the approved application will be project design. In requesting an Within 90 days after the end date of carefully reviewed for both consistency adjustment, the grantee must set forth the grant or any approved extension with this Guideline and the the reasons and basis for the proposed thereof (see subsection L.2. below), the enhancement of grant goals and adjustment and any other information following documents must be submitted objectives. Failure to submit the program manager determines would to the Institute by grantees (other than adjustments in a timely manner may help the Institute’s review. scholarship recipients): result in the termination of a grantee’s C. Notification of Approval/Disapproval a. Financial Status Report. The final award. report of expenditures must have no If the request is approved, the grantee A. Grant Adjustments Requiring Prior unliquidated obligations and must will be sent a Grant Adjustment signed indicate the exact balance of Written Approval by the Executive Director or his or her unobligated funds. Any unobligated/ The following grant adjustments designee. If the request is denied, the unexpended funds will be deobligated require the prior written approval of the grantee will be sent a written from the award by the Institute. Final Institute: explanation of the reasons for the payment requests for obligations 1. Budget revisions among direct cost denial. incurred during the award period must categories that (a) transfer grant funds to D. Changes in the Scope of the Grant be submitted to the Institute prior to the an unbudgeted cost category or (b) end of the 90-day close-out period. individually or cumulatively exceed Major changes in scope, duration, Grantees who have drawn down funds five percent (5%) of the approved training methodology, or other in excess of their obligations/ original budget or the most recently significant areas must be approved in expenditures, must return any unused approved revised budget (see section advance by the Institute. A grantee may funds as soon as it is determined that VII.I.2.d.). make minor changes in methodology, the funds are not required. In no 2. A change in the scope of work to approach, or other aspects of the grant instance should any unused funds be performed or the objectives of the to expedite achievement of the grant’s remain with the grantee beyond the project (see subsection D. below). objectives with subsequent notification submission date of the final Financial 3. A change in the project site. of the SJI program manager. 4. A change in the project period, Status Report. E. Date Changes b. Final Progress Report. This report such as an extension of the grant period should describe the project activities and/or extension of the final financial or A request to change or extend the during the final calendar quarter of the progress report deadline (see subsection grant period must be made at least 30 project and the close-out period, E. below). days in advance of the end date of the including to whom project products 5. Satisfaction of special conditions, if grant. A revised task plan should have been disseminated; provide a required. accompany a request for an extension of summary of activities during the entire 6. A change in or temporary absence the grant period, along with a revised project; specify whether all the of the project director (see subsections budget if shifts among budget categories objectives set forth in the approved F. and G. below). will be needed. A request to change or application or an approved adjustment 7. The assignment of an employee or extend the deadline for the final have been met and, if any of the consultant to a key staff position whose financial report or final progress report objectives have not been met, explain qualifications were not described in the must be made at least 14 days in why not; and discuss what, if anything, application, or a change of a person advance of the report deadline (see could have been done differently that assigned to a key project staff position section VII.L.2.). (see section VI.A.2.). might have enhanced the impact of the F. Temporary Absence of the Project 8. A change in or temporary absence project or improved its operation. Director These reporting requirements apply at of the person responsible for managing the conclusion of every grant other than and reporting on the grant’s finances. Whenever an absence of the project a scholarship. 9. A change in the name of the grantee director is expected to exceed a organization. continuous period of one month, the 2. Extension of Close-out Period 10. A transfer or contracting out of plans for the conduct of the project Upon the written request of the grant-supported activities (see director’s duties during such absence grantee, the Institute may extend the subsection H. below). must be approved in advance by the
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Institute. This information must be Terrence B. Adamson, Esq., Executive Connecticut provided in a letter signed by an Vice President, The National State Library authorized representative of the grantee/ Geographic Society, Washington, DC. Ms. Denise D. Jernigan, Law Librarian, subgrantee at least 30 days before the Robert N. Baldwin, Executive Vice Connecticut State Library, 231 Capitol departure of the project director, or as President and General Counsel, National Avenue, Hartford, CT 06106, (860) 757– soon as it is known that the project Center for State Courts, Richmond, VA. 6598, [email protected]. director will be absent. The grant may Delaware be terminated if arrangements are not Carlos R. Garza, Esq., Administrative Administrative Office of the Courts approved in advance by the Institute. Judge (ret.), Round Rock, TX. Sophia H. Hall, Administrative Mr. Michael E. McLaughlin, Deputy Director, G. Withdrawal of/Change in Project Presiding Judge, Circuit Court of Cook Administrative Office of the Courts, Carvel Director State Office Building, 820 North French County, Chicago, IL. Street, 11th Floor, P.O. Box 8911, If the project director relinquishes or Tommy Jewell, Presiding Children’s Wilmington, DE 19801, (302) 577–8481, expects to relinquish active direction of Court Judge (ret.), Albuquerque, NM. [email protected]. the project, the Institute must be notified immediately. In such cases, if Arthur A. McGiverin, Chief Justice District of Columbia the grantee/subgrantee wishes to (ret.), Albuquerque, NM. Executive Office, District of Columbia Courts terminate the project, the Institute will Janice T. Munsterman, Executive Ms. Anne B. Wicks, Executive Officer, forward procedural instructions upon Director (ex officio). District of Columbia Courts, 500 Indiana notification of such intent. If the grantee Avenue, NW., Suite 1500, Washington, DC wishes to continue the project under the Janice Munsterman, 20001, (202) 879–1700, [email protected]. direction of another individual, a Executive Director. Florida statement of the candidate’s Appendix A—SJI Libraries: Designated Administrative Office of the Courts qualifications should be sent to the Sites and Contacts Ms. Elisabeth H. Goodner, State Courts Institute for review and approval. The Alabama Administrator, Office of the State Courts grant may be terminated if the Administrator, Florida Supreme Court, qualifications of the proposed Supreme Court Library Supreme Court Building, 500 South Duval individual are not approved in advance Mr. Timothy A. Lewis, State Law Librarian, Street, Tallahassee, FL 32399, (850) 922– by the Institute. Alabama Supreme Court, Judicial Building, 5081, [email protected]. 300 Dexter Avenue, Montgomery, AL Georgia H. Transferring or Contracting Out of 36104, (334) 242–4347, Grant-Supported Activities [email protected]. Administrative Office of the Courts Mr. David Ratley, Director, Administrative No principal activity of a grant- Alaska supported project may be transferred or Office of the Courts, 244 Washington contracted out to another organization Anchorage Law Library Street, SW., Suite 300, Atlanta, GA 30334, (404) 656–5171, [email protected]. without specific prior approval by the Ms. Cynthia S. Fellows, State Law Librarian, Institute. All such arrangements must be Alaska State Court Law Library, 303 K Hawaii formalized in a contract or other written Street, Anchorage, AK 99501, (907) 264– Supreme Court Library 0583, [email protected]. agreement between the parties involved. Ms. Ann Koto, State Law Librarian, The Copies of the proposed contract or Arizona Supreme Court Law Library, 417 South agreement must be submitted for prior Supreme Court Library King St., Room 119, Honolulu, HI 96813, approval of the Institute at the earliest (808) 539–4964, Ms. Lani Orosco, Staff Assistant, Arizona [email protected]. possible time. The contract or agreement Supreme Court, Staff Attorney’s Office must state, at a minimum, the activities Library, 1501 W. Washington, Suite 445, Idaho to be performed, the time schedule, the Phoenix, AZ 85007, (602) 542–5028, AOC Judicial Education Library/State Law policies and procedures to be followed, [email protected]. Library the dollar limitation of the agreement, Arkansas Mr. Richard Visser, State Law Librarian, and the cost principles to be followed in Idaho State Law Library, Supreme Court Administrative Office of the Courts determining what costs, both direct and Building, 451 West State St., Boise, ID indirect, will be allowed. The contract Mr. James D. Gingerich, Director, 83720, (208) 334–3316, or other written agreement must not Administrative Office of the Courts, [email protected]. affect the grantee’s overall responsibility Supreme Court of Arkansas, Justice Illinois for the direction of the project and Building, 625 Marshall Street, Little Rock, accountability to the Institute. AR 72201, (501) 682–9400, Supreme Court Library [email protected]. Ms. Brenda Larison, Supreme Court of State Justice Institute Board of California Illinois Library, 200 East Capitol Avenue, Directors Springfield, IL 62701–1791, (217) 782– Administrative Office of the Courts Robert A. Miller, Chairman, Chief 2425, [email protected]. Mr. William C. Vickrey, Administrative Justice (ret.), Supreme Court of South Indiana Director of the Courts, Administrative Dakota, Pierre, SD. Office of the Courts, 455 Golden Gate Supreme Court Library Joseph F. Baca, Vice Chairman, Chief Avenue, San Francisco, CA 94102, (415) Ms. Terri L. Ross, Supreme Court Librarian, Justice (ret.), New Mexico Supreme 865–4235, [email protected]. Supreme Court Library, State House, Room Court, Albuquerque, NM. 316, Indianapolis, IN 46204, (317) 232– Colorado Sandra A. O’Connor, Secretary, States 2557, [email protected]. Attorney of Baltimore County, (ret.), Supreme Court Library Iowa Towson, MD. Ms. Linda Gruenthal, Deputy Supreme Court Keith McNamara, Esq., Executive Law Librarian, 2 East 14th Avenue, Denver, Administrative Office of the Court Committee Member, McNamara & CO 80203, (303) 837–3720, Dr. Jerry K. Beatty, Director of Judicial McNamara, Columbus, OH. [email protected]. Branch Education, Iowa Judicial Branch,
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Iowa Judicial Branch Building, 1111 East Montana 502165, Saipan, MP 96950, (670) 235– Court Avenue, Des Moines, IA 50319, (515) State Law Library 9700, [email protected]. 242–0190, [email protected]. Ms. Judith Meadows, State Law Librarian, Ohio Kansas State Law Library of Montana, P.O. Box Supreme Court Library 203004, Helena, MT 59620, (406) 444– Supreme Court Library 3660, [email protected]. Mr. Ken Kozlowski, Director, Law Library, Mr. Fred Knecht, Law Librarian, Kansas Supreme Court of Ohio, 65 South Front Supreme Court Library, Kansas Judicial Nebraska Street, 11th Floor, Columbus, OH 43215– Center, 301 SW. 10th Avenue, Topeka, KS Administrative Office of the Courts 3431, (614) 387–9666, 66612, (785) 296–3257, Mr. Philip D. Gould, Director, Judicial [email protected]. [email protected]. Branch Education, Administrative Office of Oklahoma the Courts/Probation, 521 South 14th St., Kentucky Administrative Office of the Courts Suite 200, Lincoln, NE 68508–2707, (402) State Law Library 471–3072 (office)/(402) 471–3071 (fax), Mr. Michael D. Evans, State Court Ms. Vida Vitagliano, Cataloging and Research [email protected]. Administrator, Administrative Office of the Librarian, Kentucky Supreme Court Courts, 1915 North Stiles Avenue, Suite Nevada 305, Oklahoma City, OK 73105, (405) 521– Library, 700 Capitol Avenue, Suite 200, Ms. Kathleen Harrington, Law Librarian, 2450, [email protected]. Frankfort, KY 40601, (502) 564–4185, Nevada Supreme Court Law Library, 201 S. [email protected]. Carson Street, Suite 100, Carson City, Oregon Louisiana Nevada 89701–4702, (775) 684–1715. Administrative Office of the Courts State Law Library New Hampshire Ms. Kingsley W. Click, State Court Administrator, Oregon Judicial New Hampshire Law Library Ms. Carol Billings, Director, Louisiana Law Department, Supreme Court Building, 1163 Library, Louisiana Supreme Court Ms. Mary Searles, Technical Services Law State Street, Salem, OR 97301, (503) 986– Building, 400 Royal Street, New Orleans, Librarian, New Hampshire Law Library, 5500, [email protected]. LA 70130, (504) 310–2401, Supreme Court Building, One Noble Drive, [email protected]. Concord, NH 03301–6160, (603) 271–3777, Pennsylvania [email protected]. State Library of Pennsylvania Maine New Jersey Ms. Kathleen Kline, Collection Management State Law and Legislative Reference Library New Jersey State Library Librarian, State Library of Pennsylvania, Ms. Lynn E. Randall, State Law Librarian, 43 Bureau of State Library, 333 Market Street, State House Station, Augusta, ME 04333, Mr. Thomas O’Malley, Supervising Law Harrisburg, PA 17126–1745, (717) 787– (207) 287–1600, Librarian, New Jersey State Law Library, 5718, [email protected]. [email protected]. 185 West State Street, P.O. Box 520, Trenton, NJ 08625–0250, (609) 292–6230, Puerto Rico Maryland [email protected]. Office of Court Administration State Law Library New Mexico Alfredo Rivera-Mendoza, Esq., Director, Area Mr. Steve Anderson, Director, Maryland State Supreme Court Library of Planning and Management, Office of Court Administration, P.O. Box 917, Hato Law Library, Court of Appeal Building, 361 Mr. Thaddeus Bejnar, Librarian, Supreme Rey, PR 00919. Rowe Boulevard, Annapolis, MD 21401, Court Library, Post Office Drawer L, Santa (410) 260–1430, Fe, NM 87504, (505) 827–4850. Rhode Island [email protected]. New York Roger Williams University Massachusetts Supreme Court Library Ms. Gail Winson, Director of Law Library/ Middlesex Law Library Ms. Barbara Briggs, Law Librarian, Syracuse Associate Professor of Law, Roger Williams Ms. Linda Hom, Librarian, Middlesex Law Supreme Court Law Library, 401 University, School of Law Library, 10 Library, Superior Court House, 40 Montgomery Street, Syracuse, NY 13202, Metacom Avenue, Bristol, RI 02809, (401) Thorndike Street, Cambridge, MA 02141, (315) 671–1150, [email protected]. 254–4531, [email protected]. (617) 494–4148, [email protected]. North Carolina South Carolina Michigan Supreme Court Library Coleman Karesh Law Library (University of South Carolina School of Law) Michigan Judicial Institute Mr. Thomas P. Davis, Librarian, North Mr. Steve Hinckley, Director, Coleman Dawn F. McCarty, Director, Michigan Judicial Carolina Supreme Court Library, 500 Karesh Law Library, University of South Institute, P.O. Box 30205, Lansing, MI Justice Building, 2 East Morgan Street, Carolina, Main and Green Streets, 48909, (517) 373–7509, Raleigh, NC 27601, (919) 733–3425, [email protected]. Columbia, SC 29208, (803) 777–5944, [email protected]. [email protected]. North Dakota Minnesota South Dakota Supreme Court Library State Law Library (Minnesota Judicial Center) State Law Library Ms. Marcella Kramer, Assistant Law Ms. Barbara L. Golden, State Law Librarian, Librarian, Supreme Court Law Library, 600 Librarian, South Dakota State Law Library, G25, Minnesota Judicial Center, 25 Rev. Dr. East Boulevard Avenue, Dept. 182, 2nd 500 East Capitol, Pierre, South Dakota Martin Luther King Jr. Boulevard, St. Paul, Floor Judicial Wing, Bismarck, ND 58505– 57501, (605) 773–4898, MN 55155, (612) 297–2089, 0540, (701) 328–2229, [email protected]. [email protected]. [email protected]. Tennessee Mississippi Northern Mariana Islands Tennessee State Law Library Mississippi Judicial College Supreme Court of the Northern Mariana Hon. Cornelia A. Clark, Executive Director, Hon. Leslie G. Johnson, Executive Director, Islands Administrative Office of the Courts, 511 Mississippi Judicial College, P.O. Box Ms. Margarita M. Palacios, Director of Courts, Union Street, Suite 600, Nashville, TN 8850, University, MS 38677, (662) 915– Supreme Court of the Commonwealth of 37219, (615) 741–2687, 5955, [email protected]. the Northern Mariana Islands, P.O. Box [email protected].
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Texas Virginia Madison, WI 53703, (608) 261–2340, State Law Library Administrative Office of the Courts [email protected]. Mr. Marcelino A. Estrada, Director, State Law Ms. Gail Warren, State Law Librarian, Wyoming Library, P.O. Box 12367, Austin, TX 78711, Virginia State Law Library, Supreme Court Wyoming State Law Library (512) 463–1722, of Virginia, 100 North Ninth Street, 2nd [email protected]. Floor, Richmond, VA 23219–2335, (804) Ms. Kathy Carlson, Law Librarian, Wyoming 786–2075, [email protected]. State Law Library, Supreme Court U.S. Virgin Islands Building, 2301 Capitol Avenue, Cheyenne, Library of the Territorial Court of the Virgin Washington WY 82002, (307) 777–7509, Islands (St. Thomas) Washington State Law Library [email protected]. Librarian, The Library, Territorial Court of Ms. Kay Newman, State Law Librarian, National the Virgin Islands, Post Office Box 70, Washington State Law Library, Temple of American Judicature Society Charlotte Amalie, St. Thomas, Virgin Justice, P.O. Box 40751, Olympia, WA Islands 00804. 98504–0751, (360) 357–2136, Ms. Deborah Sulzbach, Acquisitions [email protected]. Librarian, Drake University, Law Library, Utah Opperman Hall, 2507 University Avenue, Utah State Judicial Administration Library West Virginia Des Moines, IA 50311–4505, (515) 271– Ms. Jessica Van Buren, Utah State Library, Supreme Court of Appeals Library 3784, [email protected]. 450 South State Street, P.O. Box 140220, Ms. Kaye Maerz, State Law Librarian, West National Center for State Courts Salt Lake City, UT 84114–0220, (801) 238– Virginia Supreme Court of Appeals Ms. Joan Cochet, Library Specialist, National 7991, [email protected]. Library, 1900 Kanawha Boulevard East, Center for State Courts, 300 Newport Building 1, Room E–404, Charleston, WV Vermont Avenue, Williamsburg, VA 23185–4147, 25305, (304) 558–2607, (757) 259–1826, [email protected]. Supreme Court of Vermont [email protected]. National Judicial College Mr. Paul J. Donovan, Law Librarian, Vermont Wisconsin Department of Libraries, 109 State Street, Mr. Randall Snyder, Law Librarian, National Pavilion Office Building, Montpelier, VT State Law Library Judicial College, Judicial College Building 05609, (802) 828–3268, Ms. Jane Colwin, State Law Librarian, State MS 358, Reno, NV 89557, (775) 327–8278, [email protected]. Law Library, 120 M.L.K. Jr. Boulevard, [email protected].
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[FR Doc. E8–24858 Filed 10–22–08; 8:45 am] BILLING CODE 6820–SC–P
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Part IV
Department of Agriculture Office of Energy Policy and New Uses 7 CFR Part 2902 Designation of Biobased Items for Federal Procurement; Proposed Rule
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DEPARTMENT OF AGRICULTURE Washington, DC 20250–0103; e-mail: Once USDA designates an item, [email protected]; phone (202) procuring agencies are required Office of Energy Policy and New Uses 205–4008. Information regarding the generally to purchase biobased products Federal Procurement of Biobased within these designated items where the 7 CFR Part 2902 Products (one part of the BioPreferred purchase price of the procurement item RIN 0503–AA33 Program) is available on the Internet at exceeds $10,000 or where the quantity http://www.biopreferred.gov. of such items or the functionally Designation of Biobased Items for SUPPLEMENTARY INFORMATION: The equivalent items purchased over the Federal Procurement information presented in this preamble preceding fiscal year equaled $10,000 or is organized as follows: more. Procuring agencies must procure AGENCY: Departmental Administration, biobased products within each USDA. I. Authority II. Background designated item unless they determine ACTION: Notice of proposed rulemaking. III. Summary of Today’s Proposed Rule that products within a designated item IV. Designation of Items, Minimum Biobased are not reasonably available within a SUMMARY: The U.S. Department of Contents, and Time Frame reasonable period of time, fail to meet Agriculture (USDA) is proposing to A. Background the reasonable performance standards of amend the Guidelines for Designating B. Items Proposed for Designation the procuring agencies, or are available Biobased Products for Federal C. Minimum Biobased Contents only at an unreasonable price. As stated Procurement, by adding nine sections to D. Compliance Date for Procurement in the Guidelines, biobased products Preference and Incorporation Into designate the following nine items that are merely incidental to Federal within which biobased products would Specifications V. Where Can Agencies Get More Information funding are excluded from the preferred be afforded Federal procurement on These USDA-Designated Items? procurement program; that is, the preference: Chain and cable lubricants; VI. Regulatory Information requirements to purchase biobased corrosion preventatives; food cleaners; A. Executive Order 12866: Regulatory products do not apply to such purchases forming lubricants; gear lubricants; Planning and Review if they are unrelated to or incidental to general purpose household cleaners; B. Regulatory Flexibility Act (RFA) the purpose of the Federal contract. To industrial cleaners; multipurpose C. Executive Order 12630: Governmental illustrate, you are awarded a Federal cleaners; and parts wash solutions. Actions and Interference With Constitutionally Protected Property contract to construct a Federal office USDA also is proposing minimum Rights building with elevators. The elevators biobased content for each of these items. D. Executive Order 12988: Civil Justice require hydraulic fluid to operate. DATES: USDA will accept public Reform Because stationary equipment hydraulic comments on this proposed rule until E. Executive Order 13132: Federalism fluids are an item that has been December 22, 2008. F. Unfunded Mandates Reform Act of 1995 designated for preferred procurement, G. Executive Order 12372: the hydraulic fluid purchased for use in ADDRESSES: You may submit comments Intergovernmental Review of Federal by any of the following methods. All the elevators would be subject to the Programs requirements of section 9002. In order to submissions received must include the H. Executive Order 13175: Consultation agency name and Regulatory and Coordination With Indian Tribal install these elevators, cranes may be Information Number (RIN). The RIN for Governments used. These cranes require hydraulic this rulemaking is 0503–AA33. Also, I. Paperwork Reduction Act fluid to operate. The hydraulic fluid please identify submittals as pertaining J. Government Paperwork Elimination Act purchased for the maintenance of these to the ‘‘Proposed Designation of Items.’’ Compliance cranes used in the performance of that contract, however, is considered to be • Federal eRulemaking Portal: http:// I. Authority incidental to the purpose of the Federal www.regulations.gov. Follow the The designation of these items is instructions for submitting comments. contract. Because it is incidental, it • proposed under the authority of section would not be subject to the E-mail: [email protected]. 9002 of the Farm Security and Rural Include RIN number 0503–AA33 and requirements of section 9002, even Investment Act of 2002 (FSRIA), as though some of the monies received ‘‘Proposed Designation of Items’’ on the amended by the Food, Conservation, under the contract might be used to subject line. Please include your name and Energy Act of 2008 (FCEA), 7 U.S.C. purchase the hydraulic fluid used in the and address in your message. • 8102 (referred to in this document as cranes. Mail/commercial/hand delivery: ‘‘section 9002’’). In implementing the preferred Mail or deliver your comments to: procurement program for biobased II. Background Shana Love, USDA, Office of the products, procuring agencies should Assistant Secretary for Administration, Section 9002, as amended by the follow their procurement rules and Room 209A, Whitten Building, 1400 FCEA of 2008, provides for the preferred Office of Federal Procurement Policy Independence Avenue, SW., procurement of biobased products by guidance on buying non-biobased Washington, DC 20250–0103. Federal procuring agencies (referred to • products when biobased products exist Persons with disabilities who hereafter in this FR notice as the and should document exceptions taken require alternative means for ‘‘preferred procurement program’’). The for price, performance, and availability. communication for regulatory definition of ‘‘procuring agency’’ in USDA recognizes that the information (Braille, large print, section 9002, as amended by the FCEA performance needs for a given audiotape, etc.) should contact the of 2008, includes both Federal agencies application are important criteria in USDA TARGET Center at (202) 720– and ‘‘a person that is a party to a making procurement decisions. USDA is 2600 (voice) and (202) 401–4133 (TDD). contract with any Federal agency, with not requiring procuring agencies to limit FOR FURTHER INFORMATION CONTACT: respect to work performed under such a their choices to biobased products that Shana Love, USDA, Office of the contract.’’ Thus, Federal contractors, as fall under the items for designation in Assistant Secretary for Administration, well as Federal agencies, are expressly this proposed rule. Rather, the effect of Room 209A, Whitten Building, 1400 subject to the procurement preference the designation of the items is to require Independence Avenue, SW., provisions of section 9002. procuring agencies to determine their
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performance needs, determine whether either designate the item without Resource Conservation and Recovery there are qualified biobased products creating subcategories (i.e., defer the Act (RCRA) Section 6002. Some of the that fall under the designated items that creation of subcategories) or designate products that are biobased items meet the reasonable performance one subcategory and defer designation designated for preferred procurement standards for those needs, and purchase of other subcategories within the item under the preferred procurement such qualified biobased products to the until additional information is obtained. program may also be items the maximum extent practicable as required Within today’s proposed rule, USDA Environmental Protection Agency (EPA) by section 9002. is not proposing subcategories for any of has designated under the EPA’s Section 9002(a)(3)(B), as amended by the nine items being proposed for Comprehensive Procurement Guideline the FCEA of 2008, requires USDA to designation, but is requesting specific (CPG) for Products Containing provide information to procuring comments on the appropriateness of Recovered Materials. Where that occurs, agencies on the availability, relative creating subcategories within several an EPA-designated recovered content price, performance, and environmental items. product (also known as ‘‘recycled and public health benefits of such items Minimum Biobased Contents. The content products’’ or ‘‘EPA-designated and to recommend where appropriate minimum biobased contents being products’’) has priority in Federal the minimum level of biobased content proposed with today’s rule are based on procurement over the qualifying to be contained in the procured products for which USDA has biobased biobased product as identified in 7 CFR products. content test data. In addition to § 2902.2. In situations where it believes It is the responsibility of the considering the biobased content test there may be an overlap, USDA is manufacturers to ‘‘self-certify’’ that each data for each item, USDA also considers asking manufacturers of qualifying product being offered as a biobased other factors including product biobased products to provide additional product for preferred procurement performance information and the range, product and performance information to contains qualifying feedstock. USDA groupings, and breaks in the biobased Federal agencies to assist them in will develop a monitoring process for content test data array. Consideration of determining whether the biobased these self-certifications to ensure this information allows USDA to products in question are, or are not, the manufacturers are using qualifying establish minimum biobased contents same products for the same uses as the feedstocks. If misrepresentations are on a broad set of factors to assist the recovered content products. As this found, USDA will remove the subject Federal procurement community in its information becomes available, USDA biobased product from the preferred decisions to purchase biobased will place it on the BioPreferred Web procurement program and may take products. site with its catalog of qualifying USDA makes every effort to obtain further actions as deemed appropriate. biobased products. Subcategorization. Most of the items biobased content test data on multiple USDA is considering for designation for products within each item. For most In cases where USDA believes an preferred procurement cover a wide designated items, USDA has biobased overlap with EPA-designated recovered range of products. For some items, there content test data on more than one content products may occur, are groups of products within the item product within a designated item. manufacturers are being asked to that meet different markets and uses However, USDA must rely on biobased indicate the various suggested uses of and/or different performance product manufacturers to voluntarily their product and the performance specifications. For example, within the submit product information and, in standards against which a particular designated item ‘‘hand cleaners and some cases, USDA has been able to product has been tested. In addition, sanitizers,’’ some products are required obtain biobased content data for only a depending on the type of biobased to meet performance specifications for single product within a designated item. product, manufacturers are being asked sanitizing, while other products do not As USDA obtains additional data on the to provide other types of information, need to meet these specifications. biobased contents for products within such as whether the product contains Where such subgroups exist, USDA these designated items, USDA will fossil energy-based components intends to create subcategories. For evaluate whether the minimum (including petroleum, coal, and natural example, for the item ‘‘hand cleaners biobased content for a designated item gas) and whether the product contains and sanitizers,’’ USDA has determined will be revised. recovered materials. Federal agencies it is reasonable to create a ‘‘hand USDA anticipates that the minimum may also ask manufacturers for cleaner’’ subcategory and a ‘‘hand biobased content of an item that is based information on a product’s biobased sanitizer’’ subcategory. Sanitizing on a single product is more likely to content and its profile against specifications would be applicable to change as additional products within environmental and health measures and the latter subcategory, but not the that item are identified and tested. In life-cycle costs (the Building for former. In sum, USDA looks at the today’s proposed rule, none of the Environmental and Economic products within each item to evaluate minimum biobased contents for the Sustainability (BEES) analysis or ASTM whether there are groups of products designated items are based on a single Standard D7075,’’Standard Practice for within the item that meet different tested product. Evaluating and Reporting performance specifications and, where Where USDA receives additional Environmental Performance of Biobased USDA finds this type of difference, it information on biobased content for Products,’’ for evaluating and reporting intends to create subcategories. products within these proposed items on environmental performance of For some items, however, USDA may during the public comment period, biobased products). Such information not have sufficient information at the USDA will take that information into will permit agencies to determine time of proposal to create subcategories consideration when establishing the whether or not an overlap occurs. within an item. For example, USDA minimum biobased content when the Detailed information on the BEES may know that there are different items are designated in the final analytical tool can be found on the Web performance specifications that deicing rulemaking. site http://www.bfrl.nist.gov/oae/ products are required to meet, but it has Overlap with EPA’s Comprehensive software/bees.html. Summary only information on one type of deicing Procurement Guideline program for information on ASTM Standard D7075, product. In such instances, USDA may recovered content products under the and other ASTM standards, can be
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found on ASTM’s Web site at http:// Comprehensive Procurement Guideline atmosphere, whereas non-biobased www.astm.org. for Products Containing Recovered products derived from fossil fuels add Section 6002 of RCRA requires a Materials, and the Environmentally new, fossil carbon to the atmosphere. procuring agency procuring an item Preferable Products Program. The Office Manufacturers of qualifying biobased designated by EPA generally to procure of the Federal Environmental Executive products under the preferred such items composed of the highest (OFEE) and the Office of Management procurement program will be able to percentage of recovered materials and Budget (OMB) encourage agencies provide, at the request of Federal content practicable. However, a to implement these components agencies, factual information on procuring agency may decide not to comprehensively when purchasing environmental and human health effects procure such an item based on a products and services. of their products, including the results determination that the item fails to meet Procuring agencies should note that of the BEES analysis, which examines the reasonable performance standards or not all biobased products are 11 different environmental parameters, specifications of the procuring agency. ‘‘environmentally preferable.’’ For including human health, or the An item with recovered materials example, unless cleaning products comparable ASTM D7075. Therefore, content may not meet reasonable contain no or reduced levels of metals USDA encourages Federal procurement performance standards or specifications, and toxic and hazardous constituents, agencies to examine all available for example, if the use of the item with they can be harmful to aquatic life, the information on the environmental and recovered materials content would environment, and/or workers. human health effects of products when jeopardize the intended end use of the Household cleaning products that are making their purchasing decisions. item. formulated to be disinfectants are Other Preferred Procurement Where a biobased item is used for the required, under the Federal Insecticide, Programs. Federal procurement officials same purposes and to meet the same Fungicide and Rodenticide Act (FIFRA), should also note that biobased products Federal agency performance to be registered with EPA and must may be available for purchase by requirements as an EPA-designated meet specific labeling requirements Federal agencies through the AbilityOne recovered content product, the Federal warning of the potential risks associated Program (formerly known as the Javits- agency must purchase the recovered with misuse of such products. When Wagner-O’Day (JWOD) program). Under content product. For example, if a purchasing environmentally preferable this program, members of organizations biobased hydraulic fluid is to be used as cleaning products, many Federal including the National Industries for the a fluid in hydraulic systems and agencies specify that products must Blind (NIB) and the National Institute because ‘‘lubricating oils containing re- meet Green Seal standards 1 for for the Severely Handicapped (NISH) refined oil’’ has already been designated institutional cleaning products or that offer products and services for preferred by EPA for that purpose, then the products must have been reformulated procurement by Federal agencies. A Federal agency must purchase the EPA- in accordance with recommendations search of the AbilityOne Program’s designated recovered content product, from the U.S. EPA’s Design for the JWOD online catalog (http:// ‘‘lubricating oils containing re-refined Environment (DfE) program. Both the www.jwodcatalog.com) indicated that oil.’’ If, on the other hand, that biobased Green Seal standards and the DfE three of the items being proposed today hydraulic fluid is to be used to address program identify chemicals of concern (‘‘general purpose household cleaners’’, a Federal agency’s certain in cleaning products. These include ‘‘industrial cleaners’’, and environmental or health performance zinc and other metals, formaldehyde, ‘‘multipurpose cleaners’’) are available requirements that the EPA-designated ammonia, alkyl phenol ethoxylates, through the AbilityOne Program. While recovered content product would not ethylene glycol ethers, and volatile none of the specific products within meet, then the biobased product should organic compounds. In addition, both these items are identified in the JWOD be given preference, subject to cost, require that cleaning products have online catalog as being biobased availability, and performance. neutral or less caustic pH. products, there currently are biobased This proposed rule designates one On the other hand, some biobased cleaning products available from at least item for preferred procurement for products may be better for the one NIB affiliate. Also, because which there may be overlap with an environment than some products that additional categories of products are EPA-designated recovered content meet Green Seal standards for frequently added to the AbilityOne product. This item is ‘‘gear lubricants,’’ institutional cleaning products or that Program, it is possible that biobased which, depending on how they are have been reformulated in accordance products within other items being used, may overlap with the EPA- with EPA’s DfE program. To fully proposed for designation today may be designated recovered content product compare products, one must look at the available through the AbilityOne ‘‘Re-refined Lubricating Oils.’’ EPA ‘‘cradle-to-grave’’ impacts of the Program in the future. Procurement of provides recovered materials content manufacture, use, and disposal of biobased products through the recommendations for this recovered products. Biobased products that will be AbilityOne Program would further the content product in a Recovered available for preferred procurement objectives of both the AbilityOne Materials Advisory Notice (RMAN I). under this program have been assessed Program and the preferred procurement The RMAN recommendations for this as to their ‘‘cradle-to-grave’’ impacts. program. CPG product can be found by accessing One consideration of a product’s Interagency Council. USDA has EPA’s Web site http://www.epa.gov/ impact on the environment is whether created, and is chairing, an ‘‘interagency epaoswer/non-hw/procure/ (and to what degree) it introduces new, council’’ with membership selected products.htm and then clicking on the fossil carbon into the atmosphere. from among Federal stakeholders to the appropriate product name. Qualifying biobased products offer the preferred procurement program. To Federal Government Purchase of user the opportunity to manage the augment its own research, USDA ‘‘Green’’ Products. Three components of carbon cycle and limit the introduction consults with this council in identifying the Federal government’s green of new, fossil carbon into the the order of item designation, purchasing program are the Biobased manufacturers producing and marketing Products Preferred Purchasing Program, 1 Reference to these standards does not represent products that fall within an item the Environmental Protection Agency’s or imply any endorsement by USDA. proposed for designation, performance
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standards used by Federal agencies submit products for testing to support importance of providing complete evaluating products to be procured, and the designation of an item. Once an item product information; participating in warranty information used by has been designated, USDA will industry conferences and meetings to manufacturers of end user equipment encourage the manufacturers of educate companies on program benefits and other products with regard to products within the designated item to and requirements; and communicating biobased products. voluntarily make their names and other the potential for expanded markets Future Designations. In making future contact information available for the beyond the Federal government, to designations, USDA will continue to BioPreferred Web site. include State and local governments, as conduct market searches to identify Warranties. Some of the items, well as the general public markets. manufacturers of biobased products including subcategories, being proposed Section V provides instructions to within items. USDA will then contact for designation today may affect agencies on how to obtain this the identified manufacturers to solicit maintenance warranties. As time and information on products within these samples of their products for voluntary resources allow, USDA will work with items through the following Web site: submission for biobased content testing original equipment manufacturers http://www.biopreferred.gov. and for the BEES analytical tool. Based (OEMs) on addressing any effect the use Comments. USDA invites comment on these results, USDA will then of biobased products may have on their on the proposed designation of these propose new items for designation for maintenance warranties. At this time, items, including the definition, preferred procurement. however, USDA does not have proposed minimum biobased content, As stated in the preamble to the first information available as to whether or and any of the relevant analyses six items designated for preferred not OEMs will state that the use of these performed during the selection of these procurement (71 FR 13686, March 16, products will void their maintenance items. In addition, USDA invites 2006), USDA plans to identify warranties. This does not mean that use comments and information in the approximately 10 items in each future of biobased products will void following areas: rulemaking. USDA has developed a warranties, only that USDA does not 1. One item, ‘‘gear lubricants,’’ may preliminary list of items for future currently have such information. USDA overlap with one of the products designation. This list is available on the encourages manufacturers of biobased designated under EPA’s Comprehensive BioPreferred Web site. While this list products to test their products against Procurement Guideline for Products presents an initial prioritization of items all relevant standards, including those Containing Recovered Material. To help for designation, USDA cannot identify that affect warranties, and to work with procuring agencies in making their with certainty which items will be OEMs to ensure that biobased products purchasing decisions between biobased presented in each of the future will not void maintenance warranties products within the proposed rulemakings. Items may be added or when used. Whenever manufacturers of designated items that overlap with dropped and the information necessary biobased products find that existing products containing recovered material, to designate an item may take more time performance standards for maintenance USDA is requesting product specific to obtain than an item lower on the warranties are not relevant or information on unique performance prioritization list. appropriate for biobased products, attributes, environmental and human health effects, disposal costs, and other III. Summary of Today’s Proposed Rule USDA is willing to assist them in working with the appropriate OEMs to attributes that would distinguish USDA is proposing to designate the develop tests that are relevant and biobased products from products following nine items for preferred appropriate for the end uses in which containing recovered material as well as procurement: Chain and cable biobased products are intended. If, in non-biobased products. lubricants; corrosion preventatives; food spite of these efforts, there is 2. We have attempted to identify cleaners; forming lubricants; gear insufficient information regarding the relevant and appropriate performance lubricants; general purpose household use of a biobased product and its effect standards and other relevant measures cleaners; industrial cleaners; of maintenance warranties, USDA notes of performance for each of the proposed multipurpose cleaners; and parts wash that the procurement agent would not items. If you know of other such solutions. USDA is also proposing be required to buy such a product. As standards or relevant measures of minimum biobased content for each of information is available on warranties, performance for any of the proposed these items (see Section IV.C). Lastly, USDA will make such information items, USDA requests that you submit USDA is proposing a date by which available on the BioPreferred Web site. information identifying such standards Federal agencies must incorporate Additional Information. USDA is and measures, including their name designated items into their procurement working with manufacturers and (and other identifying information as specifications (see Section IV.D). vendors to make all relevant product necessary), identifying who is using the In today’s proposed rule, USDA is and manufacturer contact information standard/measure, and describing the providing information on its findings as available on the BioPreferred Web site circumstances under which the product to the availability, economic and before a procuring agency asks for it, in is being used. technical feasibility, environmental and order to make the preferred program 3. Many biobased products within the public health benefits, and life-cycle more efficient. Steps USDA has items being proposed for designation costs for each of the designated items. implemented, or will implement, will have positive environmental and Information on the availability, relative include: Making direct contact with human health attributes. USDA is price, performance, and environmental submitting companies through e-mail seeking comments on such attributes in and public health benefits of individual and phone conversations to encourage order to provide additional information products within each of these items is completion of product listing; on the BioPreferred Web site. This not presented in this notice. Further, coordinating outreach efforts with information will then be available to USDA has reached an agreement with intermediate material producers to Federal procuring agencies and will manufacturers not to publish their encourage participation of their assist them in making ‘‘best value’’ names in the Federal Register when customer base; conducting targeted purchase decisions. When possible, designating items. This agreement was outreach with industry and commodity please provide appropriate reached to encourage manufacturers to groups to educate stakeholders on the documentation to support the
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environmental and human health IV. Designation of Items, Minimum assessment of a product. In it, all stages attributes you describe. Biobased Contents, and Time Frame in the life of a product are analyzed: Raw material production; manufacture; 4. Several items (i.e., ‘‘corrosion A. Background transportation; installation; use; and preventatives,’’ ‘‘industrial cleaners,’’ In order to designate items (generic and ‘‘multipurpose cleaners’’) have recycling and waste management. The groupings of specific products such as time period over which environmental wide ranges of tested biobased contents. crankcase oils or products that contain performance is measured begins with For the reasons discussed later in this qualifying biobased fibers) for preferred raw material production and ends with preamble, USDA is proposing minimum procurement, section 9002 requires disposal (waste management). The BEES biobased content levels for these items USDA to consider: (1) The availability environmental performance analysis that would allow a high percentage of of items and (2) the economic and also addresses products made from the tested products to be eligible for technological feasibility of using the biobased feedstocks. preferred procurement. USDA welcomes items, including the life-cycle costs of Economic performance in the BEES comments on the appropriateness of the the items. analysis is measured using the ASTM proposed minimum biobased contents In considering an item’s availability, Standard E917, ‘‘Standard Practice for for these items and whether there are USDA uses several sources of Measuring Life-Cycle Costs of Buildings potential subcategories within the items information. USDA performs Internet and Building Systems,’’ which covers that should be considered. searches, contacts trade associations the costs of initial investment, (such as the Bio organization) and 5. USDA considered combining the replacement, operation, maintenance commodity groups, searches the and repair, and disposal. The time frame proposed items ‘‘gear lubricants,’’ Thomas Register (a database, used as a ‘‘chain and cable lubricants,’’ and for economic performance extends from resource for finding companies and the purchase of the product to final ‘‘forming lubricants’’ into a single products manufactured in North designated item with multiple disposal. USDA then utilizes the BEES America, containing over 173,000 results of individual products within a subcategories. The decision to propose entries), and contacts individual designated item in its consideration of the items separately was based largely manufacturers and vendors to identify the life-cycle costs at the item level. on the differences in functional those manufacturers and vendors with The environmental performance performance between the items. While biobased products within items being results are reported as both an impact the basic purpose of products within considered for designation. USDA uses value and as an environmental each of these items is to provide the results of these same searches to performance score for 12 different lubrication, the applications and the determine if an item is generally environmental impact areas: conditions under which they perform available. • Acidification, are very different. USDA requests In considering an item’s economic • Criteria pollutants, comments from procuring agencies and and technological feasibility, USDA • Ecological toxicity, examines evidence pointing to the manufacturers of products within these • Eutrophication, general commercial use of an item and • items specifically addressing the Fossil fuel depletion, its cost and performance characteristics. • Global warming, advantages and disadvantages of these This information is obtained from the • items being designated separately versus Habitat alteration, sources used to assess an item’s • Human health, combined into a single item with availability. Commercial use, in turn, is • Indoor air quality, subcategories. evidenced by any manufacturer and • Ozone depletion, All comments should be submitted as vendor information on the availability, • Smog, and directed in the ADDRESSES section relative prices, and performance of their • Water intake. above. products as well as by evidence of an For each environmental impact area, BEES estimates the impact a product To assist you in developing your item being purchased by a procuring has in an area using certain units to comments, the background information agency or other entity, where available. In sum, USDA considers an item standardize impacts. For example, used in proposing these items for economically and technologically acidification is measured as ‘‘millimoles designation has been assembled in a feasible for purposes of designation if of hydrogen equivalents,’’ while technical support document, ‘‘Technical products within that item are being eutrophication is measured as ‘‘grams of Support for Proposed Rule—Round 5 offered and used in the marketplace. nitrogen equivalents.’’ Thus, for Designated Items,’’ which is available In considering the life-cycle costs of acidification, BEES estimates how many on the BioPreferred Web site. The items proposed for designation, USDA millimoles of hydrogen equivalents and technical support document can be uses the BEES analytical tool to test how many grams of nitrogen equivalents located by clicking on the Proposed and individual products within each a product generates as the result of its Final Regulations link on the left side of proposed item. The BEES analytical tool production and use. These values are the BioPreferred Web site’s home page measures the environmental referred to as ‘‘impact values’’ and are (http://www.biopreferred.gov). At the performance and the economic calculated on a per functional unit BioPreferred Web site, click on the performance of a product. basis. For example, the impact value for Proposed and Final Regulations link on Environmental performance is eutrophication for a chain and cable the left side of the page. At the next measured in the BEES analytical tool lubricant product was estimated to be screen, click on the Supporting using the internationally-standardized 105 grams of nitrogen equivalents for Documentation link under Round 5 and science-based, life-cycle assessment one gallon of product (the functional Designated Items under the Proposed approach specified in the International unit). Regulations section. This will bring you Organization for Standardization (ISO) The impact values for a product are to the link to the technical support 14000 standards. The BEES then used to determine the document. environmental performance analysis, environmental performance scores of a which includes human health as one of product within each of the 12 its components, is a ‘‘cradle-to-grave’’ environmental impact areas. The
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environmental performance score is a As discussed above, the BEES designation (presented in Section IV.B), measure of the share a product analysis includes information on the the functional performance test contributes towards the annual per environmental performance, human methods, performance standards, capita U.S. environmental impact in one health impacts, and economic product certifications, and other of the 12 environmental impact areas. performance. In addition, ASTM measures of performance associated For example, the global warming impact Standard D7075, which manufacturers with the functional aspects of products value of a chain and cable lubricant may use in lieu of the BEES analytical identified during the development of product was estimated to be 9,710 grams tool, provides similar information. this Federal Register notice for these of carbon dioxide equivalents. The total USDA is working with manufacturers items. amount of carbon dioxide equivalents and vendors to make this information While this process identifies many of emitted in the United States in one year available on the BioPreferred Web site the relevant test methods and standards, is divided by the U.S. population to in order to make the preferred USDA recognizes that those identified yield a ‘‘global warming per person’’ procurement program more efficient. herein do not represent all of the value. The product’s global warming As discussed earlier, USDA has also methods and standards that may be impact value is then divided by the implemented, or will implement, applicable for a designated item or for ‘‘global warming per person’’ value to several other steps intended to educate any individual product within the derive the product’s share of global the manufacturers and other designated item. As noted earlier in this warming. Specifically, for this example, stakeholders on the benefits of this preamble, USDA is requesting the global warming environmental program and the need to make this identification of any other relevant performance score is estimated to be information, including manufacturer performance standards and measures of 0.0061. That is, every one gallon of this contact information, available on the performance. As the program becomes chain and cable lubricant is estimated to BioPreferred Web site in order to then fully implemented, these and other contribute 0.0061 percent to the global make it available to procurement additional relevant performance warming per person value. officials. Additional information on standards will be available on the For both the impact values and the specific products within the items BioPreferred Web site. In gathering information relevant to environmental performance scores, the proposed for designation may also be the analyses discussed above for this BEES analysis uses a single unit of obtained directly from the proposed rule, USDA has made comparison associated with each manufacturers of the products. USDA has also provided a link on the extensive efforts to contact and request designated item. The basis for the unit BioPreferred Web site to the Defense information and product samples within of comparison is the ‘‘functional unit,’’ Standardization Program and to General the items proposed for designation. For defined so that the products compared Services Administration (GSA)-related product information, USDA has within an item are true substitutes for standards lists used as guidance when attempted to contact representatives of one another. If significant differences procuring products. These lists can be the manufacturers of biobased products have been identified in the useful lives accessed through the ‘‘Selling to the identified by the preferred procurement of alternative products within a Federal Government’’ link on the program. For product samples on which designated item (e.g., if one product BioPreferred Web site. to conduct biobased content tests and lasts twice as long as another), the USDA recognizes that information BEES analysis, USDA has attempted to functional unit includes reference to a related to the functional performance of obtain samples and BEES input time dimension to account for the biobased products is a primary factor in information for at least five different frequency of product replacement. The making the decision to purchase these suppliers of products within each item functional unit also accounts for products. USDA is gathering in today’s proposed rule. However, products used in different amounts for information on industry standard test because the submission of information equivalent service. For example, one methods and performance standards and samples is on a strictly voluntary surface coating product may be that manufacturers are using to evaluate basis, USDA was able to obtain environmentally and economically the functional performance of their information and samples only from preferable to another on a pound-for- products. (Test methods are procedures those manufacturers who were willing pound basis, but may require twice the used to provide information on a certain voluntarily to invest the resources mass to cover one square foot of surface, attribute of a product. For example, a required to gather and submit the and last half as long, as the other test method might determine how many information and samples. The data product. To account for these bacteria are killed. Performance presented are all the data that were performance differences, the functional standards identify the level at which a submitted in response to USDA requests unit for the surface coating item could product must perform in order for it to for information from manufacturers of be ‘‘one square foot of application for 20 be ‘‘acceptable’’ to the entity that set the the products within the items proposed years’’ instead of ‘‘one pound of surface performance standard. For example, a for designation. While USDA would coating product.’’ The functional unit performance standard might require that prefer to have complete data on the full provides the critical reference point to a certain percentage (e.g., 95 percent) of range of products within each item, the which all BEES results for products the bacteria must be killed through the data that were submitted are sufficient within an item are scaled. Because use of the product.) The primary source to support designation of the items in functional units vary from item to item, of information on these test methods today’s proposed rule. performance comparisons are valid only and performance standards are To propose an item for designation, among products within a designated manufacturers of biobased products USDA must have sufficient information item. within these items. Additional test on a sufficient number of products The complete results of the BEES methods and performance standards are within an item to be able to assess its analysis, extrapolated to the item level, also identified during meetings of the availability and its economic and for each item proposed for designation Interagency council and during the technological feasibility, including its in today’s proposed rule can be found review process for each proposed rule. life-cycle costs. For some items, there in the technical support document for We have listed, under the detailed may be numerous products available. this proposed rule. discussion of each item proposed for For other items, there may be very few
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products currently available. Given the designation. USDA then gathers As noted earlier in this preamble, infancy of the market for some items, it information on products within the USDA is requesting information on is not unexpected that even single- highest priority items and, as sufficient overlap situations to further help product items will be identified. information becomes available for procuring agencies make informed Further, given that the intent of section groups of approximately 10 items, a new decisions when faced with purchasing a 9002 is largely to stimulate the rulemaking package is developed to recovered content material product or a production of new biobased products designate the items within that group. biobased product. As this information is and to energize emerging markets for USDA points out that the list of items developed, USDA will make it available those products, USDA has determined it may change, with items being added or on the BioPreferred Web site. is appropriate to designate an item or dropped, and that the order in which Exemptions. As explained in the May subcategory for preferred procurement items are proposed for designation is 14, 2008 Federal Register notice (73 FR even when there is only a single product likely to change because the information 27928) promulgating the Round 2 with a single supplier. However, USDA necessary to designate an item may take designated items, the National has also determined that in such more time to obtain than an item lower Aeronautics and Space Administration situations it is appropriate to defer the on the list. (NASA) and the Department of Defense effective preferred procurement date In today’s proposed rule, USDA is (DoD) are exempt from the procurement until such time that more than one proposing to designate the following preference requirements that would be supplier is identified in order to provide items for the preferred procurement afforded to the items contained in choice to procuring agencies. Similarly, program: Chain and cable lubricants; today’s proposed rule with respect to the documented availability, benefits, corrosion preventatives; food cleaners; products used in space applications and and life-cycle costs of even a very small forming lubricants; gear lubricants; combat and combat-related applications, percentage of all products that may exist general purpose household cleaners; respectively. In other words, they would within an item are also considered industrial cleaners; multipurpose apply to operations underlying NASA’s sufficient to support designation. cleaners; and parts wash solutions. and DoD’s mission, such as janitorial USDA has determined that each of these services contracts, but not to uses on the B. Items Proposed for Designation proposed items meets the necessary space shuttle and military equipment. USDA uses a model (as summarized statutory requirements—namely, that These ‘‘blanket’’ exemptions are below) to identify and prioritize items they are being produced with biobased contained in subpart A of part 2902. for designation. Through this model, products and that their procurement by Therefore, today’s proposed rule would USDA has identified over 100 items for procuring agencies will carry out the not apply to NASA and DoD, as potential designation under the following objectives of section 9002: provided in subpart A of part 2902. Although each item in today’s preferred procurement program. A list • To increase demand for biobased proposed rule would be exempt from of these items and information on the products, which would in turn increase the procurement preference model can be accessed on the demand for agricultural commodities requirement, this exemption does not BioPreferred Web site at http:// that can serve as feedstocks for the extend to contractors performing work www.biopreferred.gov. production of biobased products; for NASA or DoD other than direct In general, items are developed and • To spur development of the prioritized for designation by evaluating maintenance and support of the space industrial base through value-added shuttle and combat equipment. For them against program criteria agricultural processing and established by USDA and by gathering example, if a contractor is producing a manufacturing in rural communities; part for use on the space shuttle, the information from other government and agencies, private industry groups, and • metalworking fluid the contractor uses To enhance the Nation’s energy to produce the part should be biobased manufacturers. These evaluations begin security by substituting biobased by look at the cost, performance, and (provided it meets the specifications for products for products derived from metalworking). The exemption does availability of products within each imported oil and natural gas. item. USDA then considers the apply, however, if the product being Further, USDA has sufficient purchased by the contractor is for use in following points: information on the items to determine • Are there manufacturers interested combat or combat-related missions or their availability and to conduct the in providing the necessary test for use in space applications. For requisite analyses to determine their information on products within a example, if the part being produced by biobased content and their economic particular item? the contractor would actually be part of and technological feasibility, including • Are there a number of the space shuttle, then the exemption life-cycle costs. manufacturers producing biobased applies. products in this item? Overlap with EPA’s Comprehensive USDA points out that it is not the • Are there products available in this Procurement Guideline program for intent of these exemptions to imply that item? recovered content products. In today’s biobased products are inferior to non- • What level of difficulty is expected proposed rule, one item may overlap biobased products. If manufacturers of when designating this item? with the EPA-designated recovered biobased products can meet the • Is there Federal demand for the content product ‘‘Re-refined Lubricating concerns of these two agencies, USDA is product? Oils.’’ This item is ‘‘gear lubricants.’’ willing to reconsider such exemptions • Are Federal procurement personnel For this item, USDA is requesting that on an item-by-item basis. looking for biobased products? information on the qualifying biobased Each of the proposed designated items • Will an item create a high demand ‘‘gear lubricants’’ be made available by are discussed in the following sections. for biobased feed stock? their manufacturers to assist Federal • Does manufacturing of products agencies in determining if an overlap 1. Chain and Cable Lubricants within this item increase potential for exists between ‘‘gear lubricants’’ and Chain and cable lubricants are rural development? ‘‘Re-refined Lubricating Oils’’ (the products designed to provide After completing this evaluation, applicable EPA-designated recovered lubrication for such applications as bar USDA prioritizes the list of items for content product). and roller chains, sprockets, and wire
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ropes and cables. The products may also including the GSA, several offices USDA also investigated the Web site be designed to prevent rust and within the Defense Logistics Agency, FEDBIZOPPS.gov, a site which lists corrosion in these applications. the OFEE, USDA Departmental Federal contract purchase opportunities USDA identified 20 different Administration, the National Park greater than $25,000. The information manufacturers producing 37 individual Service, EPA, Oak Ridge National provided on this Web site, however, is biobased chain and cable lubricant Laboratory, and OMB in an effort to for broad categories of products rather products. These 20 manufacturers do gather information on the purchases of than the specific types of products that not necessarily include all chain and cable lubricants and products are included in today’s proposed rule. manufacturers of biobased chain and within the other eight items proposed Therefore, USDA has been unable to cable lubricants, merely those identified for designation today. Communications obtain data on the amount of chain and during USDA information gathering with these officials led to the conclusion cable lubricants purchased by procuring activities. Information supplied by these that obtaining credible current usage agencies. However, Federal agencies manufacturers indicates that these statistics and specific potential markets products are being used commercially. perform, or procure contract services to within the Federal government for perform, activities, such as In addition, manufacturers and biobased products within the proposed stakeholders identified two test methods maintenance, clean-up, and tree designated items is not possible at this removal, in which chain and cable (as shown below) used in evaluating time. products within this item. While there lubricants are used. For example, Most of the contacted officials may be additional test methods, as well although quantities were not obtained, as performance standards, product reported that procurement data are the National Park Service is known to be certifications, and other measures of reported in higher level groupings of using biobased chain and cable performance, applicable to products materials and supplies than the lubricants at some of its parks. Thus, within this item, the two test methods proposed designated items. Using terms there is a need for chain and cable identified by manufacturers of products that best match the items in today’s lubricants. Designation of ‘‘chain and within this item are: proposed rule, USDA queried the GSA cable lubricants’’ will promote the use database for Federal purchases of of biobased products, furthering the Test Methods products within today’s proposed items. objectives of this program. • Shake Flask Test (CG–2000) used by The results indicate purchases of the lubricant industry to evaluate products within items in today’s An analysis of the environmental and biodegradability (Environmental proposed rule. The results of this human health benefits and the life-cycle Protection Agency #560/6–82–003); and inquiry can be found in the technical costs of biobased chain and cable • Methods for Measuring the Acute support document for this proposed lubricants was performed for three of Toxicity of Effluents and Receiving rule. Also, the purchasing of such the products using the BEES analytical Waters to Freshwater and Marine materials as part of contracted services tool. The impact values for these three Organisms (Environmental Protection and with individual purchase cards lubricants are presented in Table 1a. Agency #600/4–90–027). used to purchase products locally The environmental performance scores USDA contacted procurement further obscures credible data on are presented in Table 1b and in Figure officials with various procuring agencies purchases of specific products. 1.
TABLE 1A—IMPACT VALUES FOR CHAIN AND CABLE LUBRICANTS
Environmental impact area Units Sample A Sample B Sample C
Acidification ...... millimoles of hydrogen ion equivalents ...... 7,210 6,470 5,130 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 0.532 0.467 0.840 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 77.1 69.7 1,950 Eutrophication ...... grams of nitrogen equivalent ...... 105 94.6 246 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 43.6 39.9 83.6 Global Warming ...... grams of carbon dioxide equivalents ...... 9,710 8,660 29,500 Habitat Alteration ...... threatened and endangered species count ...... 0 0 0 Human Health ...... grams of toluene equivalent ...... 61,500 54,800 316,000 Indoor Air ...... grams of total volatile organic compounds ...... 0 0 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 1.15E–07 9.69E–08 1.30E–04 Smog ...... grams of nitrogen oxide equivalents ...... 124 112 95.9 Water Intake ...... liters of water ...... 1,430 1,290 6,530
Functional Unit ...... 1 gallon.
TABLE 1B—ENVIRONMENTAL PERFORMANCE SCORES FOR CHAIN AND CABLE LUBRICANTS
Environmental impact area Sample A Sample B Sample C
Total Environmental Performance Score 1 ...... 0 .0674 0 .0606 0.4202
Acidification (5%) ...... 0 .0000 0 .0000 0.0000 Criteria Air Pollutants (6%) ...... 0.0002 0.0001 0.0003 Ecological Toxicity (11%) ...... 0 .0104 0 .0094 0.2630 Eutrophication (5%) ...... 0.0272 0 .0246 0 .0640 Fossil Fuel Depletion (5%) ...... 0.0062 0.0056 0.0118 Global Warming (16%) ...... 0.0061 0.0054 0 .0184 Habitat Alteration (16%) ...... 0.0000 0.0000 0.0000 Human Health (11%) ...... 0.0043 0 .0038 0 .0219
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TABLE 1B—ENVIRONMENTAL PERFORMANCE SCORES FOR CHAIN AND CABLE LUBRICANTS—Continued
Environmental impact area Sample A Sample B Sample C
Indoor Air (11%) ...... 0.0000 0.0000 0.0000 Ozone Depletion (5%) ...... 0 .0000 0.0000 0.0000 Smog (6%) ...... 0.0049 0 .0044 0 .0038 Water Intake (3%) ...... 0.0081 0.0073 0 .0370
Economic Performance (Life-cycle Costs ($)) 2 ...... 10 .17 13.78 20 .20
First Cost ...... 10 .17 13.78 20 .20 Future Cost (3.9%) ...... (3) (3) (3)
Functional Unit ...... 1 gallon. 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated.
As seen in Table 1b, for the analyzed valid only among products within a The numbers in parentheses following chain and cable lubricants, the total designated item. Thus, comparisons of each of the 12 environmental impacts environmental performance score ranges the scores presented in Table 1b and the listed in the tables presenting the from 0.0606 to 0.4202 points per gallon scores presented in tables for other environmental performance scores in of product and the life-cycle costs range proposed designated items are not this preamble indicate weighting from $10.17 to $20.20 (present value meaningful. On the other hand, one can factors. The weighting factors represent dollars) per gallon of product. compare the impact values reported in the relative importance of the 12 When evaluating the environmental Table 1a with those in the other, environmental parameters, including performance scores presented in Table corresponding impact value tables. But human health impacts, which 1b, as well as in the subsequent tables such a comparison would only be useful contribute to the BEES environmental presented in this preamble, it should be if the compared products would be used performance score. They are derived noted that comparisons of the as substitutes for each other. from lists of the relative importance of environmental performance scores are these parameters developed by the EPA
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Science Advisory Board for the purpose products. These 15 manufacturers do Performance Standards of advising EPA as to how best to not necessarily include all • allocate its limited resources among manufacturers of biobased corrosion National Association of Corrosion environmental impact areas. Note that a preventatives, merely those identified Engineers #TM0374–2001, Laboratory lower environmental performance score during USDA information gathering Screening Tests to Determine the Ability is better than a higher score. activities. Information supplied by these of Scale Inhibitors to Prevent the Life-cycle costs presented in the manufacturers indicates that these Precipitation of Calcium Sulfate and tables in this preamble are per the products are being used commercially. Calcium Carbonate from Solution (for appropriate functional unit for the In addition, manufacturers and Oil and Gas Production Systems). proposed designated item. Future costs stakeholders identified several test USDA attempted to gather data on the are discounted to present value using methods and one performance standard potential market for biobased products the OMB discount rate of 3.9 percent. used in evaluating products within this within the Federal government using Present value dollars presented in this item. While there may be additional test the procedure described in the section methods, as well as performance preamble represent the sum of all costs on ‘‘Chain and Cable Lubricants’’. These standards, product certifications, and associated with a product over a fixed attempts were largely unsuccessful. other measures of performance, period of time, including any applicable However, various Federal agencies costs for purchase, installation, applicable to products within this item, the test methods and performance procure corrosion preventatives, or replacement, operation, maintenance procure contract services such as and repair, and disposal. Present value standard identified by manufacturers of products within this item, are: maintenance services, that use corrosion dollars presented in this preamble preventatives. Thus, they have a need reflect 2006 dollars. Dollars are Test Methods for corrosion preventatives. Designation expressed in present value terms to • ASTM D1735, ‘‘Standard Practice of ‘‘corrosive preventatives’’ will adjust for the effects of inflation. The for Testing Water Resistance of Coatings promote the use of biobased products, complete results of the BEES analysis, Using Water Fog Apparatus;’’ furthering the objectives of this extrapolated to the item level, for each • ASTM D1748, ‘‘Standard Test program. item proposed for designation in today’s Method for Rust Protection by Metal An analysis of the environmental and proposed rule can be found at http:// Preservatives in the Humidity Cabinet;’’ www.biopreferred.gov. • ASTM D445, ‘‘Standard Test human health benefits and the life-cycle costs of corrosion preventatives was 2. Corrosion Preventatives Method for Kinematic Viscosity of Transparent and Opaque Liquids (and performed for two of the products using Corrosion preventatives are products the Calculation of Dynamic Viscosity);’’ the BEES analytical tool. The impact used to prevent the deterioration • ASTM D92, ‘‘Standard Test Method values for these two corrosion (corrosion) of metals. for Flash and Fire Points by Cleveland preventatives are presented in Table 2a. USDA identified 15 different Open Cup Tester;’’ and The environmental performance scores manufacturers producing 97 individual • ASTM D97, ‘‘Standard Test Method are presented in Table 2b and in Figure biobased corrosion preventatives for Pour Point of Petroleum Products.’’ 2.
TABLE 2A—IMPACT VALUES FOR CORROSION PREVENTATIVES
Environmental impact area Units Sample A Sample B
Acidification ...... millimoles of hydrogen ion equivalents ...... 13,300 26,000 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 1.79 2.18 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 141 291 Eutrophication ...... grams of nitrogen equivalent ...... 120 360 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 652 301 Global Warming ...... grams of carbon dioxide equivalents ...... 19,900 37,500 Habitat Alteration ...... threatened and endangered species count ...... 0 0 Human Health ...... grams of toluene equivalent ...... 559,000 2.36E+07 Indoor Air ...... grams of total volatile organic compounds ...... 0 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 1.98E–06 1.88E–05 Smog ...... grams of nitrogen oxide equivalents ...... 245 454 Water Intake ...... liters of water ...... 1,570 4,870
Functional Unit ...... 5 gallons.
TABLE 2B—ENVIRONMENTAL PERFORMANCE SCORES FOR CORROSION PREVENTATIVES
Environmental impact area Sample A Sample B
Total Environmental Performance Score 1 ...... 0 .2129 0 .2684
Acidification (5%) ...... 0 0 Criteria Air Pollutants (6%) ...... 0.0006 0.0007 Ecological Toxicity (11%) ...... 0 .0190 0 .0389 Eutrophication (5%) ...... 0.0312 0 .0937 Fossil Fuel Depletion (5%) ...... 0.0924 0.0431 Global Warming (16%) ...... 0.0124 0.0236 Habitat Alteration (16%) ...... 0 0 Human Health (11%) ...... 0.0387 0 .0228 Indoor Air (11%) ...... 0 0
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TABLE 2B—ENVIRONMENTAL PERFORMANCE SCORES FOR CORROSION PREVENTATIVES—Continued
Environmental impact area Sample A Sample B
Ozone Depletion (5%) ...... 0 0 Smog (6%) ...... 0.0097 0 .0180 Water Intake (3%) ...... 0.0089 0.0276
Economic Performance (Life-cycle Costs ($)) 2 ...... 114.75 77 .09
First Cost ...... 114.75 77 .09
Future Cost (3.9%) ...... (3)
Functional Unit ...... 5 gallons. 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated.
As seen in Table 2b, the total various food products, such as fruits, stakeholders identified several test environmental performance scores for vegetables, and meats. methods, one performance standard, the two corrosion preventatives USDA identified 11 different and one other measure of performance analyzed are 0.2194 and 0.2684 per five manufacturers producing 15 individual used in evaluating products within this gallons of product and the respective biobased food cleaner products. These item. While there may be additional test life-cycle costs are $114.75 and $77.09 11 manufacturers do not necessarily methods, as well as performance (present value dollars) per five gallons include all manufacturers of biobased standards, product certifications, and of product. food cleaners, merely those identified other measures of performance applicable to products within this item, 3. Food Cleaners during USDA information gathering activities. Information supplied by these those identified by manufacturers of Food cleaners are anti-microbial manufacturers indicates that these products within this item are: products used to clean the outer layer of products are being used commercially. In addition, manufacturers and
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Test Methods Product Certifications and Other preparation services that use such Measures products. Thus, there is a need for food • Federal Test Method Standard cleaners. Designation of biobased ‘‘food • #536A, Soap and soap products U.S. Navy #Navsea 6840—U.S. cleaners’’ will promote the use of (including synthetic detergents) Navy surface ship (non-submarine) biobased products, furthering the sampling and testing. authorized chemical cleaning products objectives of this program. and dispensing systems. Performance Standards An analysis of the environmental and USDA attempted to gather data on the human health benefits and the life-cycle • Boeing #D6–7127, Cleaning potential market for biobased products costs of biobased food cleaners was Interiors of Commercial Transport within the Federal government using performed for one of the products using Aircraft; and the procedure described in the section the BEES analytical tool. The impact on ‘‘Chain and Cable Lubricants.’’ These values for this food cleaner are • South Coast Air Quality attempts were largely unsuccessful. presented in Table 3a. The Management District, certification as a However, Federal agencies procure such environmental performance scores are Clean Air Solvent. products or contract for food presented in Table 3b and in Figure 3.
TABLE 3A—IMPACT VALUES FOR FOOD CLEANERS
Environmental impact area Units Sample A
Acidification ...... millimoles of hydrogen ion equivalents ...... 81.8 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 0.0216 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 0.774 Eutrophication ...... grams of nitrogen equivalent ...... 0.104 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 2.43 Global Warming ...... grams of carbon dioxide equivalents ...... 148 Habitat Alteration ...... threatened and endangered species count ...... 0 Human Health ...... grams of toluene equivalent ...... 2,110 Indoor Air ...... grams of total volatile organic compounds ...... 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 7.98E–08 Smog ...... grams of nitrogen oxide equivalents ...... 1.09 Water Intake ...... liters of water ...... 4.39
Functional Unit ...... 1 gallon.
TABLE 3B—ENVIRONMENTAL PERFORMANCE SCORES FOR FOOD CLEANERS
Environmental impact area Sample A
Total Environmental Performance Score 1 ...... 0 .0006
Acidification (5%) ...... 0 .0000 Criteria Air Pollutants (6%) ...... 0.0000 Ecological Toxicity (11%) ...... 0 .0001 Eutrophication (5%) ...... 0.0000 Fossil Fuel Depletion (5%) ...... 0.0003 Global Warming (16%) ...... 0.0001 Habitat Alteration (16%) ...... 0.0000 Human Health (11%) ...... 0.0001 Indoor Air (11%) ...... 0.0000 Ozone Depletion (5%) ...... 0 .0000 Smog (6%) ...... 0.0000 Water Intake (3%) ...... 0.0000
Economic Performance (Life-cycle Costs ($)) 2 ...... 4.00
First Cost ...... 4.00 Future Cost (3.9%) ...... (3)
Functional Unit ...... Gallon of food cleaner. 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated.
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As seen in Table 3b, the total Information supplied by these within the Federal government using environmental performance score and manufacturers indicates that these the procedure described in the section the life-cycle costs of the food cleaner products are being used commercially. on ‘‘Chain and Cable Lubricants.’’ These analyzed are, respectively, 0.0006 points In addition, manufacturers and attempts were largely unsuccessful. per gallon of product and $4.00 (present stakeholders identified two test methods However, Federal agencies own and value dollars) per gallon of product. (as shown below) used in evaluating operate metalworking machinery that products within this item. While there operates under extreme pressure. In 4. Forming Lubricants may be additional test methods, as well addition, Federal agencies contract for Forming lubricants are products as performance standards, product services involving the use of similar designed to provide lubricity during certifications, and other measures of equipment. Thus, there is a need for metalworking applications that are performance applicable to products forming lubricants. Designation of performed under extreme pressure within this item, those identified by ‘‘forming lubricants’’ will promote the conditions. Such applications include manufacturers of products within this use of biobased products, furthering the tube bending, stretch forming, press item are: objectives of this program. braking, and swaging. An analysis of the environmental and Test Methods USDA identified three different human health benefits and the life-cycle manufacturers producing 13 individual • Boeing #BAC 5001–4 Flareless Tube costs of forming lubricants was biobased forming lubricant products. End Fabrication; and performed for one of the products using These three manufacturers do not • Testing of chemical substances the BEES analytical tool. The impact necessarily include all manufacturers of under the Toxic Substances Control Act values for this forming lubricant are biobased forming lubricants, merely (EPA #560/6–82–003). presented in Table 4a. The those identified during USDA USDA attempted to gather data on the environmental performance scores are information gathering activities. potential market for biobased products presented in Table 4b and in Figure 4.
TABLE 4A—IMPACT VALUES FOR FORMING LUBRICANTS
Environmental impact area Units Sample A
Acidification ...... millimoles of hydrogen ion equivalents ...... 1,320 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 0.267 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxyacetic acid ...... 32.7 Eutrophication ...... grams of nitrogen equivalent ...... 11.3 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 76.0
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TABLE 4A—IMPACT VALUES FOR FORMING LUBRICANTS—Continued
Environmental impact area Units Sample A
Global Warming ...... grams of carbon dioxide equivalents ...... 4,450 Habitat Alteration ...... threatened and endangered species count ...... 0 Human Health ...... grams of toluene equivalent ...... 60,000 Indoor Air ...... grams of total volatile organic compounds ...... 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 2.59E–05 Smog ...... grams of nitrogen oxide equivalents ...... 25.6 Water Intake ...... liters of water ...... 164
Functional Unit ...... 1 gallon.
TABLE 4B—ENVIRONMENTAL PERFORMANCE SCORES FOR FORMING LUBRICANTS
Environmental impact area Sample A
Total Environmental Performance Score 1 ...... 0 .0271
Acidification (5%) ...... 0 .0000 Criteria Air Pollutants (6%) ...... 0.0001 Ecological Toxicity (11%) ...... 0 .0044 Eutrophication (5%) ...... 0.0029 Fossil Fuel Depletion (5%) ...... 0.0108 Global Warming (16%) ...... 0.0028 Habitat Alteration (16%) ...... 0.0000 Human Health (11%) ...... 0.0042 Indoor Air (11%) ...... 0.0000 Ozone Depletion (5%) ...... 0 .0000 Smog (6%) ...... 0.0010 Water Intake (3%) ...... 0.0009
Economic Performance (Life-cycle Costs ($)) 2 ...... 18 .50
First Cost ...... 18 .50 Future Cost (3.9%) ...... (3)
Functional Unit ...... (4) 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated. 4 One gallon of forming lubricant.
As seen in Table 4b, the total forming lubricant are, respectively, $18.50 (present value dollars) per gallon environmental performance score and 0.0271 points per gallon of product and of product. the life-cycle cost of the submitted
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5. Gear Lubricants additional test methods, as well as Characteristics of Inhibited Mineral Oil performance standards, product in the Presence of Water;’’ Gear lubricants are substances, such • as greases and oils, which reduce certifications, and other measures of ASTM D892, ‘‘Standard Test friction when applied to a toothed performance applicable to products Method for Foaming Characteristics of machine part (such as a wheel or within this item, those identified by Lubricating Oils;’’ • ASTM D92, ‘‘Standard Test Method cylinder) that meshes with another manufacturers of products within this for Flash and Fire Points by Cleveland toothed part to transmit motion or to item are: Open Cup Tester;’’ change speed or direction. Unlike Test Methods • ASTM D97, ‘‘Standard Test Method penetrating lubricants, which would be • ASTM D1404/D1404M, ‘‘Standard for Pour Point of Petroleum Products;’’ applied to frozen gears to loosen them, • ASTM D974, ‘‘Standard Test gear lubricants are designed to be Test Method for Estimation of Deleterious Particles for Lubricating Method for Acid and Base Number by applied to functional gears to reduce Color-Indicator Titration;’’ friction while in operation. Grease;’’ • • ASTM D2270, ‘‘Standard Practice ASTM D2266, ‘‘Standard Test Qualifying products within this item Method for Wear Preventive may overlap with the EPA-designated for Calculating Viscosity Index from ° Characteristics of Lubricating Grease recovered content product: ‘‘Re-refined Kinematic Viscosity at 40 and 100 C;’’ • ASTM D2619, ‘‘Standard Test (Four-Ball Method);’’ Lubricating Oils’’. • Testing of chemical substances Method for Hydrolytic Stability of USDA identified nine different under the Toxic Substances Control Act Hydraulic Fluids (Beverage Bottle manufacturers producing 24 individual (EPA #560/6–82–003); biobased gear lubricant products. These Method);’’ • • International Organization for nine manufacturers do not necessarily ASTM D2711, ‘‘Standard Test Standardization #ISO 150—Specifies include all manufacturers of biobased Method for Demulsibility the requirements and the corresponding gear lubricants, merely those identified Characteristics of Lubricating Oils;’’ • methods of test for raw, refined, and during USDA information gathering ASTM D445, ‘‘Standard Test boiled linseed oils for paints and activities. Information supplied by these Method for Kinematic Viscosity of varnishes; manufacturers indicates that these Transparent and Opaque Liquids (and • DIN 51517—Lubricants— products are being used commercially. the Calculation of Dynamic Viscosity);’’ Lubricating oils—Part 1: Lubricating oils • In addition, manufacturers and ASTM D5864, ‘‘Standard Test C Requirements; stakeholders identified test methods, Method for Determining Aerobic • FGZ (DIN51354), Gear wheel performance standards, and other Aquatic Biodegradation of Lubricants or twisting/tension testing machine for measures of performance used in Their Components;’’ lubricants; evaluating the performance of products • ASTM D665, ‘‘Standard Test • ISO 46—oil viscosity grade; within this item. While there may be Method for Rust-Preventing • SAE 30—viscosity grade;
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• SAE GearGrade 80W90—viscosity Product Certifications and Other attempts were largely unsuccessful. grade; and Measures However, many Federal agencies own or • ISO 90—oil viscosity grade. • American Petroleum Institute #API operate machinery, or procure contract GL–1—Designates the type of service services that require the use of Performance Standards characteristics of automotive spiral- machinery, that require gear lubricants. • American Petroleum Institute #API bevel and worm gear axles as well as When EPA researched its designation of GL–3—Lubricant with light EP effect for some manually-operated transmissions re-refined lubricating oils, including transmissions and non-hypoid gear operating under such mild conditions of gear oil, the Defense Logistic Agency drives; low unit pressures and sliding velocities informed EPA that it had specifications that straight mineral oil can be used • for, and sold, gear oils. Thus, there is a American Petroleum Institute #API satisfactorily; and need for gear lubricants. Designation of • GL–4—Generally equivalent to military American Petroleum Institute #API biobased ‘‘gear lubricants’’ will promote specification MIL–L–2105 for manual GL–2—Designates the type of service the use of biobased products, furthering transmissions and spiral bevel gears characteristics of automotive type worm the objectives of this program. engaged in moderate service (API GL–4 gear axles operating under such rates a gears lubricant’s performance); conditions of load, temperature, and An analysis of the environmental and human health benefits and the life-cycle • AGMA 2–8A, R&O and EP gear sliding velocities that lubricants costs of biobased gear lubricants was lubes grades; satisfactory for API GL–1 service will performed for two of the products using • not suffice (obsolete). ANSI/AGMA 9005–E02, Industrial USDA attempted to gather data on the the BEES analytical tool. The impact Gear Lubricant; and potential market for biobased products values for these two gear lubricants are • DB s1.53.101, Meets or exceeds within the Federal government using presented in Table 5a. The requirements of David Brown the procedure described in the section environmental performance scores are performance requirement. on ‘‘Chain and Cable Lubricants.’’ These presented in Table 5b and in Figure 5.
TABLE 5A—IMPACT VALUES FOR GEAR LUBRICANTS
Environmental impact area Units Sample A Sample B
Acidification ...... millimoles of hydrogen ion equivalents ...... 25,000 10,200 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 2.79 2.96 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 242 287 Eutrophication ...... grams of nitrogen equivalent ...... 308 47.0 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 479 453 Global Warming ...... grams of carbon dioxide equivalents ...... 35,800 34,200 Habitat Alteration ...... threatened and endangered species count ...... 0 0 Human Health ...... grams of toluene equivalent ...... 1,250,000 553,000 Indoor Air ...... grams of total volatile organic compounds ...... 0 0 Ozone Depletion ...... grams of chlorofluoro-carbon-11 equivalents ...... 1.35E–06 1.04E–05 Smog ...... grams of nitrogen oxide equivalents ...... 413 163 Water Intake ...... liters of water ...... 5,900 633 Functional Unit ...... 5 gallons.
TABLE 5B—ENVIRONMENTAL PERFORMANCE SCORES FOR GEAR LUBRICANTS
Environmental impact area Sample A Sample B
Total Environmental Performance Score 1 ...... 0 .3405 0 .1856 Acidification (5%) ...... 0 .0000 0 .0000 Criteria Air Pollutants (6%) ...... 0.0009 0.0009 Ecological Toxicity (11%) ...... 0 .0326 0 .0387 Eutrophication (5%) ...... 0.0802 0 .0122 Fossil Fuel Depletion (5%) ...... 0.0679 0.0641 Global Warming (16%) ...... 0.0224 0.0214 Habitat Alteration (16%) ...... 0.0000 0.0000 Human Health (11%) ...... 0.0867 0 .0383 Indoor Air (11%) ...... 0.0000 0.0000 Ozone Depletion (5%) ...... 0 .0000 0.0000 Smog (6%) ...... 0.0164 0 .0064 Water Intake (3%) ...... 0.0334 0.0036
Economic Performance (Life-cycle Costs ($)) 2 ...... 63 .08 87.50 First Cost ...... 63 .08 87.50 Future Cost (3.9%) ...... (3) (3) Functional Unit ...... 5 gallons of gear lubricant. 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated.
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As seen in Table 5b, the total removers, oven cleaners, and drain Information supplied by these environmental performance scores are cleaners. manufacturers indicates that these 0.1856 and 0.3405 points per five Procuring agencies should note that, products are being used commercially. gallons of product. The life-cycle costs as discussed in Section II of this In addition, manufacturers and of the submitted biobased gear preamble, not all biobased cleaning stakeholders identified several test lubricants are $63.08 to $87.50 (present products are ‘‘environmentally methods, a performance standard, and value dollars) per five gallons of preferable’’ to non-biobased products. one other measure of performance (as product. Unless cleaning products have been shown below) used in evaluating formulated to contain no (or reduced products within this item. While there 6. General Purpose Household Cleaners levels of) metals and toxic and may be additional test methods, as well General purpose household cleaners hazardous constituents, they can be as performance standards, product are substances used to clean common harmful to aquatic life, the environment, certifications, and other measures of household surfaces found in the living and/or workers. When purchasing performance applicable to products spaces and on the possessions located in environmentally preferable cleaning within this item, those identified by households or similar settings. products, Federal agencies should manufacturers of products within this Household cleaner products included in compare the ‘‘cradle-to-grave’’ impacts item are: this item are those general purpose of the manufacture, use, and disposal of Test Methods household cleaners specifically both biobased and non-biobased marketed as suitable for cleaning products in order to determine which • Boeing #D6–7127, Cleaning common household surfaces. In today’s product is environmentally preferable. Interiors of Commercial Transport proposed rule, the definition of general USDA identified 16 different Aircraft; purpose household cleaners excludes manufacturers producing 24 individual • ASTM D1308, ‘‘Standard Test products that are formulated for use as biobased general purpose household Method for Effect of Household disinfectants. Other products not cleaner products. These 16 Chemicals on Clear and Pigmented included in this item are task-specific manufacturers do not necessarily Organic Finishes’’; household cleaners, such as scouring include all manufacturers of biobased • Federal Test Method Standard cleaners, toilet bowl cleaners, general purpose household cleaners, #536A, Soap and Soap Products upholstery cleaners, laundry and merely those identified during USDA (Including Synthetic Detergents) dishwashing detergents, spot/stain information gathering activities. sampling and testing; and
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• South Coast Air Quality • Green Seal #8 (GS–8), Green Seal household cleaners. Designation of Management District, certification as a Environmental Standard for Household ‘‘general purpose household cleaners’’ ‘‘Clean Air Solvent.’’ Cleaners. will promote the use of biobased USDA attempted to gather data on the Performance Standards products, furthering the objectives of potential market for biobased products this program. • Green Seal #8 (GS–8), Green Seal within the Federal government using Environmental Standard for Household the procedure described in the section An analysis of the environmental and Cleaners; and on ‘‘Chain and Cable Lubricants.’’ These human health benefits and the life-cycle • Boeing #D6–7127, Cleaning attempts were largely unsuccessful. costs of biobased general purpose Interiors of Commercial Transport However, Federal agencies routinely household cleaners was performed for Aircraft. Product Certifications and perform cleaning and maintenance two of the products using the BEES Other Measures activities, or procure cleaning and analytical tool. The impact values for • United States Navy Navsea #6840— maintenance services, that use these these two general purpose household Surface ship (non-submarine) materials. Thus, they have a need for cleaners are presented in Table 6a. The authorized chemical cleaning products general purpose household cleaners and environmental performance scores are and dispensing systems; and for services that require the use of presented in Table 6b and in Figure 6.
TABLE 6A—IMPACT VALUES FOR GENERAL PURPOSE HOUSEHOLD CLEANERS
Environmental impact area Units Sample A Sample B
Acidification ...... millimoles of hydrogen ion equivalents ...... 4,080 1,510 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 1.03 0.657 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 351 8.76 Eutrophication ...... grams of nitrogen equivalent ...... 27.8 3.24 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 175 38.8 Global Warming ...... grams of carbon dioxide equivalents ...... 13,600 3,000 Habitat Alteration ...... threatened and endangered species count ...... 0 0 Human Health ...... grams of toluene equivalent ...... 109,000 30,600 Indoor Air ...... grams of total volatile organic compounds ...... 0 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 1.95E–04 2.28E–06 Smog ...... grams of nitrogen oxide equivalents ...... 69.3 23.6 Water Intake ...... liters of water ...... 389 20.9
Functional Unit ...... 5 gallons.
TABLE 6B—ENVIRONMENTAL PERFORMANCE SCORES FOR GENERAL PURPOSE HOUSEHOLD CLEANERS
Environmental impact area Sample A Sample B
Total Environmental Performance Score 1 ...... 0 .1005 0 .0127
Acidification (5%) ...... 0 .0000 0 .0000 Criteria Air Pollutants (6%) ...... 0.0003 0.0002 Ecological Toxicity (11%) ...... 0 .0473 0 .0012 Eutrophication (5%) ...... 0.0072 0 .0008 Fossil Fuel Depletion (5%) ...... 0.0247 0.0055 Global Warming (16%) ...... 0.0085 0.0019 Habitat Alteration (16%) ...... 0.0000 0.0000 Human Health (11%) ...... 0.0076 0 .0021 Indoor Air (11%) ...... 0.0000 0.0000 Ozone Depletion (5%) ...... 0 .0000 0.0000 Smog (6%) ...... 0.0027 0 .0009 Water Intake (3%) ...... 0.0022 0.0001
Economic Performance (Life-cycle Costs ($)) 2 ...... 65 .63 27.50
First Cost ...... 65 .63 27.50 Future Cost (3.9%) ...... (3) (3)
Functional Unit ...... 5 gallons. 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated.
As seen in Table 6b, the total gallons of product. The life-cycle costs $27.50 and $65.63 (present value environmental performance scores are of the submitted household cleaners are dollars) per five gallons of product. 0.0127 and 0.1005 points per five
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7. Industrial Cleaners Unless cleaning products have been other measures of performance Industrial cleaners are products used formulated to contain no (or reduced applicable to products within this item, to remove contaminants, such as levels of) metals and toxic and those identified by manufacturers of adhesives, inks, paint, dirt, soil, and hazardous constituents, they can be products within this item are: harmful to aquatic life, the environment, grease, from parts, products, tools, Test Methods and/or workers. When purchasing machinery, equipment, vessels, floors, • walls, and other production-related environmentally preferable cleaning ASTM D445, ‘‘Standard Test work areas. Cleaning operations are products, Federal agencies should Method for Kinematic Viscosity of performed for a variety of reasons, such compare the ‘‘cradle-to-grave’’ impacts Transparent and Opaque Liquids (and of the manufacture, use, and disposal of the Calculation of Dynamic Viscosity);’’ as safety and operability, and to avoid • contamination of the products being both biobased and non-biobased ASTM D92, ‘‘Standard Test Method manufactured or repaired at the facility. products in order to determine which for Flash and Fire Points by Cleveland The cleaning products within this item product is environmentally preferable. Open Cup Tester;’’ • are usually solvents, but may take other USDA identified 59 different ASTM D1364, ‘‘Standard Test forms. They may be used in either manufacturers producing 122 individual Method for Water in Volatile Solvents straight solution or diluted with water biobased industrial cleaner and/or (Karl Fischer Reagent Titration in pressure washers, or in hand wiping solvent products. The 59 manufacturers Method);’’ and applications in industrial or do not necessarily include all • Environmental Protection Agency manufacturing settings, such as inside manufacturers of biobased industrial Method #24—Determination of Volatile vessels. cleaners, merely those identified during Matter Content, Water Content, Density, Cleaners within this item are used in USDA information gathering activities. Volume Solids, and Weight Solids of industrial settings in which production Information supplied by these Surface Coating. processes take place. This distinguishes manufacturers indicates that these Performance Standards these types of cleaners from products are being used commercially. institutional cleaners, which are used in In addition, manufacturers and • ASTM D446, ‘‘Standard settings where production processes do stakeholders identified test methods, Specifications and Operating not take place. performance standards, and other Instructions for Glass Capillary Procuring agencies should note that, measures of performance used in Kinematic Viscometers;’’ as discussed in Section II of this evaluating products within this item. • ASTM D13, ‘‘Standard preamble, not all biobased cleaning While there may be additional test Specification for Spirits of Turpentine;’’ products are ‘‘environmentally methods, as well as performance • ASTM D1836, ‘‘Standard preferable’’ to non-biobased products. standards, product certifications, and Specification for Commercial Hexanes;’’
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• ASTM D235, ‘‘Standard Product Certifications and Other use, or procure contract services, such Specification for Mineral Spirits Measures as cleaning and maintenance services, (Petroleum Spirits) (Hydrocarbon Dry • Section 612 of EPA’s Significant that use industrial cleaners. Thus, there Cleaning Spirits);’’ New Alternatives Policy (SNAP); is a need for industrial cleaners. • ASTM D3278, ‘‘Standard • Green Seal #GS–37, Green Seal Designation of ‘‘industrial cleaners’’ will promote the use of biobased products, Specification for 2-Ethoxyethyl Acetate Environmental Standard for General- furthering the objectives of this (99% Grade);’’ Purpose, Bathroom, Glass, and Carpet program. • Cleaners Used for Industrial and Green Seal #GS–37, Green Seal Institutional Purposes; and An analysis of the environmental and Environmental Standard for General- • EPA’s National Contingency Plan. human health benefits and the life-cycle Purpose, Bathroom, Glass, and Carpet USDA attempted to gather data on the costs of biobased industrial cleaners was Cleaners Used for Industrial and potential market for biobased products performed for three of the products Institutional Purposes; and within the Federal government using using the BEES analytical tool. The • Boeing #BAC 5750, Solvent the procedure described in the section impact values for these three products Cleaning. on ‘‘Chain and Cable Lubricants.’’ These are presented in Table 7a. The attempts were largely unsuccessful. environmental performance scores are However, Federal agencies routinely presented in Table 7b and in Figure 7.
TABLE 7A—IMPACT VALUES FOR INDUSTRIAL CLEANERS
Environmental impact area Units Sample A Sample B Sample C
Acidification ...... millimoles of hydrogen ion equivalents ...... 433 11,100 34,000 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 0.134 3.56 16.2 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 79.5 234 76.5 Eutrophication ...... grams of nitrogen equivalent ...... 0.971 58.7 45.2 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 16.7 470 133 Global Warming ...... grams of carbon dioxide equivalents ...... 953 32,600 158,000 Habitat Alteration ...... threatened and endangered species count ...... 0 0 0 Human Health ...... grams of toluene equivalent ...... 4,940 291,000 103,000 Indoor Air ...... grams of total volatile organic compounds ...... 0 0 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 1.66E–08 2.21E–04 5.19E–06 Smog ...... grams of nitrogen oxide equivalents ...... 15.5 139 198 Water Intake ...... liters of water ...... 48.7 623 287
Functional Unit ...... 5 gallons of product.
TABLE 7B—ENVIRONMENTAL PERFORMANCE SCORES FOR INDUSTRIAL CLEANERS
Environmental impact area Sample A Sample B Sample C
Total Environmental Performance Score 1 ...... 0.0152 0.1641 0.1615
Acidification (5%) ...... 0.0000 0.0000 0.0000 Criteria Air Pollutants (6%) ...... 0.0000 0.0011 0.0051 Ecological Toxicity (11%) ...... 0.0107 0.0316 0.0103 Eutrophication (5%) ...... 0.0003 0.0153 0.0118 Fossil Fuel Depletion (5%) ...... 0.0024 0.0665 0.0189 Global Warming (16%) ...... 0.0006 0.0204 0.0989 Habitat Alteration (16%) ...... 0.0000 0.0000 0.0000 Human Health (11%) ...... 0.0003 0.0202 0.0071 Indoor Air (11%) ...... 0.0000 0.0000 0.0000 Ozone Depletion (5%) ...... 0.0000 0.0000 0.0000 Smog (6%) ...... 0.0006 0.0055 0.0078 Water Intake (3%) ...... 0.0003 0.0035 0.0016
Economic Performance (Life-cycle Costs ($)) 2 ...... 8.85 82.00 84.95
First Cost ...... 8.85 82.00 84.95 Future Cost (3.9%) ...... (3) (3) (3)
Functional Unit ...... Five gallons of product. 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated.
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As seen in Table 7b, the total and/or workers. When purchasing Test Methods environmental performance scores range environmentally preferable cleaning • ASTM D1298, ‘‘Standard Test from 0.0152 to 0.1641 per five gallons of products, Federal agencies should Method for Density, Relative Density product. The life-cycle costs of the compare the ‘‘cradle-to-grave’’ impacts (Specific Gravity), or API Gravity of submitted industrial cleaners range from of the manufacture, use, and disposal of Crude Petroleum and Liquid Petroleum $8.85 to $84.95 (present value dollars) both biobased and non-biobased Products by Hydrometer Method’’; per five gallons of product. products in order to determine which • ASTM D130, ‘‘Standard Test 8. Multipurpose Cleaners product is environmentally preferable. Method for Corrosiveness to Copper from Petroleum Products by Copper Multipurpose cleaners are used to USDA identified 39 different manufacturers producing 61 individual Strip Test’’; clean dirt, grease, and grime from a • ASTM D2500, ‘‘Standard Test variety of items and are used in both biobased multipurpose cleaner products. These 39 manufacturers do Method for Cloud Point of Petroleum industrial and domestic settings. Products’’; Multipurpose cleaners are intended for not necessarily include all • manufacturers of biobased multipurpose ASTM D86, ‘‘Standard Test Method broader applications than those cleaners for Distillation of Petroleum Products at designated as general purpose cleaners, merely those identified during USDA information gathering activities. Atmospheric Pressure’’; household cleaners, task-specific • Environmental Protection Agency Information supplied by these cleaners (e.g., bathroom and spa Method #601, Purgeable Halocarbons; cleaners), and industrial cleaners. In manufacturers indicates that these • Environmental Protection Agency today’s proposed rule, the definition of products are being used commercially. Method #602, Purgeable Aromatics; multipurpose cleaners excludes In addition, manufacturers and • Environmental Protection Agency products that are formulated for use as stakeholders identified several test Method #608, Organochlorine Pesticides disinfectants. methods and other measures of and PCBs; Procuring agencies should note that, performance and one performance • Organization for Economic as discussed in Section II of this standard used in evaluating products Cooperation and Development #OECD preamble, not all biobased cleaning within this item. While there may be 301B—CO2 Evolution Test for products are ‘‘environmentally additional test methods, as well as Biodegradation; preferable’’ to non-biobased products. performance standards, product • Society of Automotive Engineers Unless cleaning products have been certifications, and other measures of #APR 1755B—Effect of Cleaning Agents formulated to contain no (or reduced performance applicable to products on Aircraft Engine Materials, Stock Loss levels of) metals and toxic and within this item, those identified by Test Method; hazardous constituents, they can be manufacturers of products within this • Green Seal #GS–37, Green Seal harmful to aquatic life, the environment, item are: Environmental Standard for General-
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Purpose, Bathroom, Glass, and Carpet Product Certifications and Other Thus, there is a need for multipurpose Cleaners Used for Industrial and Measures cleaners. Designation of ‘‘multipurpose Institutional Purposes; and • Choice Eco Logo (Canada); cleaners’’ will promote the use of • Methods for Measuring the Acute • Acute Dermal Toxicity; and biobased products, furthering the • Toxicity of Effluents and Receiving Acute Oral Toxicity. objectives of this program. Waters to Freshwater and Marine USDA attempted to gather data on the An analysis of the environmental and potential market for biobased products Organisms (EPA #600/4–90–027F). human health benefits and the life-cycle within the Federal government using costs of biobased multipurpose cleaners Performance Standards the procedure described in the section on ‘‘Chain and Cable Lubricants.’’ These was performed for one of the products • Green Seal #GS–34—Standard attempts were largely unsuccessful. using the BEES analytical tool. The Establishing Environmental However, Federal agencies routinely impact values for this multipurpose Requirements for Cleaning/Degreasing use, or procure contract services that cleaner are presented in Table 8a. The Agents. use, multipurpose cleaners in a variety environmental performance scores are of cleaning and maintenance activities. presented in Table 8b and in Figure 8.
TABLE 8A—SUMMARY OF BEES RESULTS FOR MULTIPURPOSE CLEANERS—IMPACT VALUES
Environmental impact area Units Sample A
Acidification ...... millimoles of hydrogen ion equivalents ...... 2,910 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 1.19 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 158 Eutrophication ...... grams of nitrogen equivalent ...... 17.5 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 5.12 Global Warming ...... grams of carbon dioxide equivalents ...... 4,680 Habitat Alteration ...... threatened and endangered species count ...... 0 Human Health ...... grams of toluene equivalent ...... 47,100 Indoor Air ...... grams of total volatile organic compounds ...... 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 4.53E–06 Smog ...... grams of nitrogen oxide equivalents ...... 65.1 Water Intake ...... liters of water ...... 4,000 Functional Unit ...... (1) 1 1,000 gallons of diluted and ready to use multipurpose cleaner.
TABLE 8B—ENVIRONMENTAL PERFORMANCE SCORES FOR MULTIPURPOSE CLEANERS
Environmental impact area Sample A
BEES Environmental Performance—Total Score 1 ...... 0 .0649
Acidification (5%) ...... 0 .0000 Criteria Air Pollutants (6%) ...... 0.0004 Ecological Toxicity (11%) ...... 0 .0213 Eutrophication (5%) ...... 0.0046 Fossil Fuel Depletion (5%) ...... 0.0072 Global Warming (16%) ...... 0.0029 Habitat Alteration (16%) ...... 0.0000 Human Health (11%) ...... 0.0033 Indoor Air (11%) ...... 0.0000 Ozone Depletion (5%) ...... 0 .0000 Smog (6%) ...... 0.0026 Water Intake (3%) ...... 0.0226
Economic Performance (Life-cycle Costs ($)) 2 ...... 5,950 .00
First Cost ...... 5,950 .00 Future Cost (3.9%) ...... (3)
Functional Unit ...... (4) 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated. 4 1,000 gallons of diluted and ready to use multipurpose cleaner.
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As seen in Table 8b, the total products are being used commercially. USDA attempted to gather data on the environmental performance score and In addition, manufacturers and potential market for biobased products the life-cycle cost for the submitted stakeholders identified four test within the Federal government using multipurpose cleaner are, respectively, methods used in evaluating products the procedure described in the section 0.0649 points per 1,000 gallons of within this item. While there may be on ‘‘Chain and Cable Lubricants.’’ These diluted and ready to use product and additional test methods, as well as attempts were largely unsuccessful. $5,950.00 per 1,000 gallons of diluted performance standards, product USDA is aware of biobased parts wash and ready to use product. certifications, and other measures of solutions being used by at least one U.S. performance applicable to products Air Force base that overhauls aircraft 9. Parts Wash Solutions within this item, those identified by parts. However, Federal agencies or Parts wash solutions are products manufacturers of products within this their services contractors routinely used in cleaning and machining parts to item are: perform, and procure services that remove dirt and grease buildup on used Test Methods perform, the types of cleaning and parts. The products are intended to be • maintenance activities that utilize parts used in manual or automatic cleaning ASTM D445, ‘‘Standard Test wash solutions. Thus, there is a need for Method for Kinematic Viscosity of systems including, but not limited to, parts wash solutions. Designation of Transparent and Opaque Liquids (and soak vats and tanks, ultrasonic cleaners, ‘‘parts wash solutions’’ will promote the the Calculation of Dynamic Viscosity)’’; use of biobased products, furthering the and cabinet washers. • ASTM D446, ‘‘Standard objectives of this program. USDA identified 16 different Specifications and Operating manufacturers producing 22 individual Instructions for Glass Capillary An analysis of the environmental and biobased parts wash solution products. Kinematic Viscometers’’; human health benefits and the life-cycle These 16 manufacturers do not • ASTM D877, ‘‘Standard Test costs of biobased parts wash solutions necessarily include all manufacturers of Method for Dielectric Breakdown was performed for two of the products biobased parts wash solutions, merely Voltage of Insulating Liquids Using Disk using the BEES analytical tool. The those identified during USDA Electrodes’’; and impact values for these two parts wash information gathering activities. • ASTM D92, ‘‘Standard Test Method solutions are presented in Table 9a. The Information supplied by these for Flash and Fire Points by Cleveland environmental performance scores are manufacturers indicates that these Open Cup Tester’’. presented in Table 9b and in Figure 9.
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TABLE 9A—IMPACT VALUES FOR PARTS WASH SOLUTIONS
Environmental impact area Units Sample A Sample B
Acidification ...... millimoles of hydrogen ion equivalents ...... 2,870 1,960 Criteria Air Pollutants ...... micro Disability-Adjusted Life Years ...... 1.12 0.594 Ecological Toxicity ...... grams of 2,4-dichloro-phenoxy-acetic acid ...... 71.4 40.1 Eutrophication ...... grams of nitrogen equivalent ...... 8.83 10.7 Fossil Fuel Depletion ...... megajoules of surplus energy ...... 130 76.4 Global Warming ...... grams of carbon dioxide equivalents ...... 7,560 5,100 Habitat Alteration ...... threatened and endangered species count ...... 0 0 Human Health ...... grams of toluene equivalent ...... 75,400 55,200 Indoor Air ...... grams of total volatile organic compounds ...... 0 0 Ozone Depletion ...... grams of chloroflouro-carbon-11 equivalents ...... 1.10E–05 2.03E–06 Smog ...... grams of nitrogen oxide equivalents ...... 30.3 21.5 Water Intake ...... liters of water ...... 92.6 117
Functional Unit ...... 1 gallon
TABLE 9B—SUMMARY OF BEES RESULTS FOR PARTS WASH SOLUTIONS—ENVIRONMENTAL PERFORMANCE SCORES
Environmental impact area Sample A Sample B
Total Environmental Performance Score 1 ...... 0 .0421 0 .0278
Acidification (5%) ...... 0 .0000 0 .0000 Criteria Air Pollutants (6%) ...... 0.0003 0.0002 Ecological Toxicity (11%) ...... 0 .0096 0 .005 Eutrophication (5%) ...... 0.0023 0 .0028 Fossil Fuel Depletion (5%) ...... 0.0183 0.0108 Global Warming (16%) ...... 0.0047 0.0032 Habitat Alteration (16%) ...... 0.0000 0.0000 Human Health (11%) ...... 0.0052 0 .0038 Indoor Air (11%) ...... 0.0000 0.0000 Ozone Depletion (5%) ...... 0 .0000 0.0000 Smog (6%) ...... 0.0012 0 .0009 Water Intake (3%) ...... 0.0005 0.0007
Economic Performance (Life-cycle Costs ($)) 2 ...... 10 .43 16.99
First Cost ...... 10 .43 16.99 Future Cost (3.9%) ...... (3) (3)
Functional Unit ...... gallon of parts wash solution 1 Numbers in parentheses indicate weighting factor. 2 Costs are per functional unit. 3 For this item, no significant/quantifiable performance or durability differences were identified among competing alternative products. There- fore, future costs were not calculated.
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As seen in Table 9b, the total most widespread usage of biobased biobased content that is practicable in environmental performance scores are products by procuring agencies, and is all of the proposed designated items. To 0.0278 and 0.0421 points per gallon of expected to accomplish the objectives of assist the procuring agencies in product. The life-cycle costs of the section 9002. determining which products have the submitted parts wash solutions are As discussed in Section IV.A of this highest biobased content, USDA will $10.43 and $16.99 (present value preamble, USDA relied entirely on update the information in the biobased dollars) per gallon of product. manufacturers’ voluntary submission of products catalog to include the biobased samples to support the proposed C. Minimum Biobased Contents content of each product. Those products designation of these items. The data within each designated item that have USDA has determined that setting a presented in the following paragraphs the highest biobased content will be minimum biobased content for are the test results from all of the listed first and others will be listed in designated items is appropriate. product samples that were submitted for descending order. USDA is specifically Establishing a minimum biobased analysis. requesting comments on the proposed content will encourage competition As a result of public comments minimum biobased contents of among manufacturers to develop received on the first designated items designated items and also requests products with higher biobased contents rulemaking proposal, USDA decided to additional data that can be used to re- and will prevent products with de account for the slight imprecision in the evaluate the appropriateness of the minimus biobased content from being analytical method used to determine proposed minimum biobased contents. purchased as a means of satisfying the biobased content of products when As the market for biobased products requirements of section 9002. USDA establishing the minimum biobased develops and USDA obtains additional believes that it is in the best interest of content. Thus, rather than establishing biobased content data, it will re-evaluate the preferred procurement program for the minimum biobased content for an the established minimum biobased minimum biobased contents to be set at item at the tested biobased content of contents of designated items and levels that will realistically allow the product selected as the basis for the consider raising them whenever products to possess the necessary minimum value, USDA is establishing justified. performance attributes and allow them the minimum biobased content at a The following paragraphs summarize to compete with non-biobased products level three (3) percentage points less the information that USDA used to in performance and economics. Setting than the tested value. USDA believes propose minimum biobased contents the minimum biobased content for an that this adjustment is appropriate to within each proposed designated item. item at a level met by several of the account for the expected variations in tested products will provide more analytical results. 1. Chain and Cable Lubricants products from which procurement USDA encourages procuring agencies Nine of the 37 biobased chain and officials may choose, will encourage the to seek products with the highest cable lubricants identified have been
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tested for biobased content using ASTM group of products whose biobased claims for their products. Because D6866.2 The biobased contents of these contents range from 56 to 61 percent. biodegradability is a desired feature, nine biobased chain and cable For these reasons, USDA is proposing to USDA is proposing to set the minimum lubricants ranged from 80 percent to 100 set the minimum biobased content for biobased content for this item at 68 percent, as follows: 80, 81, 86, 89, 96, this item at 53 percent, based on the percent, based on the product with a 99, 100, 100, and 100. product with the lowest biobased tested biobased content of 71 percent. The biobased contents for the tested content in the group of products with 5. Gear Lubricants products fall within a fairly narrow tested biobased contents of 56 to 61 range with no significant breaks or gaps percent. Eight of the 24 biobased gear in the data. Therefore, USDA is 3. Food Cleaners lubricants identified have been tested proposing to set the minimum biobased for biobased content using ASTM content for this item at 77 percent, Five of the 15 biobased food cleaners D6866. The biobased contents of these based on the product with a tested identified have been tested for biobased eight biobased gear lubricants ranged biobased content of 80 percent. The content using ASTM D6866. The from 4 percent to 100 percent as tested 80 percent value is adjusted to 77 biobased contents of these five biobased follows: 4, 61, 69, 81, 87, 89, 97, and percent to account for possible food cleaners ranged from 56 percent to 100. variability in the results of ASTM 98 percent as follows: 56, 61, 65, 76, and Because there is a significant gap in D6866, as discussed earlier. 98. biobased content between the products While this is a fairly wide range of with 4 and 61 percent biobased content, 2. Corrosion Preventatives biobased contents between the lowest USDA evaluated the 4 percent biobased biobased content and the highest Ten of the 97 available biobased product to determine if it possessed biobased content among the tested corrosion preventatives have been tested performance or applicability features products, the only significant gap in the for biobased content using ASTM that the other products did not. USDA data is between the 76 and the 98 D6866. The biobased contents of these found no performance or applicability percent products. Because most of the ten biobased corrosion preventatives characteristics that set this product ranged from 26 percent to 94 percent as biobased contents are grouped towards the lower end of the range, USDA apart from other products in this item. follows: 26, 26, 56, 59, 61, 74, 85, 91, Therefore, UDSA dropped this product 92, and 94. evaluated the available information for these products to determine if there was from consideration in setting the As seen, the tested biobased contents minimum biobased content for this cover a wide range, from 26 percent to justification for creating separate subcategories for these products and for item. 94 percent, with a significant gap in the The tested biobased content of the range between the 26 and 56 percent the one product with 98 percent biobased content. USDA found that remaining six products, as shown above, products and another between the 61 ranged from 61 percent to 100 percent. and 74 percent products. USDA there was not sufficient information on performance or applicability of the USDA found that the manufacturers of reviewed the product information for the products with 61 and 69 percent the two products with 26 percent products to support the creation of subcategories. Therefore, USDA is biobased content have tested their biobased content to determine if there products against numerous performance was any justification for creating a proposing to set the minimum biobased content for this item at 53 percent, standards and that the remaining subcategory within the item or for manufacturers do not claim to have considering these products when setting based on the product with the lowest biobased content in the group of done so. To ensure that products are the proposed minimum biobased available within this item that meet a content. USDA did not identify any products with tested biobased contents ranging from 56 to 65 percent. range of performance standards, USDA performance or applicability features of is proposing to set the minimum these products that justified creating a 4. Forming Lubricants biobased content for this item at 58 subcategory or setting the minimum Five of the 13 biobased forming percent, based on the product with a biobased content at a level that would lubricants identified have been tested tested biobased content of 61 percent. include them. USDA next evaluated the for biobased content using ASTM 6. General Purpose Household Cleaners available information for the group of D6866. The biobased contents of these products with biobased contents five biobased forming lubricants ranged Nine of the 24 biobased general between 56 and 61 percent. USDA from 38 percent to 99 percent as purpose household cleaners identified found that the manufacturer of the follows: 38, 71, 85, 85, and 99. have been tested for biobased content product with a biobased content of 61 Considering that there is a significant using ASTM D6866. The biobased percent indicates that their product gap in the data points between the 38 contents of these nine biobased general meets the ASTM D665 Turbine Oil Rust and 71 percent biobased products, purpose household cleaners ranged Test. The manufacturers of the products USDA evaluated the information from 10 percent to 95 percent as with higher biobased contents have not available on these products to determine follows: 10, 42, 54, 61, 72, 81, 82, 91, indicated that their products meet this if there was justification for creating and 95. performance level. USDA does not have subcategories. USDA found that there The biobased content of the 10 sufficient information to otherwise was not sufficient information to create percent product is substantially below distinguish among the products in the subcategories or to include the 38 the next lowest tested product (42 percent biobased product when setting percent) and USDA found no 2 ASTM D6866, ‘‘Standard Test Methods for Determining the Biobased Content of Natural Range the minimum biobased content for the performance or applicability Materials Using Radiocarbon and Isotope Ratio item. USDA found that the product with characteristics that set the 10 percent Mass Spectrometry Analysis,’’ is used to distinguish 71 percent biobased content was product apart from other products in between carbon from fossil resources (non-biobased product claimed by its manufacturer to this item. Therefore, UDSA dropped this carbon) and carbon from renewable sources (biobased carbon). The biobased content is be biodegradable, while the product from consideration in setting expressed as the percentage of total carbon that is manufacturers of the 85 and 99 percent the minimum biobased content for this biobased carbon. biobased products did not make such item.
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The tested biobased contents of the with a tested biobased content of 44 or applicability characteristics that set remaining eight products, as shown percent. If sufficient data become these products apart from other above, ranged from 42 percent to 95 available after proposal, USDA will re- products in this item and, thus, they percent. Because this is a wide range of evaluate the possibility of were eliminated from consideration for values, USDA considered the possibility subcategorizing this item. establishing the minimum biobased of creating subcategories within this content. 8. Multipurpose Cleaners item. However, USDA does not have Because the overall range of the five sufficient data on the performance and Eighteen of the 62 biobased remaining data points is fairly narrow, applicability of products within this multipurpose cleaners identified have and the available product information item to support the creation of been tested for biobased content using does not support any subcategorization subcategories. USDA will continue to ASTM D6866. The biobased contents of of this item, USDA is proposing to set request product performance data and, these 18 biobased multipurpose cleaners the minimum biobased content for parts if sufficient supporting data can be ranged from 11 percent to 96 percent as wash solutions at 65 percent, based on obtained, will consider creating follows: 11, 15, 25, 28, 31, 37, 45, 49, the product with a tested biobased subcategories within this item in the 59, 65, 69, 72, 78, 79, 84, 88, 96, and 96. content of 68 percent. As with the industrial cleaners item, final rule. Because of the lack of D. Compliance Date for Procurement supporting data for subcategorization USDA considered subcategorizing this item based on factors such as product Preference and Incorporation Into and because there are no significant Specifications gaps in the biobased content of the eight formulations, the variability of the products being considered, USDA is substrates to be cleaned, and the USDA intends for the final rule to proposing to set the minimum biobased contaminants that are encountered. take effect thirty (30) days after content for general purpose household However, at the present time USDA publication of the final rule. However, cleaners at 39 percent, based on the does not have sufficient data to as proposed, procuring agencies would product with a tested biobased content segregate the various products into have a one-year transition period, of 42 percent. subcategories based on formulation or starting from the date of publication of performance. As a result, USDA is the final rule, before the procurement 7. Industrial Cleaners proposing to maintain multipurpose preference for biobased products within Thirty-two of the 121 biobased cleaners as a single item. Although there a designated item would take effect. industrial cleaners identified have been are no large gaps in the range of USDA is proposing a one-year period tested for biobased content using ASTM biobased content data points, USDA before the procurement preferences D6866. The tested biobased contents for considered the 10-point gap between the would take effect based on recognizing these 32 biobased industrial cleaners 49 and the 59 percent biobased content that Federal agencies will need time to ranged from 2 percent to 100 percent, as products to be sufficient for creating two incorporate the preferences into follows: 2, 18, 18, 44, 49, 52, 61, 69, 73, groups of products; one with biobased procurement documents and to revise 74, 77, 79, 80, 80, 82, 85, 91, 92, 92, 94, contents of 49 percent and lower and existing standardized specifications. 95, 95, 96, 96, 97, 97, 98, and 100 (five one with biobased contents of 59 Section 9002(a)(3), as amended by the products). percent and higher. USDA evaluated the FCEA of 2008, and section 2902(c) of 7 Because there is a significant gap product information available for each CFR part 2902 explicitly acknowledge between the 18 and the 44 percent product within the two product groups the latter need for Federal agencies to biobased content products, USDA and was unable to identify performance have sufficient time to revise the reviewed the information on the three or applicability features in the 49 affected specifications to give preference products with tested biobased contents percent and lower group that were not to biobased products when purchasing of 2 percent and 18 percent to determine available in the 59 percent and higher the designated items. Procuring agencies if subcategorization was justified. USDA group. Thus, USDA proposes to set the will need time to evaluate the economic found no performance or applicability minimum biobased content for this item and technological feasibility of the characteristics that set these products at 56 percent, based on the 59 percent available biobased products for their apart from other products in this item biobased product from the group of agency-specific uses and for compliance and, thus, they were eliminated from products with the higher biobased with agency-specific requirements, consideration for establishing the contents. If sufficient data become including manufacturers’ warranties for minimum biobased content. available after proposal, USDA will re- machinery in which the biobased The tested biobased contents of the evaluate the possibility of products would be used. remaining 26 products, as shown above, subcategorizing this item. By the time these items are ranged from 44 percent to 100 percent. promulgated for designation, Federal Because of the variability of the 9. Parts Wash Solutions agencies will have had a minimum of 18 substrates to be cleaned and of the Seven of the 22 biobased parts wash months (from the date of this Federal contaminants that are encountered on solutions identified have been tested for Register notice), and much longer those substrates, USDA considered biobased content using ASTM D6866. considering when the Guidelines were subcategorizing this item. However, at The biobased contents of these seven first proposed and these requirements the present time USDA does not have biobased parts wash solutions ranged were first laid out, to implement these sufficient data to segregate the various from 12 percent to 96 percent as requirements. products into subcategories based on follows: 12, 13, 68, 83, 89, 94, and 96. For these reasons, USDA proposes formulation or performance. As a result, Because there is a significant gap that the mandatory preference for USDA is proposing to maintain between the 13 and the 68 percent biobased products under the designated industrial cleaners as a single item. biobased content products, USDA items take effect one year after Because there are no significant gaps in reviewed the information on the promulgation of the final rule. The one- the 26 biobased content data points products with tested biobased contents year period provides these agencies being considered, USDA proposes to set of 12 percent and 13 percent to with ample time to evaluate the the minimum biobased content for this determine if subcategorization was economic and technological feasibility item at 41 percent, based on the product justified. USDA found no performance of biobased products for a specific use
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and to revise the specifications access this list, go to the BioPreferred Consideration was also given to the fact accordingly. However, some agencies Web site and click on the ‘‘Selling to that agencies may choose not to procure may be able to complete these processes Federal Government’’ tab and look for designated items due to unreasonable more expeditiously, and not all uses the DoD Specifications link. costs. will require extensive analysis or VI. Regulatory Information 1. Summary of Impacts revision of existing specifications. Although it is allowing up to one year, A. Executive Order 12866: Regulatory Today’s proposed rule is expected to USDA encourages procuring agencies to Planning and Review have both positive and negative impacts on individual businesses, including implement the procurement preferences Executive Order 12866 requires as early as practicable for procurement small businesses. USDA anticipates that agencies to determine whether a the biobased preferred procurement actions involving any of the designated regulatory action is ‘‘significant.’’ The items. program will provide additional Order defines a ‘‘significant regulatory opportunities for businesses and V. Where Can Agencies Get More action’’ as one that is likely to result in manufacturers to begin supplying Information on These USDA-Designated a rule that may: ‘‘(1) Have an annual products under the proposed designated Items? effect on the economy of $100 million biobased items to Federal agencies and Information used to develop this or more or adversely affect, in a material their contractors. However, other proposed rule can be found in the way, the economy, a sector of the businesses and manufacturers that technical support document, which can economy, productivity, competition, supply only non-qualifying products be accessed on the BioPreferred Web jobs, the environment, public health or and do not offer biobased alternatives site, which is located at: http:// safety, or State, local, or tribal may experience a decrease in demand www.biopreferred.gov. At the governments or communities; (2) Create from Federal agencies and their BioPreferred Web site, click on the a serious inconsistency or otherwise contractors. USDA is unable to Proposed and Final Regulations link on interfere with an action taken or determine the number of businesses, the left side of the page. At the next planned by another agency; (3) including small businesses, which may screen, click on the Supporting Materially alter the budgetary impact of be adversely affected by today’s Documentation link under Round 5 entitlements, grants, user fees, or loan proposed rule. The proposed rule, Designated Items under the Proposed programs or the rights and obligations of however, will not affect existing Regulations section. recipients thereof; or (4) Raise novel purchase orders, nor will it preclude Further, once the item designations in legal or policy issues arising out of legal businesses from modifying their product today’s proposal become final, mandates, the President’s priorities, or lines to meet new requirements for manufacturers and vendors voluntarily the principles set forth in this Executive designated biobased products. Because may make available information on Order.’’ the extent to which procuring agencies specific products, including product Today’s proposed rule has been will find the performance and costs of and contact information, for posting by determined significant for purposes of biobased products acceptable is USDA on the BioPreferred Web site. Executive Order 12866 and, therefore, unknown, it is impossible to quantify USDA will periodically audit the has been reviewed by the Office of the actual economic effect of the rule. information displayed on the Management and Budget. We are not BioPreferred Web site and, where able to quantify the annual economic 2. Benefits of the Proposed Rule questions arise, contact the effect associated with today’s proposed The designation of these items manufacturer or vendor to verify, rule. As discussed earlier in this provides the benefits outlined in the correct, or remove incorrect or out-of- preamble, USDA made extensive efforts objectives of section 9002: To increase date information. Procuring agencies to obtain information on the Federal domestic demand for many agricultural should contact the manufacturers and agencies’ usage within today’s commodities that can serve as vendors directly to discuss specific designated items, including their feedstocks for production of biobased needs and to obtain detailed subcategories. These efforts were largely products; to spur development of the information on the availability and unsuccessful. Therefore, attempts to industrial base through value-added prices of biobased products meeting quantify the economic impact of today’s agricultural processing and those needs. proposed rule would require estimation manufacturing in rural communities; to By accessing the BioPreferred Web of the anticipated market penetration of enhance the Nation’s energy security by site, agencies will also be able to obtain biobased products based upon many substituting biobased products for the voluntarily posted information on assumptions. In addition, because products derived from imported oil and each product concerning: Relative price; agencies have the option of not natural gas; and to substitute products life-cycle costs; hot links directly to a purchasing designated items if costs are with a possibly more benign or manufacturer’s or vendor’s Web site (if ‘‘unreasonable,’’ the product is not beneficial environmental impact, as available); performance standards readily available, or the product does compared to the use of fossil energy- (industry, government, military, ASTM/ not demonstrate necessary performance based products. On a national and ISO) that the product has been tested characteristics, certain assumptions may regional level, today’s proposed rule can against; and environmental and public not be valid. While facing these result in expanding and strengthening health information from the BEES quantitative challenges, USDA relied markets for biobased materials used in analysis or the alternative analysis upon a qualitative assessment to these items. embedded in ASTM Standard D7075, determine the impacts of today’s ‘‘Standard Practice for Evaluating and proposed rule. This assessment was 3. Costs of the Proposed Rule Reporting Environmental Performance based primarily on the offsetting nature Like the benefits, the costs of today’s of Biobased Products.’’ of the program (an increase in biobased proposed rule have not been quantified. USDA has linked the BioPreferred products purchased with a Two types of costs are involved: Costs Web site to DoD’s list of specifications corresponding decrease in fossil energy- to producers of products that will and standards, which can be used as based products (including petroleum, compete with the preferred products guidance when procuring products. To coal and natural gas) purchased). and costs to Federal agencies to provide
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procurement preference for the containing biobased materials. Thus, the D. Executive Order 12988: Civil Justice preferred products. Producers of economic impacts of today’s proposed Reform competing products may face a decrease rule are not expected to be significant. This proposed rule has been reviewed in demand for their products to the The intent of section 9002 is largely extent Federal agencies refrain from in accordance with Executive Order to stimulate the production of new purchasing their products. However, it 12988, Civil Justice Reform. This biobased products and to energize is not known to what extent this may proposed rule does not preempt State or occur. Procurement costs for Federal emerging markets for those products. local laws, is not intended to have agencies may rise as they evaluate the Because the program is still in its retroactive effect, and does not involve availability and relative cost of preferred infancy, however, it is unknown how administrative appeals. products before making a purchase. many businesses will ultimately be affected. While USDA has no data on E. Executive Order 13132: Federalism B. Regulatory Flexibility Act (RFA) the number of small businesses that may This proposed rule does not have The RFA, 5 U.S.C. 601–602, generally choose to develop and market products sufficient federalism implications to requires an agency to prepare a within the items proposed for warrant the preparation of a Federalism regulatory flexibility analysis of any rule designation by today’s proposed rule, Assessment. Provisions of this proposed subject to notice and comment the number is expected to be small. rule will not have a substantial direct rulemaking requirements under the Because biobased products represent an effect on States or their political Administrative Procedure Act or any emerging market, only a small subdivisions or on the distribution of other statute unless the agency certifies percentage of all manufacturers, large or power and responsibilities among the that the rule will not have a significant small, are expected to develop and various government levels. economic impact on a substantial market biobased products. Thus, the number of small entities. Small entities F. Unfunded Mandates Reform Act of number of small businesses affected by include small businesses, small 1995 organizations, and small governmental today’s proposed rule is not expected to jurisdictions. be substantial. This proposed rule contains no USDA evaluated the potential impacts After considering the economic Federal mandates under the regulatory of its proposed designation of these impacts of today’s proposed rule on provisions of Title II of the Unfunded items to determine whether its actions small entities, USDA certifies that this Mandates Reform Act of 1995 (UMRA), would have a significant impact on a action will not have a significant 2 U.S.C. 1531–1538, for State, local, and substantial number of small entities. economic impact on a substantial tribal governments, or the private sector. Because the preferred procurement number of small entities. Today’s Therefore, a statement under section program established under section 9002, proposed rule, therefore, does not 202 of UMRA is not required. as amended by the FCEA of 2008, require a regulatory flexibility analysis. G. Executive Order 12372: applies only to Federal agencies and Intergovernmental Review of Federal their contractors, small governmental While not a factor relevant to Programs (city, county, etc.) agencies are not determining whether the proposed rule will have a significant impact for RFA affected. Thus, the proposal, if For the reasons set forth in the Final purposes, USDA has concluded that the promulgated, will not have a significant Rule Related Notice for 7 CFR part 3015, effect of today’s proposed rule would be economic impact on small governmental subpart V (48 FR 29115, June 24, 1983), jurisdictions. USDA anticipates that this to provide positive opportunities to this program is excluded from the scope program will affect entities, both large businesses engaged in the manufacture of Executive Order 12372, which and small, that manufacture or sell of these biobased products. Purchase requires intergovernmental consultation biobased products. For example, the and use of these biobased products by with State and local officials. This designation of items for preferred procuring agencies may increase program does not directly affect State procurement will provide additional demand for these products and result in and local governments. opportunities for businesses to private sector development of new manufacture and sell biobased products technologies, creating business and H. Executive Order 13175: Consultation to Federal agencies and their employment opportunities that enhance and Coordination With Indian Tribal contractors. Similar opportunities will local, regional, and national economies. Governments be provided for entities that supply Technological innovation associated Today’s proposed rule does not biobased materials to manufacturers. with the use of biobased materials can Conversely, the biobased procurement significantly or uniquely affect ‘‘one or translate into economic growth and more Indian tribes, * * * the program may decrease opportunities for increased industry competitiveness businesses that manufacture or sell non- relationship between the Federal worldwide, thereby, creating Government and Indian tribes, or * * * biobased products or provide opportunities for small entities. components for the manufacturing of the distribution of power and such products. However, the proposed C. Executive Order 12630: responsibilities between the Federal rule will not affect existing purchase Governmental Actions and Interference Government and Indian tribes.’’ Thus, orders and it will not preclude With Constitutionally Protected Property no further action is required under procuring agencies from continuing to Rights Executive Order 13175. purchase non-biobased items under I. Paperwork Reduction Act certain conditions relating to the This proposed rule has been reviewed availability, performance, or cost of in accordance with Executive Order In accordance with the Paperwork biobased items. Today’s proposed rule 12630, Governmental Actions and Reduction Act of 1995 (44 U.S.C. 3501 will also not preclude businesses from Interference with Constitutionally through 3520), the information modifying their product lines to meet Protected Property Rights, and does not collection under this proposed rule is new specifications or solicitation contain policies that would have currently approved under OMB control requirements for these products implications for these rights. number 0503–0011.
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J. Government Paperwork Elimination (c) Preference compliance date. No metalworking applications that are Act Compliance later than [date one year after the date performed under extreme pressure. of publication of the final rule], Such metalworking applications include USDA is committed to compliance procuring agencies, in accordance with tube bending, stretch forming, press with the Government Paperwork this part, will give a procurement braking, and swaging. Elimination Act (GPEA) (44 U.S.C. 3504 preference for qualifying biobased chain (b) Minimum biobased content. The note), which requires Government and cable lubricants. By that date, preferred procurement product must agencies in general to provide the public Federal agencies that have the have a minimum biobased content of at the option of submitting information or responsibility for drafting or reviewing least 68 percent, which shall be based transacting business electronically to specifications for items to be procured on the amount of qualifying biobased the maximum extent possible. USDA is shall ensure that the relevant carbon in the product as a percent of the implementing an electronic information specifications require the use of weight (mass) of the total organic carbon system for posting information biobased chain and cable lubricants. in the finished product. voluntarily submitted by manufacturers (c) Preference compliance date. No or vendors on the products they intend § 2902.44 Corrosion preventatives. later than [date one year after the date to offer for preferred procurement under (a) Definition. Products designed to of publication of the final rule], each designated item. For information prevent the deterioration (corrosion) of procuring agencies, in accordance with pertinent to GPEA compliance related to metals. this part, will give a procurement this rule, please contact Shana Love at (b) Minimum biobased content. The preference for qualifying biobased (202) 205–4008. preferred procurement product must forming lubricants. By that date, Federal List of Subjects in 7 CFR Part 2902 have a minimum biobased content of at agencies that have the responsibility for least 53 percent, which shall be based drafting or reviewing specifications for Biobased products, Procurement. on the amount of qualifying biobased items to be procured shall ensure that For the reasons stated in the carbon in the product as a percent of the the relevant specifications require the preamble, the Department of Agriculture weight (mass) of the total organic carbon use of biobased forming lubricants. proposes to amend 7 CFR chapter XXIX in the finished product. as follows: (c) Preference compliance date. No § 2902.47 Gear lubricants. later than [date one year after the date (a) Definition. Products, such as CHAPTER XXIX—OFFICE OF ENERGY of publication of the final rule], greases or oils, that are designed to POLICY AND NEW USES procuring agencies, in accordance with reduce friction when applied to a this part, will give a procurement toothed machine part (such as a wheel PART 2902—GUIDELINES FOR preference for qualifying biobased or cylinder) that meshes with another DESIGNATING BIOBASED PRODUCTS corrosion preventatives. By that date, toothed part to transmit motion or to FOR FEDERAL PROCUREMENT Federal agencies that have the change speed or direction. responsibility for drafting or reviewing (b) Minimum biobased content. The 1. The authority citation for part 2902 specifications for items to be procured preferred procurement product must continues to read as follows: shall ensure that the relevant have a minimum biobased content of at Authority: 7 U.S.C. 8102. specifications require the use of least 58 percent, which shall be based biobased corrosion preventatives. on the amount of qualifying biobased Subpart B carbon in the product as a percent of the § 2902.45 Food cleaners. weight (mass) of the total organic carbon 2. Add §§ 2902.43 through 2902.51 to (a) Definition. Anti-microbial in the finished product. subpart B to read as follows: products designed to clean the outer (c) Preference compliance date. No Sec. layer of various food products, such as later than [date one year after the date 2902.43 Chain and cable lubricants. fruit, vegetables, and meats. of publication of the final rule], 2902.44 Corrosion preventatives. (b) Minimum biobased content. The procuring agencies, in accordance with 2902.45 Food cleaners. preferred procurement product must this part, will give a procurement 2902.46 Foaming lubricants. preference for qualifying biobased gear 2902.47 Gear lubricants. have a minimum biobased content of at 2902.48 General purpose household least 53 percent, which shall be based lubricants. By that date, Federal cleaners. on the amount of qualifying biobased agencies that have the responsibility for 2902.49 Industrial cleaners. carbon in the product as a percent of the drafting or reviewing specifications for 2902.50 Multipurpose cleaners. weight (mass) of the total organic carbon items to be procured shall ensure that 2902.51 Parts wash solutions. in the finished product. the relevant specifications require the use of gear lubricants. § 2902.43 Chain and cable lubricants. (c) Preference compliance date. No later than [date one year after the date (d) Determining overlap with an EPA- (a) Definition. Products designed to of publication of the final rule], designated recovered content product. provide lubrication in such applications procuring agencies, in accordance with Qualifying biobased products that fall as bar and roller chains, sprockets, and this part, will give a procurement under this item may, in some cases, wire ropes and cables. Products may preference for qualifying biobased food overlap with the following EPA- also prevent rust and corrosion in these cleaners. By that date, Federal agencies designated recovered content product: applications. that have the responsibility for drafting Re-refined lubricating oils. USDA is (b) Minimum biobased content. The or reviewing specifications for items to requesting that manufacturers of these preferred procurement product must be procured shall ensure that the qualifying biobased products provide have a minimum biobased content of at relevant specifications require the use of information for the BioPreferred Web least 77 percent, which shall be based biobased food cleaners. site of qualifying biobased products on the amount of qualifying biobased about the intended uses of the product, carbon in the product as a percent of the § 2902.46 Forming lubricants. information on whether or not the weight (mass) of the total organic carbon (a) Definition. Products designed to product contains any recovered in the finished product. provide lubrication during material, in addition to biobased
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ingredients, and performance standards biobased general purpose household on the amount of qualifying biobased against which the product has been cleaners. carbon in the product as a percent of the tested. This information will assist weight (mass) of the total organic carbon Federal agencies in determining § 2902.49 Industrial cleaners. in the finished product. (a) Definition. Products used to whether or not a qualifying biobased (c) Preference compliance date. No remove contaminants, such as product overlaps with EPA-designated later than [date one year after the date adhesives, inks, paint, dirt, soil, and re-refined lubricating oils and which of publication of the final rule], grease, from parts, products, tools, product should be afforded the procuring agencies, in accordance with machinery, equipment, vessels, floors, preference in purchasing. this part, will give a procurement walls, and other production-related Note to paragraph (d): Biobased gear preference for qualifying biobased work areas. The cleaning products lubricant products within this designated multipurpose cleaners. By that date, within this item are usually solvents, item can compete with similar gear lubricant Federal agencies that have the but may take other forms. They may be products with recycled content. Under the responsibility for drafting or reviewing Resource Conservation and Recovery Act of used in either straight solution or specifications for items to be procured 1976, section 6002, the U.S. Environmental diluted with water in pressure washers, shall ensure that the relevant Protection Agency designated re-refined or in hand wiping applications in specifications require the use of lubricating oils containing recovered industrial or manufacturing settings, materials as items for which Federal agencies biobased multipurpose cleaners. must give preference in their purchasing such as inside vessels. Task-specific programs. The designation can be found in cleaners used in industrial settings, § 2902.51 Parts wash solutions. such as parts wash solutions, are not the Comprehensive Procurement Guideline, (a) Definition. Products that are 40 CFR 247.11. included in this definition. (b) Minimum biobased content. The designed to clean parts in manual or § 2902.48 General purpose household preferred procurement product must automatic cleaning systems. Such cleaners. have a minimum biobased content of at systems include, but are not limited to, soak vats and tanks, cabinet washers, (a) Definition. Products designed to least 41 percent, which shall be based clean multiple common household on the amount of qualifying biobased and ultrasonic cleaners. surfaces. This designated item does not carbon in the product as a percent of the (b) Minimum biobased content. The include products that are formulated for weight (mass) of the total organic carbon preferred procurement product must use as disinfectants. Task-specific in the finished product. have a minimum biobased content of at cleaning products, such as spot and (c) Preference compliance date. No least 65 percent, which shall be based stain removers, upholstery cleaners, later than [date one year after the date on the amount of qualifying biobased bathroom cleaners, glass cleaners, etc., of publication of the final rule], carbon in the product as a percent of the are not included in this item. procuring agencies, in accordance with weight (mass) of the total organic carbon (b) Minimum biobased content. The this part, will give a procurement in the finished product. preferred procurement product must preference for qualifying biobased (c) Preference compliance date. No have a minimum biobased content of at industrial cleaners. By that date, Federal later than [date one year after the date least 39 percent, which shall be based agencies that have the responsibility for of publication of the final rule], on the amount of qualifying biobased drafting or reviewing specifications for procuring agencies, in accordance with carbon in the product as a percent of the items to be procured shall ensure that this part, will give a procurement weight (mass) of the total organic carbon the relevant specifications require the preference for qualifying biobased parts in the finished product. use of biobased industrial cleaners. wash solutions. By that date, Federal (c) Preference compliance date. No agencies that have the responsibility for § 2902.50 Multipurpose cleaners. later than [date one year after the date drafting or reviewing specifications for of publication of the final rule], (a) Definition. Products used to clean items to be procured shall ensure that procuring agencies, in accordance with dirt, grease, and grime from a variety of the relevant specifications require the this part, will give a procurement items in both industrial and domestic use of biobased parts wash solutions. preference for qualifying biobased settings. This designated item does not general purpose household cleaners. By include products that are formulated for Dated: October 16, 2008. that date, Federal agencies that have the use as disinfectants. Boyd Rutherford, responsibility for drafting or reviewing (b) Minimum biobased content. The Assistant Secretary for Administration, U.S. specifications for items to be procured preferred procurement product must Department of Agriculture. shall ensure that the relevant have a minimum biobased content of at [FR Doc. E8–25037 Filed 10–22–08; 8:45 am] specifications require the use of least 56 percent, which shall be based BILLING CODE 3410–GL–P
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Reader Aids Federal Register Vol. 73, No. 206 Thursday, October 23, 2008
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 15, 2008 ...... 62849 Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proclamations: 4 CFR The United States Government Manual 741–6000 8294...... 57223 22...... 60609 8295...... 57233 Other Services 8296...... 57475, 60609 5 CFR Electronic and on-line services (voice) 741–6020 8297...... 58429 295...... 58019 Privacy Act Compilation 741–6064 8298...... 58431 315...... 60611 Public Laws Update Service (numbers, dates, etc.) 741–6043 8299...... 58433 316...... 60611 TTY for the deaf-and-hard-of-hearing 741–6086 8300...... 58861 9701...... 58435 8301...... 58863 9901...... 58435 8302...... 58867 ELECTRONIC RESEARCH Proposed Rules: 8303...... 60603 532...... 58506 World Wide Web 8304...... 61649 8305...... 61651 6 CFR Full text of the daily Federal Register, CFR and other publications 8306...... 61653 is located at: http://www.gpoaccess.gov/nara/index.html 8307...... 61655 5...... 63057, 63058 Federal Register information and research tools, including Public 8308...... 62435 Proposed Rules: Inspection List, indexes, and links to GPO Access are located at: 8309...... 62437 5...... 62214, 63084 http://www.archives.gov/federallregister Executive Orders: 7 CFR E-mail 12962 (amended by 13474) ...... 57229 205...... 59479 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 13176 (Superseded by 301...... 63060 an open e-mail service that provides subscribers with a digital 13476) ...... 60605 331...... 61325 form of the Federal Register Table of Contents. The digital form 13474...... 57229 984...... 57485 of the Federal Register Table of Contents includes HTML and EO 12139 (amended 1260...... 60097 PDF links to the full text of each document. by EO 13475)...... 60095 Proposed Rules: To join or leave, go to http://listserv.access.gpo.gov and select EO 12949 (amended 340...... 60008 Online mailing list archives, FEDREGTOC-L, Join or leave the list by EO 13475)...... 60095 800...... 62446 (or change settings); then follow the instructions. EO 13475 ...... 60095 810...... 62446 13476...... 60605 946...... 62215 PENS (Public Law Electronic Notification Service) is an e-mail 966...... 62218 service that notifies subscribers of recently enacted laws. Administrative Orders: Memorandums: 1703...... 61198 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Memorandum of April 1780...... 61198 and select Join or leave the list (or change settings); then follow 17, 2006 2902...... 63298 the instructions. (superseded by 3570...... 61198 4280...... 61198 FEDREGTOC-L and PENS are mailing lists only. We cannot Memorandum of 4284...... 61198 respond to specific inquiries. October 17, 2008)...... 62845 Memorandum of 5002...... 61198 Reference questions. Send questions and comments about the October 3, 2008 Federal Register system to: [email protected] 8 CFR (supersedes The Federal Register staff cannot interpret specific documents or Memorandum of 100...... 58023 regulations. December 20, 212...... 58023 2005) ...... 58869 214...... 61332 FEDERAL REGISTER PAGES AND DATE, OCTOBER Memorandum of 248...... 61332 October 17, 2008 ...... 62845 9 CFR 56935–57234...... 1 Notices: 57235–57474...... 2 Notice of October 16, 77...... 60099 57475–58018...... 3 2008 ...... 62433 121...... 61325 58019–58434...... 6 Presidential 149...... 60464 58435–58866...... 7 Determinations: 160...... 60464 161...... 60464 58867–59478...... 8 PD 2008-29 of 201...... 62439 59479–60094...... 9 September 30, Proposed Rules: 60095–60602...... 10 2008 ...... 58865 2009-1...... 60935 2...... 63085 60603–60934...... 14 2009-2...... 60937 60935–61324...... 15 Presidential 10 CFR 61325–61648...... 16 Determination No. 50...... 57235, 60612 61649–62186...... 17 2009-3 of October 9, 431...... 58772 62187–62434...... 20 2008 ...... 62847 Proposed Rules: 62435–62846...... 21 Presidential 2...... 62931 62847–63056...... 22 Determination No. 35...... 58063 63057–63328...... 23 2009-4 of October 50...... 62220
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51 ...... 59540, 59547, 59551 61348 347...... 57515 2578...... 58549 430...... 62034, 62134 Proposed Rules: 348...... 57515 2590...... 62410 431...... 62034 39 ...... 58507, 58509, 58901, 375...... 57515 4022...... 61352 58903, 58906, 59571, 59573, 385...... 57515, 62881 4044...... 61352 11 CFR 60201, 60203, 60206, 60657, Proposed Rules: Proposed Rules: Proposed Rules: 61369, 61372, 61375, 61378, 40...... 62229, 63105 3...... 62229 100...... 62224 61747, 62447, 62937, 63090, 806...... 57271 5...... 62229 101...... 62224 63094, 63096 1910...... 62942 102...... 62224 71 ...... 58512, 58513, 61749, 19 CFR 1926...... 59714, 62942 104...... 62224 61750, 61752, 62940 4...... 60943 2550...... 60657 110...... 62224 91...... 57270, 63098 2590...... 60208 113...... 62224 93...... 60996 20 CFR 2700...... 62449 116...... 62224 15 CFR 501...... 62190 30 CFR 400...... 62224 616...... 63068 9001...... 62224 303...... 62880 203...... 58467 9003...... 62224 730...... 56964 21 CFR 210...... 58875 9031...... 62224 732...... 56964, 57495 203...... 59496 260...... 58467 9033...... 62224 734...... 56964, 57495 205...... 59496 938...... 60944 9035...... 62224 736...... 56964 522...... 58871, 58872 950...... 57538 738...... 57495 Proposed Rules: 12 CFR 558...... 58873 740...... 57495, 60910 589...... 63072 56...... 63110 201...... 61657 742...... 57495, 58033 801...... 58874 57...... 63110 204...... 57488, 59482 744...... 57495, 58033 66...... 63110 225...... 62851 746...... 57495 22 CFR 263...... 58031 748...... 57495 31 CFR 7...... 62196 330...... 61658 750...... 57495 40...... 62197 30...... 62205 721...... 62854 762...... 56964, 57495 50...... 62196 740...... 56935, 62856 770...... 57495 32 CFR 126...... 58041 745...... 60616, 62856 772...... 57495, 60910 112...... 59501 792...... 56936 774 ...... 56964, 57495, 58033, 23 CFR 199...... 59504 951...... 61660 60910 212...... 59505 Proposed Rules: 1291...... 61660 706...... 60947 Proposed Rules: 620...... 58908 750...... 60948 Proposed Rules: 740...... 57554 635...... 58908 751...... 60949 327...... 61560 772...... 57554 636...... 58908 701...... 57013 756...... 60949 16 CFR 710...... 58908 740...... 62935 757...... 60950 742...... 57013 305...... 63066 24 CFR Proposed Rules: 1610...... 62187 288...... 59579 1202...... 60192 25...... 60538 Proposed Rules: 325...... 59582 1250...... 60198 990...... 61350 553...... 57017 1773...... 60198 3...... 58832 4001...... 58418 4...... 58832 1702...... 61771 13 CFR 1500...... 58063 Proposed Rules: 1703...... 61772 101...... 61665 30...... 61754 121...... 56940, 61336 17 CFR 570...... 61757 33 CFR 124...... 57490 30...... 60625 25 CFR 100...... 57242, 60629 125...... 56940, 61336 143...... 57512 105...... 60951 127...... 56940, 61336 190...... 57235 542...... 60492 110...... 57244, 60629 134...... 56940, 61336 229...... 57237 543...... 60492 117 ...... 58473, 60629, 60952, 300...... 62858 230...... 58300, 60050 547...... 60508 60953, 60954 301...... 62858 231...... 60050 Proposed Rules: 147...... 60629 302...... 62858 232...... 60050 502...... 60490 165 ...... 59509, 59511, 60629 303...... 62858 239...... 58300, 60050 546...... 60490 Proposed Rules: 305...... 62858 240 ...... 58300, 60050, 61666, 26 CFR 117...... 58070, 62450 307...... 62858 61678 165...... 62235 308...... 62858 241...... 60050, 61690 1 ...... 58438, 59501, 62199, 310...... 62858 242 ...... 61690, 61690, 61706 62203, 62204, 63073 34 CFR 314...... 62858 249 ...... 58300, 60050, 61678 54...... 62410 5b...... 61354 315...... 62858 Proposed Rules: 801...... 60627 674...... 63232 Proposed Rules: 230...... 61753 Proposed Rules: 682...... 63232 121...... 57014, 61369 240...... 61753 1 ...... 58514, 59575, 61770 685...... 63232 125...... 57014, 61369 54...... 60208 36 CFR 127...... 57014, 61369 18 CFR 27 CFR 134...... 57014, 61369 35...... 57515 211...... 62443 41...... 58720 447...... 57239 294...... 61456 14 CFR 131...... 57515 478...... 57239 1228...... 57245 33...... 57235 141...... 58720 479...... 57239 Proposed Rules: 36...... 62871 154...... 57515 555...... 57239 7...... 59585 39 ...... 56956, 56958, 56960, 157...... 57515 58032, 58436, 59486, 59488, 250...... 57515 28 CFR 37 CFR 59491, 59493, 60102, 61336, 281...... 57515 58...... 58438 10...... 59513 61342, 61343, 61346, 62872 284...... 57515 570...... 62440 Proposed Rules: 71 ...... 58871, 60622, 60939, 300...... 57515 201 ...... 58073, 60658, 63111 60940, 62876, 62878, 62879 301...... 60105 29 CFR 385...... 57033 91...... 62871 341...... 57515 403...... 57412 93...... 60544, 60574 344...... 57515 2509 ...... 58445, 61731, 61734 38 CFR 97 ...... 59494, 60623, 60942, 346...... 57515 2550 ...... 58447, 58450, 58459 3...... 61736
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17...... 58875, 58877 51...... 58080 Proposed Rules: 89...... 57268 59...... 58877 52 ...... 57272, 58084, 58515, 144...... 60208 171...... 57001 Proposed Rules: 58913, 59586, 60996, 61381, 146...... 60208 172...... 57001, 57008 5...... 62004 62945 148...... 60208 173...... 57001 60...... 59956 175...... 57001 39 CFR 46 CFR 61...... 59956 176...... 57001 393...... 59530 111...... 61355 63 ...... 58352, 59956, 60432, 178...... 57001 62384 3020 ...... 59514, 62184, 62886 47 CFR 179...... 57001 80...... 57274 180...... 57001 40 CFR 158 ...... 59382, 60211, 63112 0...... 57543 192...... 62148 3...... 61737 161 ...... 59382, 60211, 63112 12...... 59537 9...... 59034 180...... 57040 25...... 56999 232...... 61512 49...... 61740 228...... 60662 52...... 60172 541...... 60633 50...... 58042 262...... 58388 64...... 60172, 63078 571...... 58887, 62744 52 ...... 56970, 57246, 58475, 264...... 58388 73 ...... 56999, 57268, 57551, Proposed Rules: 59518, 60955, 60957, 61357, 265...... 58388 57552, 60631, 60974, 60975, 109...... 57281 62889, 62891, 62893, 62897, 266...... 58388 60976 571...... 57297 62902 271...... 58388 76...... 61742 830...... 58520 55...... 62907 90...... 60631 59...... 58481 42 CFR Proposed Rules: 50 CFR 60...... 59034 9...... 60410 Ch. 1...... 59586, 63127, 63128 62...... 56981 34...... 58047, 62210 1...... 60997 17...... 61936, 62816 80 ...... 57248, 59034, 61358 73...... 61363 27...... 57750 21...... 59448 81...... 56983 100...... 59528 43...... 60997 22...... 59448 85...... 59034 411...... 57541 73 ...... 57280, 60670, 60671, 216...... 60976 86...... 59034 412...... 57541 62237, 62238, 62239, 63129, 222...... 57010, 60638 89...... 59034 413...... 56998, 57541 63130, 63131 223...... 57010, 60638 90...... 59034 422...... 57541 90...... 57750 224...... 60173, 62919 91...... 59034 441...... 57854 400...... 57567 229...... 60640 92...... 59034 447...... 58491 48 CFR 300...... 62444 94...... 59034 489...... 57541 622...... 58058, 58059 180 ...... 56995, 58880, 60151, 215...... 62211 648 ...... 58497, 58498, 58898, 60963, 60969 43 CFR 252...... 62211 60986, 62445 197...... 61256 11...... 57259 Proposed Rules: 660 ...... 58499, 60191, 60642, 261...... 59523 46...... 61292 204...... 62239 60987 271...... 63074 Proposed Rules: 217...... 62239 679 ...... 57011, 57553, 58061, 1027...... 59034 403...... 58085 501...... 57580 58503, 58504, 58899, 59538, 1033...... 59034 2300...... 60212 504...... 59589 60994, 61366, 61367, 62212, 1039...... 59034 8360...... 57564 511...... 59590 63080, 63081, 63082, 63083 1042...... 59034 514...... 60224 44 CFR 697...... 58059 1045...... 59034 515...... 57580 1048...... 59034 64...... 60158 532...... 58515 Proposed Rules: 1051...... 59034, 62444 65...... 60159, 63076 552 ...... 57580, 58515, 59589, 17 ...... 57314, 58922, 61007, 1054...... 59034 67...... 60162 59590, 60224 62450, 62592 1060...... 59034 Proposed Rules: 553...... 60224 216...... 60754, 60836 1065...... 59034 67 ...... 60216, 63113, 63116 1633...... 58886 226...... 57583, 58527 1068...... 59034 2133...... 58886 224...... 62459 1074...... 59034 45 CFR 226...... 62459 Proposed Rules: 144...... 62410 49 CFR 622...... 61015 3...... 61773 146...... 62410 1...... 57268, 59538 679...... 57585, 62241 50...... 58080 148...... 62410 40...... 62910 697...... 58099
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REMINDERS Compensation Plans; 08; published 9-24-08 [FR and Proposed Registration The items in this list were Correction; published 10-23- E8-22418] Review Decisions; editorially compiled as an aid 08 AGRICULTURE Availability: to Federal Register users. VETERANS AFFAIRS DEPARTMENT Sodium Hydroxide (Mineral Inclusion or exclusion from DEPARTMENT Revision of Delegation of Bases, Strong) and Capric this list has no legal Schedule for Rating Authority; comments due by (Decanoic) Acid; significance. Disabilities; Evaluation of 10-30-08; published 9-30-08 comments due by 10-28- Residuals of Traumatic [FR E8-22959] 08; published 8-29-08 [FR E8-20152] Brain Injury (TBI); published COMMERCE DEPARTMENT RULES GOING INTO 9-23-08 Approval and Promulgation of EFFECT OCTOBER 23, Industry and Security Implementation Plans: Schedule for Rating Bureau 2008 Disabilities; Evaluation of Vehicle Inspection and National Defense Stockpile Maintenance Program, Scars; published 9-23-08 Market Impact Committee; COMMERCE DEPARTMENT Nevada; comments due Request for Public by 10-27-08; published 9- National Oceanic and COMMENTS DUE NEXT Comments: 25-08 [FR E8-22557] Atmospheric Administration WEEK Potential Market Impact of Cyprodinil; Pesticide Atlantic Highly Migratory Proposed Stockpile Tolerances; comments due Species; Atlantic Tuna Disposals for Fiscal Year AGRICULTURE by 10-27-08; published 8- Fisheries; Pelagic and 2010; comments due by DEPARTMENT 27-08 [FR E8-19747] Bottom Longline Fisheries: 10-30-08; published 9-30- Agricultural Marketing Environmental Statements; Gear Authorization and 08 [FR E8-22734] Service Notice of Intent: Turtle Control Devices; COMMERCE DEPARTMENT Domestic Dates Produced or Coastal Nonpoint Pollution published 9-23-08 National Oceanic and Packed in Riverside County, Control Programs; States Atmospheric Administration COMMODITY FUTURES CA; Decreased Assessment and Territories— TRADING COMMISSION Rate; comments due by 10- Characterization of the West Florida and South Adjustment of Civil Monetary 27-08; published 8-26-08 Coast Deep-set Longline Carolina; Open for Penalties for Inflation; [FR E8-19697] Fishery Operating Outside comments until further of the U.S. Exclusive notice; published 2-11- published 10-3-08 Dried Prunes Produced in Economic Zone; comments 08 [FR 08-00596] ENVIRONMENTAL California; Decreased due by 10-29-08; published PROTECTION AGENCY Assessment Rate; Exemption from the 9-29-08 [FR E8-22818] Final Authorization of State comments due by 10-27-08; Requirement of a Tolerance: Conducting Consultations Hazardous Waste published 8-26-08 [FR E8- Bacillus subtilis GB03; Pursuant to Section 304(d) Management Program 19695] comments due by 10-27- of the National Marine 08; published 8-27-08 [FR Revision: AGRICULTURE Sanctuaries Act; comments E8-19860] Minnesota; published 10-23- DEPARTMENT due by 10-31-08; published Pesticide Tolerances: 08 Animal and Plant Health 8-26-08 [FR E8-19662] Dichlobenil; comments due HOMELAND SECURITY Inspection Service Fisheries of the Exclusive by 10-27-08; published 8- DEPARTMENT Importation of Grapes from Economic Zone Off Alaska: 27-08 [FR E8-19859] Chile Under a Systems Privacy Act of 1974; Atka Mackerel in the Bering Fenbuconazole; comments Approach; comments due by Implementation of Sea and Aleutian Islands due by 10-27-08; 10-27-08; published 8-27-08 Exemptions: Management Area; published 8-27-08 [FR E8- [FR E8-19875] Immigration and Customs comments due by 10-31- 19858] Enforcement (ICE) Importation of Sweet Oranges 08; published 10-16-08 State Hazardous Waste General Counsel and Grapefruit from Chile; [FR E8-24585] Management Program Electronic Management comments due by 10-27-08; Pollock in Statistical Area Revision: System (GEMS); published 8-28-08 [FR E8- 610 of the Gulf of Alaska; Idaho; comments due by published 10-23-08 19871] comments due by 10-31- 10-30-08; published 9-30- Immigration and Customs AGRICULTURE 08; published 10-16-08 08 [FR E8-22800] Enforcement (ICE) [FR E8-24584] DEPARTMENT FEDERAL Student and Exchange Cooperative State Research, Small Takes of Marine COMMUNICATIONS Visitor Information System Education, and Extension Mammals Incidental to COMMISSION (SEVIS) of Records; Service Specified Activities; Seabird published 10-23-08 and Pinniped Research Agency Information Collection Competitive and Activities; Proposals, NUCLEAR REGULATORY Noncompetitive Non-formula Activities in Central California; comments due by Submissions, and Approvals; COMMISSION Grant Programs: comments due by 10-27-08; Adjustment of Civil Penalties 10-29-08; published 9-29-08 General Grant Administrative [FR E8-22819] published 8-28-08 [FR E8- for Inflation; published 9-23- Provisions and Program- 20011] ENERGY DEPARTMENT 08 Specific Administrative FEDERAL DEPOSIT TRANSPORTATION Provisions for the Energy Conservation Program: INSURANCE CORPORATION DEPARTMENT Specialty Crop Research Test Procedures for Battery Minimum Capital Ratios; Federal Aviation Initiative; Correction; Chargers and External Capital Adequacy Administration comments due by 10-30- Power Supplies and for Guidelines; Capital 08; published 9-5-08 [FR Multiple-Voltage External Airworthiness Directives: Maintenance; Capital: Power Supplies; E8-20562] Special Committee 215 EADS SOCATA Model TBM comments due by 10-29- Meetings: Aeronautical Mobile 700 Airplanes; published 08; published 8-15-08 [FR Solicitation of Input from Satellite (Route) Services 9-18-08 E8-18576] Stakeholders Regarding Next Generation Satellite TREASURY DEPARTMENT Programs for Hispanic- ENVIRONMENTAL Services and Equipment; Internal Revenue Service Serving Agricultural PROTECTION AGENCY comments due by 10-30- Application of Section 409A to Colleges and Universities; Antimicrobial Registration 08; published 9-30-08 [FR Nonqualified Deferred comments due by 10-27- Review Final Work Plans E8-22741]
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Risk-Based Capital Guidelines; comments due by 11-1- TRANSPORTATION TREASURY DEPARTMENT Capital Adequacy 08; published 8-8-08 [FR DEPARTMENT Thrift Supervision Office Guidelines: E8-18312] Federal Aviation Minimum Capital Ratios; Standardized Framework; Special Local Regulations for Administration Capital Adequacy comments due by 10-27- Marine Events: Airworthiness Directives: Guidelines; Capital 08; published 7-29-08 [FR Spa Creek, Annapolis, MD; 328 Support Services GmbH Maintenance; Capital: E8-16262] comments due by 10-29- Dornier Model 328 100 Special Committee 215 FEDERAL HOUSING 08; published 9-29-08 [FR Airplanes; comments due Aeronautical Mobile FINANCING AGENCY E8-22442] by 10-30-08; published 9- Satellite (Route) Services Golden Parachute Payments INTERIOR DEPARTMENT 30-08 [FR E8-22907] Next Generation Satellite and Indemnification Land Management Bureau Dowty Propellers R175/4-30; Services and Equipment; Payments; comments due Land Withdrawals; Removal of R184/4-30-4; R193/4-30-4; comments due by 10-30- by 10-31-08; published 9- Regulations Covering R.209/4-40-4.5 et al. 08; published 9-30-08 [FR 16-08 [FR E8-21650] Emergency Withdrawals; Model Propellers; E8-22741] FEDERAL RESERVE comments due by 10-27-08; comments due by 10-28- Risk-Based Capital Guidelines; SYSTEM published 10-10-08 [FR E8- 08; published 8-29-08 [FR Capital Adequacy Minimum Capital Ratios; 23823] E8-20081] Guidelines: Capital Adequacy INTERIOR DEPARTMENT Saab Model SAAB Fairchild Standardized Framework; Guidelines; Capital Fish and Wildlife Service SF340A (SAAB/SF340A) comments due by 10-27- Maintenance; Capital: Endangered and Threatened and SAAB 340B 08; published 7-29-08 [FR Special Committee 215 Wildlife and Plants: Airplanes; comments due E8-16262] by 10-30-08; published 9- Aeronautical Mobile Designation of Critical 30-08 [FR E8-22915] Satellite (Route) Services Habitat for the Peninsular Next Generation Satellite Ranges Population of Vulcanair S.p.A. Model P68 LIST OF PUBLIC LAWS Services and Equipment; Desert Bighorn Sheep; Series Airplanes; comments due by 10-30- comments due by 10-27- comments due by 10-27- This is a continuing list of 08; published 9-30-08 [FR 08; published 8-26-08 [FR 08; published 9-26-08 [FR public bills from the current E8-22741] E8-19465] E8-22338] session of Congress which Risk-Based Capital Guidelines; TREASURY DEPARTMENT have become Federal laws. It LABOR DEPARTMENT may be used in conjunction Capital Adequacy Mine Safety and Health Comptroller of the Currency Guidelines: with ‘‘P L U S’’ (Public Laws Administration Minimum Capital Ratios; Update Service) on 202–741– Standardized Framework; Alcohol- and Drug-Free Mines; Capital Adequacy 6043. This list is also comments due by 10-27- Policy, Prohibitions, Testing, Guidelines; Capital available online at http:// 08; published 7-29-08 [FR Training, and Assistance; Maintenance; Capital: www.archives.gov/federal- E8-16262] comments due by 10-29-08; Special Committee 215 register/laws.html. Risk-Based Capital Guidelines; published 9-26-08 [FR E8- Aeronautical Mobile Leverage Capital Guidelines; 22679] Satellite (Route) Services The text of laws is not published in the Federal comments due by 10-31-08; LIBRARY OF CONGRESS Next Generation Satellite published 9-26-08 [FR E8- Register but may be ordered Copyright Royalty Board, Services and Equipment; 22702] in ‘‘slip law’’ (individual Library of Congress comments due by 10-30- Transactions Between Member 08; published 9-30-08 [FR pamphlet) form from the Mechanical and Digital Banks and Their Affiliates: E8-22741] Superintendent of Documents, Phonorecord Delivery Rate U.S. Government Printing Exemption for Certain Risk-Based Capital Guidelines; Determination Proceeding; Office, Washington, DC 20402 Purchases of Asset- Capital Adequacy comments due by 10-31-08; (phone, 202–512–1808). The Backed Commercial Paper Guidelines: published 10-1-08 [FR E8- text will also be made by a Member Bank from 23184] Standardized Framework; available on the Internet from an Affiliate; comments comments due by 10-27- GPO Access at http:// due by 10-31-08; OFFICE OF MANAGEMENT 08; published 7-29-08 [FR www.gpoaccess.gov/plaws/ published 9-26-08 [FR E8- AND BUDGET E8-16262] index.html. Some laws may 22701] Management and Budget Office Risk-Based Capital Guidelines; not yet be available. HEALTH AND HUMAN Money Market Mutual Guidance for Drug Free SERVICES DEPARTMENT Funds; comments due by H.R. 3511/P.L. 110–439 Workplace Requirements 10-31-08; published 9-26-08 Food and Drug (Financial Assistance); To designate the facility of the [FR E8-22720] Administration comments due by 10-27-08; United States Postal Service New Animal Drugs; published 9-26-08 [FR E8- TREASURY DEPARTMENT located at 2150 East Hardtner Cephalosporin Drugs; 22717] Internal Revenue Service Drive in Urania, Louisiana, as Extralabel Animal Drug Use: the ‘‘Murphy A. Tannehill Post PERSONNEL MANAGEMENT Alcohol Fuel and Biodiesel; Order of Prohibition; Renewable Diesel; Office Building’’. (Oct. 21, OFFICE 2008; 122 Stat. 5003) Extension of Comment Determining Rate of Basic Alternative Fuel; Diesel- Period; Delay of Effective Pay; Collection by Offset Water Fuel Emulsion; H.R. 4010/P.L. 110–440 Date of Final Rule; From Indebted Government Taxable Fuel Definitions; To designate the facility of the comments due by 11-1- Employees; comments due Excise Tax Returns; United States Postal Service 08; published 8-18-08 [FR by 10-27-08; published 8- comments due by 10-27-08; located at 100 West Percy E8-18967] 27-08 [FR E8-19819] published 7-29-08 [FR E8- Street in Indianola, Mississippi, 17270] HOMELAND SECURITY SMALL BUSINESS as the ‘‘Minnie Cox Post DEPARTMENT ADMINISTRATION TREASURY DEPARTMENT Office Building’’. (Oct. 21, 2008; 122 Stat. 5004) Coast Guard Women-Owned Small Terrorism Risk Insurance Drawbridge Operation Business Federal Contract Programs: H.R. 4131/P.L. 110–441 Regulations: Assistance Procedures; Cap on Annual Liability; To designate a portion of Shrewsbury River, Route 36 comments due by 10-31-08; comments due by 10-30- California State Route 91 Bridge, Highlands, NJ, published 10-1-08 [FR E8- 08; published 9-30-08 [FR located in Los Angeles Schedule Change; 23139] E8-22940] County, California, as the
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‘‘Juanita Millender-McDonald H.R. 6834/P.L. 110–444 H.R. 6902/P.L. 110–446 Highway’’. (Oct. 21, 2008; 122 Stat. 5005) To designate the facility of the To designate the facility of the Public Laws Electronic United States Postal Service United States Postal Service Notification Service H.R. 6558/P.L. 110–442 located at 4 South Main located at 513 6th Avenue in (PENS) To designate the facility of the Street in Wallingford, Dayton, Kentucky, as the United States Postal Service Connecticut, as the ‘‘CWO ‘‘Staff Sergeant Nicholas Ray located at 1750 Lundy Avenue Richard R. Lee Post Office Carnes Post Office’’. (Oct. 21, PENS is a free electronic mail in San Jose, California, as the Building’’. (Oct. 21, 2008; 122 2008; 122 Stat. 5011) notification service of newly ‘‘Gordon N. Chan Post Office Stat. 5009) enacted public laws. To H.R. 6982/P.L. 110–447 Building’’. (Oct. 21, 2008; 122 subscribe, go to http:// Stat. 5007) H.R. 6847/P.L. 110–445 To designate the facility of the listserv.gsa.gov/archives/ H.R. 6681/P.L. 110–443 United States Postal Service publaws-l.html To designate the facility of the located at 210 South Ellsworth To designate the facility of the United States Postal Service Avenue in San Mateo, Note: This service is strictly United States Postal Service located at 801 Industrial California, as the ‘‘Leo J. for E-mail notification of new located at 300 Vine Street in Boulevard in Ellijay, Georgia, Ryan Post Office Building’’. laws. The text of laws is not New Lenox, Illinois, as the as the ‘‘First Lieutenant Noah (Oct. 21, 2008; 122 Stat. available through this service. ‘‘Jacob M. Lowell Post Office Harris Ellijay Post Office 5012) PENS cannot respond to Building’’. (Oct. 21, 2008; 122 Building’’. (Oct. 21, 2008; 122 specific inquiries sent to this Stat. 5008) Stat. 5010) Last List October 22, 2008 address.
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